CHAPTER 309 Miscellaneous Occupations and Professions

Alcohol and Drug Counseling

309.080. Definitions for KRS 309.080 to 309.089.

As used in KRS 309.080 to 309.089 , unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Alcohol and Drug Counselors;
  2. “Certified alcohol and drug counselor associate I” means a person certified by the board who meets the requirements of KRS 309.0841 ;
  3. “Certified alcohol and drug counselor associate II” means a person certified by the board who meets the requirements of KRS 309.0842 ;
  4. “Certified alcohol and drug counselor” means a person certified by the board who meets the requirements in KRS 309.083 ;
  5. “Certified clinical supervisor” means a person certified by the board who meets the requirements of KRS 309.0834
  6. “Certificate holder” means an alcohol and drug counselor who is certified pursuant to KRS 309.080 to 309.089 ;
  7. “Licensed alcohol and drug counselor” means a person licensed by the board who meets the requirements of KRS 309.0830 ;
  8. “Licensed clinical alcohol and drug counselor” means a person licensed by the board who meets the requirements of KRS 309.0832 ;
  9. “Licensed clinical alcohol and drug counselor associate” means a person licensed by the board who meets the requirements of KRS 309.0833 ;
  10. “Licensee” means a clinical alcohol and drug counselor who is licensed pursuant to KRS 309.080 to 309.089 ;
  11. “Practice of alcohol and drug counseling”:
    1. Means the assessment and counseling of an individual, family, or group dealing with an alcohol or drug problem or addiction; and
    2. Does not include the diagnosis or treatment of a mental health condition, or the administration or interpretation of psychological tests;
  12. “Registered alcohol and drug peer support specialist” means a person registered by the board who meets the requirements in KRS 309.0831 ; and
  13. “Registrant” means an alcohol and drug peer support specialist who is registered pursuant to KRS 309.080 to 309.089 .

History. Enact. Acts 1996, ch. 96, § 1, effective July 15, 1996; 2015 ch. 29, § 1, effective June 24, 2015; 2020 ch. 99, § 4, effective March 1, 2021; 2021 ch. 107, § 3, effective March 24, 2021.

309.0805. Use of titles restricted to individuals who are licensed, certified, or registered with the board — Construction.

  1. No person shall use the title “certified clinical supervisor,” “licensed alcohol and drug counselor,” “licensed clinical alcohol and drug counselor,” “licensed clinical alcohol and drug counselor associate,” “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,” or hold himself or herself out as a “licensed clinical alcohol and drug counselor,” “licensed clinical alcohol and drug counselor associate,” “certified alcohol and drug counselor,” or “registered alcohol and drug peer support specialist” unless he or she is licensed, certified, or registered pursuant to KRS 309.080 to 309.089 .
  2. Nothing in KRS 309.080 to 309.089 shall apply to persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes, including but not limited to physicians, social workers, psychologists, marriage and family therapists, art therapists, nurses, or students in accredited training programs in those professions, and nothing in KRS 309.080 to 309.089 shall be construed to limit, interfere with, or restrict the practice, descriptions of services, or manner in which they hold themselves out to the public.
  3. Nothing in KRS 309.080 to 309.089 shall be construed to alter, amend, or interfere with the practice of those who render counseling services, including but not limited to employment counseling, job placement counseling, vocational rehabilitation counseling, pastoral counseling based on any tenet of one’s religious beliefs, or school counseling.
  4. Nothing in KRS 309.080 to 309.089 shall apply to the activities and services of a student intern or trainee who is pursuing a program of studies in alcohol and drug counseling at an accredited institution of higher education, if these activities are performed under the supervision or direction of an approved supervisor and the activities are part of the supervised program of studies.

History. Enact. Acts 1996, ch. 96, § 2, effective July 15, 1996; 2015 ch. 29, § 2, effective June 24, 2015; 2020 ch. 99, § 5, effective March 1, 2021; 2021 ch. 107, § 4, effective March 24, 2021.

309.081. Board of Alcohol and Drug Counselors.

  1. There is hereby created the Kentucky Board of Alcohol and Drug Counselors consisting of seven (7) members who shall be appointed by the Governor. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business of alcohol and drug counseling, and the six (6) remaining members shall be licensed clinical alcohol and drug counselors or certified alcohol and drug counselors, pursuant to KRS 309.080 to 309.089 . The board shall elect a chairperson each year at the first meeting called after the appointment of new members.
  2. Each member of the board shall serve for a term of four (4) years with a maximum of two (2) full consecutive terms.
  3. Each counselor member appointed to the board shall be a licensed clinical alcohol and drug counselor or certified alcohol and drug counselor and shall be actively engaged in the practice or teaching of alcohol and drug counseling in Kentucky.
  4. All reappointments to and vacancies on the board shall be filled by the Governor from a list of three (3) names for each position that shall be submitted by the Kentucky Association of Addiction Professionals. The list shall consist of the three (3) nominees receiving the most votes in an election for each position to be filled. The election shall be administered by the Kentucky Association of Addiction Professionals, and nominations may be submitted by any interested party. The nominees shall be selected by all alcohol and drug counselors licensed or certified under KRS 309.080 to 309.089 . Vacancies shall be filled for the remainder of an unexpired term in the same manner as set out in this subsection.
  5. The citizen-at-large member shall be disqualified from serving on the board if:
    1. The member, a person who is a part of the member’s household, or the member’s relative becomes associated with or financially interested in the business of alcohol and drug counseling, or participates or has participated in a professional field related to alcohol and drug counseling; or
    2. The member, a person who is a part of the member’s household, or the member’s relative becomes, or is in training to become, a licensed clinical alcohol and drug counselor or certified alcohol and drug counselor.
  6. A counselor member of the board shall be disqualified from serving on the board if:
    1. He or she violates the code of professional ethics or standards of practice established pursuant to KRS 309.0813 ; or
    2. He or she ceases to be a licensed clinical alcohol and drug counselor or certified alcohol and drug counselor in Kentucky.
  7. Board members shall be reimbursed for all reasonable and necessary expenses they incur because of their board duties.

HISTORY: Enact. Acts 1996, ch. 96, § 3, effective July 15, 1996; 2015 ch. 29, § 3, effective June 24, 2015.

309.0813. Duties of board — Administrative regulations — Fees.

The board shall:

  1. Promulgate administrative regulations pursuant to KRS Chapter 13A for the administration and enforcement of KRS 309.080 to 309.089 ;
  2. Promulgate administrative regulations pursuant to KRS Chapter 13A establishing a code of ethics, standards of practice, and continuing education for certified clinical supervisors, 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;
  3. Approve and disapprove, at least once every other month, those persons who shall be licensed, certified, or registered under KRS 309.080 to 309.089 ;
  4. Approve the examination required of applicants for licensure or certification as certified clinical supervisors or as alcohol and drug counselors and applicants for registration as alcohol and drug peer support specialists, and promulgate administrative regulations pursuant to KRS Chapter 13A for the administration and grading of the examination;
  5. Promulgate administrative regulations pursuant to KRS Chapter 13A to define the process to register with the board as a certified clinical supervisor, licensed alcohol and drug counselor, 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;
  6. Promulgate administrative regulations pursuant to KRS Chapter 13A establishing grounds and procedures for denying, suspending, failing to reissue, or revoking a license, certificate, or registration, and issuing reprimands and admonishments pursuant to KRS 309.080 to 309.089 ;
  7. Hold a hearing pursuant to KRS Chapter 13B upon the request of an aggrieved licensee, licensee associate, certificate holder, or registrant, or an applicant for a license, certificate, or registration;
  8. Employ needed personnel and establish their duties and compensation;
  9. Maintain a register of certified clinical supervisors, licensed alcohol and drug counselors, licensed clinical alcohol and drug counselors, licensed clinical alcohol and drug counselor associates, certified alcohol and drug counselors, and registered alcohol and drug peer support specialists;
  10. Keep a complete record of the board’s proceedings;
  11. Investigate suspected or alleged violations of KRS 309.080 to 309.089 and the administrative regulations promulgated pursuant to KRS 309.080 to 309.089 ;
  12. Promulgate administrative regulations pursuant to KRS Chapter 13A establishing an initial licensure fee, certification fee, registration fee, and annual renewal fees not to exceed three hundred dollars ($300) each;
  13. Take legal action as necessary to restrain or enjoin violations of KRS 309.080 to 309.089 and the administrative regulations promulgated pursuant to KRS 309.080 to 309.089 ;
  14. Submit an annual report to the Governor and the Legislative Research Commission by January 1 of each year, which lists all hearings conducted by the board and the decisions rendered; and
  15. Collect and deposit all fees, fines, and other moneys owed to the board into the State Treasury to the credit of the revolving fund established in KRS 309.082 .

History. Enact. Acts 1996, ch. 96, § 4, effective July 15, 1996; 2015 ch. 29, § 4, effective June 24, 2015; 2020 ch. 99, § 6, effective March 1, 2021; 2021 ch. 107, § 5, effective March 24, 2021.

309.0814. Administrative regulations regarding supervisors of record.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to define the process to register with the board as a supervisor of record, including required supervisory training.
  2. A registered alcohol and drug peer support specialist shall only practice as an employee of a licensed facility or under the board-approved supervision of a certified alcohol and drug counselor or licensed clinical alcohol and drug counselor.

HISTORY: 2015 ch. 29, § 9, effective June 24, 2015.

309.082. Revolving fund for implementation of KRS 309.080 to 309.089.

  1. All license, certificate, and registration fees, charges, and fines, and other moneys collected by the board under KRS 309.080 to 309.089 and the administrative regulations of the board, shall be deposited into the State Treasury and credited to a revolving fund to be used by the board in carrying out KRS 309.080 to 309.089 , and are hereby appropriated for those purposes.
  2. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse but shall be carried forward into the succeeding fiscal year. Any interest earnings of the fund shall become part of the fund and shall not lapse.

HISTORY: 2015 ch. 29, § 16, effective June 24, 2015.

309.083. Requirements for certification as alcohol and drug counselors.

An applicant for certification as an alcohol and drug counselor shall pay the board the initial fee for certification, and shall:

  1. Be at least eighteen (18) years of age;
  2. Have obtained a baccalaureate degree, unless the applicant is certified by the board as a certified alcohol and drug counselor associate II;
  3. Have completed the minimum work experience and supervision requirements for alcohol and drug counselors by the International Certification and Reciprocity Consortium with supervised hours being under the direct supervision of:
    1. A certified alcohol and drug counselor who has at least two (2) years of post-certification experience and has attended the board-sponsored supervision training; or
    2. A licensed clinical alcohol and drug counselor who has at least twelve (12) months of post-licensure experience or has attended the board-sponsored supervision training;
  4. Meet all minimum supervision, education, and training requirements of the International Certification and Reciprocity Consortium for the Alcohol and Drug Counselor (ADC);
  5. Have passed a written examination for alcohol and drug counselors that has been approved by the International Certification and Reciprocity Consortium;
  6. Have signed an agreement to abide by the standards of practice and code of ethics approved by the board;
  7. Have completed at least six (6) hours of ethics training; three (3) hours of domestic violence training; and two (2) hours of training in the transmission, control, treatment, and prevention of the human immunodeficiency virus;
  8. Have submitted two (2) letters of reference from certified or licensed clinical alcohol and drug counselors;
  9. Live or work at least a majority of the time in Kentucky; and
  10. Have complied with the requirements for the training program in suicide assessment, treatment, and management in KRS 210.366 and any administrative regulations promulgated thereunder.

History. Enact. Acts 1996, ch. 96, § 5, effective July 15, 1996; 2003, ch. 36, § 1, effective June 24, 2003; 2015 ch. 29, § 6, effective June 24, 2015; 2020 ch. 99, § 7, effective March 1, 2021.

309.0830. Requirements for licensure as licensed alcohol and drug counselor.

An applicant for licensure as a licensed alcohol and drug counselor shall pay the board the initial fee for licensure, and shall:

  1. Be at least eighteen (18) years of age;
  2. Have obtained from a regionally accredited college or university, or a college or university accredited by an agency recognized by the United States Department of Education, a thirty (30) hour master’s degree in a human services field with clinical application;
  3. Meet all education, work experience, and supervision requirements of the International Certification and Reciprocity Consortium for the Alcohol and Drug Counselor, with the required supervision hours being under the direct supervision of:
    1. A licensed alcohol and drug counselor who has at least two (2) years of post-licensure experience and has attended the board-sponsored supervision training; or
    2. A licensed clinical alcohol and drug counselor who has at least twelve (12) months of post-licensure experience or who has attended the board-sponsored supervision training;
  4. Have passed a written examination that has been approved by the International Certification and Reciprocity Consortium;
  5. Have signed an agreement to abide by the standards of practice and code of ethics approved by the board;
  6. Have completed at least six (6) hours of ethics training; three (3) hours of domestic violence training; and two (2) hours training in the transmission, control, treatment, and prevention of the human immunodeficiency virus, in addition to the educational requirements in subsection (2) of this section;
  7. Have submitted two (2) letters of reference from certified alcohol and drug counselors, licensed alcohol and drug counselors, or licensed clinical alcohol and drug counselors;
  8. Live or work at least a majority of the time in Kentucky; and
  9. Have complied with the requirements for the training program in suicide assessment, treatment, and management in KRS 210.366 and any administrative regulations promulgated thereunder.

HISTORY: 2021 ch. 107, § 2, effective March 24, 2021.

309.0831. Requirements for registration as an alcohol and drug peer support specialist.

An applicant for registration as an alcohol and drug peer support specialist shall pay the board an initial fee for registration, and shall:

  1. Be at least eighteen (18) years of age;
  2. Have obtained a high school diploma or equivalent;
  3. Have completed five hundred (500) hours of board-approved experience working with persons having a substance use disorder, twenty-five (25) hours of which shall have been under the direct supervision of:
    1. A certified alcohol and drug counselor who has at least two (2) years post-certification experience and has attended the board-sponsored supervision training; or
    2. A licensed clinical alcohol and drug counselor who has at least twelve (12) months of post-licensure experience or has attended the board-sponsored supervision training;
  4. Have completed at least forty (40) classroom hours of board-approved curriculum;
  5. Have passed a written examination that has been approved by the board;
  6. Have signed an agreement to abide by the standards of practice and code of ethics approved by the board;
  7. Attest to being in recovery for a minimum of one (1) year from a substance-related disorder;
  8. Have completed at least sixteen (16) hours of ethics 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;
  9. Have submitted two (2) letters of reference from certified alcohol and drug counselors or licensed clinical alcohol and drug counselors;
  10. Live or work at least a majority of the time in Kentucky; and
  11. Have complied with the requirements for the training program in suicide assessment, treatment, and management in KRS 210.366 and any administrative regulations promulgated thereunder.

HISTORY: 2015 ch. 29, § 5, effective June 24, 2015; 2020 ch. 99, § 8, effective March 1, 2021.

309.0832. Requirements for licensure as a licensed clinical alcohol and drug counselor.

An applicant for licensure as a licensed clinical alcohol and drug counselor shall pay the board the initial fee for licensure, and shall:

  1. Be at least eighteen (18) years of age;
  2. Have obtained from a regionally accredited college or university or a college or university accredited by an agency recognized by the United States Department of Education:
    1. A sixty (60) hour master’s degree in a behavioral science with clinical application;
    2. A thirty (30) hour advanced placement master’s degree in a behavioral science with clinical application; or
    3. A doctoral degree in a behavioral science with clinical application;
  3. Meet all education and supervision requirements of the International Certification and Reciprocity Consortium for the Advanced Alcohol and Drug Counselor (AADC);
  4. Have passed a written examination as specified by the board in administrative regulation;
  5. Have signed an agreement to abide by the standards of practice and code of ethics approved by the board;
  6. Have completed at least six (6) hours of ethics training; three (3) hours of domestic violence training; and two (2) hours training in the transmission, control, treatment, and prevention of the human immunodeficiency virus, in addition to the educational requirements in subsection (2) of this section;
  7. Have submitted two (2) letters of reference from certified alcohol and drug counselors or licensed clinical alcohol and drug counselors;
  8. Live or work at least a majority of the time in Kentucky; and
  9. Have complied with the requirements for the training program in suicide assessment, treatment, and management in KRS 210.366 and any administrative regulations promulgated thereunder.

HISTORY: 2015 ch. 29, § 7, effective June 24, 2015; 2020 ch. 99, § 9, effective March 1, 2021; 2021 ch. 107, § 7, effective March 24, 2021.

309.0833. Requirements for licensure as a licensed clinical alcohol and drug counselor associate.

  1. An applicant for licensure as a licensed clinical alcohol and drug counselor associate shall:
    1. Pay the board the initial fee for licensure;
    2. Complete the requirements under KRS 309.0832(1) to (9); and
    3. Obtain a board-approved supervisor of record.
  2. Upon completion of the hours of board-approved experience, a licensed clinical alcohol and drug counselor associate may apply to the board for licensure as a licensed clinical alcohol and drug counselor.

HISTORY: 2015 ch. 29, § 8, effective June 24, 2015; 2020 ch. 99, § 10, effective March 1, 2021; 2021 ch. 107, § 8, effective March 24, 2021.

309.0834. Requirements for certification as certified clinical supervisor — Supervision authorized.

  1. An applicant for certification as a certified clinical supervisor shall pay the board the initial fee for certification, and shall:
    1. Hold and maintain an alcohol and drug counselor license, clinical alcohol and drug counselor license, or alcohol and drug counselor certification at the International Certification and Reciprocity Consortium reciprocal level;
    2. Meet all education, continuing education, work experience, and supervision requirements of the International Certification and Reciprocity Consortium for the Clinical Supervisor;
    3. Have passed a written examination that has been approved by the International Certification and Reciprocity Consortium; and
    4. Have signed an agreement to abide by the standards of practice and code of ethics approved by the board.
  2. The board shall promulgate administrative regulations establishing a time limit of not less than ninety (90) days or more than one (1) year by which a person who was approved by the board as a supervisor prior to March 24, 2021 is required to meet the requirements for a certified clinical supervisor in subsection (1) of this section.
  3. A certified clinical supervisor may supervise registered alcohol and drug peer support specialists, licensed alcohol and drug counselors, licensed clinical alcohol and drug counselors, certified alcohol and drug counselors, and persons who are seeking registration or certification.

HISTORY: 2021 ch. 107, § 1, effective March 24, 2021.

309.084. Certification of applicants — Administrative regulations.

  1. The board shall license, certify, or register, as appropriate, any applicant who meets all of the requirements for licensure, certification, or registration set out in KRS 309.083 , 309.083 1, and 309.0832 and subsection (2) of this section, pays the fees established by the board, and is not disqualified pursuant to KRS 309.086 .
    1. The board shall promulgate administrative regulations establishing a limited period of time, not less than ninety (90) days nor more than one (1) year, during which licensure may be extended to persons not meeting all the provisions of KRS 309.0832 if: (2) (a) The board shall promulgate administrative regulations establishing a limited period of time, not less than ninety (90) days nor more than one (1) year, during which licensure may be extended to persons not meeting all the provisions of KRS 309.0832 if:
      1. The person is a certified alcohol and drug counselor in Kentucky prior to June 24, 2015; and
      2. The applicant has a master’s degree or a doctoral degree in a behavioral science with clinical application from a regionally accredited college or university or a college or university accredited by an agency recognized by the United States Department of Education.
    2. After the expiration of the time period established by the board in administrative regulation under paragraph (a) of this subsection, the applicant for licensure shall meet the qualifications established in KRS 309.0832 or 309.0833 .
    3. Applicants granted licensure under paragraph (a) of this subsection shall be granted authority to provide clinical supervision, as specified in regulations promulgated in accordance with KRS 309.0814(1), without delay to alcohol and drug counselors currently holding certification or licensure and those seeking certification or licensure.

HISTORY: Enact. Acts 1996, ch. 96, § 6, effective July 15, 1996; 2003, ch. 36, § 2, effective June 24, 2003; 2015 ch. 29, § 10, effective June 24, 2015.

309.0841. Requirements for certification as a certified alcohol and drug counselor associate I.

  1. An applicant for certification as a certified alcohol and drug counselor associate I shall pay the board the initial fee for certification, and shall:
    1. Be at least eighteen (18) years of age;
    2. Have obtained a high school diploma or high school equivalency diploma;
    3. Have completed forty (40) classroom hours of board-approved curriculum, twenty (20) hours of which shall have been obtained in the previous two (2) years, that includes:
      1. Screening assessment and engagement;
      2. Treatment planning, collaboration, and referral;
      3. Counseling; and
      4. Professional and ethical responsibilities;
    4. Be under the ongoing supervision of a board-approved supervisor for no less than two (2) hours, two (2) times a month in the practice of drug and alcohol counseling; and
    5. Submit a signed statement agreeing to practice by the code of ethical standards adopted by the board.
  2. During the first twelve (12) months after an initial certificate has been issued, a certified alcohol and drug counselor associate I shall complete at least thirty (30) additional classroom hours of board-approved curriculum as specified in subsection (1)(c)1. to 4. of this section.

HISTORY: 2020 ch. 99, § 2, effective March 1, 2021.

309.0842. Requirements for certification as a certified alcohol and drug counselor associate II.

An applicant for certification as a certified alcohol and drug counselor associate II shall pay the board the initial fee for certification, and shall:

  1. Be certified by the board as a certified alcohol and drug counselor associate I for a period of at least eight (8) months;
  2. Have four hundred (400) hours of documented chemical dependency counseling-related compensated work or supervised internship experience of which a minimum of eighty (80) hours shall be in chemical dependency counseling and all of which shall have been under the direct supervision of:
    1. A certified alcohol and drug counselor who has at least two (2) years of post-certification experience and has attended the board-sponsored supervision training; or
    2. A licensed clinical alcohol and drug counselor who has at least twelve (12) months of post-licensure experience or has attended the board-sponsored supervision training; and
  3. Have seventy (70) hours of approved classroom hours of board-approved curriculum of which twenty (20) hours shall have been obtained in the previous two (2) years and shall be in addition to the classroom hours required in KRS 309.0841 for a certified alcohol and drug counselor associate I.

HISTORY: 2020 ch. 99, § 3, effective March 1, 2021.

309.085. Renewal of licenses, certificates, and registrations — Cancellation and reinstatement.

  1. A license, certificate, or registration issued pursuant to KRS 309.084 shall be renewed every three (3) years upon:
    1. Payment of the renewal fee as established pursuant to KRS 309.0813 ; and
    2. Completion of continuing education requirements, as established by the board by promulgation of an administrative regulation, not to exceed sixty (60) hours per renewal period.
  2. The board shall cancel any license, certificate, or registration not renewed within ninety (90) days after the renewal date; however, the board may reinstate the license, certificate, or registration upon its holder paying the renewal fee and satisfying the other reinstatement requirements as established by the board by administrative regulation within one (1) year of the anniversary date of issue of renewal.

HISTORY: Enact. Acts 1996, ch. 96, § 7, effective July 15, 1996; 2015 ch. 29, § 12, effective June 24, 2015.

309.086. Revocation, suspension, probation, or restriction of license, certificate, or registration — Hearings — Appeals.

  1. The board may revoke, suspend, place on probation, or restrict the license, certificate, or registration of a licensee, certificate holder, or registrant; refuse to issue or renew a license, certificate, or registration; and reprimand, admonish, or fine a licensee, certificate holder, or registrant for the following:
    1. Fraud or deceit in obtaining licensure, certification, or registration;
    2. Transferring the authority granted by the license, certificate, or registration to another person;
    3. Using unfair, false, misleading, or deceptive trade practices;
    4. Willfully or deliberately disregarding professional standards of practice or violating the code of ethics;
    5. Aiding and abetting a person who obtains a license, certificate, or registration fraudulently;
    6. Conspiring or combining with others to obtain a license, certificate, or registration to be used by an unlicensed, uncertified, or unregistered person with the intent to evade the provisions of KRS 309.080 to 309.089 and administrative regulations promulgated pursuant to those sections;
    7. Negligence or incompetence in complying with the applicable code of ethics and standards of practice or failure to comply with continuing education requirements;
    8. Violating KRS 309.080 to 309.089 and administrative regulations promulgated pursuant to those sections; or
    9. Being convicted of any crime as defined in KRS 335B.010 in which an element of the crime is dishonesty or fraud, within the past three (3) years, if in accordance with KRS Chapter 335B.
  2. The board shall, upon the request of a licensed clinical alcohol and drug counselor, certified alcohol and drug counselor, or registered alcohol and drug peer support specialist, or an applicant for licensure, certification, or registration, hold a hearing pursuant to KRS Chapter 13B before denying an application; refusing to renew a license, certificate, or registration; suspending a license, certificate, or registration; or imposing a fine. The affected party may appeal the board’s decision in the Circuit Court where the licensee, certificate holder, or registrant resides. The action of the board shall remain in effect pending any appeals unless the board rescinds or modifies its order.

History. Enact. Acts 1996, ch. 96, § 8, effective July 15, 1996; 2015 ch. 29, § 13, effective June 24, 2015; 2017 ch. 158, § 41, effective June 29, 2017.

309.087. Application for reinstatement of revoked license, certificate, or registration.

A person whose license, certificate, or registration has been revoked may apply for reinstatement, no earlier than one (1) year from the date of revocation, in accordance with administrative regulations promulgated by the board.

HISTORY: Enact. Acts 1996, ch. 96, § 9, effective July 15, 1996; 2015 ch. 29, § 14, effective June 24, 2015.

309.088. Reciprocity for licensure, certification, and registration.

  1. The board may permit an out-of-state certified clinical supervisor, licensed alcohol and drug counselor, licensed clinical alcohol and drug counselor, certified alcohol and drug counselor, certified alcohol and drug counselor associate II, certified alcohol and drug counselor associate I, or alcohol and drug peer support specialist to obtain a license, certificate, or registration by reciprocity if:
    1. The out-of-state licensee, certificate holder, or registrant possesses a valid license, certificate, or registration from another jurisdiction that grants the same privileges to persons licensed, certified, or registered by this state as Kentucky grants to persons licensed, certified, or registered by the other jurisdiction;
    2. The requirements for licensure, certification, or registration are substantially similar to the requirements in KRS 309.080 to 309.089 ; and
    3. The out-of-state licensee, certificate holder, or registrant seeking licensure, certification, or registration states that he or she has studied, is familiar with, and shall abide by KRS 309.080 to 309.089 and the administrative regulations promulgated thereunder.
  2. If the requirements for licensure, certification, or registration under KRS 309.080 to 309.089 are more restrictive than the standards of the other jurisdiction, then the out-of-state licensee, certificate holder, or registrant shall comply with the additional requirements in KRS 309.080 to 309.089 to obtain a reciprocal license, certificate, or registration.

HISTORY: 2015 ch. 29, § 11, effective June 24, 2015; 2020 ch. 99, § 11, effective March 1, 2021; 2021 ch. 107, § 6, effective March 24, 2021.

309.089. Additional penalties for licensees, certificate holders, or registrants.

In addition to the sanctions set out in KRS 309.086 , the board may impose the following sanctions on licensees, certificate holders, or registrants who violate the provisions of KRS 309.080 to 309.089 or administrative regulations promulgated pursuant to those sections:

  1. Suspend a license, certificate, or registration for a period of up to five (5) years; and
  2. Impose a fine of up to one thousand dollars ($1,000).

HISTORY: Enact. Acts 1996, ch. 96, § 10, effective July 15, 1996; 2015 ch. 29, § 15, effective June 24, 2015.

Art Therapy

309.130. Definitions for KRS 309.130 to 309.1399.

As used in KRS 309.130 to 309.1399 , unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Licensure for Professional Art Therapists;
  2. “Licensed professional art therapist” means a person who has completed a master’s or doctoral degree program in art therapy, or an equivalent course of study, from an accredited educational institution, has completed all of the requirements set out in this chapter, and has been issued a license by the board for the independent practice of art therapy;
  3. “Licensed professional art therapist associate” means a person who has:
    1. Completed a master’s or doctoral degree program in art therapy, or an equivalent course of study, from an accredited educational institution; and
    2. Been issued a license by the board to practice art therapy under an approved clinical supervisor authorized by the board;
  4. “License holder” means a licensed professional art therapist or a licensed professional art therapist associate licensed under the provisions of KRS 309.130 to 309.1399 ;
  5. “The practice of professional art therapy” means the integrated use of psychotherapeutic principles, visual art media, and the creative process in the assessment, treatment, and remediation of psychosocial, emotional, cognitive, physical, and developmental disorders in children, adolescents, adults, families, and groups. Nothing in this subsection shall be construed to authorize any licensed professional art therapist to administer or interpret psychological tests in accordance with KRS Chapter 319; and
  6. “Accredited institution” means a university or college accredited by a nationally-recognized accrediting agency of institutions of higher education, or an institution or clinical program approved by the American Art Therapy Association, Inc.

History. Enact. Acts 1994, ch. 337, § 1, effective July 15, 1994; 2009, ch. 48, § 1, effective June 25, 2009; 2013, ch. 80, § 1, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.1305. Application of statutes — Construction of chapter — Misuse of title or status prohibited.

  1. No person shall use the title licensed professional art therapist or licensed professional art therapist associate or use “LPAT” or “LPATA” or a title or letters that are substantially the same, or hold himself or herself out as having this status unless he or she is licensed by the board.
  2. No person shall engage in the practice of art therapy unless he or she is licensed under KRS 309.130 to 309.1399 .
  3. KRS 309.130 to 309.1399 shall not apply to persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes, including but not limited to physicians, physical therapists, occupational therapists, social workers, psychologists, and nurses, or students within accredited training programs of these professions. Nothing in KRS 309.130 to 309.1399 shall be construed to limit, interfere with, or restrict the practice, descriptions of services, or manner in which these persons hold themselves out to the public.
  4. Nothing in KRS 309.130 to 309.1399 shall be construed to alter, amend, or interfere with the practice of employment counseling, job placement counseling, or school counseling.
  5. Nothing in KRS 309.130 to 309.1399 shall be construed to apply to the activities and services of a student intern or trainee in art therapy who is pursuing a program of studies in art therapy at an accredited institution of higher learning if the activities are performed under the supervision of a licensed art therapist and constitute a part of the supervised program of study and if the person is designated as an art therapist intern or student in training.

History. Enact. Acts 1994, ch. 337, § 9, effective July 15, 1994; 2009, ch. 48, § 2, effective June 25, 2009; 2013, ch. 80, § 2, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.131. Kentucky Board of Licensure for Professional Art Therapists.

  1. There is hereby created the Kentucky Board of Licensure for Professional Art Therapists that shall be attached to the Department of Professional Licensing in the Public Protection Cabinet for administrative purposes. The board shall consist of five (5) members who are United States citizens and have been Kentucky residents for at least five (5) years prior to their appointment. The board membership shall be determined as follows:
    1. Four (4) members shall be professional art therapists who are licensed pursuant to KRS 309.133 , and shall have engaged in art therapy practice for at least five (5) years. These members shall not hold any elected or appointed office in any professional organization of art therapy or closely related field during their tenure on the board; and
    2. One (1) member shall represent the public. The public member shall not have been licensed or have practiced as a professional art therapist, nor have any significant financial interest, either direct or indirect, in the profession of art therapy.
  2. All members of the board shall be appointed by the Governor for staggered terms of four (4) years.
  3. The four (4) professional members shall be appointed from a list of eight (8) names submitted by the board of directors of the Kentucky Art Therapy Association, Inc., and the one (1) public member shall be a citizen at large. Each member shall hold office until a successor is appointed. Vacancies shall be filled in the same manner as original appointments. No board member shall serve more than two (2) consecutive terms.
  4. Each board candidate shall be licensed as an art therapist prior to nomination and shall be actively engaged in the practicing or teaching of art therapy, except for the one (1) public member.
  5. Members of the board shall receive no compensation, perquisite, or allowance.
  6. The board shall elect annually from its membership a chairman, secretary, and other officers as necessary to carry out its duties.
  7. The board shall meet at least two (2) times each year. Additional meetings may be called by the chairman, upon the written request of at least two (2) members of the board. A simple majority of the board members shall constitute a quorum of the board.

History. Enact. Acts 1994, ch. 337, § 2, effective July 15, 1994; 2009, ch. 48, § 3, effective June 25, 2009; 2010, ch. 24, § 1666, effective July 15, 2010; 2017 ch. 178, § 20, effective April 11, 2017.

Legislative Research Commission Note.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.1315. Duties of board.

The board shall:

  1. Promulgate administrative regulations necessary to carry out the provisions of KRS 309.130 to 309.1399 ;
  2. Select the examinations for licensure and administer the examinations at least annually;
  3. Establish the application deadline for and score required to pass the examinations;
  4. Process applications and conduct and review the required examinations;
  5. Issue licenses to applicants who meet the requirements of KRS 309.133 to 309.137 ;
  6. Deny, suspend, or revoke a license to practice art therapy;
  7. Censure, reprimand, or place a license holder or applicant on probation for a period not to exceed one (1) year;
  8. Maintain a current register of license holders as a matter of public record;
  9. Establish criteria for continuing education;
  10. Establish procedures for receiving, investigating, and resolving complaints against license holders;
  11. Conduct administrative hearings in accordance with KRS Chapter 13B for disciplinary actions taken under authority of subsections (6) and (7) of this section;
  12. Approve the level of supervision and experience required for persons seeking licensure;
  13. Assess fees for the issuance and renewal of licenses to cover administrative and operating expenses of the board, and authorize all disbursements necessary to carry out the provisions of KRS 309.130 to 309.1399 ;
  14. Implement an impaired professional art therapist treatment program;
  15. Establish a code of ethics for license holders;
  16. Establish requirements for supervision and qualifications of supervisors; and
  17. Establish conditions for inactive status and return to active status for license holders.

History. Enact. Acts 1994, ch. 337, § 3, effective July 15, 1994; 1996, ch. 318, § 249, effective July 15, 1996; 2009, ch. 48, § 4, effective June 25, 2009; 2013, ch. 80, § 3, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.133. Requirements for licensure — Licensure without examination — Reciprocity.

  1. The board shall issue a license as a licensed professional art therapist to any person who files a completed application, accompanied by the required fees, and who submits satisfactory evidence that the applicant is at least twenty-one (21) years of age, demonstrates professional competency by satisfactorily passing the required examination, is a registered art therapist as defined by the Art Therapy Credentials Board, Inc., is a board certified art therapist as defined by the Art Therapy Credentials Board, Inc., and has:
    1. Received a master’s degree or doctoral degree in art therapy that includes six hundred (600) hours of supervised internship experience from an accredited institution and has completed an additional one thousand (1,000) client contact hours of postgraduate experience under appropriate supervision; or
    2. Received a master’s degree or doctoral degree in a related field, has a minimum of twenty-one (21) semester hours of sequential course work in the history, theory, and practice of art therapy, has completed seven hundred (700) hours of supervised internship experience from an accredited institution, and has completed an additional two thousand (2,000) client contact hours of postgraduate experience under appropriate supervision.
  2. The board may approve on a case-by-case basis applicants who have a master’s degree or a doctoral degree from nonaccredited institutions.
  3. If an applicant has met all of the requirements for licensure except satisfactorily passing the required examination, the applicant shall be scheduled to take the next examination following the approval of the application.
  4. The board may issue a license to an applicant without examination if the person possesses a valid regulatory document issued by the appropriate examining board under the laws of any other state or territory of the United States, the District of Columbia, or any foreign nation that in the judgment of the board has requirements substantially equivalent to or exceeding the requirements in this section.
  5. The board may set criteria for continuing education and supervisory experience.

History. Enact. Acts 1994, ch. 337, § 4, effective July 15, 1994; 2009, ch. 48, § 5, effective June 25, 2009.

Legislative Research Commission Note.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.1335. Renewal of license — Continuing education experience requirement — Suspension — Reinstatement — Retirement notification.

  1. Each license holder shall renew the license to practice art therapy biennially by:
    1. Submitting a renewal application on a form provided by the board;
    2. Paying a license renewal fee; and
    3. Producing evidence of completion of relevant professional continuing education experience satisfactory to the board and not to exceed forty (40) hours per renewal cycle.
  2. A ninety (90) day grace period shall be allowed for each license holder after the licensure period, during which time the license may be renewed upon payment of the renewal fee, the late fee, and compliance with all renewal requirements.
  3. Any license granted by the board shall be automatically suspended if the holder fails to apply for the license renewal pursuant to this section within a period of three (3) months after the renewal deadline; however, any suspended license may be restored by the board upon payment of a reinstatement fee not to exceed one hundred dollars ($100) in addition to any unpaid renewal or late fees. Failure to renew a license within three (3) months from the date of suspension as provided in this section shall cause the license to be automatically revoked. Reinstatement of a revoked license shall require the license holder to reapply and meet all current standards for licensure.
  4. A person licensed under the provisions of KRS 309.133 who intends to retire as a licensed professional art therapist, or as a licensed professional art therapist associate, shall notify the board in writing before the expiration of his or her current license. If, within a period of five (5) years from the year of retirement, the license holder wishes to resume practice as a licensed professional art therapist, or as a licensed professional art therapist associate, he or she shall notify the board in writing, and upon giving proof of completing the required continuing education and the payment of an amount equivalent to elapsed renewal fees, and for the licensed professional art therapist associate, obtaining a board-approved supervisor of record, the license shall be restored in full effect.

History. Enact. Acts 1994, ch. 337, § 5, effective July 15, 1994; 2009, ch. 48, § 6, effective June 25, 2009; 2013, ch. 80, § 5, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.134. Licensure of professional art therapy associate — Education — Supervision — Terms of licensure — Advancement.

  1. The board may issue a license as a professional art therapist associate for a period of up to five (5) years to an applicant who has;
    1. Completed the educational requirements for registration with the Art Therapy Credentials Board, Inc.;
    2. Obtained a board-approved supervisor of record; and
    3. Paid the required fees.
  2. A licensed professional art therapist associate shall maintain on-going supervision as approved by the board until he or she:
    1. Is registered by the Art Therapy Credentials Board, Inc.; and
    2. Has passed an examination approved by the board.
  3. At the end of the five (5) year period approved under subsection (1) of this section, a licensed professional art therapist associate who has not completed the requirements for licensure as a professional art therapist shall submit to the board an application for an extension of licensure as a professional art therapy associate. The application shall include:
    1. A plan for completing the requirements to obtain licensure as a professional art therapist;
    2. Documentation of compliance with the continuing education requirements;
    3. Reports of compliance with supervisory requirements;
    4. Letters of recommendation from two (2) supervisors of record; and
    5. Payment of an extension fee not to exceed one hundred dollars ($100).
  4. Upon review of the application and accompanying documentation, the board may approve an extension of the license as a professional art therapist for a period of time not to exceed two (2) years.
  5. If, at the end of the period of extension referenced in subsection (4) of this section, the applicant has not completed all requirements for licensure as a professional art therapist, the board shall rescind the license as a professional art therapist associate and the individual may no longer practice art therapy, or refer to himself or herself by any title which would indicate that he or she is credentialed by the board.
  6. A licensed professional art therapist associate may apply for the credential of licensed professional art therapist upon:
    1. Registration with the Art Therapy Credentials Board, Inc.; and
    2. Passage of an examination approved by the board.
  7. An individual who is a registered art therapist as defined by the Art Therapy Credentials Board, Inc., but who has not passed the required examination, shall:
    1. Maintain the professional art therapist associate license in order to practice under board-approved supervision; and
    2. Be scheduled to take the next examination following the approval of the professional art therapist license application.
  8. A professional art therapist associate shall not supervise licensed professional art therapists, licensed professional art therapist associates, or applicants for these licenses.

History. Enact. Acts 2013, ch. 80, § 4, effective June 25, 2013.

309.135. Fees.

The board shall set the amount of the fees required to be paid by the applicants for licensure and the license holders including, but not limited to, the following:

  1. For an application for initial licensure as a licensed professional art therapist, the fee shall be nonrefundable and shall not exceed two hundred dollars ($200);
  2. For an application for initial licensure as a licensed professional art therapist associate, the fee shall be nonrefundable and shall not exceed one hundred dollars ($100);
  3. To take an examination, the fee shall not exceed one hundred dollars ($100), or, if a national examination is used, the amount of the fee shall not exceed the cost of the examination by more than twenty-five percent (25%);
  4. The renewal fee for a licensed professional art therapist shall not exceed two hundred dollars ($200);
  5. The renewal fee for a licensed professional art therapist associate shall not exceed one hundred dollars ($100);
  6. For a duplicate or replacement license, the fee shall not exceed twenty-five dollars ($25);
  7. For failure to renew a license for a licensed professional art therapist within the allotted grace period pursuant to KRS 309.1335(3), the fee shall not exceed one hundred dollars ($100);
  8. For failure to renew a license for a licensed professional art therapist associate within the allotted grace period pursuant to KRS 309.1335 , the fee shall not exceed fifty dollars ($50); and
  9. Other reasonable fees for administrative services.

History. Enact. Acts 1994, ch. 337, § 6, effective July 15, 1994; 2009, ch. 48, § 7, effective June 25, 2009; 2013, ch. 80, § 6, effective June 25, 2013.

Legislative Research Commission Notes.

(6/25/2009). 2009 Ky. Acts ch. 48, sec. 12, provides: “Any person who is certified as a professional art therapist on the effective date of this Act [6/25/2009] shall automatically be licensed on the effective date of this Act [6/25/2009] and shall be issued a copy of the license at the time his or her certificate was next scheduled to be renewed if at that time the person complies with the provisions of Section 6 of this Act [KRS 309.1335 ] and has not been the subject of disciplinary action under Sections 8 [KRS 309.137 ] and 10 [KRS 309.137 5] of this Act.”

309.137. Disciplinary action.

  1. The board may refuse to issue a license or may deny any application, or suspend, or revoke, impose probationary conditions upon, issue a written reprimand or admonishment, or perform any combination thereof regarding any license held or applied for under the provisions of KRS 309.133 if the person:
    1. Is found guilty of fraud, deceit, or misrepresentation in procuring or renewing or attempting to procure or renew a license to practice art therapy;
    2. Committed any unfair, false, misleading, or deceptive act or practice;
    3. Has been negligent in the practice of art therapy;
    4. Is adjudicated mentally incompetent;
    5. Is found guilty of a crime as defined in KRS 335B.010 involving sexual misconduct or where dishonesty is a necessary element, if in accordance with KRS Chapter 335B. Conviction includes all instances in which a plea of no contest is the basis of the conviction;
    6. Is found guilty of unprofessional or unethical conduct in this or any other jurisdiction;
    7. Has been using any controlled substance or alcoholic beverage to an extent or in a manner dangerous to the person, any other person, or the public, or to an extent that the use impairs the ability to perform as a licensed professional art therapist;
    8. Has violated any provision of KRS 309.130 to 309.1399 or administrative regulations promulgated thereunder;
    9. Failed to comply with an order issued by the board or an assurance of voluntary compliance; or
    10. Willfully or negligently divulges a professional confidence.
  2. A certified copy of the record of conviction shall be conclusive evidence of the conviction.
  3. Disciplinary proceedings may be initiated upon the receipt by the board of a sworn complaint by any person, including members of the board.
  4. Two (2) years from the date of revocation, any person whose license has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the licensee if the board finds that the individual has complied with any terms prescribed by the board and is able to competently engage in the practice of art therapy.
  5. If, after an investigation that includes an opportunity for the licensee to respond, the board determines that a violation took place but was not of a serious nature, it may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the permanent file of the licensee. The licensee shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have the response placed in the permanent licensure file. The licensee may alternatively, within thirty (30) days of the receipt, file a request for a hearing with the board. Upon receipt of this request, the board shall set aside the written admonishment and set the matter for a hearing under KRS Chapter 13B.
  6. The surrender of a license shall not deprive the board of its jurisdiction to proceed with disciplinary actions authorized under KRS 309.130 to 309.1399 .

HISTORY: Enact. Acts 1994, ch. 337, § 7, effective July 15, 1994; 2009, ch. 48, § 8, effective June 25, 2009; 2017 ch. 158, § 42, effective June 29, 2017.

309.1375. Administrative hearings concerning disciplinary actions.

  1. Before denying, revoking, suspending, imposing probationary or supervisory conditions upon a license, issuing a written reprimand, or doing any combination of those regarding any licensee or applicant under KRS 309.130 to 309.1399 , the board shall set the matter for hearing as provided by KRS Chapter 13B.
  2. After revoking, suspending, imposing probationary or supervisory conditions upon a license, issuing a written reprimand, or doing any combination of those regarding a licensee or applicant, the board shall set the matter for a hearing upon the written request of the applicant or licensee within thirty (30) days of the applicant’s or licensee’s receipt of the letter advising him or her of the denial, refusal, admonishment, revocation, suspension, or other disciplinary action taken.
  3. Any party aggrieved by a final order of the board may appeal to the Circuit Court of the county where the alleged violation occurred as provided by KRS Chapter 13B.

History. Enact. Acts 2009, ch. 48, § 10, effective June 25, 2009.

309.138. Licensed professional art therapy practice board fund.

There is hereby created in the State Treasury the licensed professional art therapy practice board fund. All funds received by the board under the provisions of KRS 309.133 to 309.137 shall be deposited with the State Treasurer for credit to the licensed professional art therapy board fund. The State Treasurer shall invest the fund as all other state funds are invested and income from investment of the fund shall be credited to the fund. The balance remaining in the fund at the end of any fiscal year shall not revert to the general fund. The money in the licensed professional art therapy board fund shall be appropriated to the board and shall be used for the purpose of carrying out the provisions of KRS 309.130 to 309.1399 .

History. Enact. Acts 1994, ch. 337, § 8, effective July 15, 1994; 2009, ch. 48, § 9, effective June 25, 2009.

309.1399. Penalty.

Any person who violates or aids in the violation of the provisions of KRS 309.130 to 309.1399 shall upon conviction be fined not less than five hundred dollars ($500) nor more than one thousand dollars ($1,000).

History. Enact. Acts 1994, ch. 337, § 10, effective July 15, 1994; 2009, ch. 48, § 11, effective June 25, 2009.

Interpretation for the Deaf and Hard of Hearing

309.300. Definitions for KRS 309.300 to 309.319.

As used in KRS 309.300 to 309.319 , unless the context otherwise requires:

  1. “Board” means Kentucky Board of Interpreters for the Deaf and Hard of Hearing.
  2. “Committee” means Kentucky Board of Interpreters for the Deaf and Hard of Hearing Policy Committee.
  3. “Consumer” means a person who is deaf, hard of hearing, or who requires special communication techniques in order to communicate.
  4. “Interpreter” means a person who engages in the practice of interpreting.
  5. “Interpreting” means the translating or transliterating of English concepts to any necessary specialized vocabulary used by a consumer or the translating of a consumer’s specialized vocabulary to English concepts. Necessary specialized vocabularies include, but are not limited to, American Sign Language, English-based sign language, cued speech, and oral interpreting.
  6. “Nationally recognized certification” means certification granted by a national organization that is based on a skills assessment of the applicant. These organizations include, but are not limited to, the Registry of Interpreters for the Deaf, the National Association of the Deaf, and the National Training, Evaluation, and Certification Unit.

History. Enact. Acts 1998, ch. 11, § 1, effective July 15, 1998.

309.301. Licensing for interpreters required — Exceptions.

  1. Effective July 1, 2003, no person shall represent himself or herself as an interpreter or engage in the practice of interpreting as defined in KRS 309.300 unless he or she is licensed in accordance with the provisions of KRS 309.300 to 309.319 .
  2. The provisions of KRS 309.300 to 309.319 shall not apply to:
    1. Nonresident interpreters working in the Commonwealth less than twenty (20) days per year;
    2. Interpreters working at religious activities;
    3. Interpreters working as volunteers without compensation. However, all volunteers interpreting for state agencies must be eligible for licensure as described in KRS 309.312 ;
    4. Interpreters working in an emergency. An emergency is a situation where the consumer decides that the delay necessary to obtain a licensed interpreter is likely to cause injury or loss to the consumer; or
    5. The activities and services of an interpreter intern or a student in training who is:
      1. Enrolled in a program of study in interpreting at an accredited institution of higher learning;
      2. Interpreting under the supervision of a licensed interpreter as part of a supervised program of study; and
      3. Identified as an interpreter intern or student in training.

History. Enact. Acts 1998, ch. 11, § 2, effective July 15, 1998.

309.302. Kentucky Board of Interpreters for the Deaf and Hard of Hearing.

  1. There is hereby created a board to be known as the “Kentucky Board of Interpreters for the Deaf and Hard of Hearing.”
  2. The board shall consist of seven (7) members appointed by the Governor as follows:
    1. Five (5) practicing interpreters who hold current nationally recognized certification and have at least five (5) years interpreting experience;
    2. One (1) deaf interpreter with past or current nationally recognized certification; and
    3. One (1) consumer with knowledge about interpreter issues.
  3. After the initial term of each appointment, all members shall be appointed for a term of four (4) years.
  4. Board members shall not be allowed to succeed themselves but a former member may be reappointed to the board if that member has not served in the preceding four (4) years.
  5. The members of the board shall receive no compensation for their services on the board, but they shall be reimbursed for actual and necessary expenses incurred in the performance of their official duties.
  6. The board shall annually elect a chairman, a vice chairman, and a secretary-treasurer from the members of the board.
  7. The board shall hold at least one (1) meeting annually and additional meetings as the board may deem necessary. The additional meetings may be held upon call of the chairman or upon written request of a quorum. Four (4) members of the board shall constitute a quorum to conduct business.
  8. Upon recommendation of the board, the Governor may remove any member of the board for neglect of duty or malfeasance in office.

History. Enact. Acts 1998, ch. 11, § 3, effective July 15, 1998.

309.304. Powers and duties of board — Administrative regulations.

  1. The board shall administer and enforce the provisions of this chapter and shall have the responsibility of evaluating the qualifications of applicants for licensure and the issuance of licenses.
  2. The board may issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provisions of this chapter.
  3. The board shall promulgate necessary and reasonable administrative regulations in accordance with KRS Chapter 13A and this chapter to effectively carry out and enforce the provisions of KRS 309.300 to 309.319 , including regulations to establish authorized fees. Fees shall not exceed amounts necessary to generate sufficient funds to effectively carry out and enforce the provisions of KRS 309.300 to 309.319 .
  4. The board may conduct hearings in accordance with KRS Chapter 13B and keep records and minutes necessary to carry out the functions of KRS 309.300 to 309.319 .
  5. The board may renew licenses and require continuing education as a condition for renewal.
  6. The board may suspend or revoke licenses, or impose supervisory or probationary conditions upon licensees, or impose administrative disciplinary fines, issue written reprimands, or any combination thereof.
  7. The board may seek injunctive relief in Franklin Circuit Court to stop the unlawful practice of interpreting by unlicensed persons.
  8. The board may employ any persons it deems necessary to carry on the work of the board, and shall define their duties and fix their compensation.
  9. Beginning in 1999, on October 1 of each year, the board shall submit a report to the Legislative Research Commission indicating:
    1. The current number of licensed interpreters; and
    2. The number of complaints received against interpreters and any disciplinary action taken within the previous calendar year.

History. Enact. Acts 1998, ch. 11, § 4, effective July 15, 1998.

309.306. Fees credited to revolving fund.

  1. All fees and other moneys received by the board under the provisions of KRS 309.300 to 309.319 shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board.
  2. No part of this revolving fund shall revert to the general fund of this Commonwealth.
  3. This revolving fund shall pay for the reimbursement of board members for actual and necessary expenses incurred in the performance of their official duties, the compensation of all of the employees of the board, and those operational expenses incurred in fulfilling the board’s duties as described in administrative regulation.

History. Enact. Acts 1998, ch. 11, § 5, effective July 15, 1998.

309.308. Kentucky Board of Interpreters for the Deaf and Hard of Hearing Policy Committee.

  1. There is hereby created a committee to be known as the “Kentucky Board of Interpreters for the Deaf and Hard of Hearing Policy Committee.”
  2. The committee shall consist of ten (10) members as follows:
    1. The president or a designee of:
      1. Kentucky Association of the Deaf; and
      2. Kentucky Registry of Interpreters for the Deaf;
    2. A representative from:
      1. Kentucky Commission on the Deaf and Hard of Hearing (KCDHH);
      2. Eastern Kentucky University Interpreter Training Program;
      3. Kentucky Department of Education;
      4. Kentucky Office of Vocational Rehabilitation;
      5. Kentucky School for the Deaf; and
      6. Cabinet for Health and Family Services; and
    3. Two (2) members at large, who are consumers, appointed by the board.
  3. The members of the committee shall receive no compensation for their services on the committee. The member from the Kentucky Association of the Deaf, the member from the Kentucky Registry of Interpreters for the Deaf, and the at-large members shall be reimbursed for actual and necessary expenses incurred in the performance of their committee duties.

History. Enact. Acts 1998, ch. 11, § 6, effective July 15, 1998; 2005, ch. 99, § 65, effective June 20, 2005; 2006, ch. 211, § 129, effective July 12, 2006.

309.310. Duties of policy committee.

  1. The committee shall provide ongoing advice and input to the board regarding the criteria for licensure and the ratio between consumer demand and the existing supply of licensed interpreters or those eligible for licensure.
  2. The committee shall make recommendations to the board regarding the content of relevant administrative regulations.
  3. The committee shall provide ongoing review of professional development and support systems for interpreters including existing public and private education programs and training resources within the Commonwealth.

History. Enact. Acts 1998, ch. 11, § 7, effective July 15, 1998.

309.312. Eligibility for license and temporary license.

  1. To be eligible for licensure by the board as an interpreter, the applicant shall submit an application which includes:
    1. An application fee; and
    2. 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 and promulgated by administrative regulation.
  2. The board shall issue an interpreter license to an applicant who fulfills these requirements. The front of the license shall clearly list all certifications held by the licensee.
  3. The board may issue a temporary license as an interpreter to an applicant who is certified at a level below that required for licensure in subsection (1) of this section. A temporary license shall be available for a person who is training under the supervision of a licensed interpreter under circumstances defined by the board in administrative regulation. A temporary license is valid for only a certain period until the licensee achieves the minimum level of certification required for licensure under subsection (1) of this section. A temporary license is not renewable although extensions may be granted under circumstances defined by administrative regulation.
    1. For graduates of a baccalaureate interpreter training program, a temporary license shall be valid for up to one (1) year.
    2. For graduates of an associate of arts interpreter training program, a temporary license shall be valid for up to two (2) years.
    3. For nondegree applicants, a temporary license shall be valid for up to two (2) years.
  4. Upon payment of the application fee, the board shall grant licensure to an applicant holding a valid license, certificate, or equivalent issued by another state if it is based upon standards equivalent to or exceeding the standards required by KRS 309.300 to 309.319 .

History. Enact. Acts 1998, ch. 11, § 8, effective July 15, 1998.

309.314. Renewal and reinstatement of license — Continuing education.

  1. Each person licensed as an interpreter shall annually, on or before July 1, submit to the board current proof of nationally recognized certification and pay a fee for the renewal of the interpreter license. The amount of the fee shall be promulgated by administrative regulation of the board. All licenses not renewed by July 1 of each year shall expire.
  2. A sixty (60) day grace period shall be allowed after July 1, during which time individuals may continue to practice and may renew their licenses upon payment of the renewal fee plus a late renewal fee as promulgated by administrative regulation of the board.
  3. All licenses not renewed by August 31 shall terminate based on the failure of the individual to renew in a timely manner. Upon termination, the licensee is no longer eligible to practice in the Commonwealth.
  4. After the sixty (60) day grace period, but before five (5) years from the date of termination, individuals with a terminated license may have their licenses reinstated upon payment of the renewal fee plus a reinstatement fee as promulgated by administrative regulation of the board.
  5. A suspended license is subject to expiration and termination and may be renewed as provided in KRS 309.300 to 309.319 . Renewal shall not entitle the licensee to engage in the practice of interpreting until the suspension has ended or is otherwise removed by the board and the right to practice is restored by the board.
  6. A revoked license is subject to expiration and termination but shall not be renewed. If it is reinstated, the licensee shall pay the reinstatement fee as set forth in subsection (4) of this section and the renewal fee as set forth in subsection (1) of this section.
  7. The board may require that a person applying for renewal or reinstatement of licensure show evidence of completion of continuing education as prescribed by the board by administrative regulation.

History. Enact. Acts 1998, ch. 11, § 9, effective July 15, 1998.

309.316. Classification of offenses — Investigation of wrongdoing — Hearing — Sanctions — Hearing for denial of application.

  1. The board shall by administrative regulation classify types of offenses and the recommended administrative action. The type of action to be taken shall be based on the nature, severity, and frequency of the offense. Administrative action authorized in this section shall be in addition to any criminal penalties provided in KRS 309.300 to 309.319 or under other provisions of law.
  2. The board may investigate allegations of wrongdoing upon complaint or upon its own volition. The board shall establish procedures for receiving and investigating complaints by administrative regulation.
  3. If the board’s investigation reveals evidence supporting the complaint, the board shall set the matter for hearing in accordance with the provisions of KRS Chapter 13B before suspending, revoking, imposing probationary or supervisory conditions or an administrative fine, issuing a written reprimand, or any combination of actions regarding any license under the provisions of this chapter.
  4. If, after an investigation that includes opportunity for the licensee to respond, the board determines that a violation took place but was not of a serious nature, it may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the permanent file of the licensee. The licensee shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have the response placed in the permanent licensure file. The licensee may alternatively, within thirty (30) days of the receipt, file 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 under the provisions of KRS Chapter 13B.
  5. After denying an application under the provisions of KRS 309.300 to 309.319 , the board may grant a hearing to the denied applicant in accordance with the provisions of KRS Chapter 13B.

History. Enact. Acts 1998, ch. 11, § 10, effective July 15, 1998.

309.318. Board’s disciplinary powers — Reasons for sanctions — Appeal to Franklin Circuit Court.

  1. The board may refuse to issue a license or suspend, revoke, impose probationary conditions upon, impose an administrative fine, issue a written reprimand, or any combination thereof regarding any licensee upon proof that the licensee has:
    1. Been convicted of a crime as described in KRS 335B.010(4) that directly relates to the occupation of interpreter, if in accordance with KRS Chapter 335B. A plea of “no contest” may be treated as a conviction for purposes of disciplinary action;
    2. Knowingly misrepresented or concealed a material fact in obtaining a license or in reinstatement thereof;
    3. Committed any fraudulent act or practice;
    4. Been incompetent or negligent in the practice of interpreting;
    5. Violated any state statute or administrative regulation governing the practice of interpreting;
    6. Violated the code of ethics of the national organization issuing the licensee’s certification as incorporated in administrative regulation; or
    7. Violated any federal or state law considered by the board to be applicable to the practice of interpreting.
  2. When the board issues a written reprimand to the licensee, a copy of the reprimand shall be placed in the permanent file of the licensee. The licensee shall have the right to submit a response within thirty (30) days of its receipt and to have that response filed in the permanent file.
  3. At any time during the investigative or hearing processes, the board may accept an assurance of voluntary compliance from the licensee which effectively deals with the complaint.
  4. The board may reconsider, modify, or reverse its probation, suspensions, or other disciplinary action.
  5. Five (5) years from the date of a revocation, any person whose license has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the license upon a finding that the individual has complied with any terms prescribed by the board and is again able to competently engage in the practice of interpreting.
  6. Any party aggrieved by a disciplinary action of the board may bring an action in Franklin Circuit Court in accordance with the provisions of KRS Chapter 13B.

HISTORY: Enact. Acts 1998, ch. 11, § 11, effective July 15, 1998; 2017 ch. 158, § 43, effective June 29, 2017.

309.319. Penalty.

Any person who shall violate or aid in the violation of any of the provisions of KRS 309.301 shall be guilty of a Class B misdemeanor.

History. Enact. Acts 1998, ch. 11, § 12, effective July 15, 1998.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Licensed Diabetes Educators

309.325. Definitions for KRS 309.325 to 309.339.

As used in KRS 309.325 to 309.339 , unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Licensed Diabetes Educators;
  2. “Diabetes education” means a comprehensive collaborative process through which people with or at risk for diabetes gain the knowledge and skills needed to modify behavior and successfully self-manage the disease and its related conditions;
  3. “Licensed diabetes educator” means a health care professional who has met the requirements of KRS 309.335 , 309.337 , and 309.339 and who focuses on training or educating people with or at risk for diabetes and related conditions to change their behavior to achieve better clinical outcomes and improved health status. The nondiabetes educator health professional and the nonhealth-care professional who provide or support health care services to individuals with diabetes as defined by the American Association of Diabetes Educators, Competencies for Diabetes Educators, shall work under the direction of a qualified diabetes care provider;
  4. “Practice of diabetes education” means assessing and developing a plan of care for a person with or at risk of diabetes, identifying self-management goals for the person, providing self-management training according to the plan, evaluating the individual’s outcome and recording a complete record of the individual’s experience and follow-ups;
  5. “Apprentice diabetes educator” means a person who holds a permit issued by the board to practice diabetes education who meets the requirements of KRS 309.334 and the corresponding administrative regulations promulgated by the board; and
  6. “Master licensed diabetes educator” means a licensed diabetes educator who has successfully completed the credentialing program of the American Association of Diabetes Educators or the National Certification Board for Diabetes Educators as a certified diabetes educator or a board-certified advanced diabetes manager.

History. Enact. Acts 2011, ch. 87, § 1, effective June 8, 2011; 2012, ch. 142, § 1, effective July 12, 2012; 2013, ch. 118, § 1, effective June 25, 2013.

309.327. Use of titles — Application and construction of KRS 309.325 to 309.339.

  1. A person shall use the title “master licensed diabetes educator,” “licensed diabetes educator,” or “apprentice diabetes educator” or hold himself or herself out as a “master licensed diabetes educator,” “licensed diabetes educator,” or “apprentice diabetes educator” or a title substantially similar, or engage in the practice of diabetes education, display a sign or in any other way advertise or present himself or herself as a person who practices diabetes education only if he or she holds a current, unsuspended and unrevoked license or permit issued by the board pursuant to KRS 309.325 to 309.339 .
  2. Nothing in KRS 309.325 to 309.339 shall apply to persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes, including but not limited to physicians, nurses, pharmacists, dietitians, and nutritionists or students in accredited training programs in those professions, and nothing in KRS 309.325 to 309.339 shall be construed to limit, interfere with, or restrict the practice, descriptions of services, or manner in which they hold themselves out to the public.
  3. Nothing in KRS 309.325 to 309.339 shall be construed to alter, amend, or interfere with the practice of those who provide health care services, including but not limited to physicians, nurses, pharmacists, dietitians, and nutritionists.
  4. Nothing in KRS 309.325 to 309.339 shall apply to activities and services of an accredited institution of higher education as part of a program of studies.

History. Enact. Acts 2011, ch. 87, § 2, effective June 8, 2011; 2012, ch. 142, § 2, effective July 12, 2012; 2013, ch. 118, § 4, effective July 1, 2014.

309.328. Penalty for violation of KRS 309.327(1).

Any person who violates KRS 309.327(1) shall be guilty of a Class A misdemeanor.

History. Enact. Acts 2012, ch. 142, § 3, effective July 12, 2012.

309.329. Kentucky Board of Licensed Diabetes Educators.

  1. There is hereby created the Kentucky Board of Licensed Diabetes Educators consisting of five (5) members who shall be appointed by the Governor as follows:
    1. One (1) member shall be a licensed medical physician with experience in the delivery of diabetes education appointed from a list of three (3) names submitted by the State Board of Medical Licensure;
    2. One (1) member shall be a registered nurse with experience in diabetes education appointed from a list of three (3) names submitted by the Kentucky Board of Nursing;
    3. One (1) member shall be a pharmacist experienced in diabetes education, licensed under KRS Chapter 315, and appointed from a list of three (3) names submitted by the Kentucky Board of Pharmacy;
    4. One (1) member shall be a licensed dietitian or certified nutritionist with experience in diabetes education appointed from a list of three (3) names submitted by the Kentucky Board of Licensure and Certification for Dietitians and Nutritionists; and
    5. One (1) member shall be a citizen at large who is not employed in the health care field.

      One (1) of the members appointed under paragraph (b), (c), or (d) of this subsection shall have completed either the credentialing program of the American Association of Diabetes Educators or the National Certification Board for Diabetes Educators.

    1. The Governor shall initially appoint one (1) member and the citizen at large to terms of four (4) years, two (2) members to terms of three (3) years, and one (1) member to a term of two (2) years. (2) (a) The Governor shall initially appoint one (1) member and the citizen at large to terms of four (4) years, two (2) members to terms of three (3) years, and one (1) member to a term of two (2) years.
    2. All reappointments to the board shall be for terms of four (4) years.
    3. No member shall serve more than two (2) consecutive terms and shall serve on the board until his or her successor is appointed.
  2. The board shall organize annually and elect one (1) of its members as chair and one (1) of its members as secretary. A quorum of the board shall consist of three (3) members. The board shall meet at least semiannually and upon the call of the chair, or at the request of two (2) or more members to the secretary of the board.
  3. The board shall be placed for administrative purposes under the Department of Professional Licensing of the Public Protection Cabinet.

History. Enact. Acts 2011, ch. 87, § 3, effective June 8, 2011; 2017 ch. 178, § 21, effective April 11, 2017.

309.331. Duties of board.

The board shall:

  1. Promulgate administrative regulations in accordance with KRS Chapter 13A to carry out and enforce KRS 309.325 to 309.339 , including creating a code of ethics, standards of practice, and continuing education requirements for licensed diabetes educators, based upon policies and positions adopted by the American Association of Diabetes Educators;
  2. Issue initial licenses and license renewals to individuals. A license shall not be issued to a partnership, unincorporated association, corporation, or similar business organization;
  3. Investigate alleged violations brought to its attention, conduct investigations, and schedule and conduct administrative hearings in accordance with KRS Chapter 13B to enforce KRS 309.325 to 309.339 and administrative regulations promulgated pursuant to KRS 309.325 to 309.339 . In conducting investigations, the board is authorized to:
    1. Administer oaths;
    2. Receive evidence;
    3. Interview persons;
    4. Require the production of books, papers, documents, or other evidence; and
    5. Institute civil and criminal proceedings against violators of KRS 309.325 to 309.339. The Attorney General, Commonwealth’s attorneys, and county attorneys shall assist the board in prosecuting violations of KRS 309.325 to 309.339;
  4. Keep a record of its proceedings and a register of all persons licensed as diabetes educators, including the name of the licensee, the license number, date of issue, and last known place of business. The list shall be available to anyone upon request and payment of a fee not to exceed the cost of the publication;
  5. Collect or receive all moneys owed pursuant to KRS 309.333 , 309.335 , and 309.339 and deposit all moneys into the fund established by KRS 309.333 ; and
  6. Reimburse members of the board for actual travel expenses incurred for attending the meetings of the board.

History. Enact. Acts 2011, ch. 87, § 4, effective June 8, 2011.

309.333. Revolving fund.

  1. All licensing amounts and other moneys received by the board pursuant to the provisions of this section and KRS 309.335 and 309.339 shall be deposited in the State Treasury to the credit of a revolving fund which is hereby established. Amounts in the fund shall be used for the purposes set forth in KRS 309.325 to 309.339 .
  2. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse but shall be carried forward to the next fiscal year to be used for the purposes established by the board.
  3. Any interest earnings of the fund shall become part of the fund and shall not lapse.
  4. The expenses of the board shall be paid from this revolving fund.
  5. Moneys deposited in the fund shall be used and are hereby appropriated for the purposes specified in KRS 309.325 to 309.339 .

History. Enact. Acts 2011, ch. 87, § 5, effective June 8, 2011.

309.334. Apprentice diabetes educator — Administrative regulations.

  1. An applicant for a permit as an apprentice diabetes educator shall:
    1. File a written application on forms provided by the board in order to practice and earn the experience required for a type of license application;
    2. Engage in the practice of diabetes education while receiving qualifying experience with a board-approved supervisor who shall assume responsibility for and supervise the apprentice diabetes educator’s practice;
    3. Not practice diabetes education until a supervisor has been approved by the board;
    4. Cease the practice of diabetes education immediately upon the supervisor’s inability or unwillingness to act as the supervisor; and
    5. Upon gaining the required supervision hours and completing a board-approved diabetes educator course, apply for licensure as a licensed diabetes educator.
  2. The board shall promulgate administrative regulations to do the following, including but not limited to:
    1. Establish the duties of the apprentice diabetes educator supervisor;
    2. Establish fees; and
    3. Establish additional requirements for an apprentice diabetes educator permit as the board determines are necessary.

History. Enact. Acts 2013, ch. 118, § 2, effective June 25, 2013.

309.335. Diabetes educator license — Requirements — Renewal — Issuance of license before July 1, 2014 — Application for licensure before May 1, 2014.

  1. An applicant for licensure as a diabetes educator shall:
    1. File a written application on forms provided by the board;
    2. Provide evidence to the board showing successful completion of one (1) of the following:
      1. A board-approved course in diabetes education with demonstrable experience in the care of people with diabetes under supervision that meets requirements specified in administrative regulations promulgated by the board;
      2. The credentialing program of the American Association of Diabetes Educators or the National Certification Board for Diabetes Educators; or
      3. An equivalent credentialing program as determined by the board; and
    3. Pay licensing amounts as promulgated by the board through administrative regulation, with the following restrictions:
      1. Initial licensing shall not exceed one hundred dollars ($100);
      2. Annual renewal shall not exceed one hundred dollars ($100);
      3. Biennial renewal shall not exceed two hundred dollars ($200);
      4. Late renewal shall not exceed one hundred fifty dollars ($150); and
      5. The reinstatement fee shall not exceed two hundred twenty-five dollars ($225).
    1. Licenses or permits shall be renewed annually or biennially if the board requires biennial license renewal by administrative regulation. (2) (a) Licenses or permits shall be renewed annually or biennially if the board requires biennial license renewal by administrative regulation.
    2. Licenses or permits not renewed within thirty (30) days after the renewal date shall pay a late penalty as promulgated by the board in administrative regulation.
    3. Licenses or permits not renewed within ninety (90) days of the renewal date shall lapse and may only be reinstated with payment of a reinstatement fee and initial licensing amount as promulgated by the board in administrative regulation.
    4. An apprentice diabetes educator shall not carry a permit for more than five (5) years without becoming licensed.
  2. Notwithstanding subsections (1) and (2) of this section, prior to July 1, 2014, a person who the board finds to have successfully achieved a core body of knowledge and skills in the biological and social sciences, communication, counseling, and education, by training or instruction, as well as experience in the care of people with diabetes under supervision that meets the requirements specified in administrative regulations promulgated by the board, may be issued an initial license by the board upon payment of an initial licensing fee, completion of a written application on forms provided by the board, and submission of any other information requested by the board.
  3. Until May 1, 2014, notwithstanding subsection (1) of this section, individuals who have practiced diabetes education for a minimum of one thousand (1,000) hours per year for the past three (3) years, but are not currently credentialed by the American Association of Diabetes Educators as a board-certified advanced diabetes manager or by the National Certification Board for Diabetes Educators as a certified diabetes educator, may apply to the board for licensure as a diabetes educator by submitting the initial licensure fee and proof of employment, in order to continue to practice diabetes education, as defined by KRS 309.325(2).

History. Enact. Acts 2011, ch. 87, § 6, effective June 8, 2011; 2013, ch. 118, § 5, effective June 25, 2013.

Legislative Research Commission Note.

(6/8/2011). Under the authority of KRS 7.136(1), the Reviser of Statutes has changed the internal numbering of this statute from the way it appeared in 2011 Ky. Acts ch. 87, sec. 6, in order to correct a manifest clerical or typographical error. An internal reference was also changed to correspond to the new numbering system, but the words in the text were not changed.

309.336. Master licensed diabetes educator — Administrative regulations.

  1. An applicant for licensure as a master licensed diabetes educator shall:
    1. File a written application on forms provided by the board; and
    2. Provide proof of completion of the credentialing program of the American Association of Diabetes Educators or the National Certification Board for Diabetes Educators as a certified advanced diabetes manager or a certified diabetes educator.
  2. The board shall promulgate administrative regulations to do the following, including but not limited to:
    1. Establish a fee for licensure; and
    2. Establish additional requirements for a master licensed diabetes educator as the board determines are necessary.

History. Enact. Acts 2013, ch. 118, § 3, effective June 25, 2013.

309.337. Continuing education requirements.

  1. When renewing a license, each licensee shall provide to the board documentation of the successful completion of fifteen (15) hours of board-approved continuing education credits. A maximum of fifteen (15) additional hours may be carried over into the next renewal period.
  2. Waivers or extensions of continuing education may be approved at the discretion of the board.

History. Enact. Acts 2011, ch. 87, § 7, effective June 8, 2011.

309.339. Grounds for refusal to issue or renew a license, suspension or revocation of a license, administrative reprimand, probation, or fine — Hearing.

  1. The board may deny or refuse to renew a license, may suspend or revoke a license, may issue an administrative reprimand, or may impose probationary conditions or fines not to exceed five hundred dollars ($500) when the licensee has engaged in unprofessional conduct that has endangered or is likely to endanger the health, welfare, or safety of the public. Unprofessional conduct shall include the following:
    1. Obtaining or attempting to obtain a license by fraud, misrepresentation, concealment of material facts, or making a false statement to the board;
    2. Being convicted of a felony in any court if any act for which the licensee or applicant for license was convicted is determined by the board to have a direct bearing on whether the person is trustworthy to serve the public as a licensed diabetes educator, if in accordance with KRS Chapter 335B. “Conviction,” as used in this paragraph, shall include a finding or verdict of guilty, an admission of guilt, or a plea of nolo contendere in a court of law;
    3. Violating any lawful order or administrative regulation promulgated by the board;
    4. Violating any provision of KRS 309.325 to 309.339 or administrative regulation promulgated by the board;
    5. Evidence of gross negligence or gross incompetence in the practice of diabetes education; and
    6. Violating the standards of practice or the code of ethics as promulgated by administrative regulations.
  2. All administrative hearings for the disciplinary action against a license or certificate holder shall be conducted in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 2011, ch. 87, § 8, effective June 8, 2011; 2017 ch. 158, § 44, effective June 29, 2017.

Massage Therapy

309.350. Definitions for KRS 309.350 to 309.364.

As used in KRS 309.350 to 309.364 unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Licensure for Massage Therapy;
  2. “Board-approved massage program” means one which meets minimum standards for training and curriculum as determined by the board;
  3. “Compensation” means the direct or indirect payment, loan, advance, donation, contribution, deposit, barter, gratuity, or gift of money or anything of value;
  4. “Feldenkrais Method” means a system of somatic education in which touch and words are used to eliminate faulty habits, learn new patterns of self-organization and action, and improve a person’s own functional movement patterns. The method is based on principles of physics, biomechanics and an understanding of, or learning about, human development. The practice is federally trademarked and requires permission from the Feldenkrais Guild to use the term and methodology;
  5. “Massage therapist” means a person who is licensed by the board to administer massage or massage therapy to the public for compensation;
  6. “Polarity therapy” means diverse applications affecting the human energy system. These applications include energetic approaches to somatic contact, verbal facilitation, nutrition, exercise, and health education. Polarity therapy does not make medical claims, diagnose physical ailments, or allow prescription of medications. Standards for schools, education, and practice, the administration of a code of ethics, and a registration process are provided by the American Polarity Therapy Association. The practice of polarity therapy is federally trademarked;
  7. “Practice of massage therapy” means the application, by a massage therapist licensed by the board, of a system of structured touch, pressure, movement, and holding to the soft tissues of the human body with the intent to enhance or restore the health and well-being of the client. The practice includes the external application of water, heat, cold, lubricants, salt scrubs, or other topical preparations; use of electromechanical devices that mimic or enhance the actions of the hands; and determination of whether massage therapy is appropriate or contraindicated, or whether referral to another health care practitioner is appropriate; and
  8. “Trager Approach” means a form of movement education that uses subtle directed movements and the skilled touch of a practitioner. The Trager Approach combines physical movement with sensory awareness and internal imagery designed to increase the client’s self-awareness and generate physiological changes in the body tissues so as to allow the client to experience a new way of moving his or her body. The practice is federally trademarked.

History. Enact. Acts 2003, ch. 45, § 1, effective June 24, 2003; 2003, ch. 70, § 1, effective June 24, 2003; 2006, ch. 29, § 1, effective July 12, 2006; 2010, ch. 112, § 1, effective July 15, 2010; 2021 ch. 29, § 1, effective June 29, 2021.

Legislative Research Commission Notes.

(7/12/2006). Section 1 of 2006 Ky. Acts ch. 29 (Senate Bill 91) made no changes to this statute. The changes to KRS 309.350 contained in the introduced version of the bill were eliminated by Senate Floor Amendment 1, which was adopted by the Senate, after which Senate Bill 91 was passed by both chambers with no changes to the existing text of KRS 309.350 .

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 1, and 2003 Ky. Acts ch. 70, sec. 1, are substantially identical and have been codified together.

309.351. Prohibited acts.

Massage therapists practicing under KRS 309.350 to 309.364 shall not perform any of the following: diagnosis of illness or disease; high-velocity, low-amplitude thrust applied to a joint; spinal or pelvic adjustment or chiropractic manipulation; application of ultrasound; prescription of medication; or deep physical agent modalities, except hydrotherapy methods and pulsed electromagnetic field therapy or microcurrent devices for which the massage therapist has completed training required by the board.

History. Enact. Acts 2003, ch. 45, § 2, effective June 24, 2003; 2003, ch. 70, § 2, effective June 24, 2003; 2021 ch. 29, § 2, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 2, and 2003 Ky. Acts ch. 70, sec. 2, are substantially identical and have been codified together.

309.352. Scope of KRS 309.350 to 309.364.

KRS 309.350 to 309.364 shall not preclude:

  1. Persons duly licensed, registered, or certified as massage therapists in another state or territory, the District of Columbia, or a foreign country teaching a course related to massage therapy or consulting with a person licensed under KRS 309.350 to 309.364 ;
  2. Students enrolled in a program recognized by the board and completing a clinical requirement for graduation while under the supervision of a board-licensed massage therapist or other licensed health-care professional as defined by the board in administrative regulation;
  3. A person administering a massage to members of the person’s immediate family;
  4. Persons who restrict manipulation of the soft tissues of the human body to the hands, feet, or ears, and do not hold themselves out to be massage therapists;
  5. Persons who use procedures within the scope of practice of their profession, which has established standards and ethics, provided that their services use touch, words, and directed movement to deepen awareness of existing patterns of movement in the body as well as to suggest new possibilities of movement while engaged, but who are not designated or implied to administer massage or to be massage therapists. These practices include, but are not limited to, the Feldenkrais Method and the Trager Approach;
  6. Persons engaged within the scope of practice of a profession with established standards and ethics in which touch is limited to what is essential for palpation and affecting of the human energy system, provided that their services are not designated or implied to be massage or massage therapy. These practices include but are not limited to polarity therapy;
  7. Persons duly licensed, certified, or registered in another state or territory, the District of Columbia, or a foreign country when incidentally in this state to provide service as a part of an emergency response team working in conjunction with disaster relief officials or as part of a charity event, athletic event, or artistic performance;
  8. Students participating in massage therapy classes or continuing education while in the classroom or practicing on a classmate and not holding themselves out as massage therapists or accepting compensation for the practice; or
  9. Practitioners of the following occupations and professions regulated by state law while engaging in the practices for which they are duly licensed and while not holding themselves out to be massage therapists:
    1. Physicians, osteopaths, podiatrists, and athletic trainers regulated under KRS Chapter 311;
    2. Chiropractors regulated under KRS Chapter 312;
    3. Registered nurses and practical nurses regulated under KRS Chapter 314;
    4. Barbers, cosmetologists, and estheticians regulated under KRS Chapters 317 and 317A, respectively;
    5. Occupational therapists regulated under KRS Chapter 319A; and
    6. Physical therapists regulated under KRS Chapter 327.

History. Enact. Acts 2003, ch. 45, § 3, effective June 24, 2003; 2003, ch. 70, § 3, effective June 24, 2003; 2006, ch. 29, § 2, effective July 12, 2006; 2010, ch. 112, § 2, effective July 15, 2010; 2018 ch. 46, § 32, effective March 30, 2018.

Legislative Research Commission Note.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 3, and 2003 Ky. Acts ch. 70, sec. 3, are substantially identical and have been codified together.

309.353. License required to practice massage therapy or use titles, advertisements, or signs indicating massage therapy is provided.

  1. No person shall practice massage therapy or hold himself or herself out to be a massage therapist unless the person meets the educational and licensing requirements of KRS 309.358 and 309.360 and holds a valid license that has not been suspended or revoked.
  2. A licensed massage therapist may represent himself or herself as a massage therapist or licensed massage therapist and may use the abbreviation “L.M.T.” as part of or immediately following his or her name to identify the profession.
  3. It shall be unlawful for any person, or for any business entity, its employees, agents, or representatives, to practice massage or massage therapy or to use in connection with his, her, or its name or business activity the words “massage,” “massage therapy,” “massage therapist,” “massage practitioner,” “masseur,” or “masseuse,” or the letters “L.M.T.,” or any other words, letters, abbreviations, or insignia indicating or implying directly or indirectly that massage therapy is provided or supplied unless massage therapy is provided by a massage therapist licensed and practicing in accordance with KRS 309.350 to 309.364 .
  4. Any advertisement or sign to induce the public into believing that one is a massage therapist shall be prima facie evidence of a violation of this section if the person making the advertisement or displaying the sign is not licensed to practice massage therapy in accordance with KRS 309.350 to 309.364 .

History. Enact. Acts 2003, ch. 45, § 4, effective June 24, 2003; 2003, ch. 70, § 4, effective June 24, 2003; 2006, ch. 29, § 3, effective July 12, 2006.

Legislative Research Commission Note.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 4, and 2003 Ky. Acts ch. 70, sec. 4, are substantially identical and have been codified together.

309.3535. Penalty for violation of KRS 309.353.

Any person who violates KRS 309.353 shall be guilty of a Class B misdemeanor.

History. Enact. Acts 2006, ch. 29, § 11, effective July 12, 2006.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

309.354. Kentucky Board of Licensure for Massage Therapy — Appointments — Terms — Reimbursement — Removal.

  1. There is created a board to be known as the Kentucky Board of Licensure for Massage Therapy, which shall be an independent agency.
  2. The Governor shall appoint seven (7) members to serve on the board with the following representation:
    1. Five (5) members who are massage therapists licensed under KRS 309.350 to 309.364 , who have been in the practice of massage therapy for at least five (5) of the last seven (7) years, and who have been residents of Kentucky for at least one (1) year;
    2. Of these five (5), at least one (1) but no more than two (2) shall own or direct a board-approved massage therapy training program or be a designated representative of a school owner or of a school director; and
    3. Two (2) members shall be appointed by the Governor and shall serve as members at large who are neither licensed massage therapists nor spouses of persons who are licensed, or have a direct or indirect interest in the profession regulated under KRS 309.350 to 309.364 . One (1) of the two (2) may hold a license in another health care profession.
  3. Appointments shall be for three (3) years with initial appointments as follows: three (3) appointees shall serve three (3) year terms; two (2) shall serve two (2) year terms; and two (2) shall serve one (1) year terms. The Governor shall assign terms to initial members at his or her discretion.
  4. The board shall elect initially, and annually thereafter, a chair, vice chair, and secretary from its membership and shall meet at least once per year, and more often as deemed necessary, at a time and at a place in Kentucky for the board to fulfill its duties.
  5. Each member of the board shall receive a per diem not to exceed one hundred dollars ($100) and other actual and necessary expenses for each day he or she is actually engaged in the discharge of the board’s official duties.
  6. Upon recommendation of the board, the Governor may remove any member of the board for a poor attendance record, neglect of duty, or malfeasance in office.

History. Enact. Acts 2003, ch. 45, § 5, effective June 24, 2003; 2003, ch. 70, § 5, effective June 24, 2003; 2010, ch. 24, § 1667, effective July 15, 2010; 2010, ch. 112, § 3, effective July 15, 2010; 2021 ch. 29, § 3, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 5, and 2003 Ky. Acts ch. 70, sec. 5, are substantially identical and have been codified together.

309.355. Powers and duties of board.

  1. The board shall administer and enforce the provisions of KRS 309.350 to 309.364 and shall have the responsibility to evaluate the qualifications of applicants for licensure and to authorize issuing, renewing, suspending, and revoking licenses.
  2. The board shall investigate alleged violations brought to its attention, conduct investigations, and schedule and conduct administrative hearings in accordance with KRS Chapter 13B to enforce the provisions of KRS 309.350 to 309.364 and administrative regulations promulgated pursuant to KRS 309.350 to 309.364 . The board shall have the authority to administer oaths, receive evidence, interview persons, and require the production of books, papers, documents, or other evidence. The board may institute civil and criminal proceedings against violators of KRS 309.350 to 309.364. The Attorney General, Commonwealth’s attorneys, and county attorneys shall assist the board in prosecuting violations of KRS 309.350 to 309.364.
  3. The board shall promulgate administrative regulations, pursuant to KRS Chapter 13A, to carry out and enforce provisions of KRS 309.350 to 309.364 , including creating a code of ethics, standards of practice, standards of educational program curriculum and instructor qualification, and continuing education requirements for licensed massage therapists.
  4. The board shall keep a record of its proceedings and a register of all persons licensed as massage therapists. The register shall include the name, license number and date of issue, last known place of business, and residence of each licensee. The board shall publish annually a directory of licensed massage therapists and their places of business. The list shall be available to any Kentucky citizen upon request and payment of a fee not to exceed the cost of the publication.
  5. The board shall make an annual report to the Governor and the General Assembly, which shall contain an account of its duties performed, actions taken, and appropriate recommendations.
  6. The board may seek an injunction in the Circuit Court of the county where the alleged violation occurred against any individual who practices massage therapy in the Commonwealth without a license.
  7. The board shall require a fingerprint-supported criminal record check by the Department of Kentucky State Police and the Federal Bureau of Investigation of any applicant for licensure to practice massage therapy.
  8. The board may employ staff as needed in the conduct of its duties and functions, and shall fix their compensation.

History. Enact. Acts 2003, ch. 45, § 6, effective June 24, 2003; 2003, ch. 70, § 6, effective June 24, 2003; 2006, ch. 29, § 4, effective July 12, 2006; 2010, ch. 112, § 4, effective July 15, 2010; 2021 ch. 29, § 4, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 6, and 2003 Ky. Acts ch. 70, sec. 6, are substantially identical and have been codified together.

309.356. Revolving fund.

  1. All fees and other moneys received by the board pursuant to the provisions of KRS 309.350 to 309.364 shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board.
  2. No part of this revolving fund shall revert to the general funds of this Commonwealth.
  3. The compensation of members of the board and all of the employees of the board and all expenses incurred by the board shall be paid from this revolving fund.

History. Enact. Acts 2003, ch. 45, § 7, effective June 24, 2003; 2003, ch. 70, § 7, effective June 24, 2003.

Legislative Research Commission Note.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 7, and 2003 Ky. Acts ch. 70, sec. 7, are substantially identical and have been codified together.

309.357. Establishment of schedule of fees for issuance, active and inactive renewal, and restoration of licenses and certificates — Continuing professional education.

    1. The board shall promulgate administrative regulations establishing a reasonable schedule of fees and charges for the issuance and restoration of licenses and certificates, and for the renewal of licenses and certificates issued under KRS 309.350 to 309.364 . (1) (a) The board shall promulgate administrative regulations establishing a reasonable schedule of fees and charges for the issuance and restoration of licenses and certificates, and for the renewal of licenses and certificates issued under KRS 309.350 to 309.364 .
    2. Former licensees with an expired license may have their licenses reinstated upon payment of the renewal fee plus a reinstatement fee as promulgated by administrative regulations of the board. If the reinstatement application is made within five (5) years from the date of termination, applicants shall not be required to submit to any examination as a condition for reinstatement.
    3. A revoked license may not be reinstated or renewed. For a license that is reinstated, the licensee shall pay the reinstatement fee and the renewal fee as established by the board through administrative regulations.
    4. A former licensee who fails to reinstate a license within five (5) years after termination may not have it renewed, restored, or reinstated. A person may apply for and obtain a new license by meeting the current requirements for licensure.
    5. The board may require that a person applying for a renewal or reinstatement of licensure show evidence of completion of continuing professional education as prescribed by the board in administrative regulations.
    6. If the board determines that the applicant practiced on an expired license, the board may require one (1) continuing education credit per month of expiration, at the discretion of the board.
  1. Any licensed massage therapist who does not desire to meet the qualifications for active license renewal shall, upon application and payment of an inactive renewal fee, be issued an inactive license. The license shall not entitle the license holder to use the term “licensed massage therapist,” or to engage in the practice of massage therapy. The inactive annual renewal fee shall be promulgated by the board in administrative regulation.
  2. To regain active status, the licensee shall, upon the submission of an application, show 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. Waivers or extensions of continuing education may be approved at the discretion of the board. Beyond five (5) years, the licensee shall meet the requirements in KRS 309.361 to regain active status.

History. Enact. Acts 2003, ch. 45, § 8, effective June 24, 2003; 2003, ch. 70, § 8, effective June 24, 2003; 2006, ch. 29, § 5, effective July 12, 2006; 2010, ch. 112, § 5, effective July 15, 2010; 2021 ch. 29, § 5, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 8, and 2003 Ky. Acts ch. 70, sec. 8, are substantially identical and have been codified together.

309.358. Qualifications for license — Photo of licensee to be incorporated into license.

  1. The board may issue a license as a massage therapist to an applicant who:
    1. Is eighteen (18) years of age or older;
    2. Has paid the application fee and other fees required by the board;
    3. Is a person of good moral character;
    4. Has submitted a recent criminal background check performed by means of a fingerprint check pursuant to KRS 309.355(7);
    5. Has submitted a recent color photograph as prescribed by administrative regulation promulgated by the board;
    6. Has successfully completed:
      1. A course of study consisting of a minimum of six hundred (600) hours of supervised instruction in a massage therapy training program approved by the board; or
      2. An associate degree having a massage therapy emphasis which meets the requirements of a massage therapy training program with supervised technique instruction and approved by the board; and
    7. Has successfully passed an examination administered by the Federation of State Massage Therapy Boards, the National Certification Board for Therapeutic Massage and Bodywork, or a certifying agency that has been approved by the National Commission for Certifying Agencies, or other examinations approved by the board.
  2. The board shall incorporate the photograph provided in subsection (1)(e)of this section into the license. The photograph shall not be merely affixed to the license.

History. Enact. Acts 2003, ch. 45, § 9, effective June 24, 2003; 2003, ch. 70, § 9, effective June 24, 2003; 2006, ch. 29, § 6, effective July 12, 2006; 2010, ch. 112, § 6, effective July 15, 2010; 2021 ch. 29, § 6, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 9, and 2003 Ky. Acts ch. 70, sec. 9, are substantially identical and have been codified together.

309.359. Reciprocity.

The board may grant a license to any person who is licensed, certified, or registered in another state of the United States that has standards at least as stringent as those required by KRS 309.358 . The board may grant a license by endorsement to applicants licensed, certified, or registered in another state of the United States that has lesser standards than Kentucky’s if the board determines that the applicant’s combined initial training, professional experience, continuing education, or other credentials constitute an equivalent to the standards in KRS 309.358 . Applicants who are not from a state that has standards at least as stringent as those required by KRS 309.358 may appeal to the board for a hearing to determine if their experience and education meet the criteria.

History. Enact. Acts 2003, ch. 45, § 10, effective June 24, 2003; 2003, ch. 70, § 10, effective June 24, 2003; 2006, ch. 29, § 7, effective July 12, 2006.

Legislative Research Commission Note.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 10, and 2003 Ky. Acts ch. 70, sec. 10, are substantially identical and have been codified together.

309.360. Qualifications for license issued prior to June 24, 2005. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2003, ch. 45, § 11, effective June 24, 2003; 2003, ch. 70, § 11, effective June 24, 2003) was repealed by Acts 2010, ch. 112, § 9, effective July 15, 2010.

309.361. Renewal — Continuing education requirements.

  1. When renewing a license, each licensee shall document the successful completion of the required board-approved continuing education credits. Twelve (12) hours of training shall be required for each two (2) year renewal period. Three (3) hours of the twelve (12) required shall be in ethics. Courses may include ethics, business practices, science, and techniques related to massage therapy.
  2. Waivers or extensions of continuing education may be approved at the discretion of the board.

History. Enact. Acts 2003, ch. 45, § 12, effective June 24, 2003; 2003, ch. 70, § 12, effective June 24, 2003; 2006, ch. 29, § 8, effective July 12, 2006; 2021 ch. 29, § 7, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 12, and 2003 Ky. Acts ch. 70, sec. 12, are substantially identical and have been codified together.

309.362. Grounds for refusal to issue or renew a license, suspension or revocation of a license, administrative reprimand, or probation.

  1. The board may deny or refuse to renew a license, may suspend or revoke a license, may issue an administrative reprimand, or may impose probationary conditions or fines not to exceed one thousand dollars ($1,000) per violation when the licensee has engaged in unprofessional conduct that has endangered or is likely to endanger the health, welfare, or safety of the public. Unprofessional conduct shall include the following:
    1. Obtaining or attempting to obtain a license by fraud, misrepresentation, concealment of material facts, or making a false statement to the board;
    2. Being convicted of a felony in any court if the act or acts for which the licensee or applicant for license was convicted are determined by the board to have a direct bearing on whether the person is trustworthy to serve the public as a licensed massage therapist, if in accordance with KRS Chapter 335B. “Conviction,” as used in this paragraph, shall include a finding or verdict of guilty, an admission of guilt, or a plea of nolo contendere in a court of law;
    3. Violating any lawful order or administrative regulation promulgated by the board;
    4. Violating any provision of this chapter or administrative regulations promulgated thereunder;
    5. Having sexual contact as defined by KRS 510.010(7) with a client or having engaged or attempted to engage in lewd or immoral conduct with any client or patient;
    6. Engaging in fraud or material deception in the delivery of professional services, including reimbursement or advertising services, in a false or misleading manner;
    7. Evidence of gross negligence or gross incompetence in the practice of massage therapy;
    8. Violating the standards of practice or the code of ethics as promulgated by administrative regulations;
    9. Violating KRS 304.39-215 ; or
    10. Engaging in conduct that is subject to the penalties under KRS 304.99-060 (4) or (5).
  2. The board may, at its discretion, deny, refuse to renew, suspend or revoke a license, or impose probationary conditions following an administrative hearing pursuant to KRS Chapter 13B and in accordance with administrative regulations promulgated by the board.
  3. The surrender of a license shall not deprive the board of jurisdiction to proceed with disciplinary actions under KRS 309.350 to 309.364 .

History. Enact. Acts 2003, ch. 45, § 13, effective June 24, 2003; 2003, ch. 70, § 13, effective June 24, 2003; 2006, ch. 29, § 9, effective July 12, 2006; 2017 ch. 158, § 45, effective June 29, 2017; 2019 ch. 143, § 6, effective June 27, 2019; 2021 ch. 29, § 8, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 13, and 2003 Ky. Acts ch. 70, sec. 13, are substantially identical and have been codified together.

309.363. Board approval of massage therapy program of instruction — Requirements — Continuing education guidelines.

  1. A person, institution, or business entity offering a massage therapy program of instruction shall file a completed application for a certificate of good standing with the board on a form prescribed by the board and pay a fee as specified in KRS 309.357 . The completed application shall provide proof acceptable to the board that the following criteria have been met:
    1. The school is licensed to operate by the Kentucky Commission on Proprietary Education, the Council on Postsecondary Education, or their equivalent in another state;
    2. A curriculum statement showing clock hours devoted to each subject with the following minimums:
      1. One hundred twenty-five (125) hours of anatomy, physiology, or kinesiology;
      2. A two hundred (200) hour course to include massage theory, technique, and practice focusing on gliding strokes, kneading, direct pressure, deep friction, joint movement, superficial warming techniques, percussion, compression, vibration, jostling, shaking, and rocking;
      3. Two hundred (200) hours of approach to the business of massage, specifically including contraindications, benefits, business, history, ethics, client documentation, legalities of massage, and modality courses designed to meet the school’s specific program objectives;
      4. Forty (40) hours of pathology; and
      5. The school may use its discretion in allotting the additional thirty-five (35) curricular hours that are required under KRS 309.358 ; and
    3. A listing of instructional staff and their qualifications as follows:
      1. Instructors of the practical courses shall be licensed massage therapists and shall have three (3) years of experience in the practice of massage therapy;
      2. Instructors of science courses shall be either licensed massage therapists with three (3) years of experience in the practice of massage therapy or have certification or specific higher education in the subject they are teaching; and
      3. Instructors in adjunctive courses shall have subject-specific education and experience.
  2. A school may be presumed to have met the qualifications in subsection (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 has the designation of “accredited” or “COMTA-endorsed curriculum” from the Council for Massage Therapy Accreditation.
  3. The board shall accept National Certification Board for Therapeutic Massage and Bodywork guidelines in approving continuing education.

History. Enact. Acts 2003, ch. 45, § 14, effective June 24, 2003; 2003, ch. 70, § 14, effective June 24, 2003; 2006, ch. 29, § 10, effective July 12, 2006; 2010, ch. 112, § 7, effective July 15, 2010; 2012, ch. 76, § 24, effective July 15, 2012; 2021 ch. 29, § 9, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 14, and 2003 Ky. Acts ch. 70, sec. 14, are substantially identical and have been codified together. The phrase “joint movement” in subparagraph (b)2. of subsection (1) of ch. 70, sec. 14, which passed the General Assembly last, prevails over “joint mobilization” in the same subparagraph of ch. 45, sec. 14. See KRS 446.250 .

309.3631. Annual renewal of certificate of good standing.

  1. A person, institution, or business entity offering a massage therapy program of instruction shall renew a certificate of good standing annually.
  2. During the renewal process, the person, institution, or business entity shall submit to the board documentation of program updates, personnel changes, graduation rates, and licensing examination rates.
  3. Application for the initial certificate of good standing and annual renewals shall include a fee prescribed by the board in administrative regulations.

History. Enact. Acts 2010, ch. 112, § 8, effective July 15, 2010; 2021 ch. 29, § 10, effective June 29, 2021.

309.364. Preemption of local regulation — No effect on local zoning requirements or occupational license fees.

  1. KRS 309.350 to 309.364 supersede all ordinances or regulations regulating massage therapists in any city, county, urban-county, charter county, or consolidated local government.
  2. This article does not affect city, county, urban-county, charter county, or consolidated local government regulations relating to zoning requirements or occupational license fees pertaining to health care professions.

History. Enact. Acts 2003, ch. 45, § 15, effective June 24, 2003; 2003, ch. 70, § 15, effective June 24, 2003.

Legislative Research Commission Note.

(6/24/2003). 2003 Ky. Acts ch. 45, sec. 15, and 2003 Ky. Acts ch. 70, sec. 15, are substantially identical and have been codified together.

Home Medical Equipment and Services Provider Licensure Act

309.400. Short title.

KRS 309.400 to 309.422 shall be known and may be cited as the Home Medical Equipment and Services Provider Licensure Act.

HISTORY: Enact. Acts 2012, ch. 73, § 1, effective July 12, 2012; 2016 ch. 103, § 1, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.510 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 1, effective July 15, 2016.

The section appears to incorporate a correction from the Reviser of Statutes in the section.

309.402. Definitions for KRS 309.400 to 309.422.

As used in KRS 309.400 to 309.422 , unless the context requires otherwise:

  1. “Applicant” means a person who applies to the board for licensure as a home medical equipment and services provider;
  2. “Board” means the Kentucky Board of Durable Medical Equipment Suppliers established in KRS 309.404 ;
  3. “Home medical equipment” means durable medical equipment which:
    1. Withstands repeated use;
    2. Is primarily and customarily used to serve a medical purpose;
    3. Is generally not useful to a person in the absence of illness or injury; and
    4. Is appropriate for use in the home;
  4. “Providing home medical equipment and services” means the sale, lease, rental, delivery, installation, maintenance, replacement, or instruction in the use of home medical equipment, related equipment and supplies, and mobility enhancing equipment used by a sick or disabled person to allow the person to be maintained in his or her residence and which is funded through a third-party payor;
  5. “Home medical equipment and services provider” or “provider” means a person engaged in the business of providing home medical equipment and services, either directly or through a contractual arrangement, to an unrelated sick or disabled person in the residence of that person; and
  6. “Person” has the same meaning as in KRS 446.010 .

HISTORY: Enact. Acts 2012, ch. 73, § 2, effective July 12, 2012; 2016 ch. 103, § 2, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.512 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 2, effective July 15, 2016.

309.404. Kentucky Board of Durable Medical Equipment Suppliers.

  1. There is hereby created the Kentucky Board of Durable Medical Equipment Suppliers that shall be attached for administrative purposes to the Department of Professional Licensing in the Public Protection Cabinet. The board shall consist of five (5) members, each appointed by the Governor. Four (4) members shall be appointed from a list of three (3) names for each position submitted by the Kentucky Medical Equipment Suppliers Association. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. Any vacancy shall be filled for the unexpired term by the Governor, as provided in the original appointment.
  2. To be eligible for appointment as a member of the board, a person shall be at least twenty-one (21) years of age, of good moral character, a resident of this state, and a licensed durable medical equipment services provider in this state for at least three(3) consecutive years next preceding the date of his or her appointment.
  3. The terms of office of each member shall be four (4) years, or until a successor is appointed and qualified.
  4. The board shall elect one (1) of its members as president and another of its members as secretary. The secretary may, subject to approval by the board, employ and fix the compensation of all personnel required for the administration of KRS 309.400 to 309.422 . The board may make all rules and promulgate all administrative regulations, not inconsistent with KRS 309.400 to 309.422 , that are necessary to implement and carry out the provisions and purposes of KRS 309.400 to 309.422.
  5. The board shall hold meetings at least twice a year and as frequently as it deems necessary at a time and place within the Commonwealth as the board may designate. A majority of the members shall constitute a quorum.
  6. The board may sue and be sued in its own name.
  7. Members of the board shall be immune from suit in any civil or criminal action which is based upon any official act or acts performed by them in good faith as members of the board.
  8. Members of the board shall receive no compensation for their services, but shall be paid for actual travel and other expenses incurred in connection with the performance of their duties and the business of the board.
  9. The board may utilize any materials, services, or facilities as may be made available to it by other state agencies or may contract therefor, to the extent as the board in its discretion may determine.

HISTORY: 2016 ch. 103, § 11, effective July 15, 2016; 2017 ch. 178, § 22, effective April 11, 2017.

309.406. Duties of board — Administrative regulations — Order for violator to pay reasonable costs of investigation and prosecution.

  1. The board may:
    1. Promulgate administrative regulations in accordance with KRS Chapter 13A necessary to regulate and control all matters set forth in KRS 309.400 to 309.422 relating to manufacturers and wholesale distributors of home medical equipment and home medical equipment and services providers in this state, to the extent that regulation and control has not been delegated to some other agency of the Commonwealth, provided that:
      1. Administrative regulations relating to home medical equipment and services providers shall be limited to the regulation and control of home medical equipment sold pursuant to a medical order; and
      2. Nothing contained in KRS 309.400 to 309.422 shall be construed as authorizing the board to promulgate any administrative regulations relating to prices or fees or to advertising or the promotion of the sales or use of commodities or services;
    2. Issue subpoenas, schedule and conduct hearings, or appoint hearing officers to schedule and conduct hearings on behalf of the board on any matter under the jurisdiction of the board;
    3. Issue and renew all licenses for home medical equipment and services providers;
    4. Investigate all complaints or violations of the home medical equipment laws and the administrative regulations promulgated by the board;
    5. Perform all other functions necessary to carry out applicable provisions of law and the administrative regulations promulgated by the board, relating to manufacturers and wholesale distributors of home medical equipment and home medical equipment and services providers;
    6. Assess reasonable fees, in addition to the fees specifically provided for in KRS 309.400 to 309.422 consistent with KRS 61.870 to 61.884 , for services rendered to perform its duties and responsibilities, including but not limited to the following:
      1. Issuance of duplicate licenses;
      2. Mailing lists or reports of data maintained by the board;
      3. Making copies of documents; or
      4. Providing notices of meetings;
    7. Seize any item of home medical equipment found by the board to constitute an imminent danger to the public health and welfare; and
    8. Oversee and administer the licensure of home medical equipment and services providers pursuant to KRS 309.400 to 309.422.
  2. In addition to the sanctions provided in KRS 309.418 , the board or its hearing officer shall direct any licensee found guilty of a charge involving a violation of home medical equipment laws, rules, or administrative regulations of the state, any other state, or federal government, to pay to the board a sum not to exceed the reasonable costs of investigation and prosecution of the case, not to exceed twenty-five thousand dollars ($25,000).
  3. In an action for recovery of costs, proof of the board’s order shall be conclusive proof of the validity of the order of payment and any terms for payment.

HISTORY: 2016 ch. 103, § 9, effective July 15, 2016.

309.408. Revolving fund — Purposes.

  1. All fees and other moneys received by the board pursuant to KRS 309.400 to 309.422 shall be deposited in the State Treasury to the credit of a revolving fund which is hereby established. Amounts in the fund shall be used for the purposes set forth in KRS 309.400 to 309.422 .
  2. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse but shall be carried forward to the next fiscal year to be used by the board for the purposes set forth in KRS 309.400 to 309.422 .
  3. Any interest earnings of the fund shall become part of the fund and shall not lapse.
  4. The expenses of the board shall be paid from this revolving fund.
  5. Moneys deposited in the fund shall be used and are hereby appropriated for the purposes specified in KRS 309.400 to 309.422 .

HISTORY: 2016 ch. 103, § 12, effective July 15, 2016.

309.410. Legend or order from health care practitioner required.

A person licensed under KRS 309.400 to 309.422 shall provide home medical equipment and services that carry a legend or require an order from a licensed health care practitioner.

HISTORY: Enact. Acts 2012, ch. 73, § 4, effective July 12, 2012; 2016 ch. 103, § 4, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.516 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 4, effective July 15, 2016.

309.412. License required to provide or hold oneself out as providing home medical equipment and services — Exemptions.

  1. No person shall provide home medical equipment and services, or use the title “home medical equipment and services provider” in connection with his or her profession or business, without a license issued by the board.
  2. Unless home medical equipment and services are provided through a separate legal entity, nothing in KRS 309.400 to 309.422 or any administrative regulations promulgated thereunder shall be construed as preventing or restricting the practices, services, or activities of the following:
    1. A person licensed or registered in this state under any other law who is engaging in the profession or occupation for which he or she is licensed or registered;
    2. Health care practitioners who lawfully prescribe or order home medical equipment and services, or who use home medical equipment and services to treat their patients;
    3. Home health agencies that do not engage in the provision of home medical equipment and services;
    4. Hospitals that provide home medical equipment and services only as an integral part of patient care;
    5. Manufacturers and wholesale distributors of home medical equipment who do not sell, lease, or rent home medical equipment directly to a patient;
    6. Pharmacies that are engaged in the sale, lease, or rental of home medical equipment and services;
    7. An employee of a person licensed under KRS 309.400 to 309.422 ;
    8. Hospice programs that do not involve the sale, lease, or rental of home medical equipment and services;
    9. Skilled nursing facilities that do not involve the sale, lease, or rental of home medical equipment and services;
    10. Government agencies, including fire districts which provide emergency medical services; and
    11. Notwithstanding subsection (1) of this section, an out-of-state provider whose primary business is the manufacture, distribution, or both, of highly specialized equipment who ships that equipment into this state if that equipment is not provided by a licensed Kentucky home medical equipment and services provider.

HISTORY: Enact. Acts 2012, ch. 73, § 3, effective July 15, 2012; 2015 ch. 56, § 4, effective June 24, 2015; 2016 ch. 103, § 3, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.514 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 3, effective July 15, 2016.

309.414. Application for license — Fee — Record retention — Administrative regulations — Confidentiality.

  1. A home medical equipment and services provider shall be licensed by the board prior to engaging in providing home medical equipment and services in the Commonwealth. Each license application shall be accompanied by a reasonable fee prescribed by administrative regulation not to exceed three hundred fifty dollars ($350) initially every two (2) years or increase more than twenty-five dollars ($25) per biennium up to a maximum of four hundred dollars ($400). Upon receipt of an application for a license to operate as a home medical equipment and services provider, the board shall issue a license if the provider meets the standards and requirements of this section or KRS 309.420 and the administrative regulations of the board.
  2. Home medical equipment and services providers shall be required to maintain adequate records of all home medical equipment and services provided as established by administrative regulation by the board. Records shall be made available to agents of the board for inspection at reasonable times. The board may require by administrative regulation that home medical equipment and services providers periodically report to the board all home medical equipment and services provided.
  3. Failure to report to the board or willful submission of inaccurate information shall be grounds for disciplinary action under KRS 309.418 .
  4. The board shall promulgate an administrative regulation pursuant to KRS Chapter 13A to specify the criteria for licensure.
  5. Pursuant to KRS 61.878 , information provided by an applicant under this section and any related administrative regulation shall not be disclosed to any person or entity other than the board.

HISTORY: Enact. Acts 2012, ch. 73, § 5, effective July 12, 2012; 2016 ch. 103, § 5, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.518 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 5, effective July 15, 2016.

309.416. Issuance and renewal of licenses — Separate license required for each location — Display of license — Transfer of license prohibited.

  1. The board shall refuse to renew any license to operate unless the home medical equipment and services provider meets the standards and requirements of KRS 309.400 to 309.422 and the administrative regulations of the board. The board shall act upon an application for a license within thirty (30) days after the receipt thereof.
  2. A separate license shall be required for each location of a home medical equipment and services provider.
  3. A home medical equipment and services provider shall display its license at its place of business.
  4. Each license as a home medical equipment and services provider, unless sooner suspended or revoked, shall expire on September 30 two (2) years following its date of issuance and be renewable every two (2) years thereafter upon proper application accompanied by a reasonable renewal fee as may be set by administrative regulation of the board, not to exceed three hundred fifty dollars ($350) initially per biennium or increase more than twenty-five dollars ($25) per biennium up to a maximum of four hundred dollars ($400). An additional fee not to exceed the biennial renewal fee may be assessed and set by administrative regulation as a delinquent renewal penalty for failure to renew by September 30 of each biennium.
  5. Licenses to operate shall be issued only for the premises and persons named in the application and shall not be transferable.

HISTORY: Enact. Acts 2012, ch. 73, § 6, effective July 12, 2012; 2016 ch. 103, § 6, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.520 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 6, effective July 15, 2016.

309.418. Grounds for refusal to issue or renew, suspend, or revoke a license or otherwise discipline a licensee — Reinstatement — Expungement of minor violation — Administrative regulations.

  1. If in accordance with KRS Chapter 335B, the board shall refuse to license, or shall suspend a license, if the person seeking or holding a license has ever been convicted of or entered an Alford plea or plea of nolo contendre 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 which would classify the person as a violent offender under KRS 439.3401 .
  2. The board may refuse to issue or renew a license, or may suspend, temporarily suspend, revoke, fine, place on probation, reprimand, reasonably restrict, or take any combination of these actions against any licensee, for the following reasons:
    1. Unprofessional or unethical conduct;
    2. Mental or physical incapacity that prevents the licensee from engaging or assisting in the provision of home medical equipment and services with reasonable skill, competence, and safety to the public;
    3. Being convicted of or entering 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 such plea, one (1) or more or the following, if in accordance with KRS Chapter 335B:
      1. A crime as defined in KRS 335B.010 ; or
      2. A violation of the home medical equipment laws, rules, or administrative regulations of this state, any other state, or the federal government;
    4. Knowing or having reason to know that a home medical equipment and services provider is incapable of engaging or assisting in the practice of providing home medical equipment and services with reasonable skill, competence, and safety to the public and failing to report any relevant information to the board;
    5. Knowingly making or causing to be made any false, fraudulent, or forged statement or misrepresentation of a material fact in securing issuance or renewal of a license;
    6. Engaging in fraud in connection with the practice of the provision of home medical equipment and services;
    7. Engaging in or aiding and abetting an individual to engage or assist in the provision of home medical equipment and services without a license or falsely using the title “home medical equipment and services provider,” “provider,” or other term which might imply that the individual is a home medical equipment and services provider; or
    8. Violation of any order issued by the board to comply with any applicable law or administrative regulation.
  3. As used in this section, “unprofessional or unethical conduct” includes but is not limited to the following acts of a home medical equipment and services provider:
    1. Engaging in conduct likely to deceive, defraud, or harm the public, demonstrating a willful or careless disregard for the health, welfare, or safety of a sick or disabled person, or engaging in conduct which substantially departs from accepted standards of providing home medical equipment and services ordinarily exercised by a home medical equipment and services provider, with or without established proof of actual injury;
    2. Engaging in grossly negligent professional conduct, with or without established proof of actual injury;
    3. Obtaining any remuneration by fraud, misrepresentation, or deception;
    4. Providing home medical equipment and services that carry a legend or require a prescription without a medical order from a licensed health care practitioner; or
    5. Willfully or knowingly failing to maintain complete and accurate records of home medical equipment and services provided in compliance with federal and state laws, rules, or administrative regulations.
  4. Any licensee who is found guilty of or enters an Alford plea or plea of nolo contendre to a violation prescribed in subsection (1) or (2)(c) of this section shall, within thirty (30) days, notify the board of that conviction or plea. Failure to do so shall be grounds for suspension or revocation of the license.
  5. Any person whose license has been revoked in accordance with this section, other than a person whose license was revoked for being convicted of or entering an Alford plea or plea of nolo contendre 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 which would classify the person as a violent offender under KRS 439.3401 , may petition the board for reinstatement. The petition shall be made in writing and in a form prescribed by the board. The board shall investigate all reinstatement petitions, and may reinstate a license upon a showing that the former holder has been rehabilitated and is again able to engage in the practice of providing home medical equipment and services with reasonable skill, competency, and safety to the public. Reinstatement may be on the terms and conditions that the board, based on competent evidence, reasonably believes necessary to protect the health and welfare of the citizens of the Commonwealth.
  6. Upon exercising the power of revocation provided for in subsection (2) of this section, the board may reasonably prohibit any petition for reinstatement for a period up to and including five (5) years.
    1. A licensee who is disciplined under this section for a minor violation may request in writing that the board expunge the minor violation from the licensee’s permanent record. (7) (a) A licensee who is disciplined under this section for a minor violation may request in writing that the board expunge the minor violation from the licensee’s permanent record.
    2. The request for expungement may be filed no sooner than three (3) years after the date on which the licensee has completed disciplinary sanctions imposed and if the licensee has not been disciplined for any subsequent violation of the same nature within this period of time.
    3. A person shall not have his or her record expunged under this section more than once.
    4. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to establish what are considered minor violations under this subsection. A violation shall be deemed a minor violation if it does not:
      1. Demonstrate a serious inability to practice the profession;
      2. Involve the provisions of home medical equipment and services;
      3. Adversely affect the public health, safety, or welfare;
      4. Result in economic or physical harm to a person; or
      5. Create a significant threat of such harm.

HISTORY: 2016 ch. 103, § 8, effective July 15, 2016; 2017 ch. 158, § 46, effective June 29, 2017.

309.420. Reciprocity with bordering states.

    1. The board may grant a license on the basis of reciprocity to a home medical equipment and services provider located in one (1) of Kentucky’s seven (7) contiguous bordering states that licenses home medical equipment and services providers if: (1) (a) The board may grant a license on the basis of reciprocity to a home medical equipment and services provider located in one (1) of Kentucky’s seven (7) contiguous bordering states that licenses home medical equipment and services providers if:
      1. The out-of-state provider physically located in one (1) of Kentucky’s seven (7) contiguous bordering states possesses a valid license from a jurisdiction that grants the same privileges to persons licensed by the Commonwealth as the Commonwealth grants to persons licensed by the other jurisdiction;
      2. The requirements for licensure in the contiguous bordering state, including but not limited to a requirement for a physical location in the state as a condition of issuing or renewing a license, are substantially similar to the requirements under KRS 309.400 to 309.422 ; and
      3. The out-of-state provider seeking licensure states that he or she has studied, is familiar with, and shall abide by KRS 309.400 to 309.422 and the administrative regulations promulgated thereunder.
      1. Notwithstanding subsection (2) of this section, the board may grant a license on the basis of reciprocity to a home medical equipment and services provider physically located in one (1) of Kentucky’s seven (7) contiguous bordering states that does not license home medical equipment and services providers if the out-of-state provider seeking to operate in Kentucky states by affidavit that he or she has studied, is familiar with, and shall abide by KRS 309.400 to 309.422 and the administrative regulations promulgated thereunder; and (b) 1. Notwithstanding subsection (2) of this section, the board may grant a license on the basis of reciprocity to a home medical equipment and services provider physically located in one (1) of Kentucky’s seven (7) contiguous bordering states that does not license home medical equipment and services providers if the out-of-state provider seeking to operate in Kentucky states by affidavit that he or she has studied, is familiar with, and shall abide by KRS 309.400 to 309.422 and the administrative regulations promulgated thereunder; and
      2. The contiguous bordering state grants the same privileges to persons licensed in the Commonwealth as the Commonwealth grants to providers from the state described in subparagraph 1. of this paragraph.
  1. If the requirements for licensure under KRS 309.400 to 309.422 and the administrative regulations promulgated thereunder are more restrictive than the standards of a contiguous jurisdiction, then the out-of-state provider shall comply with the additional requirements of KRS 309.400 to 309.422 to obtain a reciprocal license.

HISTORY: Enact. Acts 2012, ch. 73, § 7, effective July 12, 2012; 2015 ch. 56, § 2, effective June 24, 2015; 2016 ch. 103, § 7, effective July 15, 2016.

Compiler's Notes.

This section formerly appeared as KRS 315.522 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 7, effective July 15, 2016.

309.422. Providing home medical equipment and services without license — Penalty.

  1. A person who engages in the business of providing home medical equipment and services and who is required to be licensed under KRS 309.412 or 309.420 and who knowingly provides home medical equipment and services without a license issued by the board commits a Class A misdemeanor.
  2. Each day a violation of this section continues constitutes a separate offense.

HISTORY: Enact. Acts 2012, ch. 73, § 8, effective July 12, 2012; 2016 ch. 103, § 10, effective July 15, 2016.

Legislative Research Commission Notes.

(7/15/2016). Subsection (1) of 2016 Ky. Acts ch. 103, sec. 10 (this statute) reads in part “who is required to be licensed under Section 5 or 7 of this Act” Section 5 of that Act was KRS 309.414 , which prescribes the process for applying for a license as a home medical equipment and services provider, and Section 7 of that Act was KRS 309.420 , which provides license reciprocity in Kentucky for providers licensed in another state. However, it was Section 3 of that Act, KRS 309.412 , that contains the requirement that a person providing home medical equipment and services be licensed. Therefore, Section 3 should have been referred to instead of Section 5. In codifying 2016 Ky. Acts ch. 103, sec. 10, the Reviser of Statutes has changed the citation as codified in subsection (1) of this statute to read in part “who is required to be licensed under KRS 309.412 or 309.420 ” to correct this manifest clerical or typographical error under the authority of KRS 7.136(1)(h).

Compiler’s Notes.

This section formerly appeared as KRS 315.524 prior to its repeal, reenactment and amendment by Acts 2016, ch. 103, § 10, effective July 15, 2016.

CHAPTER 310 Dietitians and Nutritionists

310.005. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Licensure and Certification for Dietitians and Nutritionists;
  2. “Practice of dietetics or nutrition” means the integration and application of scientific principles of food, nutrition, biochemistry, physiology, and management, and the behavioral and social sciences in achieving and maintaining the health of people through the life cycle and in the treatment of disease. Methods of practice shall include, but are not limited to, nutrition assessments; development, implementation, management, and evaluation of nutrition care plans; nutrition counseling and education; and the development and administration of nutrition care standards and systems;
  3. “Dietitian” means a health care professional practicing dietetics and licensed pursuant to KRS 310.021 ;
  4. “Nutritionist” means a health care professional practicing nutrition and certified pursuant to KRS 310.031 ;
  5. “Nutrition care services” means:
    1. Assessing the nutrition needs of individuals and groups, and determining resources and constraints in the practice setting;
    2. Establishing priorities, goals, and objectives that meet nutrition needs that are consistent with available resources and constraints;
    3. Providing nutrition counseling in health and disease;
    4. Developing, implementing, managing, and evaluating nutrition care systems; and
    5. Developing, evaluating, altering, and maintaining appropriate standards of quality in food and nutrition care services;
  6. “Nutrition assessment” means the evaluation of the nutrition needs of individuals and groups based upon appropriate biochemical, anthropocentric, physical, and dietary data to determine nutrient needs. “Nutrition assessment” includes recommending appropriate nutrition intake, including enteral and parenteral nutrition;
  7. “Nutrition counseling” means advising and assisting individuals or groups on appropriate nutrition intake as components of preventive, curative, and restorative health care by integrating information about the nutrition assessment with information on food and other sources of nutrients and meal preparation consistent with cultural background and socioeconomic status;
  8. “Licensing agency” means the Kentucky Board of Licensure and Certification for Dietitians and Nutritionists;
  9. “License,” means a license issued by the board;
  10. “Certificate” means a certificate issued by the board;
  11. “Licensed dietitian” means a person licensed by the board and qualified pursuant to the criteria as established in KRS 310.021 ;
  12. “Certified nutritionist” means a person certified by the board and qualified pursuant to the criteria as established in KRS 310.031 ; and
  13. “Commission on Dietetic Registration” means the commission established by the American Dietetic Association for review and registration for registered dietitians.

History. Enact. Acts 1994, ch. 319, § 1, effective July 15, 1994.

310.010. Requirements for certification as a dietitian. [Repealed.]

Compiler’s Notes.

This section (Acts 1988, ch. 246, § 1) was repealed by Acts 1994, ch. 319, § 11.

310.020. Designation as a “registered dietitian.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 246, § 2) was repealed by Acts 1994, ch. 319, § 11.

310.021. Licensure as a dietitian.

  1. An applicant for licensure as a dietitian shall file a written application on forms provided by the board.
  2. An applicant for licensure as a dietitian shall meet the standards of professional responsibility and practice consistent with those standards of professional responsibility and practice adopted by the American Dietetic Association.
  3. An applicant for licensure as a dietitian shall be a graduate of a baccalaureate or post-baccalaureate degree program, approved by the board, from a United States regionally-accredited college or university with a major course of study in human nutrition, food and nutrition, dietetics, food systems management, or an equivalent major course of study.
  4. An applicant for licensure as a dietitian shall have successfully completed a documented supervised practice experience under the supervision of a registered dietitian who is accredited by the American Dietetic Association.
  5. An applicant for licensure as a dietitian shall have passed the national examination administered by the Commission on Dietetic Registration.

History. Enact. Acts 1994, ch. 319, § 2, effective July 15, 1994.

310.030. Designation as “certified nutritionist.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 246, § 3, effective July 15, 1988) was repealed by Acts 1994, ch. 319, § 11, effective July 15, 1994.

310.031. Certification as a nutritionist.

  1. An applicant for certification as a nutritionist shall file a written application on forms provided by the board.
  2. An applicant for certification as a nutritionist shall:
    1. Be a graduate of a baccalaureate degree program, approved by the board, from a United States regionally-accredited college or university; and
    2. Be a graduate of a master’s degree program, approved by the board, in food science, nutrition, or a closely related area to food science or nutrition, and have a minimum of twelve (12) semester hours of graduate credit in human nutrition from a United States regionally-accredited college or university, or
  3. Be qualified for licensure as a licensed dietitian under the provisions of KRS 310.021 and apply to the board for certification as a certified nutritionist.

History. Enact. Acts 1994, ch. 319, § 3, effective July 15, 1994.

310.040. Kentucky Board of Licensure and Certification for Dietitians and Nutritionists.

  1. The Kentucky Board of Licensure and Certification for Dietitians and Nutritionists is hereby created to be comprised of seven (7) members appointed by the Governor. Three (3) members shall be licensed dietitians, three (3) members shall be certified nutritionists and one (1) member shall be a public member who shall have no pecuniary interest in the nutrition field. Of the members from the nutrition field, one (1) shall represent hospitals, one (1) shall represent health care facilities other than hospitals, one (1) shall represent state or local nutritional programs or shall be in private practice and one (1) shall be a dietetic educator. Appointments may be made from a list of nominees submitted to the Governor by the Kentucky Dietetic Association, the Kentucky Hospital Association, the Kentucky Association of Health Care Facilities, and the Kentucky Medical Association.
  2. Each member of the board shall serve for a term of four (4) years, except that for initial appointments, one (1) shall be for four (4) years, two (2) shall be for three (3) years, and two (2) shall be for two (2) years and one (1) shall be for one (1) year. No member shall serve more than two (2) consecutive terms and each member on July 15, 1994, shall serve on the board until his successor is appointed. Vacancies shall be filled by appointment of the Governor for the unexpired term.
  3. The board shall organize annually and elect one (1) of its members as chairman and one (1) of its members as secretary. A quorum of the board shall consist of four (4) members. The board shall meet at least quarterly and upon the call of the chairman, or at the request of two (2) or more members to the secretary of the board.
  4. Each member of the board shall receive compensation for services in an amount determined by the department, not to exceed one hundred dollars ($100) dollars per meeting. The members shall be reimbursed for all travel expenses for attending the meetings of the board. The compensation of members and employees of the board shall be paid from the revolving fund established in KRS 310.041(7).

History. Enact. Acts 1988, ch. 246, § 4, effective July 15, 1988; 1994, ch. 319, § 7, effective July 15, 1994; 2009, ch. 12, § 50, effective June 25, 2009; 2010, ch. 24, § 1668, effective July 15, 2010.

310.041. Powers and duties of board.

The board shall:

  1. Promulgate administrative regulations in accordance with KRS Chapter 13A implementing the provisions of KRS 310.005 , 310.021 , 310.031 , 310.040 , 310.041 , 310.042 , 310.050 , 310.070 , and 310.990 ;
  2. Issue initial licenses and certificates and license and certificate renewals;
  3. Notify in writing any person determined by the board to be in violation of this chapter or the administrative regulations promulgated thereunder. The notification shall state that the person may request a hearing by the board within an amount of time specified by the board. If a hearing is requested, the hearing shall be conducted in accordance with KRS Chapter 13B. If the person fails to request the hearing, or if the board determines from the hearing that the person is in violation of this chapter or the administrative regulations promulgated thereunder, the board may apply to the Circuit Court of the county in which the violation occurred for an injunction or other appropriate restraining order to prohibit the continued violation;
  4. Publish and make available to the public, upon request and for a fee not to exceed the actual cost of printing and mailing, the administrative regulations of the board and the requirements for licensure and certification;
  5. Establish fees, subject to maximum limitations prescribed in this chapter, in amounts sufficient to pay the expenses of the board directly attributable to the performance of its duties pursuant to the provisions of this chapter;
  6. Review and approve or reject the qualifications of all applicants for licensure and certification and issue all approved licenses and certificates;
  7. Collect or receive all fees, fines, and moneys owed pursuant to the provisions of this chapter and to deposit all fees, fines, and moneys into the State Treasury to the credit of a revolving fund for the use of the board. No part of this revolving fund shall revert to the general funds of this Commonwealth;
  8. Deny, suspend, or revoke the license or certification of or to otherwise discipline or fine, by administrative penalty not to exceed five hundred dollars ($500), or reprimand a license or certificate holder found guilty of violating any provisions of this chapter or the administrative regulations promulgated thereunder;
  9. Promulgate administrative regulations in accordance with KRS Chapter 13A to establish conditions for granting a retired or inactive licensure status; and
  10. Promulgate administrative regulations in accordance with KRS Chapter 13A to establish procedures to permit a licensee or certificate holder to voluntarily relinquish a license or certificate and conditions to reinstate a voluntarily relinquished license or certificate.

History. Enact. Acts 1994, ch. 319, § 5, effective July 15, 1994; 1996, ch. 318, § 250, effective July 15, 1996; 2008, ch. 51, § 1, effective July 15, 2008.

310.042. Conduct warranting denial, refusal to renew, or suspension or revocation of license or certificate or disciplinary action — Administrative hearing.

  1. The board may deny or refuse to renew a license or certificate, suspend or revoke a license or certificate, or issue orders to cease and desist from certain conduct or to otherwise discipline an applicant, a licensee, a certificate holder, or a person found guilty of violating any provisions of this chapter, if that person has:
    1. Attempted to or obtained licensure or certification by fraud or misrepresentation;
    2. Engaged in habitual intoxication or unprofessional conduct, including, but not limited to, willful acts of negligence or a pattern of continued and repeated malpractice, negligence, or incompetence in the course of professional practice;
    3. Engaged in habitual intoxication or personal misuse of any drug, narcotics, or controlled substances so as to adversely affect his ability to practice;
    4. Been convicted of a crime as defined in KRS 335B.010 , if in accordance with KRS Chapter 335B;
    5. Violated any lawful order or ruling of the board or any administrative regulation promulgated by the board; or
    6. Violated any provisions of this chapter.
  2. All administrative hearings for the disciplinary action against a license or certificate holder shall be conducted in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 1994, ch. 319, § 6, effective July 15, 1994; 1996, ch. 318, § 251, effective July 15, 1996; 2017 ch. 158, § 47, effective June 29, 2017.

310.050. Fees — Annual renewal — Automatic revocation for nonrenewal — Reinstatement — Exceptions.

  1. The board, by duly-promulgated administrative regulation, shall establish fees for the application, reinstatement, and renewal of a license or certificate and fees for reciprocal and duplicate licensure or certification.
  2. No fee shall exceed fifty dollars ($50).
  3. A license or certificate shall be renewed annually and only upon timely payment of the renewal fee and documented successful completion of continuing education as required by the board.
  4. A licensee or certificate holder who fails to renew his or her license or certificate within sixty (60) days after renewal becomes due shall have the license or certificate automatically revoked without further notice or hearing. Any person whose license or certificate is automatically revoked as provided in this subsection may have the license or certificate reinstated by the board in its discretion upon payment of all past-due renewal fees and a reinstatement fee.
  5. Subsections (3) and (4) of this section shall not apply if the board has granted the license or certificate holder a special license or certificate status under KRS 310.041(9) or (10).

History. Enact. Acts 1988, ch. 246, § 5, effective July 15, 1988; 1994, ch. 319, § 8, effective July 15, 1994; 2008, ch. 51, § 2, effective July 15, 2008.

Opinions of Attorney General.

The State Board of Certification of Dietitians and Nutritionists is only empowered to certify dietitians and nutritionists. OAG 90-122 .

310.060. Construction of KRS 310.010 to 310.050. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 246, § 6, effective July 15, 1988) was repealed by Acts 1994, ch. 319, § 11, effective July 15, 1994.

310.070. Unlawful practice or use of title — Exceptions.

  1. It shall be unlawful for any person to engage in the practice of dietetics or nutrition, to act or to represent himself to be a dietitian or a nutritionist, or to use such titles as “dietitian,” “nutritionist,” “licensed dietitian,” “certified nutritionist,” or such letters as “L.D.,” “C.N.,” or any word, letters, or title indicating or implying that the person is a dietitian or nutritionist, unless that person holds a license or certificate issued by the board.
  2. Nothing in this chapter shall be construed to prevent or restrict:
    1. A person licensed in this state from carrying out any therapy or practice for which he is duly licensed, including but not limited to physicians, osteopaths, podiatrists, chiropractors, dentists, and nurses;
    2. A student enrolled in an approved academic program in dietetics, if the practice constitutes a part of a course of study under the supervision of a licensed dietitian or certified nutritionist. The student shall be designated by title clearly indicating his status as a student or trainee;
    3. A dietitian serving in the Armed Forces, the Public Health Service of the United States, or employed by the United States Department of Veterans Affairs from engaging in the practice of dietetics, if that practice is related to his service or employment;
    4. Persons performing the activities and services of a nutrition educator in the employment of a federal, state, county, or municipal agency or in an elementary or secondary school or accredited degree granting educational institution, if the activities and services are part of a salaried position;
    5. Federal, state, county, or municipal employees involved with nutrition related programs, including but not limited to, the cooperative extension services, child nutrition programs, and Project Headstart from engaging in the practice of dietetics or nutrition within the discharge of their official duties. Any person engaging in the practice of dietetics or nutrition outside the scope of his official duties shall be licensed as provided in this chapter; or
    6. Persons employed in a hospital or nursing home from performing dietary services under the supervision of a licensed dietitian.
  3. The provisions of this chapter shall not apply to a person who owns a health food store or who manufactures, distributes, or sells health foods, dietary supplements, or vitamins nor shall the provisions of this chapter be construed to affect any other person who provides nutritional or dietary advice or sells nutritional or dietary supplements if the person does not use the title dietitian, licensed dietitian, or certified nutritionist.

HISTORY: Enact. Acts 1994, ch. 319, § 4, effective July 15, 1994; 2017 ch. 42, § 15, effective June 29, 2017.

310.080. Licensure and certification until July 15, 1995, of applicants certified under prior law.

For a period of one (1) year from July 15, 1994, the board shall issue a license to an applicant who is currently certified as a dietitian and a certificate to an applicant who is currently certified as a nutritionist.

History. Enact. Acts 1994, ch. 319, § 10, effective July 15, 1994.

310.200. Duty of treating dietitian or nutritionist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating dietitian or nutritionist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of dietitian and nutrition services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 10, effective July 14, 2000.

310.990. Penalties.

  1. Any person who violates the provisions of this chapter or who seeks to be certified or is certified under false pretenses or as a result of fraudulent information, shall be guilty of a Class A misdemeanor.
  2. In addition, any person who violates the provisions of this chapter, shall be guilty of violating KRS 367.170 of the Consumer Protection Act and shall be subject to injunction and any other penalties provided for in KRS Chapter 367.

History. Enact. Acts 1988, ch. 246, § 7, effective July 15, 1988; 1994, ch. 319, § 9, effective July 15, 1994.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 311 Physicians, Osteopaths, Podiatrists, and Related Medical Practitioners

311.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (2615-1, 2615-2, 2616, 2618a-4, 2618a-7, 2618a-12: amend. Acts 1950, ch. 86, § 20) was repealed by Acts 1952, ch. 150, § 18.

311.020. Practice of medicine without license prohibited. [Repealed.]

Compiler’s Notes.

This section (2613-1, 2618, 2618a-4) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.030. Qualifications for examination. [Repealed.]

Compiler’s Notes.

This section (2613-1, 2613a-1) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.040. Application — Notice of examination — Form of certificate — Fee. [Repealed.]

Compiler’s Notes.

This section (2613-1, 2618a-2) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.050. Fee for examination to practice limited school or system of medicine. [Repealed.]

Compiler’s Notes.

This section (2618a-2) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.060. Examination. [Repealed.]

Compiler’s Notes.

This section (2613-2, 2618a-1) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.070. Examination of applicants — Limited schools or systems of practice. [Repealed.]

Compiler’s Notes.

This section (2618a-1, 2618a-3) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.080. Limited license — Purpose — Examination — Renewal. [Repealed.]

Compiler’s Notes.

This section (2613a-2) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.090. Registration required before practicing medicine. [Repealed.]

Compiler’s Notes.

This section (2612, 2618a-3) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.100. County clerk to keep medical register — Fee. [Repealed.]

Compiler’s Notes.

This section (2611) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.110. Grounds for suspension — Revocation — Refusal to issue license. [Repealed.]

Compiler’s Notes.

This section (2613a-4, 2615) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.120. Hearing on suspension — Revocation — Appeal to Governor from any action concerning license. [Repealed.]

Compiler’s Notes.

This section (2613a-4, 2615) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

311.130. Enforcement — Duty of state and local boards. [Repealed.]

Compiler’s Notes.

This section (2613a-5, 2617) was repealed by Acts 1952, ch. 150, § 18. For present law see KRS 311.530 to 311.620 .

Utilization Review

311.131. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 1, effective January 1, 1991; 1998, ch. 426, § 529, effective July 15, 1998) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-600 .

311.132. Certificate required for private review agent — Exceptions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 2, effective January 1, 1991; 1998, ch. 426, § 530, effective July 15, 1998) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-627 .

311.133. Administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 3, effective January 1, 1991; 1998, ch. 426, § 531, effective July 15, 1998) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-629 .

311.134. Requirements for health benefit program covering hospital and medical benefits and utilization review thereof. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 4, effective January 1, 1991) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-600 et seq.

311.135. Application for a certificate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 5, effective January 1, 1991) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-627 .

311.136. Expiration and renewal of certificate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 6, effective January 1, 1991) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-627 .

311.137. Revocation or denial of certificate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 7, effective January 1, 1991) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-627 .

311.138. Hearing and appeal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 8, effective January 1, 1991; 1996, ch. 318, § 252, effective July 15, 1996) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-600 et seq.

311.139. Confidentiality of individual medical records. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 495, § 9, effective January 1, 1991) was repealed by Acts 2000, ch. 262, § 35, effective July 14, 2000. For present law, see KRS 304.17A-623 .

311.140. Practice of optometry without license prohibited. [Repealed.]

Compiler’s Notes.

This section (2612, 2618a-3, 2618a-8, and 2618a-12) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Ch. 320.

311.150. Qualifications for license. [Repealed.]

Compiler’s Notes.

This section (2613-1, 2613a-1) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.160. Application — Notice of examination — Form of certificate. [Repealed.]

Compiler’s Notes.

This section (2613-1, 2618a-2) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

Anatomical Gifts

311.165. Definitions for KRS 311.165 to 311.235. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 1; 1992, ch. 447, § 1, effective July 14, 1992) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. For present law, see Revised Uniform Anatomical Gift Act, KRS 311.1911 , et seq.

311.170. Fees. [Repealed.]

Compiler’s Notes.

This section (2618a-2 and 2618a-5) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.171. Prohibitions and restrictions relating to transplantable organs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 447, § 2, effective July 14, 1992) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. For present law, see KRS 311.1911 et seq.

311.175. Persons who may execute an anatomical gift. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 2) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. For present law, see KRS 311.1911 et seq.

311.180. Examination. [Repealed.]

Compiler’s Notes.

This section (2613-2 and 2618a-1) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.185. Persons who may become donees — Purposes for which anatomical gifts may be made. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 3) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. For present law, see KRS 311.1911 et seq.

311.187. Removal of cornea or corneal tissue from decedent whose death defined as a coroner’s case — Conditions — Who may remove. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 41, § 1, effective July 15, 1980; 1986, ch. 481, § 1, effective July 15, 1986) was repealed, reenacted and amended as KRS 311.1961 by Acts 2010, ch. 161, § 26, effective July 15, 2010. For present law, see KRS 311.1911 et seq.

311.190. Special provisions concerning examination of optometrists. [Repealed.]

Compiler’s Notes.

This section (2618a-1) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

Revised Uniform Anatomical Gift Act

311.1911. Definitions for KRS 311.1911 to 311.1959.

As used in KRS 311.1911 to 311.1959 :

  1. “Adult” means an individual who is at least eighteen (18) years of age;
  2. “Agent” means an individual:
    1. Authorized to make health-care decisions on the principal’s behalf by a power of attorney for health care; or
    2. Expressly authorized to make an anatomical gift on the principal’s behalf by any other record signed by the principal;
  3. “Anatomical gift” means a donation of all or part of a human body to take effect after the donor’s death for the purpose of transplantation, therapy, research, or education;
  4. “Decedent” means a deceased individual whose body or part is or may be the source of an anatomical gift. The term includes a stillborn infant and, subject to restrictions imposed by law other than KRS 311.1911 to 311.1959 , a fetus; however, the term “fetus” does not include a blastocyst, embryo, or fetus that was the subject of an induced abortion;
  5. “Disinterested witness” means a witness other than the spouse, child, parent, sibling, grandchild, grandparent, or guardian of the individual who makes, amends, revokes, or refuses to make an anatomical gift, or another adult who exhibited special care and concern for the individual. The term does not include a person to which an anatomical gift could pass under KRS 311.1929 ;
  6. “Document of gift” means a donor card or other record used to make an anatomical gift. The term includes a statement or symbol on a driver’s license, identification card, or donor registry;
  7. “Donor” means an individual whose body or part is the subject of an anatomical gift;
  8. “Donor registry” means a database that contains records of anatomical gifts and amendments to or revocations of anatomical gifts;
  9. “Driver’s license” means a license or permit issued by the Transportation Cabinet to operate a vehicle, whether or not conditions are attached to the license or permit;
  10. “Eye bank” means a person that is licensed, accredited, or regulated under federal or state law to engage in the recovery, screening, testing, processing, storage, or distribution of human eyes or portions of human eyes;
  11. “Guardian” means a person appointed by a court to make decisions regarding the support, care, education, health, or welfare of an individual. The term does not include a guardian ad litem;
  12. “Hospital” means a facility licensed as a hospital under the law of any state or a facility operated as a hospital by the United States, a state, or a subdivision of a state;
  13. “Identification card” means an identification card issued by the Transportation Cabinet;
  14. “Know” means to have actual knowledge;
  15. “Minor” means an individual who is under eighteen (18) years of age;
  16. “Organ procurement organization” means a person designated by the Secretary of the United States Department of Health and Human Services as an organ procurement organization;
  17. “Parent” means a parent whose parental rights have not been terminated;
  18. “Part” means an organ, an eye, or tissue of a human being. The term does not include the whole body;
  19. “Person” means an individual, corporation, business trust, estate, trust, partnership, limited liability company, association, joint venture, public corporation, government or governmental subdivision, agency, or instrumentality, or any other legal or commercial entity;
  20. “Physician” means an individual authorized to practice medicine or osteopathy under the law of any state;
  21. “Procurement organization” means an eye bank, organ procurement organization, or tissue bank;
  22. “Prospective donor” means an individual who is dead or near death and has been determined by a procurement organization to have a part that could be medically suitable for transplantation, therapy, research, or education. The term does not include an individual who has made a refusal;
  23. “Reasonably available” means able to be contacted by a procurement organization without undue effort and willing and able to act in a timely manner consistent with existing medical criteria necessary for the making of an anatomical gift;
  24. “Recipient” means an individual into whose body a decedent’s part has been or is intended to be transplanted;
  25. “Record” means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form;
  26. “Refusal” means a record created under KRS 311.1921 that expressly states an intent to bar other persons from making an anatomical gift of an individual’s body or part;
  27. “Sign” means, with the present intent to authenticate or adopt a record:
    1. To execute or adopt a tangible symbol; or
    2. To attach to or logically associate with the record an electronic symbol, sound, or process;
  28. “State” means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States;
  29. “Technician” means an individual determined to be qualified to remove or process parts by an appropriate organization that is licensed, accredited, or regulated under federal or state law. The term includes an ocular enucleator;
  30. “Tissue” means a portion of the human body other than an organ or an eye. The term does not include:
    1. Blood unless the blood is donated for the purpose of research or education; or
    2. An ovum or sperm for the purpose of creating an embryo to be used in therapy, research, or education;
  31. “Tissue bank” means a person that is licensed, accredited, or regulated under federal or state law to engage in the recovery, screening, testing, processing, storage, or distribution of tissue; and
  32. “Transplant hospital” means a hospital that furnishes organ transplants and other medical and surgical specialty services required for the care of transplant patients.

History. Enact. Acts 2010, ch. 161, § 1, effective July 15, 2010.

311.1913. Application of KRS 311.1911 to 311.1959.

KRS 311.1911 to 311.1959 applies to an anatomical gift or amendment to, revocation of, or refusal to make an anatomical gift, whenever made.

History. Enact. Acts 2010, ch. 161, § 2, effective July 15, 2010.

311.1915. Who may make anatomical gift before donor’s death.

Subject to KRS 311.1923 , an anatomical gift of a donor’s body or part may be made during the life of the donor for the purpose of transplantation, therapy, research, or education in the manner provided in KRS 311.1917 by:

  1. The donor, if the donor is an adult or if the donor is a minor and is:
    1. Emancipated; or
    2. Authorized under state law to apply for a driver’s license because the donor is at least sixteen (16) years of age;
  2. An agent of the donor, unless the power of attorney for health care or other record prohibits the agent from making an anatomical gift;
  3. A parent of the donor, if the donor is an unemancipated minor; or
  4. The donor’s guardian.

History. Enact. Acts 2010, ch. 161, § 3, effective July 15, 2010.

311.1917. Manner of making anatomical gift before donor’s death.

  1. A donor may make an anatomical gift:
    1. By authorizing a statement or symbol indicating that the donor has made an anatomical gift to be imprinted on the donor’s driver’s license or identification card;
    2. In a will;
    3. During a terminal illness or injury of the donor, by any form of communication addressed to at least two (2) adults, at least one (1) of whom is a disinterested witness; or
    4. As provided in subsection (2) of this section.
  2. A donor or other person authorized to make an anatomical gift under KRS 311.1915 may make a gift by a donor card or other record signed by the donor or other person making the gift or by authorizing that a statement or symbol indicating that the donor has made an anatomical gift be included on a donor registry. If the donor or other person is physically unable to sign a record, the record may be signed by another individual at the direction of the donor or other person and shall:
    1. Be witnessed by at least two (2) adults, at least one (1) of whom is a disinterested witness, who have signed at the request of the donor or the other person; and
    2. State that it has been signed and witnessed as provided in paragraph (a) of this subsection.
  3. Revocation, suspension, expiration, or cancellation of a driver’s license or identification card upon which an anatomical gift is indicated does not invalidate the gift.
  4. An anatomical gift made by will takes effect upon the donor’s death whether or not the will is probated. Invalidation of the will after the donor’s death does not invalidate the gift.
  5. The making of an anatomical gift shall not under any circumstances be construed to authorize or direct the denial of health care or hydration and nourishment when the withholding or withdrawal of health care or hydration and nourishment will result in or hasten death.

History. Enact. Acts 2010, ch. 161, § 4, effective July 15, 2010.

311.1919. Amending or revoking anatomical gift before donor’s death.

  1. Subject to KRS 311.1923 , a donor or other person authorized to make an anatomical gift under KRS 311.1915 may amend or revoke an anatomical gift by:
    1. A record signed by:
      1. The donor;
      2. The other person; or
      3. Subject to subsection (2) of this section, another individual acting at the direction of the donor or the other person if the donor or other person is physically unable to sign; or
    2. A later-executed document of gift that amends or revokes a previous anatomical gift or portion of an anatomical gift, either expressly or by inconsistency.
  2. A record signed pursuant to subsection (1)(a)3. of this section shall:
    1. Be witnessed by at least two (2) adults, at least one (1) of whom is a disinterested witness, who have signed at the request of the donor or the other person; and
    2. State that it has been signed and witnessed as provided in paragraph (a) of this subsection.
  3. Subject to KRS 311.1923 , a donor or other person authorized to make an anatomical gift under KRS 311.1915 may revoke an anatomical gift by the destruction or cancellation of the document of gift, or the portion of the document of gift used to make the gift, with the intent to revoke the gift.
  4. A donor may amend or revoke an anatomical gift that was not made in a will by any form of communication during a terminal illness or injury addressed to at least two (2) adults, at least one (1) of whom is a disinterested witness.
  5. A donor who makes an anatomical gift in a will may amend or revoke the gift in the manner provided for amendment or revocation of wills or as provided in subsection (1) of this section.

History. Enact. Acts 2010, ch. 161, § 5, effective July 15, 2010.

311.1921. Refusal to make anatomical gift — Effect of refusal.

  1. An individual may refuse to make an anatomical gift of the individual’s body or part by:
    1. A record signed by:
      1. The individual; or
      2. Subject to subsection (2) of this section, another individual acting at the direction of the individual if the individual is physically unable to sign;
    2. The individual’s will, whether or not the will is admitted to probate or invalidated after the individual’s death; or
    3. Any form of communication made by the individual during the individual’s terminal illness or injury addressed to at least two (2) adults, at least one (1) of whom is a disinterested witness.
  2. A record signed pursuant to subsection (1)(a)2. of this section shall:
    1. Be witnessed by at least two (2) adults, at least one (1) of whom is a disinterested witness, who have signed at the request of the individual; and
    2. State that it has been signed and witnessed as provided in paragraph (a) of this subsection.
  3. An individual who has made a refusal may amend or revoke the refusal:
    1. In the manner provided in subsection (1) of this section for making a refusal;
    2. By subsequently making an anatomical gift pursuant to KRS 311.1917 that is inconsistent with the refusal; or
    3. By destroying or canceling the record evidencing the refusal, or the portion of the record used to make the refusal, with the intent to revoke the refusal.
  4. Except as otherwise provided in KRS 311.1923(8), in the absence of an express, contrary indication by the individual set forth in the refusal, an individual’s unrevoked refusal to make an anatomical gift of the individual’s body or part bars all other persons from making an anatomical gift of the individual’s body or part.

History. Enact. Acts 2010, ch. 161, § 6, effective July 15, 2010.

311.1923. Preclusive effect of anatomical gift, amendment, or revocation.

  1. Except as otherwise provided in subsection (7) of this section and subject to subsection (6) of this section, in the absence of an express, contrary indication by the donor, a person other than the donor is barred from making, amending, or revoking an anatomical gift of a donor’s body or part if the donor made an anatomical gift of the donor’s body or part under KRS 311.1917 or an amendment to an anatomical gift of the donor’s body or part under KRS 311.1919 .
  2. A donor’s revocation of an anatomical gift of the donor’s body or part under KRS 311.1919 is not a refusal and does not bar another person specified in KRS 311.1915 or 311.1925 from making an anatomical gift of the donor’s body or part under KRS 311.1917 or 311.1927 .
  3. If a person other than the donor makes an unrevoked anatomical gift of the donor’s body or part under KRS 311.1917 or an amendment to an anatomical gift of the donor’s body or part under KRS 311.1919 , another person may not make, amend, or revoke the gift of the donor’s body or part under KRS 311.1927 .
  4. A revocation of an anatomical gift of a donor’s body or part under KRS 311.1919 by a person other than the donor does not bar another person from making an anatomical gift of the body or part under KRS 311.1917 or 311.1927 .
  5. In the absence of an express, contrary indication by the donor or other person authorized to make an anatomical gift under KRS 311.1915 , an anatomical gift of a part is neither a refusal to give another part nor a limitation on the making of an anatomical gift of another part at a later time by the donor or another person.
  6. In the absence of an express, contrary indication by the donor or other person authorized to make an anatomical gift under KRS 311.1915 , an anatomical gift of a part for one (1) or more of the purposes set forth in KRS 311.1915 is not a limitation on the making of an anatomical gift of the part for any of the other purposes by the donor or any other person under KRS 311.1917 or 311.1927 .
  7. If a donor who is an unemancipated minor dies, a parent of the donor who is reasonably available may revoke or amend an anatomical gift of the donor’s body or part.
  8. If an unemancipated minor who signed a refusal dies, a parent of the minor who is reasonably available may revoke the minor’s refusal.

History. Enact. Acts 2010, ch. 161, § 7, effective July 15, 2010.

311.1925. Who may make anatomical gift of decedent’s body or part.

  1. Subject to subsections (2) and (3) of this section and unless barred by KRS 311.1921 or 311.1923 , an anatomical gift of a decedent’s body or part for purpose of transplantation, therapy, research, or education may be made by any member of the following classes of persons who is reasonably available, in the order of priority listed:
    1. An agent of the decedent at the time of death who could have made an anatomical gift under KRS 311.1915(2) immediately before the decedent’s death;
    2. The spouse of the decedent;
    3. Adult children of the decedent;
    4. Parents of the decedent;
    5. Adult siblings of the decedent;
    6. Adult grandchildren of the decedent;
    7. Grandparents of the decedent; and
    8. The persons who were acting as the guardians of the person of the decedent at the time of death.
  2. If there is more than one (1) member of a class listed in subsection (1)(a), (c), (d), (e), (f), (g), or (h) of this section entitled to make an anatomical gift, an anatomical gift may be made by a member of the class unless that member or a person to which the gift may pass under KRS 311.1929 knows of an objection by another member of the class. If an objection is known, the gift may be made only by a majority of the members of the class who are reasonably available.
  3. A person may not make an anatomical gift if, at the time of the decedent’s death, a person in a prior class under subsection (1) of this section is reasonably available to make or to object to the making of an anatomical gift.

History. Enact. Acts 2010, ch. 161, § 8, effective July 15, 2010.

311.1927. Manner of making, amending, or revoking anatomical gift of decedent’s body or part.

  1. A person authorized to make an anatomical gift under KRS 311.1925 may make an anatomical gift by a document of gift signed by the person making the gift or by that person’s oral communication that is electronically recorded or is contemporaneously reduced to a record and signed by the individual receiving the oral communication.
  2. Subject to subsection (3) of this section, an anatomical gift by a person authorized under KRS 311.1925 may be amended or revoked orally or in a record by any member of a prior class who is reasonably available. If more than one (1) member of the prior class is reasonably available, the gift made by a person authorized under KRS 311.1925 may be:
    1. Amended only if a majority of the reasonably available members agree to the amending of the gift; or
    2. Revoked only if a majority of the reasonably available members agree to the revoking of the gift or if they are equally divided as to whether to revoke the gift.
  3. A revocation under subsection (2) of this section is effective only if, before an incision has been made to remove a part from the donor’s body or before invasive procedures have begun to prepare the recipient, the procurement organization, transplant hospital, or physician or technician knows of the revocation.

History. Enact. Acts 2010, ch. 161, § 9, effective July 15, 2010.

311.1929. Persons that may receive anatomical gift — Purpose of anatomical gift.

  1. An anatomical gift may be made to the following persons named in the document of gift:
    1. A hospital; accredited medical school, dental school, college, or university; organ procurement organization; or other appropriate person, for research or education;
    2. Subject to subsection (2) of this section, an individual designated by the person making the anatomical gift if the individual is the recipient of the part; or
    3. An eye bank or tissue bank.
  2. If an anatomical gift to an individual under subsection (1)(b) of this section cannot be transplanted into the individual, the part passes in accordance with subsection (7) of this section in the absence of an express, contrary indication by the person making the anatomical gift.
  3. If an anatomical gift of one (1) or more specific parts or of all parts is made in a document of gift that does not name a person described in subsection (1) of this section but identifies the purpose for which an anatomical gift may be used, the following rules apply:
    1. If the part is an eye and the gift is for the purpose of transplantation or therapy, the gift passes to the appropriate eye bank;
    2. If the part is tissue and the gift is for the purpose of transplantation or therapy, the gift passes to the appropriate tissue bank;
    3. If the part is an organ and the gift is for the purpose of transplantation or therapy, the gift passes to the appropriate organ procurement organization as custodian of the organ; or
    4. If the part is an organ, an eye, or tissue and the gift is for the purpose of research or education, the gift passes to the appropriate procurement organization.
  4. For the purpose of subsection (3) of this section, if there is more than one (1) purpose of an anatomical gift set forth in the document of gift but the purposes are not set forth in any priority, the gift shall be used for transplantation or therapy, if suitable. If the gift cannot be used for transplantation or therapy, the gift may be used for research or education.
  5. If an anatomical gift of one (1) or more specific parts is made in a document of gift that does not name a person described in subsection (1) of this section and does not identify the purpose of the gift, the gift may be used only for transplantation or therapy, and the gift passes in accordance with subsection (7) of this section.
  6. If a document of gift specifies only a general intent to make an anatomical gift by words such as “donor,” “organ donor,” or “body donor,” or by a symbol or statement of similar import, the gift may be used only for transplantation or therapy, and the gift passes in accordance with subsection (7) of this section.
  7. For purposes of subsections (2), (5), and (6) of this section the following rules apply:
    1. If the part is an eye, the gift passes to the appropriate eye bank;
    2. If the part is tissue, the gift passes to the appropriate tissue bank, except that a tissue bank shall not receive an ovum or sperm for the purpose of creating an embryo to be used in therapy, research, or education; or
    3. If the part is an organ, the gift passes to the appropriate organ procurement organization as custodian of the organ.
  8. An anatomical gift of an organ for transplantation or therapy, other than an anatomical gift under subsection (1)(b) of this section, passes to the organ procurement organization as custodian of the organ.
  9. If an anatomical gift does not pass pursuant to subsections (1) to (8) of this section or the decedent’s body or part is not used for transplantation, therapy, research, or education, custody of the body or part passes to the person under obligation to dispose of the body or part.
  10. A person may not accept an anatomical gift if the person knows that the gift was not effectively made under KRS 311.1917 or 311.1927 or if the person knows that the decedent made a refusal under KRS 311.1921 that was not revoked. For purposes of the subsection, if a person knows that an anatomical gift was made on a document of gift, the person is deemed to know of any amendment or revocation of the gift or any refusal to make an anatomical gift on the same document of gift.
  11. Except as otherwise provided in subsection (1)(b) of this section, nothing in KRS 311.1911 to 311.1959 affects the allocation of organs for transplantation or therapy.

History. Enact. Acts 2010, ch. 161, § 10, effective July 15, 2010.

311.1931. Search and notification.

  1. The following persons shall make a reasonable search of an individual who the person reasonably believes is dead or near death for a document of gift or other information identifying the individual as a donor or as an individual who made a refusal:
    1. A law enforcement officer, firefighter, paramedic, or other emergency rescuer finding the individual; and
    2. If no other source of the information is immediately available, a hospital, as soon as practical after the individual’s arrival at the hospital.
  2. If a document of gift or a refusal to make an anatomical gift is located by the search required by subsection (1)(a) of this section, and the individual or deceased individual to whom it relates is taken to a hospital, the person responsible for conducting the search shall send the document of gift or refusal to the hospital.
  3. A person is not subject to criminal or civil liability for failing to discharge the duties imposed by this section but may be subject to administrative sanctions.

History. Enact. Acts 2010, ch. 161, § 11, effective July 15, 2010.

311.1933. Delivery of document of gift not required — Right to examine.

  1. A document of gift need not be delivered during the donor’s lifetime to be effective.
  2. Upon or after an individual’s death, a person in possession of a document of gift or a refusal to make an anatomical gift with respect to the individual shall allow examination and copying of the document of gift or refusal by a person authorized to make or object to the making of an anatomical gift with respect to the individual or by a person to which the gift could pass under KRS 311.1929 .

History. Enact. Acts 2010, ch. 161, § 12, effective July 15, 2010.

311.1935. Rights and duties of procurement organization and others.

  1. When a hospital refers an individual at or near death to a procurement organization, the organization shall make a reasonable search of the records of the Transportation Cabinet, the registry created under KRS 311.1947 , and any donor registry that it knows exists for the geographical area in which the individual resides to ascertain whether the individual has made an anatomical gift.
  2. A procurement organization shall be allowed reasonable access to information in the records of the registries listed in subsection (1) of this section to ascertain whether an individual at or near death is a donor.
  3. When a hospital refers an individual at or near death to a procurement organization, the organization may conduct any reasonable examination of records necessary to ensure the medical suitability of a part that is or could be the subject of an anatomical gift for transplantation, therapy, research, or education from a donor or a prospective donor. During the examination period, measures necessary to ensure the medical suitability of the part may not be withdrawn unless the hospital or procurement organization knows that the individual expressed a contrary intent. Measures necessary to ensure the medical suitability of the part from a prospective donor may be administered unless it is determined that the administration of those measures would not provide the prospective donor with appropriate end-of-life care, or it can be anticipated by reasonable medical judgment that such measures would result in or hasten the prospective donor’s death.
  4. Unless prohibited by law other than KRS 311.1911 to 311.1959 , at any time after a donor’s death, the person to which a part passes under KRS 311.1929 may conduct any reasonable examination necessary to ensure the medical suitability of the body or part for its intended purpose.
  5. Unless prohibited by law other than KRS 311.1911 to 311.1959 , an examination under subsection (3) or (4) of this section may include an examination of all medical and dental records of the donor or prospective donor.
  6. Upon the death of a minor who was a donor or had signed a refusal, unless a procurement organization knows the minor is emancipated, the procurement organization shall conduct a reasonable search for the parents of the minor and provide the parents with an opportunity to revoke or amend the anatomical gift or revoke the refusal.
  7. Upon referral by a hospital under subsection (1) of this section, a procurement organization shall make a reasonable search for any person listed in KRS 311.1925 having priority to make an anatomical gift on behalf of a prospective donor. If a procurement organization receives information that an anatomical gift to any other person was made, amended, or revoked, it shall promptly advise the other person of all relevant information.
  8. Subject to KRS 311.1929 (9) and 311.1953 , the rights of the person to which a part passes under KRS 311.1929 are superior to the rights of all others with respect to the part. The person may accept or reject an anatomical gift in whole or in part. Subject to the terms of the document of gift and KRS 311.1911 to 311.1959 , a person that accepts an anatomical gift of an entire body may allow embalming, burial, or cremation, and use of remains in a funeral service. If the gift is of a part, the person to which the part passes under KRS 311.1929, upon the death of the donor and before embalming, burial, or cremation, shall cause the part to be removed without unnecessary mutilation.
  9. Neither the physician who attends the decedent at death nor the physician who determines the time of the decedent’s death may participate in the procedures for removing or transplanting a part from the decedent.
  10. A physician or technician may remove a donated part from the body of a donor that the physician or technician is qualified to remove.

History. Enact. Acts 2010, ch. 161, § 13, effective July 15, 2010.

311.1937. Coordination of procurement and use.

Each hospital in this state shall enter into agreements or affiliations with procurement organizations for coordination of procurement and use of anatomical gifts.

History. Enact. Acts 2010, ch. 161, § 14, effective July 15, 2010.

311.1939. Sale, purchase, procurement, transfer, or distribution of parts for consideration prohibited — Penalty — Exemption.

  1. Except as otherwise provided in subsection (4) of this section, a person shall not, for valuable consideration, knowingly purchase, sell, transfer, or offer to purchase, sell, or transfer a part for transplantation or therapy if removal of a part from an individual has occurred, is intended to occur, or after the individual’s death.
  2. A for-profit entity shall not engage, directly or indirectly, in the procurement, transfer, or distribution of any human eye, cornea, eye tissue, corneal tissue, or portions of eyes.
  3. A person who knowingly violates any of the provisions in this section shall be imprisoned in the penitentiary for not less than one (1) nor more than five (5) years or be fined not more than fifty thousand dollars ($50,000), or both.
  4. A nonprofit entity may charge a reasonable amount for the removal, processing, preservation, quality control, storage, transportation, implantation, or disposal of a part.

History. Enact. Acts 2010, ch. 161, § 15, effective July 15, 2010; 2021 ch. 49, § 1, effective June 29, 2021.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

311.1941. Other prohibited acts.

A person that, in order to obtain a financial gain, intentionally falsifies, forges, conceals, defaces, or obliterates a document of gift, an amendment or revocation of a document of gift, or a refusal shall be imprisoned in the penitentiary for not less than one (1) nor more than five (5) years or be fined not more than fifty thousand dollars ($50,000), or both.

History. Enact. Acts 2010, ch. 161, § 16, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

311.1943. Immunity for persons acting in accordance with KRS 311.1911 to 311.1959, anatomical gift laws of another state, or in good faith.

  1. A person that acts in accordance with KRS 311.1911 to 311.1959 or with the applicable anatomical gift law of another state, or attempts in good faith to do so, is not liable for the act in a civil action, criminal prosecution, or administrative proceeding.
  2. Neither the person making an anatomical gift nor the donor’s estate is liable for any injury or damage that results from the making or use of the gift.
  3. In determining whether an anatomical gift has been made, amended, or revoked under KRS 311.1911 to 311.1959 , a person may rely upon representations of an individual listed in KRS 311.1925(1)(b), (c), (d), (e), (f), or (g) relating to the individual’s relationship to the donor or prospective donor unless the person knows that the representation is untrue.

History. Enact. Acts 2010, ch. 161, § 17, effective July 15, 2010.

311.1945. Law governing validity of document of gift — Choice of law — Presumption of validity.

  1. A document of gift is valid if executed in accordance with:
    1. KRS 311.1911 to 311.1959 ;
    2. The laws of the state or country where it was executed; or
    3. The laws of the state or country where the person making the anatomical gift was domiciled, has a place of residence, or was a national at the time the document of gift was executed.
  2. If a document of gift is valid under this section, the law of this state governs the interpretation of the document of gift.
  3. A person may presume that a document of gift or amendment of an anatomical gift is valid unless that person knows that it was not validly executed or was revoked.

History. Enact. Acts 2010, ch. 161, § 18, effective July 15, 2010.

311.1947. Statewide electronic registry for organ and tissue donations — Collaboration among agencies — Strategies for operation.

  1. Contingent upon the availability of funding, the Cabinet for Health and Family Services shall facilitate the establishment of a statewide electronic registry for organ and tissue donation for transplantation purposes. The cabinet may contract with a public or private nonprofit entity to perform gatekeeper functions of the registry that include but are not limited to the operation, maintenance, privacy, and security of the registry.
  2. An ongoing collaboration shall be established among the Transportation Cabinet, the Cabinet for Health and Family Services, the Kentucky Circuit Court Clerks Trust for Life, the Kentucky Hospital Association, the Kentucky Medical Association, and the federally certified organ and tissue procurement organizations that operate in Kentucky to develop strategies for the operation of the registry. Strategies shall include but not be limited to:
    1. Donor designation at the time of application or renewal of a driver’s license;
    2. Donor designation at the time of application or renewal of a state identification card;
    3. Donor designation on the Commonwealth’s single sign-on system;
    4. Other online registration as a donor;
    5. Removal or exit from the registry;
    6. Timely access to the registry by relevant parties in accordance with federal laws and regulations relating to organ and tissue donation and procurement for transplantation purposes; and
    7. Evaluation of the effectiveness of the registry.
  3. The cabinet may promulgate administrative regulations pursuant to KRS Chapter 13A to implement the provisions of this section.

HISTORY: Repealed and reenact., Acts 2010, ch. 161, § 19, effective July 15, 2010; 2019 ch. 1, § 1, effective January 1, 2020.

Compiler’s Notes.

This section was formerly compiled as KRS 194A.750 .

311.1949. Effect of anatomical gift or advance health-care directive.

  1. As used in this section:
    1. “Advance health-care directive” means a power of attorney for health care or a record signed or authorized by a prospective donor containing the prospective donor’s direction concerning a health-care decision for the prospective donor;
    2. “Declaration” means a record signed by a prospective donor specifying the circumstances under which a life support system may be withheld or withdrawn from the prospective donor; and
    3. “Health-care decision” means any decision regarding the health care of the prospective donor.
  2. If a prospective donor has a declaration or advance health-care directive and the terms of the declaration or directive and the express or implied terms of a potential anatomical gift are in conflict with regard to the administration of measures necessary to ensure the medical suitability of a part for transplantation or therapy, the prospective donor’s attending physician and prospective donor shall confer to resolve the conflict. If the prospective donor is incapable of resolving the conflict, an agent acting under the prospective donor’s declaration or directive, or, if none or the agent is not reasonably available, another person authorized by law other than KRS 311.1911 to 311.1959 to make health-care decisions on behalf of the prospective donor, shall act for the donor to resolve the conflict. Information relevant to the resolution of the conflict may be obtained from the appropriate procurement organization and any other person authorized to make an anatomical gift for the prospective donor under KRS 311.1925 . Before the resolution of the conflict, measures necessary to ensure the medical suitability of the part from a prospective donor may be administered unless it is determined that the administration of those measures would not provide the prospective donor appropriate end-of-life care, or it can be anticipated by reasonable medical judgment that such measures would result in or hasten the prospective donor’s death. If the conflict is not resolved expeditiously, the direction of the declaration or advance directive controls.

History. Enact. Acts 2010, ch. 161, § 20, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Kentucky Living Will Directive Act, see KRS 311.621 et seq.

311.195. Manner of executing anatomical gifts. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 4; 1974, ch. 15, § 2) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010.

311.1951. Cooperation among medical examiner, coroner, and tissue procurement organizations.

  1. A medical examiner, coroner, and organ and tissue procurement organizations shall cooperate with each other to maximize the opportunity to recover anatomical gifts for the purpose of transplantation and therapy.
  2. If a medical examiner or coroner receives notice from a procurement organization that an anatomical gift might be available or was made with respect to a decedent whose body is under the jurisdiction of the medical examiner or coroner and a postmortem examination is going to be performed, unless the medical examiner or coroner denies recovery in accordance with KRS 311.1953 , the medical examiner or coroner or designee shall conduct, when practicable, a postmortem examination of the body or the part in a manner and within a period compatible with its preservation for the purposes of the gift.
  3. A part may not be removed from the body of a decedent under the jurisdiction of a medical examiner or coroner for transplantation and therapy unless the part is the subject of an anatomical gift of organs or tissues for transplantation.

History. Enact. Acts 2010, ch. 161, § 21, effective July 15, 2010.

311.1953. Facilitation of anatomical gift from decedent whose body is under jurisdiction of the medical examiner or coroner.

    1. If a medical examiner or coroner has knowledge that a decedent whose body is under his or her jurisdiction wishes to be an organ or tissue donor, or upon request of a procurement organization, a medical examiner or coroner shall release to the procurement organization the name, contact information, and available medical and social history of a decedent whose body is under the jurisdiction of the medical examiner or coroner. (1) (a) If a medical examiner or coroner has knowledge that a decedent whose body is under his or her jurisdiction wishes to be an organ or tissue donor, or upon request of a procurement organization, a medical examiner or coroner shall release to the procurement organization the name, contact information, and available medical and social history of a decedent whose body is under the jurisdiction of the medical examiner or coroner.
    2. If the body or part of the decedent identified in paragraph (a) of this subsection is medically suitable for transplantation or therapy, the medical examiner or coroner shall release relevant postmortem examination results to the procurement organization.
    3. The procurement organization may make a subsequent disclosure of the postmortem examination results or other information received from the medical examiner or coroner only if relevant to transplantation or therapy.
  1. The medical examiner or coroner may conduct a medicolegal investigation by reviewing all medical records, laboratory test results, X-rays, other diagnostic results, and other information that any person possesses about a donor or prospective donor whose body is under the jurisdiction of the medical examiner or coroner that the medical examiner or coroner determines may be relevant to the investigation.
  2. A person that has any information requested by a medical examiner or coroner pursuant to subsection (2) of this section shall provide that information as expeditiously as possible to allow the medical examiner or coroner to conduct the medicolegal investigation within a period compatible with the preservation of parts for the purpose of transplantation or therapy.
  3. If an anatomical gift has been or might be made of a part of a decedent whose body is under the jurisdiction of the medical examiner or coroner and a postmortem examination is not required, or the medical examiner or coroner determines that a postmortem examination is required but that the recovery of the part that is the subject of an anatomical gift will not interfere with the examination, the medical examiner or coroner and the procurement organization shall cooperate in the timely removal of the part from the decedent for the purpose of transplantation or therapy.
  4. The medical examiner and procurement organizations shall enter into an agreement setting forth protocols and procedures to govern relations between the parties when an anatomical gift of a part from a decedent under the jurisdiction of the medical examiner has been or might be made, but the medical examiner believes that the recovery of the part could interfere with the postmortem investigation into the decedent’s cause or manner of death. Decisions regarding the recovery of organs, tissue, and eyes from such a decedent shall be made in accordance with the agreement. In the event that the medical examiner or coroner denies recovery of an anatomical gift, the procurement organization may request the chief medical examiner to reconsider the denial and to permit the recovery to proceed. The parties shall evaluate the effectiveness of the protocols and procedures at regular intervals.
  5. If the medical examiner or coroner or designee allows recovery of a part under subsection (4) or (5) of this section, the procurement organization, upon request, shall cause the physician or technician who removes the part to provide the medical examiner or coroner with a record describing the condition of the part, a biopsy, a photograph, and any other information and observations that would assist in the postmortem examination.
  6. If the chief medical examiner or coroner determines that a medical examiner or designee is required to be present at a removal procedure under subsection (5) of this section, upon request the procurement organization requesting the recovery of the part shall reimburse the medical examiner, or coroner, or designee for the additional cost incurred in complying with subsection (5) of this section.

HISTORY: Enact. Acts 2010, ch. 161, § 22, effective July 15, 2010; 2018 ch. 5, § 1, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). Section 2 of 2018 Ky. Acts ch. 5 states that Section 1 of that Act, which amended this statute, may be cited as Courtney’s Law.

311.1955. Uniformity of application and construction of the Revised Uniform Anatomical Gift Act, KRS 311.1911 to 311.1959.

In applying and construing the Revised Uniform Anatomical Gift Act, KRS 311.1911 to 311.1959 , consideration shall be given to the need to promote uniformity of the law with respect to its subject matter among states that enact it.

History. Enact. Acts 2010, ch. 161, § 23, effective July 15, 2010.

311.1957. Relation of KRS 311.1911 to 311.1959 to Electronic Signatures in Global and National Commerce Act.

The Revised Uniform Anatomical Gift Act, KRS 311.1911 to 311.1959 , modifies, limits, and supersedes the Electronic Signatures in Global and National Commerce Act, 15 U.S.C. secs. 7001 et seq., but does not modify, limit, or supersede sec. 101(a) of that act, 15 U.S.C. sec. 7001 , or authorize electronic delivery of any of the notices described in sec. 103(b) of that act, 15 U.S.C. sec. 7003(b) .

History. Enact. Acts 2010, ch. 161, § 24, effective July 15, 2010.

311.1959. Short title for KRS 311.1911 to 311.1959.

KRS 311.1911 to 311.1959 may be cited as the Revised Uniform Anatomical Gift Act.

History. Enact. Acts 2010, ch. 161, § 25, effective July 15, 2010.

311.1961. Removal of cornea or corneal tissue from decedent whose death defined as a coroner’s case — Conditions — Who may remove.

  1. In any case in which a patient is in need of a cornea or corneal tissue for a transplant, the coroner, medical examiner, or his appropriately qualified designee with training in ophthalmologic techniques may, upon the request of any person authorized under KRS 311.1929 , provide or authorize the removal of the cornea or corneal tissue by a qualified physician under the following conditions:
    1. The decedent has been defined as a “coroner’s case” as set forth by KRS 72.405(2), an autopsy has been ordered pursuant to KRS 72.410 , and the cornea or corneal tissue are suitable for transplant;
    2. No objection by the next of kin is known by the coroner or medical examiner; and
    3. The removal of the cornea or corneal tissue will not interfere with the subsequent course of an investigation or autopsy or alter the postmortem facial appearance.
  2. The medical examiner, coroner, or his appropriately qualified designee or any persons authorized under KRS 311.1929 shall not be held liable in any civil or criminal action for failure to obtain consent of the next of kin.
  3. An individual certified by a department of ophthalmology in an accredited school of medicine as having received competent training, may remove corneas for gift after proper certification of death by a physician and in compliance with the provisions of KRS 311.1915 , 311.1925 , 311.1929 , and 311.1935 .

History. Repealed, reenact. and amend., Acts 2010, ch. 161 § 26, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 311.187 .

311.1963. Family of donor not financially liable for cost of evaluation of donor organ suitability or retrieval of organ.

The family of any individual whose organ is donated for transplantation shall not be financially liable for any cost related to the evaluation of donor organ suitability and any cost of retrieval of the organ.

History. Repealed and reenact., Acts 2010, ch. 161, § 27, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 311.243 .

311.200. Registration required before practicing optometry. [Repealed.]

Compiler’s Notes.

This section (2612 and 2618a-3) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.205. Delivery of document of gift. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 5) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.210. Grounds for suspension, revocation, refusal to issue license. [Repealed.]

Compiler’s Notes.

This section (2615, 2618a-6, and 2618a-9: amend. Acts 1948, ch. 17, effective June 17, 1948) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.215. Amendment or revocation of the gift. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 6; 1992, ch. 447, § 3, effective July 14, 1992) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.220. Reissuance. [Repealed.]

Compiler’s Notes.

This section (2618a-11) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.225. Rights and duties at death. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, § 7; 1992, ch. 447, § 4, effective July 14, 1992) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.230. Board may make rules; bring injunction proceedings. [Repealed.]

Compiler’s Notes.

This section (2618a-10) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.235. Uniformity of interpretation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 68, §§ 8, 9) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.236. Disposition of organs given as anatomical gifts for which no donee is specified — Reciprocal agreements among organ procurement organizations — Restrictions upon out-of-state organ transfers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 4, § 1, effective July 14, 2000) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.237. Requirement to honor donor’s wishes unless revoked. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 88, § 1, effective July 14, 2000) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.240. Person practicing illegally not entitled to compensation. [Repealed.]

Compiler’s Notes.

This section (2618a-12) was repealed by Acts 1950, ch. 86, § 21. For present law see KRS Chapter 320.

311.241. Hospitals to establish organ-procurement protocol — Notification to federally certified organ-procurement organization of potential availability of organ and identity of potential donor — Reporting of information on sale, purchase, or brokering of transplantable organs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 19, § 1, effective July 15, 1986; 1992, ch. 447, § 5, effective July 14, 1992; 1998, ch. 426, § 532, effective July 15, 1998; 2005, ch. 99, § 581, effective June 20, 2005) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.243. Family of donor not financially liable for cost of evaluation of donor organ suitability or retrieval of organ. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 19, § 2, effective July 15, 1986) was repealed and reenacted as KRS 311.1963 by Acts 2010, ch. 161, § 27, effective July 15, 2010.

311.245. Duty of hospital and allied health personnel to make known patient’s intent to donate organ. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 19, § 3, effective July 15, 1986) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

311.247. Duty of law enforcement and medical personnel in accident and coroners’ cases. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 19, § 4, effective July 15, 1986) was repealed by Acts 2010, ch. 161, § 36, effective July 15, 2010. See now KRS 311.1911 to 311.1959 .

General Provisions

311.250. Itinerant medical company to obtain license — Fee.

No itinerant medical company of two (2) or more persons shall travel as a troupe or company as vendors of any drug, nostrum, or instrument intended for the treatment of any disease or injury, or by any writing or printing profess to the public to treat disease or deformity by the use of any drug, nostrum, or instrument without first obtaining a license from the secretary for health and family services. The fee for such license shall be one hundred dollars ($100) per month. The secretary shall issue licenses to reputable and worthy applicants upon payment of the fee each month, but may for sufficient cause refuse to issue such license.

History. 2615-3: amend. Acts 1968, ch. 152, § 144; 1974, ch. 74, Art. VI, § 107(10); 1998, ch. 426, § 533, effective July 15, 1998; 2005, ch. 99, § 582, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Administrative organization and regulations, KRS Chapters 12, 13A.

Chiropractors, KRS Chapter 312.

Communicable diseases, KRS Chapter 214.

Dentists and dental specialists, KRS Chapter 313.

Embalmers and funeral directors, KRS Chapter 316.

Hospitals, KRS Chapters 216, 216A, 216B.

Legal notices, KRS Chapter 424.

Ophthalmic dispensers, KRS Chapter 326.

Optometrists, KRS Chapter 320.

Pharmacists, KRS Chapter 315.

Physical therapists, KRS Chapter 327.

Psychologists, KRS Chapter 319.

Registered and practical nurses, KRS Chapter 314.

Testing of blood specimens of pregnant women, KRS 214.160 , 214.170 .

Veterinarians, KRS Chapter 321.

Vital statistics, KRS Chapter 213.

Workers’ compensation act, fees of physicians thereunder regulated, KRS 342.320 .

311.260. Itinerant doctors not to register or practice.

Nothing in this chapter shall authorize any itinerant doctor to register or to practice medicine in this state.

History. 2614.

311.270. Selling the patient, what constitutes. [Repealed.]

Compiler’s Notes.

This section (2618b-1) was repealed by Acts 1952, ch. 150, § 18.

311.271. Preliminary educational requirements for practitioners of healing arts.

  1. No person shall be eligible for licensure to practice any healing art in this state unless and until he furnishes satisfactory evidence to the appropriate licensing agency, that prior to being licensed by the respective state agency that he was credited with not less than sixty (60) transferable units of study by a college or university accredited by the Southern Association of Colleges and Schools or an accrediting agency recognized by the Southern Association of Colleges and Schools or any successor to the powers of either; provided, however, that the transferability of credits from colleges and universities located outside the United States and Canada shall be determined by the appropriate licensing agency.
    1. The term “healing art,” as used herein, includes the practices of medicine, osteopathy, dentistry, chiropody (podiatry), optometry, and chiropractic, but does not include the practices of Christian Science or midwifery or the provision of certified professional midwifery services by a licensed certified professional midwife as defined in KRS 314.400 . (2) (a) The term “healing art,” as used herein, includes the practices of medicine, osteopathy, dentistry, chiropody (podiatry), optometry, and chiropractic, but does not include the practices of Christian Science or midwifery or the provision of certified professional midwifery services by a licensed certified professional midwife as defined in KRS 314.400 .
    2. The term “transferable units of study” means semester hour (or equivalent) credits and may include advance placement credits.
  2. This section shall not apply to any student who is enrolled in any school of medicine, osteopathy, dentistry, chiropody (podiatry), optometry, or chiropractic on June 13, 1968, nor shall it affect the right of any person who is presently licensed to practice a healing art in this state, to have his license renewed upon compliance with all other requirements of law.

History. Enact. Acts 1968, ch. 53, §§ 1 to 3; 2019 ch. 104, § 11, effective June 27, 2019.

Opinions of Attorney General.

The definition of healing art in subdivision (2)(a) of this section is not applicable to KRS Chapter 216B, since the language of subdivision (2)(a) of this section specifically limits the definition to those instances where the term is used in KRS Chapter 311, and since that statute was enacted well before KRS Chapter 216B. OAG 90-14 .

311.275. Request to expunge minor violations from permanent record — Administrative regulations.

  1. Any licensee, permit holder, or certificate holder who is disciplined under this chapter for a minor violation may request in writing that the board expunge the minor violation from the licensee’s, permit holder’s, or certificate holder’s permanent record.
    1. The request for expungement may be filed no sooner than three (3) years after the date on which the licensee, permit holder, or certificate holder has completed disciplinary sanctions imposed and if the licensee, permit holder, or certificate holder has not been disciplined for any subsequent violation of the same nature within this period of time.
    2. No person may have his or her record expunged under this chapter more than once.
  2. The board shall promulgate administrative regulations under KRS Chapter 13A to establish violations which are minor violations under this section. A violation shall be deemed a minor violation if it does not demonstrate a serious inability to practice the profession; adversely affect the public health, safety or welfare; or result in economic or physical harm to a person, or create a significant threat of such harm.

History. Enact. Acts 2002, ch. 335, § 3, effective July 15, 2002.

Legislative Research Commission Note.

(7/15/2002). A manifest clerical or typographical error has been corrected in codification in subsection (1)(a) of this statute as amended by 2002 Ky. Acts ch. 335, sec. 3, under the authority of KRS 7.136(1)(h), by removing the duplicated words “completed disciplinary sanctions imposed and if the licensee, permit holder, or certificate holder has.”

311.280. Division of fees without consent of patient. [Repealed.]

Compiler’s Notes.

This section (2618b-3) was repealed by Acts 1952, ch. 150, § 18.

311.281. Testing of organs, skin, or other human tissue for HIV and other communicable diseases, with informed consent.

  1. Every donation of organs, skins, or other human tissue for transplantation to another shall be tested by the agency responsible for procuring the organ, skin, or other human tissue prior to use for human immunodeficiency virus infection and other communicable diseases specified by the United Network for Organ Sharing, American Association of Tissue Banks, and Eye Bank Association of America. Tests for the human immunodeficiency virus infection shall be performed only after obtaining written, informed consent from the potential donor or the donor’s legal representative. Obtaining consent shall include a fair explanation of the procedures to be followed and the meaning and use of the test results. The explanation shall include a description of the confidential nature of the test as described in KRS 214.625 . If consent for testing is not given, the person shall not be accepted as a donor.
  2. Notwithstanding the provisions of subsection (1) of this section, written informed consent to perform testing shall not be required if the organ, skin, or other human tissue is received for processing or testing from out-of-state or if tissue is received from a health care facility or health care provider for reference testing or processing and the results of the test are reported back to the facility or provider.
  3. No person shall collect any organ, skin, or other human tissue from one (1) human being and hold it for, or actually perform, any implantation, transplantation, grafting, or any other method of transfer to another human being without first testing the tissue for the human immunodeficiency virus and other communicable diseases specified by the United Network for Organ Sharing, American Association of Tissue Banks, and Eye Bank Association of America, or without performing another process approved by the United Network for Organ Sharing, American Association of Tissue Banks, and Eye Bank Association of America capable of killing the causative agent of those diseases.
  4. All human organs, skin, or other human tissue which is to be transplanted to another and is found positive for human immunodeficiency virus or other communicable disease specified by the United Network for Organ Sharing, American Association of Tissue Banks, and Eye Bank Association of America shall be rendered noncommunicable by the person holding the tissue or shall be destroyed, unless the human tissue is specifically labeled to identify the human immunodeficiency virus and:
    1. Is used for research purposes; or
    2. Is used to save the life of another and is transferred with the recipient’s informed consent.
  5. Each agency which procures organs, skin, or other human tissue, who finds evidence after confirmatory testing of human immunodeficiency virus in the donor, shall notify the donor or legal representative. If the donor is a patient of a health facility within the Commonwealth, the following information shall be given:
    1. The meaning of the test results;
    2. Measures for the prevention of the transmission of the human immunodeficiency virus;
    3. The availability in the geographic area of any appropriate health care services, including mental health care, and appropriate social and support services;
    4. The benefits of locating and counseling any individual by whom the infected individual may have been exposed to human immunodeficiency virus and any individual whom the infected individual may have exposed to the virus; and
    5. The availability, if any, of the services of public health authorities with respect to locating and counseling any individual described in paragraph (d) of this subsection.
  6. The donor shall be notified of the confirmed positive test results in person. Persons shall be notified of negative test results either in person, by registered mail, or by phone. Notification is the responsibility of the agency responsible for procuring skin, organs, or other donated tissue. Notification shall be the responsibility of the agency responsible for procuring skin, organs, or other donated tissue.
  7. Prior to the transplant of an organ or artificial insemination, the institution or physician responsible for overseeing the procedure shall provide the prospective recipient information as to the risks of contracting human immunodeficiency virus.

History. Enact. Acts 1990, ch. 443, § 41, effective July 13, 1990.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

311.282. Disclosure or failure to disclose confidential information under specified circumstances not to create civil or criminal liability.

  1. A physician licensed pursuant to KRS Chapter 311 shall not be civilly or criminally liable for the disclosure of otherwise confidential information under the following circumstances:
    1. If a patient of the physician has tested positive for human immunodeficiency virus discloses to the physician the identity of a spouse or sexual partner with whom the patient has cohabitated for more than one (1) year; and
    2. The physician recommends the patient notify the spouse or sexual partner of the positive test and refrain from engaging in sexual activity in a manner likely to transmit the virus and the patient refuses;
    3. If, pursuant to a perceived civil duty or the ethical guidelines of the profession, the physician reasonably and in good faith advises the spouse of the patient or sexual partner with whom the patient has cohabitated for more than one (1) year of the positive test and facts concerning the transmission of the virus; and
    4. The physician reports information about HIV status to the Cabinet for Health and Family Services pursuant to administrative regulations promulgated by the cabinet.
  2. Notwithstanding the foregoing, a physician licensed pursuant to KRS Chapter 311 shall not be civilly or criminally liable for failure to disclose information relating to a positive test result for human immunodeficiency virus of a patient to a spouse.

History. Enact. Acts 1990, ch. 443, § 47, effective July 13, 1990; 2000, ch. 432, § 10, effective July 14, 2000; 2005, ch. 99, § 583, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

311.285. Noncompetition clauses between health care providers declared against public policy and not enforceable if for one year or longer. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 512, § 118, effective July 15, 1994) was repealed by Acts 1996, ch. 371, § 64, effective July 15, 1996.

311.290. Seller not an accomplice of the buyer. [Repealed.]

Compiler’s Notes.

This section (2618b-5) was repealed by Acts 1952, ch. 150, § 18.

311.300. Professor of medical college may procure dead bodies.

The professor of any medical college or school incorporated in this state that has executed the required bond may procure the unclaimed body of any person who dies in this state, in order that the professors and students of the college may dissect and examine it for the advancement of science.

History. 2644.

311.310. Bond filed with county clerk — Fee.

No school, college or professor may receive any body under KRS 311.300 until a bond has been given by the college. The bond shall be in the penal sum of one thousand dollars ($1,000), with good personal security, and approved by the clerk of the county in which the college or school is situated, conditioned upon the lawful disposition of all dead bodies that come into the possession of the college, or any professor thereof. The bond shall be filed in the clerk’s office, and renewed every twelve (12) months. For taking and approving the bond the clerk shall be entitled to a fee pursuant to KRS 64.012 .

History. 2648: amend. Acts 2006, ch. 255, § 23, effective January 1, 2007.

311.320. Use of bodies.

No such body shall be used for any purpose other than the promotion of science in the college represented by the professor claiming it nor sold or removed from this state.

History. 2649.

311.330. Relatives or friends of deceased to be notified — Time within which body may not be used.

Any superintendent, warden, coroner or other person having in his possession an unclaimed human body, shall notify any known relatives or friends of the deceased person of the death and place where the body is. If no such friend or relative claims and buries the body within three (3) days, the person shall deliver the body to the professor of a college or school entitled to it under this chapter who demands it. Such professor shall at once embalm the body and preserve it for thirty (30) days before dissecting it. During the thirty (30) days the college or professor thereof, shall deliver the body, without charge, to any friend or relative of the deceased who demands it for interment. If it is not claimed during the thirty (30) days the professor and students may examine and dissect it.

History. 2645, 2646.

NOTES TO DECISIONS

1.Negligence.

State hospital for insane was not liable for alleged negligence of employees in disposing of body of deceased inmate, since disposition of unclaimed bodies by it is governmental function. University of Louisville v. Metcalfe, 216 Ky. 339 , 287 S.W. 945, 1926 Ky. LEXIS 931 ( Ky. 1926 ).

311.340. Burial after dissection.

After the body has been dissected it shall be decently buried or cremated and decently buried at the expense of the professor to whom it was delivered, or of the college represented by him.

History. 2647: amend. Acts 1966, ch. 84.

311.350. College to keep record of bodies.

Any college receiving human bodies shall keep a record of them in a book to be kept at the college for that purpose. The book shall at all times be subject to inspection by any officer of the state or county, or relative or friend of any deceased person whose body may have been delivered to or be in the possession of the college. The record shall show the name, if known, the age, sex, date and cause of death, the date when the body came into the possession of the college, the date of interment and the final place of interment, together with any distinguishing marks by which the body may be identified.

History. 2650.

311.352. Testamentary disposition of body. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 80, § 1) was repealed by Acts 1970, ch. 68, § 10.

311.354. Disposition by person entitled to body. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 80, § 2) was repealed by Acts 1970, ch. 68, § 10.

311.356. Regulation of recipients of bodies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 80, § 3) was repealed by Acts 1970, ch. 68, § 10.

311.360. Medical research commission established. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 160, § 1) was repealed by Acts 1956 (1st Ex. Sess.), ch. 7, Art. XIV, § 5.

311.370. Functions of medical research commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 160, § 2) was repealed by Acts 1956 (1st Ex. Sess.), ch. 7, Art. XIV, § 5.

311.375. Conditions governing use of title “Doctor” or “Dr.” — Penalty.

  1. No person shall, in connection with the practice of medicine, surgery, osteopathy, optometry, dentistry, podiatry, pharmacy, chiropractic, psychology or psychiatry, nursing, anesthesiology, physio or physical therapy, or any other profession or business having for its purpose the diagnosis, treatment, correction or cure of any human ailment, condition, disease, injury or infirmity, hold himself or herself out as a doctor or employ or use in any manner the title “Doctor” or “Dr.,” unless he or she actually has graduated and holds a doctor degree from a school, college, university or institution authorized by its governing body to confer such degree.
  2. No person who holds a doctor degree, as provided in subsection (1) of this section, shall use or employ the title “Doctor” or “Dr.” in or upon any letter, statement, card, prescription, sign, listing or other writing held out to the public without affixing suitable words or letters designating the particular doctor degree held by such person.
  3. The written material or designation in connection with advertising, billboards, signs, or professional notices shall be in letters, type, or illumination, or give display and legibility, of at least three-fourths (3/4) that of the title “Doctor” or “Dr.”
  4. Any person who violates this section and is found by a trier of fact to have committed the violation with the intent to deceive the public shall have his or her health provider license revoked for not less than six (6) months or more than one (1) year.

History. Enact. Acts 1952, ch. 198, § 1; 1968, ch. 152, § 145; 2010, ch. 80, § 3, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Advertising or soliciting by practitioner of healing arts, criminal penalties and exceptions, KRS 438.065 .

311.376. Construction of KRS 311.375.

Nothing in KRS 311.375 shall be construed as authorizing the unlicensed practice of any profession or business referred to in KRS 311.375 . Nor shall anything in KRS 311.375 be construed as repealing or amending any law or laws relating to licensure or regulation of the professions or businesses referred to in KRS 311.375.

History. Enact. Acts 1952, ch. 198, § 2.

311.377. Waiver of claim for damages by applicant for or grantee of staff privileges — Records confidential — Exceptions — Federal immunity provisions.

  1. Any person who applies for, or is granted staff privileges after June 17, 1978, by any health services organization subject to licensing under the certificate of need and licensure provisions of KRS Chapter 216B, shall be deemed to have waived as a condition of such application or grant, any claim for damages for any good faith action taken by any person who is a member, participant in or employee of or who furnishes information, professional counsel, or services to any committee, board, commission, or other entity which is duly constituted by any licensed hospital, licensed hospice, licensed home health agency, health insurer, health maintenance organization, health services corporation, organized medical staff, medical society, or association affiliated with the American Medical Association, American Podiatry Association, American Dental Association, American Osteopathic Association, or the American Hospital Association, or a medical care foundation affiliated with such a medical society or association, or governmental or quasigovernmental agency when the entity is performing the designated function of review of credentials or retrospective review and evaluation of the competency of professional acts or conduct of other health care personnel. This subsection shall have equal application to, and the waiver be effective for, those persons who, subsequent to June 17, 1978, continue to exercise staff privileges previously granted by any such health services organization.
  2. At all times in performing a designated professional review function, the proceedings, records, opinions, conclusions, and recommendations of any committee, board, commission, medical staff, professional standards review organization, or other entity, as referred to in subsection (1) of this section, shall be confidential and privileged and shall not be subject to discovery, subpoena, or introduction into evidence, in any civil action in any court, including but not limited to medical malpractice actions, actions arising out of review of credentials or retrospective review and evaluation as referred to in subsection (1) of this section, and actions by an applicant for or grantee of staff privileges as referred to in subsection (1) of this section, or in any administrative proceeding before any board, body, or committee, whether federal, state, county, or city, except as specifically provided with regard to the board in KRS 311.605(2). The confidentiality and privilege protections of this subsection shall only be available to a person or entity that attests to participating in a patient safety and quality improvement initiative, including the program established by the Patient Safety and Quality Improvement Act of 2005, 42 U.S.C. secs. 299 b-21 to 299b-26. This subsection shall not apply to any proceedings or matters governed exclusively by federal law or federal regulation.
  3. Nothing in subsection (2) of this section shall be construed to restrict or limit the right to discover or use in any civil action or other administrative proceeding any evidence, document, or record which is subject to discovery independently of the proceedings of the entity to which subsection (1) of this section refers.
  4. No person who presents or offers evidence in proceedings described in subsection (2) of this section or who is a member of any entity before which such evidence is presented or offered may refuse to testify in discovery or upon a trial of any civil action as to any evidence, document, or record described in subsection (3) of this section or as to any information within his own knowledge, except as provided in subsection (5) of this section.
  5. No person shall be permitted or compelled to testify concerning his testimony or the testimony of others except that of a defendant given in any proceeding referred to in subsection (2) of this section, or as to any of his opinions formed as a result of the proceeding.
  6. In any action in which the denial, termination, or restriction of staff membership or privileges by any health care facility shall be in issue, agents, employees, or other representatives of a health care entity may with the consent of the health care entity testify concerning any evidence presented in proceedings related to the facility’s denial of staff membership or privileges.
  7. Nothing in this section shall be construed to restrict or prevent the presentation of testimony, records, findings, recommendations, evaluations, opinions, or other actions of any entity described in subsection (1) of this section, in any statutory or administrative proceeding related to the functions or duties of the entity.
  8. In addition to the foregoing, the immunity provisions of the federal Health Care Quality Improvement Act of 1986, P.L. 99-660, shall be effective arising under state laws as of July 15, 1988.

HISTORY: Enact. Acts 1972, ch. 199, § 1; 1974, ch. 225, § 7; 1976, ch. 163, § 9; 1978, ch. 103, § 1, effective June 17, 1978; 1980, ch. 135, § 33, effective July 15, 1980; 1988, ch. 100, § 1, effective July 15, 1988; 1988, ch. 224, § 22, effective July 15, 1988; repealed and reenact. Acts 1990, ch. 271, § 1, effective July 15, 1990; 2018 ch. 11, § 1, effective July 14, 2018.

Compiler’s Notes.

The federal Health Care Quality Improvement Act of 1986, P.L. 99-660, referenced in this section is compiled as 42 U.S.C.S. § 11101 et seq.

NOTES TO DECISIONS

1.Constitutionality.

This section is unconstitutional both as a violation of Ky. Const., § 51 in that its subject matter is not sufficiently related to malpractice claims or insurance, which are the subjects of the act of which it is a part, and as an invasion of a federally preempted field insofar as it purports to regulate federally constituted professional standards review organizations. McGuffey v. Hall, 557 S.W.2d 401, 1977 Ky. LEXIS 533 ( Ky. 1977 ) (decision prior to 1978 amendment).

The 1980 version of this section was unconstitutional because it violated Ky. Const., § 51. Sweasy v. King's Daughters Memorial Hospital, 771 S.W.2d 812, 1989 Ky. LEXIS 54 ( Ky. 1989 ).

2.Discovery of Records.

The statutory privilege of confidentiality provided under the 1980 version of this section (repealed and reenacted in 1990) was limited to suits against peer review entities; the former version of this section did not provide a privilege against the discovery of documents generated through the peer review process in a medical negligence action brought by a patient against a doctor and his hospital. Sweasy v. King's Daughters Memorial Hospital, 771 S.W.2d 812, 1989 Ky. LEXIS 54 ( Ky. 1989 ).

Writ of prohibition against the disclosure of all peer review records which related directly or indirectly to defendant doctor’s performance was properly denied where defendants neither demonstrated that they would suffer irreparable harm from the discovery of these documents nor that their remedy of appeal was inadequate. Appalachian Regional Health Care v. Johnson, 862 S.W.2d 868, 1993 Ky. LEXIS 75 ( Ky. 1993 ).

Although requested discovery concerning hospitals’ peer review records and executive committee meetings was prohibited, where discovery had not been completed in the trial court and where the hospitals had not demonstrated that they would have no adequate remedy on appeal, hospitals’ motion for summary judgment based on qualified immunity in physician’s action to rescind his resignation and obtain reinstatement was denied. Adventist Health Sys./Sunbelt Health Care Corp. v. Trude, 880 S.W.2d 539, 1994 Ky. LEXIS 49 ( Ky. 1994 ), overruled, Sisters of Charity Health Sys. v. Raikes, 984 S.W.2d 464, 1998 Ky. LEXIS 120 ( Ky. 1998 ).

The placement of otherwise discoverable records and information in a peer review file does not entitle them to the protection of subsection (2) of this section. Where it was established that the documents and information requested by patient suing hospital and doctor for medical malpractice and corporate negligence were not internal Peer Review Committee records, but hospital records, including patient and staff complaints, the information and documents requested were clearly discoverable (modifying holding in Adventist Health Systems v. Trude, 880 S.W.2d 539, 1994 Ky. LEXIS 49 (1994)).Leanhart v. Humana Inc., 933 S.W.2d 820, 1996 Ky. LEXIS 101 ( Ky. 1996 ).

The peer review privilege of subsection (2) of this section does not prohibit discovery of peer review records and material in medical malpractice suits. Sisters of Charity Health Sys. v. Raikes, 984 S.W.2d 464, 1998 Ky. LEXIS 120 ( Ky. 1998 ).

A quality assurance review form was not protected peer review material in a medical malpractice action as the peer review privilege has no application to medical malpractice actions. McFall v. Peace, Inc., 15 S.W.3d 724, 2000 Ky. LEXIS 14 ( Ky. 2000 ).

Technician was not entitled to writ of prohibition as the trial court did not err in applying Kentucky law and requiring production of peer review documents, and no special law existed ignoring Kentucky’s strong precedent allowing discovery of peer review documents in medical malpractice suits; KRS 311.377(2) did not extend the privilege for peer review documents to medical malpractice suits. Saleba v. Schrand, 300 S.W.3d 177, 2009 Ky. LEXIS 281 ( Ky. 2009 ).

3.Civil Actions.

The language of subsection (2) of this section clearly extends privilege and confidentiality of peer review proceedings, records, opinions, conclusions, and recommendations to “any civil action in any court.” Adventist Health Sys./Sunbelt Health Care Corp. v. Trude, 880 S.W.2d 539, 1994 Ky. LEXIS 49 ( Ky. 1994 ), overruled, Sisters of Charity Health Sys. v. Raikes, 984 S.W.2d 464, 1998 Ky. LEXIS 120 ( Ky. 1998 ).

4.—Retroactive application.

Peer review evidentiary privilege statute retroactively applied in a medical malpractice case because the 2018 amendment to the statute was procedural in nature and thus was exempted from the prohibition against retroactive application of a statute. Jewish Hosp. v. Perry, 626 S.W.3d 509, 2021 Ky. LEXIS 155 ( Ky. 2021 ).

Cited:

Ott v. St. Luke Hospital, 522 F. Supp. 706, 1981 U.S. Dist. LEXIS 14667 (E.D. Ky. 1981 ); Basham v. Commonwealth, 675 S.W.2d 376, 1984 Ky. LEXIS 229 ( Ky. 1984 ).

Opinions of Attorney General.

The proceedings of the morbidity and mortality committee of the department of surgery at a university hospital are made confidential by KRS 311.377 ; accordingly, the university custodian of records properly denied inspection of records of those proceedings pursuant to subdivision (1)(j) (now (1)(l)) of KRS 61.878 . OAG 82-99 .

Request for records of the proceedings of the morbidity and mortality committee of the University of Kentucky’s medical center concerning a 19-year-old girl whose colon was removed and was subsequently found to be normal was properly denied under subdivision (2) of this section. OAG 82-269 .

The right of privacy involved in hospital records belongs to the patient, not to the medical center; if the patient consents to disclosure of the records of the case, inspection must be allowed except as to records which are made confidential by subsection (2). OAG 82-269 .

This section applies to the University of Kentucky medical center. OAG 82-269 .

When this section was amended in 1980, the title of the act was “An Act relating to medical review organizations” and such title precisely fit the subject matter of subsection (2) of this section. Therefore, the only constitutional defect which the Supreme Court formerly found with the statute has now been corrected. OAG 82-269 .

Hospital properly relied on KRS 311.377 in denying a request for “a record of the findings of the review of the treatment the requester received in the hospital’s emergency room including whether the actions by the doctor were competent and thorough, what action was concluded to be necessary as remediation, what was done to implement those necessary corrections, and any other facts that were discovered or elicited during the review.” OAG 05-ORD-171.

Under the authority of KRS 61.878(1)(l), in tandem with KRS 311.377 , Child Watch Children’s Advocacy Center, Inc., as a specialized children’s service clinic, properly denied a request for peer review records and records developed by it in providing its services. OAG 05-ORD-220.

Research References and Practice Aids

Kentucky Law Journal.

Kentucky Law Survey: Savage, Insurance, 66 Ky. L.J. 631 (1977-1978).

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Notes, Open Debate Over Closed Doors: The Effect of the New Developmental Disabilities Regulations on Protection and Advocacy Programs, 85 Ky. L.J. 955 (1996-97).

Northern Kentucky Law Review.

Notes, Insurance — Medical Malpractice — Uncoupling the Freight Train: The Kentucky Medical Malpractice Act — McGuffey v. Hall, 557 S.W.2d 401, 1977 Ky. LEXIS 533 ( Ky. 1977 ), 5 N. Ky. L. Rev. 123 (1978).

Bartlett, Civil Procedure, 21 N. Ky. L. Rev. 269 (1994).

Bloemer, Kentucky’s Approach to the Discoverability of Peer Review, 23 N. Ky. L. Rev. 275 (1996).

Bartlett & Maggio, Civil Procedure Survey, 28 N. Ky. L. Rev. 316 (2001).

Taliaferro III, Keys & Rickert, Medical Malpractice in Kentucky, 28 N. Ky. L. Rev. 441 (2001).

311.378. Warning of dangers of drinking alcoholic beverages during pregnancy to be posted — Penalty.

  1. All physicians licensed pursuant to this chapter who maintain a private office shall post in a prominent place in the patient waiting room a printed sign supplied by the Cabinet for Health and Family Services that is at least eleven (11) inches by fourteen (14) inches in size, with letters at least one (1) inch high and with gender-neutral language, which shall warn that drinking alcoholic beverages prior to conception or during pregnancy can cause birth defects.
  2. Any person who violates the provisions of subsection (1) of this section shall be subject to a fine of not less than ten dollars ($10) nor more than fifty dollars ($50).

History. Enact. Acts 1992, ch. 442, § 6, effective July 14, 1992; 1998, ch. 426, § 534, effective July 15, 1998; 2005, ch. 99, § 584, effective June 20, 2005.

311.379. In-service training for persons licensed or certified by board on child sexual abuse.

The State Board of Medical Licensure shall provide in-service training programs for physicians, physicians assistants, paramedics, athletic trainers, and other persons licensed or certified by the board in child development, the dynamics of physical and sexual abuse, the impact of violence on child development, the treatment of offenders, and related issues. Each person licensed or certified by the board shall successfully complete the training prescribed by administrative regulation.

History. Enact. Acts 1992, ch. 351, § 6, effective July 14, 1992.

Practice of Podiatry

311.380. Definitions for KRS 311.390 to 311.510.

As used in KRS 311.390 to 311.510 , unless the context otherwise requires:

  1. “Board” means the State Board of Podiatry;
  2. “Podiatry” is that profession of the health sciences which deals with the examination, diagnosis, treatment, and prevention of diseases, conditions, and malfunctions affecting the human foot and its related or governing structures, by employment of medical, surgical, or other means;
  3. “Podiatrist” is a physician and surgeon who has graduated from a college of podiatric medicine accredited by the Council on Podiatry Education of the American Podiatry Association or approved by state licensing boards.

History. Repealed, reenact. and amend. Acts 1952, ch. 197, § 1; 1954, ch. 219, § 1; 1962, ch. 289, § 1; 1966, ch. 239, § 208; 1974, ch. 225, § 8; 1978, ch. 183, § 1, effective June 17, 1978.

311.390. Scope and application of law — Exemptions.

KRS 311.380 to 311.510 , shall not apply to:

  1. Any person manufacturing or selling, as merchandise in a duly established mercantile establishment, shoes or appliances designed and intended to equalize pressure on different parts of the foot, or the sale by any licensed druggist of plasters, salves, and lotions for corns, warts, callosities and bunions, provided such persons shall make no diagnosis or recommendation and shall prescribe no remedy or treatment;
  2. Or interfere in any manner with the practice of any person whose religion treats or administers to the sick or suffering by purely spiritual means, nor with any individual’s selection of any such person;
  3. Physicians licensed by the State Board of Medical Examiners of this state;
  4. Surgeons of the United States Army, Navy, United States Department of Veterans Affairs, and United States Public Health Service, when in actual performance of their official duties.

HISTORY: Enact. Acts 1948, ch. 176, § 2; 2017 ch. 42, § 16, effective June 29, 2017.

311.400. License required.

No person shall profess to be a podiatrist, or practice or assume the duties incident to podiatry in this state, or use the title “podiatrist” or any words or letters which designate or tend to designate to the public that the person is a podiatrist, unless he holds a valid, current license from the board, registered in the county in which the holder is engaged in such practice.

History. Enact. Acts 1948, ch. 176, § 3; 1962, ch. 289, § 2; 1974, ch. 225, § 9.

311.410. State Board of Podiatry — Qualifications, terms of members — Officers — Powers — Meetings — Immunity.

  1. There is hereby created in the government of the Commonwealth a State Board of Podiatry which shall consist of five (5) members, each appointed by the Governor. Four (4) members shall be appointed from lists of three (3) names for each position submitted by the Kentucky Podiatry Association. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. Any vacancy shall be filled for the unexpired term by the Governor, as provided in the original appointment.
  2. A person to be eligible for appointment as a podiatrist member of the board shall be at least twenty-one (21) years of age, of good moral character, a resident of this state, and a licensed practicing podiatrist in this state for at least five (5) consecutive years next preceding the date of his appointment. No member of the board shall be a stockholder, officer or member of the faculty or board of trustees of any school, college or institution of podiatry or chiropody.
  3. The terms of office of each member shall be four (4) years, or until his successor shall be appointed and qualified.
  4. The board shall elect one (1) of its members as president and another of its members as secretary. The secretary may, subject to approval by the board, employ and fix the compensation of all personnel required for the administration of KRS 311.390 to 311.510 . The board may make all rules and regulations, not inconsistent with KRS 311.390 to 311.510 , as may be necessary to implement and carry out the provisions and purposes of KRS 311.390 to 311.510.
  5. The board shall hold meetings at least twice a year and as frequently as it deems necessary at such times and places as the board may designate. A majority of the members shall constitute a quorum.
  6. The board may sue and be sued in its own name.
  7. Members of the board shall be immune from suit in any civil or criminal action which is based upon any official act or acts performed by them in good faith as members of the board.

History. Enact. Acts 1948, ch. 176, § 4; 1952, ch. 197, § 2; 1954, ch. 219, § 2; 1962, ch. 289, § 3; 1974, ch. 225, § 10; 1976, ch. 206, § 3; 1986, ch. 166, § 1, effective July 15, 1986.

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Research References and Practice Aids

Cross-References.

Administrative regulations, adoption and effective date, KRS 13A.330 .

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

311.415. Board to administer law — Rules and regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 219, § 3) was repealed by Acts 1962, ch. 289, § 11.

311.420. Examinations — Qualifications — National board examinations — Fees — Issuance of licenses — Expenses of board members — Rules and regulations.

  1. The board shall conduct examinations at least twice a year at such times and places as the board deems convenient for applicants for licenses to practice podiatry in this state, and shall admit to examination any applicant who:
    1. Is at least eighteen (18) years of age;
    2. Is a citizen of the United States and a resident of the State of Kentucky;
    3. Is of good moral character and temperate habits; and
    4. Has completed a course in and graduated from a school or college of podiatry approved by the board.
  2. The board shall prescribe the time, place, method, manner, scope and content of examinations as relates to KRS 311.380(2); and the board may accept certified, successful National Board of Podiatry examinations in lieu of its written examination.
  3. Applicants for examination shall present their credentials to the board by mail upon forms furnished by the board, and shall receive due notice of the place and date of the examination. Each application shall contain proof of the qualifications required of the applicant, shall be verified by the applicant under oath, and shall be accompanied by an examination fee set by the board.
  4. The board shall issue a license to any person who complies with the provisions of KRS 311.380 to 311.510 and who satisfactorily passes the examination.
  5. The members of the board shall receive no compensation for their services, but shall be paid their traveling and other necessary expenses while employed upon the business of the board.
  6. The board may, in good faith, adopt rules and regulations to license and control those persons who may become formally educated, or by years of employment by a licensed podiatrist, as a podiatric assistant.
  7. The board may utilize such materials, services or facilities as may be made available to it by other state agencies or may contract therefor, to such extent as the board in its discretion, may determine.

History. Enact. Acts 1948, ch. 176, § 5; 1952, ch. 197, § 3; 1962, ch. 289, § 3; 1970, ch. 120, § 4; 1974, ch. 225, § 11; 1980, ch. 188, § 250, effective July 15, 1980.

311.430. Existing practitioners. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 176, § 6) was repealed by Acts 1962, ch. 289, § 11.

311.440. Registration of licenses.

Every person licensed to practice podiatry shall, within thirty (30) days after issuance, file his license with the county clerk of each county in which he desires to engage in the practice of podiatry.

History. Enact. Acts 1948, ch. 176, § 7; 1962, ch. 289, § 6; 1974, ch. 225, § 12.

Opinions of Attorney General.

The board may issue a license to practice podiatry only to Kentucky residents. OAG 71-74 .

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 .

311.450. Expiration date of licenses — Renewal — Delinquent licensees — Penalty — Deposit and use of fees.

  1. Every license issued for the practice of podiatry shall expire on June 30 following the date of issuance unless sooner revoked and canceled.
  2. On or before June 1 of each year, the board shall send notices to all licensed podiatrists in this state, at their last known addresses, advising them that the annual license renewal fee is due on July 1 of each year. Every registered podiatrist shall renew his license on or before July 1 of each year by the payment to the board of an annual license renewal fee which shall be a reasonable fee set by regulation of the board and upon submission of a statement of compliance with the continuing education regulations of the board. If such renewal fee is not paid or such statement of compliance is not submitted on or before July 1, the board shall notify the delinquent licensee by mail at his last known address that such fee and statement are past due and that a delinquent penalty fee is assessed, in addition to the renewal fee and that the renewal fee and penalty must be paid and the statement of compliance submitted on or before January 1. If such fees, penalties and statement are not submitted by January 1, it shall be the duty of the board to suspend or revoke the license for nonpayment of the annual renewal and delinquent fees or for failure to submit the statement of compliance for the current year.
  3. All fees collected under the provisions of KRS 311.380 to 311.510 , or the rules and regulations adopted pursuant thereto, shall be paid into the State Treasury, and credited to a trust and agency fund to be used in defraying the costs and expenses in the administration of KRS 311.380 to 311.510 including, but not limited to, salaries and necessary travel expenses. No part of this fund shall revert to the general funds of this Commonwealth.

HISTORY: Enact. Acts 1948, ch. 176, § 8; 1952, ch. 197, § 4; 1962, ch. 289, § 7; 1972, ch. 93, § 1; 1974, ch. 225, § 13; 1990, ch. 443, § 4, effective July 13, 1990; 2001, ch. 61, § 4, effective June 21, 2001; 2015 ch. 113, § 3, effective June 24, 2015.

Opinions of Attorney General.

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 .

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

311.460. Practice under own name — Titles that may be used.

  1. Any person practicing or offering to practice podiatry shall practice under his own name only, as his name appears in his license.
  2. No person practicing or offering to practice podiatry shall use any title or abbreviation thereof except the designation “podiatrist.” The term “foot doctor” and “chiropodist,” or either of them, may be used in conjunction with the title “podiatrist,” but not as a substitute therefor and not alone.

History. Enact. Acts 1948, ch. 176, § 9; 1962, ch. 289, § 8; 1974, ch. 225, § 14.

Opinions of Attorney General.

A licensed podiatrist who has used the name of “The Podiatry Clinic” for 20 years could not use a partnership, association or clinic name after June 14, 1962, the effective date of the 1962 amendment to this section. OAG 73-872 .

311.470. Display of licenses — Advertising.

  1. Any person who practices podiatry shall display his license, together with the annual license renewal certificate, in a conspicuous place in the office in which he practices.
  2. No person practicing or offering to practice podiatry shall in any manner advertise the prices charged for his services; nor shall he advertise in newspapers, in periodicals, by handbills or circulars, or in bold-face type in any printed matter, or by the use of any form of display sign; except that he may, upon opening an office or upon change of address, mail or publish announcements to that effect provided such announcements shall not appear more than three (3) times in public print, and the form of such announcement shall be determined by the board.

History. Enact. Acts 1948, ch. 176, § 10; 1952, ch. 197, § 5; 1962, ch. 289, § 9.

311.475. Reciprocal licensure.

The State Board of Podiatry is authorized in its sound discretion to:

  1. Enter into reciprocal agreements with podiatry examining boards of other states, having qualifications and standards at least as high as those of this state, providing for reciprocal licensure without further examination of persons who have been duly licensed upon written examination. Approval of such agreements by the Governor, or any other officer or agency of this state, shall not be required.
  2. Issue podiatry licenses by reciprocity or endorsement, and without further examination, to persons who have been duly licensed upon written examination in another state having qualifications and standards at least as high as those of this state, or who have successfully passed an examination conducted by the National Board of Podiatry Examiners.

History. Enact. Acts 1972, ch. 93, § 2.

311.480. Grounds for denial, refusal to renew, suspension, probation or revocation of license.

The board may refuse to license or renew, or may suspend, probate or revoke the license of any podiatrist or in addition to such punishment or in lieu thereof may impose a fine not to exceed five hundred dollars ($500) for each offense, upon proof that he:

  1. Has been convicted of a felony, if in accordance with KRS Chapter 335B;
  2. Has been convicted of a misdemeanor, if in accordance with KRS Chapter 335B;
  3. Has employed, hired, procured or induced a person not licensed to practice podiatry in this state so to practice;
  4. Has aided or abetted in the practice of podiatry a person not licensed to practice podiatry in this state;
  5. Has been granted a license upon a mistake of a material fact;
  6. Has violated any provision of KRS 311.390 to 311.510 ;
  7. Has become drug addicted;
  8. Has become a chronic or persistent alcoholic;
  9. Has developed such physical or mental disability, or other condition whereby continued practice is dangerous to patients or to the public;
  10. Has violated any order of suspension, or the terms or the conditions of any order of probation, issued by the board;
  11. Has engaged in, or attempted to engage in the practice of podiatry under a false or assumed name;
  12. Has willfully violated a confidential communication;
  13. Has acted in a grossly negligent or willful manner which is inconsistent with the practice of podiatry;
  14. Is unfit or incompetent to practice podiatry by reason of gross negligence or other causes including but not limited to being unable to practice podiatry with reasonable skill or safety;
  15. Has a license to practice as a podiatrist denied, limited, suspended, probated or revoked in another jurisdiction on grounds sufficient to cause a license to be denied, limited, suspended, probated or revoked in this Commonwealth; or
  16. Has engaged in conduct likely to deceive or defraud the public.

HISTORY: Enact. Acts 1948, ch. 176, § 11; 1962, ch. 289, § 10; 1974, ch. 225, § 15; 1986, ch. 166, § 2, effective July 15, 1986; 2017 ch. 158, § 48, effective June 29, 2017.

311.490. Hearing to revoke, suspend, probate, or refuse to renew license — Violation may be enjoined — Enforcement — Appeal.

  1. A suspension, probation, or revocation of a license, or a refusal to renew a license, may be made or a fine imposed by the board only after a hearing which shall be conducted in accordance with KRS Chapter 13B.
  2. The board may institute, in its own name, proceedings to temporarily or permanently restrain and enjoin violations of KRS 311.380 to 311.510 , regardless of whether the defendant has been convicted for violations of the penal provisions thereof, and shall not be required to pay any cost or filing fees or furnish any bond in connection therewith. Violations of injunctions and restraining orders shall be punished as a contempt without the intervention of a jury.
  3. A licensee whose license has been revoked, probated, or suspended, or against whom a fine has been imposed by the board, or who has been refused a renewal license, may appeal a final order of the board to the Circuit Court of the county in which the hearing was held.

History. Enact. Acts 1948, ch. 176, § 12; 1952, ch. 197, § 6; 1986, ch. 166, § 3, effective July 15, 1986; 1996, ch. 318, § 253, effective July 15, 1996.

Compiler’s Notes.

KRS 311.510 referred to in subsection (2) of this section was repealed by Acts 1996, ch. 318, § 357.

311.495. County and Commonwealth’s attorneys to prosecute violations — Powers of investigators and others.

  1. County and Commonwealth’s attorneys and the Attorney General, within their respective jurisdictions, shall prosecute all violations of the penal provisions of KRS 311.380 to 311.510 and shall, when requested by the board, represent the board in matters relating to the enforcement of KRS 311.380 to 311.510 .
  2. For the purpose of enforcing the provisions of KRS 311.380 to 311.510 , the investigators, inspectors, representatives and agents of the board shall have the full power and authority of peace officers in this state, and shall have the power and authority to administer oaths, to enter upon premises at all times for the purpose of making inspections, to seize evidence, to interrogate all persons, and to require the production of books, papers, documents or other evidence.

History. Enact. Acts 1952, ch. 197, § 7; 1974, ch. 225, § 16.

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

311.500. Record of revocation or suspension.

The revocation or suspension of any license shall be noted upon the records of the board, and a revoked license shall be marked as canceled upon the date of its revocation. The board shall, upon entry of an order of suspension or revocation, transmit to the county clerk of the county in which the license affected by the order is recorded, a certified copy of the order, which shall be recorded in the same manner and the same book in which the record of the license is kept.

History. Enact. Acts 1948, ch. 176, § 13.

311.510. Appeal from revocation, probation, suspension or refusal to renew license or from a fine imposition. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 176, § 14; 1986, ch. 166, § 4, effective July 15, 1986) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

311.520. Drugless practice law not applicable. [Repealed.]

Compiler’s Notes.

This section (Acts 1948, ch. 176, § 16) was repealed by Acts 1958, ch. 126, § 38.

Practice of Medicine and Osteopathy

311.530. State Board of Medical Licensure — Membership.

  1. There is hereby created in state government an independent board to be known as the State Board of Medical Licensure which shall exercise all medical and osteopathic licensure functions heretofore exercised by the State Board of Health. The offices of the board shall be maintained at such place as is designated by the board.
  2. The board shall consist of fifteen (15) members, including the commissioner of public health, the dean of the University of Kentucky College of Medicine, the vice dean for clinical affairs of the University of Louisville School of Medicine, the dean of the University of Pikeville School of Osteopathic Medicine, and eleven (11) members appointed by the Governor.
  3. Of the Governor’s appointees:
    1. One (1) member shall be a licensed osteopathic physician and shall be appointed from a list of three (3) names submitted by the Kentucky Osteopathic Medical Association;
    2. Seven (7) members shall be licensed medical physicians and shall be appointed from a list of three (3) names submitted for each position by the Kentucky Medical Association; and
    3. Three (3) members shall be citizens at large who are representatives of any recognized consumer advocacy groups with an interest in the delivery of health care and are not associated with or financially interested in the practice or business regulated.

History. Enact. Acts 1972, ch. 218, § 1; 1974, ch. 74, Art. VI, § 107(10); 1976, ch. 206, § 4; 1978, ch. 155, § 148, effective June 17, 1978; 1984, ch. 251, § 10, effective July 13, 1984; 1986, ch. 302, § 1, effective July 15, 1986; 1994, ch. 190, § 1, effective July 15, 1994; 1998, ch. 426, § 535, effective July 15, 1998; 2000, ch. 413, § 6, effective July 14, 2000; 2002, ch. 130, § 1, effective July 15, 2002; 2012 (1st Ex. Sess.), ch. 1, § 9, effective July 20, 2012; 2016 ch. 54, § 1, effective July 15, 2016.

Compiler’s Notes.

Section 7 of Acts 2000, ch. 413, effective July 14, 2000, read: “This Act may be cited as the Osteopathic and Allopathic Healthcare Nondiscrimination Act of 2000.”

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Opinions of Attorney General.

A practitioner of “thanatology,” which is described as the counseling and helping of families to cope with the news that a loved one is terminally ill and to help said families after the death of the loved one, should either be a licensed physician or a licensed social worker. A licensed psychologist is also probably legally qualified to practice “thanatology.” OAG 83-402 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

311.535. Terms — Expiration.

The appointed members of the State Board of Medical Licensure shall hold office for terms of four (4) years and until their successors are appointed and qualify. The commissioner of public health and the deans of the medical schools shall hold office only while holding their respective titles. The terms of all appointed members of the board shall expire on August 31 of the last year of their respective terms.

History. Enact. Acts 1972, ch. 218, § 2; 1986, ch. 302, § 2, effective July 15, 1986; 1998, ch. 426, § 536, effective July 15, 1998; 2002, ch. 130, § 2, effective July 15, 2002.

311.540. Meetings — Officers — Compensation.

The State Board of Medical Licensure shall hold meetings at least semiannually and more frequently if necessary, at such places and times as the board may determine. The board shall elect a president, vice president and secretary from among its members and adopt such rules and bylaws as the board deems necessary. Any and all members of the board may administer oaths in matters pertaining to official duties. The members of the board shall receive the sum of one hundred dollars ($100) per day for each meeting attended and shall also be entitled to reimbursement for all reasonable expenses for travel, lodging and subsistence incurred in connection with attendance of meetings of the board.

History. Enact. Acts 1972, ch. 218, § 3; 1986, ch. 302, § 4, effective July 15, 1986.

311.541. Liability insurance for board members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 302, § 3, effective July 15, 1986; 1990, ch. 495, § 11, effective January 1, 1991) was repealed by Acts 1994, ch. 190, § 18, effective July 15, 1994.

311.545. Contract with other state agencies — Records — Annual report to Governor.

The State Board of Medical Licensure may utilize such materials, services or facilities as may be made available to it by other state agencies or may contract therefor, to such extent or degree as the board, in its discretion, may determine. It shall keep accurate records of its activities, reporting annually to the Governor.

History. Enact. Acts 1972, ch. 218, § 4; 1974, ch. 74, Art. VI, § 107(10); 2002, ch. 130, § 3, effective July 15, 2002.

311.550. Definitions for KRS 311.530 to 311.620 and 311.990(4) to (6).

As used in KRS 311.530 to 311.620 and 311.990(4) to (6):

  1. “Board” means the State Board of Medical Licensure;
  2. “President” means the president of the State Board of Medical Licensure;
  3. “Secretary” means the secretary of the State Board of Medical Licensure;
  4. “Executive director” means the executive director of the State Board of Medical Licensure or any assistant executive directors appointed by the board;
  5. “General counsel” means the general counsel of the State Board of Medical Licensure or any assistant general counsel appointed by the board;
  6. “Regular license” means a license to practice medicine or osteopathy at any place in this state;
  7. “Limited license” means a license to practice medicine or osteopathy in a specific institution or locale to the extent indicated in the license;
  8. “Temporary permit” means a permit issued to a person who has applied for a regular license, and who appears from verifiable information in the application to the executive director to be qualified and eligible therefor;
  9. “Emergency permit” means a permit issued to a physician currently licensed in another state, authorizing the physician to practice in this state for the duration of a specific medical emergency, not to exceed thirty (30) days;
  10. Except as provided in subsection (11) of this section, the “practice of medicine or osteopathy” means the diagnosis, treatment, or correction of any and all human conditions, ailments, diseases, injuries, or infirmities by any and all means, methods, devices, or instrumentalities;
  11. The “practice of medicine or osteopathy” does not include the practice of Christian Science, the domestic administration of family remedies, the rendering of first aid or medical assistance in an emergency in the absence of a person licensed to practice medicine or osteopathy under the provisions of this chapter, the use of automatic external defibrillators in accordance with the provisions of KRS 311.665 to 311.669 , the practice of podiatry as defined in KRS 311.380 , the practice of dentistry as defined in KRS 313.010 , the practice of optometry as defined in KRS 320.210 , the practice of chiropractic as defined in subsection (2) of KRS 312.015 , the practice as a nurse as defined in KRS 314.011 , the practice of physical therapy as defined in KRS 327.010 , the practice of genetic counseling as defined in KRS 311.690 , the performance of duties for which they have been trained by paramedics licensed under KRS Chapter 311A, emergency medical responders, advanced emergency medical technicians, or emergency medical technicians certified under Chapter 311A, the practice of pharmacy by persons licensed and registered under KRS 315.050 , the sale of drugs, nostrums, patented or proprietary medicines, trusses, supports, spectacles, eyeglasses, lenses, instruments, apparatus, or mechanisms that are intended, advertised, or represented as being for the treatment, correction, cure, or relief of any human ailment, disease, injury, infirmity, or condition, in regular mercantile establishments, or the practice of midwifery, or the provision of certified professional midwifery services by a licensed certified professional midwife as defined in KRS 314.400 ;
  12. “Physician” means a doctor of medicine or a doctor of osteopathy;
  13. “Grievance” means any allegation in whatever form alleging misconduct by a physician;
  14. “Charge” means a specific allegation alleging a violation of a specified provision of this chapter;
  15. “Complaint” means a formal administrative pleading that sets forth charges against a physician and commences a formal disciplinary proceeding;
  16. As used in KRS 311.595(4), “crimes involving moral turpitude” shall mean those crimes which have dishonesty as a fundamental and necessary element, including but not limited to crimes involving theft, embezzlement, false swearing, perjury, fraud, or misrepresentation;
  17. “Telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of medical data, and medical education;
  18. “Order” means a direction of the board or its panels made or entered in writing that determines some point or directs some step in the proceeding and is not included in the final order;
  19. “Agreed order” means a written document that includes but is not limited to stipulations of fact or stipulated conclusions of law that finally resolves a grievance, a complaint, or a show cause order issued informally without expectation of further formal proceedings in accordance with KRS 311.591(6);
  20. “Final order” means an order issued by the hearing panel that imposes one (1) or more disciplinary sanctions authorized by this chapter;
  21. “Letter of agreement” means a written document that informally resolves a grievance, a complaint, or a show cause order and is confidential in accordance with KRS 311.619 ;
  22. “Letter of concern” means an advisory letter to notify a physician that, although there is insufficient evidence to support disciplinary action, the board believes the physician should modify or eliminate certain practices and that the continuation of those practices may result in action against the physician’s license;
  23. “Motion to revoke probation” means a pleading filed by the board alleging that the licensee has violated a term or condition of probation and that fixes a date and time for a revocation hearing;
  24. “Revocation hearing” means a hearing conducted in accordance with KRS Chapter 13B to determine whether the licensee has violated a term or condition of probation;
  25. “Chronic or persistent alcoholic” means an individual who is suffering from a medically diagnosable disease characterized by chronic, habitual, or periodic consumption of alcoholic beverages resulting in the interference with the individual’s social or economic functions in the community or the loss of powers of self-control regarding the use of alcoholic beverages;
  26. “Addicted to a controlled substance” means an individual who is suffering from a medically diagnosable disease characterized by chronic, habitual, or periodic use of any narcotic drug or controlled substance resulting in the interference with the individual’s social or economic functions in the community or the loss of powers of self-control regarding the use of any narcotic drug or controlled substance;
  27. “Provisional permit” means a temporary permit issued to a licensee engaged in the active practice of medicine within this Commonwealth who has admitted to violating any provision of KRS 311.595 that permits the licensee to continue the practice of medicine until the board issues a final order on the registration or reregistration of the licensee;
  28. “Fellowship training license” means a license to practice medicine or osteopathy in a fellowship training program as specified by the license; and
  29. “Special faculty license” means a license to practice medicine that is limited to the extent that this practice is incidental to a necessary part of the practitioner’s academic appointment at an accredited medical school program or osteopathic school program and any affiliated institution for which the medical school or osteopathic school has assumed direct responsibility.

History. Enact. Acts 1952, ch. 150, § 1; 1958, ch. 126, § 29; 1968, ch. 152, § 146; 1972, ch. 218, § 5; 1974, ch. 74, Art. VI, § 90(9); 1974, ch. 331, § 1; 1978, ch. 107, § 1, effective June 17, 1978; 1980, ch. 188, § 251, effective July 15, 1980; 1984, ch. 251, § 1, effective July 13, 1984; 1986, ch. 302, § 5, effective July 15, 1986; 1990, ch. 482, § 11, effective July 13, 1990; 1998, ch. 228, § 1, effective July 15, 1998; 1998, ch. 426, § 537, effective July 15, 1998; 2000, ch. 343, § 18, effective July 14, 2000; 2000, ch. 376, § 8, effective July 14, 2000; 2002, ch. 130, § 4, effective July 15, 2002; 2002, ch. 211, § 35, effective July 15, 2002; 2004, ch. 35, § 1, effective July 13, 2004; 2005, ch. 99, § 585, effective June 20, 2005; 2006, ch. 175, § 1, effective July 12, 2006; 2017 ch. 107, § 9, effective June 29, 2017; 2018 ch. 143, § 16, effective July 14, 2018; 2019 ch. 100, § 24, effective June 27, 2019; 2019 ch. 104, § 12, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 100 and 104, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

Cited in:

Neagle v. State Highway Dep’t, 371 S.W.2d 630, 1963 Ky. LEXIS 105 ( Ky. 1963 ); Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004), rehearing denied, 2004 Ky. App. LEXIS 183 (Ky. Ct. App. 2004).

Notes to Unpublished Decisions

1.Construction With Other Law.

Unpublished decision: Nurses who reviewed an employee's medical file made no determinations regarding the medical necessity of any treatment; they simply determined whether the employee was capable of performing the necessary functions of his job. Such determinations did not fall within the ambit of Ky. Rev. Stat. Ann. § 311.560 . Hackney v. Lincoln Nat'l Fire Ins. Co., 657 Fed. Appx. 563, 2016 FED App. 0592N, 2016 U.S. App. LEXIS 19989 (6th Cir. Ky. 2016 ).

Opinions of Attorney General.

“Naturopathy” which is defined as “a system of therapeutics in which neither surgical nor medicinal agents are used, dependence being placed only on natural non-medicinal forces” cannot be practiced in this state unless the person doing so has a license to practice medicine or osteopathy issued under KRS Ch. 311 or is doing such work as a chiropractor licensed under KRS Ch. 312 or is practicing as a physical therapist licensed under KRS Ch. 327 or has some other state license relating to a limited field of healing which would authorize the application of the principles of naturopathy. OAG 63-443 .

Under subsection (7) (now subsection (11)) of this section, arterial punctures and intubations do constitute the practice of medicine and hence cannot be performed by respiratory or inhalation therapy technicians except under the direction and supervision of a physician. OAG 72-183 .

There is no statutory definition (or recognition) of “physician assistants,” and Kentucky does not recognize that type of medical health provider. OAG 79-97 . (Physician assistants are now recognized and licensed under KRS 311.840 to 311.862 .)

A medical examination required by a regulation promulgated pursuant to subdivision (5) (now subdivision 1(g)) of KRS 156.160 in order to determine a high school student’s eligibility for interscholastic athletics could not be performed by a chiropractor, since another regulation required a medical physician’s examination and a chiropractor is not a “physician” under the terms of subsection (10) (now (12)) of this section. OAG 81-335 .

Only a doctor of medicine or doctor of osteopathy duly licensed pursuant to KRS Ch. 311 is competent to certify the existence of a handicap pursuant to KRS 189.456(3)(c). OAG 82-130 .

There is no conflict between the midwifery statute, KRS 211.180(4) (now KRS 211.180(1)(f)), and the practice of medicine, because the Medical Practice Act itself in subsection (9) (now subsection (11)) of this section excludes midwifery from being considered the practice of medicine. OAG 82-361 .

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

311.555. Legislative declaration of policy — Standards for judicial review.

It is the declared policy of the General Assembly of Kentucky that the practice of medicine and osteopathy should be regulated and controlled as provided in KRS 311.530 to 311.620 in order to prevent empiricism and to protect the health and safety of the public. Further, the General Assembly of Kentucky has created the board, as defined in KRS 311.530 , to function as an independent board, the majority of whose members are licensed physicians, with the intent that such a peer group is best qualified to regulate, control and otherwise discipline the licensees who practice medicine and osteopathy within the Commonwealth of Kentucky. In furtherance of this intent, the judiciary of the Commonwealth of Kentucky, who may be caused to review the actions of the board, shall not interfere or enjoin the board’s actions until all administrative remedies are exhausted, and modify, remand, or otherwise disturb those actions only in the event that the action of the board:

  1. Constitutes a clear abuse of its discretion;
  2. Is clearly beyond its legislative delegated authority; or
  3. Violated the procedure for disciplinary action as described in KRS 311.591 .

History. Enact. Acts 1952, ch. 150, § 2; 1978, ch. 107, § 2, effective June 17, 1978; 1980, ch. 188, § 252, effective July 1, 1980; 1984, ch. 251, § 8, effective July 13, 1984; 1994, ch. 190, § 2, effective July 15, 1994.

NOTES TO DECISIONS

1.In General.

Public policy of KRS 311.555 and the legislative interest of the Commonwealth in regulating the practice of medicine for the public good were properly regulated through the establishment of the Kentucky Board of Medical Licensure and the Board was authorized to proceed and function independently of the general administrative hearing requirements that were required of other state regulatory agencies. Abul-Ela v. Ky. Bd. of Med. Licensure, 217 S.W.3d 246, 2006 Ky. App. LEXIS 361 (Ky. Ct. App. 2006).

2.Due Process.

Board’s decision to place ophthalmologist’s license on “monitor status” without complaint or hearing violated his statutory rights under KRS 311.591 and 311.605 as well as his rights under the due process clause of the United States Constitution; the constitutional violation could be a proper basis for a civil rights action under 42 USCS §§ 1983 and 1988. Dawson v. Birenbaum, 968 S.W.2d 663, 1998 Ky. LEXIS 56 ( Ky. 1998 ).

3.Revocation Proper.

Evidence that physician was interviewed in New York investigation concerning the death of a friend and voluntarily surrendered his New York license where he agreed not to contest charges of misconduct but did not disclose such action on his annual renewal form for renewal of his Kentucky license, was sufficient to revoke his Kentucky medical license. Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

Cited:

Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004), rehearing denied, 2004 Ky. App. LEXIS 183 (Ky. Ct. App. 2004).

Opinions of Attorney General.

KRS 61.810(1)(j) permits the Board of Medical Licensure to go into closed session to consider and deliberate a grievance against a physician, including the Governor. Such a closed session must conform in all particulars with the requirements of KRS 61.815(1)(a) through (d), including the requirement that no final action may be taken during the closed session. OAG 05-OMD-17.

Research References and Practice Aids

Kentucky Law Journal.

Note: Are Noncompete Contracts Between Physicians Bad Medicine? Advocating in the Affirmative by Drawing a Public Policy Parallel to the Legal Profession, 98 Ky. L.J. 131 (2009/2010).

311.560. Prohibition against practice of medicine or osteopathy without license — Exceptions.

  1. Except as provided in subsection (2) of this section, no person shall engage or attempt to engage in the practice of medicine or osteopathy within this state, or open, maintain, or occupy an office or place of business within this state for engaging in practice, or in any manner announce or express a readiness to engage in practice within this state, unless the person holds a valid and effective license or permit issued by the board as hereinafter provided.
  2. The provisions of subsection (1) of this section shall not apply to:
    1. Commissioned medical officers of the Armed Forces of the United States, or medical officers of the United States Public Health Service, the United States Department of Veterans Affairs, and other agencies of the government of the United States of America, while said persons are engaged in the performance, within this state, of their official duties under federal laws;
      1. Persons who, being nonresidents of Kentucky and lawfully licensed to practice medicine or osteopathy in their states of actual residence, infrequently engage in the practice of medicine or osteopathy within this state, when called to see or attend particular patients in consultation and association with a physician licensed pursuant to this chapter; or (b) 1. Persons who, being nonresidents of Kentucky and lawfully licensed to practice medicine or osteopathy in their states of actual residence, infrequently engage in the practice of medicine or osteopathy within this state, when called to see or attend particular patients in consultation and association with a physician licensed pursuant to this chapter; or
      2. Persons who, being current participants in a medical residency program outside of Kentucky and lawfully licensed to practice medicine or osteopathy in the states of their medical residency programs, who participate in a temporary residency rotation of no more than sixty (60) days at a hospital in this Commonwealth. All persons who participate in a temporary residency rotation under this paragraph shall register with the board at no cost, on forms provided by the board, and shall be subject to the jurisdiction of the board for so long as they participate in the residency rotation. Persons who wish to participate in a second or subsequent temporary residency rotation under this paragraph shall seek advance approval of the board;
    2. Graduates of medical or osteopathic schools approved by the board, while engaged in performing supervised internship or first-year postgraduate training approved by the board at hospitals in this state. All first-year postgraduate trainees shall register with the board at no cost, on forms provided by the board. No first-year postgraduate trainee shall violate the provisions of KRS 311.595 or KRS 311.597 , and any first-year postgraduate trainee who is released or discharged from a training program for a reason that falls within KRS 311.595 or 311.597 shall be reported by the program director to the board. A residency physician who participates in a temporary residency rotation under paragraph (b) of this subsection shall not be required to obtain a license under KRS 311.530 to 311.620 ;
    3. Physicians employed by a sports entity visiting Kentucky for a specific sporting event when the physician holds an active medical or osteopathic license in another state and limits the practice of medicine in Kentucky to medical treatment of the members, coaches, and staff of the sports entity that employs the physician; or
    4. Persons who are nonresidents of Kentucky and licensed to practice medicine or osteopathy in their states of residence and are providing medical services as a charitable health-care provider in Kentucky through a nonprofit, all-volunteer sponsoring organization as provided for under KRS 216.940 to 216.945 , after confirming to the board that their licenses are currently in good standing in their states of residence and having been issued a written waiver by the board to provide these services during the specific period stated in the written waiver.

HISTORY: Enact. Acts 1952, ch. 150, § 3; 1972, ch. 218, § 7; 1990 Ky. Acts ch. 495, § 12; 1998, ch. 228, § 2, effective July 15, 1998; 2000, ch. 291, § 1, effective July 14, 2000; 2002, ch. 130, § 5, effective July 15, 2002; 2004, ch. 35, § 3, effective July 13, 2004; 2007, ch. 96, § 10, effective June 26, 2007; 2009, ch. 5, § 2, effective June 25, 2009; 2017 ch. 42, § 17, effective June 29, 2017.

Notes to Unpublished Decisions

1.Applicability.

Unpublished decision: Nurses who reviewed an employee's medical file simply determined whether the employee was capable of performing the necessary functions of his job. Such determinations did not fall within the ambit of Ky. Rev. Stat. Ann. § 311.560 . Hackney v. Lincoln Nat'l Fire Ins. Co., 657 Fed. Appx. 563, 2016 FED App. 0592N, 2016 U.S. App. LEXIS 19989 (6th Cir. Ky. 2016 ).

2.Construction With Other Laws.

Unpublished decision: Medical record reviewer—which plaintiff's complaint did not allege was involved in any determinations regarding medical necessity of treatments—was not practicing medicine and did not have an independent duty to plaintiff under the Kentucky medical licensing statute. Instead, the allegations in the complaint implicitly relied on the Employee Retirement Income Security Act of 1974 to establish the duty required for plaintiff's negligence claim. Milby v. MCMC LLC, 844 F.3d 605, 2016 U.S. App. LEXIS 23112 (6th Cir. Ky. 2016 ), cert. denied, 138 S. Ct. 113, 199 L. Ed. 2d 30, 2017 U.S. LEXIS 4775 (U.S. 2017).

3.Relationship With Other Laws.

Unpublished decision: Where a plaintiff appealed a district court's denial of his motion to remand, his state-law claim was completely preempted by the Employee Retirement Income Security Act of 1974 (ERISA); his claim was in essence about the denial of benefits under ERISA plan, the defendant did not owe independent duty to plaintiff under the Kentucky medical licensing statute, and dismissal of claim was proper. Hackney v. AllMed Healthcare Mgmt., Inc., 679 Fed. Appx. 454, 2017 FED App. 0113N, 2017 U.S. App. LEXIS 2877 (6th Cir. Ky.), cert. denied, 138 S. Ct. 236, 199 L. Ed. 2d 122, 2017 U.S. LEXIS 5828 (U.S. 2017).

311.565. Powers and functions of board — Fees — Fines — Guidelines and training for allegations of sexual misconduct by professionals.

  1. The board may:
    1. Exercise all the administrative functions of the state in the prevention of empiricism and in the regulation of the practice of medicine and osteopathy, which shall include but not be limited to promulgation of reasonable administrative regulations enabling the board to regulate the conduct of its licensees;
    2. Promulgate reasonable 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;
    3. Issue, deny, suspend, limit, restrict, and revoke any licenses or permits that may be issued by the board, and to reprimand or to place licensees on probation, in compliance with the provisions of KRS 311.530 to 311.620 ;
    4. Appoint an executive director and assistant executive directors and fix their compensation. The executive director shall oversee the work of the board, shall be authorized to discharge the duties of the secretary, as provided by KRS 311.530 to 311.620 , and shall carry out the duties of the executive director as set forth elsewhere in this chapter;
    5. Appoint a general counsel and assistant general counsel and fix their compensation;
    6. Appoint investigatory personnel and fix their compensation;
    7. Appoint one (1) or more hearing officers, who need not be members of the board, and fix their compensation. Every hearing officer shall be vested with the full and complete power and authority of the board to schedule and conduct hearings on behalf of and in the name of the board on all matters referred for hearing by the board or secretary thereof, including, among other things, proceedings for placing licensees on probation and for limitation, suspension, and revocation of licenses. All administrative hearings conducted by the board, a member of the board, or a hearing officer appointed by the board, shall be conducted in accordance with KRS Chapter 13B. No hearing officer shall be empowered to place any licensee on probation or to issue, refuse, suspend, limit, or revoke any license;
    8. Appoint committees of licensees, who need not be board members, to review issues of public or medical interest before the board and to make recommendations to the board on the issues;
    9. Promulgate administrative regulations to promote the efficient and fair conduct of disciplinary proceedings;
    10. Promulgate a code of conduct governing the practice of medicine and osteopathy, which shall be based upon generally recognized principles of professional ethical conduct;
    11. Utilize the services and facilities of professional organizations, and procure and receive the assistance and recommendations of professional organizations in administering KRS 311.530 to 311.620;
    12. Make its personnel and facilities available to other governmental entities under mutually agreeable terms and conditions;
    13. Issue regular licenses without further testing by endorsement from another state having qualifications and standards at least as high as those of this state or by endorsement from the National Board of Medical Examiners, the National Board of Examiners for Osteopathic Physicians and Surgeons, the National Joint Committee of Preregistration Physician Training Programs, or any approved successors thereof;
    14. Issue and renew regular licenses to practice medicine or osteopathy in accordance with KRS 311.530 to 311.620 and any reasonable regulations of the board;
    15. Issue and renew, or refuse to issue or renew, or cancel and terminate limited licenses pursuant to administrative regulations promulgated by the board; provided however, no person who held a limited license for institutional practice or general practice as of September 1, 1972, shall be denied the renewal of that limited license for nondisciplinary reasons;
    16. Appoint examiners, who need not be members of the board, and employ or contract with the Federation of State Medical Boards of the United States, Inc., or the National Board of Medical Examiners or other organizations, agencies, or individuals to prepare examination questions and grade examination papers;
    17. Determine the schools, colleges, universities, institutions, and training acceptable in connection with licensure under KRS 311.530 to 311.620;
    18. Prescribe the time, place, method, manner, scope, and content of examinations;
    19. Prescribe all forms which it considers appropriate, and require the submission of photographs, fingerprints, and personal history data;
    20. Require a criminal background investigation of all persons applying for licensure at the time of initial application, and at other times at the request of the board for good cause shown, by means of a fingerprint check by the Department of Kentucky State Police and Federal Bureau of Investigation;
    21. Prescribe and collect reasonable fees and charges for examinations, directories, and the issuance and renewal of licenses and permits; and
    22. Impose fines of not greater than five thousand dollars ($5,000) per violation and require the licensee to reimburse the board for the costs of the administrative proceedings including consultant fees, upon a finding pursuant to disciplinary proceedings that the licensee has violated any provision of KRS 311.595 to 311.597 or duly promulgated disciplinary regulation of the board.
  2. The board shall develop specific guidelines to follow upon receipt of an allegation of sexual misconduct by a physician licensed by the board. The guidelines shall include investigation, inquiry, and hearing procedures which ensure that the process does not revictimize the alleged victim or cause harm if a physician is falsely accused.
  3. The board, the hearing officer, and investigators hired by the board shall receive training on the dynamics of sexual misconduct of professionals, including the nature of this abuse of authority, characteristics of the offender, the impact on the victim, the possibility and the impact of false accusations, investigative procedure in sex offense cases, and effective intervention with victims and offenders.

History. Enact. Acts 1952, ch. 150, § 5; 1972, ch. 218, § 8; 1984, ch. 251, § 2, effective July 13, 1984; 1986, ch. 109, § 1, effective July 15, 1986; 1986, ch. 302, § 6, effective July 15, 1986; 1994, ch. 265, § 3, effective July 15, 1994; 1994, ch. 470, § 3, effective July 15, 1994; 1996, ch. 318, § 254, effective July 15, 1996; 1998, ch. 228, § 3, effective July 15, 1998; 2002, ch. 130, § 6, effective July 15, 2002; 2003, ch. 27, § 1, effective June 24, 2003; 2007, ch. 85, § 294, effective June 26, 2007.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

Opinions of Attorney General.

Since ordinances banning pain clinics are not the subject of an express power granted to local governmental units by the General Assembly, and infringe upon the legislative policy embodied in statutes regulating the practice of medicine and distribution of controlled substances, such ordinances are beyond the legitimate authority of a unit of local government. OAG 11-003 , 2011 Ky. AG LEXIS 54.

311.566. Restrictions on board’s requirements for licensure.

  1. As used in this section:
    1. “Continuing medical education” means continued postgraduate medical education intended to provide medical professionals with knowledge of new developments in their field;
    2. “Maintenance of certification” means any process requiring periodic recertification examinations to maintain specialty medical board certification;
    3. “Maintenance of licensure” means the proprietary framework for physician license renewal established through the Federation of State Medical Boards or its successor organization, which includes additional periodic testing other than continuing medical education; and
    4. “Specialty medical board certification” means certification by a board that specializes in one (1) particular area of medicine and typically requires additional and more strenuous examinations than the State Board of Medical Licensure’s requirements to practice medicine.
  2. The board shall not require any form of maintenance of licensure as a condition of physician licensure, including requiring any form of maintenance of licensure tied to maintenance of certification. The board’s regular requirements, including continuing medical education, shall suffice to demonstrate professional competency.
  3. The board shall not require any form of specialty medical board certification or any maintenance of certification to practice medicine in Kentucky.

HISTORY: 2016 ch. 53, § 1, effective July 15, 2016.

311.567. Authority for administrative regulations — Physician Assistant Advisory Committee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 228, § 4) was repealed by Acts 2002, ch. 130, § 36, effective July 15, 2002.

311.570. Eligibility for licenses — Examinations — Rules and regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 150, § 6; 1970, ch. 120, § 5; 1972, ch. 218, § 9; 1978, ch. 107, § 3, effective June 17, 1978; 1980, ch. 188, § 257, effective July 15, 1980) was repealed by Acts 1984, ch. 251, § 11, effective July 13, 1984.

311.571. Qualifications for licenses — Exception in extraordinary circumstances.

  1. No applicant who is a graduate of a medical or osteopathic school located within the United States and its territories and protectorates or Canada shall be eligible for a regular license to practice medicine in the Commonwealth unless the applicant:
    1. Is able to understandably speak, read, and write the English language;
    2. Has graduated from an accredited college or university or has satisfactorily completed a collegiate course of study necessary for entry into an approved medical or osteopathic school or college;
    3. Has graduated from a prescribed course of instruction in a medical or osteopathic school or college situated in the United States or Canada and approved by the board;
    4. Has satisfactorily completed a prescribed course of postgraduate training of a duration to be established by the board in an administrative regulation promulgated in accordance with KRS Chapter 13A, after consultation with the University of Kentucky College of Medicine, the University of Louisville School of Medicine, and the Pikeville College School of Osteopathic Medicine;
    5. Has successfully completed an examination prescribed by the board; and
    6. Has fulfilled all other reasonable qualifications for regular licensure that the board may prescribe by regulation.
  2. No applicant who is a graduate of a medical or osteopathic school located outside the United States or Canada shall be eligible for a regular license to practice medicine in the Commonwealth unless the applicant:
    1. Is able to understandably speak, read, and write the English language;
    2. Has successfully completed a course of study necessary for entry into an approved medical or osteopathic school or college;
    3. Has graduated from a prescribed course of instruction in a medical or osteopathic school or college situated outside the United States or Canada and approved by the board or is a citizen of the United States and has been awarded a diploma by an approved medical or osteopathic school located within the United States or Canada as part of a program designed to allow for the transfer of students to such schools from schools located outside the United States or Canada;
    4. Has successfully completed an examination prescribed by the board;
    5. Has been certified by the educational commission for foreign medical graduates or by an approved United States specialty board;
    6. Has satisfactorily completed a prescribed course of postgraduate training of a duration to be established by the board in an administrative regulation promulgated in accordance with KRS Chapter 13A, after consultation with the University of Kentucky College of Medicine, the University of Louisville School of Medicine, and the Pikeville College School of Osteopathic Medicine; and
    7. Has fulfilled all other reasonable qualifications for regular licensure that the board may prescribe by regulation.
  3. No applicant shall be eligible for a limited license-institutional practice unless the applicant:
    1. Has fulfilled all the requirements for regular licensure as delineated in subsection (1) of this section; or
    2. Has fulfilled the requirements for regular licensure as delineated in subsection (2)(a) to (e) and (g) of this section and in addition has satisfactorily completed a prescribed course of postgraduate training of at least one (1) full year’s duration approved by the board; and
    3. Has fulfilled all other reasonable qualifications for limited licensure that the board may prescribe by regulation.
  4. The board may grant an applicant a limited license-institutional practice for a renewable period of one (1) year if the applicant:
    1. Has fulfilled the requirements for regular licensure as delineated in subsection (2)(a), (b), (d), (e), and (g) of this section;
    2. Has fulfilled the requirements for a limited license-institutional practice as indicated in subsection (3)(c) of this section; and
    3. Has satisfactorily completed a prescribed course of postgraduate training of at least one (1) full year’s duration approved by the board.
  5. The board may grant an applicant a fellowship training license for a renewable period of one (1) year if the applicant:
    1. Has been accepted for a fellowship approved by the administration of any of Kentucky’s medical schools and conducted under the auspices of that medical school; or
    2. Has graduated from a medical school located outside the United States or Canada that has been approved by the board, and:
      1. Has been certified by the appropriate licensing authority in his or her home country in the subject specialty of the fellowship; and
      2. Is able to demonstrate that he or she is a physician of good character and is in good standing in the country where he normally practices medicine.
    1. The board may grant an applicant a special faculty license for a renewable period of one (1) year if the applicant: (6) (a) The board may grant an applicant a special faculty license for a renewable period of one (1) year if the applicant:
      1. Holds or has been offered a full-time faculty appointment at an accredited Kentucky medical or osteopathic school approved by the board and is nominated for a special faculty license by the dean of the school of medicine or school of osteopathy;
      2. Possesses a current valid license to practice medicine or osteopathy issued by another state, country, or other jurisdiction;
      3. Is able to understandably speak, read, and write the English language;
      4. Is board certified in his or her specialty;
      5. Is not otherwise eligible for a regular license under this chapter; and
      6. Is not subject to denial of a license under any provision of this chapter.
    2. The applicant shall submit the fee established by administrative regulation promulgated by the board for an initial license to practice medicine.
    3. An applicant approved for a license under this subsection shall not engage in the practice of medicine or osteopathy outside an accredited medical school program or osteopathic school program and any affiliated institution or program for which the medical school or osteopathic school has assumed direct responsibility.
    4. The board may grant a regular license to practice medicine or osteopathy to a person who has had a special faculty license for a period of at least five (5) consecutive years.
  6. An applicant seeking regular licensure in the Commonwealth who was originally licensed in another state may obtain licensure in the Commonwealth without further testing and training if the applicant:
    1. Has been endorsed in writing by the applicant’s original licensing state as being licensed in good standing in that state; and
    2. Would have satisfied all the requirements for regular licensure described in the preceding subsections had the applicant sought original licensure in this state.
  7. No applicant shall be granted licensure in the Commonwealth unless the applicant has successfully completed an examination prescribed by the board in accordance with any rules that the board may establish by regulation concerning passing scores, testing opportunities and test score recognition.
  8. Notwithstanding any of the requirements for licensure established by subsections (1) to (8) of this section and after providing the applicant or reregistrant with reasonable notice of its intended action and after providing a reasonable opportunity to be heard, the board may deny licensure to an applicant or the reregistrant of an inactive license without a prior evidentiary hearing upon a finding that the applicant or reregistrant has violated any provision of KRS 311.595 or 311.597 or is otherwise unfit to practice. Orders denying licensure may be appealed pursuant to KRS 311.593 .
  9. Notwithstanding any of the foregoing, the board may grant licensure to an applicant in extraordinary circumstances upon a finding by the board that based on the applicant’s exceptional education, training, and practice credentials, the applicant’s practice in the Commonwealth would be beneficial to the public welfare.
  10. Notwithstanding any provision of this section, the board may exercise its discretion to grant a visiting professor license to an applicant after considering the following:
    1. Whether the applicant meets the qualifications for a regular license;
    2. Whether the applicant is licensed to practice medicine in other states or in other countries; and
    3. The recommendation of the program director of an accredited medical school that confirms the applicant’s employment as a visiting professor and that includes, if necessary, written justification for a waiver of the requirements specified in subsections (1) and (2) of this section.

Orders denying applications for a visiting professor license shall not be appealed under KRS 311.593 .

HISTORY: Enact. Acts 1984, ch. 251, § 3, effective July 13, 1984; 1990, ch. 443, § 16, effective July 13, 1990; 1994, ch. 190, § 3, effective July 15, 1994; 2000, ch. 379, § 1, effective July 14, 2000; 2002, ch. 130, § 7, effective July 15, 2002; 2004, ch. 35, § 2, effective July 13, 2004; 2006, ch. 175, § 2, effective July 12, 2006; 2015 ch. 113, § 4, effective June 24, 2015.

NOTES TO DECISIONS

1.Notice and Opportunity to Be Heard.

Doctor had sufficient notice and was adequately heard by the Kentucky Board of Medical Licensure on the issue of whether or not the doctor should be licensed by endorsement in Kentucky, because the doctor had notice that the prior malpractice claims were of concern to the Board and the doctor attended the hearing and responded to the issues raised by the Board. Although the doctor did not have adequate notice about the Board’s concern regarding the doctor’s dismissal from a program, the procedural error was harmless. Abul-Ela v. Ky. Bd. of Med. Licensure, 217 S.W.3d 246, 2006 Ky. App. LEXIS 361 (Ky. Ct. App. 2006).

Notice and hearing procedural requirements employed by the Kentucky Medical Licensure Board adequately protected the applicant and afforded the applicant due process. The Board was not required to proceed with the more formal hearing procedures of KRS ch. 13B. Abul-Ela v. Ky. Bd. of Med. Licensure, 217 S.W.3d 246, 2006 Ky. App. LEXIS 361 (Ky. Ct. App. 2006).

Opinions of Attorney General.

An amendment to this section or any other provision in KRS Chapter 311 requiring a physician to treat any individual covered by a certain type of insurance is not rationally related to the legitimate state end of that chapter which is to protect the public from improperly trained or educated physicians. However, such a requirement contained in another portion of the KRS may withstand constitutional scrutiny if a court could be convinced that the requirement is rationally related to some legitimate state end. OAG 93-28 .

311.572. Order to show cause — Hearing.

  1. The board may issue an order directing an applicant for a license or the holder of a license to show cause why the applicant should be granted a license or the licensee should not be disciplined, respectively, when:
    1. An applicant admits or is otherwise found to have committed an act which constitutes a violation of the provisions of this chapter; or
    2. A licensee admits or is otherwise found to have committed an act in violation of the provisions of this chapter in any document relating to the registration or reregistration of a license.
  2. The order shall be signed by an officer of the board and shall state those violations which the board believes to have been committed. The matter shall be assigned to a hearing panel and shall proceed in accordance with KRS 311.591 . The burden of proof shall lie with the charged physician.
  3. The board may issue a provisional permit to practice medicine as provided in KRS 311.550(27) and the board shall not approve any application for licensure or application for reregistration of an inactive license or provisional permit until a final order on the matter has been issued.

History. Enact. Acts 1986, ch. 302, § 10, effective July 15, 1986; 1994, ch. 190, § 4, effective July 15, 1994; 2002, ch. 130, § 8, effective July 15, 2002.

NOTES TO DECISIONS

Cited:

Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

311.575. Issuance and cancellation of temporary permit — Notice — Application of temporary permit fees upon regular license fee.

  1. Whenever, in the opinion of the executive director, based upon verified information contained in the application, an applicant for a license to practice medicine or osteopathy is eligible therefor under subsections (1) and (2) of KRS 311.571 , the executive director may issue to such applicant, on behalf of the board, a temporary permit which shall entitle the holder to practice medicine or osteopathy in this state for a maximum of six (6) months from date of issuance thereof unless the temporary permit is sooner canceled by the executive director, who may cancel it at any time, without a hearing, for reasons deemed sufficient to him with appropriate consultation with the president, and who shall cancel it immediately upon direction by the board or upon the board’s denial of the holder’s application for a regular license. The permit shall not be renewable.
  2. The executive director shall present to the board the application for a license made by the holder of the temporary permit. In the event the board issues a regular license to the holder of a temporary permit, the fee paid in connection with any temporary permit then in effect shall be applied upon the prescribed license fee.
  3. When the executive director cancels a temporary permit, he shall promptly notify, by certified United States mail, the holder of the temporary permit, at his last known address as reflected by the files of the board, and the temporary permit shall become terminated and of no further force and effect three (3) days after the giving of said notice to the holder.

History. Enact. Acts 1952, ch. 150, § 7; 1972, ch. 218, § 10; 1984, ch. 251, § 7, effective July 13, 1984; 1986, ch. 302, § 7, effective July 15, 1986; 2002, ch. 130, § 9, effective July 15, 2002.

311.580. Forms of licenses and permits.

  1. Every certificate of regular license, limited license, fellowship training license, provisional permit, and temporary permit shall be in such form as is approved by the board or by the executive director thereof; provided, however, that each certificate shall be signed by the executive director and shall contain the date of issuance, the name of the person to whom issued, and whether the holder is authorized to practice medicine or osteopathy.
  2. Limited license and fellowship training certificates, whether originals or renewals, shall expressly state the period therefor, which shall not be in excess of one (1) year, and shall expressly state the nature and place of work authorized thereunder.
  3. Temporary permits shall expressly state the date of issuance, that they shall be for a period of not more than six (6) months from date of issuance, and that they are subject to cancellation as provided by KRS 311.575 .

History. Enact. Acts 1952, ch. 150, § 8; 2002, ch. 130, § 10, effective July 15, 2002.

311.585. License or permit to be exhibited to county clerk. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 150, § 9) was repealed by Acts 1972, ch. 218, § 11(c), effective September 1, 1972.

311.586. Report to board of physician’s address — Notice of change of address.

  1. Every physician who is practicing medicine or osteopathy in this state shall report to the board the address or addresses at which he maintains an office, and every new licensee shall make the same report within ninety (90) days after commencing the practice of medicine or osteopathy in this state.
  2. Every physician who, after notifying the board of his official address or addresses, moves his office to a new address shall immediately notify the board of the change.

History. Enact. Acts 1972, ch. 218, § 11 (a), (b); 2002, ch. 130, § 11, effective July 15, 2002.

311.590. Falsification of statement, forgery of documents, dishonesty, fraud, deceit, collusion, or conspiracy concerning licensure prohibited.

  1. No person shall make any statement or submit any document, paper, or thing to the board, or to its executive director, or to any county clerk, relating in any manner to issuance, registration, suspension, or revocation of any license or permit, knowing same to be false, forged, or fraudulent.
  2. No person shall engage in dishonesty, fraud, deceit, collusion, or conspiracy in connection with any examination, hearings, or disciplinary proceedings conducted by the board.
  3. No person shall make or issue any false or counterfeit certificate that purports to have been issued by the board, or by its executive director, or forge the signature of any person thereon, or alter any such certificate that has been issued by the board or by its executive director.

History. Enact. Acts 1952, ch. 150, § 10; 1978, ch. 384, § 476, effective June 17, 1978; 1994, ch. 190, § 5, effective July 15, 1994; 2002, ch. 130, § 12, effective July 15, 2002.

NOTES TO DECISIONS

1.False Statements.

Doctor's false statements claim against a physician failed to the extent the claim was based on the physician's allegedly false statements to the Kentucky Board of Medical Licensure because such statements were absolutely privileged under the judicial statements privilege. Kinney v. Maggard, 2018 Ky. App. LEXIS 93 (Ky. Ct. App. Feb. 23, 2018).

Cited:

Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

311.591. Inquiry and hearing panels — Grievances — Review by inquiry panel — Complaints — Hearing by hearing panel — Final order — Discipline — Release of information — Privacy.

  1. The president of the board shall divide the membership of the board, excluding himself, into two (2) panels of seven (7) members, each panel to include at least one (1) consumer member. Each panel shall have the power to act as an inquiry or a hearing panel. The president shall not be a permanent member of either panel, but shall have the power to render the deciding vote whenever a tie vote is rendered by either panel and shall have the power to serve as a member of either panel when necessary to achieve a quorum by majority.
  2. Grievances may be submitted by an individual (including board members), organization, or entity. Each grievance shall be investigated as necessary and the executive director shall assign each grievance to an inquiry panel. All inquiry panels and the executive director shall have the power to issue investigatory subpoenas for the appearance of any person or production of any record, document, or other item within the jurisdiction of the Commonwealth. The panel or executive director may seek enforcement of investigatory subpoenas and search warrants in the courts of the Commonwealth as may be necessary.
  3. Upon completion of its inquiry, the inquiry panel shall make a finding that:
    1. There is no evidence of a violation of any medical practice act and no further action is necessary;
    2. There is insufficient evidence of a violation to warrant the issuance of a complaint, but that there is evidence of a practice or activity that requires modification and the panel may issue a letter of concern under KRS 311.550(22). The letter of concern shall be a public document and may be used in future disciplinary actions against the physician;
    3. The grievance discloses an instance of misconduct which does not warrant the issuance of a complaint; in these instances, the panel may admonish the physician for his misconduct; or
    4. The grievance discloses one (1) or more violations of the provisions of this chapter which warrant the issuance of a complaint; in these instances, the panel shall cause a complaint to be prepared, signed by the presiding officer, which shall contain sufficient information to apprise the named physician of the general nature of the charges.
  4. The inquiry panel shall cause a complaint to be served on the charged physician by personal delivery or by certified mail to the physician’s last address of which the board has record. The physician shall submit a response within thirty (30) days after service. Failure to submit a timely response or willful avoidance of service may be taken by the board as an admission of the charges.
  5. Upon the issuance of the complaint, the executive director shall assign the matter for an administrative hearing by a hearing panel. No member who served on the inquiry panel may also serve as a member of the hearing panel. The hearing panel or the hearing officer on behalf of the panel shall preside over all proceedings pursuant to the issuance of a complaint.
  6. The board may promulgate administrative regulations regarding the informal disposition of any complaint, and an informal disposition may be made at any stage of the proceeding.
  7. Upon completion of an administrative hearing, the hearing panel shall issue a final order that:
    1. Dismisses the complaint upon a conclusion that the provisions of this chapter have not been violated;
    2. Finds a violation of the provisions of this chapter, but does not impose discipline because the panel does not believe discipline to be necessary under the circumstances; or
    3. Imposes discipline upon the licensee; in these instances, the panel may revoke, suspend, restrict, deny, or limit a license, or may reprimand a licensee or place a licensee on probation under terms the panel may establish to protect the licensee, his patients, or the general public. The hearing panel may impose a fine whenever it finds that a violation of this chapter has occurred. If the board substantiates that sexual contact occurred between the physician and the patient while the patient was under the care of or in a professional relationship with the physician, the physician’s license may be revoked or suspended with mandatory treatment of the physician as prescribed by the board. The board may require the physician to pay a specified amount for mental health services for the patient which are needed as a result of the sexual contact. The hearing panel’s order shall be considered the final order of the board regarding the matter.
  8. Regardless of the restrictions on public disclosure of information established in subsection (9) of this section, the board may order information derived from any investigation or inquiry be released to the physician licensure authority of another state or to any health care or mental health care facility licensed and regulated by the Commonwealth of Kentucky upon a showing that the information is necessary to determine the propriety of a physician practicing in a particular state or facility.
  9. The presiding officer at any proceeding held pursuant to a complaint or show cause order shall take whatever measures are necessary to protect the privacy interests of individuals other than the charged physician upon a showing that evidence is to be introduced, the public disclosure of which would constitute a clear invasion of personal privacy. It is the general policy of the Commonwealth that administrative proceedings should be open to the public. Therefore, in applying this subsection, the presiding officer shall balance the competing interests and employ the least restrictive measures available to protect the privacy interests involved.

History. Enact. Acts 1984, ch. 251, § 4, effective July 13, 1984; 1986, ch. 302, § 8, effective July 15, 1986; 1994, ch. 190, § 6, effective July 15, 1994; 1994, ch. 265, § 4, effective July 15, 1994; 1994, ch. 470, § 4, effective July 15, 1994; 1996, ch. 318, § 255, effective July 15, 1996; 2002, ch. 130, § 13, effective July 15, 2002.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last. 1994 Ky. Acts ch. 190, sec. 6 is not in conflict with these two acts and has been codified together with them.

NOTES TO DECISIONS

1.Due Process.

Board’s decision to place ophthalmologist’s license on “monitor status” without complaint or hearing violated his statutory rights under this section and KRS 311.605 as well as his rights under the due process clause of the United States Constitution; the constitutional violation could be a proper basis for a civil rights action under 42 USCS §§ 1983 and 1988. Dawson v. Birenbaum, 968 S.W.2d 663, 1998 Ky. LEXIS 56 ( Ky. 1998 ).

Notice and hearing procedural requirements employed by the Kentucky Medical Licensure Board adequately protected the applicant and afforded the applicant due process. The Board was not required to proceed with the more formal hearing procedures of KRS ch. 13B. Abul-Ela v. Ky. Bd. of Med. Licensure, 217 S.W.3d 246, 2006 Ky. App. LEXIS 361 (Ky. Ct. App. 2006).

2.Procedure.

Kentucky Board of Medical Licensure is not required to follow strict procedures and rules of evidence in gathering evidence needed to help it reach a decision. Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004).

Trial court properly granted summary judgment in favor of a doctor as to a patient’s medical negligence claim because she could not compel involuntary testimony from an expert working for the Board of Medical Licensure even if it amounted to his preliminary recommendations, and preliminary memoranda in which his opinions were expressed for use by the Board. Pringle v. South, 2020 Ky. App. LEXIS 56 (Ky. Ct. App. May 8, 2020).

3.Judicial Statements Privilege.

Doctor's defamation claims against a physician failed to the extent the claims were based on the physician's allegedly false statements to the Kentucky Board of Medical Licensure because such statements were absolutely privileged under the judicial statements privilege. Kinney v. Maggard, 2018 Ky. App. LEXIS 93 (Ky. Ct. App. Feb. 23, 2018).

Opinions of Attorney General.

Pleadings in a disciplinary action before the Board are public records and subject to inspection and production under KRS 61.872 . OAG 03-ORD-24.

311.592. Emergency order suspending, limiting, or restricting license — Hearing.

  1. At any time when an inquiry panel has probable cause to believe that a physician has violated the terms of an agreed order or violated the terms of a disciplinary order, or a physician’s practice constitutes a danger to the health, welfare, and safety of his patients or the general public, the inquiry panel may issue an emergency order, in accordance with KRS 13B.125 , suspending, limiting, or restricting the physician’s license.
  2. For the purposes of a hearing conducted under KRS 13B.125 on an emergency order issued under subsection (1) of this section, the findings of fact in the emergency order shall constitute a rebuttable presumption of substantial evidence of a violation of law that constitutes immediate danger to the health, welfare, or safety of patients or the general public. For the purposes of this hearing only, hearsay shall be admissible and may serve as a basis of the board’s findings.
  3. An emergency order as described in subsection (1) of this section shall not be issued unless grounds exist for the issuance of a complaint or a motion to revoke probation or an order of indefinite restriction or limitation. The inquiry panel shall issue a complaint or a motion to revoke probation or indefinite restriction or limitation prior to the date of the emergency hearing or the emergency order shall become void.
  4. An order of temporary suspension, restriction, or limitation shall not be maintained after a final order is served on the charged physician pursuant to the proceeding on the complaint or on the motion to revoke. An appeal of an emergency order shall not prejudice the board from proceeding upon the complaint or the motion to revoke.

History. Enact. Acts 1984, ch. 251, § 5, effective July 13, 1984; 1986, ch. 302, § 9, effective July 15, 1986; 1994, ch. 190, § 7, effective July 15, 1994; 1996, ch. 318, § 256, effective July 15, 1996; 2002, ch. 130, § 15, effective July 15, 2002; 2006, ch. 175, § 3, effective July 12, 2006.

NOTES TO DECISIONS

Cited:

Oliver v. Kentucky Bd. of Medical Licensure, 898 S.W.2d 531, 1995 Ky. App. LEXIS 103 (Ky. Ct. App. 1995).

311.593. Judicial review of orders of board.

  1. Except for final orders denying an application or reregistration for licensure or emergency orders temporarily suspending, limiting, or restricting a physician’s license, all final orders of the board affecting a physician’s license shall become effective thirty (30) days after notice is given to the licensee unless otherwise agreed; however, the board may provide that a final order be effective immediately when, in the board’s opinion, based upon sufficient reasonable cause, the health, welfare, and safety of the physician’s patients or the general public would be endangered by delay.
  2. Any physician who is aggrieved by a final order of the board denying a license or rendering disciplinary action against a licensee may seek judicial review of the order by filing a petition with the Circuit Court of the county in which the board’s offices are located in accordance with KRS Chapter 13B.
  3. The court shall not award injunctive relief against the board without providing the board with the reasonable opportunity to be heard.

History. Enact. Acts 1984, ch. 251, § 6, effective July 13, 1984; 1994, ch. 190, § 8, effective July 15, 1994; 1996, ch. 318, § 257, effective July 15, 1996.

NOTES TO DECISIONS

1.Reinstatement Applications.

KRS 311.607 , which permits a licensee whose license was revoked to apply for a license two years after revocation, read in conjunction with KRS 311.593(2), which provides for judicial review of Kentucky Board of Medical Licensure orders denying licenses, permitted review of the doctor’s application for reinstatement of the doctor’s license; the judicial review afforded by KRS 311.593(2) was not limited to orders that denied an initial application for a license, and the doctor complied with all aspects of that statute. Shamaeizadeh v. Ky. Bd. of Med. Licensure, 2006 Ky. App. LEXIS 20 (Ky. Ct. App. Jan. 27, 2006).

Where the Kentucky Board of Medical Licensure denied the doctor’s application for reinstatement of the doctor’s license to practice medicine, the Board’s order was a final order under KRS 311.593(2), since there was no remedial relief under Ky. R. Civ. P. 60.02, only a decision whether or not to reinstate the license under KRS 311.607 . Shamaeizadeh v. Ky. Bd. of Med. Licensure, 2006 Ky. App. LEXIS 20 (Ky. Ct. App. Jan. 27, 2006).

Cited:

Gallien v. Ky. Bd. of Med. Licensure, 336 S.W.3d 924, 2011 Ky. App. LEXIS 54 (Ky. Ct. App. 2011).

311.594. Probation or indefinite restriction or limitation— Inquiry relating to violation — Motion to revoke probation or indefinite restriction or limitation — Hearing — Order.

  1. When a hearing panel imposes discipline in a final order pursuant to KRS 13B.120 and 311.591(7), the panel may fix the appropriate sanction for the violation, but withhold imposition of the sanction under an order of probation for a period of not more than five (5) years, or under an order of indefinite restriction or limitation, with the requirement that the physician fully comply with the terms and conditions specified by the panel as necessary for the protection of the public and rehabilitation of the physician’s practice.
  2. If the board receives information that a licensee has violated a term or condition of an order of probation, or an order of indefinite restriction or limitation, issued under subsection (1) of this section during the effective period of that order, the board shall investigate the allegations as necessary. The board shall have all of the powers outlined in KRS 311.591(2) and 311.605(2) to conduct its investigation.
  3. Upon completion of its inquiry relating to a violation of probation, the hearing panel shall make a finding that:
    1. The investigation does not disclose a violation of the order of probation or the order of indefinite restriction or limitation;
    2. The investigation discloses a violation of a term or condition of the order of probation or the order of indefinite restriction or limitation but that revocation of probation or the order of indefinite restriction or limitation and imposition of the previously fixed sanction may not be necessary for protection of the public, and the panel may admonish or issue a letter of concern to the physician stating its findings and cautioning that another violation shall result in revocation of probation or the order of indefinite restriction or limitation and imposition of the previously fixed sanction; or
    3. The investigation discloses one (1) or more violations of the terms and conditions of the order of probation or the order of indefinite restriction or limitation, and the panel shall cause a motion to revoke probation or a motion to revoke the order of indefinite restriction or limitation, to be prepared and signed by the presiding officer. The motion shall identify the term or condition violated and include a general statement of the nature of the violation and shall set a date and time for a revocation hearing.
  4. The hearing panel shall cause the motion to revoke probation or the motion to revoke the indefinite restriction or limitation, to be served on the physician by personal delivery or by certified mail to the last address on record with the board for the physician or the physician’s representative.
  5. The hearing on the motion to revoke probation or the motion to revoke the order of indefinite restriction or limitation shall be conducted in accordance with KRS Chapter 13B, but the single issue to be decided shall be whether the physician has violated a term or condition of the order of probation or the order of indefinite restriction or limitation. Any recommended order issued under KRS 13B.110 shall be limited to recommended findings of fact and recommended conclusions of law.
  6. Upon completion of the hearing on the motion to revoke probation or the motion to revoke the indefinite restriction or limitation, the hearing panel shall issue an order that:
    1. Denies the motion upon a conclusion that the order of probation has not been violated;
    2. Finds a violation of the order of probation or the order of indefinite restriction or limitation but does not impose the previously fixed sanction and the panel may:
      1. Modify the terms and conditions of probation or the indefinite restriction or limitation to address issues presented during the hearing; or
      2. Admonish the physician or issue a letter of concern to the physician; or
    3. Imposes the previously fixed sanction.

History. Enact. Acts 2002, ch. 130, § 14, effective July 15, 2002; 2006, ch. 175, § 4, effective July 12, 2006.

311.595. Denial, probation, suspension, or revocation of licenses.

If the power has not been transferred by statute to some other board, commission, or agency of this state, the board may deny an application or reregistration for a license; place a licensee on probation for a period not to exceed five (5) years; suspend a license for a period not to exceed five (5) years; limit or restrict a license for an indefinite period; or revoke any license heretofore or hereafter issued by the board, upon proof that the licensee has:

  1. Knowingly made or presented, or caused to be made or presented, any false, fraudulent, or forged statement, writing, certificate, diploma, or other thing, in connection with an application for a license or permit;
  2. Practiced, or aided or abetted in the practice of fraud, forgery, deception, collusion, or conspiracy in connection with an examination for a license;
  3. Committed, procured, or aided in the procurement of an unlawful abortion, including a partial-birth abortion or an abortion in violation of KRS 311.731 ;
  4. Entered a guilty or nolo contendere plea, or been convicted, by any court within or without the Commonwealth of Kentucky of a crime as defined in KRS 335B.010 , if in accordance with KRS Chapter 335B;
  5. Been convicted of a misdemeanor offense under KRS Chapter 510 involving a patient, or a felony offense under KRS Chapter 510, 530.064(1)(a), or 531.310 , or been found by the board to have had sexual contact as defined in KRS 510.010(7) with a patient while the patient was under the care of the physician;
  6. Become addicted to a controlled substance;
  7. Become a chronic or persistent alcoholic;
  8. Been unable or is unable to practice medicine according to acceptable and prevailing standards of care by reason of mental or physical illness or other condition including but not limited to physical deterioration that adversely affects cognitive, motor, or perceptive skills, or by reason of an extended absence from the active practice of medicine;
  9. Engaged in dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud, or harm the public or any member thereof;
  10. Knowingly made, or caused to be made, or aided or abetted in the making of, a false statement in any document executed in connection with the practice of his profession;
  11. Employed, as a practitioner of medicine or osteopathy in the practice of his profession in this state, any person not duly licensed or otherwise aided, assisted, or abetted the unlawful practice of medicine or osteopathy or any other healing art;
  12. Violated or attempted to violate, directly or indirectly, or assisted in or abetted the violation of, or conspired to violate any provision or term of any medical practice act, including but not limited to the code of conduct promulgated by the board under KRS 311.601 or any other valid regulation of the board;
  13. Violated any agreed order, letter of agreement, final order, or emergency order issued by the board;
  14. Engaged in or attempted to engage in the practice of medicine or osteopathy under a false or assumed name, or impersonated another practitioner of a like, similar, or different name;
  15. Obtained a fee or other thing of value on the fraudulent representation that a manifestly incurable condition could be cured;
  16. Willfully violated a confidential communication;
  17. Had his license to practice medicine or osteopathy in any other state, territory, or foreign nation revoked, suspended, restricted, or limited or has been subjected to other disciplinary action by the licensing authority thereof. This subsection shall not require relitigation of the disciplinary action;
  18. Failed or refused, without legal justification, to practice medicine in a rural area of this state in violation of a valid medical scholarship loan contract with the trustees of the rural Kentucky medical scholarship fund;
  19. Given or received, directly or indirectly, from any person, firm, or corporation, any fee, commission, rebate, or other form of compensation for sending, referring, or otherwise inducing a person to communicate with a person licensed under KRS 311.530 to 311.620 in his professional capacity or for any professional services not actually and personally rendered; provided, however, that nothing contained in this subsection shall prohibit persons holding valid and current licenses under KRS 311.530 to 311.620 from practicing medicine in partnership or association or in a professional service corporation authorized by KRS Chapter 274, as now or hereinafter amended, or from pooling, sharing, dividing, or apportioning the fees and moneys received by them or by the partnership, corporation, or association in accordance with the partnership agreement or the policies of the board of directors of the corporation or association. Nothing contained in this subsection shall abrogate the right of two (2) or more persons holding valid and current licenses under KRS 311.530 to 311.620 to receive adequate compensation for concurrently rendering professional care to a single patient and divide a fee, if the patient has full knowledge of this division and if the division is made in proportion to the services performed and responsibility assumed by each;
  20. Been removed, suspended, expelled, or disciplined by any professional medical association or society when the action was based upon what the association or society found to be unprofessional conduct, professional incompetence, malpractice, or a violation of any provision of KRS Chapter 311. This subsection shall not require relitigation of the disciplinary action;
  21. Been disciplined by a licensed hospital or medical staff of the hospital, including removal, suspension, limitation of hospital privileges, failing to renew privileges for cause, resignation of privileges under pressure or investigation, or other disciplinary action if the action was based upon what the hospital or medical staff found to be unprofessional conduct, professional incompetence, malpractice, or a violation of any provisions of KRS Chapter 311. This subsection shall not require relitigation of the disciplinary action;
  22. Failed to comply with the requirements of KRS 213.101 , 311.782 , or 311.783 or failed to submit to the Vital Statistics Branch in accordance with a court order a complete report as described in KRS 213.101 ;
  23. Failed to comply with any of the requirements regarding making or maintaining medical records or documents described in KRS 311.7704 or 311.7707 ;
  24. Failed to comply with the requirements of KRS 311.7705 or 311.7706 ;
  25. Been convicted of female genital mutilation under KRS 508.125 , which shall result in mandatory revocation of a license; or
  26. As provided in KRS 311.824(2), been convicted of a violation of KRS 311.823(2).

History. Enact. Acts 1952, ch. 150, § 11; 1972, ch. 218, § 12; 1974, ch. 308, § 53; 1976, ch. 62, § 114; 1978, ch. 107, § 4, effective June 17, 1978; 1980, ch. 188, § 253, effective July 15, 1980; 1990, ch. 495, § 14, effective January 1, 1991; 1994, ch. 190, § 9, effective July 15, 1994; 1994, ch. 265, § 5, effective July 15, 1994; 1994, ch. 470, § 5, effective July 15, 1994; 1998, ch. 578, § 3, effective July 15, 1998; 2002, ch. 130, § 16, effective July 15, 2002; 2006, ch. 182, § 58, effective July 12, 2006; 2017 ch. 5, § 7, effective January 9, 2017; 2017 ch. 158, § 49, effective June 29, 2017; 2019 ch. 20, § 12, effective March 15, 2019; 2019 ch. 37, § 2, effective March 19, 2019; 2020 ch. 74, § 4, effective April 2, 2020; 2021 ch. 1, § 8, effective January 22, 2021.

Legislative Research Commission Notes.

(3/19/2019). 2019 Ky. Acts ch. 37, sec. 8, provides that 2019 Ky. Acts ch. 37 may be cited as the “Human Rights of the Unborn Child and Anti-Discrimination Act.” This statute was amended in Section 2 of that Act.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last. 1994 Ky. Acts ch. 190, sec. 9 is not in conflict with these two Acts and has been codified together with them.

NOTES TO DECISIONS

1.Dishonorable, Unethical or Unprofessional Conduct.

The Board of Medical Licensure properly ordered the hearing officer to listen to the trial tapes of the criminal conviction of the physician of four (4) counts of unlawful transaction with a minor, in violation of KRS 530.070 , to determine the nature of the physician’s conduct upon which the conviction was based, and the board properly ruled that the physician’s misconduct constituted a violation of subdivision (8) (now subdivision (9)) of this section and revoked his license; the physician had no right to a “full-blown” hearing since neither party to the proceeding could relitigate the evidence on the tapes. Kentucky State Bd. of Medical Licensure v. Ghali, 721 S.W.2d 731, 1986 Ky. App. LEXIS 1490 (Ky. Ct. App. 1986).

2.Disciplinary Action.

Kentucky Board of Medical Licensure’s total disciplinary action against doctor amounted to 16 months’ suspension and 54 months’ (41/2 years’) conditional probation and the plain language of the statute does not allow such piling on; therefore the board exceeded its statutory powers as suspensions and probations are not to exceed five (5) years. Oliver v. Kentucky Bd. of Medical Licensure, 898 S.W.2d 531, 1995 Ky. App. LEXIS 103 (Ky. Ct. App. 1995).

Fact that a given act may be the basis of a criminal charge does not bar the Kentucky Board of Medical Licensure from also disciplining a physician for that act. Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004).

In a case where a physician alleged that his administrative due process rights had been violated in relation to the termination of staff privileges, a hospital did not expressly or implicitly function as a state agency; therefore, the hospital's internal disciplinary proceedings were not subject to the requirements of the administrative hearings chapter. Sara v. St. Joseph Healthcare Sys., 480 S.W.3d 286, 2015 Ky. App. LEXIS 176 (Ky. Ct. App. 2015).

Physician’s discipline based on the suspension of the physician’s license in another state was improper because the regulation applied by the Kentucky Board of Medical Licensure (KBML) invalidly exceeded the KBML’s statutory authority, as the regulation required the KBML to impose the same discipline as that imposed by another state, while the statute granted the KBML discretion to determine the appropriate sanction. Uradu v. Ky. Bd. of Med. Licensure, 2019 Ky. App. LEXIS 24 (Ky. Ct. App. Feb. 22, 2019), review denied, ordered not published, 2019 Ky. LEXIS 275 (Ky. Aug. 21, 2019).

201 Ky. Admin. Regs. 9:081, § 9(4)(c) invalidly exceeds the grant of authority set forth in Ky. Rev. Stat. Ann. § 311.595(17) in that the regulation requires the Kentucky Board of Medical Licensure (KBML) to mandatorily impose the same substantive sanction imposed in another state, while the statutory language is permissive and therefore grants discretion to KBML. Uradu v. Ky. Bd. of Med. Licensure, 2019 Ky. App. LEXIS 24 (Ky. Ct. App. Feb. 22, 2019), review denied, ordered not published, 2019 Ky. LEXIS 275 (Ky. Aug. 21, 2019).
3.Other Disciplinary Action.

Evidence that physician was interviewed in New York investigation concerning the death of a friend and voluntarily surrendered his New York license where he agreed not to contest charges of misconduct but did not disclose such action on his annual renewal form for renewal of his Kentucky license, was sufficient to revoke his Kentucky medical license under subsection (17) of this section. Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

Physician’s voluntary surrender of his New York license where he agreed not to contest charges of misconduct constituted “other disciplinary action” by a state licensing authority under subsection (17) of KRS 311.595 and was basis for revocation of his license. Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

4.Revocation of License.

Where there had been a New York investigation of physician regarding an improper prescription issued to physician’s friend who died of an overdose, and physician failed to note this investigation on his annual license renewal form, such was sufficient to find that he had made a false statement on the renewal form, as required to revoke his license. Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

Preponderance of the evidence supported revocation of a doctor’s medical license where it showed that the doctor repeatedly violated the standard of care for performing fluoroscopies, that the doctor had submitted two (2) forged recommendation letters to a potential employer, and that the doctor had engaged in fraudulent billing practices. Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004).

5.False Statements.

The plain meaning of KRS 311.595(10) encompasses a broader range of activity than simply diagnosis, treatment, and correction of illnesses. Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004).

6.Reports to Cabinet.

Summary judgment for a health system employer in an employee’s wrongful discharge claim was error because based upon all of the evidence, a jury reasonably could have inferred that the employee’s involvement in reporting billing irregularities, in violation of KRS 205.8465 , and her involvement in reporting the inebriated treating physician issue to the investigator, in compliance with KRS 311.990(6), were substantial and motivating factors but for which the employee would not have been discharged. Follett v. Gateway Reg'l Health Sys., 229 S.W.3d 925, 2007 Ky. App. LEXIS 227 (Ky. Ct. App. 2007).

Opinions of Attorney General.

Subsection (h) (now subdivision (18)) of this section is sufficient authority to suspend or revoke the license of a physician who accepts a grant under KRS 211.290 (now repealed) but subsequently repudiates his obligation to engage in the practice of medicine for a specified period in a designated rural area. OAG 70-291 .

A physician engaged by a prospective employer to conduct a pre-employment medical examination does not violate the prohibition against disclosure of confidential communications in subdivision (o) (now subdivision (16)) of this section when he reports the results of his examination to the prospective employer and when the prospective employee is aware of the purposes of the examination. OAG 78-288 .

In enacting subdivision (o) (now subdivision (16)) of this section, the Legislature clearly intended to repeal the common-law rule. OAG 78-288 .

Since ordinances banning pain clinics are not the subject of an express power granted to local governmental units by the General Assembly, and infringe upon the legislative policy embodied in statutes regulating the practice of medicine and distribution of controlled substances, such ordinances are beyond the legitimate authority of a unit of local government. OAG 11-003 , 2011 Ky. AG LEXIS 54.

Research References and Practice Aids

Cross-References.

Advertising or soliciting by practitioner of healing arts, criminal penalties and exceptions, KRS 438.065 .

311.596. Proceedings for probation, suspension, limitation, restriction or revocation of a license — Hearing — Declaratory judgment — Appeal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 107, § 5, effective June 17, 1978) was repealed by Acts 1984, ch. 251, § 11, effective July 13, 1984.

311.597. Acts declared to constitute dishonorable, unethical, or unprofessional conduct.

As used in KRS 311.595(9), “dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud, or harm the public or any member thereof” shall include but not be limited to the following acts by a licensee:

  1. Prescribes or dispenses any medication:
    1. With the intent or knowledge that a medication will be used or is likely to be used other than medicinally or for an accepted therapeutic purpose;
    2. With the intent to evade any law with respect to sale, use, or disposition of the medication;
    3. For the licensee’s personal use or for the use of his immediate family when the licensee knows or has reason to know that an abuse of a controlled substance is occurring, or may result from such a practice;
    4. In such amounts that the licensee knows or has reason to know, under the attendant circumstances, that said amounts so prescribed or dispensed are excessive under accepted and prevailing medical practice standards; or
    5. In response to any communication transmitted or received by computer or other electronic means, when the licensee fails to take the following actions to establish and maintain a proper physician-patient relationship:
      1. Verification that the person requesting medication is in fact who the patient claims to be;
      2. Establishment of a documented diagnosis through the use of accepted medical practices; and
      3. Maintenance of a current medical record.

        For the purposes of this paragraph, an electronic, on-line, or telephonic evaluation by questionnaire is inadequate for the initial evaluation of the patient or for any follow-up evaluation.

  2. Issues, publishes, or makes oral or written representations in which grossly improbable or extravagant statements are made which have a tendency to deceive or defraud the public, or a member thereof, including but not limited to:
    1. Any representation in which the licensee claims that he can cure or treat diseases, ailments, or infirmities by any method, procedure, treatment, or medicine which the licensee knows or has reason to know has little or no therapeutic value;
    2. Represents or professes or holds himself out as being able and willing to treat diseases, ailments, or infirmities under a system or school of practice:
      1. Other than that for which he holds a certificate or license granted by the board, or
      2. Other than that for which he holds a degree or diploma from a school otherwise recognized as accredited by the board, or
      3. Under a school or system which he professes to be self-taught.

        For purposes of this subsection, actual injury to a patient need not be established.

  3. A serious act, or a pattern of acts committed during the course of his medical practice which, under the attendant circumstances, would be deemed to be gross incompetence, gross ignorance, gross negligence, or malpractice.
  4. Conduct which is calculated or has the effect of bringing the medical profession into disrepute, including but not limited to any departure from, or failure to conform to the standards of acceptable and prevailing medical practice within the Commonwealth of Kentucky, and any departure from, or failure to conform to the principles of medical ethics of the American Medical Association or the code of ethics of the American Osteopathic Association. For the purposes of this subsection, actual injury to a patient need not be established.
  5. Failure by a licensee to report a known or observed violation of KRS Chapter 311 by another licensee as described in KRS 311.606 .
  6. Violation by a licensee of KRS 304.39-215 .
  7. Conduct by a licensee that is subject to the penalties under KRS 304.99-060 (4) or (5).

History. Enact. Acts 1978, ch. 107, § 6, effective June 17, 1978; 1980, ch. 188, § 254, effective July 15, 1980; 1992, ch. 441, § 24, effective July 14, 1992; 1994, ch. 190, § 10, effective July 15, 1994; 1994, ch. 265, § 13, effective July 15, 1994; 1994, ch. 470, § 13, effective July 15, 1994; 2002, ch. 130, § 17, effective July 15, 2002; 2019 ch. 143, § 7, effective June 27, 2019.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last. 1994 Ky. Acts ch. 190, sec. 10 is not in conflict with these two Acts and has been codified together with them.

NOTES TO DECISIONS

1.Rules of Evidence.

The Board of Medical Licensure is not required to follow strict procedures and rules of evidence in gathering evidence needed to help it reach a decision. Kentucky State Bd. of Medical Licensure v. Ghali, 721 S.W.2d 731, 1986 Ky. App. LEXIS 1490 (Ky. Ct. App. 1986).

Cited:

Oliver v. Kentucky Bd. of Medical Licensure, 898 S.W.2d 531, 1995 Ky. App. LEXIS 103 (Ky. Ct. App. 1995); Parrish v. Ky. Bd. of Med. Licensure, 145 S.W.3d 401, 2004 Ky. App. LEXIS 54 (Ky. Ct. App. 2004), rehearing denied, 2004 Ky. App. LEXIS 183 (Ky. Ct. App. 2004).

Opinions of Attorney General.

Since ordinances banning pain clinics are not the subject of an express power granted to local governmental units by the General Assembly, and infringe upon the legislative policy embodied in statutes regulating the practice of medicine and distribution of controlled substances, such ordinances are beyond the legitimate authority of a unit of local government. OAG 11-003 , 2011 Ky. AG LEXIS 54.

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

311.5975. Duty of treating physician utilizing telehealth to insure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations.

  1. A treating physician who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of medical services and in the provision of continuing medical education.

History. Enact. Acts 2000, ch. 376, § 9, effective July 14, 2000.

311.598. Temporary suspension, limitation or restriction upon a license — Hearing — Judicial review. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 107, § 7, effective June 17, 1978) was repealed by Acts 1984, ch. 251, § 11, effective July 13, 1984.

311.599. Mental or physical examination of physician — Effect of failure to submit to examination — Opportunity to have license renewed.

  1. When a hearing or inquiry panel has probable cause to believe a physician is suffering from a physical or mental condition that might impede his ability to practice competently, the panel may order the physician to undergo a physical or mental examination by persons designated by the panel.
  2. Failure of a physician to submit to such an examination when directed, unless the failure was due to circumstances beyond his control, shall constitute an admission that the concerned physician has developed such a physical or mental disability, or other conditions, that continued practice is dangerous to patients or to the public; said failure shall constitute a default and a final order may be entered without the taking of testimony or presentation of evidence.
  3. A physician whose license has been suspended, limited, restricted or revoked under this section and KRS 311.595(8), shall at reasonable intervals be afforded an opportunity to demonstrate that he can resume the competent practice of medicine with reasonable skill and safety to patients.

History. Enact. Acts 1978, ch. 107, § 8, effective June 17, 1978; 1980, ch. 188, § 255, effective July 15, 1980; 1986, ch. 302, § 11, effective July 15, 1986; 1994, ch. 265, § 14, effective July 15, 1994; 1994, ch. 470, § 14, effective July 15, 1994.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

311.600. Adoption and filing of rules and regulations — Amendments — Compilation and distribution of medical practice laws and regulations — Notice — Review by declaratory judgment — Appeal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 150, § 12; 1966, ch. 239, § 209) was repealed by Acts 1972, ch. 218, § 13(2), effective September 1, 1972.

311.601. Adoption of administrative regulations — Continuing education requirements.

  1. The board may adopt reasonable rules and regulations to effectuate and implement the provisions of KRS 311.550 to 311.620 , including but not limited to regulations designed to ensure the continuing professional competency of present and future licensees. As an adjunct to the power conferred upon the board by this section, the board may require licensees to submit to interrogation as to the nature and extent of their postgraduate medical education and to require licensees found to be deficient in their efforts to keep abreast of new methods and technology, to obtain additional instruction and training therein.
  2. As part of the continuing medical education which the board adopts to ensure continuing professional competency of present and future licensees, the board shall ensure that:
    1. Current practicing pediatricians, including those certified in medicine and pediatrics, radiologists, family practitioners, and those physicians practicing in an emergency medicine or urgent care setting, demonstrate completion of a one (1) time course of at least one (1) hour of continuing medical education approved by the board and covering the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 , prior to December 31, 2017; and
    2. Future practicing pediatricians, including those certified in medicine and pediatrics, radiologists, family practitioners, and those physicians who will practice in an emergency medicine or urgent care setting, demonstrate completion of a one (1) time course of at least one (1) hour of continuing medical education, or its equivalent, approved by the board and covering the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 , within five (5) years of licensure.

HISTORY: Enact. Acts 1972, ch. 218, § 13(1); 1990, ch. 443, § 5, effective July 13, 1990; 2001, ch. 61, § 5, effective June 21, 2001; 2014, ch. 6, § 1, effective July 15, 2014; 2015 ch. 113, § 5, effective June 24, 2015.

311.602. Request to board for opinion on actions which might constitute unacceptable conduct.

  1. In order to assist a licensee in determining what actions would constitute unacceptable conduct under the provisions of KRS 311.595 , the licensee may request an opinion of the board by written request submitted to the secretary; the board may, in its discretion, cause a written response to be made to each requesting licensee if the request addresses an issue of such public or medical interest that the board’s opinion on the subject is deemed desirable.
  2. In formulating a response to a request, the board may request an opinion from any concerned medical or osteopathic professional association or society; however, the board shall not be bound by the supplemental opinion.
  3. The board shall keep a permanent record of all the requests made and the response thereto; further, the board may publish its opinions.

History. Enact. Acts 1978, ch. 107, § 9, effective June 17, 1978; 1990, ch. 495, § 15, effective January 1, 1991.

311.603. Immunity for official acts.

There shall be no monetary liability on the part of, and no cause of action for damages shall arise against the board, any current or former member, officer, administrator, staff member, committee member, representative, agent, consultant, or employee of the board, either as a part of the board’s operation or as an individual, as the result of any act, omission, proceeding, conduct, or decision related to his official duties undertaken or performed within the scope of the function of the board, except where actual malice is shown or willful misconduct is involved.

History. Enact. Acts 1972, ch. 218, § 14; 1990, ch. 495, § 16, effective January 1, 1991; 1994, ch. 190, § 11, effective July 15, 1994; 1998, ch. 202, § 1, effective July 15, 1998.

NOTES TO DECISIONS

1.42 U.S.C.S. § 1983.

Kentucky Board of Medical Licensure (KBML) could not be held liable under 42 U.S.C.S. § 1983 because (1) state agencies were not “persons” that could be held liable for damages under that statute, and (2) KBML's potential liability for actual malice or willful misconduct did not change this federal definition. Sangster v. Ky. Bd. of Med. Licensure, 454 S.W.3d 854, 2014 Ky. App. LEXIS 193 (Ky. Ct. App. 2014).

Members of the Kentucky Board of Medical Licensure (KBML) could not be held individually liable under 42 U.S.C.S. § 1983 because (1) Ky. Rev. Stat. Ann. § 311.603 created no federal liability, and (2) the members were entitled to absolute quasi-judicial immunity, as KBML's authorizing legislation and procedures protected policy interests, KBML was akin to judges or prosecutors, vexatious lawsuits were possible, a physician's constitutional rights were protected, and claims of bad faith, an incorrect decision, exceeding authority, or grave procedural errors did not vitiate immunity. Sangster v. Ky. Bd. of Med. Licensure, 454 S.W.3d 854, 2014 Ky. App. LEXIS 193 (Ky. Ct. App. 2014).

311.604. Clinical competency examination and skills assessment program — Demonstration of competency to resume practice.

  1. When a hearing or inquiry panel receives information that a physician has not been engaged in the active practice of medicine for at least two (2) years, the panel may order the physician to successfully complete a board-approved clinical competency examination or a board-approved clinical skills assessment program at the expense of the physician. The panel shall review the results of the examination or assessment and determine whether the physician may resume the practice of medicine without undue risk or danger to patients or the public.
  2. Failure of a physician to successfully complete the clinical competency examination or the clinical skills assessment when directed shall constitute an admission that the physician is unable to practice medicine according to accepted and prevailing standards, unless the failure was due to circumstances beyond the control of the physician. The failure shall constitute a default and a final order may be entered without additional testimony or without presentation of additional evidence.
  3. A physician whose license has been suspended, limited, restricted, or revoked under this section or KRS 311.595(8) shall be afforded an opportunity at reasonable intervals to demonstrate that he or she has the competency and skill to resume the practice of medicine.

History. Enact. Acts 2002, ch. 130, § 18, effective July 15, 2002.

311.605. Reports of violations — Enforcement powers of agents of board — Injunctions.

  1. The county boards of health shall report to the board and to the county and Commonwealth’s attorneys of their respective counties all violations of KRS 311.550 to 311.620 and shall assist in the enforcement thereof.
    1. For the purpose of enforcing the provisions of KRS 311.550 to 311.620 , agents of the board shall have the power and authority: (2) (a) For the purpose of enforcing the provisions of KRS 311.550 to 311.620 , agents of the board shall have the power and authority:
      1. To administer oaths;
      2. To enter upon professional premises during periods when those premises are otherwise open to patients or the public;
      3. To obtain evidence, including but not limited to psychiatric or nonpsychiatric records, by consent or pursuant to a subpoena or search warrant;
      4. To interview all persons; and
      5. To require the production of books, papers, documents, or other evidence, either by consent or pursuant to a subpoena or search warrant.
    2. The term “premises” as used in this subsection shall mean physician offices, or a physician’s primary place of practice, and all pharmacies and health care facilities licensed or regulated by the Commonwealth. Agents of the board may only require pharmacies to produce prescription records and health care facilities to produce records of patients or physician peer reviews. Such inspection or seizure of peer review records shall not affect the confidential nature of those records as provided in KRS 311.377 , and the board shall maintain such peer review records so as to protect the confidentiality thereof.
  2. The board may institute, in its own name, proceedings to temporarily or permanently restrain and enjoin the practice of medicine by:
    1. An individual who is not licensed to practice medicine or who is not involved in conduct specifically exempted from the requirements of this chapter by KRS 311.550(11); or
    2. An individual who was previously licensed by the board to practice medicine but is currently practicing medicine in violation of an emergency order of restriction or suspension, regardless of whether the respondent has been convicted for violation of the penal provisions thereof.
  3. A petition for injunction filed under subsection (3) of this section may be filed in Jefferson Circuit Court, in the county of residence of the respondent, or in the county in which the acts are alleged to have been committed, and the board shall not be required to pay any costs or filing fees or furnish any bond in connection therewith.
    1. In the petition it shall be sufficient to charge that the respondent on a day certain in a named county engaged in the practice of medicine in violation of subsection (3)(a) or (b) of this section. No showing of damage or injury shall be required.
    2. Issuance of an injunction shall enjoin any act specified under subsection (3)(a) or (b) of this section and shall remain in place as long as necessary to prevent the unlawful practice of medicine.
    3. Issuance of an injunction shall not relieve the respondent from being subject to any other proceeding under law provided by this chapter or otherwise.
    4. Violation of injunctions and restraining orders shall be punished as a contempt without the intervention of a jury.

History. Enact. Acts 1952, ch. 150, § 13; 1972, ch. 218, § 15; 1986, ch. 302, § 12, effective July 15, 1986; 1988, ch. 224, § 23, effective July 15, 1988; 1994, ch. 190, § 12, effective July 15, 1994; 2002, ch. 130, § 19, effective July 15, 2002; 2006, ch. 175, § 5, effective July 12, 2006.

NOTES TO DECISIONS

1.Due Process.

Board’s decision to place ophthalmologist’s license on “monitor status” without complaint or hearing violated his statutory rights under this section and KRS 311.591 as well as his rights under the due process clause of the United States Constitution; the constitutional violation could be a proper basis for a civil rights action under 42 USCS §§ 1983 and 1988. Dawson v. Birenbaum, 968 S.W.2d 663, 1998 Ky. LEXIS 56 ( Ky. 1998 ).

Opinions of Attorney General.

Neither subsection (5) of KRS 218A.230 nor subsection (2) of this section empowers the investigators of the Board of Medical Licensure to inspect pharmacies or pharmacy records. OAG 86-13 .

Records or evidence seized under subsections (2) and (3) of KRS 218A.240 and subsection (2) of this section respectively by agents of the Cabinet for Human Resources and agents from the Office of the Attorney General from any place where drugs are legally kept, records or evidence seized by pharmacy inspectors from pharmacies, and records or evidence seized by investigators of the Board of Medical Licensure from licensed premises may be shared with the police, even though the police do not have sufficient cause to seize the items themselves. OAG 86-13 .

311.606. Medical association, hospital, or its medical staff to report actions taken against licensed physicians — Violations to be reported by physicians — Reports by court clerks.

  1. In order to assist the board in the enforcement of KRS 311.595(20) and (21), any professional medical association or society operating in the Commonwealth of Kentucky, or any hospital or medical staff of said hospital located in the Commonwealth of Kentucky, shall report all actions taken against a licensed physician as described in KRS 311.595(20) and (21) to the board within thirty (30) days of the final adjudication of said action together with all pertinent documents to include but not limited to transcripts, pleadings and certified copy of the final order.
  2. In order to assist the board in the enforcement of the provisions of KRS Chapter 311, any licensed physician who observes another licensed physician violating a provision of KRS Chapter 311 shall submit a written report to the board, or to the board and the concerned medical association or society, or to the board and the concerned hospital or medical staff of the hospital within ten (10) days of observing such a violation or obtaining other direct knowledge of such a violation; the report shall contain the name of the licensed physician believed to be in violation of a provision of KRS Chapter 311, a detailed account of the concerned actions, a list of all other witnesses to said actions, and the name of the physician submitting the report.
  3. All clerks of the Circuit and District Courts in the Commonwealth of Kentucky shall report to the secretary of the board all criminal convictions of licensees that may occur in their respective courts. The report shall contain the name of the licensee, the sentence imposed against the licensee, and whether the sentence imposed upon the licensee has been appealed.

History. Enact. Acts 1978, ch. 107, § 10, effective June 17, 1978; 1980, ch. 188, § 256, effective July 15, 1980; 1994, ch. 265, § 15, effective July 15, 1994; 1994, ch. 470, § 15, effective July 15, 1994.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

NOTES TO DECISIONS

1.Relation to Other Laws.

In a case where a physician alleged that his administrative due process rights had been violated in relation to the termination of staff privileges, a hospital did not expressly or implicitly function as a state agency; therefore, the hospital's internal disciplinary proceedings were not subject to the requirements of this chapter. Sara v. St. Joseph Healthcare Sys., 480 S.W.3d 286, 2015 Ky. App. LEXIS 176 (Ky. Ct. App. 2015).

311.607. Petition for new license two years after revocation — Probation period.

  1. Except for disciplinary actions taken pursuant to KRS 311.595(8) and KRS 311.599 , a licensee who has had his license revoked may, after two (2) years from the effective date of the revocation order, petition the board for a license to again practice in the Commonwealth of Kentucky.
  2. The board shall not be required to issue a new license as described in subsection (1). No new license shall be issued to such former licensee unless the applicant satisfies the board that he is presently of good moral character and qualified both physically and mentally to resume the practice of medicine without undue risk or danger to his patients or the public.
  3. In the event that the board should issue a new license under the circumstances as described in this section, the new license shall be under probation for a period of not less than two (2) years nor more than five (5) years, and any subsequent violation during the probation period shall result in automatic revocation of license.

History. Enact. Acts 1978, ch. 107, § 11, effective June 17, 1978; 1980, ch. 188, § 308, effective July 15, 1980; 1994, ch. 265, § 16, effective July 15, 1994; 1994, ch. 470, § 16, effective July 15, 1994.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

NOTES TO UNPUBLISHED DECISIONS

1.Judicial Review.

KRS 311.607 , which permits a licensee whose license was revoked to apply for a license two (2) years after revocation, read in conjunction with KRS 311.593(2), which provides for judicial review of Kentucky Board of Medical Licensure orders denying licenses, permitted review of the doctor’s application for reinstatement of the doctor’s license; the judicial review afforded by KRS 311.593(2) was not limited to orders that denied an initial application for a license, and the doctor complied with all aspects of that statute. Shamaeizadeh v. Ky. Bd. of Med. Licensure, 2006 Ky. App. LEXIS 20 (Ky. Ct. App. Jan. 27, 2006).

Where the Kentucky Board of Medical Licensure denied the doctor’s application for reinstatement of the doctor’s license to practice medicine, the Board’s order was a final order under KRS 311.593(2), since there was no remedial relief under CR 60.02, only a decision whether or not to reinstate the license under KRS 311.607 . Shamaeizadeh v. Ky. Bd. of Med. Licensure, 2006 Ky. App. LEXIS 20 (Ky. Ct. App. Jan. 27, 2006).

Where the doctor’s application for reinstatement of the doctor’s license to practice medicine, which complied with KRS 311.607 , was denied by the Kentucky Board of Medical Licensure, the doctor was entitled to review under Ky. Const., § 2, regardless of whether there was a statutory procedure established for that purpose. Shamaeizadeh v. Ky. Bd. of Med. Licensure, 2006 Ky. App. LEXIS 20 (Ky. Ct. App. Jan. 27, 2006).

Trial court properly denied the doctor’s motion to set aside the dismissal of his petition for judicial review of an order from the Kentucky Board of Medical Licensure suspending and indefinitely restricting his license because although the Board misrepresented to the doctor its ability to reinstate his license with restrictions under KRS 311.607 , no fraud was committed as the Board reinstated the doctor’s license on a restricted basis at the doctor’s request, and the doctor had not shown how he was harmed by the agreement to reinstate his license with restrictions. Further, the Board’s conditioning full reinstatement on the doctor’s dismissal of his petitions for review was not “illegal” and did not amount to fraud. Doyle v. Ky. Bd. of Med. Licensure, 2013 Ky. App. Unpub. LEXIS 986 (Ky. Ct. App. Apr. 5, 2013), review denied, ordered not published, 2014 Ky. LEXIS 60 (Ky. Feb. 12, 2014).

311.610. Deposit and use of fees.

All fees collected by the board under the provisions of KRS 311.550 to 311.620 , or the rules and regulations adopted pursuant thereto, shall be paid into the State Treasury and credited to a trust and agency fund to be used by the board in defraying the costs and expenses of the board in the administration of KRS 311.550 to 311.620 , including, but not limited to, salaries and necessary travel expenses. No part of this fund shall revert to the general funds of this Commonwealth.

History. Enact. Acts 1952, ch. 150, § 14, effective June 19, 1952; reen. 1972, ch. 218, § 16; 1994, ch. 87, § 3, effective July 15, 1994; 1996, ch. 348, § 3, effective July 15, 1996.

311.615. Continuation of existing licenses — Limitation of authority.

  1. All licenses heretofore issued by the board for the practice of medicine or osteopathy, or any limited school or system, are hereby declared to be valid and in full force and effect unless they have become expired, canceled, suspended or revoked in accordance with law.
  2. Nothing in KRS 311.550 to 311.620 shall be construed as hereafter conferring upon the board any authority to issue, suspend or revoke any license for the practice of dentistry, optometry, chiropractic, nursing or pharmacy.

History. Enact. Acts 1952, ch. 150, § 15, effective June 19, 1952; reen. 1972, ch. 218, § 16.

311.616. Impaired physicians program.

  1. The board may establish by contract, including with a nonprofit corporation, or otherwise the Kentucky Physician Health Foundation to promote the early identification, intervention, treatment, and rehabilitation of individuals licensed by the board who may be impaired by reason of illness, alcohol or drug abuse, or as a result of any physical or mental condition.
  2. The board may promulgate administrative regulations under the provisions of KRS Chapter 13A to implement any program formed under this section and may expend any funds necessary to provide for operational expenses of a program formed under this section.

History. Enact. Acts 1994, ch. 190, § 14, effective July 15, 1994; 2002, ch. 130, § 20, effective July 15, 2002; 2020 ch. 39, § 7, effective July 15, 2020.

311.617. Creation, support, and maintenance of committee — Authority for administrative regulations. [Repealed]

History. Enact. Acts 1994, ch. 190, § 15, effective July 15, 1994; 2004, ch. 35, § 4, effective July 13, 2004; repealed by 2020 ch. 39, § 10, effective July 15, 2020.

311.618. Committee’s immunity for official acts. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 190, § 16) was repealed by Acts 2002, ch. 130, § 36, effective July 15, 2002.

Legislative Research Commission Note.

(7/15/2002). Under KRS 446.260 , the repeal of this section in 2002 Ky. Acts ch. 130, sec. 36, prevails over its amendment in 2002 Ky. Acts ch. 130, sec. 21.

311.619. Confidentiality and privileged status of program’s records.

  1. All information, interviews, reports, statements, memoranda, or other documents furnished to or produced by the program formed under KRS 311.616 , as well as all communications to or from the program, and any findings, conclusions, interventions, treatment, or rehabilitation, or other proceedings of the program which in any way pertain or refer to an individual licensed by the board who may be, or who is actually, impaired shall be privileged and confidential.
  2. All records and proceedings of the program which pertain or refer to an individual licensed by the board who may be, or who actually is, impaired shall be privileged and confidential and shall be used by the program and its members only in the exercise of the proper function of the program and shall not be considered public records nor shall they be subject to court subpoena or subject to discovery or introduction as evidence in any civil, criminal, or administrative proceedings except as described in subsection (3) of this section.
  3. The program may disclose information relative to an impaired individual licensed by the board only:
    1. When it is essential to disclose such information to further the intervention, treatment, or rehabilitation needs of the impaired individual, and then only to those persons or organizations with a need to know;
    2. When its release is authorized in writing by the impaired individual; or
    3. When the program is required to make a report to the board.
  4. The program shall report any suspected violation of KRS 311.595 to the board.

History. Enact. Acts 1994, ch. 190, § 17, effective July 15, 1994; 2002, ch. 130, § 22, effective July 15, 2002; 2020 ch. 39, § 8, effective July 15, 2020.

311.6191. Nonliability of persons who furnish information to program.

Any member of the impaired physicians program created under KRS 311.616 , as well as any administrator, staff member, consultant, agent, or employee of the program acting within the scope of his or her duties and without actual malice, and all other persons who furnish information to the program in good faith and without actual malice, shall not be liable for any claim or damages as a result of any statement, decision, opinion, investigation, or action taken by the program, or by any individual member of the program.

History. Enact. Acts 2003, ch. 116, § 1, effective March 18, 2003.

311.620. Short title.

KRS 311.550 to 311.620 may be cited as the “Kentucky Medical and Osteopathic Practice Act of 1972.”

History. Enact. Acts 1952, ch. 150, § 16; 1972, ch. 218, § 17.

311.6201. Definitions for KRS 311.6201 and 311.6202.

As used in this section and KRS 311.6202 :

  1. “Direct primary care membership agreement” means a written contractual agreement between a primary care provider and an individual patient or his or her legal guardian that:
    1. Is for an agreed-upon fee over an agreed-upon period of time;
    2. Describes the primary care services to be provided in exchange for the agreed-upon fee;
    3. States that the primary care provider shall not bill a health benefit plan or the Medicaid program on a fee-for-service basis for the primary care services provided under the agreement;
    4. Specifies automatic agreement renewal periods;
    5. Specifies any additional fees that may be charged for primary care services that are not included in the agreement;
    6. States that the patient is not required to pay more than twelve (12) months of the agreed-upon fee in advance;
    7. States that the agreed-upon fee and any additional fees may be paid by a third party;
    8. Allows either party to terminate the agreement in writing, without penalty or payment of a termination fee, after notice;
    9. Provides that, upon termination of the agreement by the patient or his or her legal guardian, all unearned fees are to be returned to the patient, his or her legal guardian, or any third-party payor; and
    10. Contains a conspicuous and prominent statement that the agreement does not constitute a health benefit plan and does not meet any individual health benefit plan mandate that may be required by federal law;
  2. “Health benefit plan” has the same meaning as in KRS 304.17A-005 ;
  3. “Primary care provider” means a physician as defined by KRS 311.550 or a physician’s medical practice that enters into a direct primary care membership agreement;
  4. “Primary care service” means the screening, assessment, diagnosis, and treatment for the purpose of promotion of health or the detection and management of disease or injury within the competency and training of the primary care provider; and
  5. “Third party” means a legal guardian, the individual patient’s employer, a spouse’s employer, a family member of the patient, or a state-sponsored direct primary care payment program. “Third party” does not include a network designed to merely accept payment from a patient and then direct the patient to one (1) of several independently owned clinics for the delivery of care.

HISTORY: 2017 ch. 25, § 1, effective June 29, 2017.

311.6202. Receipt of primary care services under direct primary care membership agreement.

  1. Receiving primary care services under a direct primary care membership agreement shall not require a patient or his or her legal guardian to forfeit coverage under a health benefit plan.
  2. The offer or provision of primary care services under a direct primary care membership agreement shall not be deemed an offer or provision of coverage under a health benefit plan and shall not be regulated under KRS Chapter 304.
  3. A primary care provider shall not be required to obtain a license to market, sell, or offer to sell a direct primary care membership agreement.
  4. All services provided pursuant to this section shall be consistent with this chapter for physicians.

HISTORY: 2017 ch. 25, § 2, effective June 29, 2017.

311.6208. Interstate Medical Licensure Compact.

The Interstate Medical Licensure Compact is hereby enacted and entered into with all other jurisdictions that legally join in the Compact, which is, in form, substantially as follows:

HISTORY: 2019 ch. 77, § 1, effective June 27, 2019.

ARTICLE I PURPOSE

In order to strengthen access to health care, and in recognition of the advances in the delivery of health care, the member states of the Interstate Medical Licensure Compact have allied in common purpose to develop a comprehensive process that complements the existing licensing and regulatory authority of state medical boards and provides a streamlined process that allows physicians to become licensed in multiple states, thereby enhancing the portability of a medical license and ensuring the safety of patients. The Compact creates another pathway for licensure and does not otherwise change a state’s existing Medical Practice Act. The Compact also adopts the prevailing standard for licensure and affirms that the practice of medicine occurs where the patient is located at the time of the physician-patient encounter and therefore requires the physician to be under the jurisdiction of the state medical board where the patient is located. State medical boards that participate in the Compact retain the jurisdiction to impose an adverse action against a license to practice medicine in that state issued to a physician through the procedures in the Compact.

ARTICLE II DEFINITIONS

As used in this compact:

  1. “Bylaws” means those bylaws established by the Interstate Commission pursuant to Article XI for its governance, or for directing and controlling its actions and conduct.
  2. “Commissioner” means the voting representative appointed by each member board pursuant to Article XI.
  3. “Conviction” means a finding by a court that an individual is guilty of a criminal offense through adjudication, or entry of a plea of guilt or no contest to the charge by the offender. Evidence of an entry of a conviction of a criminal offense by the court shall be considered final for purposes of disciplinary action by a member board.
  4. “Expedited license” means a full and unrestricted medical license granted by a member state to an eligible physician through the process set forth in the Compact.
  5. “Interstate Commission” means the interstate commission created pursuant to Article XI.
  6. “License” means authorization by a state for a physician to engage in the practice of medicine, which would be unlawful without the authorization.
  7. “Medical Practice Act” means laws and regulations governing the practice of allopathic and osteopathic medicine within a member state.
  8. “Member board” means a state agency in a member state that acts in the sovereign interests of the state by protecting the public through licensure, regulation, and education of physicians as directed by the state government.
  9. “Member state” means a state that has enacted the Compact.
  10. “Physician” means any person who:
    1. Is a graduate of a medical school accredited by the Liaison Committee on Medical Education, the Commission on Osteopathic College Accreditation, or a medical school listed in the International Medical Education Directory or its equivalent;
    2. Passed each component of the United States Medical Licensing Examination (USMLE) or the Comprehensive Osteopathic Medical Licensing Examination (COMLEX-USA) within three (3) attempts, or any of its predecessor examinations accepted by a state medical board as an equivalent examination for licensure purposes;
    3. Successfully completed graduate medical education approved by the Accreditation Council for Graduate Medical Education or the American Osteopathic Association;
    4. Holds specialty certification or a time-unlimited specialty certificate recognized by the American Board of Medical Specialties or the American Osteopathic Association’s Bureau of Osteopathic Specialists;
    5. Possesses a full and unrestricted license to engage in the practice of medicine issued by a member board;
    6. Has never been convicted, received adjudication, deferred adjudication, community supervision, or deferred disposition for any offense by a court of appropriate jurisdiction;
    7. Has never held a license authorizing the practice of medicine subjected to discipline by a licensing agency in any state, federal, or foreign jurisdiction, excluding any action related to nonpayment of fees related to a license;
    8. Has never had a controlled substance license or permit suspended or revoked by a state or the United States Drug Enforcement Administration; and
    9. Is not under active investigation by a licensing agency or law enforcement authority in any state, federal, or foreign jurisdiction.
  11. “Practice of medicine” means the clinical prevention, diagnosis, or treatment of human disease, injury, or condition requiring a physician to obtain and maintain a license in compliance with the Medical Practice Act of a member state.
  12. “Offense” means a felony, gross misdemeanor, or crime of moral turpitude.
  13. “Rule” means a written statement by the Interstate Commission promulgated pursuant to Article XII of the Compact that is of general applicability, implements, interprets, or prescribes a policy or provision of the Compact, or an organizational, procedural, or practice requirement of the Interstate Commission, and has the force and effect of statutory law in a member state, and includes the amendment, repeal, or suspension of an existing rule.
  14. “State” means any state, commonwealth, district, or territory of the United States.
  15. “State of principal license” means a member state where a physician holds a license to practice medicine and which has been designated as such by the physician for purposes of registration and participation in the Compact.

ARTICLE III ELIGIBILITY

  1. A physician shall meet the eligibility requirements as defined in Article II to receive an expedited license under the terms and provisions of the Compact.
  2. A physician who does not meet the requirements of Article II may obtain a license to practice medicine in a member state if the individual complies with all laws and requirements, other than the Compact, relating to the issuance of a license to practice medicine in that state.

ARTICLE IV DESIGNATION OF STATE OF PRINCIPAL LICENSE

  1. A physician shall designate a member state as the state of principal license for purposes of registration for expedited licensure through the Compact if the physician possesses a full and unrestricted license to practice medicine in that state, and the state is:
    1. The state of primary residence for the physician;
    2. The state where at least twenty-five percent (25%) of the practice of medicine occurs;
    3. The location of the physician’s employer; or
    4. If no state qualifies under paragraph (a), paragraph (b), or paragraph (c), the state designated as state of residence for purpose of federal income tax.
  2. A physician may redesignate a member state as state of principal license at any time, as long as the state meets the requirements in subsection (1).
  3. The Interstate Commission is authorized to develop rules to facilitate redesignation of another member state as the state of principal license.

ARTICLE V APPLICATION AND ISSUANCE OF EXPEDITED LICENSURE

  1. A physician seeking licensure through the Compact shall file an application for an expedited license with the member board of the state selected by the physician as the state of principal license.
  2. Upon receipt of an application for an expedited license, the member board within the state selected as the state of principal license shall evaluate whether the physician is eligible for expedited licensure and issue a letter of qualification, verifying or denying the physician’s eligibility, to the Interstate Commission.
    1. Static qualifications, which include verification of medical education, graduate medical education, results of any medical or licensing examination, and other qualifications as determined by the Interstate Commission through rule, shall not be subject to additional primary source verification where already primary source verified by the state of principal license.
    2. The member board within the state selected as the state of principal license shall, in the course of verifying eligibility, perform a criminal background check of an applicant, including the use of the results of fingerprint or other biometric data checks compliant with the requirements of the Federal Bureau of Investigation, with the exception of federal employees who have suitability determination in accordance with 5 C.F.R. sec. 731.202.
    3. Appeal on the determination of eligibility shall be made to the member state where the application was filed and shall be subject to the law of that state.
  3. Upon verification in subsection (2), physicians eligible for an expedited license shall complete the registration process established by the Interstate Commission to receive a license in a member state selected pursuant to subsection (1), including the payment of any applicable fees.
  4. After receiving verification of eligibility under subsection (2) and any fees under subsection (3), a member board shall issue an expedited license to the physician. This license shall authorize the physician to practice medicine in the issuing state consistent with the Medical Practice Act and all applicable laws and regulations of the issuing member board and member state.
  5. An expedited license shall be valid for a period consistent with the licensure period in the member state and in the same manner as required for other physicians holding a full and unrestricted license within the member state.
  6. An expedited license obtained through the Compact shall be terminated if a physician fails to maintain a license in the state of principal licensure for a nondisciplinary reason, without redesignation of a new state of principal licensure.
  7. The Interstate Commission is authorized to develop rules regarding the application process, including payment of any applicable fees, and the issuance of an expedited license.

ARTICLE VI FEES FOR EXPEDITED LICENSURE

  1. A member state issuing an expedited license authorizing the practice of medicine in that state may impose a fee for a license issued or renewed through the Compact.
  2. The Interstate Commission is authorized to develop rules regarding fees for expedited licenses.

ARTICLE VII RENEWAL AND CONTINUED PARTICIPATION

  1. A physician seeking to renew an expedited license granted in a member state shall complete a renewal process with the Interstate Commission if the physician:
    1. Maintains a full and unrestricted license in a state of principal license;
    2. Has not been convicted or received adjudication, deferred adjudication, community supervision, or deferred disposition for any offense by a court of appropriate jurisdiction;
    3. Has not had a license authorizing the practice of medicine subject to discipline by a licensing agency in any state, federal, or foreign jurisdiction, excluding any action related to nonpayment of fees related to a license; and
    4. Has not had a controlled substance license or permit suspended or revoked by a state or the United States Drug Enforcement Administration.
  2. Physicians shall comply with all continuing professional development or continuing medical education requirements for renewal of a license issued by a member state.
  3. The Interstate Commission shall collect any renewal fees charged for the renewal of a license and distribute the fees to the applicable member board.
  4. Upon receipt of any renewal fees collected in subsection (3), a member board shall renew the physician’s license.
  5. Physician information collected by the Interstate Commission during the renewal process shall be distributed to all member boards.
  6. The Interstate Commission is authorized to develop rules to address renewal of licenses obtained through the Compact.

ARTICLE VIII COORDINATED INFORMATION SYSTEM

  1. The Interstate Commission shall establish a database of all physicians licensed, or who have applied for licensure, under Article V.
  2. Notwithstanding any other provision of law, member boards shall report to the Interstate Commission any public action or complaints against a licensed physician who has applied or received an expedited license through the Compact.
  3. Member boards shall report disciplinary or investigatory information determined as necessary and proper by rule of the Interstate Commission.
  4. Member boards may report any nonpublic complaint, disciplinary, or investigatory information not required by subsection (3) to the Interstate Commission.
  5. Member boards shall share complaint or disciplinary information about a physician upon request of another member board.
  6. All information provided to the Interstate Commission or distributed by member boards shall be confidential, filed under seal, and used only for investigatory or disciplinary matters.
  7. The Interstate Commission is authorized to develop rules for mandated or discretionary sharing of information by member boards.

ARTICLE IX JOINT INVESTIGATIONS

  1. Licensure and disciplinary records of physicians are deemed investigative.
  2. In addition to the authority granted to a member board by its respective Medical Practice Act or other applicable state law, a member board may participate with other member boards in joint investigations of physicians licensed by the member boards.
  3. A subpoena issued by a member state shall be enforceable in other member states.
  4. Member boards may share any investigative, litigation, or compliance materials in furtherance of any joint or individual investigation initiated under the Compact.
  5. Any member state may investigate actual or alleged violations of the statutes authorizing the practice of medicine in any other member state in which a physician holds a license to practice medicine.

ARTICLE X DISCIPLINARY ACTIONS

  1. Any disciplinary action taken by any member board against a physician licensed through the Compact shall be deemed unprofessional conduct which may be subject to discipline by other member boards, in addition to any violation of the Medical Practice Act or regulations in that state.
  2. If a license granted to a physician by the member board in the state of principal license is revoked, surrendered or relinquished in lieu of discipline, or suspended, then all licenses issued to the physician by member boards shall automatically be placed, without further action necessary by any member board, on the same status. If the member board in the state of principal license subsequently reinstates the physician’s license, a license issued to the physician by any other member board shall remain encumbered until that respective member board takes action to reinstate the license in a manner consistent with the Medical Practice Act of that state.
  3. If disciplinary action is taken against a physician by a member board not in the state of principal license, any other member board may deem the action conclusive as to matter of law and fact decided, and:
    1. Impose the same or lesser sanctions against the physician so long as such sanctions are consistent with the Medical Practice Act of that state; or
    2. Pursue separate disciplinary action against the physician under its respective Medical Practice Act, regardless of the action taken in other member states.
  4. If a license granted to a physician by a member board is revoked, surrendered or relinquished in lieu of discipline, or suspended, then any licenses issued to the physician by any other member boards shall be suspended, automatically and immediately without further action necessary by the other member boards, for ninety (90) days upon entry of the order by the disciplining board, to permit the member boards to investigate the basis for the action under the Medical Practice Act of that state. A member board may terminate the automatic suspension of the license it issued prior to the completion of the ninety (90) day suspension period in a manner consistent with the Medical Practice Act of that state.

ARTICLE XI INTERSTATE MEDICAL LICENSURE COMPACT COMMISSION

  1. The member states hereby create the “Interstate Medical Licensure Compact Commission.”
  2. The purpose of the Interstate Commission is the administration of the Interstate Medical Licensure Compact, which is a discretionary state function.
  3. The Interstate Commission shall be a body corporate and joint agency of the member states and shall have all the responsibilities, powers, and duties set forth in the Compact, and such additional powers as may be conferred upon it by a subsequent concurrent action of the respective legislatures of the member states in accordance with the terms of the Compact.
  4. The Interstate Commission shall consist of two (2) voting representatives appointed by each member state who shall serve as commissioners. In states where allopathic and osteopathic physicians are regulated by separate member boards, or if the licensing and disciplinary authority is split between multiple member boards within a member state, the member state shall appoint one (1) representative from each member board. A commissioner shall be an:
    1. Allopathic or osteopathic physician appointed to a member board;
    2. Executive director, executive secretary, or similar executive of a member board; or
    3. Member of the public appointed to a member board.
  5. The Interstate Commission shall meet at least once each calendar year. A portion of this meeting shall be a business meeting to address such matters as may properly come before the Commission, including the election of officers. The chairperson may call additional meetings and shall call for a meeting upon the request of a majority of the member states.
  6. The bylaws may provide for meetings of the Interstate Commission to be conducted by telecommunication or electronic communication.
  7. Each commissioner participating at a meeting of the Interstate Commission is entitled to one (1) vote. A majority of commissioners shall constitute a quorum for the transaction of business, unless a larger quorum is required by the bylaws of the Interstate Commission. A commissioner shall not delegate a vote to another commissioner. In the absence of its commissioner, a member state may delegate voting authority for a specified meeting to another person from that state who shall meet the requirements of subsection (4).
  8. The Interstate Commission shall provide public notice of all meetings and all meetings shall be open to the public. The Interstate Commission may close a meeting, in full or in portion, where it determines by a two-thirds (2/3) vote of the commissioners present that an open meeting would be likely to:
    1. Relate solely to the internal personnel practices and procedures of the Interstate Commission;
    2. Discuss matters specifically exempted from disclosure by federal statute;
    3. Discuss trade secrets, commercial, or financial information that is privileged or confidential;
    4. Involve accusing a person of a crime, or formally censuring a person;
    5. Discuss information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
    6. Discuss investigative records compiled for law enforcement purposes; or
    7. Specifically relate to the participation in a civil action or other legal proceeding.
  9. The Interstate Commission shall keep minutes which shall fully describe all matters discussed in a meeting and shall provide a full and accurate summary of actions taken, including record of any roll call votes.
  10. The Interstate Commission shall make its information and official records, to the extent not otherwise designated in the Compact or by its rules, available to the public for inspection.
  11. The Interstate Commission shall establish an executive committee, which shall include officers, members, and others as determined by the bylaws. The executive committee shall have the power to act on behalf of the Interstate Commission, with the exception of rulemaking, during periods when the Interstate Commission is not in session. When acting on behalf of the Interstate Commission, the executive committee shall oversee the administration of the Compact including enforcement and compliance with the provisions of the Compact, its bylaws and rules, and other such duties as necessary.
  12. The Interstate Commission may establish other committees for governance and administration of the Compact.

ARTICLE XII POWERS AND DUTIES OF THE INTERSTATE COMMISSION

The Interstate Commission shall have the duty and power to:

  1. Oversee and maintain the administration of the Compact;
  2. Promulgate rules which shall be binding to the extent and in the manner provided for in the Compact;
  3. Issue, upon the request of a member state or member board, advisory opinions concerning the meaning or interpretation of the Compact, its bylaws, rules, and actions;
  4. Enforce compliance with Compact provisions, the rules promulgated by the Interstate Commission, and the bylaws, using all necessary and proper means, including but not limited to the use of judicial process;
  5. Establish and appoint committees, including but not limited to an executive committee as required by Article XI, which shall have the power to act on behalf of the Interstate Commission in carrying out its powers and duties;
  6. Pay, or provide for the payment of, the expenses related to the establishment, organization, and ongoing activities of the Interstate Commission;
  7. Establish and maintain one (1) or more offices;
  8. Borrow, accept, hire, or contract for services of personnel;
  9. Purchase and maintain insurance and bonds;
  10. Employ an executive director who shall have the powers to employ, select or appoint employees, agents, or consultants, and to determine their qualifications, define their duties, and fix their compensation;
  11. Establish personnel policies and programs relating to conflicts of interest, rates of compensation, and qualifications of personnel;
  12. Accept donations and grants of money, equipment, supplies, materials and services, and to receive, utilize, and dispose of them in a manner consistent with the conflict of interest policies established by the Interstate Commission;
  13. Lease, purchase, accept contributions or donations of, or otherwise to own, hold, improve or use, any property, real, personal, or mixed;
  14. Sell, convey, mortgage, pledge, lease, exchange, abandon, or otherwise dispose of any property, real, personal, or mixed;
  15. Establish a budget and make expenditures;
  16. Adopt a seal and bylaws governing the management and operation of the Interstate Commission;
  17. Report annually to the legislatures and governors of the member states concerning the activities of the Interstate Commission during the preceding year. Such reports shall also include reports of financial audits and any recommendations that may have been adopted by the Interstate Commission;
  18. Coordinate education, training, and public awareness regarding the Compact, its implementation, and its operation;
  19. Maintain records in accordance with the bylaws;
  20. Seek and obtain trademarks, copyrights, and patents; and
  21. Perform such functions as may be necessary or appropriate to achieve the purposes of the Compact.

ARTICLE XIII FINANCE POWERS

  1. The Interstate Commission may levy on and collect an annual assessment from each member state to cover the cost of the operations and activities of the Interstate Commission and its staff. The total assessment shall be sufficient to cover the annual budget approved each year for which revenue is not provided by other sources. The aggregate annual assessment amount shall be allocated upon a formula to be determined by the Interstate Commission, which shall promulgate a rule binding upon all member states.
  2. The Interstate Commission shall not incur obligations of any kind prior to securing the funds adequate to meet the same.
  3. The Interstate Commission shall not pledge the credit of any of the member states, except by, and with the authority of, the member state.
  4. The Interstate Commission shall be subject to a yearly financial audit conducted by a certified or licensed public accountant and the report of the audit shall be included in the annual report of the Interstate Commission.

ARTICLE XIV ORGANIZATION AND OPERATION OF THE INTERSTATE COMMISSION

  1. The Interstate Commission shall, by a majority of commissioners present and voting, adopt bylaws to govern its conduct as may be necessary or appropriate to carry out the purposes of the Compact within twelve (12) months of the first Interstate Commission meeting.
  2. The Interstate Commission shall elect or appoint annually from among its commissioners a chairperson, a vice chairperson, and a treasurer, each of whom shall have such authority and duties as may be specified in the bylaws. The chairperson, or in the chairperson’s absence or disability, the vice chairperson, shall preside at all meetings of the Interstate Commission.
  3. Officers selected in subsection (2) shall serve without remuneration from the Interstate Commission.
  4. The officers and employees of the Interstate Commission shall be immune from suit and liability, either personally or in their official capacity, for a claim for damage to or loss of property or personal injury or other civil liability caused or arising out of, or relating to, an actual or alleged act, error, or omission that occurred, or that such person had a reasonable basis for believing occurred, within the scope of Interstate Commission employment, duties, or responsibilities, provided that such person shall not be protected from suit or liability for damage, loss, injury, or liability caused by the intentional or willful and wanton misconduct of such person.
    1. The liability of the executive director and employees of the Interstate Commission or representatives of the Interstate Commission, acting within the scope of their employment or duties for acts, errors, or omissions occurring within their state, may not exceed the limits of liability set forth under the constitution and laws of that state for state officials, employees, and agents. The Interstate Commission is considered to be an instrumentality of the states for the purposes of any such action. Nothing in this subsection shall be construed to protect such person from suit or liability for damage, loss, injury, or liability caused by the intentional or willful and wanton misconduct of such person.
    2. The Interstate Commission shall defend the executive director, its employees, and subject to the approval of the attorney general or other appropriate legal counsel of the member state represented by an Interstate Commission representative, shall defend such Interstate Commission representative in any civil action seeking to impose liability arising out of an actual or alleged act, error or omission that occurred within the scope of Interstate Commission employment, duties or responsibilities, or that the defendant had a reasonable basis for believing occurred within the scope of Interstate Commission employment, duties, or responsibilities, provided that the actual or alleged act, error, or omission did not result from intentional or willful and wanton misconduct on the part of such person.
    3. To the extent not covered by the state involved, member state, or the Interstate Commission, the representatives or employees of the Interstate Commission shall be held harmless in the amount of a settlement or judgment, including attorney’s fees and costs, obtained against such persons arising out of an actual or alleged act, error, or omission that occurred within the scope of Interstate Commission employment, duties, or responsibilities, or that such persons had a reasonable basis for believing occurred within the scope of Interstate Commission employment, duties, or responsibilities, provided that the actual or alleged act, error, or omission did not result from intentional or willful and wanton misconduct on the part of such persons.

ARTICLE XV RULEMAKING FUNCTIONS OF THE INTERSTATE COMMISSION

  1. The Interstate Commission shall promulgate reasonable rules in order to effectively and efficiently achieve the purposes of the Compact. Notwithstanding the foregoing, in the event the Interstate Commission exercises its rulemaking authority in a manner that is beyond the scope of the purposes of the Compact, or the powers granted hereunder, then such an action by the Interstate Commission shall be invalid and have no force or effect.
  2. Rules deemed appropriate for the operations of the Interstate Commission shall be made pursuant to a rulemaking process that substantially conforms to the “Model State Administrative Procedure Act” of 2010, and subsequent amendments thereto.
  3. Not later than thirty (30) days after a rule is promulgated, any person may file a petition for judicial review of the rule in the United States District Court for the District of Columbia or the federal district where the Interstate Commission has its principal offices, provided that the filing of such a petition shall not stay or otherwise prevent the rule from becoming effective unless the court finds that the petitioner has a substantial likelihood of success. The court shall give deference to the actions of the Interstate Commission consistent with applicable law and shall not find the rule to be unlawful if the rule represents a reasonable exercise of the authority granted to the Interstate Commission.

ARTICLE XVI OVERSIGHT OF INTERSTATE COMPACT

  1. The executive, legislative, and judicial branches of state government in each member state shall enforce the Compact and shall take all actions necessary and appropriate to effectuate the Compact’s purposes and intent. The provisions of the Compact and the rules promulgated hereunder shall have standing as statutory law but shall not override existing state authority to regulate the practice of medicine.
  2. All courts shall take judicial notice of the Compact and the rules in any judicial or administrative proceeding in a member state pertaining to the subject matter of the Compact which may affect the powers, responsibilities or actions of the Interstate Commission.
  3. The Interstate Commission shall be entitled to receive all service of process in any such proceeding, and shall have standing to intervene in the proceeding for all purposes. Failure to provide service of process to the Interstate Commission shall render a judgment or order void as to the Interstate Commission, the Compact, or promulgated rules.

ARTICLE XVII ENFORCEMENT OF INTERSTATE COMPACT

  1. The Interstate Commission, in the reasonable exercise of its discretion, shall enforce the provisions and rules of the Compact.
  2. The Interstate Commission may, by majority vote of the commissioners, initiate legal action in the United States District Court for the District of Columbia, or, at the discretion of the Interstate Commission, in the federal district where the Interstate Commission has its principal offices, to enforce compliance with the provisions of the Compact, and its promulgated rules and bylaws, against a member state in default. The relief sought may include both injunctive relief and damages. In the event judicial enforcement is necessary, the prevailing party shall be awarded all costs of such litigation including reasonable attorney’s fees.
  3. The remedies herein shall not be the exclusive remedies of the Interstate Commission. The Interstate Commission may avail itself of any other remedies available under state law or the regulation of a profession.

ARTICLE XVIII DEFAULT PROCEDURES

  1. The grounds for default include, but are not limited to, failure of a member state to perform such obligations or responsibilities imposed upon it by the Compact, or the rules and bylaws of the Interstate Commission promulgated under the Compact.
  2. If the Interstate Commission determines that a member state has defaulted in the performance of its obligations or responsibilities under the Compact, or the bylaws or promulgated rules, the Interstate Commission shall:
    1. Provide written notice to the defaulting state and other member states, of the nature of the default, the means of curing the default, and any action taken by the Interstate Commission. The Interstate Commission shall specify the conditions by which the defaulting state must cure its default; and
    2. Provide remedial training and specific technical assistance regarding the default.
  3. If the defaulting state fails to cure the default, the defaulting state shall be terminated from the Compact upon an affirmative vote of a majority of the commissioners and all rights, privileges, and benefits conferred by the Compact shall terminate on the effective date of termination. A cure of the default does not relieve the offending state of obligations or liabilities incurred during the period of the default.
  4. Termination of membership in the Compact shall be imposed only after all other means of securing compliance have been exhausted. Notice of intent to terminate shall be given by the Interstate Commission to the governor, the majority and minority leaders of the defaulting state’s legislature, and each of the member states.
  5. The Interstate Commission shall establish rules and procedures to address licenses and physicians that are materially impacted by the termination of a member state, or the withdrawal of a member state.
  6. The member state which has been terminated is responsible for all dues, obligations, and liabilities incurred through the effective date of termination including obligations, the performance of which extends beyond the effective date of termination.
  7. The Interstate Commission shall not bear any costs relating to any state that has been found to be in default or which has been terminated from the Compact, unless otherwise mutually agreed upon in writing between the Interstate Commission and the defaulting state.
  8. The defaulting state may appeal the action of the Interstate Commission by petitioning the United States District Court for the District of Columbia or the federal district where the Interstate Commission has its principal offices. The prevailing party shall be awarded all costs of such litigation including reasonable attorney’s fees.

ARTICLE XIX DISPUTE RESOLUTION

  1. The Interstate Commission shall attempt, upon the request of a member state, to resolve disputes which are subject to the Compact and which may arise among member states or member boards.
  2. The Interstate Commission shall promulgate rules providing for both mediation and binding dispute resolution as appropriate.

ARTICLE XX MEMBER STATES, EFFECTIVE DATE AND AMENDMENT

  1. Any state is eligible to become a member state of the Compact.
  2. The Compact shall become effective and binding upon legislative enactment of the Compact into law by no less than seven (7) states. Thereafter, it shall become effective and binding on a state upon enactment of the Compact into law by that state.
  3. The governors of nonmember states, or their designees, shall be invited to participate in the activities of the Interstate Commission on a nonvoting basis prior to adoption of the Compact by all states.
  4. The Interstate Commission may propose amendments to the Compact for enactment by the member states. No amendment shall become effective and binding upon the Interstate Commission and the member states unless and until it is enacted into law by unanimous consent of the member states.

ARTICLE XXI WITHDRAWAL

  1. Once effective, the Compact shall continue in force and remain binding upon each and every member state; provided that a member state may withdraw from the Compact by specifically repealing the statute which enacted the Compact into law.
  2. Withdrawal from the Compact shall be by the enactment of a statute repealing the same, but shall not take effect until one (1) year after the effective date of such statute and until written notice of the withdrawal has been given by the withdrawing state to the governor of each other member state.
  3. The withdrawing state shall immediately notify the chairperson of the Interstate Commission in writing upon the introduction of legislation repealing the Compact in the withdrawing state.
  4. The Interstate Commission shall notify the other member states of the withdrawing state’s intent to withdraw within sixty (60) days of its receipt of notice provided under subsection (3).
  5. The withdrawing state is responsible for all dues, obligations and liabilities incurred through the effective date of withdrawal, including obligations, the performance of which extend beyond the effective date of withdrawal.
  6. Reinstatement following withdrawal of a member state shall occur upon the withdrawing state reenacting the Compact or upon such later date as determined by the Interstate Commission.
  7. The Interstate Commission is authorized to develop rules to address the impact of the withdrawal of a member state on licenses granted in other member states to physicians who designated the withdrawing member state as the state of principal license.

ARTICLE XXII DISSOLUTION

  1. The Compact shall dissolve effective upon the date of the withdrawal or default of the member state which reduces the membership in the Compact to one (1) member state.
  2. Upon the dissolution of the Compact, the Compact becomes null and void and shall be of no further force or effect, and the business and affairs of the Interstate Commission shall be concluded and surplus funds shall be distributed in accordance with the bylaws.

ARTICLE XXIII SEVERABILITY AND CONSTRUCTION

  1. The provisions of the Compact shall be severable, and if any phrase, clause, sentence, or provision is deemed unenforceable, the remaining provisions of the Compact shall be enforceable.
  2. The provisions of the Compact shall be liberally construed to effectuate its purposes.
  3. Nothing in the Compact shall be construed to prohibit the applicability of other interstate compacts to which the states are members.

ARTICLE XXIV BINDING EFFECT OF COMPACT AND OTHER LAWS

  1. Nothing herein prevents the enforcement of any other law of a member state that is not inconsistent with the Compact.
  2. All laws in a member state in conflict with the Compact are superseded to the extent of the conflict.
  3. All lawful actions of the Interstate Commission, including all rules and bylaws promulgated by the Commission, are binding upon the member states.
  4. All agreements between the Interstate Commission and the member states are binding in accordance with their terms.
  5. In the event any provision of the Compact exceeds the constitutional limits imposed on the legislature of any member state, such provision shall be ineffective to the extent of the conflict with the constitutional provision in question in that member state.

Kentucky Living Will Directive Act

311.621. Definitions for KRS 311.621 to 311.643.

As used in KRS 311.621 to 311.643 :

  1. “Adult” means a person eighteen (18) years of age or older and who is of sound mind;
  2. “Advance directive” means a living will directive made in accordance with KRS 311.621 to 311.643 , a living will or designation of health care surrogate executed prior to July 15, 1994, and any other document that provides directions relative to health care to be provided to the person executing the document;
  3. “Artificially-provided nutrition and hydration” means sustenance or fluids that are artificially or technologically administered;
  4. “Attending physician” means the physician who has primary responsibility for the treatment and care of the patient;
  5. “Decisional capacity” means the ability to make and communicate a health care decision;
  6. “Directive” means a living will directive in writing voluntarily made by an adult in accordance with the provisions of KRS 311.621 to 311.643 ;
  7. “Grantor” means an adult who has executed an advance directive in accordance with KRS 311.621 to 311.643 ;
  8. “Health care decision” means consenting to, or withdrawing consent for, any medical procedure, treatment, or intervention;
  9. “Health care facility” means any institution, place, building, agency, or portion thereof, public or private, whether organized for profit or not, used, operated, or designed to provide medical diagnosis, treatment, nursing, rehabilitative, or preventive care, and licensed pursuant to KRS Chapter 216B;
  10. “Health care provider” means any health care facility or provider of health services, including but not limited to, those licensed, certified, or regulated under the provisions of KRS Chapters 211, 216, 311, 312, 313, or 314;
  11. “Life-prolonging treatment” means any medical procedure, treatment, or intervention which:
    1. Utilizes mechanical or other artificial means to sustain, prolong, restore, or supplant a spontaneous vital function; and
    2. When administered to a patient would serve only to prolong the dying process. “Life-prolonging treatment” shall not include the administration of medication or the performance of any medical procedure deemed necessary to alleviate pain;
  12. “Medical order for scope of treatment” means an actionable medical order signed by a patient, a patient’s legal surrogate, or a responsible party, and the patient’s physician directing the use of life-sustaining treatment for the patient. A medical order for scope of treatment, if completed, shall implement or apply a health power of attorney or a living will directive if one exists;
  13. “Permanently unconscious” means a condition which, to a reasonable degree of medical probability, as determined solely by the patient’s attending physician and one (1) other physician on clinical examination, is characterized by an absence of cerebral cortical functions indicative of consciousness or behavioral interaction with the environment;
  14. “Physician” means a person licensed to practice medicine in the Commonwealth of Kentucky;
  15. “Responsible party” means an adult who has authority under KRS 311.631 to make a health care decision for a patient who has not executed a living will directive;
  16. “Surrogate” means an adult who has been designated to make health care decisions in accordance with KRS 311.621 to 311.643 ; and
  17. “Terminal condition” means a condition caused by injury, disease, or illness which, to a reasonable degree of medical probability, as determined solely by the patient’s attending physician and one (1) other physician, is incurable and irreversible and will result in death within a relatively short time, and where the application of life-prolonging treatment would serve only to artificially prolong the dying process.

HISTORY: Enact. Acts 1994, ch. 235, § 1, effective July 15, 1994; 2015 ch. 3, § 1, effective June 24, 2015.

NOTES TO DECISIONS

1.Health Care Decisions.

Arbitration agreements signed by a patient’s friend when the patient was admitted to medical facilities were neither valid nor enforceable as to the patient; the patient was both physically and mentally competent to sign the agreements, the patient’s signature was required by the arbitration agreements, the medical facilities should not have asked the friend to sign the agreements, and there was no evidence that the friend was authorized to sign the agreements in the patient’s stead. Mt. Holly Nursing Ctr. v. Crowdus, 281 S.W.3d 809, 2008 Ky. App. LEXIS 236 (Ky. Ct. App. 2008).

In a wrongful death case against a nursing home, an arbitration agreement was not valid because parents could not enter a contract on behalf of their disabled daughter, there was no actual authority on the part of the parents to enter into a contract on behalf of the daughter, a signatory was not a guardian of the disabled adult, and the parents could not appoint the signatory as a power of attorney; even though the parents had the right to make health care decisions under KRS 311.631(1), entering into an arbitration agreement was not a health care decision. Because the parents were unable to name an attorney-in-fact on behalf of their disabled daughter, there was no apparent authority either. GGNSC Stanford, LLC v. Rowe, 388 S.W.3d 117, 2012 Ky. App. LEXIS 177 (Ky. Ct. App. 2012).

Cited:

Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Fust, Common Challenges of the (Not So) Uncommon Estate Planning Client, Vol. 70, No. 1, January 2006, Ky. Bench & Bar 11.

Brown, Estate Planning for the Elder Client: Diminished Capacity, Volume 74, No. 6, November 2010, Ky. Bench & Bar 10.

Kentucky Law Journal.

Note: Forcing Life on the Dead: Why the Pregnancy Exemption Clause of the Kentucky Living Will Directive Act is Unconstitutional, 100 Ky. L.J. 209 (2011/2012).

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

A Survey of Key Issues Kentucky Elder Law, 29 N. Ky. L. Rev. 139 (2002).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 269.00.

311.622. Legislative finding. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 1, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.6225. Medical order for scope of treatment (MOST) form — Eligible persons — Scope — Effect.

  1. An adult with decisional capacity, an adult’s legal surrogate, or a responsible party may complete a medical order for scope of treatment directing medical interventions. The form shall have the title “MOST, Medical Orders for Scope of Treatment” and an introductory section containing the patient’s name and date of birth, the effective date of the form, including the statement “Form must be reviewed at least annually” and the statements “HIPAA permits disclosure of MOST to other health care professionals as necessary” and “This document is based on this person’s medical condition and wishes. Any section not completed indicates a preference for full treatment for that section.” The form shall be in substantially the following order and format and shall have the following contents:
    1. Section A of the form shall direct cardiopulmonary resuscitation when a person has no pulse and is not breathing by selection of one (1) of the following:
      1. “Attempt Resuscitation (CPR)”; or
      2. “Do Not Attempt Resuscitation”; and include the statement “When not in cardiopulmonary arrest, follow orders in B, C, and D.”;
    2. Section B of the form shall direct the scope of treatment when a person has a pulse or is breathing by selection of one (1) of the following:
      1. Full scope of treatment, including the use of intubation, advanced airway interventions, mechanical ventilation, defibrillation or cardioversion as indicated, medical treatment, intravenous fluids, and comfort measures. This option shall include the statement “Transfer to a hospital if indicated. Includes intensive care. Treatment Plan: Full treatment, including life support measures.”;
      2. Limited additional intervention, including the use of medical treatment, oral and intravenous medications, intravenous fluids, cardiac monitoring as indicated, noninvasive bi-level positive airway pressure, a bag valve mask, and comfort measures. This option excludes the use of intubation or mechanical ventilation. This option shall include the statement “Transfer to a hospital if indicated. Avoid intensive care. Treatment Plan: Provide basic medical treatments.”; or
      3. Comfort measures, including keeping the patient clean, warm, and dry; use of medication by any route; positioning, wound care, and other measures to relieve pain and suffering; and the use of oxygen, suction, and manual treatment of airway obstruction as needed for comfort. This option shall include the statement “Do not transfer to a hospital unless comfort needs cannot be met in the patient’s current location (e.g. hip fracture).”. These options shall be followed by a space for other instructions;
    3. Section C of the form shall direct the use of oral and intravenous antibiotics by selection of one (1) of the following:
      1. Antibiotics if indicated for the purpose of maintaining life;
      2. Determine use or limitation of antibiotics when infection occurs;
      3. Use of antibiotics to relieve pain and discomfort; or
      4. No antibiotics, use other measures to relieve symptoms. This option shall include a space for other instructions;
    4. Section D of the form shall:
      1. Have the heading “Medically Administered Fluids and Nutrition: The provision of nutrition and fluids, even if medically administered, is a basic human right and authorization to deny or withdraw shall be limited to the patient, the surrogate in accordance with KRS 311.629 , or the responsible party in accordance with KRS 311.631 ”;
      2. Direct the administration of fluids if physically possible as determined by the patient’s physician in accordance with reasonable medical judgment and in consultation with the patient, surrogate, or responsible party by selecting one (1) of the following:
        1. Long-term intravenous fluids if indicated;
        2. Intravenous fluids for a defined trial period. This option shall be followed by “Goal:.................”; or
        3. No intravenous fluids, provide other measures to ensure comfort; and
      3. Direct the administration of nutrition if physically possible as determined by the patient’s physician in accordance with reasonable medical judgment and in consultation with the patient, surrogate, or responsible party by selecting one (1) of the following:
        1. Long-term feeding tube if indicated;
        2. Feeding tube for a defined trial period. This option shall be followed by “Goal:.................”; or
        3. No feeding tube. This option shall be followed by a space for special instructions;
    5. Section E of the form shall:
      1. Have the heading “Patient Preferences as a Basis for this MOST Form” shall include the language “Basis for order must be documented in medical record”;
      2. Provide direction to indicate whether or not the patient has an advance medical directive such as a health care power of attorney or living will and, if so, a place for the printed name, position, and signature of the individual certifying that the MOST is in accordance with the advance directive; and
      3. Indicate whether oral or written directions were given and, if so, by which one (1) or more of the following:
        1. Patient;
        2. Parent or guardian if patient is a minor;
        3. Surrogate appointed by the patient’s advance directive;
        4. The judicially appointed guardian of the patient, if the guardian has been appointed and if medical decisions are within the scope of the guardianship;
        5. The attorney-in-fact named in a durable power of attorney, if the durable power of attorney specifically includes authority for health care decisions;
        6. The spouse of the patient;
        7. An adult child of the patient or, if the patient has more than one (1) child, the majority of the adult children who are reasonably available for consultation;
        8. The parents of the patient; and
        9. The nearest living relative of the patient or, if more than one (1) relative of the same relation is reasonably available for consultation, a majority of the nearest living relatives;
    6. A signature portion of the form shall include spaces for the printed name, signature, and date of signing for:
      1. The patient’s physician;
      2. The patient, parent of minor, guardian, health care agent, surrogate, spouse, or other responsible party, with a description of the relationship to the patient and contact information, unless based solely on advance directive; and
      3. The health care professional preparing the form, with contact information;
    7. A section of the form shall be titled “Information for patient, surrogate, or responsible party named on this form” with the following language: “The MOST form is always voluntary and is usually for persons with advanced illness. MOST records your wishes for medical treatment in your current state of health. The provision of nutrition and fluids, even if medically administered, is a basic human right and authorization to deny or withdraw shall be limited to the patient, the surrogate in accordance with KRS 311.629 , or the responsible party in accordance with KRS 311.631 . Once initial medical treatment is begun and the risks and benefits of further therapy are clear, your treatment wishes may change. Your medical care and this form can be changed to reflect your new wishes at any time. However, no form can address all the medical treatment decisions that may need to be made. An advance directive, such as the Kentucky Health Care Power of Attorney, is recommended for all capable adults, regardless of their health status. An advance directive allows you to document in detail your future health care instructions or name a surrogate to speak for you if you are unable to speak for yourself, or both. If there are conflicting directions between an enforceable living will and a MOST form, the provisions of the living will shall prevail.”;
    8. A section of the form shall be titled “Directions for Completing and Implementing Form” with these four (4) subdivisions:
      1. The first subdivision shall be titled “Completing MOST” and shall have the following language: “MOST must be reviewed, prepared, and signed by the patient’s physician in personal communication with the patient, the patient’s surrogate, or responsible party. MOST must be reviewed and contain the original signature of the patient’s physician to be valid. Be sure to document the basis in the progress notes of the medical record. Mode of communication (e.g., in person, by telephone, etc.) should also be documented. The signature of the patient, surrogate, or a responsible party is required; however, if the patient’s surrogate or a responsible party is not reasonably available to sign the original form, a copy of the completed form with the signature of the patient’s surrogate or a responsible party must be signed by the patient’s physician and placed in the medical record. Use of original form is required. Be sure to send the original form with the patient. There is no requirement that a patient have a MOST.”;
      2. The second subdivision shall be titled “Implementing MOST” and shall have the following language: “If a health care provider or facility cannot comply with the orders due to policy or personal ethics, the provider or facility must arrange for transfer of the patient to another provider or facility.”;
      3. The third subdivision shall be titled “Reviewing MOST” and shall have the following language: This MOST must be reviewed at least annually or earlier if: The patient is admitted and/or discharged from a health care facility; There is a substantial change in the patient’s health status; or The patient’s treatment preferences change. If MOST is revised or becomes invalid, draw a line through Sections A-E and write “VOID” in large letters.”; and
      4. The fourth subdivision shall be titled “Revocation of MOST” and shall have the following language: “This MOST may be revoked by the patient, the surrogate, or the responsible party.”; and
    9. A section of the form shall be titled “Review of MOST” and shall have the following columns and a number of rows as determined by the Kentucky Board of Medical Licensure:
      1. “Review Date”;
      2. “Reviewer and Location of Review”;
      3. “MD/DO Signature (Required)”;
      4. “Signature of Patient, Surrogate, or Responsible Party (Required)”; and
      5. Outcome of Review, describing the outcome in each row by selecting one (1) of the following:
        1. No Change;
        2. FORM VOIDED, new form completed; or
        3. FORM VOIDED, no new form”.
  2. The Kentucky Board of Medical Licensure shall promulgate administrative regulations in accordance with KRS Chapter 13A to develop the format for a standardized medical order for scope of treatment form to be approved by the board, including spacing, size, borders, fill and location of boxes, type of fonts used and their size, and placement of boxes on the front or back of the form so as to fit on a single sheet. The board may not alter the wording or order of wording provided in subsection (1) of this section, except to add identifying data such as form number and date of promulgation or revision and instructions for completing, reviewing, and revoking the election of the form. The board shall consult with appropriate professional organizations to develop the format for the medical order for scope of treatment form, including:
    1. The Kentucky Association of Hospice and Palliative Care;
    2. The Kentucky Board of Emergency Medical Services;
    3. The Kentucky Hospital Association;
    4. The Kentucky Association of Health Care Facilities;
    5. LeadingAge Kentucky;
    6. The Kentucky Right to Life Association; and
    7. Other groups interested in end-of-life care.
  3. The medical order for scope of treatment form developed under subsection (2) of this section shall include but not be limited to:
    1. An advisory that completing the medical order for scope of treatment form is voluntary and not required for treatment;
    2. Identification of the person who discussed and agreed to the options for medical intervention that are selected;
    3. All necessary information necessary to comply with subsection (1) of this section;
    4. The effective date of the form;
    5. The expiration or review date of the form, which shall be no more than one (1) calendar year from the effective date of the form;
    6. Indication of whether the patient has a living will directive or health care power of attorney, a copy of which shall be attached to the form if available;
    7. An advisory that the medical order for scope of treatment may be revoked by the patient, the surrogate, or a responsible party at any time; and
    8. A statement written in boldface type directly above the signature line for the patient that states “You are not required to sign this form to receive treatment.”
  4. A physician shall document the medical basis for completing a medical order for scope of treatment in the patient’s medical record.
  5. The patient, the surrogate, or a responsible party shall sign the medical order for scope of treatment form; however, if it is not practicable for the patient’s surrogate or a responsible party to sign the original form, the surrogate or a responsible party shall sign a copy of the completed form and return it to the health care provider completing the form. The copy of the form with the signature of the surrogate or a responsible party, whether in electronic or paper form, shall be signed by the physician and shall be placed in the patient’s medical record. When the signature of the surrogate or a responsible party is on a separate copy of the form, the original form shall indicate in the appropriate signature field that the signature is attached.

HISTORY: 2015 ch. 3, § 2, effective June 24, 2015.

Legislative Research Commission Notes.

(6/24/2015). During codification, the Reviser of Statutes has changed the numbering of subparagraphs within paragraphs (d) and (e) of subsection (1) of this statute from the way it appeared in 2015 Ky. Acts ch. 3, sec. 2.

311.623. Living will directive or medical order for scope of treatment — Eligible persons — Scope — Effect — Recognition of person’s desire not to be resuscitated.

  1. An adult with decisional capacity may make a written living will directive that does any or all of the following:
    1. Directs the withholding or withdrawal of life-prolonging treatment; or
    2. Directs the withholding or withdrawal of artificially provided nutrition or hydration; or
    3. Designates one (1) or more adults as a surrogate or successor surrogate to make health care decisions on behalf of the grantor. During any period in which two (2) or more surrogates are serving, all decisions shall be by unanimous consent of all the acting surrogates unless the advance directive provides otherwise; or
    4. Directs the giving of all or any part of the adult’s body upon death for any purpose specified in KRS 311.1929 .
  2. Except as provided in KRS 311.633 , a living will directive made pursuant to this section or a medical order for scope of treatment made pursuant to KRS 311.6225 shall be honored by a grantor’s family, regular family physician or attending physician, and any health care facility of or in which the grantor is a patient.
  3. For purposes of KRS 311.621 to 311.643 , notification to any emergency medical responder as defined by KRS Chapter 211 or any paramedic as defined by KRS Chapter 311, of a person’s authentic wish not to be resuscitated shall be recognized only if on a standard form or identification approved by the Kentucky Board of Medical Licensure, in consultation with the Cabinet for Health and Family Services, or a standard medical order for scope of treatment form approved by the Kentucky Board of Medical Licensure pursuant to KRS 311.6225 .

HISTORY: Enact. Acts 1994, ch. 235, § 2, effective July 15, 1994; 1998, ch. 392, § 1, effective July 15, 1998; 1998, ch. 426, § 538, effective July 15, 1998; 2005, ch. 99, § 586, effective June 20, 2005; 2010, ch. 161, § 30, effective July 15, 2010; 2015 ch. 3, § 3, effective June 24, 2015.

Research References and Practice Aids

Kentucky Law Journal.

Note: Forcing Life on the Dead: Why the Pregnancy Exemption Clause of the Kentucky Living Will Directive Act is Unconstitutional, 100 Ky. L.J. 209 (2011/2012).

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

Wilborn, The Right to Refuse Medical Treatment: Where There Is a Right, There Ought to Be a Remedy, 25 N. Ky. L. Rev. 649 (1998).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Living Will Directive, Form 269.04.

311.6231. Court-appointed fiduciary bound by terms of grantor’s advance directive — Power of surrogate to act.

If, following the execution of an advance directive under KRS 311.623 , a court of the grantor’s principal domicile appoints a fiduciary charged with the care and protection of the grantor’s person, the fiduciary shall be bound by the terms of the grantor’s advance directive. If the advance directive designates a surrogate to make health care decisions for the grantor, the surrogate may continue to act.

History. Enact. Acts 1998, ch. 421, § 1, effective July 15, 1998.

311.624. Definitions for KRS 311.622 to 311.644. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 2, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.625. Form of living will directive.

  1. A living will directive made pursuant to KRS 311.623 shall be substantially in the following form, and may include other specific directions which are in accordance with accepted medical practice and not specifically prohibited by any other statute. If any other specific directions are held by a court of appropriate jurisdiction to be invalid, that invalidity shall not affect the directive. “Living Will Directive My wishes regarding life-prolonging treatment and artificially provided nutrition and hydration to be provided to me if I no longer have decisional capacity, have a terminal condition, or become permanently unconscious have been indicated by checking and initialing the appropriate lines below. By checking and initialing the appropriate lines, I specifically: . . . . . Designate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . as my health care surrogate(s) to make health care decisions for me in accordance with this directive when I no longer have decisional capacity. If . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . refuses or is not able to act for me, I designate . . . . . . . . . . . . . . . . . . . as my health care surrogate(s). Any prior designation is revoked. If I do not designate a surrogate, the following are my directions to my attending physician. If I have designated a surrogate, my surrogate shall comply with my wishes as indicated below: . . . . . Direct that treatment be withheld or withdrawn, and that I be permitted to die naturally with only the administration of medication or the performance of any medical treatment deemed necessary to alleviate pain. . . . . . DO NOT authorize that life-prolonging treatment be withheld or withdrawn. . . . . . Authorize the withholding or withdrawal of artificially provided food, water, or other artificially provided nourishment or fluids. . . . . . DO NOT authorize the withholding or withdrawal of artificially provided food, water, or other artificially provided nourishment or fluids. . . . . . Authorize my surrogate, designated above, to withhold or withdraw artificially provided nourishment or fluids, or other treatment if the surrogate determines that withholding or withdrawing is in my best interest; but I do not mandate that withholding or withdrawing. . . . . . Authorize the giving of all or any part of my body upon death for any purpose specified in KRS 311.1929 . . . . . . DO NOT authorize the giving of all or any part of my body upon death. In the absence of my ability to give directions regarding the use of life-prolonging treatment and artificially provided nutrition and hydration, it is my intention that this directive shall be honored by my attending physician, my family, and any surrogate designated pursuant to this directive as the final expression of my legal right to refuse medical or surgical treatment and I accept the consequences of the refusal. If I have been diagnosed as pregnant and that diagnosis is known to my attending physician, this directive shall have no force or effect during the course of my pregnancy. I understand the full import of this directive and I am emotionally and mentally competent to make this directive.

    Signed this . . . . . day of . . . . . . . . . . , 19...

    Signature and address of the grantor.

    In our joint presence, the grantor, who is of sound mind and eighteen (18) years of age, or older, voluntarily dated and signed this writing or directed it to be dated and signed for the grantor.

    Signature and address of witness.

    Signature and address of witness.

    OR

    STATE OF KENTUCKY)

    . . . . . . . . . . . . . . . . . . . County)

    Before me, the undersigned authority, came the grantor who is of sound mind and eighteen (18) years of age, or older, and acknowledged that he voluntarily dated and signed this writing or directed it to be signed and dated as above.

    Done this . . . . . day of . . . . . . . . . . , 19...

    Signature of Notary Public or other officer.

    Date commission expires: . . . . . . . . . . . . . . . . . . . .

    Execution of this document restricts withholding and withdrawing of some medical procedures. Consult Kentucky Revised Statutes or your attorney.”

  2. An advance directive shall be in writing, dated, and signed by the grantor, or at the grantor’s direction, and either witnessed by two (2) or more adults in the presence of the grantor and in the presence of each other, or acknowledged before a notary public or other person authorized to administer oaths. None of the following shall be a witness to or serve as a notary public or other person authorized to administer oaths in regard to any advance directive made under this section:
    1. A blood relative of the grantor;
    2. A beneficiary of the grantor under descent and distribution statutes of the Commonwealth;
    3. An employee of a health care facility in which the grantor is a patient, unless the employee serves as a notary public;
    4. An attending physician of the grantor; or
    5. Any person directly financially responsible for the grantor’s health care.
  3. A person designated as a surrogate pursuant to an advance directive may resign at any time by giving written notice to the grantor; to the immediate successor surrogate, if any; to the attending physician; and to any health care facility which is then waiting for the surrogate to make a health care decision.
  4. An employee, owner, director, or officer of a health care facility where the grantor is a resident or patient shall not be designated or act as surrogate unless related to the grantor within the fourth degree of consanguinity or affinity or a member of the same religious or fraternal order.

History. Enact. Acts 1994, ch. 235, § 3, effective July 15, 1994; 1998, ch. 370, § 8, effective July 15, 1998; 1998, ch. 392, § 2, effective July 15, 1998; 2010, ch. 161, § 31, effective July 15, 2010; 2013, ch. 127, § 2, effective June 25, 2013.

Research References and Practice Aids

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Living Will Directive, Form 269.04.

311.626. Declaration — Witness. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 3, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.627. Revocation.

  1. An advance directive made pursuant to KRS 311.623 may be revoked by:
    1. A writing declaring an intention to revoke, which writing shall be signed and dated by the grantor;
    2. An oral statement of intent to revoke made by a grantor with decisional capacity in the presence of two (2) adults, one (1) of whom shall be a health care provider; or
    3. Destruction of the document by the grantor or by some person in the grantor’s presence and at the grantor’s direction.
  2. An oral statement by a grantor with decisional capacity to revoke an advance directive shall override any previous written advance directive made.
  3. Any revocation made pursuant to this section shall become effective immediately. An attending physician or health care facility shall not be required to administer treatment in accordance with the revocation until the time notice of the revocation is received. Upon receiving notice of the revocation, the attending physician or health care facility shall record, in the grantor’s medical record, the time, date, and place of the notice receipt. No physician or health care facility shall be subject to any liability for acting in good faith upon the knowledge, or lack thereof, of the existence or revocation of an advance directive.
  4. The designation of a health care surrogate made pursuant to KRS 311.623 may be revoked in whole or in part or the surrogate’s powers reduced or limited at any time by the grantor, if the grantor has decisional capacity. A new designation shall revoke any prior designation unless the revocation, in whole or in part, is specifically negated.

History. Enact. Acts 1994, ch. 235, § 4, effective July 15, 1994.

Research References and Practice Aids

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

311.628. Notification of declarant’s attending physician of existence of declaration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 4, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.629. Powers of health care surrogate.

  1. A surrogate designated pursuant to an advance directive may make health care decisions for the grantor which the grantor could make individually if he or she had decisional capacity, provided all the decisions shall be made in accordance with the desires of the grantor as indicated in the advance directive. When making any health care decision for the grantor, the surrogate shall consider the recommendation of the attending physician and honor the decision made by the grantor as expressed in the advance directive.
  2. The surrogate may not make a health care decision in any situation in which the grantor’s attending physician has determined in good faith that the grantor has decisional capacity. The attending physician shall proceed as if there were no designation if the surrogate is unavailable or refuses to make a health care decision.
  3. A health care surrogate may authorize the withdrawal or withholding of artificially-provided nutrition and hydration in the following circumstances:
    1. When inevitable death is imminent, which for the purposes of this provision shall mean when death is expected, by reasonable medical judgment, within a few days; or
    2. When a patient is in a permanently unconscious state if the grantor has executed an advance directive authorizing the withholding or withdrawal of artificially-provided nutrition and hydration; or
    3. When the provision of artificial nutrition cannot be physically assimilated by the person; or
    4. When the burden of the provision of artificial nutrition and hydration itself shall outweigh its benefit. Even in the exceptions listed in paragraphs (a), (b), and (c) of this subsection, artificially-provided nutrition and hydration shall not be withheld or withdrawn if it is needed for comfort or the relief of pain.
  4. Notwithstanding the execution of an advance directive, life sustaining treatment and artificially-provided nutrition and hydration shall be provided to a pregnant woman unless, to a reasonable degree of medical certainty, as certified on the woman’s medical chart by the attending physician and one (1) other physician who has examined the woman, the procedures will not maintain the woman in a way to permit the continuing development and live birth of the unborn child, will be physically harmful to the woman or prolong severe pain which cannot be alleviated by medication.

History. Enact. Acts 1994, ch. 235, § 5, effective July 15, 1994.

Research References and Practice Aids

Kentucky Law Journal.

Note: Forcing Life on the Dead: Why the Pregnancy Exemption Clause of the Kentucky Living Will Directive Act is Unconstitutional, 100 Ky. L.J. 209 (2011/2012).

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

311.630. Revocation procedures. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 5, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.631. Responsible parties authorized to make health care decisions.

  1. If an adult patient whose physician has determined that he or she does not have decisional capacity has not executed an advance directive, or to the extent the advance directive does not address a decision that must be made, any one (1) of the following responsible parties, in the following order of priority if no individual in a prior class is reasonably available, willing, and competent to act, shall be authorized to make health care decisions on behalf of the patient:
    1. The judicially-appointed guardian of the patient, if the guardian has been appointed and if medical decisions are within the scope of the guardianship;
    2. The attorney-in-fact named in a durable power of attorney, if the durable power of attorney specifically includes authority for health care decisions;
    3. The spouse of the patient;
    4. An adult child of the patient, or if the patient has more than one (1) child, the majority of the adult children who are reasonably available for consultation;
    5. The parents of the patient;
    6. The nearest living relative of the patient, or if more than one (1) relative of the same relation is reasonably available for consultation, a majority of the nearest living relatives.
  2. In any case in which a health care decision is made under this section, the decision shall be noted in writing in the patient’s medical records.
  3. An individual authorized to consent for another under this section shall act in good faith, in accordance with any advance directive executed by the individual who lacks decisional capacity, and in the best interest of the individual who does not have decisional capacity.
  4. In any case in which a health care decision is made under this section, hospitalization for psychiatric treatment at a general hospital shall not exceed fourteen (14) consecutive days unless a court order is obtained under KRS Chapter 202A or 202B. For the purposes of this section, a general hospital is one that is not owned or operated by the Commonwealth of Kentucky.
  5. An individual authorized to make a health care decision under this section may authorize the withdrawal or withholding of artificially-provided nutrition and hydration only in the circumstances as set forth in KRS 311.629(3).

History. Enact. Acts 1994, ch. 235, § 6, effective July 15, 1994; 2004, ch. 116, § 19, effective July 13, 2004.

NOTES TO DECISIONS

1.In General.

KRS 311.631 does not contravene any modem ethical standards, whether legal, medical, or moral. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

Unless the interested parties disagree, resort to the courts is unwarranted in cases involving the withholding or withdrawal of artificial life-prolonging treatment from a ward or patient who is either in a persistent vegetative state or permanently unconscious. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

2.Best Interest of Patient Analysis.

Patient’s best interest can be ascertained under KRS 311.631(3) from both subjective evidence, as in a common law substituted judgment analysis, and objective evidence, as in a common law best interest analysis, as available. In determining the best interest of a patient, quality of life is not considered from the subjective point of view of a surrogate, but is an objective inquiry into the value that the continuation of life has for the patient. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

In determining a patient’s best interest, courts may consider, but are not limited to considering: (1) the patient’s present level of physical, sensory, emotional, and cognitive functioning and the possibility of improvement thereof; (2) any relevant statements or expressions made by the patient, when competent, as to his or her own wishes with a rebuttable presumption attaching to a valid living will or a designation of a health care surrogate; (3) to the extent known, the patient’s own philosophical, religious, and moral views, life goals, values about the purpose of life and the way it should be lived, and attitudes toward sickness, medical procedures, suffering and death; (4) the degree of physical pain caused by the patient’s condition, treatment, and termination of treatment; (5) the degree of humiliation, dependence, and loss of dignity probably resulting from the condition or treatment; (6) the life expectancy and prognosis for recovery with and without the treatment; (7) the various treatment options and their risks, benefits, and side effects; (8) whether any particular treatment would be proportionate or disproportionate in terms of the benefits gained; and, (9) the impact on the patient’s family, the assumption being that the patient would be concerned about the well-being and happiness of his or her own family members. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

3.Judicial Considerations Necessary for Withholding Or Withdrawing Treatment.

Court making a decision of whether to withhold or withdraw life-sustaining medical treatment should consider the following factors: (1) a patient’s present levels of physical, sensory, emotional and cognitive functioning; (2) the quality of life, life expectancy and prognosis for recovery with and without treatment, including the futility of continued treatment; (3) the various treatment options, and the risks, side effects, and benefits of each; (4) the nature and degree of physical pain or suffering resulting from the medical condition; (5) whether the medical treatment being provided is causing or may cause pain, suffering, or serious complications; (6) the pain or suffering, if the medical treatment is withdrawn; (7) whether any particular treatment would be proportionate or disproportionate in terms of the benefits to be gained versus the burdens caused to the patient; (8) the likelihood that pain or suffering resulting from withholding or withdrawal of treatment could be avoided or minimized; (9) the degree of humiliation, dependence and loss of dignity resulting from the condition and treatment; (10) the opinions of the family, the reasons behind those opinions, and the reasons why the family either has no opinion or cannot agree on a course of treatment; and, (11) the motivations of the family in advocating a particular course of treatment. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

4.Limitation.

KRS 311.631 permits the withholding or withdrawal of life-prolonging treatment only when the patient is in extremis, for example, permanently unconscious or in a persistent vegetative state, or when inevitable death is expected by reasonable medical judgment within a few days. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

5.Standard of Proof.

Withholding or withdrawal of artificial life-prolonging treatment is authorized only upon a finding of clear and convincing evidence that an incompetent ward or patient is permanently unconscious or in a persistent vegetative state and that the ward or patient would choose to withhold or withdraw the life-prolonging treatment if able to do so or that it would be in the best interest of the ward or patient to withhold or withdraw the treatment. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

When evidence of a person’s wishes or physical or mental condition is equivocal, it is best to err, if at all, in favor of preserving life. Woods v. Commonwealth, 142 S.W.3d 24, 2004 Ky. LEXIS 187 ( Ky. 2004 ).

6.Health Care Decision.

In a wrongful death case against a nursing home, an arbitration agreement was not valid because parents could not enter a contract on behalf of their disabled daughter, there was no actual authority on the part of the parents to enter into a contract on behalf of the daughter, a signatory was not a guardian of the disabled adult, and the parents could not appoint the signatory as a power of attorney; even though the parents had the right to make health care decisions under KRS 311.631(1), entering into an arbitration agreement was not a health care decision. Because the parents were unable to name an attorney-in-fact on behalf of their disabled daughter, there was no apparent authority either. GGNSC Stanford, LLC v. Rowe, 388 S.W.3d 117, 2012 Ky. App. LEXIS 177 (Ky. Ct. App. 2012).

Research References and Practice Aids

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

Article: Arbitration, Agency Authority & the Effect on Nursing Homes: A Survey of a Recent Kentucky Court of Appeals Decision, see 35 N. Ky. L. Rev. 239 (2008).

311.632. Exemption of health care facility or physician from criminal prosecution or civil liability for actions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 6, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.633. Notification to attending physician and health care facility of existing advance directive or medical order for scope of treatment — Effect of refusal to comply — Unlawful discriminatory practices.

  1. It shall be the responsibility of the grantor or the responsible party of the grantor to provide for notification to the grantor’s attending physician and health care facility where the grantor is a patient that an advance directive or a medical order for scope of treatment has been made. If the grantor is comatose, incompetent, or otherwise mentally or physically incapable, any other person may notify the attending physician of the existence of an advance directive or a medical order for scope of treatment. An attending physician who is notified shall promptly make the living will directive or a copy of the advance directive or a medical order for scope of treatment a part of the grantor’s medical records.
  2. An attending physician or health care facility which refuses to comply with the advance directive or a medical order for scope of treatment made pursuant to KRS 311.6225 of a patient or decision made by a surrogate or responsible party shall immediately inform the patient or the patient’s responsible party and the family or guardian of the patient of the refusal. No physician or health care facility which refuses to comply with the advance directive or medical order for scope of treatment of a qualified patient or decision made by a responsible party shall impede the transfer of the patient to another physician or health care facility which will comply with the advance directive or medical order for scope of treatment. If the patient, the family, or the guardian of the patient has requested and authorized a transfer, the transferring attending physician and health care facility shall supply the patient’s medical records and other information or assistance medically necessary for the continued care of the patient, to the receiving physician and health care facility.
  3. No physician, nurse, staff member, or employee of a public or private hospital, or employee of a public or private health care facility, who shall state in writing to the hospital or health care facility his objection to complying with the advance directive of a patient, a health care decision of a responsible party under KRS 311.621 to 311.643 , or a medical order for scope of treatment under KRS 311.6225 , on moral, religious, or professional grounds, shall be required to, or held liable for refusal to, comply with the advance directive, health care decision, or medical order for scope of treatment as long as the physician, nurse, staff member, or employee complies with the requirements of subsection (2) of this section regarding patient notification and patient transfer.
  4. It shall be unlawful discriminatory practice for any person to impose penalties or take disciplinary action against or deny or limit licenses, certifications, degrees, or other approvals or documents of qualification to any physician, nurse, staff member, or employee who refuses to comply with the advance directive of a patient, a health care decision by a responsible party under KRS 311.621 to 311.643 , or a medical order for scope of treatment, as long as the physician, nurse, staff member, or employee complies with the provisions of subsection (2) of this section regarding notification and transfer.

HISTORY: Enact. Acts 1994, ch. 235, § 7, effective July 15, 1994; 2015 ch. 3, § 4, effective June 24, 2015.

Research References and Practice Aids

Northern Kentucky Law Review.

Muehlenkamp, Kentucky Estate Planning and Administration Update, 22 N. Ky. L. Rev. 489 (1995).

311.634. Notification of patient when attending physician or health care facility refuses to comply — Transfer of patient. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 7, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.635. Exemptions from criminal prosecution and civil liability — Exceptions — Presumption of voluntary and valid execution.

  1. A health care facility, physician, or other person acting under the direction of a physician shall not be subject to criminal prosecution or civil liability or be deemed to have engaged in unprofessional conduct as a result of the withholding or the withdrawal of life-prolonging treatment or artificially provided nutrition and hydration from a patient in a terminal condition in accordance with an advance directive executed pursuant to KRS 311.621 to 311.643 . A person who authorizes the withholding or withdrawal of life-prolonging treatment or artificially provided nutrition and hydration from a patient in a terminal condition in accordance with an advance directive shall not be subject to criminal prosecution or civil liability for the action.
  2. An independent investigation of a surrogate’s authority shall not be necessary unless a person is in possession of information as to the surrogate’s disqualification. No surrogate, responsible party, physician, or health care facility acting in good faith, shall be subject to criminal or civil liability for giving instructions as a surrogate, making a health care decision as a responsible party under KRS 311.621 to 311.643 , or carrying out, or refusing to carry out pursuant to KRS 311.633 , the surrogate’s or responsible party’s instructions or acting in reliance on the grantor’s designation of a surrogate or a health care decision by a responsible party under KRS 311.621 to 311.643 .
  3. The provisions of this section shall apply unless it is shown by a preponderance of the evidence that the person:
    1. Authorizing or effectuating the withholding or withdrawal of life-prolonging treatment;
    2. Giving instructions as a surrogate;
    3. Making a health care decision as a responsible party under KRS 311.621 to 311.643 ;
    4. Carrying out, or refusing to carry out, the surrogate’s or responsible party’s instructions; or
    5. Acting in reliance on the grantor’s designation of a surrogate or a health care decision by a responsible party under KRS 311.621 to 311.643 , did not, in good faith, comply with the provisions of KRS 311.621 to 311.643.
  4. An advance directive made in accordance with KRS 311.621 to 311.629 shall be presumed to have been made voluntarily and validly executed unless the attending physician or health care facility has actual knowledge to the contrary.

History. Enact. Acts 1994, ch. 235, § 8, effective July 15, 1994.

Research References and Practice Aids

Kentucky Law Journal.

Strasser, Incompetents and the Right to Die: In Search of Consistent Meaningful Standards, 83 Ky. L.J. 733 (1994-95).

311.636. Construction of KRS 311.622 to 311.644. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 8, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.637. Withholding or withdrawal of life-prolonging treatment under KRS 311.621 to 311.643 not to constitute suicide — Effect on insurance or health care coverage — Directives made outside KRS 311.621 to 311.643.

  1. The withholding or withdrawal of life-prolonging treatment or artificially provided nutrition and hydration from a grantor in accordance with the provisions of KRS 311.621 to 311.643 shall not, for any purpose, constitute a suicide. The making of an advance directive under KRS 311.621 to 311.629 , a medical order for scope of treatment under KRS 311.6225 , or a health care decision by a responsible party under KRS 311.621 to 311.643 shall not affect in any manner the sale, procurement, or issuance of any policy of life insurance, nor shall it be considered to modify the terms of an existing policy of life insurance. Notwithstanding any term of the policy to the contrary, no policy of life insurance shall be legally impaired or invalidated in any manner by a health care decision made by a surrogate or responsible party or by the withholding or withdrawal from an insured patient any medical procedure or intervention which would serve only to prolong artificially the dying process.
  2. No person, corporation, or governmental agency shall require or induce any person to execute a living will directive or a medical order for scope of treatment under KRS 311.6225 , or to make a health care decision as a responsible party under KRS 311.621 to 311.643 , as a condition for a contract or for the provision of any service, medical treatment, or benefit.
  3. Nothing in KRS 311.621 to 311.643 shall be construed to impose any liability on a surrogate or responsible party for any expenses of the grantor for which the surrogate or responsible party would not otherwise have been liable.
  4. KRS 311.621 to 311.643 shall not create a presumption concerning the intention of an adult who has revoked or has not executed an advance directive or a medical order for scope of treatment under KRS 311.6225 , with respect to the use, withholding, or withdrawal of life-prolonging treatment if a terminal condition exists.
  5. KRS 311.621 to 311.643 shall not affect the common law or statutory right of an adult to make decisions regarding the use of life-prolonging treatment, so long as the adult is able to do so, or impair or supersede any common law or statutory right that an adult has to effect the withholding or withdrawing of medical care.
  6. KRS 311.621 to 311.643 shall not preclude or restrict the right of persons to make advance directives outside the provisions of KRS 311.621 to 311.643 ; and KRS 311.621 to 311.643 shall not restrict or preclude medical personnel, physicians, nurses, or health care facilities from following other written advance directives consistent with accepted medical practice.

HISTORY: Enact. Acts 1994, ch. 235, § 9, effective July 15, 1994; 2015 ch. 3, § 5, effective June 24, 2015.

311.638. Withholding or withdrawal of life-prolonging treatment not to constitute suicide — Effect of declaration on life insurance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 9, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.639. Mercy killing not condoned, authorized, or approved.

KRS 311.621 to 311.643 shall not be construed to condone, authorize, or approve mercy killing or euthanasia, or to permit any affirmative or deliberate act to end life other than to permit the natural process of dying.

History. Enact. Acts 1994, ch. 235, § 10, effective July 15, 1994.

311.640. Effect of KRS 311.622 to 311.644 on intention or right of adult. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 10, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.641. Civil liability and criminal penalty for falsification or destruction of advance directive.

  1. Any person who willfully conceals, cancels, defaces, obliterates, or damages the advance directive of another without the grantor’s consent or who falsifies or forges a revocation of the advance directive of another, thereby causing life-prolonging treatment to be utilized in contravention of the previously expressed intent of the patient shall be civilly liable.
  2. Any person who falsifies or forges the advance directive of another, or willfully conceals or withholds personal knowledge of the revocation of an advance directive, with the intent to cause a withholding or withdrawal of life-prolonging treatment, contrary to the wishes of the grantor, and thereby causes life-prolonging treatment to be withheld or withdrawn and death to be hastened, shall be guilty of a Class B felony.

History. Enact. Acts 1994, ch. 235, § 11, effective July 15, 1994.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, KRS 532.060 .

311.642. Civil liability — Penalty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 11, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

311.643. Short title for KRS 311.621 to 311.643.

KRS 311.621 to 311.643 may be cited as the Kentucky Living Will Directive Act.

History. Enact. Acts 1994, ch. 235, § 12, effective July 15, 1994.

Research References and Practice Aids

Northern Kentucky Law Review.

A Survey of Key Issues Kentucky Elder Law, 29 N. Ky. L. Rev. 139 (2002).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 269.00.

311.644. Short title. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 122, § 12, effective July 13, 1990) was repealed by Acts 1994, ch. 235, § 13, effective July 15, 1994.

Emergency Allergy Treatment Act

311.645. Definitions for KRS 311.645 to 311.647.

As used in KRS 311.645 to 311.647 :

  1. “Anaphylaxis” means an allergic reaction resulting from sensitization following prior contact with an antigen which can be a life-threatening emergency, including reactions triggered by, among other agents, foods, drugs, injections, insect stings, and physical activity;
  2. “Administer” means to directly apply an injectable epinephrine device to the body of an individual;
  3. “Asthma” means a respiratory condition marked by coughing, wheezing, or shortness of breath often triggered by allergies, exercise, or irritants;
  4. “Authorized entity” means an entity that may at any time have allergens present that are capable of causing a severe allergic reaction and has an individual who holds a certificate issued under KRS 311.646 on the premises or officially associated with the entity. The term includes but is not limited to licensed child-care centers and certified family child-care homes, restaurants, recreation camps, youth sports leagues, theme parks and resorts, and sports arenas;
  5. “Bronchodilator rescue inhaler” means medication used to relieve asthma symptoms or respiratory distress along with devices and device components needed to appropriately administer the medication, including but not limited to disposable spacers;
  6. “Certified individual” means an individual who successfully completes an approved educational training program and obtains a certificate, as described in KRS 311.646 ;
  7. “Injectable epinephrine device ” means a single-use device used to administer a premeasured dose of epinephrine;
  8. “Health-care practitioner” means a physician or other health-care provider who has prescriptive authority; and
  9. “Self-administration” means an individual’s administration of an injectable epinephrine device or bronchodilator rescue inhaler on herself or himself.

HISTORY: 2015 ch. 113, § 29, effective June 24, 2015; 2016 ch. 122, § 2, effective July 15, 2016; 2021 ch. 112, § 3, effective June 29, 2021.

Legislative Research Commission Notes.

(6/24/2015). 2015 Ky. Acts ch. 113, sec. 32 provides that this statute and KRS 311.646 and 311.647 created in 2015 Ky. Acts ch. 113, secs. 29, 30, and 31 may be cited as the “Emergency Allergy Treatment Act.”

311.646. Prescription injectable epinephrine auto-injectors and bronchodilator rescue inhalers.

  1. A health-care practitioner may prescribe injectable epinephrine devices and bronchodilator rescue inhalers in the name of an authorized entity or to a certified individual for use in accordance with this section.
  2. A pharmacist may dispense injectable epinephrine devices and bronchodilator rescue inhalers pursuant to a prescription issued in the name of an authorized entity or to a certified individual.
  3. The Department for Public Health, the Kentucky Board of Medical Licensure, the Kentucky Board of Nursing, the American Red Cross, or other training programs approved by the Department for Public Health may conduct in-person or on-line training for administering lifesaving treatment to persons believed in good faith to be experiencing severe allergic reactions and asthma symptoms or respiratory distress and issue a certificate of training to persons completing the training. The training shall include instructions for recognizing the symptoms of anaphylaxis and asthma and administering an injectable epinephrine device or a bronchodilator rescue inhaler.
  4. An individual who has a certificate issued under this section may:
    1. Receive a prescription for injectable epinephrine devices and bronchodilator rescue inhalers from a health-care practitioner;
    2. Possess prescribed injectable epinephrine devices and bronchodilator rescue inhalers; and
    3. In an emergency situation when a physician is not immediately available and the certified individual in good faith believes a person is experiencing a severe allergic reaction, asthma symptoms, or respiratory distress regardless of whether the person has a prescription for an injectable epinephrine device or a bronchodilator rescue inhaler or has previously been diagnosed with an allergy or asthma:
      1. Administer an injectable epinephrine device or a bronchodilator rescue inhaler to the person; and
      2. Provide an injectable epinephrine device or a bronchodilator rescue inhaler to the person for immediate self-administration.
  5. An authorized entity that acquires and stocks a supply of injectable epinephrine devices or bronchodilator rescue inhalers with a valid prescription shall:
    1. Store the injectable epinephrine devices and bronchodilator rescue inhalers in accordance with manufacturer’s instructions and with any additional requirements established by the department; and
    2. Designate an employee or agent who holds a certificate issued under this section to be responsible for the storage, maintenance, and general oversight of injectable epinephrine devices and bronchodilator rescue inhalers acquired by the authorized entity.
  6. Any individual or entity who administers or provides an injectable epinephrine device to a person who is experiencing a severe allergic reaction shall contact the local emergency medical services system as soon as possible.
  7. Any individual or entity who acquires and stocks a supply of injectable epinephrine devices in accordance with this section shall notify an agent of the local emergency medical services system and the local emergency communications or vehicle dispatch center of the existence, location, and type of the injectable epinephrine devices acquired if a severe allergic reaction has occurred.

HISTORY: 2015 ch. 113, § 30, effective June 24, 2015; 2021 ch. 112, § 4, effective June 29, 2021.

311.647. Immunity from civil liability for rendering emergency care or treatment with injectable epinephrine auto-injector or bronchodilator rescue inhaler.

  1. Any individual or entity who, in good faith and without compensation, renders emergency care or treatment by the use of an injectable epinephrine device or a bronchodilator rescue inhaler shall be immune from civil liability for any personal injury as a result of the care or treatment, or as a result of any act or failure to act in providing or arranging further medical treatment, if the person acts as an ordinary, reasonable prudent person would have acted under the same or similar circumstances.
  2. The immunity from civil liability for any personal injury under subsection (1) of this section includes:
    1. A health-care practitioner who prescribes or authorizes the emergency use of the injectable epinephrine device or bronchodilator rescue inhaler;
    2. A pharmacist who fills a prescription for the injectable epinephrine device or bronchodilator rescue inhaler;
    3. A certified individual who provides or administers the injectable epinephrine devices or bronchodilator rescue inhaler;
    4. An authorized entity who stores or provides the injectable epinephrine device or bronchodilator rescue inhaler to a certified individual or authorized noncertified individual; and
    5. An individual trainer or training entity providing the certified individual.
  3. The immunity from civil liability under subsection (1) of this section shall not apply if the personal injury results from the gross negligence or willful or wanton misconduct of the person rendering the emergency care.
  4. The requirements of KRS 311.646(6) shall not apply to any individual who provides or administers an injectable epinephrine device or a bronchodilator rescue inhaler if that individual is acting as a Good Samaritan under KRS 313.035 and 411.148 .

HISTORY: 2015 ch. 113, § 31, effective June 24, 2015; 2021 ch. 112, § 5, effective June 29, 2021.

Legislative Research Commission Notes.

(1/1/2022). Although this statute contains a reference to “telehealth as defined in KRS 304.17A-005 ,” the definition of telehealth was removed from KRS 304.17A-005 in 2021 Ky. Acts ch. 67, sec. 9.

Paramedics

311.650. Definition. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 211, § 7, effective June 17, 1978) was repealed by Acts 2000, ch. 343, § 27, effective July 14, 2000. For present law, see KRS 311A.010 et seq.

311.652. Current valid license required — Violation of law or regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 211, § 8, effective June 17, 1978; 2000, ch. 343, § 20, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6521. Definitions for KRS 311.652 to 311.658. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 1, effective July 14, 2000; 2001, ch. 17, § 1, effective June 21, 2001) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6522. Current valid certification as emergency medical technician required — Violation of law or administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 7, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6523. Kentucky Board of Emergency Medical Services — Members — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 2, effective July 14, 2000; 2001, ch. 17, § 2, effective June 21, 2001) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6524. Board to promulgate administrative regulations to carry out the functions of KRS 311.652 to 311.658. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 3, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6525. Legislative declaration of purpose of KRS 311.6526. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 4, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6526. Emergency Medical Services for Children Program. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 5, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

Legislative Research Commission Note.

(7/15/2002). Under KRS 446.260 , the repeal of this section in 2002 Ky. Acts ch. 211 prevails over its amendment in 2002 Ky. Acts ch. 303.

311.653. Educational course concerning AIDS required for certification. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 443, § 60, effective July 13, 1990; 1998, ch. 426, § 539, effective July 15, 1998) was repealed, reenacted and amended as KRS 311A.115 by Acts 2002, ch. 211, § 45, effective July 15, 2002.

311.6531. Educational course concerning AIDS required for certification as emergency medical technician. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 10, effective July 14, 2000) was repealed, reenacted and amended as KRS 311A.120 by Acts 2002, ch. 211, § 46, effective July 15, 2002.

311.654. Administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 211, § 9, effective June 17, 1978; 1990, ch. 443, § 59, effective July 13, 1990; 1994, ch. 268, § 5, effective July 15, 1994; 1998, ch. 426, § 540, effective July 15, 1998; 2000, ch. 343, § 21, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6541. Administrative regulations — Certification and recertification procedures for emergency medical technicians and others. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 8, effective July 14, 2000; 2001, ch. 61, § 6, effective June 21, 2001) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.655. Ambulance providers to maintain supply of epinephrine and disposable needles — Protocols for use. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 160, § 2, effective July 15, 2002) was repealed by Acts 2003, ch. 150, § 17, effective June 24, 2003. For present law, see KRS 311A.195 .

311.656. Fees and charges. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 211, § 10, effective June 17, 1978; 2000, ch. 343, § 22, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6561. Fees and charges. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 9, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6563. Matching fund program to assist local units of government to purchase ambulances and equipment and provide for and educate trained emergency medical services personnel. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 6, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.657. Residence requirement prohibited for response providers and licensed ambulance services — Response within specified time. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 308, § 1, effective July 15, 2002) was repealed and reenacted as KRS 311A.027 by Acts 2003, ch. 150, § 5, effective June 24, 2003.

311.6577. Investigation and discipline of entities licensed by the board, paramedics, emergency medical technician first responders, and emergency medical technicians — Sanctions — Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 19, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.6579. Certification and utilization of emergency medical technicians and first responders restricted. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 343, § 11, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

311.658. Services permitted — Supervision. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 211, § 11, effective June 17, 1978; 2000, ch. 343, § 23, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

Legislative Research Commission Note.

(7/15/2002). Under KRS 446.260 , the repeal of this section in 2002 Ky. Acts ch. 211 prevails over its amendment in 2002 Ky. Acts ch. 160.

311.660. Paramedic’s resuscitation protocol — Determination of death — Training — Procedures not deemed artificial maintenance of respiration and circulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 497, § 1, effective July 15, 1998; 2000, ch. 343, § 24, effective July 14, 2000) was repealed by Acts 2002, ch. 211, § 50, effective July 15, 2002. For present law, see KRS 311A.010 et seq.

Automated External Defibrillators

311.665. Legislative intent for use of automated external defibrillators.

It is the intent of the legislature that an automated external defibrillator may be used for the purpose of saving the life of another person in cardiac arrest when used in accordance with the provisions of KRS 311.667 .

History. Enact. Acts 2000, ch. 16, § 1, effective July 14, 2000.

311.666. Definitions for KRS 311.665 to 311.669.

As used in KRS 311.665 to 311.669 , unless the context requires otherwise:

  1. “Automated external defibrillator” or “AED” means an external defibrillator capable of cardiac rhythm analysis which will charge and, with or without further operator action, deliver a shock after electronically detecting and assessing ventricular fibrillation or rapid ventricular tachycardia. These devices are known as fully or semiautomatic defibrillators;
  2. “Cardiopulmonary resuscitation” or “CPR” means a basic emergency procedure for life support, consisting of artificial respiration and manual external cardiac massage; and
  3. “Emergency medical services system” means the same as in KRS 311A.010 .

History. Enact. Acts 2000, ch. 16, § 2, effective July 14, 2000; 2002, ch. 211, § 39, effective July 15, 2002.

Legislative Research Commission Note.

(7/14/2000). In codification, a reference in subsection (3) to “KRS 211.950 ” has been changed to “KRS 311.6521 .” See 2000 Ky. Acts ch. 343, sec. 1.

311.667. Requirements for person or entity acquiring an automated external defibrillator.

In order to ensure public health and safety:

  1. A person or entity who acquires an AED shall ensure that:
    1. Expected AED users receive American Heart Association or American Red Cross training in CPR and AED use, or an equivalent nationally recognized course in CPR and AED use;
    2. The AED is maintained and tested according to the manufacturer’s operational guidelines;
    3. There is medical oversight of the AED program by a physician licensed in Kentucky to ensure compliance with requirements for training, maintenance, notification, and communication with the local emergency medical services system. The physician providing oversight shall also work with the AED site to establish protocols for AED deployment and conduct a review of each use of an AED; and
    4. Any person who renders emergency care or treatment on a person in cardiac arrest by using an AED activates the local emergency medical services system as soon as possible and, if an entity with an AED program, reports any clinical use of the AED to the licensed physician.
  2. Any person or entity who acquires an AED shall notify an agent of the local emergency medical services system and the local emergency communications or vehicle dispatch center of the existence, location, and type of AED acquired.

History. Enact. Acts 2000, ch. 16, § 3, effective July 14, 2000.

311.668. Immunity from civil liability for user of automated external defibrillator — Exemption from KRS 311.667 for Good Samaritan.

  1. Any person or entity who, in good faith and without compensation, renders emergency care or treatment by the use of an AED shall be immune from civil liability for any personal injury as a result of the care or treatment, or as a result of any act or failure to act in providing or arranging further medical treatment, where the person acts as an ordinary, reasonable prudent person would have acted under the same or similar circumstances.
  2. The immunity from civil liability for any personal injury under subsection (1) of this section includes the licensed physician who is involved with AED site placement, the person or entity who provides the CPR and AED site placement, the person or entity who provides the CPR and AED training, and the person or entity responsible for the site where the AED is located.
  3. The immunity from civil liability under subsection (1) of this section does not apply if the personal injury results from the gross negligence or willful or wanton misconduct of the person rendering the emergency care.
  4. The requirements of KRS 311.667 shall not apply to any individual using an AED in an emergency setting if that individual is acting as a Good Samaritan under KRS 313.035 and 411.148 .

History. Enact. Acts 2000, ch. 16, § 4, effective July 14, 2000; 2010, ch. 85, § 21, effective July 15, 2010.

311.669. Professionals to whom KRS 311.665 to 311.669 does not apply — Licensing boards may require continuing education and training.

  1. The provisions of KRS 311.665 to 311.669 shall not apply to the use of an AED by:
    1. Physicians, podiatrists, or osteopaths licensed under KRS Chapter 311 or chiropractors licensed under KRS Chapter 312;
    2. Physician assistants as defined in KRS 311.550 ;
    3. Registered nurses, practical nurses, or advanced practice registered nurses licensed under KRS Chapter 314;
    4. Dentists licensed under KRS Chapter 313; or
    5. Paramedics licensed, or first responders or emergency medical technicians certified, under KRS Chapter 311A.
  2. Nothing in this section shall preclude the licensing boards referred to in subsection (1) of this section from requiring continuing education or training on the use of an AED.

History. Enact. Acts 2000, ch. 16, § 5, effective July 14, 2000; 2002, ch. 211, § 40, effective July 15, 2002; 2002, ch. 320, § 3, effective July 15, 2002; 2010, ch. 85, § 49, effective July 15, 2010.

Compiler’s Notes.

KRS 311.550 , referred to in subsection (1)(b) of this section, was amended so that it no longer defines “physician assistants”. For present law, see KRS 311.840 .

Legislative Research Commission Note.

(7/15/2002). This section was amended by 2002 Ky. Acts chs. 211 and 320. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, under KRS 446.250 , ch. 320 would prevail as the Act last enacted by the General Assembly. However, ch. 320, sec. 4, provides: “Nothing in this Act shall be construed under KRS 7.123(4) as appearing to effect substantive change in the statute law of Kentucky, and the actions contained within this Act shall not operate under KRS 446.250 to defeat any amendments in other Acts of this 2002 Regular Session of the Kentucky General Assembly to the statutes contained in this Act.” Accordingly, where ch. 211, sec. 40, and ch. 320, sec. 3, are in conflict, ch. 211 prevails.

Acupuncturists

311.671. Applicability of KRS 311.671 to 311.686.

In order to protect the life, health, and safety of the public, any person practicing or offering to practice as an acupuncturist shall be licensed as provided in KRS 311.671 to 311.686 . It shall be unlawful for any person not licensed under KRS 311.671 to 311.686 to practice acupuncture in this state, or to use any title, sign, card, or device to indicate that he or she is an acupuncturist. The provisions of KRS 311.671 to 311.686 are not intended to limit, preclude, or otherwise interfere with the practice of other health-care providers, working in any setting and certified or licensed by appropriate agencies or committees of the Commonwealth of Kentucky, whose practices and training may include elements of the same nature as the practice of a licensed acupuncturist.

History. Enact. Acts 2006, ch. 249, § 1, effective July 12, 2006; 2014, ch. 24, § 1, effective July 15, 2014.

311.672. Definitions for 311.671 to 311.686.

In KRS 311.671 to 311.686 , the following words and phrases shall have the meanings given to them, unless the context clearly indicates otherwise:

  1. “Acupuncturist” means an individual licensed to practice acupuncture by the board;
  2. “Board” means the State Board of Medical Licensure;
  3. “Committee” means the Acupuncture Advisory Committee under the State Board of Medical Licensure;
  4. “Licensure” means licensure by the board to practice acupuncture; and
  5. “Practice of acupuncture” means the insertion of acupuncture needles, with or without accompanying electrical or thermal stimulation, at certain acupuncture points or meridians on the surface of the human body for purposes of changing the flow of energy in the body and may include acupressure, cupping, moxibustion, or dermal friction. The practice of acupuncture shall not include laser acupuncture, osteopathic manipulative treatment, chiropractic adjustments, physical therapy, or surgery.

History. Enact. Acts 2006, ch. 249, § 2, effective July 12, 2006; 2014, ch. 24, § 2, effective July 15, 2014.

Legislative Research Commission Notes.

(7/12/2006). 2006 Ky. Acts ch. 249, § 2, subsec. (3), read: “‘Council’ means the Acupuncture Advisory Council under the State Board of Medical Licensure.” However, 2006 Ky. Acts ch. 249, sec. 3, created the Acupuncture Advisory Committee, not the Acupuncture Advisory Council. The Reviser of Statutes has changed the references to “Council” to “Committee” in codifying this statute, under the authority of KRS 7.136(1)(h).

311.673. Administration regulations — Acupuncture Advisory Committee — Membership — Meetings — Duties.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to the licensure and regulation, including temporary licensure, of acupuncturists. Regulation of acupuncture includes continuing education requirements and fee schedules.
  2. The board shall establish an eight (8) member Acupuncture Advisory Committee that shall review and make recommendations to the board regarding matters relating to acupuncturists that come before the board, including but not limited to:
    1. Applications for acupuncturist licensure;
    2. Licensure renewal requirements;
    3. Fees;
    4. Applicable standards of practice for acupuncture practitioners;
    5. Continuing education requirements;
    6. Rotating appointment of committee members;
    7. Disciplinary actions, at the request of a panel of the board; and
    8. Promulgation and revision of administrative regulations.
  3. Members of the Acupuncturist Advisory Committee shall be appointed by the board for four (4) year terms, on a rotating basis to provide for continuity, and shall consist of:
    1. One (1) member of the board;
    2. Two (2) physicians licensed by the board whose practices include the use of acupuncture;
    3. One (1) member of the public who is not associated with or financially interested in the practice of acupuncture; and
    4. Four (4) acupuncture practitioners licensed by the board.
  4. The chairperson and secretary of the committee shall be elected by a majority vote of the committee members annually. The president shall be responsible for presiding over meetings that shall be held on a regular basis, but no less than two (2) times each calendar year. Additional meetings may be held each calendar year at the call of the chairperson or by the written request of at least three (3) committee members. The secretary shall keep a record of the minutes of the committee’s meetings. Five (5) members of the committee shall constitute a quorum to conduct business.
  5. Members shall receive reimbursement for expenditures relating to attendance at committee meetings consistent with state policies for reimbursement of travel expenses for state employees.
  6. The board may remove any member on the member’s request or for poor attendance at committee meetings, neglect of duties, or malfeasance in office.

History. Enact. Acts 2006, ch. 249, § 3, effective July 12, 2006; 2014, ch. 24, § 3, effective July 15, 2014.

311.674. Licensure as an acupuncturist — Approval and denial of applications — Renewal — Reciprocity.

  1. To be licensed by the board as an acupuncturist, an applicant shall:
    1. Submit an application approved by the board, with all sections completed, with the required fee;
    2. Be of good character and reputation, if in accordance with KRS Chapter 335B;
    3. Have achieved a passing score on the acupuncture examination administered by the National Commission for Certification of Acupuncture and Oriental Medicine; and
    4. Have graduated from a course of training of at least one thousand eight hundred (1,800) hours, including three hundred (300) clinical hours, that is approved by the Accreditation Commission for Acupuncture and Oriental Medicine.

      All provisions of this subsection, including graduation from an approved course of training as specified in paragraph (d) of this subsection, must be met by all applicants before initial licensure as an acupuncturist may be granted.

  2. An acupuncturist who is legally authorized to practice acupuncture in another state and who is presently in good standing in that other state may be licensed by endorsement from the state of his or her credentialing if that state has standards substantially equivalent to those of this Commonwealth.
  3. The board may request any reasonable information from the applicant and from collateral sources that is necessary for the board to make an informed decision. The applicant will execute any necessary waiver or release so that the board may obtain necessary information from collateral sources. An application will be considered completed when the applicant has fully answered all sections of the approved application and the board has received all necessary additional information from the applicant and collateral sources.
  4. An acupuncturist’s license shall be renewed every two (2) years upon fulfillment of the following requirements:
    1. The applicant has submitted a renewal application approved by the board within the time specified, with all sections completed, with the required fee; and
    2. The applicant is of good character and reputation.
  5. The board shall notify each applicant in writing of the action it takes on an application within one hundred twenty (120) days following the board’s receipt of a completed application.
  6. Notwithstanding any of the requirements for licensure established in this section, and after providing the applicant with reasonable notice of its intended action and after providing a reasonable opportunity to be heard, the board may deny licensure to an applicant without a prior evidentiary hearing upon a finding that the applicant has violated any provision of this section or is otherwise unfit to practice. If the board denies an application, it shall notify the applicant of the grounds on which the denial is based. Orders denying a license may be appealed pursuant to KRS 311.593 .

History. Enact. Acts 2006, ch. 249, § 4, effective July 12, 2006; 2014, ch. 24, § 4, effective July 15, 2014; 2015 ch. 113, § 6, effective June 24, 2015; 2017 ch. 158, § 50, effective June 29, 2017.

Legislative Research Commission Notes.

(7/12/2006). For the sake of clarity and under the authority of KRS 7.136(1)(c), the Reviser of Statutes has further divided subsection (1) of 2006 Ky. Acts ch. 249, sec. 4.

311.675. Temporary licensure as an acupuncturist — Notification upon cancellation of temporary license.

  1. Whenever, in the opinion of the executive director based upon verified information contained in the application, an applicant for a license to practice as an acupuncturist is eligible under the applicable provisions of KRS 311.671 to 311.686 , the executive director may issue to the applicant, on behalf of the board, a temporary license which shall entitle the holder to practice as an acupuncturist for a maximum of six (6) months from the date of issuance unless the temporary license is canceled by the executive director. The executive director may cancel the temporary license at any time without a hearing, for reasons deemed sufficient with appropriate consultation with the board , and the executive director shall cancel the temporary license immediately upon direction by the board or upon the board’s denial of the application for a license. The temporary license shall not be renewable.
  2. The executive director shall present to the board the application for licensure made by the holder of the temporary license. If the board issues a regular license to the holder of a temporary license, the fee paid in connection with the temporary license shall be applied to the regular license fee.
  3. If the executive director cancels a temporary license, he or she shall promptly notify, by United States certified mail, the holder of the temporary license at the last known address on file with the board. The temporary license shall be terminated and of no further force or effect three (3) days after the date the notice was sent by certified mail.

History. Enact. Acts 2006, ch. 249, § 5, effective July 12, 2006; 2014, ch. 24, § 5, effective July 15, 2014.

311.676. Requirement for use of designation and display of license — Prohibited activities — Penalties.

  1. An acupuncture practitioner shall use the designation “licensed acupuncturist” or “L.Ac.” following his or her name in all advertisements, professional literature, and billings used in connection with his or her practice.
  2. The license issued by the board shall be conspicuously displayed in the licensed acupuncture practitioner’s place of business.
  3. A person who is not licensed under KRS 311.671 to 311.686 shall not use any terms, words, abbreviations, letters, or insignia that indicate or imply that he or she is engaged in the practice of acupuncture.
  4. Any person who violates this section shall be guilty of a Class A misdemeanor.

History. Enact. Acts 2006, ch. 249, § 6, effective July 12, 2006; 2014, ch. 24, § 6, effective July 15, 2014.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

311.677. Persons and activities not regulated by KRS 311.671 to 311.686.

The provisions of KRS 311.671 to 311.686 shall not apply to:

  1. Persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes and does not prohibit them from rendering services consistent with the laws regulating their professional practices and the ethics of their professions;
  2. Student interns or trainees pursuing a program of studies in an institution approved by the board for teaching the practice of acupuncture, if the person is designated an acupuncture intern or student in training and his or her activities are performed under supervision and constitute a part of the supervised program of study;
  3. Activities of visiting acupuncturists who are legally qualified to perform acupuncture in another state in performing their duties as teachers at a board-approved institution or board-approved workshop or tutorial. As used in this subsection, “duties” means classroom instruction and demonstration of relevant techniques. It does not include the provision of any services to a patient in exchange for a fee; or
  4. Activities, services, and use of title on the part of a person as part of their employment by the federal government.

History. Enact. Acts 2006, ch. 249, § 7, effective July 12, 2006.

311.678. Required disclosure to patients — Informed consent.

An acupuncturist shall obtain informed consent from each patient in a manner consistent with the acceptable and prevailing standards of practice within this Commonwealth and, at a minimum, the acupuncturist shall disclose to the patient the following written information prior to or during the patient’s initial visit:

  1. The acupuncturist’s qualifications, including his or her education, license information, and the definition and scope of the practice of acupuncture in the Commonwealth; and
  2. Possible outcomes of the treatment to be given, including any pain, bruising, infection, needle sickness, or other side effects that may occur.

History. Enact. Acts 2006, ch. 249, § 8, effective July 12, 2006; 2014, ch. 24, § 7, effective July 15, 2014.

311.679. Reporting and recordkeeping requirements.

  1. An acupuncturist shall comply with all applicable state and municipal reporting requirements imposed on health-care professionals regarding public health.
  2. An acupuncturist shall maintain a record for each patient treated, in a manner consistent with the acceptable and prevailing standards of practice within the Commonwealth. At a minimum, the record for each patient shall include:
    1. A signed copy of the information disclosed by the acupuncturist to the patient under KRS 311.678 ;
    2. Evidence that the acupuncturist has conducted or overseen an interview concerning the patient’s medical history and current physical condition;
    3. Evidence of the acupuncturist having conducted a traditional acupuncture examination;
    4. A record of the treatment, including the acupuncture points treated; and
    5. The evaluation and instructions given.

History. Enact. Acts 2006, ch. 249, § 9, effective July 12, 2006.

311.680. Written plan governing consultation with patients and medical emergencies — Treatment of patients with serious disorders or conditions — Administrative regulations.

  1. Every licensed acupuncturist shall develop a written plan for consultation, emergency transfer, and referral to appropriate health-care facilities or to other health-care practitioners operating within the scope of their authorized practices, which meets the requirements contained in administrative regulations promulgated by the board. The written plan shall be filed with the board and maintained at the acupuncturist’s practice location and updated as appropriate to meet current regulatory requirements.
  2. If, in the course of conducting an interview regarding the patient’s medical history, the patient discloses that he or she suffers from one (1) of the potentially serious disorders or conditions listed in subsection (3) of this section, the acupuncturist shall verify that the patient is currently under the care of a physician and consult with the treating physician before providing acupuncture treatment. If the patient refuses to provide a medical history or disclose information regarding any of the conditions listed below, acupuncture treatment shall not be provided.
  3. For purposes of this section, “potentially serious disorder or condition” means:
    1. Hypertension and cardiac conditions;
    2. Acute, severe abdominal pain;
    3. Undiagnosed neurological changes;
    4. Unexplained weight loss or gain in excess of fifteen percent (15%) of the patient’s body weight in less than a three (3) month period;
    5. Suspected fracture or dislocation;
    6. Suspected systemic infections;
    7. Serious hemorrhagic disorder;
    8. Acute respiratory distress without a previous history;
    9. Pregnancy;
    10. Diabetes; or
    11. Cancer.

History. Enact. Acts 2006, ch. 249, § 10, effective July 12, 2006; 2014, ch. 24, § 8, effective July 15, 2014.

311.681. Renewal of license — Grace period — Termination, suspension, revocation, and reinstatement of license.

  1. Any person licensed as an acupuncturist shall renew his or her license every two (2) years. He or she shall pay to the board a renewal fee established by the board in administrative regulations. The fee shall be paid on or before June 1 of the year in which the license expires. A license that is not renewed within sixty (60) days after June 1 shall expire for failure to renew in a timely manner.
  2. The board shall notify the licensed acupuncturist of the renewal date at the acupuncturist’s last known address. The notice shall include an application and notice of renewal fees. The licensed acupuncturist’s failure to receive the renewal notice shall not be considered an excuse to waive a late-payment fee.
  3. A sixty (60) day grace period shall be allowed after June 1 of each year, during which the acupuncturist may continue to practice. The acupuncturist may renew his or her license upon payment of the renewal fee and a late-renewal fee as established by the board in administrative regulation.
  4. Any license not renewed by the end of the grace period shall terminate, and the acupuncturist shall no longer be eligible to practice acupuncture in the Commonwealth. An individual with a terminated license may have his or her license reinstated upon payment of the renewal fee and a reinstatement fee as established by the board in administrative regulations. A person who applies for reinstatement shall not be required to take an examination as a condition of reinstatement if the person’s reinstatement application is made within five (5) years of the date of termination.
  5. A suspended license shall expire and terminate if not renewed. Renewal of a suspended license shall not entitle the licensed practitioner to practice until the suspension has ended or the right to practice has been restored by the board.
  6. A revoked license shall terminate and may not be renewed. If a revoked license is reinstated, the licensed practitioner shall pay the renewal fee and the reinstatement fee under subsections (1) and (4) of this section.
  7. If a person fails to reinstate his or her license within five (5) years of its termination, the license shall not be renewed, restored, reissued, or reinstated. The person shall obtain a new license under the conditions established in KRS 311.674 .

History. Enact. Acts 2006, ch. 249, § 11, effective July 12, 2006; 2014, ch. 24, § 9, effective July 15, 2014.

311.682. Continuing education requirements.

  1. The board shall, by administrative regulation, prescribe continuing education requirements not to exceed thirty (30) hours biennially, as a condition for renewal of a license. All education programs that contribute to the advancement, extension, or enhancement of professional skills and knowledge related to the practice of acupuncture, whether conducted by a nonprofit or profit-making entity, are eligible for approval. The continuing professional education requirements must be in acupuncture or oriental medicine subjects, including but not limited to anatomy, biological sciences, adjunctive therapies, sanitation and sterilization, emergency protocols, and diseases.
  2. The board shall have the authority to set a fee for each continuing education provider.
  3. The licensed practitioner shall retain in his or her records the certificates of completion of continuing professional education requirements to prove compliance with this section.
  4. All national and state acupuncture and oriental medicine organizations and acupuncture and oriental medicine schools are approved to provide continuing professional education in accordance with this section.

History. Enact. Acts 2006, ch. 249, § 12, effective July 12, 2006; 2014, ch. 24, § 10, effective July 15, 2014.

Legislative Research Commission Notes.

(7/12/2006). For the sake of clarity and under the authority of KRS 7.136(1)(c), the Reviser of Statutes has divided 2006 Ky. Acts. ch. 249, § 12, into subsections.

311.683. Application for license of inactive status — Reactivation.

  1. A person licensed under KRS 311.674 and 311.675 may apply for inactive status upon submitting an application and paying an inactive-status fee.
  2. An inactive license may be reactivated upon application to the board. If a license has been inactive for more than five (5) consecutive years, the licensed practitioner shall apply for a new license and shall meet all the requirements in existence for a license under KRS 311.674 and 311.675 . That application for licensure shall require:
    1. Evidence of the license holder’s payment of an inactive-status fee; and
    2. Payment of the initial licensure fee.

History. Enact. Acts 2006, ch. 249, § 13, effective July 12, 2006; 2014, ch. 24, § 11, effective July 15, 2014.

311.684. Revocation of license — Written admonishment — Other disciplinary proceedings.

  1. The board may:
    1. Revoke a license;
    2. Suspend a license for a period not to exceed five (5) years;
    3. Deny an application for a license;
    4. Decline to renew a license;
    5. Indefinitely restrict or limit a license;
    6. Issue a fine of up to two thousand dollars ($2,000) per violation and/or the costs of the proceedings;
    7. Place a license on probation for a period not to exceed five (5) years;
    8. Reprimand the acupuncturist; or
    9. Impose any combination of such sanctions, upon proof that the acupuncturist has:
      1. Knowingly made or presented or caused to be made or presented any false, fraudulent, or forged statement, writing, certificate, diploma, or other document relating to an application for licensure;
      2. Practiced, aided, or abetted in the practice of fraud, forgery, deception, collusion, or conspiracy relating to an examination for licensure;
      3. Entered a guilty or nolo contendere plea, or been convicted, by any court within or without the Commonwealth of Kentucky, of committing an act which is or would be a felony under the laws of the Commonwealth of Kentucky or of the United States;
      4. Entered a guilty or nolo contendere plea, or been convicted, by any court within or without the Commonwealth of Kentucky, of any misdemeanor offense which has dishonesty as a fundamental and necessary element, including but not limited to crimes involving theft, embezzlement, false swearing, perjury, fraud, or misrepresentation;
      5. Become addicted to, or is an abuser of, alcohol, drugs, or any illegal substance;
      6. Developed a physical or mental disability or other condition that presents a danger in continuing to practice acupuncture to patients, the public, or other health-care personnel;
      7. Knowingly made, caused to be made, or aided or abetted in the making of a false statement in any document executed in connection with the practice of acupuncture;
      8. Aided, assisted, or abetted the unlawful practice of medicine or acupuncture;
      9. Willfully violated a confidential communication;
      10. Performed the services of an acupuncturist in an unprofessional, incompetent, or grossly or chronically negligent manner;
      11. Been removed, suspended, expelled, or placed on probation by any health-care facility or professional society for unprofessional conduct, incompetence, negligence, or violation of any provision of this section;
      12. Violated any applicable provision of a statute or administrative regulation relating to acupuncture practice;
      13. Violated any term of a final order or agreed order issued by the board; or
      14. Failed to complete the required number of hours of approved continuing education.
  2. All disciplinary proceedings against an acupuncturist shall be conducted in accordance with KRS 311.591 , 311.592 , 311.593 , 311.599 , and KRS Chapter 13B and related administrative regulations promulgated under KRS Chapter 311.
    1. The board may issue a written admonishment to the licensed acupuncturist when, in the judgment of the board: (3) (a) The board may issue a written admonishment to the licensed acupuncturist when, in the judgment of the board:
      1. An alleged violation is not of a serious nature; and
      2. The evidence presented to the board after the investigation, including an appropriate opportunity for the licensed acupuncturist to respond, provides a clear indication that the alleged violation did in fact occur.
    2. A copy of the admonishment shall be placed in the permanent file of the licensed acupuncturist.
    3. The licensed acupuncturist shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have the response placed in the permanent licensure file.
    4. The licensed acupuncturist may alternatively, within thirty (30) days of the admonishment’s receipt, file a request for a hearing with the board.
    5. Upon receipt of a request for a hearing, the board shall set aside the written admonishment and set the matter for a hearing under the provisions of KRS Chapter 13B.
  3. At any time during the investigative or hearing processes, the board may enter into an agreed order or accept an assurance of voluntary compliance with the licensed acupuncturist which effectively deals with the complaint.
  4. The board may, upon the agreement of the aggrieved party, use mediation to handle disciplinary matters. The board may appoint any member or members of the board, any staff member, or any other person or combination thereof to serve in the mediation process.
  5. The board may reconsider, modify, or reverse its disciplinary actions.

History. Enact. Acts 2006, ch. 249, § 14, effective July 12, 2006; 2014, ch. 24, § 12, effective July 15, 2014.

Legislative Research Commission Notes.

(7/12/2006). For the sake of clarity and under the authority of KRS 7.136(1)(c), the Reviser of Statutes has divided 2006 Ky. Acts ch. 249, § 12(1) [14(1)] into paragraphs and subparagraphs.

311.685. Hearing required before imposition of sanctions — Right to hearing and appeal — Petition for reissuance of revoked license — Probation — Decisions of board not subject to judicial review.

  1. The board, before suspending, revoking, imposing probationary or supervisory conditions upon a licensed acupuncturist, imposing an administrative fine, issuing a written reprimand, or any combination of these actions regarding any licensed acupuncturist under KRS 311.671 to 311.686 , shall set the matter for a hearing under the provisions of KRS Chapter 13B.
  2. After denying an application under KRS 311.671 to 311.686 or issuing a written admonishment, the board, at the request of the aggrieved party, shall grant a hearing under the provisions of KRS Chapter 13B.
  3. Except for final orders denying an initial application or renewal for licensure or final orders issued pursuant to KRS 13B.125(3), all final orders of the board affecting an acupuncturist’s license shall become effective thirty (30) days after notice is given to the license holder unless otherwise agreed; however, the board’s panels may provide that a final order be effective immediately when, in the panel’s opinion, based upon sufficient reasonable cause, the health, welfare, and safety of patients or the general public would be endangered by delay.
  4. Any acupuncturist who is aggrieved by a final order of the board denying an initial or renewal application for licensure or rendering disciplinary action against a license holder may seek judicial review of the order by filing a petition with the Circuit Court of the county in which the board’s offices are located in accordance with KRS Chapter 13B. Decisions of the board’s panels relating to petitions for reinstatement of revoked licenses are not final orders for purposes of this statute, and are not subject to judicial review.
  5. The court shall not award injunctive relief against the board without providing the board with the reasonable opportunity to be heard.
  6. An acupuncturist whose license has been revoked may, after five (5) years from the effective date of the revocation order, petition the board to reissue the license to again practice acupuncture in the Commonwealth of Kentucky.
  7. The board shall not be required to issue a new license, and a decision of the board not to reissue a license shall not be subject to judicial review. A license shall not be reissued following a petition under subsection (6) of this section unless the former license holder satisfies the board that he or she is presently of good moral character and qualified both physically and mentally to resume the practice of acupuncture without undue risk or danger to patients or the public.
  8. In the event the board reissues a revoked license under the circumstances as described in this section, the reissued license shall be under probation for a period of not less than two (2) years nor more than five (5) years with conditions fixed by the board, including a condition that any violation of the remaining conditions of probation shall result in automatic revocation of the license.

History. Enact. Acts 2006, ch. 249, § 15, effective July 12, 2006; 2014, ch. 24, § 13, effective July 15, 2014; 2017 ch. 177, Pt B, § 2, effective June 29, 2017.

311.686. Emergency order suspending, limiting, or restricting license — Complaint and hearing — Procedural rules for hearing — Emergency order invalid after issuance of final order.

  1. At any time when an inquiry panel established under KRS 311.591 has probable cause to believe that an acupuncturist has violated the terms of an agreed order as defined in KRS 311.550(19), or violated the terms of a disciplinary order, or that an acupuncturist’s practice constitutes a danger to the health, welfare, or safety of patients or the general public, the inquiry panel may issue an emergency order in accordance with KRS 13B.125 suspending, limiting, or restricting the acupuncturist’s license.
  2. For the purposes of a hearing conducted under KRS 311.592 on an emergency order issued under this section, the findings of fact in the emergency order shall constitute a rebuttable presumption of substantial evidence of a violation of law that constitutes immediate danger to the health, welfare, or safety of patients or the general public. For the purposes of this hearing only, hearsay shall be admissible and may serve as a basis of the board’s findings.
  3. An emergency order as described in subsection (1) of this section shall not be issued unless grounds exist for the issuance of a complaint. The inquiry panel shall issue a complaint prior to the date of the emergency hearing or the emergency order shall become void.
  4. An emergency order suspending, limiting, or restricting a license shall not be maintained after a final order as defined in KRS 311.550(20) is served on the charged acupuncturist pursuant to the proceeding on the complaint. An appeal of an emergency order shall not prejudice the board from proceeding with the complaint.

History. Enact. Acts 2006, ch. 249, § 16, effective July 12, 2006; 2014, ch. 24, § 14, effective July 15, 2014.

Genetic Counselors

311.690. Definitions for KRS 311.690 to 311.700.

As used in KRS 311.690 to 311.700 :

  1. “ABGC” means the American Board of Genetic Counseling or its successor or equivalent;
  2. “ABMG” means the American Board of Medical Genetics and Genomics or its successor or equivalent;
  3. “ACGC” means the Accreditation Council for Genetic Counseling or its successor or equivalent;
  4. “Active candidate status” or “ACS” means a status conferred upon a person who has met the requirements to take the ABGC certification examination in general genetics and genetic counseling and has been granted this designation by the ABGC;
  5. “Board” means the State Board of Medical Licensure created in KRS 311.530 ;
  6. “CEU” means a continuing education unit approved by the National Society of Genetic Counselors (NSGC);
  7. “Committee” means the Kentucky Genetic Counselors Advisory Committee created in KRS 311.699 under the State Board of Medical Licensure;
  8. “Examination for licensure” means the ABGC or ABMG certification examination;
  9. “Genetic counseling” means the provision of services by a genetic counselor to:
    1. Obtain and evaluate individual, family, and medical histories to determine genetic risk for genetic or medical conditions and diseases in a patient, his or her offspring, and other family members;
    2. Discuss the features, natural history, means of diagnosis, genetic and environmental factors, and management of risk for genetic or medical conditions and diseases;
    3. Identify, order, and coordinate genetic laboratory tests and other diagnostic studies as appropriate for the genetic assessment consistent with practice-based competencies provided by ACGC;
    4. Integrate genetic laboratory test results and other diagnostic studies with personal and family medical history to assess and communicate risk factors for genetic or medical conditions and diseases;
    5. Explain the clinical implications of genetic laboratory tests and other diagnostic studies and their results;
    6. Evaluate the client’s or family’s responses to the condition or risk of recurrence and provide client-centered counseling and anticipatory guidance;
    7. Identify and utilize community resources that provide medical, educational, financial, and psychosocial support and advocacy; or
    8. Provide written documentation of medical, genetic, and counseling information for families and health care professionals;
  10. “Genetic counseling intern” means a student enrolled in a genetic counseling program accredited by the ACGC or ABMG;
  11. “Genetic counselor” means an individual licensed by the board to engage in the competent practice of genetic counseling;
  12. “NSGC” means the National Society of Genetic Counselors or its successor or equivalent;
  13. “Qualified supervisor” means any person licensed as a genetic counselor under KRS 311.690 to 311.700 or a licensed physician; and
  14. “Supervision” means the overall responsibility of a qualified supervisor to assess the work of the genetic counselor with a temporary license, including regular meetings and chart review, if an annual supervision contract signed by the supervisor and the temporarily licensed genetic counselor is on file with both parties. The supervisor’s presence shall not be required during the performance of the service.

HISTORY: 2017 ch. 107, § 1, effective June 29, 2017.

311.691. Prohibition against practicing genetic counseling without valid license.

  1. On and after January 1, 2018, a person shall not engage in the practice of genetic counseling in this state without a valid license issued by the board.
  2. A person shall not hold himself or herself out as a genetic counselor unless he or she holds a license issued by the board in accordance with KRS 311.695 . A person not licensed by the board shall not use in connection with his or her name or place of business the terms “genetic counselor,” “licensed genetic counselor,” “gene counselor,” “genetic consultant,” “genetic associate,” or any words, letters, abbreviations, or insignia indicating or implying the person holds a genetic counseling license.

HISTORY: 2017 ch. 107, § 2, effective June 29, 2017.

311.693. Nonapplicability of KRS 311.690 to 311.700 to specified circumstances.

The provisions of KRS 311.690 to 311.700 shall not apply to:

  1. Any person licensed by the state to practice in a profession other than that of a genetic counselor when acting within the scope of the person’s profession and doing work of a nature consistent with the person’s training. The person shall not hold himself or herself out to the public as a genetic counselor;
  2. Any person employed as a genetic counselor by the federal government or an agency of the federal government if the person provides genetic counseling services solely under the direction and control of the organization by which he or she is employed; and
  3. A student or intern enrolled in an ACGC-accredited genetic counseling educational program if genetic counseling services performed by the student are an integral part of the student’s course of study and are performed while:
    1. Under the direct instruction of a licensed genetic counselor assigned to the student;
    2. The student is on duty and available in the assigned patient care area; and
    3. The student is designated with the title of “genetic counseling intern.”

HISTORY: 2017 ch. 107, § 3, effective June 29, 2017.

311.695. Who may be licensed as genetic counselor — Temporary license.

  1. The board may issue a license as a genetic counselor to an applicant who:
    1. Submits an application to the board on a form prescribed by the board;
    2. Pays a fee determined by the board in an administrative regulation promulgated in accordance with KRS Chapter 13A; and
    3. Provides satisfactory evidence of possessing certification as a:
      1. Genetic counselor by the ABGC or ABMG; or
      2. Medical geneticist by the ABMG.
    1. The board may issue a temporary license to an applicant who: (2) (a) The board may issue a temporary license to an applicant who:
      1. Has been granted an active candidate status by the ABGC; and
      2. Pays a fee determined by the board in an administrative regulation promulgated in accordance with KRS Chapter 13A.
    2. A person issued a temporary license under this subsection:
      1. Shall apply for and take the examination for certification within twelve (12) months of the issuance of the temporary license; and
      2. May only practice if he or she has entered into a genetic supervision contract and is directly supervised by a licensed genetic counselor or a licensed physician.
    3. A temporary license granted by the board shall be valid for one (1) year from the date issued and shall expire upon the earliest of the following:
      1. Issuance of a license pursuant to subsection (1) of this section;
      2. Thirty (30) days after the holder fails to pass the complete certification examination; or
      3. The expiration date printed on the license.
    1. Whenever, in the opinion of the executive director of the board, based upon verified information contained in the application, an applicant for a license to practice as a genetic counselor is eligible for licensure under this section, the executive director may issue to the applicant, on behalf of the board, a temporary license which shall entitle the holder to practice as a genetic counselor for a maximum of one (1) year from the date of issuance. The temporary license shall not be renewable. (3) (a) Whenever, in the opinion of the executive director of the board, based upon verified information contained in the application, an applicant for a license to practice as a genetic counselor is eligible for licensure under this section, the executive director may issue to the applicant, on behalf of the board, a temporary license which shall entitle the holder to practice as a genetic counselor for a maximum of one (1) year from the date of issuance. The temporary license shall not be renewable.
    2. The temporary license may be canceled by the executive director, who may cancel it at any time, without a hearing, for reasons deemed sufficient with appropriate consultation with the president, and who shall cancel it immediately upon direction by the board or upon the board’s denial of the holder’s application for a regular license.
  2. The executive director shall present to the board the application for licensure made by the holder of the temporary license. If the board issues a regular license to the holder of a temporary license, the fee paid in connection with the temporary license shall be applied to the regular license fee.
  3. If the executive director cancels a temporary license, he or she shall promptly notify, by United States certified mail, the holder of the temporary license at the last known address on file with the board. The temporary license shall be terminated and have no further force or effect three (3) days after the date the notice was sent by certified mail.

HISTORY: 2017 ch. 107, § 4, effective June 29, 2017.

311.697. Expiration, renewal, and reinstatement of license.

  1. A license issued by the board shall expire on June 30 of even-numbered years unless sooner suspended or revoked.
  2. To renew a license, an applicant shall:
    1. Pay a renewal fee; and
    2. Meet all other requirements for renewal under this chapter.
  3. If a licensee fails to pay a renewal fee, the license becomes inactive without further action by the board.
  4. If a person holds an inactive license, the board shall reinstate the license if the applicant for reinstatement:
    1. Submits a completed renewal application;
    2. Pays the current renewal fee;
    3. Pays a reinstatement fee determined by the board in an administrative regulation promulgated in accordance with KRS Chapter 13A; and
    4. Provides the board with a sworn statement, signed by the applicant, that he or she has fulfilled the continuing education requirements prescribed by the board for the current renewal period.
    1. Except for disciplinary actions taken pursuant to KRS 311.700 , a licensee whose license has been revoked may, after two (2) years from the effective date of the revocation order, petition the board for a license to again practice in the Commonwealth of Kentucky. (5) (a) Except for disciplinary actions taken pursuant to KRS 311.700 , a licensee whose license has been revoked may, after two (2) years from the effective date of the revocation order, petition the board for a license to again practice in the Commonwealth of Kentucky.
    2. The board shall not be required to issue a new license as described in this subsection. No new license shall be issued unless the applicant satisfies the board that the former licensee is presently of good moral character and qualified both physically and mentally to resume the practice of genetic counseling without undue risk or danger to the licensee’s patients or the public.
    3. If the board issues a new license under the circumstances described in this subsection, the new license shall be under probation for a period of not less than two (2) years nor more than five (5) years, and any subsequent violation during the probationary period shall result in automatic revocation of the license.
  5. To renew a license under this section, an applicant shall complete continuing education. The continuing education shall consist of the completion in each two (2) year license cycle of thirty (30) contact hours that have been approved by NSGC.
  6. An applicant seeking renewal of a license shall certify that he or she:
    1. Has complied with the continuing education requirements; or
    2. Has not complied with the continuing education requirements, but is seeking a waiver from the board under subsection (8) of this section.
  7. The board may grant an applicant seeking renewal of a license a waiver from all or part of the continuing education requirement for the renewal period if the applicant was not able to fulfill the requirement due to a hardship that resulted from any of the following conditions:
    1. Service in the Armed Forces of the United States during a substantial part of the renewal period;
    2. An incapacitating illness or injury; or
    3. Other circumstances determined by the board.

HISTORY: 2017 ch. 107, § 5, effective June 29, 2017.

311.699. Powers of board regarding genetic counselors — Administrative regulations — Kentucky Genetic Counselors Advisory Committee Duties.

  1. The board shall exercise all the administrative functions of the state in the prevention of empiricism and in the regulation of genetic counselors, which shall include but not be limited to promulgation of reasonable administrative regulations enabling the board to regulate the conduct of genetic counselor licensees. The board shall also:
    1. Promulgate reasonable administrative regulations establishing moral, physical, intellectual, educational, scientific, technical, and professional qualifications of applicants for licensure or permits that may be issued by the board; and
    2. Prescribe and collect reasonable fees and charges for the issuance and renewal of licenses.
  2. There is hereby created the Kentucky Genetic Counselors Advisory Committee, composed of seven (7) members appointed by the board from a list of nine (9) names submitted by the Kentucky Association of Genetic Counselors or its successor. The committee shall review and make recommendations to the board regarding all matters relating to genetic counselors, including but not limited to:
    1. Applications for licensure;
    2. Licensure renewal requirements;
    3. Disciplinary investigations or action, when specifically requested by one (1) of the board’s panels established under KRS 311.591 ; and
    4. Promulgation of administrative regulations.
  3. Members of the committee shall be appointed by the board for four (4) year terms, except for initial appointments, and shall consist of:
    1. Four (4) practicing licensed genetic counselors who shall each be selected for each vacancy from a list of at least six (6) licensed genetic counselors submitted by the Kentucky Association of Genetic Counselors or its successor;
    2. One (1) supervising physician;
    3. One (1) member of the board; and
    4. One (1) citizen at large.
  4. The chair of the committee shall be a licensed genetic counselor elected by a majority vote of the committee members and shall preside over meetings. Meetings shall be held quarterly at a time and place within the Commonwealth as designated by the chair. Additional meetings may be held at the call of the chair or upon the written request of three (3) committee members.
  5. Initial appointments shall be for staggered terms. Three (3) members shall serve a four (4) year term, three (3) members shall serve a two (2) year term, and one (1) member shall serve a one (1) year term.
  6. Members of the committee shall not be compensated for their service but shall receive reimbursement for expenditures relating to attendance at committee meetings, consistent with state policies for the reimbursement of travel expenses for state employees.
  7. A committee member may be removed by the board for good cause or if he or she misses two (2) consecutive committee meetings without good cause.
  8. Upon the death, resignation, or removal of any member, the vacancy for the unexpired term shall be filled by the board in the same manner as the original appointment.
  9. The quorum required for any meeting of the committee shall be four (4) members. No action by the committee or its members shall have any effect unless a quorum of the committee is present at the meeting where the action is taken.
  10. The board shall not be required to implement or adopt the recommendations of the committee.

HISTORY: 2017 ch. 107, § 6, effective June 29, 2017.

311.700. Disciplinary actions regarding licenses.

  1. The board may revoke, suspend, deny, decline to renew, limit, or restrict the license of a genetic counselor, or may fine, reprimand, or place a genetic counselor on probation for no more than five (5) years upon proof that a genetic counselor has:
    1. Knowingly made or presented or caused to be made or presented any false, fraudulent, or forged statement, writing, certificate, diploma, or other document relating to an application for licensure;
    2. Practiced, aided, or abetted in the practice of fraud, forgery, deception, collusion, or conspiracy relating to an examination for licensure;
    3. Been convicted by any court of a misdemeanor offense involving moral turpitude or been convicted of an act that is or would be a felony under the laws of the Commonwealth of Kentucky or of the United States;
    4. Become addicted to or is an abuser of alcohol, drugs, or any illegal substance;
    5. Developed a physical or mental disability or other condition that presents a danger in continuing to practice genetic counseling to patients, the public, or other health care personnel;
    6. Knowingly made or caused to be made or aided or abetted in the making of a false statement in any document executed in connection with the practice of genetic counseling;
    7. Performed any act or service as a genetic counselor without designated supervision;
    8. Exceeded the scope of practice for which the genetic counselor is licensed by the board;
    9. Aided, assisted, or abetted the unlawful practice of genetic counseling;
    10. Willfully violated a confidential communication;
    11. Performed the services of a genetic counselor in an unprofessional, incompetent, or grossly or chronically negligent manner;
    12. Been removed, suspended, expelled, or placed on probation by any health care facility or professional society for unprofessional conduct, incompetence, negligence, or violation of any provision of KRS 311.690 to 311.700 ;
    13. Violated any applicable provision of administrative regulations relating to genetic counseling;
    14. Violated any term of probation or other discipline imposed by the board; or
    15. Failed to complete the required number of hours of approved continuing education.
  2. All disciplinary proceedings against a genetic counselor shall be conducted in accordance with KRS Chapter 13B. Any party aggrieved by a final order of the board may appeal to the Jefferson Circuit Court.

HISTORY: 2017 ch. 107, § 7, effective June 29, 2017.

Abortions

311.710. Legislative findings.

The General Assembly of the Commonwealth of Kentucky hereby finds and declares:

  1. That it is in the interest of the people of the Commonwealth of Kentucky that every precaution be taken to insure the protection of every viable unborn child being aborted, and every precaution be taken to provide life-supportive procedures to insure the unborn child its continued life after its abortion; and
  2. That currently, in the Commonwealth, there is inadequate legislation to protect the life, health and welfare of pregnant women and unborn human life; and
  3. That it is in the interest of the people of the Commonwealth of Kentucky to maintain accurate statistical data to aid in providing proper maternal health regulations.
  4. It is the intention of the General Assembly of the Commonwealth of Kentucky to assure the integrity and autonomy of a woman’s decision whether to submit to an abortion or to carry her child to term, to protect the rights and interests of a minor incompetent woman and her parents in the context of abortion, to further the Commonwealth’s compelling interest in protecting the formal integrity of the marital relation and the procreative rights and interests of the husband, and to provide for the development of statistical data. The General Assembly finds as fact that the rights and interests furthered by this chapter are not secure in the context in which abortion is presently performed.
  5. It is the present intention of the General Assembly to protect the valid and compelling interests of the Commonwealth and its inhabitants without unduly burdening a woman’s constitutional privacy rights as delineated by the courts. If, however, the United States Constitution is amended or relevant judicial decisions are reversed or modified, the declared policy of this Commonwealth to recognize and to protect the lives of all human beings regardless of their degree of biological development shall be fully restored.

History. Enact. Acts 1974, ch. 255, § 1; 1982, ch. 342, § 1, effective July 15, 1982.

Compiler’s Notes.

Acts 1982, ch. 342 was declared unconstitutional in Eubanks v. Brown, 604 F. Supp. 141 (W.D. Ky. 1984 ).

NOTES TO DECISIONS

1.Constitutionality.

Acts 1982, ch. 342 is unconstitutional in light of the fact that KRS 311.732 prior to its 1986 amendment, KRS 311.723(1) and (2), 311.726 (now repealed), 311.729 (now repealed), 311.735 and 213.055 (now repealed) are unconstitutional and constitute almost the entire significant proportions of the act. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

2.In General.

The severability clause of this act saved those sections which were not ruled unconstitutional, which served a legitimate purpose within the state’s authority and interests, and which did not violate the spirit or letter of United States Supreme Court decisions, so that it was not necessary to invalidate the questioned statute in toto. Wolfe v. Schroering, 388 F. Supp. 631, 1974 U.S. Dist. LEXIS 5712 (W.D. Ky. 1974 ), aff’d in part, rev’d in part, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. 1976), modified on other grounds, Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. 1976) (decision prior to 1982 amendment).

Research References and Practice Aids

Kentucky Law Journal.

Comments, Viability and Abortion, 64 Ky. L.J. 146 (1975-1976).

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

Comment, Feticide: Murder in Kentucky?, 71 Ky. L.J. 933 (1982-83).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Abortion — Self-Consent by Minor, § 268.00.

311.715. Use of public agency funds for abortion prohibited — Use of public medical facilities for in-vitro fertilization permitted — Order of priority for awarding federal family planning funds upon repeal of federal regulations that bar prioritizing recipients.

  1. Public agency funds shall not be used for the purpose of obtaining an abortion or paying for the performance of an abortion. Public medical facilities may be used for the purpose of conducting research into or the performance of in-vitro fertilization as long as such procedures do not result in the intentional destruction of a human embryo.
    1. Public agency funds shall not be directly or indirectly used, granted, paid, or distributed to any nonpublic entity or organization described in paragraph (b)3. of this subsection. This paragraph shall not apply to funding available through KRS 205.510 to 205.560 to the minimum extent necessary to comply with federal conditions for the state’s participation in the program established by KRS 205.510 to 205.560 or to funding that is used to provide abstinence education in schools. (2) (a) Public agency funds shall not be directly or indirectly used, granted, paid, or distributed to any nonpublic entity or organization described in paragraph (b)3. of this subsection. This paragraph shall not apply to funding available through KRS 205.510 to 205.560 to the minimum extent necessary to comply with federal conditions for the state’s participation in the program established by KRS 205.510 to 205.560 or to funding that is used to provide abstinence education in schools.
    2. Notwithstanding any other state law to the contrary, all federal family planning funds shall be awarded to eligible individuals, organizations, or entities applying to be family planning contractors in the following order of descending priority:
      1. Public agencies that directly provide family planning services, including state, county, and local community health clinics and federally qualified health centers;
      2. Nonpublic entities that directly provide basic health services, as described in 42 U.S.C. sec. 254 b(b)(1)(A), including family planning services; and
      3. Nonpublic entities that directly provide only family planning services but do not provide all basic health services as described in 42 U.S.C. sec. 254 b(b)(1)(A).
    3. This subsection shall be effective upon repeal of federal regulations prohibiting states from prioritizing recipients of federal Public Health Service Act, Title X Family Planning Program funds.
  2. Nothing in this section shall be deemed to deprive a woman of all appropriate medical care necessary to prevent her physical death.
  3. Nothing in this section shall be construed to allow public funds to pay for in-vitro fertilization procedures performed on any individual patient.

HISTORY: Enact. Acts 1980, ch. 315, § 1, effective July 15, 1980; 1984, ch. 377, § 9, effective July 13, 1984; 2017 ch. 64, § 2, effective June 29, 2017.

Opinions of Attorney General.

Where subsection (1) of KRS 194.050 [repealed] is a general mandate to the Cabinet for Human Resources to adopt the necessary rules and regulations to meet HHS’ requirements for receiving medicaid funds and where rules (permitting the funding of abortions to save the life of the mother or if the pregnancy is a result of rape or incest) if adopted would violate the provisions of this section (permitting an abortion only to save the life of the mother), the requirements of subsection (1) of this section (the general statute) are in conflict with the requirements of this section, and as the specific statute, this section controls. OAG 94-4 .

This section, which precludes the expenditure of state funds to pay for abortions except when necessary to save the life of the mother, is in conflict with HHS’ mandate that Kentucky’s State Plan for its Medicaid programs cannot preclude funding for abortions that are performed to terminate pregnancies resulting from rape or incest. OAG 94-4 .

311.720. Definitions for KRS 311.710 to 311.820 and other laws.

As used in KRS 311.710 to 311.820 , and laws of the Commonwealth unless the context otherwise requires:

  1. “Abortion” means the use of any means whatsoever to terminate the pregnancy of a woman known to be pregnant with intent to cause fetal death;
  2. “Accepted medical procedures” means procedures of the type performed in the manner and in a facility with equipment sufficient to meet the standards of medical care which physicians engaged in the same or similar lines of work, would ordinarily exercise and devote to the benefit of their patients;
  3. “Cabinet” means the Cabinet for Health and Family Services of the Commonwealth of Kentucky;
  4. “Consent,” as used in KRS 311.710 to 311.820 with reference to those who must give their consent, means an informed consent expressed by a written agreement to submit to an abortion on a written form of consent to be promulgated by the secretary for health and family services;
  5. “Family planning services” means educational, medical, and social services and activities that enable individuals to determine the number and spacing of their children and to select the means by which this may be achieved;
  6. “Fetus” means a human being from fertilization until birth;
  7. “Hospital” means those institutions licensed in the Commonwealth of Kentucky pursuant to the provisions of KRS Chapter 216;
  8. “Human being” means any member of the species homo sapiens from fertilization until death;
  9. “Medical emergency” means any condition which, on the basis of the physician’s good-faith clinical judgment, so complicates the medical condition of a pregnant female as to necessitate the immediate abortion of her pregnancy to avert her death or for which a delay will create serious risk of substantial and irreversible impairment of a major bodily function;
  10. “Medical necessity” means a medical condition of a pregnant woman that, in the reasonable judgment of the physician who is attending the woman, so complicates the pregnancy that it necessitates the immediate performance or inducement of an abortion;
  11. “Partial-birth abortion” means an abortion in which the physician performing the abortion partially vaginally delivers a living fetus before killing the fetus and completing the delivery;
  12. “Physician” means any person licensed to practice medicine in the Commonwealth or osteopathy pursuant to this chapter;
  13. “Probable gestational age of the embryo or fetus” means the gestational age that, in the judgment of a physician, is, with reasonable probability, the gestational age of the embryo or fetus at the time that the abortion is planned to be performed;
  14. “Public agency” means the Commonwealth of Kentucky; any agency, department, entity, or instrumentality thereof; any city, county, agency, department, entity, or instrumentality thereof; or any other political subdivision of the Commonwealth, agency, department, entity, or instrumentality thereof;
  15. “Vaginally delivers a living fetus before killing the fetus” means deliberately and intentionally delivers into the vagina a living fetus, or a substantial portion thereof, for the purpose of performing a procedure the physician knows will kill the fetus, and kills the fetus; and
  16. “Viability” means that stage of human development when the life of the unborn child may be continued by natural or life-supportive systems outside the womb of the mother.

HISTORY: Enact. Acts 1974, ch. 255, § 2; 1982, ch. 342, § 2, effective July 15, 1982; 1998, ch. 426, § 541, effective July 15, 1998; 1998, ch. 578, § 1, effective July 15, 1998; 1998, ch. 614, § 1, effective July 15, 1998; 2005, ch. 99, § 587, effective June 20, 2005; 2017 ch. 64, § 1, effective June 29, 2017.

Compiler’s Notes.

Subsections (5) and (6) of this section were declared unconstitutional in Eubanks v. Brown, 604 F. Supp. 141 (W.D. Ky. 1984 ).

NOTES TO DECISIONS

1.Constitutionality.

Subsection (5) of this section, which defines “fetus,” and subsection (6), which defines “human being,” are unconstitutional, because they incorporate into the law a definition of life as beginning at fertilization, a theory which the United States Supreme Court has not adopted, and which the United States Supreme Court has held may not be used by a state in a statute to justify its regulation of abortion. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Acts 1982, ch. 342 is unconstitutional in light of the fact that KRS 311.732 prior to its 1986 amendment, KRS 311.723(1) and (2), 311.726 (now repealed), 311.729 (now repealed), 311.735 and 213.055 (now repealed) are unconstitutional and constitute almost the entire significant proportions of the act. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

The definition of “viability” in subdivision (8) (now (10)) of this section is void because it is vague. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

The Kentucky “Partial Birth Abortion Act,” KRS 311.720 et seq. is invalid and unenforceable under the United States Constitution as the act’s “substantial portion” language broadens its scope to reach a significant number of the D&E’s as performed in Kentucky, which constitutes an undue burden on some women seeking a lawful abortion. Eubanks v. Stengel, 28 F. Supp. 2d 1024, 1998 U.S. Dist. LEXIS 17579 (W.D. Ky. 1998 ), aff'd, 224 F.3d 576, 2000 FED App. 0257P, 2000 U.S. App. LEXIS 18277 (6th Cir. Ky. 2000 ).

2.Prosecution for Causing Abortion.

Where the defendant forced his hand up the vagina of his estranged pregnant wife with the intent to destroy the 28-30 weeks old fetus, and the allegedly viable fetus was killed and subsequently born dead, the defendant could have been criminally prosecuted for causing an abortion or for assault in the first degree on his wife, or both; however, the defendant could not be prosecuted for murder of another “person” under KRS 507.020 since that criminal homicide statute does not define “person,” and therefore, the term had to be given its common-law interpretation that is, for a “person” to be considered a murder victim that “person” had to have been previously born alive. Hollis v. Commonwealth, 652 S.W.2d 61, 1983 Ky. LEXIS 248 ( Ky. 1983 ), overruled, Commonwealth v. Morris, 142 S.W.3d 654, 2004 Ky. LEXIS 153 ( Ky. 2004 ).

Opinions of Attorney General.

Subdivision (8) (now (10)) of this section, which defines “viability,” is unconstitutional because it does not reflect that the determination of whether a particular fetus is viable is, and must be, a matter for the judgment of the responsible attending physician. OAG 82-97 .

The definition of “human being” in subdivision (6) of this section is in conflict with the common law which has historically declined to recognize the unborn as persons in the whole sense. OAG 82-97 .

Research References and Practice Aids

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

Comment, Feticide: Murder in Kentucky?, 71 Ky. L.J. 933 (1982-83).

Northern Kentucky Law Review.

Note — Criminal Law — Murder — Intentional Killing of Viable Fetus Not Murder, 11 N. Ky. L. Rev. 213 (1984).

2012 General Law Issue: Article: Life, Death & the God Complex: The Effectiveness of Incorporating Religion-Based Arguments into the Pro-Choice Perspective on Abortion, 39 N. Ky. L. Rev. 421 (2012).

311.723. When physician may perform abortion — Guidelines.

  1. No abortion shall be performed except by a physician after either:
    1. He determines that, in his best clinical judgment, the abortion is necessary; or
    2. He receives what he reasonably believes to be a written statement signed by another physician, hereinafter called the “referring physician,” certifying that in the referring physician’s best clinical judgment the abortion is necessary, and, in addition, he receives a copy of the report form required by KRS 213.101 .
  2. No abortion shall be performed except in compliance with regulations which the cabinet shall issue to ensure that:
    1. Before the abortion is performed, the pregnant woman shall have a private medical consultation either with the physician who is to perform the abortion or with the referring physician in a place, at a time and of a duration reasonably sufficient to enable the physician to determine whether, based upon his best clinical judgment, the abortion is necessary;
    2. The physician who is to perform the abortion or the referring physician will describe the basis for his best clinical judgment that the abortion is necessary on a form prescribed by the cabinet as required by KRS 213.101 ; and
    3. Paragraph (a) of this subsection shall not apply when, in the medical judgment of the attending physician based on the particular facts of the case before him, there exists a medical emergency. In such a case, the physician shall describe the basis of his medical judgment that an emergency exists on a form prescribed by the cabinet as required by KRS 213.101 .
  3. Notwithstanding any statute to the contrary, nothing in this chapter shall be construed as prohibiting a physician from prescribing or a woman from using birth control methods or devices, including, but not limited to, intrauterine devices, oral contraceptives, or any other birth control method or device.

History. Enact. Acts 1982, ch. 342, § 3, effective July 15, 1982; 2019 ch. 191, § 3, effective June 27, 2019.

Compiler’s Notes.

Acts 1982, ch. 342, this section, was declared unconstitutional in Eubanks v. Brown, 604 F. Supp. 141 (W.D. Ky. 1984 ).

Legislative Research Commission Note.

(6/19/97). KRS 213.055 , which is cited within this statute, was repealed by 1990 Ky. Acts ch. 369, sec. 38, effective July 13, 1990.

NOTES TO DECISIONS

1.Constitutionality.

Subsection (1) of this section is rendered unconstitutional, not by reason of its language pertaining to necessity, but by reason of the fact that the legislature also has enacted KRS 311.760 , which is in conflict with subsection (1) of this section. Subsection (1) of this section states that no abortion shall be performed except by a physician, whereas KRS 311.760 allows abortions during the first trimester by the woman upon the advice of a physician. By drafting these two (2) sections in this manner, the legislature has subjected both the physician and the woman to confusion and uncertainty regarding their rights, since the woman’s apparent right under KRS 311.760 to perform the abortion herself upon the advice of a physician during the first trimester is contrary to and completely superseded by subsection (1) of this section, which places the only right to perform an abortion in the hands of the physician. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Subsection (2) of this section is unconstitutional. Requiring personal counseling to the pregnant woman by the physician performing the abortion, or by any physician, is not a justifiable vital state interest. The critical factor is whether the woman obtains the necessary information and counseling from a qualified person, not the identity of the person from whom she obtains it. Clearly, the state cannot require such counseling to be performed only by physicians. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

The requirement in subsection (2) of this section that the doctor describe the basis for his judgment is unconstitutional. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Acts 1982, ch. 342 is unconstitutional in light of the fact that subsections (1) and (2) of this section, and KRS 311.726 (now repealed), 311.729 (now repealed), 311.732 , 311.735 , and 213.055 (now repealed) are unconstitutional, and constitute almost the entire significant portions of the act. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Opinions of Attorney General.

This section is unconstitutional because it interferes with a woman’s right to have a first trimester abortion free from state interference and because the requirement that the physician describe the basis for his clinical judgment that the abortion is necessary interferes with the physician-client relationship and would have a chilling effect on a physician’s decision to perform an abortion. OAG 82-97 .

The use of the word “necessary” in this section appears to be constitutionally sound. OAG 82-97 .

Research References and Practice Aids

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

311.724. Informed consent given in “individual, private setting.”

If a section of the Kentucky Revised Statutes uses the phrase “individual, private setting” to describe the conditions under which informed consent must be given to a medical procedure, then the informed consent offered in accordance with that section shall be considered valid only if a physician or a licensed nurse, physician assistant, or social worker to whom the responsibility has been delegated by the physician has a face-to-face meeting with the patient and both parties are physically located in the same room or are participating in real-time visual telehealth services initiated by the physician or by the patient.

HISTORY: 2016 ch. 1, § 1, effective July 15, 2016.

311.725. Requirement of voluntary and informed written consent for abortion — Cabinet’s duty to produce and make available informational materials — Abortions in medical emergencies.

  1. No abortion shall be performed or induced except with the voluntary and informed written consent of the woman upon whom the abortion is to be performed or induced. Except in the case of a medical emergency, consent to an abortion is voluntary and informed if and only if:
    1. At least twenty-four (24) hours prior to the abortion, a physician, licensed nurse, physician assistant, or social worker to whom the responsibility has been delegated by the physician has verbally informed the woman of all of the following:
      1. The nature and purpose of the particular abortion procedure or treatment to be performed and of those medical risks and alternatives to the procedure or treatment that a reasonable patient would consider material to the decision of whether or not to undergo the abortion;
      2. The probable gestational age of the embryo or fetus at the time the abortion is to be performed;
      3. The medical risks associated with the pregnant woman carrying her pregnancy to term; and
      4. The potential ability of a physician to reverse the effects of prescription drugs intended to induce abortion, where additional information about this possibility may be obtained, and contact information for assistance in locating a physician who may aid in the reversal;
    2. At least twenty-four (24) hours prior to the abortion, in an individual, private setting, a physician, licensed nurse, physician assistant, or social worker to whom the responsibility has been delegated by the physician has informed the pregnant woman that:
      1. The cabinet publishes the printed materials described in of subsection (2)(a), (b), and (c) of this section and that she has a right to review the printed materials and that copies will be provided to her by the physician, licensed nurse, physician assistant, or social worker free of charge if she chooses to review the printed materials;
      2. Medical assistance benefits may be available for prenatal care, childbirth, and neonatal care, and that more detailed information on the availability of such assistance is contained in the printed materials published by the cabinet;
      3. The father of the fetus is liable to assist in the support of her child, even in instances where he has offered to pay for the abortion; and
      4. It is illegal in Kentucky to intentionally perform an abortion, in whole or in part, because of:
        1. The sex of the unborn child;
        2. The race, color, or national origin of the unborn child; or
        3. The diagnosis, or potential diagnosis, of Down syndrome or any other disability;
    3. At least twenty-four (24) hours prior to the abortion, a copy of the printed materials has been provided to the pregnant woman if she chooses to view these materials;
    4. The pregnant woman certifies in writing, prior to the performance or inducement of the abortion:
      1. That she has received the information required to be provided under paragraphs (a), (b), and (c) of this subsection; and
      2. That she consents to the particular abortion voluntarily and knowingly, and she is not under the influence of any drug of abuse or alcohol; and
    5. Prior to the performance or inducement of the abortion, the physician who is scheduled to perform or induce the abortion or the physician’s agent receives a copy of the pregnant woman’s signed statement, on a form which may be provided by the physician, on which she consents to the abortion and that includes the certification required by paragraph (d) of this subsection.
  2. By January 1, 1999, the cabinet shall cause to be published in English in a typeface not less than 12 point type the following materials:
    1. Materials that inform the pregnant woman about public and private agencies and services that are available to assist her through her pregnancy, upon childbirth, and while her child is dependent, including, but not limited to, adoption agencies. The materials shall include a comprehensive list of the available agencies and a description of the services offered by the agencies and the telephone numbers and addresses of the agencies, and inform the pregnant woman about available medical assistance benefits for prenatal care, childbirth, and neonatal care and about the support obligations of the father of a child who is born alive. The cabinet shall ensure that the materials are comprehensive and do not directly or indirectly promote, exclude, or discourage the use of any agency or service described in this section;
    2. Materials that inform the pregnant woman of the probable anatomical and physiological characteristics of the zygote, blastocyte, embryo, or fetus at two (2) week gestational increments for the first sixteen (16) weeks of her pregnancy and at four (4) week gestational increments from the seventeenth week of her pregnancy to full term, including any relevant information regarding the time at which the fetus possibly would be viable. The materials shall use language that is understandable by the average person who is not medically trained, shall be objective and nonjudgmental, and shall include only accurate scientific information about the zygote, blastocyte, embryo, or fetus at the various gestational increments. The materials shall include, for each of the two (2) of four (4) week increments specified in this paragraph, a pictorial or photographic depiction of the zygote, blastocyte, embryo, or fetus. The materials shall also include, in a conspicuous manner, a scale or other explanation that is understandable by the average person and that can be used to determine the actual size of the zygote, blastocyte, embryo, or fetus at a particular gestational increment as contrasted with the depicted size of the zygote, blastocyte, embryo, or fetus at that gestational increment; and
    3. Materials that inform the pregnant woman of the potential ability of a physician to reverse the effects of prescription drugs intended to induce abortion, where additional information about this possibility may be obtained, and contact information for assistance in locating a physician who may aid in the reversal.
  3. Upon submission of a request to the cabinet by any person, hospital, physician, or medical facility for one (1) or more copies of the materials published in accordance with subsection (2) of this section, the cabinet shall make the requested number of copies of the materials available to the person, hospital, physician, or medical facility that requested the copies.
  4. If a medical emergency or medical necessity compels the performance or inducement of an abortion, the physician who will perform or induce the abortion, prior to its performance or inducement if possible, shall inform the pregnant woman of the medical indications supporting the physician’s judgment that an immediate abortion is necessary. Any physician who performs or induces an abortion without the prior satisfaction of the conditions specified in subsection (1) of this section because of a medical emergency or medical necessity shall enter the reasons for the conclusion that a medical emergency exists in the medical record of the pregnant woman.
  5. If the conditions specified in subsection (1) of this section are satisfied, consent to an abortion shall be presumed to be valid and effective.
  6. The failure of a physician to satisfy the conditions of subsection (1) of this section prior to performing or inducing an abortion upon a pregnant woman may be the basis of disciplinary action pursuant to KRS 311.595 .
  7. The cabinet shall charge a fee for each copy of the materials distributed in accordance with subsections (1) and (3) of this section. The fee shall be sufficient to cover the cost of the administration of the materials published in accordance with subsection (2) of this section, including the cost of preparation and distribution of materials.

History. Enact. Acts 1998, ch. 614, § 2, effective July 15, 1998; 2019 ch. 37, § 3, effective March 19, 2019; 2019 ch. 191, § 5, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 37 and 191, which do not appear to be in conflict and have been codified together.

(3/19/2019). 2019 Ky. Acts ch. 37, sec. 8, provides that 2019 Ky. Acts ch. 37 may be cited as the “Human Rights of the Unborn Child and Anti-Discrimination Act.” This statute was amended in Section 3 of that Act.

311.726. Voluntary and informed consent of woman — Certificate — Emergencies — Civil liability of physician. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 342, § 4, effective July 15, 1982) was repealed by Acts 1998, ch. 614, § 4, effective July 15, 1998.

311.727. Requirement for performance and explanation of obstetric ultrasound and ascultation of fetal heartbeat prior to abortion — Exception for medical emergency or necessity.

  1. As used in this section:
    1. “Ascultate” means to examine by listening for sounds made by internal organs of the fetus, specifically for a fetal heartbeat, utilizing an ultrasound transducer or a fetal heart rate monitor;
    2. “Obstetric ultrasound” or “ultrasound” means the use of ultrasonic waves for diagnostic or therapeutic purposes, specifically to monitor a developing fetus; and
    3. “Qualified technician” means a medical imaging technologist as defined in KRS 311B.020 who is certified in obstetrics and gynecology by the American Registry for Diagnostic Medical Sonography or a nurse midwife or advance practice nurse practitioner in obstetrics with certification in obstetrical ultrasonography.
  2. Prior to a woman giving informed consent to having any part of an abortion performed, the physician who is to perform the abortion or a qualified technician to whom the responsibility has been delegated by the physician shall:
    1. Perform an obstetric ultrasound on the pregnant woman;
    2. Provide a simultaneous explanation of what the ultrasound is depicting, which shall include the presence and location of the unborn child within the uterus and the number of unborn children depicted and also, if the ultrasound image indicates that fetal demise has occurred, inform the woman of that fact;
    3. Display the ultrasound images so that the pregnant woman may view the images;
    4. Ascultate the fetal heartbeat of the unborn child so that the pregnant woman may hear the heartbeat if the heartbeat is audible;
    5. Provide a medical description of the ultrasound images, which shall include the dimensions of the embryo or fetus and the presence of external members and internal organs, if present and viewable; and
    6. Retain in the woman’s medical record a signed certification from the pregnant woman that she has been presented with the information required to be provided under paragraphs (c) and (d) of this subsection and has viewed the ultrasound images, listened to the heartbeat if the heartbeat is audible, or declined to do so. The signed certification shall be on a form prescribed by the cabinet.
  3. When the ultrasound images and heartbeat sounds are provided to and reviewed with the pregnant woman, nothing in this section shall be construed to prevent the pregnant woman from averting her eyes from the ultrasound images or requesting the volume of the heartbeat be reduced or turned off if the heartbeat is audible. Neither the physician, the qualified technician, nor the pregnant woman shall be subject to any penalty if the pregnant woman refuses to look at the displayed ultrasound images or to listen to the heartbeat if the heartbeat is audible.
  4. The requirements of this section shall be in addition to any requirement contained in KRS 311.725 or any other section of KRS 311.710 to 311.820 .
  5. The provisions of this section shall not apply in the case of a medical emergency or medical necessity. If a medical emergency or medical necessity compels the performance or inducement of an abortion, the physician who will perform or induce the abortion, prior to its performance or inducement if possible, shall inform the pregnant woman of the medical indications supporting the physician’s judgment that an immediate abortion is necessary. Any physician who performs or induces an abortion without the prior satisfaction of the requirements of this section because of a medical emergency or medical necessity shall enter the reasons for the conclusion that a medical emergency or medical necessity exists in the medical record of the pregnant woman.

HISTORY: 2017 ch. 2, § 1, effective January 9, 2017.

311.728. Physician must be physically present with patient to perform or induce abortion — Use of telehealth prohibited.

A physician performing or inducing an abortion shall be present in person and in the same room with the patient. The use of telehealth as defined in 304.17A-005 shall not be allowed in the performance of an abortion.

HISTORY: 2018 ch. 187, § 8, effective July 1, 2019.

311.729. Information on alternatives. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 342, § 5, effective July 15, 1982) was repealed by Acts 1998, ch. 614, § 4, effective July 15, 1998.

311.730. Counseling by physician required prior to performance of abortion. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 225, § 3) was repealed by Acts 1982, ch. 342, § 12, effective July 15, 1982.

311.731. Prohibition against sex, race, color, national origin, or disability-based abortion — Certification to Vital Statistics Branch — Revocation of license — Action for damages — Severability.

  1. As used in this section:
    1. “Abortion facility” has the same meaning as in KRS 216B.015 ;
    2. “Any other disability” means any disease, defect, or disorder, whether or not genetically inherited. The term includes but is not limited to the following:
      1. A physical disability;
      2. A mental or intellectual disability;
      3. A physical disfigurement;
      4. Scoliosis;
      5. Dwarfism;
      6. Albinism;
      7. Amelia; or
      8. A physical or mental disease. However, the term does not include a lethal fetal anomaly;
    3. “Corporation” has the same meaning as in KRS 271B.1-400 ;
    4. “Down syndrome” means a chromosome disorder associated either with an extra chromosome twenty-one (21), in whole or in part, or an effective trisomy for chromosome twenty-one (21);
    5. “Human being” has the same meaning as in KRS 311.720 ;
    6. “Medical emergency” has the same meaning as in KRS 311.720 ;
    7. “Person” includes any human being and any corporation;
    8. “Physician” has the same meaning as in KRS 311.720; and
    9. “Unborn child” has the same meaning as in KRS 311.781 .
  2. No person shall intentionally perform or induce or attempt to perform or induce an abortion on a pregnant woman if the person has knowledge that the pregnant woman is seeking the abortion, in whole or in part, because of any of the following:
    1. The sex of the unborn child;
    2. The race, color, or national origin of the unborn child; or
    3. The diagnosis, or potential diagnosis, of Down syndrome or any other disability;

      except in the case of a medical emergency.

  3. In the report required under KRS 213.101 , the attending physician shall certify in writing whether the attending physician had knowledge that the pregnant woman was seeking the abortion, in whole or in part, because of any of the following:
    1. The sex of the unborn child;
    2. The race, color, or national origin of the unborn child; or
    3. The diagnosis, or potential diagnosis, of Down syndrome or any other disability.
  4. The State Board of Medical Licensure shall revoke a physician’s license to practice medicine in this state if the physician violates subsection (2) of this section.
  5. The Cabinet for Health and Family Services shall revoke the license of any person, including a licensed abortion facility, who violates subsection (2) of this section.
  6. Any physician or other person who violates subsection (2) of this section is liable in a civil action for compensatory and punitive damages and reasonable attorney’s fees to any person, including an unborn child, or the representative of the estate of any person, including an unborn child, who sustains injury, death, or loss to person or property as the result of the performance or inducement or the attempted performance or inducement of the abortion. In any action under this subsection, the court also may award any injunctive or other equitable relief that the court considers appropriate.
  7. A pregnant woman on whom an abortion is performed or induced or attempted to be performed or induced in violation of subsection (2) of this section is not guilty of violating subsection (2) of this section or of attempting to commit, conspiring to commit, or complicity in committing a violation of subsection (2) of this section.
  8. If any provision of this section is held invalid, or if the application of any provision of this section to any person or circumstance is held invalid, the invalidity of that provision does not affect any other provisions or applications of this section or KRS 311.710 to 311.820 that can be given effect without the invalid provision or application, and to this end the provisions of this section and KRS 311.710 to 311.820 are severable. In particular, it is the intent of the General Assembly that any invalidity or potential invalidity of a provision of this section is not to impair the immediate and continuing enforceability of any other provisions of this section and KRS 311.710 to 311.820. It is furthermore the intent of the General Assembly that the provisions of this section are not to have the effect of repealing or limiting any other laws of this state.

HISTORY: 2019 ch. 37, § 1, effective March 19, 2019.

Legislative Research Commission Notes.

(3/19/2019). 2019 Ky. Acts ch. 37, sec. 8, provides that 2019 Ky. Acts ch. 37 may be cited as the “Human Rights of the Unborn Child and Anti-Discrimination Act.” This statute was created in Section 1 of that Act.

311.732. Performance of abortion upon a minor — Definitions — Consent requirement — Petition in District or Circuit Court — Medical emergencies.

  1. For purposes of this section the following definitions shall apply:
    1. “Minor” means any person under the age of eighteen (18);
    2. “Emancipated minor” means any minor who is or has been married or has by court order or otherwise been freed from the care, custody, and control of her parents; and
    3. “Abortion” means the use of any instrument, medicine, drug, or any other substance or device with intent to terminate the pregnancy of a woman known to be pregnant with intent other than to increase the probability of a live birth, to preserve the life or health of the child after live birth, or to remove a dead fetus.
  2. No person shall perform an abortion upon a minor unless:
    1. The attending physician or his agent secured the informed written consent of the minor and one (1) parent or legal guardian;
    2. The minor is emancipated and the attending physician or his agent has received the informed written consent of the minor; or
    3. The minor elects to petition any Circuit or District Court of the Commonwealth pursuant to subsection (3) of this section and obtain an order pursuant to subsection (4) of this section granting consent to the abortion and the attending physician or his agent has received the informed written consent of the minor.
  3. Every minor shall have the right to petition any Circuit or District Court of the Commonwealth for an order granting the right to self-consent to an abortion pursuant to the following procedures:
    1. The minor or her next friend may prepare and file a petition setting forth the request of the minor for an order of consent to an abortion;
    2. The court shall insure that the minor prepares or her next friend is given assistance in preparing and filing the petition and shall insure that the minor’s identity is kept anonymous;
    3. The minor may participate in proceedings in the court on her own behalf or through her next friend and the court shall appoint a guardian ad litem for her. The court shall advise her that she has a right to court-appointed counsel and shall provide her with such counsel upon her request;
    4. All proceedings under this section shall be anonymous and shall be given preference over other matters to insure that the court may reach a decision promptly, but in no case shall the court fail to rule within seventy-two (72) hours of the time of application, provided that the seventy-two (72) hour limitation may be extended at the request of the minor; and
    5. The court shall hold a hearing on the merits of the petition before reaching a decision. The court shall hear evidence at the hearing relating to the emotional development, maturity, intellect, and understanding of the minor; the nature, possible consequences, and alternatives to the abortion; and any other evidence that the court may find useful in determining whether the minor should be granted majority rights for the purpose of consenting to the abortion or whether the abortion is in the best interest of the minor.
  4. The court shall enter a written order, making specific factual findings and legal conclusions supporting its decision as follows:
    1. Granting the petition for an abortion if the court finds that the minor is mature and well informed enough to make the abortion decision on her own;
    2. Granting consent to the abortion if the court finds that the performance of the abortion would be in the minor’s best interest; or
    3. Deny the petition, if the court finds that the minor is immature and that performance of the abortion would not be in the minor’s best interest.
  5. Any minor shall have the right of anonymous and expedited appeal to the Court of Appeals, and that court shall give precedence over other pending matters.
  6. No fees shall be required of any minor who declares she has no sufficient funds to pursue the procedures provided by this section.
  7. The Supreme Court is respectfully requested to promulgate any rules and regulations it feels are necessary to ensure that proceedings under this section are handled in an expeditious and anonymous manner.
  8. The requirements of subsections (2), (3), and (4) of this section shall not apply when, in the best medical judgment of the physician based on the facts of the case before him, a medical emergency exists that so complicates the pregnancy as to require an immediate abortion. A physician who does not comply with subsection (2), (3), or (4) of this section due to the utilization of this exception shall certify in writing the medical indications upon which his judgment was based.
  9. A report indicating the basis for any medical judgment that warrants failure to obtain consent pursuant to this section shall be filed with the Cabinet for Health and Family Services on a form supplied by the cabinet. This report shall be confidential.
  10. Failure to obtain consent pursuant to the requirements of this section is prima facie evidence of failure to obtain informed consent and of interference with family relations in appropriate civil actions. The law of this state shall not be construed to preclude the award of exemplary damages in any appropriate civil action relevant to violations of this section. Nothing in this section shall be construed to limit the common-law rights of parents.

History. Enact. Acts 1982, ch. 342, § 6, effective July 15, 1982; 1984, ch. 111, § 132, effective July 13, 1984; 1986, ch. 375, § 1, effective July 15, 1986; 1994, ch. 253, § 1, effective July 15, 1994; 1998, ch. 426, § 542, effective July 15, 1998; 2005, ch. 99, § 588, effective June 20, 2005.

NOTES TO DECISIONS

1.Constitutionality.

Former provisions requiring the consent of the husband or, where the pregnant woman was an unmarried minor, the consent of her parent or guardian for any abortion after the first trimester unconstitutionally interfered with a woman’s right to a second trimester abortion. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ) (decided under prior law).

Acts 1982, ch. 342 is unconstitutional in light of the fact that this section prior to its 1986 amendment, and KRS 311.723 (1) and (2), 311.726 (now repealed), 311.729 (now repealed), 311.735 , and 213.055 (now repealed) are unconstitutional, and constitute almost the entire significant portions of the act. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Former subsection (4) of this section did not require a holding by the court that the abortion was in the minor’s best interest, without parental approval, but merely provided for parental consultation. That portion of subsection (4) was not unconstitutional in and of itself. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ) (decision prior to 1986 amendment).

A district court which found the two-parent consent requirement of this section unconstitutional, should have severed such language and not redrafted the language so as to avoid unconstitutionality. Eubanks v. Wilkinson, 937 F.2d 1118, 1991 U.S. App. LEXIS 13922 (6th Cir. Ky. 1991 ) (decision prior to 1994 amendment).

2.Tort Liability.

The tort liability provisions of this section and KRS 311.726 (now repealed) and 311.735 allow punitive damages and damages for emotional distress unaccompanied by physical injury. Under Kentucky law, punitive damages cannot be granted if an act is done in good faith. Likewise, emotional distress will be compensated only if it results from physical injuries. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ) (decision prior to 1986 amendment).

Since the informed consent, parental consent and husband notification requirements are unconstitutional, tort liability could not be based upon alleged violations thereof. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ) (decision prior to 1986 amendment).

3.Consent of Minor.

Severance of the two-parent consent provision of this section did not require severance of the provision that a minor must give written consent to an abortion. Eubanks v. Wilkinson, 937 F.2d 1118, 1991 U.S. App. LEXIS 13922 (6th Cir. Ky. 1991 ) (decision prior to 1994 amendment).

Research References and Practice Aids

Kentucky Bench & Bar.

Wiederstein, Closed Courtrooms and the Public’s Right of Access, Vol. 67, No. 4, July 2003, Ky. Bench & Bar 15.

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

Northern Kentucky Law Review.

Brown, Notes, Deters v. Judicial Retirement and Removal Commission: Free Speech and the Appearance of Judicial Impartiality, 22 N. Ky. L. Rev. 497 (1995).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Abortion Petition, Form 268.01.

Caldwell’s Kentucky Form Book, 5th Ed., Notice of Appeal on Denial of Self-Consent by a Minor, Form 268.03.

Caldwell’s Kentucky Form Book, 5th Ed., Order Appointing Guardian ad Litem, Form 268.02.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Abortion — Self-Consent by Minor, § 268.00.

311.733. Severability.

If any provision, word, phrase, or clause of KRS 311.732 or the application thereof to any person or circumstance shall be held invalid, such invalidity shall not affect the provisions, words, phrases, clauses, or application of KRS 311.732 which can be given effect without the invalid provision, word, phrase, clause, or application and to this end, the provisions, words, phrases, and clauses of KRS 311.732 are declared to be severable.

History. Enact. Acts 1986, ch. 375, § 3, effective July 15, 1986.

NOTES TO DECISIONS

1.Redrafting.

A District Court which found the two-parent consent requirement of KRS 311.732 unconstitutional, should have severed such language and not redrafted the language so as to avoid unconstitutionality. Eubanks v. Wilkinson, 937 F.2d 1118, 1991 U.S. App. LEXIS 13922 (6th Cir. Ky. 1991 ).

2.Consent of Minor.

Severance of the two-parent consent provision of KRS 311.732 did not require severance of the provision that a minor must give written consent to an abortion. Eubanks v. Wilkinson, 937 F.2d 1118, 1991 U.S. App. LEXIS 13922 (6th Cir. Ky. 1991 ).

311.735. Notice to spouse — Exceptions — Civil remedies.

  1. Prior to performing an abortion, the physician who is to perform the abortion or his agent shall notify, if reasonably possible, the spouse of the woman upon whom the abortion is to be performed. If it is not reasonably possible to notify the spouse prior to the abortion, the physician or his agent shall do so, if reasonably possible, within thirty (30) days of the abortion.
    1. The requirements of this section shall not apply if, before the abortion is performed, either party to a marriage has filed a petition for dissolution of marriage which has been served on the respondent; (2) (a) The requirements of this section shall not apply if, before the abortion is performed, either party to a marriage has filed a petition for dissolution of marriage which has been served on the respondent;
    2. The requirements of this section shall not apply when, in the medical judgment of the attending physician based on the particular facts of the case before him, there exists a medical emergency. In such a case, the physician shall describe the basis of his medical judgment that such an emergency exists on a form prescribed by the cabinet as required by KRS 213.101 , and the physician or his agent shall notify, if reasonably possible, the spouse of the woman upon whom the abortion was performed, within thirty (30) days of the abortion.
  2. Failure to notify a spouse as required by this section is prima facie evidence of interference with family relations in appropriate civil actions. The law of this Commonwealth shall not be construed to preclude the award of punitive damages or damages for emotional distress, even if unaccompanied by physical complications in any civil action brought pursuant to violations of this section. Nothing in this section shall be construed to limit the common law rights of a husband.

History. Enact. Acts 1982, ch. 342, § 7, effective July 15, 1982; 2019 ch. 191, § 4, effective June 27, 2019.

Compiler’s Notes.

The Attorney General has held that this section appears to be unconstitutional. See OAG 82-97 .

Legislative Research Commission Note.

(6/19/97). KRS 213.055 , which is cited within this statute, was repealed by 1990 Ky. Acts ch. 369, sec. 38, effective July 13, 1990.

NOTES TO DECISIONS

1.Constitutionality.

Acts 1982, ch. 342 is unconstitutional in light of the fact that this section and KRS 311.723(1) and (2), 311.726 (now repealed), 311.729 (now repealed), 311.732 prior to its 1986 amendment and 213.055 (now repealed) are unconstitutional, and constitute almost the entire significant portions of the act. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

The state does not have the constitutional power to require a woman to notify her husband of her decision to abort, notwithstanding the great desirability of such a notification. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

2.Tort Liability.

The tort liability provisions of this section and KRS 311.726 (now repealed) and 311.732 prior to its 1986 amendment, allow punitive damages and damages for emotional distress unaccompanied by physical injury. Under Kentucky law, punitive damages cannot be granted if an act is done in good faith. Likewise, emotional distress will be compensated only if it results from physical injuries. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Since the informed consent, parental consent and husband notification requirements are unconstitutional, tort liability could not be based upon alleged violations thereof. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Opinions of Attorney General.

This section appears to be an unconstitutional interference with a woman’s right to an abortion because: (1) the state seemingly has no compelling interest in having the spouse notified; and (2) the requirement that the spouse be notified does not seem reasonably related to the purpose of preservation and protection of maternal health. OAG 82-97 .

Research References and Practice Aids

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

311.740. Consent requirements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 255, § 4) was repealed by Acts 1982, ch. 342, § 12, effective July 15, 1982.

311.750. Performance by other than licensed physician prohibited.

Subject to the provisions of KRS 311.760(1), no person other than a licensed physician shall perform an abortion.

History. Enact. Acts 1974, ch. 255, § 5.

NOTES TO DECISIONS

1.Criminal Prosecution.

Where the defendant forced his hand up the vagina of his estranged pregnant wife with the intent to destroy the 28-30 weeks old fetus, and the allegedly viable fetus was killed and subsequently born dead, the defendant could have been criminally prosecuted for causing an abortion or for assault in the first degree on his wife, or both; however, the defendant could not be prosecuted for murder of another “person” under KRS 507.020 since that criminal homicide statute does not define “person,” and therefore, the term had to be given its common-law interpretation that is, for a “person” to be considered a murder victim that “person” had to have been previously born alive. Hollis v. Commonwealth, 652 S.W.2d 61, 1983 Ky. LEXIS 248 ( Ky. 1983 ), overruled, Commonwealth v. Morris, 142 S.W.3d 654, 2004 Ky. LEXIS 153 ( Ky. 2004 ).

2.Consent.

Some of the abortion statutes deal with the subject of “consent” by the mother; but it is nowhere expressed or implied that abortion only occurs where consent is given. Statutes dealing with criminal abortion are concerned with the situation where no consent is given or where consent is unlawful; this section would cover both such situations. Hollis v. Commonwealth, 652 S.W.2d 61, 1983 Ky. LEXIS 248 ( Ky. 1983 ), overruled, Commonwealth v. Morris, 142 S.W.3d 654, 2004 Ky. LEXIS 153 ( Ky. 2004 ).

Research References and Practice Aids

Northern Kentucky Law Review.

Note — Criminal Law — Murder — Intentional Killing of Viable Fetus Not Murder, 11 N. Ky. L. Rev. 213 (1984).

311.760. Minimum standards for performance of abortion.

An abortion may be performed in this state only under the following circumstances:

  1. During the first trimester of pregnancy by a woman upon herself upon the advice of a licensed physician or by a licensed physician.
  2. After the first trimester of pregnancy, except in cases of emergency to protect the life or health of the pregnant woman, where an abortion is permitted under other provisions of KRS 311.710 to 311.820 , by a duly licensed physician in a hospital duly licensed by the Kentucky Health Facilities and Health Services Certificate of Need and Licensure Board.

History. Enact. Acts 1974, ch. 255, § 6; 1980, ch. 64, § 1, effective June 1, 1980; 1982, ch. 342, § 9, effective July 15, 1982.

Compiler’s Notes.

Acts 1982, ch. 342 was declared unconstitutional in Eubanks v. Brown, 604 F. Supp. 141 (W.D. Ky. 1984 ).

NOTES TO DECISIONS

1.Constitutionality.

This section is unconstitutional to the extent that the abortion process is singled out for treatment different from other medical procedures performed in hospitals or other health care facilities and to the extent that hospitals which do not allow abortions may not be discriminated against when no such provision exists for hospitals which perform abortions. Wolfe v. Schroering, 388 F. Supp. 631, 1974 U.S. Dist. LEXIS 5712 (W.D. Ky. 1974 ).

The District Court invalidated the KRS 311.800 “institutional” conscience clause, in connection with this section’s requirement that post-first trimester abortions be performed in hospitals or clinics, at least as applied to public hospitals; the conscience clause may, however, constitutionally permit “private” hospitals and health care facilities and physicians, nurses and employees to refuse to perform or participate in performing abortions for ethical, moral, religious or professional reasons. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ) (decision prior to 1980 amendment of KRS 311.800 ).

In light of the record which indicated that no hospitals in Kentucky would allow second trimester abortions to be performed except for therapeutic reasons, that the plaintiff clinic performed abortions on women from five (5) states besides Kentucky and that requiring a wait of 24 hours, as required by KRS 436.023 (now repealed), after the written consent was filed to have the abortion, imposed significant financial and emotional burdens on the women, and, further, that the plaintiff clinic had performed 12,000 abortions without a fatality although it was not a licensed hospital as required by subdivision (2) of this section, the requirement of KRS 436.023 (now repealed) that no abortion can be performed prior to expiration of 24-hour period and the requirement of subdivision (2) of this section that an abortion after the first trimester can only be performed by a hospital are both unconstitutional. Wolfe v. Stumbo, 519 F. Supp. 22, 1980 U.S. Dist. LEXIS 16803 (W.D. Ky. 1980 ).

Subsection (1) of KRS 311.723 is rendered unconstitutional, not by reason of its language pertaining to necessity, but by reason of the fact that the legislature also has enacted this section, which is in conflict with subsection (1) of KRS 311.723 . Subsection (1) of KRS 311.723 states that no abortion shall be performed except by a physician, whereas this section allows abortions during the first trimester by the woman upon the advice of a physician. By drafting these two (2) sections in this manner, the legislature has subjected both the physician and the woman to confusion and uncertainty regarding their rights, since the woman’s apparent right under this section to perform the abortion herself upon the advice of a physician during the first trimester is contrary to and completely superseded by subsection (1) of KRS 311.723, which places the only right to perform an abortion in the hands of the physician. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

2.Refusal to Perform Abortion.

Although private hospitals and health care facilities may refuse to perform or participate in performing abortions for ethical, moral, religious or professional reasons, public hospitals cannot constitutionally refuse to permit the performance of abortions for such reasons. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ).

Opinions of Attorney General.

An abortion cannot be performed by a woman upon herself even during the first trimester unless it is performed on advice of a licensed physician. OAG 74-700 .

If a woman performs an abortion upon herself with the advice of a licensed physician, the liability of the physician would clearly depend upon the facts of the particular case, the standard being the same as that in every other area relating to medical malpractice. OAG 74-700 .

Research References and Practice Aids

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

311.765. Prohibition against partial-birth abortion.

No physician shall perform a partial-birth abortion.

History. Enact. Acts 1998, ch. 578, § 2, effective July 15, 1998.

311.770. Restriction on use of saline method.

After the first trimester no person shall perform the form of abortion known as the saline method of abortion.

History. Enact. Acts 1974, ch. 255, § 7.

NOTES TO DECISIONS

1.Constitutionality.

In class action by physicians challenging enforcement of state abortion statutes, this section was held invalid for restricting use of saline method at a time when one (1) alternative method was not readily available and another alternative was more dangerous than the prohibited saline method. Wolfe v. Schroering, 388 F. Supp. 631, 1974 U.S. Dist. LEXIS 5712 (W.D. Ky. 1974 ).

This section is unconstitutional in that the saline method was the only available method in the state, and thus its ban would lead to a prohibition of post-first trimester abortions. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ).

311.7701. Definitions for KRS 311.7701 to 311.7711.

As used in KRS 311.7701 to 311.7711 :

  1. “Conception” means fertilization;
  2. “Contraceptive” means a drug, device, or chemical that prevents conception;
  3. “Fertilization” has the same meaning as in KRS 311.781 ;
  4. “Fetal heartbeat” means cardiac activity or the steady and repetitive rhythmic contraction of the fetal heart within the gestational sac;
  5. “Fetus” means the human offspring developing during pregnancy from the moment of conception and includes the embryonic stage of development;
  6. “Frivolous conduct” has the same meaning as in KRS 311.784 ;
  7. “Gestational age” means the age of an unborn human individual as calculated from the first day of the last menstrual period of a pregnant woman;
  8. “Gestational sac” means the structure that comprises the extraembryonic membranes that envelop the fetus and that is typically visible by ultrasound after the fourth week of pregnancy;
  9. “Intrauterine pregnancy” means a pregnancy in which the fetus is attached to the placenta within the uterus of the pregnant woman;
  10. “Medical emergency” has the same meaning as in KRS 311.781 ;
  11. “Physician” has the same meaning as in KRS 311.720 ;
  12. “Pregnancy” means the human female reproductive condition that begins with fertilization, when the woman is carrying the developing human offspring, and that is calculated from the first day of the last menstrual period of the woman;
  13. “Serious risk of the substantial and irreversible impairment of a major bodily function” has the same meaning as in KRS 311.781 ;
  14. “Spontaneous miscarriage” means the natural or accidental termination of a pregnancy and the expulsion of the fetus, typically caused by genetic defects in the fetus or physical abnormalities in the pregnant woman;
  15. “Standard medical practice” means the degree of skill, care, and diligence that a physician of the same medical specialty would employ in like circumstances. As applied to the method used to determine the presence of a fetal heartbeat for purposes of KRS 311.7704 , “standard medical practice” includes employing the appropriate means of detection depending on the estimated gestational age of the fetus and the condition of the woman and her pregnancy; and
  16. “Unborn child” and “unborn human individual” have the same meaning as “unborn child” has in KRS 311.781 .

HISTORY: 2019 ch. 20, § 1, effective March 15, 2019.

311.7702. Findings and declarations.

The General Assembly finds and declares, according to contemporary medical research, all of the following:

  1. As many as thirty percent (30%) of natural pregnancies end in spontaneous miscarriage;
  2. Less than five percent (5%) of all natural pregnancies end in spontaneous miscarriage after detection of fetal cardiac activity;
  3. Over ninety percent (90%) of intrauterine pregnancies survive the first trimester if cardiac activity is detected in the gestational sac;
  4. Nearly ninety percent (90%) of in vitro pregnancies do not survive the first trimester where cardiac activity is not detected in the gestational sac;
  5. Fetal heartbeat, therefore, has become a key medical predictor that an unborn human individual will reach live birth;
  6. Cardiac activity begins at a biologically identifiable moment in time, normally when the fetal heart is formed in the gestational sac;
  7. The Commonwealth of Kentucky has legitimate interests from the outset of the pregnancy in protecting the health of the woman and the life of an unborn human individual who may be born; and
  8. In order to make an informed choice about whether to continue her pregnancy, the pregnant woman has a legitimate interest in knowing the likelihood of the fetus surviving to full-term birth based upon the presence of cardiac activity.

HISTORY: 2019 ch. 20, § 2, effective March 15, 2019.

311.7703. Application of KRS 311.7704, 311.7705, and 311.7706.

KRS 311.7704 , 311.7705 , and 311.7706 apply only to intrauterine pregnancies.

HISTORY: 2019 ch. 20, § 3, effective March 15, 2019.

311.7704. Determination of fetal heartbeat — Medical records — Option to view or hear heartbeat — Administrative regulations — Persons not in violation.

    1. A person who intends to perform or induce an abortion on a pregnant woman shall determine whether there is a detectable fetal heartbeat of the unborn human individual the pregnant woman is carrying. The method of determining the presence of a fetal heartbeat shall be consistent with the person’s good-faith understanding of standard medical practice, provided that if administrative regulations have been promulgated under subsection (2) of this section, the method chosen shall be one that is consistent with the regulations. (1) (a) A person who intends to perform or induce an abortion on a pregnant woman shall determine whether there is a detectable fetal heartbeat of the unborn human individual the pregnant woman is carrying. The method of determining the presence of a fetal heartbeat shall be consistent with the person’s good-faith understanding of standard medical practice, provided that if administrative regulations have been promulgated under subsection (2) of this section, the method chosen shall be one that is consistent with the regulations.
    2. The person who determines the presence or absence of a fetal heartbeat shall record in the pregnant woman’s medical record the estimated gestational age of the unborn human individual, the method used to test for a fetal heartbeat, the date and time of the test, and the results of the test.
    3. The person who performs the examination for the presence of a fetal heartbeat shall give the pregnant woman the option to view or hear the fetal heartbeat.
  1. The secretary of the Cabinet for Health and Family Services may promulgate administrative regulations specifying the appropriate methods of performing an examination for the purpose of determining the presence of a fetal heartbeat of an unborn human individual based on standard medical practice. The regulations shall require only that an examination shall be performed externally.
  2. A person is not in violation of subsection (1) or (2) of this section if:
    1. The person has performed an examination for the purpose of determining the presence of a fetal heartbeat of an unborn human individual utilizing standard medical practice;
    2. The examination does not reveal a fetal heartbeat or the person has been informed by a physician who has performed the examination for a fetal heartbeat that the examination did not reveal a fetal heartbeat; and
    3. The person notes in the pregnant woman’s medical records the procedure utilized to detect the presence of a fetal heartbeat.

HISTORY: 2019 ch. 20, § 4, effective March 15, 2019.

311.7705. Prohibition against performing or inducing abortion before determining whether fetal heartbeat exists — Exceptions — Written notation — Persons not in violation.

  1. Except as provided in subsection (2) of this section, no person shall intentionally perform or induce an abortion on a pregnant woman before determining in accordance with KRS 311.7704(1) whether the unborn human individual the pregnant woman is carrying has a detectable fetal heartbeat.
    1. Subsection (1) of this section shall not apply to a physician who performs or induces the abortion if the physician believes that a medical emergency exists that prevents compliance with subsection (1) of this section. (2) (a) Subsection (1) of this section shall not apply to a physician who performs or induces the abortion if the physician believes that a medical emergency exists that prevents compliance with subsection (1) of this section.
    2. A physician who performs or induces an abortion on a pregnant woman based on the exception in paragraph (a) of this subsection shall make written notations in the pregnant woman’s medical records of both of the following:
      1. The physician’s belief that a medical emergency necessitating the abortion existed; and
      2. The medical condition of the pregnant woman that prevented compliance with subsection (1) of this section.

        The physician shall maintain a copy of the notations in the physician’s own records for at least seven (7) years from the date the notations were made.

  2. A person is not in violation of subsection (1) of this section if the person acts in accordance with KRS 311.7704(1) and the method used to determine the presence of a fetal heartbeat does not reveal a fetal heartbeat.
  3. A pregnant woman on whom an abortion is intentionally performed or induced in violation of subsection (1) of this section is not guilty of violating subsection (1) of this section or of attempting to commit, conspiring to commit, or complicity in committing a violation of subsection (1) of this section. In addition, the pregnant woman is not subject to a civil penalty based on the abortion being performed or induced in violation of subsection (1) of this section.

HISTORY: 2019 ch. 20, § 5, effective March 15, 2019.

311.7706. Prohibition against performing or inducing abortion if fetal heartbeat detected — Exceptions — Written declaration — Persons not in violation.

  1. Except as provided in subsection (2) of this section, no person shall intentionally perform or induce an abortion on a pregnant woman with the specific intent of causing or abetting the termination of the life of the unborn human individual the pregnant woman is carrying and whose fetal heartbeat has been detected in accordance with KRS 311.7704(1).
    1. Subsection (1) of this section shall not apply to a physician who performs a medical procedure that, in the physician’s reasonable medical judgment, is designed or intended to prevent the death of the pregnant woman or to prevent a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman. (2) (a) Subsection (1) of this section shall not apply to a physician who performs a medical procedure that, in the physician’s reasonable medical judgment, is designed or intended to prevent the death of the pregnant woman or to prevent a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman.
    2. A physician who performs a medical procedure as described in paragraph (a) of this subsection shall, in writing:
      1. Declare that the medical procedure is necessary, to the best of the physician’s reasonable medical judgment, to prevent the death of the pregnant woman or to prevent a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman; and
      2. Specify the pregnant woman’s medical condition that the medical procedure is asserted to address and the medical rationale for the physician’s conclusion that the medical procedure is necessary to prevent the death of the pregnant woman or to prevent a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman.
    3. The physician shall place the written document required by paragraph (b) of this subsection in the pregnant woman’s medical records. The physician shall maintain a copy of the document in the physician’s own records for at least seven (7) years from the date the document is created.
  2. A person is not in violation of subsection (1) of this section if the person acts in accordance with KRS 311.7704(1) and the method used to determine the presence of a fetal heartbeat does not reveal a fetal heartbeat.
  3. A pregnant woman on whom an abortion is intentionally performed or induced in violation of subsection (1) of this section is not guilty of violating subsection (1) of this section or of attempting to commit, conspiring to commit, or complicity in committing a violation of subsection (1) of this section. In addition, the pregnant woman is not subject to a civil penalty based on the abortion being performed or induced in violation of subsection (1) of this section.
  4. Subsection (1) of this section shall not repeal or limit any other provision of the Kentucky Revised Statutes that restricts or regulates the performance or inducement of an abortion by a particular method or during a particular stage of a pregnancy.

HISTORY: 2019 ch. 20, § 6, effective March 15, 2019.

311.7707. Written document regarding purpose of abortion — Retention of records.

  1. The provisions of this section are independent of the requirements of KRS 311.7704 , 311.7705 , and 311.7706 .
  2. A person who performs or induces an abortion on a pregnant woman shall:
    1. If the reason for the abortion purported is to preserve the health of the pregnant woman, specify in a written document the medical condition that the abortion is asserted to address and the medical rationale for the person’s conclusion that the abortion is necessary to address that condition; or
    2. If the reason for the abortion is other than to preserve the health of the pregnant woman, specify in a written document that maternal health is not the purpose of the abortion.
  3. The person who specifies the information in the document described in subsection (2) of this section shall place the document in the pregnant woman’s medical records. The person who specifies the information shall maintain a copy of the document in the person’s own records for at least seven (7) years from the date the document is created.

HISTORY: 2019 ch. 20, § 7, effective March 15, 2019.

311.7708. Drugs, devices, and chemicals designed for contraceptive purposes.

Nothing in KRS 311.7701 to 311.7711 prohibits the sale, use, prescription, or administration of a drug, device, or chemical that is designed for contraceptive purposes.

HISTORY: 2019 ch. 20, § 8, effective March 15, 2019.

311.7709. Civil action for wrongful death of unborn child — Damages, costs, fees — Defense.

  1. A woman on whom an abortion was performed or induced in violation of KRS 311.7705(1) or 311.7706(1) may file a civil action for the wrongful death of her unborn child.
  2. A woman who prevails in an action filed under subsection (1) of this section shall receive from the person who performed or induced the abortion:
    1. Damages in an amount equal to ten thousand dollars ($10,000) or an amount determined by the trier of fact after consideration of the evidence at the mother’s election at any time prior to final judgment subject to the same defenses and requirements of proof, except any requirement of live birth, as would apply to a suit for the wrongful death of a child who had been born alive; and
    2. Court costs and reasonable attorney’s fees.
  3. A determination that KRS 311.7705(1) or 311.7706(1) is unconstitutional shall be a defense to an action filed under subsection (1) of this section alleging that the defendant violated the subsection that was determined to be unconstitutional.
  4. If the defendant in an action filed under subsection (1) of this section prevails and:
    1. The court finds that the commencement of the action constitutes frivolous conduct;
    2. The court’s finding in paragraph (a) of this subsection is not based on that court or another court determining that KRS 311.7705(1) or 311.7706(1) is unconstitutional; and
    3. The court finds that the defendant was adversely affected by the frivolous conduct;

the court shall award reasonable attorney’s fees to the defendant.

HISTORY: 2019 ch. 20, § 9, effective March 15, 2019.

311.7710. Inspection of facilities to determine compliance with reporting requirements.

The Cabinet for Health and Family Services shall inspect the medical records from any facility that performs abortions to ensure that the physicians or other persons who perform abortions at that facility are in compliance with the reporting requirements under KRS 213.101 . The facility shall make the medical records available for inspection to the Cabinet for Health and Family Services but shall not release any personal medical information in the medical records that is prohibited by law.

HISTORY: 2019 ch. 20, § 10, effective March 15, 2019.

311.7711. Effect of court order suspending enforcement — Application to court concerning constitutionality or injunction — Severability.

  1. It is the intent of the General Assembly that a court judgment or order suspending enforcement of any provision of KRS 311.7701 to 311.7711 is not to be regarded as tantamount to repeal of that provision.
    1. After the issuance of a decision by the Supreme Court of the United States overruling Roe v. Wade, 410 U.S. 113 (1973), the issuance of any other court order or judgment restoring, expanding, or clarifying the authority of states to prohibit or regulate abortion entirely or in part, or the effective date of an amendment to the Constitution of the United States restoring, expanding, or clarifying the authority of states to prohibit or regulate abortion entirely or in part, the Attorney General may apply to the pertinent state or federal court for either or both of the following: (2) (a) After the issuance of a decision by the Supreme Court of the United States overruling Roe v. Wade, 410 U.S. 113 (1973), the issuance of any other court order or judgment restoring, expanding, or clarifying the authority of states to prohibit or regulate abortion entirely or in part, or the effective date of an amendment to the Constitution of the United States restoring, expanding, or clarifying the authority of states to prohibit or regulate abortion entirely or in part, the Attorney General may apply to the pertinent state or federal court for either or both of the following:
      1. A declaration that any one (1) or more sections specified in subsection (1) of this section are constitutional; or
      2. A judgment or order lifting an injunction against the enforcement of any one (1) or more sections specified in subsection (1) of this section.
    2. If the Attorney General fails to apply for the relief described in paragraph (a) of this subsection within thirty (30) days of an event described in paragraph (a) of this subsection, any Commonwealth or county attorney may apply to the appropriate state or federal court for such relief.
  2. If any provision of KRS 311.7701 to 311.7711 is held invalid, or if the application of such provision to any person or circumstance is held invalid, the invalidity of that provision does not affect any other provisions or applications of KRS 311.7701 to 311.7711 that can be given effect without the invalid provision or application, and to this end the provisions of KRS 311.7701 to 311.7711 are severable as provided in KRS 446.090 . In particular, it is the intent of the General Assembly that:
    1. Any invalidity or potential invalidity of a provision of KRS 311.7701 to 311.7711 is not to impair the immediate and continuing enforceability of the remaining provisions; and
    2. The provisions of KRS 311.7701 to 311.7711 are not to have the effect of repealing or limiting any other laws of this state, except as specified by KRS 311.7701 to 311.7711.

HISTORY: 2019 ch. 20, § 11, effective March 15, 2019.

311.772. Prohibition against intentional termination of life of an unborn human being — Definitions — When section takes effect — Penalties not to apply to pregnant woman — Contraception — Appropriation of Medicaid funds.

  1. As used in this section:
    1. “Fertilization” means that point in time when a male human sperm penetrates the zona pellucida of a female human ovum;
    2. “Pregnant” means the human female reproductive condition of having a living unborn human being within her body throughout the entire embryonic and fetal stages of the unborn child from fertilization to full gestation and childbirth; and
    3. “Unborn human being” means an individual living member of the species homo sapiens throughout the entire embryonic and fetal stages of the unborn child from fertilization to full gestation and childbirth.
  2. The provisions of this section shall become effective immediately upon, and to the extent permitted, by the occurrence of any of the following circumstances:
    1. Any decision of the United States Supreme Court which reverses, in whole or in part, Roe v. Wade, 410 U.S. 113 (1973), thereby restoring to the Commonwealth of Kentucky the authority to prohibit abortion; or
    2. Adoption of an amendment to the United States Constitution which, in whole or in part, restores to the Commonwealth of Kentucky the authority to prohibit abortion.
    1. No person may knowingly: (3) (a) No person may knowingly:
      1. Administer to, prescribe for, procure for, or sell to any pregnant woman any medicine, drug, or other substance with the specific intent of causing or abetting the termination of the life of an unborn human being; or
      2. Use or employ any instrument or procedure upon a pregnant woman with the specific intent of causing or abetting the termination of the life of an unborn human being.
    2. Any person who violates paragraph (a) of this subsection shall be guilty of a Class D felony.
  3. The following shall not be a violation of subsection (3) of this section:
    1. For a licensed physician to perform a medical procedure necessary in reasonable medical judgment to prevent the death or substantial risk of death due to a physical condition, or to prevent the serious, permanent impairment of a life-sustaining organ of a pregnant woman. However, the physician shall make reasonable medical efforts under the circumstances to preserve both the life of the mother and the life of the unborn human being in a manner consistent with reasonable medical practice; or
    2. Medical treatment provided to the mother by a licensed physician which results in the accidental or unintentional injury or death to the unborn human being.
  4. Nothing in this section may be construed to subject the pregnant mother upon whom any abortion is performed or attempted to any criminal conviction and penalty.
  5. Nothing in this section may be construed to prohibit the sale, use, prescription, or administration of a contraceptive measure, drug, or chemical, if it is administered prior to the time when a pregnancy could be determined through conventional medical testing and if the contraceptive measure is sold, used, prescribed, or administered in accordance with manufacturer instructions.
  6. The provisions of this section shall be effective relative to the appropriation of Medicaid funds, to the extent consistent with any executive order by the President of the United States, federal statute, appropriation rider, or federal regulation that sets forth the limited circumstances in which states must fund abortion to remain eligible to receive federal Medicaid funds pursuant to 42 U.S.C. secs. 1396 et seq.

HISTORY: 2019 ch. 152, § 1, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). 2019 Ky. Acts ch. 152, sec. 2 provides that 2019 Ky. Acts ch. 152 may be cited as the “Human Life Protection Act.” This statute was created in Section 1 of that Act.

311.774. Report on prescriptions for drug or drugs to induce abortion — Information on potential reversal of effect of drugs to be included with prescription — Complications to be reported to Vital Statistics Branch.

  1. Each prescription issued for RU-486, cytotec, pitocin, mifeprex, misoprostol, or any other drug or combination of drugs for which the primary indication is the induction of abortion as defined in KRS 311.720 shall be reported on a report form provided by the cabinet within fifteen (15) days after the end of the month in which the prescription was issued.
  2. Information on the potential ability of a physician to reverse the effects of prescription drugs for which the primary indication is the induction of abortion, including where additional information about this possibility may be obtained and contact information for assistance in locating a physician who may aid in the reversal, shall be provided with each prescription issued for RU-486, cytotec, pitocin, mifeprex, misoprostol, or any other drug or combination of drugs for which the primary indication is the induction of abortion as defined in KRS 311.720 .
  3. For each abortion reported to the Vital Statistics Branch as required by KRS 213.101 , the report shall also state whether any abortion complication was known to the provider as a result of the abortion. Abortion complications to be reported shall include only the following physical or psychological conditions arising from the induction or performance of an abortion:
    1. Uterine laceration;
    2. Cervical laceration;
    3. Infection;
    4. Heavy bleeding that causes symptoms of hypovolemia or the need for a blood transfusion;
    5. Pulmonary embolism;
    6. Deep vein thrombosis;
    7. Failure to terminate the pregnancy;
    8. Incomplete abortion or retained tissue;
    9. Pelvic inflammatory disease;
    10. Missed ectopic pregnancy;
    11. Cardiac arrest;
    12. Respiratory arrest;
    13. Renal failure;
    14. Shock;
    15. Amniotic fluid embolism;
    16. Coma;
    17. Placenta Previa in subsequent pregnancies;
    18. Pre-term delivery in subsequent pregnancies;
    19. Free fluid in the abdomen;
    20. Hemolytic reaction due to the administration of ABO-incompatible blood or blood products;
    21. Hypoglycemia occurring while the patient is being treated at the abortion facility;
    22. Allergic reaction to anesthesia or abortion-inducing drugs;
    23. Psychological complications, including depression, suicidal ideation, anxiety, and sleeping disorders;
    24. Death; and
    25. Any other adverse event as defined by criteria provided in the Food and Drug Administration Safety Information and Adverse Event Reporting Program.

HISTORY: 2019 ch. 191, § 2, effective June 27, 2019.

311.780. Prohibition of abortion after viability — Exceptions.

No abortion shall be performed or prescribed knowingly after the unborn child may reasonably be expected to have reached viability, except when necessary to preserve the life or health of the woman. In those instances where an abortion is performed under this section, the person performing the abortion shall take all reasonable steps in keeping with reasonable medical practices to preserve the life and health of the child, including but not limited to KRS 311.760(2).

History. Enact. Acts 1974, ch. 255, § 8.

NOTES TO DECISIONS

1.Viability.

This section is sufficiently narrow to permit medical judgment to determine viability. Wolfe v. Schroering, 388 F. Supp. 631, 1974 U.S. Dist. LEXIS 5712 (W.D. Ky. 1974 ).

Viability of the fetus cannot be determined by the state, for the decision is a medical one that must be left to the professional medical judgment of the woman’s physician. Wolfe v. Schroering, 388 F. Supp. 631, 1974 U.S. Dist. LEXIS 5712 (W.D. Ky. 1974 ).

Research References and Practice Aids

Kentucky Law Journal.

Comments, Viability and Abortion, 64 Ky. L.J. 146 (1975-1976).

Comment, Feticide: Murder in Kentucky?, 71 Ky. L.J. 933 (1982-83).

311.781. Definitions for KRS 311.781 to 311.786.

As used in KRS 311.781 to 311.786 :

  1. “Fertilization” means the fusion of a human spermatozoon with a human ovum;
  2. “Medical emergency” means a condition that in the physician’s reasonable medical judgment, based upon the facts known to the physician at that time, so complicates the woman’s pregnancy as to necessitate the immediate performance or inducement of an abortion in order to prevent the death of the pregnant woman or to avoid a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman that delay in the performance or inducement of the abortion would create;
  3. “Pain-capable unborn child” means an unborn child of a probable post-fertilization age of twenty (20) weeks or more;
  4. “Physician” has the same meaning as in KRS 311.720 ;
  5. “Post-fertilization age” means the age of the unborn child as calculated from the fusion of a human spermatozoon with a human ovum;
  6. “Probable post-fertilization age” means, in reasonable medical judgment and with reasonable probability, the age of the unborn child, as calculated from fertilization, at the time the abortion is performed or induced or attempted to be performed or induced;
  7. “Reasonable medical judgment” means a medical judgment that would be made by a reasonably prudent physician, knowledgeable about the case and the treatment possibilities with respect to the medical conditions involved;
  8. “Serious risk of the substantial and irreversible impairment of a major bodily function” means any medically diagnosed condition that so complicates the pregnancy of the woman as to directly or indirectly cause the substantial and irreversible impairment of a major bodily function. A medically diagnosed condition that constitutes a “serious risk of the substantial and irreversible impairment of a major bodily function” includes pre-eclampsia, inevitable abortion, and premature rupture of the membranes, but does not include a condition related to the woman’s mental health; and
  9. “Unborn child” means an individual organism of the species homo sapiens from fertilization until live birth.

HISTORY: 2017 ch. 5, § 1, effective January 9, 2017.

Compiler’s Notes.

This section appears to change “Definition” to “Definitions” in the catchline.

311.782. Prohibition against performing or inducing abortion when probable post-fertilization age of unborn child is twenty weeks or more — Affirmative defenses — Penalties for violation.

  1. No person shall intentionally perform or induce or intentionally attempt to perform or induce an abortion on a pregnant woman when the probable post-fertilization age of the unborn child is twenty (20) weeks or greater.
  2. It shall be an affirmative defense to a charge under subsection (1) of this section that the abortion was intentionally performed or induced or intentionally attempted to be performed or induced by a physician and that the physician determined, in the physician’s reasonable medical judgment, based on the facts known to the physician at that time, that either of the following applied:
    1. The probable post-fertilization age of the unborn child was less than twenty (20) weeks; or
    2. The abortion was necessary to prevent the death of the pregnant woman or to avoid a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman. No abortion shall be necessary if it is based on a claim or diagnosis that the pregnant woman will engage in conduct that would result in her death or in substantial and irreversible impairment of a major bodily function or if it is based on any reason related to her mental health.
    1. Except when a medical emergency exists that prevents compliance with KRS 311.783 , the affirmative defense set forth in subsection (2)(a) of this section does not apply unless the physician who intentionally performs or induces or intentionally attempts to perform or induce the abortion makes a determination of the probable post-fertilization age of the unborn child as required by KRS 311.783 (1) or relied upon such a determination made by another physician and certifies in writing, based on the results of the tests performed, that in the physician’s reasonable medical judgment the unborn child’s probable post-fertilization age is less than twenty (20) weeks. (3) (a) Except when a medical emergency exists that prevents compliance with KRS 311.783, the affirmative defense set forth in subsection (2)(a) of this section does not apply unless the physician who intentionally performs or induces or intentionally attempts to perform or induce the abortion makes a determination of the probable post-fertilization age of the unborn child as required by KRS 311.783(1) or relied upon such a determination made by another physician and certifies in writing, based on the results of the tests performed, that in the physician’s reasonable medical judgment the unborn child’s probable post-fertilization age is less than twenty (20) weeks.
    2. Except when a medical emergency exists that prevents compliance with one (1) or more of the following conditions, the affirmative defense set forth in subsection (2)(b) of this section does not apply unless the physician who intentionally performs or induces or intentionally attempts to perform or induce the abortion complies with all of the following conditions:
      1. The physician who intentionally performs or induces or intentionally attempts to perform or induce the abortion certifies in writing that, in the physician’s reasonable medical judgment, based on the facts known to the physician at that time, the abortion is necessary to prevent the death of the pregnant woman or to avoid a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman;
      2. A different physician not professionally related to the physician described in subparagraph 1. of this paragraph certifies in writing that, in that different physician’s reasonable medical judgment, based on the facts known to that different physician at that time, the abortion is necessary to prevent the death of the pregnant woman or to avoid a serious risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman;
      3. The physician intentionally performs or induces or intentionally attempts to perform or induce the abortion in a hospital or other health care facility that has appropriate neonatal services for premature infants;
      4. The physician who intentionally performs or induces or intentionally attempts to perform or induce the abortion terminates or attempts to terminate the pregnancy in the manner that provides the best opportunity for the unborn child to survive, unless that physician determines, in the physician’s reasonable medical judgment, based on the facts known to the physician at that time, that the termination of the pregnancy in that manner poses a greater risk of death of the pregnant woman or a greater risk of the substantial and irreversible impairment of a major bodily function of the pregnant woman than would other available methods of abortion;
      5. The physician certifies in writing the available method or techniques considered and the reasons for choosing the method or technique employed; and
      6. The physician who intentionally performs or induces or intentionally attempts to perform or induce the abortion has arranged for the attendance in the same room in which the abortion is to be performed or induced or attempted to be performed or induced at least one (1) other physician who is to take control of, provide immediate medical care for, and take all reasonable steps necessary to preserve the life and health of the unborn child immediately upon the child’s complete expulsion or extraction from the pregnant woman.
  3. The state Board of Medical Licensure shall revoke a physician’s license to practice medicine in this state if the physician violates or fails to comply with this section.
  4. Any physician who intentionally performs or induces or intentionally attempts to perform or induce an abortion on a pregnant woman with actual knowledge that neither of the affirmative defenses set forth in subsection (2) of this section applies, or with a heedless indifference as to whether either affirmative defense applies, is liable in a civil action for compensatory and punitive damages and reasonable attorney’s fees to any person, or the representative of the estate of any person including but not limited to an unborn child, who sustains injury, death, or loss to person or property as the result of the performance or inducement or the attempted performance or inducement of the abortion. In any action under this subsection, the court also may award any injunctive or other equitable relief that the court considers appropriate.
  5. A pregnant woman on whom an abortion is intentionally performed or induced or intentionally attempted to be performed or induced in violation of subsection (1) of this section is not guilty of violating subsection (1) of this section or of attempting to commit, conspiring to commit, or complicity in committing a violation of subsection (1) of this section.

HISTORY: 2017 ch. 5, § 2, effective January 9, 2017.

311.783. Required determination of unborn child’s probable post-fertilization age prior to abortion — Penalty for violation.

  1. Except in a medical emergency that prevents compliance with this section, no physician shall intentionally perform or induce or intentionally attempt to perform or induce an abortion on a pregnant woman unless, prior to the performance or inducement of the abortion or the attempt to perform or induce the abortion, the physician determines, in the physician’s reasonable medical judgment, the unborn child’s probable post-fertilization age. The physician shall make that determination after making inquiries of the pregnant woman and performing any medical examinations or tests of the pregnant woman the physician considers necessary as a reasonably prudent physician, knowledgeable about the case and medical conditions involved, would consider necessary to determine the unborn child’s probable post-fertilization age.
  2. Except in a medical emergency that prevents compliance with this section, no physician shall intentionally perform or induce or intentionally attempt to perform or induce an abortion on a pregnant woman after the unborn child reaches the probable post-fertilization age of twenty (20) weeks without first entering the determination made in subsection (1) of this section and the associated findings of the medical examination and tests in the medical record of the pregnant woman.
  3. The state Board of Medical Licensure shall suspend a physician’s license to practice medicine in this state for a period of not less than six (6) months if the physician violates this section.

HISTORY: 2017 ch. 5, § 3, effective January 9, 2017.

311.784. Authorized civil action for violation of KRS 311.782.

  1. As used in this section:
    1. “Conduct” means the:
      1. Filing of a civil action;
      2. Assertion of a claim, defense, or other position in connection with a civil action;
      3. Filing of a pleading, motion, or other document in a civil action, including but not limited to a motion filed for discovery purposes; or
      4. Taking of any other action in connection with a civil action; and
    2. “Frivolous conduct” means the conduct of a party to a civil action or a party’s counsel of record in a civil action that:
      1. Obviously serves merely to harass or maliciously injure another party to the civil action or is for another improper purpose, including but not limited to causing unnecessary delay or a needless increase in the cost of litigation;
      2. Is not warranted under existing law, cannot be supported by a good- faith argument for an extension, modification, or reversal of existing law, or cannot be supported by a good-faith argument for the establishment of new law;
      3. Consists of allegations or other factual contentions that have no evidentiary support or, if specifically so identified, are not likely to have evidentiary support after a reasonable opportunity for further investigation or discovery; or
      4. Consists of denials or other factual contentions that are not warranted by the evidence or, if specifically so identified, are not reasonably based on a lack of information or belief.
  2. Any woman upon whom an abortion has been performed in violation of 311.782 , or the father of the unborn child who was the subject of such an abortion, may commence a civil action against the person who intentionally violated KRS 311.782 for actual and punitive damages, court costs, and reasonable attorney’s fees.
  3. If a judgment is rendered in favor of the defendant in a civil action commenced pursuant to subsection (2) of this section and the court finds that the civil action constitutes frivolous conduct and that the defendant was adversely affected by the frivolous conduct, the court shall award reasonable attorney’s fees to the defendant.

HISTORY: 2017 ch. 5, § 4, effective January 9, 2017.

311.785. Kentucky pain-capable unborn child protection litigation fund.

  1. The Kentucky pain-capable unborn child protection litigation fund is created as a trust fund. The trust fund shall consist of appropriations, donations, gifts, or grants made to the fund and shall be used by the state to pay for any costs or expenses incurred by the state in relation to actions surrounding the defense of KRS 213.101 , 311.595 , 311.781 to 311.786 , 311.990 , and 413.140 . Funds shall be distributed as directed by the Finance and Administration Cabinet.
  2. Notwithstanding KRS 45.229 , any moneys remaining in the trust fund at the close of the fiscal year shall not lapse but shall be carried forward to the next fiscal year.
  3. Any interest earned on the trust fund shall be credited to the trust fund.
  4. Moneys in the trust fund are hereby appropriated for the purposes set forth in subsection (1) of this section.

HISTORY: 2017 ch. 5, § 5, effective January 9, 2017.

311.786. Construction of KRS 213.101, 311.595, 311.781 to 311.786, 311.990, and 413.140.

KRS 213.101 , 311.595 , 311.781 to 311.786 , 311.990 , and 413.140 shall not be construed to repeal, by implication or otherwise, any law regulating or restricting abortion. An abortion that complies with KRS 213.101 , 311.595 , 311.781 to 311.786 , 311.990 , and 413.140 but violates any otherwise applicable provision of state law shall be deemed unlawful as provided in such provision. An abortion that complies with the provisions of state law regulating or restricting abortion but violates the provisions of KRS 213.101, 311.595, 311.781 to 311.786, 311.990, and 413.140 shall be deemed unlawful as provided in those sections. If some or all of the provisions of KRS 213.101, 311.595, 311.781 to 311.786, 311.990, and 413.140 are temporarily or permanently restrained or enjoined by judicial order, all other provisions of state law regulating or restricting abortion shall be enforced as though such restrained or enjoined provisions had not been adopted. But, whenever such temporary or permanent restraining order or injunction is stayed or dissolved, or otherwise ceases to have effect, such provisions shall have full force and effect.

HISTORY: 2017 ch. 5, § 6, effective January 9, 2017.

311.787. Prohibit certain abortion procedures when the probable post-fertilization age of the unborn child is 11 weeks or greater, except in the case of a medical emergency — Penalty not to apply to pregnant woman — Class D felony.

  1. As used in this section:
    1. “Bodily dismemberment, crushing, or human vivisection” means a procedure in which a person, with the purpose of causing the death of an unborn child, dismembers the living unborn child and extracts portions, pieces, or limbs of the unborn child from the uterus through the use of clamps, grasping forceps, tongs, scissors, or a similar instrument that, through the convergence of two (2) rigid levers, slices, crushes, or grasps, or performs any combination of those actions on, any portion, piece, or limb of the unborn child’s body to cut or separate the portion, piece, or limb from the body. The term includes a procedure that is used to cause the death of an unborn child and in which suction is subsequently used to extract portions, pieces, or limbs of the unborn child after the unborn child’s death;
    2. “Medical emergency” has the same meaning as in KRS 311.720 ;
    3. “Probable post-fertilization age” has the same meaning as in KRS 311.781 ; and
    4. “Unborn child” has the same meaning as in KRS 311.781 .
  2. No person shall intentionally perform or induce or attempt to perform or induce an abortion on a pregnant woman:
    1. That will result in the bodily dismemberment, crushing, or human vivisection of the unborn child; and
    2. When the probable post-fertilization age of the unborn child is eleven (11) weeks or greater;

      except in the case of a medical emergency.

  3. A pregnant woman on whom an abortion is performed or induced or attempted to be performed or induced in violation of subsection (2) of this section is not guilty of violating subsection (2) of this section or of attempting to commit, conspiring to commit, or complicity in committing a violation of subsection (2) of this section.

HISTORY: 2018 ch. 142, § 1, effective July 14, 2018.

311.790. Issuance of birth and death certificates for live-born child after attempted abortion.

Any child which is live born after an induced termination of pregnancy shall be fully recognized as a human person under the law and a birth certificate shall be issued certifying the birth of the live-born person even though the person may die thereafter. In the event death does ensue, a death certificate shall be issued. Both the birth and death certificates shall be issued as required by KRS 213.046 , 213.051 , and 213.076 .

History. Enact. Acts 1974, ch. 255, § 9; 1990, ch. 369, § 36, effective July 13, 1990.

Research References and Practice Aids

Cross-References.

Sale or transfer of viable aborted child for use in experimentation prohibited, KRS 436.026 .

311.800. Abortions in publicly owned hospital or health care facility prohibited — Exception — Injunction to enforce compliance — Abortions in private hospital or health care facility — Unlawful discriminatory practices.

  1. No publicly owned hospital or other publicly owned health care facility shall perform or permit the performance of abortions, except to save the life of the pregnant woman.
  2. In the event that a publicly owned hospital or publicly owned health facility is performing or about to perform an abortion in violation of subsection (1) of this section, and law enforcement authorities in the county have failed or refused to take action to stop such a practice, any resident of the county in which the hospital or health facility is located, may apply to the Circuit Court of that county for an injunction or other court process to require compliance with subsection (1) of this section.
  3. No private hospital or private health care facility shall be required to, or held liable for refusal to, perform or permit the performance of abortion contrary to its stated ethical policy.
  4. No physician, nurse staff member or employee of a public or private hospital or employee of a public or private health care facility, who shall state in writing to such hospital or health care facility his objection to performing, participating in, or cooperating in, abortion on moral, religious or professional grounds, be required to, or held liable for refusal to, perform, participate in, or cooperate in such abortion.
  5. It shall be an unlawful discriminatory practice for the following:
    1. Any person to impose penalties or take disciplinary action against, or to deny or limit public funds, licenses, certifications, degrees, or other approvals or documents of qualification to, any hospital or other health care facility due to the refusal of such hospital or health care facility to perform or permit to be performed, participate in, or cooperate in, abortion by reason of objection thereto on moral, religious or professional grounds, or because of any statement or other manifestation of attitude by such hospital or health care facility with respect to abortion; or,
    2. Any person to impose penalties or take disciplinary action against, or to deny or limit public funds, licenses, certifications, degrees, or other approvals or documents of qualification to any physician, nurse or staff member or employee of any hospital or health care facility, due to the willingness or refusal of such physician, nurse or staff member or employee to perform or participate in abortion by reason of objection thereto on moral, religious or professional grounds, or because of any statement or other manifestation of attitude by such physician, nurse or staff member or employee with respect to abortion; or,
    3. Any public or private agency, institution or person, including a medical, nursing or other school, to deny admission to, impose any burdens in terms of conditions of employment upon, or otherwise discriminate against any applicant for admission thereto or any physician, nurse, staff member, student or employee thereof, on account of the willingness or refusal of such applicant, physician, nurse, staff member, student or employee to perform or participate in abortion or sterilization by reason of objection thereto on moral, religious or professional grounds, or because of any statement or other manifestation of attitude by such person with respect to abortion or sterilization if that health care facility is not operated exclusively for the purposes of performing abortions or sterilizations.

History. Enact. Acts 1974, ch. 255, § 11; 1980, ch. 225, § 1, effective July 15, 1980.

NOTES TO DECISIONS

1.Constitutionality.

The District Court invalidated this statute in connection with KRS 311.760(2) which required that post-first trimester abortions be performed in hospitals or clinics, at least as applied to public hospitals; the conscience clause may, however, constitutionally permit “private” hospitals and health care facilities and physicians, nurses and employees to refuse to perform or participate in performing abortions for ethical, moral, religious or professional reasons. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ) (decision prior to 1980 amendment).

Private hospitals and physicians may constitutionally refuse to perform or participate in performing abortions but public hospitals may not refuse the performance of abortions. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ).

2.Refusal to Perform Abortion.

Although private hospitals and health care facilities may refuse to perform or participate in performing abortions for ethical, moral, religious or professional reasons, public hospitals cannot constitutionally refuse to permit the performance of abortions for such reasons. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ).

Opinions of Attorney General.

Subsection (1) of this section, which prohibits the performance of abortions in public hospitals or public health care facilities except to save the life of the pregnant woman, is constitutionally invalid. OAG 87-8 .

311.810. Discrimination for refusal to submit to abortion prohibited.

No woman may be denied governmental assistance or be otherwise discriminated against or otherwise subjected to coercion in any way for accepting or refusing to accept or submit to an abortion, which she may do or not do for any reason without explanation.

History. Enact. Acts 1974, ch. 255, § 12.

311.820. Abortion referral or counseling agency not to charge fee — Penalty.

  1. As used in this section, an abortion referral or counseling agency is any person, group, or organization, whether funded publicly or privately, that provides advice or help to persons in obtaining abortions.
  2. No abortion referral or counseling agency shall charge or accept any fee, kickback, or compensation of any nature from a physician, hospital, clinic or other medical facility for referring a person thereto for an abortion.

History. Enact. Acts 1978, ch. 281, § 1, effective June 17, 1978.

311.821. Definitions for KRS 311.821 to 311.827.

As used in KRS 311.821 to 311.827 :

  1. “Abortion” has the same meaning as in KRS 311.720 . However, as used in KRS 311.821 to 311.827 , an abortion shall not include the use of any means to terminate the pregnancy of a woman if done with an intent to:
    1. Save the life or preserve the health of the unborn child;
    2. Remove a dead unborn child caused by spontaneous abortion; or
    3. Remove an ectopic pregnancy;
  2. “Advanced practice registered nurse” has the same meaning as in KRS 314.011 ;
  3. “Born-alive” or “live birth” means the complete expulsion or extraction of an infant from his or her mother, regardless of the state of gestational development, who, after expulsion or extraction, whether or not the umbilical cord has been cut or the placenta is attached, and regardless of whether the expulsion or extraction occurs as a result of natural or induced labor, cesarean section, or induced abortion, shows any evidence of life, including but not limited to one (1) or more of the following:
    1. Breathing;
    2. A heartbeat;
    3. Umbilical cord pulsation; or
    4. Definite movement of voluntary muscles;
  4. “Consent” means the voluntary agreement or acquiescence by a person of age and with the requisite mental capacity who is not under duress or coercion and who has knowledge or understanding of the act or action to which he or she has agreed or acquiesced;
  5. “Healthcare provider” means any individual who may be asked to participate in any way in a healthcare service, including but not limited to a physician; physician assistant; advanced practice registered nurse; nurse; nurse’s aide; medical assistant; hospital employee; clinic employee; nursing home employee; pharmacist; pharmacy employee; researcher; medical or nursing school faculty or employee; or any professional, paraprofessional, or any other person who furnishes or assists in the furnishing of healthcare services;
  6. “Infant” means a child of the species homo sapiens who has been completely expulsed or extracted from his or her mother, regardless of the stage of gestational development, until the age of thirty (30) days post birth;
  7. “Medical facility” means any public or private hospital, clinic, center, medical school, medical training institution, healthcare facility, physician’s office, infirmary, dispensary, ambulatory surgical treatment center, or other institution or location where medical care is provided to any person;
  8. “Nurse” has the same meaning as in KRS 314.011 ;
  9. “Physician” has the same meaning as in KRS 311.720 ;
  10. “Physician assistant” has the same meaning as in KRS 311.840 ; and
  11. “Unborn child” has the same meaning as in KRS 311.781 .

HISTORY: 2021 ch. 1, § 1, effective January 22, 2021.

Legislative Research Commission Notes.

(1/29/2021). 2021 Ky. Acts ch. 1, sec. 13 provided that that act, which contains KRS 311.821 to 311.827 , 311.595 , 311.850 , 311.990 , 314.091 , and 315.121 , may be cited as the Born-Alive Infant Protection Act and as the Avacyn Act.

311.822. Legislative findings — Purposes of KRS 311.821 to 311.827.

  1. The General Assembly of the Commonwealth of Kentucky hereby finds that:
    1. The Commonwealth of Kentucky has a paramount interest in protecting all human life;
    2. If an attempted abortion results in the live birth of an infant, the infant is a legal person for all purposes under the laws of this Commonwealth;
    3. Irrespective of the status of court challenges to Kentucky statutes protecting unborn children from abortion, it is not an infringement on a woman’s asserted right to terminate her pregnancy for this Commonwealth to affirm its interest in protecting an infant whose live birth occurred as the result of an attempted abortion; and
    4. Without proper legal protection, newly born infants who survive attempted abortions may be denied appropriate life-saving or life-sustaining medical care and treatment and may be left to die.
  2. Based on the findings in subsection (1) of this section, the purposes of KRS 311.821 to 311.827 are to:
    1. Ensure the protection and promotion of the health and well-being of all infants born-alive in this Commonwealth; and
    2. Mandate that healthcare providers give medically appropriate and reasonable life-saving and life-sustaining medical care and treatment to all born-alive infants.

HISTORY: 2021 ch. 1, § 2, effective January 22, 2021.

311.823. Denying or depriving a born-alive infant of care or treatment — Duty of physician performing abortion — Born-alive infant to be treated as legal person — Born-alive infant to become ward of state if parent seeks to terminate parental rights — Construction of section’s requirements — Limitation of parent’s criminal and civil liability.

  1. A person shall not deny or deprive a born-alive infant of:
    1. Nourishment with the intent to cause or allow the death of the infant for any reason, including but not limited to:
      1. The infant was born with a disability;
      2. The infant is not wanted by the parent or guardian; or
      3. The infant is born-alive by natural or artificial means; or
    2. Medically appropriate and reasonable medical care, medical treatment, or surgical care.
    1. A physician performing an abortion shall take all medically appropriate and reasonable steps to preserve the life and health of a born-alive infant. If an abortion performed in a: (2) (a) A physician performing an abortion shall take all medically appropriate and reasonable steps to preserve the life and health of a born-alive infant. If an abortion performed in a:
      1. Hospital results in a live birth, the physician attending the abortion shall provide immediate medical care to the infant, inform the mother of the live birth, and request transfer of the infant to an on-duty resident or emergency care physician who shall provide medically appropriate and reasonable medical care and treatment to the infant; or
      2. Medical facility other than a hospital results in a live birth, the physician attending the abortion shall provide immediate medical care to the infant and call 911 for an emergency transfer of the infant to a hospital that shall provide medically appropriate and reasonable medical care and treatment to the infant.
    2. If the physician is unable to perform the duties in paragraph (a) of this subsection because he or she is assisting the woman on whom the abortion was performed, then an attending physician assistant, advanced practice registered nurse, nurse, or other healthcare provider shall assume the duties outlined in paragraph (a) of this subsection.
  2. Any born-alive infant, including one born in the course of an abortion procedure, shall be treated as a legal person under the laws of this Commonwealth, with the same rights to medically appropriate and reasonable care and treatment. After birth, a birth certificate shall be issued and, if death occurs after birth, a death certificate shall be issued.
  3. If the parent of a born-alive infant files a petition for voluntary termination of parental rights in accordance with KRS 625.040 because she or he does not wish to keep the infant, the born-alive infant shall become a ward of the Cabinet for Health and Family Services.
    1. The requirements of this section shall not be construed to prevent a born-alive infant’s parent or guardian from refusing to give consent to medical care, medical treatment, or surgical care which is not medically appropriate or reasonable, including care or treatment that: (5) (a) The requirements of this section shall not be construed to prevent a born-alive infant’s parent or guardian from refusing to give consent to medical care, medical treatment, or surgical care which is not medically appropriate or reasonable, including care or treatment that:
      1. Is not necessary to save the life of the infant;
      2. Has a potential risk to the infant’s life or health that outweighs the potential benefit of the medical care or treatment; or
      3. Will do no more than temporarily prolong the act of dying when death is imminent.
    2. The parent or guardian of a born-alive infant shall not be held criminally or civilly liable for the actions of a physician, physician assistant, advanced practice registered nurse, nurse, or other healthcare provider that are in violation of this section and to which the parent or guardian did not give consent.

HISTORY: 2021 ch. 1, § 3, effective January 22, 2021.

311.824. Additional remedies for failure to comply with KRS 311.823.

In addition to whatever remedies are available under the laws of this Commonwealth, failure to comply with the requirements of KRS 311.823 shall:

  1. Provide a basis for a civil action for compensatory and punitive damages. Any conviction under KRS 311.823 shall be admissible in a civil suit as prima facie evidence of a failure to provide medically appropriate and reasonable medical care and treatment to a born-alive infant. Any civil action may be based on a claim that the death of or injury to the born-alive infant was a result of simple negligence, gross negligence, wantonness, willfulness, intentional conduct, or another violation of the legal standard of care;
  2. Provide a basis for professional disciplinary action for the suspension or revocation of the license of a physician, physician assistant, advanced practice registered nurse, nurse, or pharmacist. A conviction of any physician, physician assistant, advanced practice registered nurse, nurse, or pharmacist for failure to comply with KRS 311.823 (2) shall result in the automatic suspension of his or her license for a period of at least one (1) year and the license shall be reinstated after that time only under such conditions as the licensing body shall require to ensure compliance with KRS 311.823 ; and
  3. Provide a basis for recovery for the parent of the infant, or the parent or guardian of the mother if the mother is a minor, for the wrongful death of the infant, whether or not the infant was viable at the time the attempted abortion was performed.

HISTORY: 2021 ch. 1, § 4, effective January 22, 2021.

311.825. Construction of KRS 311.821 to 311.827.

Nothing in KRS 311.821 to 311.827 shall be construed:

  1. To affirm, deny, expand, or contract any legal status or legal right applicable to any member of the species homo sapiens at any point prior to being born alive;
  2. To affect existing federal or state law regarding abortion;
  3. As creating or recognizing a right to abortion; or
  4. To alter generally accepted medical standards.

HISTORY: 2021 ch. 1, § 5, effective January 22, 2021.

311.826. Provision of KRS 311.821 to 311.827 held to be invalid or unenforceable to be given maximum effect permitted by law — Severability.

Any provision of KRS 311.821 to 311.827 held to be invalid or unenforceable by its terms, or as applied to any person or circumstance, shall be construed so as to give it the maximum effect permitted by law, unless such holding shall be one of utter invalidity or unenforceability, in which event the provision shall be deemed severable and shall not affect the remainder or the application of such provision to other persons not similarly situated or to other dissimilar circumstances.

HISTORY: 2021 ch. 1, § 6, effective January 22, 2021.

311.827. Appointment of legislative sponsors to intervene in constitutional challenge — No waiver or diminishment of rights of legislative branch personnel.

  1. The General Assembly, by joint resolution, may appoint one (1) or more of its members, who sponsored or cosponsored 2021 Regular Session SB 9, 2021 Ky. Acts ch. 1, in his or her official capacity, to intervene as a matter of right in any case in which the constitutionality of this law is challenged.
  2. Nothing in this section shall be construed as a waiver or diminishment of any constitutional, common law, or statutory defenses, privileges, or immunities that may apply to any legislator, legislative staff, legislative agency or entity, or the legislative branch.

HISTORY: 2021 ch. 1, § 7, effective January 22, 2021.

311.830. Severability.

If any section of this chapter or any part of any section shall be invalid or unconstitutional, the declaration of such invalidity shall not affect the validity of the remaining portions thereof.

History. Enact. Acts 1982, ch. 342, § 11, effective July 15, 1982.

NOTES TO DECISIONS

1.Constitutionality.

Acts 1982, ch. 342 is unconstitutional in light of the fact that KRS 311.732 prior to its 1986 amendment, KRS 311.723(1) and (2), 311.726 (now repealed), 311.729 (now repealed), 311.735 and 213.055 (now repealed) are unconstitutional and constitute almost the entire significant proportions of the act. Eubanks v. Brown, 604 F. Supp. 141, 1984 U.S. Dist. LEXIS 23699 (W.D. Ky. 1984 ).

Research References and Practice Aids

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Abortion — Self-Consent by Minor, § 268.00.

Physician Assistants

311.840. Definitions for KRS 311.840 to 311.862.

As used in KRS 311.840 to 311.862 :

  1. “Board” means the Kentucky Board of Medical Licensure;
  2. “Complaint” means a formal administrative pleading that sets forth charges against a physician assistant and commences a formal disciplinary proceeding;
  3. “Physician assistant” means a person licensed under KRS 311.840 to 311.862 who:
    1. Has graduated from a physician assistant or surgeon assistant program accredited by the Accreditation Review Commission on Education for Physician Assistants or its predecessor or successor agencies and has passed the certifying examination administered by the National Commission on Certification of Physician Assistants or its predecessor or successor agencies; or
    2. Possesses a current physician assistant certificate issued by the board prior to July 15, 2002;
  4. “Supervising physician” means a physician licensed by the board who supervises one (1) or more physician assistants;
  5. “Supervising physician in anesthesia” means a physician licensed by the board who has completed postgraduate training in anesthesiology at an anesthesiology program accredited by the Accreditation Council for Graduate Medical Education or its equivalent; and
  6. “Supervision” means overseeing the activities of and accepting of responsibility for the medical services rendered by a physician assistant. Each team of physicians and physician assistants shall ensure that the delegation of medical tasks is appropriate to the physician assistant’s level of training and experience, that the identifications of and access to the supervising physician are clearly defined, and that a process for evaluation of the physician assistant’s performance is established.

History. Enact. Acts 2002, ch. 130, § 23, effective July 15, 2002; 2006, ch. 78, § 1, effective July 12, 2006.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.842. Administrative regulations — Physicians Assistant Advisory Committee — Physician assistant students.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to the licensing and regulation of physician assistants, including but not limited to:
    1. Temporary licensing;
    2. Professional standards for prescribing and administering controlled substances; and
    3. Professional standards for prescribing or administering Buprenorphine-Mono-Product or Buprenorphine-Combined-with-Naloxone.
  2. The board shall establish a nine (9) member Physician Assistant Advisory Committee that shall review and make recommendations to the board regarding all matters relating to physician assistants that come before the board, including but not limited to:
    1. Applications for physician assistant licensing;
    2. Licensing renewal requirements;
    3. Approval of supervising physicians;
    4. Disciplinary actions; and
    5. Promulgation and revision of administrative regulations.
  3. Members of the Physician Assistant Advisory Committee shall be appointed by the board for four (4) year terms and shall consist of:
    1. Five (5) practicing physician assistants;
    2. Two (2) supervising physicians;
    3. One (1) member of the board; and
    4. One (1) citizen at large.
  4. The chairperson of the committee shall be elected by a majority vote of the committee members and shall be responsible for presiding over meetings that shall be held on a regular basis.
  5. Members shall receive reimbursement for expenditures relating to attendance at committee meetings consistent with state policies for reimbursement of travel expenses for state employees.
  6. Nothing in this chapter shall be construed to require licensing of a physician assistant student enrolled in a physician assistant or surgeon assistant program accredited by the Accreditation Review Commission on Education for Physician Assistants or its successor agencies or of a physician assistant employed in the service of the federal government while performing duties relating to that employment.

History. Enact. Acts 2002, ch. 130, § 24, effective July 15, 2002; 2006, ch. 78, § 2, effective July 12, 2006; 2020 ch. 39, § 1, effective July 15, 2020.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

(7/12/2006). 2006 Ky. Acts ch. 78, secs. 1 to 10, amend sections in KRS 311.840 to 311.862 to replace certification requirements for physician assistants with licensure requirements. Although this section was included in the Act and most of the references in it were changed from “certification” to “licensing,” one reference in subsection (6) was overlooked and has been corrected in codification by the Reviser of Statutes under KRS 7.136(1).

311.844. Licensing of physician assistants — Requirements — Endorsement from other state — Renewal of license — Continuing education.

  1. To be licensed by the board as a physician assistant, an applicant shall:
    1. Submit a completed application form with the required fee;
    2. Be of good character and reputation;
    3. Be a graduate of an approved program; and
    4. Have passed an examination approved by the board within three (3) attempts.
  2. A physician assistant who is authorized to practice in another state and who is in good standing may apply for licensure by endorsement from the state of his or her credentialing if that state has standards substantially equivalent to those of this Commonwealth.
  3. A physician assistant’s license shall be valid for two (2) years and shall be renewed by the board upon fulfillment of the following requirements:
    1. The holder shall be of good character and reputation;
    2. The holder shall provide evidence of completion, during the previous two (2) years, of a minimum of one hundred (100) hours of continuing education approved by the American Medical Association, the American Osteopathic Association, the American Academy of Family Physicians, the American Academy of Physician Assistants, or by another entity approved by the board. The one hundred (100) hours of continuing education required by this paragraph shall include:
      1. During the first two (2) years of licensure or prior to the first licensure renewal:
        1. One (1) continuing education course on the human immunodeficiency virus and acquired immunodeficiency syndrome; and
        2. One and one-half (1.5) hours of continuing education in the prevention and recognition of pediatric abusive head trauma, as defined in KRS 620.020 ; and
      2. If the license holder is authorized, pursuant to KRS 311.858(5), to prescribe and administer Schedule III, IV, or V controlled substances, a minimum of seven and one-half (7.5) hours of approved continuing education relating to controlled substance diversion, pain management, addiction disorders, use of the electronic system for monitoring controlled substances established in KRS 218A.202 , or any combination of two (2) or more of these subjects; and
    3. The holder shall provide proof of current certification with the National Commission on Certification of Physician Assistants.

History. Enact. Acts 2002, ch. 130, § 25, effective July 15, 2002; 2006, ch. 78, § 3, effective July 12, 2006; 2010, ch. 171, § 11, effective July 15, 2010; 2015 ch. 113, § 7, effective June 24, 2015; 2020 ch. 39, § 2, effective July 15, 2020; 2021 ch. 70, § 1, effective June 29, 2021.

Legislative Research Commission Notes.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.845. Temporary licensing of physician assistants — Cancellation.

  1. Whenever, in the opinion of the executive director, based upon verified information contained in the application, an applicant for a license to practice as a physician assistant is eligible therefor under subsections (1) and (2) of KRS 311.844 , the executive director may issue to the applicant, on behalf of the board, a temporary license which shall entitle the holder to practice as a physician assistant for a maximum of six (6) months from the date of issuance unless the temporary license is canceled by the executive director, who may cancel it at any time, without a hearing, for reasons deemed sufficient with appropriate consultation with the president, and who shall cancel it immediately upon direction by the board or upon the board’s denial of the holder’s application for a regular license. The temporary license shall not be renewable.
  2. The executive director shall present to the board the application for licensure made by the holder of the temporary license. If the board issues a regular license to the holder of a temporary license, the fee paid in connection with the temporary license shall be applied to the regular license fee.
  3. If the executive director cancels a temporary license, he or she shall promptly notify, by United States certified mail, the holder of the temporary license at the last known address on file with the board. The temporary license shall be terminated and of no further force or effect three (3) days after the date the notice was sent by certified mail.

History. Enact. Acts 2004, ch. 35, § 5, effective July 13, 2004; 2006, ch. 78, § 4, effective July 12, 2006.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.846. Examination — Educational and training programs.

  1. The examination of the National Commission on Certification of Physician Assistants for licensure as a physician assistant shall be approved by the board.
  2. Educational and training programs approved by the board shall include physician assistant programs that are accredited by the Accreditation Review Commission on Education for Physician Assistants or its predecessor or successor agencies.
  3. Training programs for the provision of general or regional anesthesia shall be accredited by the Committee on Allied Health Education and Accreditation or the Commission on Accreditation of Allied Health Education Programs.
  4. A trainee enrolled in an approved program shall be supervised and the training program shall be responsible for the services provided by the trainee. A trainee shall have the same scope of practice as a physician assistant and shall not be considered to be practicing without authorization while enrolled in a training program.

History. Enact. Acts 2002, ch. 130, § 26, effective July 15, 2002; 2006, ch. 78, § 5, effective July 12, 2006.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.848. Medical emergency — Approval of additional physician assistants — Emergency permit.

  1. As used in this section, “medical emergency” means a real and substantial threat to public health or the health of an individual as determined by the executive director of the board that requires additional professional resources.
  2. In a medical emergency, the board may approve an additional physician assistant for a supervising physician practicing in this Commonwealth for a period not to exceed thirty (30) days who:
    1. Submits satisfactorily completed forms to the board; and
    2. Is licensed and in good standing in this Commonwealth.
  3. In a medical emergency, the board may issue an emergency permit to a physician assistant who:
    1. Is credentialed and in good standing in another state or Canadian province;
    2. Submits satisfactorily completed forms to the board; and
    3. Based on verifiable information, meets the requirements for licensure under KRS 311.844 .
  4. An emergency permit:
    1. Shall be valid for a period of time not to exceed thirty (30) days;
    2. Shall not be renewed or reissued and shall be immediately canceled if a medical emergency no longer exists;
    3. May be canceled by the executive director upon reasonable cause without a prior hearing; and
    4. Shall not authorize a physician assistant to practice beyond a specified geographical area, beyond the scope of practice encompassed by the medical emergency, or without the supervision of a supervising physician.

History. Enact. Acts 2002, ch. 130, § 27, effective July 15, 2002; 2006, ch. 78, § 6, effective July 12, 2006.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.850. Discipline of physician assistants.

  1. The board may revoke, suspend, deny, decline to renew, limit, or restrict the license of a physician assistant, or may fine, reprimand or place a physician assistant on probation for no more than five (5) years upon proof that a physician assistant has:
    1. Knowingly made or presented or caused to be made or presented any false, fraudulent, or forged statement, writing, certificate, diploma, or other document relating to an application for licensure;
    2. Practiced, aided, or abetted in the practice of fraud, forgery, deception, collusion, or conspiracy relating to an examination for licensure;
    3. Been convicted of a crime as defined in KRS 335B.010 , if in accordance with KRS Chapter 335B;
    4. Been convicted of a misdemeanor offense under KRS Chapter 510 involving a patient or a felony offense under KRS Chapter 510, KRS 530.064 , or 531.310 , or has been found by the board to have had sexual contact, as defined in KRS 510.010 , with a patient while the patient was under the care of the physician assistant or the physician assistant’s supervising physician;
    5. Become addicted to a controlled substance, as defined in KRS 311.550(26);
    6. Become a chronic or persistent alcoholic, as defined in KRS 311.550(25);
    7. Been unable or is unable to practice medicine according to acceptable and prevailing standards of care by reason of mental or physical illness or other condition including but not limited to physical deterioration that adversely affects cognitive, motor, or perceptive skills, or by reason of an extended absence from the active practice of medicine;
    8. Knowingly made or caused to be made or aided or abetted in the making of a false statement in any document executed in connection with the practice of medicine or osteopathy;
    9. Performed any act or service as a physician assistant without a designated supervising physician;
    10. Exceeded the scope of medical services described by the supervising physician in the applications required under KRS 311.854 ;
    11. Exceeded the scope of practice for which the physician assistant was credentialed by the governing board of a hospital or licensed health care facility under KRS 311.856 and 311.858 ;
    12. Aided, assisted, or abetted the unlawful practice of medicine or osteopathy or any healing art, including the unlawful practice of physician assistants;
    13. Willfully violated a confidential communication;
    14. Performed the services of a physician assistant in an unprofessional, incompetent, or grossly or chronically negligent manner;
    15. Been removed, suspended, expelled, or placed on probation by any health care facility or professional society for unprofessional conduct, incompetence, negligence, or violation of any provision of this section or KRS 311.858 or 311.862 ;
    16. Violated any applicable provision of administrative regulations relating to physician assistant practice;
    17. Violated any term of probation or other discipline imposed by the board;
    18. Failed to complete the required number of hours of approved continuing education;
    19. Engaged in dishonorable, unethical, or unprofessional conduct of character likely to deceive, defraud, or harm the public or any member thereof, as described in KRS 311.597 ; or
    20. As provided in KRS 311.824(2), been convicted of a violation of KRS 311.823(2).
  2. All disciplinary proceedings against a physician assistant shall be conducted in accordance with the provisions of KRS 311.591 , 311.592 , 311.593 , 311.599 , and KRS Chapter 13B and related administrative regulations promulgated under KRS Chapter 311.

History. Enact. Acts 2002, ch. 130, § 28, effective July 15, 2002; 2006, ch. 78, § 7, effective July 12, 2006; 2017 ch. 158, § 51, effective June 29, 2017; 2020 ch. 39, § 3, effective July 15, 2020; 2021 ch. 1, § 9, effective January 22, 2021.

Legislative Research Commission Notes.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.851. Physical or mental examination may be required.

  1. When a hearing or inquiry panel, as described in KRS 311.591 , has probable cause to believe a physician assistant is suffering from a physical or mental condition that might impede his or her ability to practice competently, the panel, upon consideration of recommendations of the Physician Assistant Advisory Committee established in KRS 311.842 , may order the physician assistant to undergo a physical or mental examination by a person designated by the panel.
  2. Failure of a physician assistant to submit to such an examination when directed, unless the failure is due to circumstances beyond his or her control, shall constitute an admission that the concerned physician assistant has developed such a physical or mental disability, or other condition, that continued practice is dangerous to patients or to the public; said failure shall constitute a default and a final order may be entered without the taking of testimony or presentation of evidence.
  3. A physician assistant whose license has been suspended, limited, restricted, or revoked under this section and KRS 311.850 , shall at reasonable intervals be afforded an opportunity to demonstrate that he or she can resume the competent practice of medicine with reasonable skill and safety to patients.

HISTORY: 2020 ch. 39, § 6, effective July 15, 2020.

311.852. Emergency order issued by inquiry panel suspending, limiting, or restricting license.

  1. At any time when an inquiry panel established under KRS 311.591 has probable cause to believe that a physician assistant has violated the terms of an agreed order as defined in KRS 311.550(19), or violated the terms of a disciplinary order, or that a physician assistant’s practice constitutes a danger to the health, welfare, or safety of his or her patients or the general public, the inquiry panel may issue an emergency order in accordance with KRS 13B.125 suspending, limiting, or restricting the physician assistant’s license.
  2. For the purposes of a hearing conducted under KRS 13B.125 on an emergency order issued under this section, the findings of fact in the emergency order shall constitute a rebuttable presumption of substantial evidence of a violation of law that constitutes immediate danger to the health, welfare, or safety of patients or the general public. For the purposes of this hearing only, hearsay shall be admissible and may serve as a basis of the board’s findings.
  3. An emergency order as described in subsection (1) of this section shall not be issued unless grounds exist for the issuance of a complaint. The inquiry panel shall issue a complaint prior to the date of the emergency hearing or the emergency order shall become void.
  4. An order of temporary suspension, restriction, or limitation shall not be maintained after a final order as defined in KRS 311.550(20) is served on the charged physician assistant pursuant to the proceeding on the complaint. An appeal of an emergency order shall not prejudice the board from proceeding with the complaint.

History. Enact. Acts 2002, ch. 130, § 29, effective July 15, 2002; 2006, ch. 78, § 8, effective July 12, 2006.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

311.854. Approval of supervising physician — Requirements — Application — Number of assistants — Restrictions on practice and supervision.

  1. A physician shall not supervise a physician assistant without approval of the board. Failure to obtain board approval as a supervising physician or failure to comply with the requirements of KRS 311.840 to 311.862 or related administrative regulations shall be considered unprofessional conduct and shall be subject to disciplinary action by the board that may include revocation, suspension, restriction, or placing on probation the supervising physician’s right to supervise a physician assistant.
  2. To be approved by the board as a supervising physician, a physician shall:
    1. Be currently licensed and in good standing with the board;
    2. Maintain a practice primarily within this Commonwealth. The board in its discretion may modify or waive this requirement;
    3. Submit a completed application and the required fee to the board. The application shall include but is not limited to:
      1. A description of the nature of the physician’s practice;
      2. A statement of assurance by the supervising physician that the scope of medical services and procedures described in the application or in any supplemental information shall not exceed the normal scope of practice of the supervising physician;
      3. A description of the means by which the physician shall maintain communication with the physician assistant when they are not in the same physical location;
      4. The name, address, and area of practice of one (1) or more physicians who agree in writing to accept responsibility for supervising the physician assistant in the absence of the supervising physician;
      5. A description of the scope of medical services and procedures to be performed by the physician assistant for which the physician assistant has been trained in an approved program; and
      6. An outline of the specific parameters for review of countersignatures.
  3. Prior to a physician assistant performing any service or procedure beyond those described in the initial application submitted to the board under subsection (2)(c) of this section, the supervising physician shall supplement that application with information that includes but is not limited to:
    1. A description of the additional service or procedure;
    2. A description of the physician assistant’s education, training, experience, and institutional credentialing;
    3. A description of the level of supervision to be provided for the additional service or procedure;
    4. The location or locations where the additional service or procedure will be provided; and
    5. Any changes to the specific parameters for review of countersignatures.

      The initial and supplemental applications required under this section may be submitted to the board at the same time.

  4. A physician who has been supervising a physician assistant prior to July 15, 2002, may continue supervision and the physician assistant may continue to perform all medical services and procedures that were provided by the physician assistant prior to July 15, 2002. The supervising physician shall submit the initial application and any supplemental application as required in this section by October 15, 2002.
  5. A physician may enter into supervision agreements with no more than four (4) physician assistants and shall not supervise more than four (4) physician assistants at any one (1) time. Application for board approval to be a supervising physician shall be obtained individually for each physician assistant.
  6. The board may impose restrictions on the scope of practice of a physician assistant or on the methods of supervision by the supervising physician upon consideration of recommendations of the Physician Assistant Advisory Committee established in KRS 311.842 after providing the applicant with reasonable notice of its intended action and after providing a reasonable opportunity to be heard.

History. Enact. Acts 2002, ch. 130, § 30, effective July 15, 2002; 2015 ch. 123, § 1, effective June 24, 2015; 2016 ch. 88, § 1, effective July 15, 2016.

311.856. Duties of supervising physician — Definitions.

A supervising physician shall:

  1. Restrict the services of a physician assistant to services within the physician assistant’s scope of practice and to the provisions of KRS 311.840 to 311.862 ;
  2. Prohibit a physician assistant from dispensing controlled substances;
  3. Prohibit a physician assistant from prescribing or administering controlled substances, except as provided in KRS 311.858(5);
  4. Inform all patients in contact with a physician assistant of the status of the physician assistant;
  5. Post a notice stating that a physician assistant practices medicine or osteopathy in all locations where the physician assistant may practice;
  6. Require a physician assistant to wear identification that clearly states that he or she is a physician assistant;
  7. Prohibit a physician assistant from independently billing any patient or other payor for services rendered by the physician assistant;
  8. If necessary, participate with the governing body of any hospital or other licensed health care facility in a credentialing process established by the facility;
  9. Not require a physician assistant to perform services or other acts that the physician assistant feels incapable of carrying out safely and properly;
  10. Maintain adequate, active, and continuous supervision of a physician assistant’s activities to assure that the physician assistant is performing as directed and complying with the requirements of KRS 311.840 to 311.862 and all related administrative regulations;
  11. Review and countersign a sufficient number of overall medical notes written by the physician assistant to ensure quality of care provided by the physician assistant and outline the specific parameters for review of countersignatures in the application required by KRS 311.854 . Countersignature requirements shall be determined by the supervising physician, practice, or institution. As used in this subsection:
    1. “Practice” means a medical practice composed of two (2) or more physicians organized to provide patient care services, regardless of its legal form or ownership; and
    2. “Institution” means all or part of any public or private facility, place, building, or agency, whether organized for profit or not, that is used, operated, or designed to provide medical diagnosis, treatment, nursing, rehabilitative, or preventive care;
    1. Reevaluate the reliability, accountability, and professional knowledge of a physician assistant two (2) years after the physician assistant’s original licensure in this Commonwealth and every two (2) years thereafter; and (12) (a) Reevaluate the reliability, accountability, and professional knowledge of a physician assistant two (2) years after the physician assistant’s original licensure in this Commonwealth and every two (2) years thereafter; and
    2. Based on the reevaluation, recommend approval or disapproval of licensure or renewal to the board; and
  12. Notify the board within three (3) business days if the supervising physician:
    1. Ceases to supervise or employ the physician assistant; or
    2. Believes in good faith that a physician assistant violated any disciplinary rule of KRS 311.840 to 311.862 or related administrative regulations.

History. Enact. Acts 2002, ch. 130, § 31, effective July 15, 2002; 2006, ch. 78, § 9, effective July 12, 2006; 2014, ch. 41, § 1, effective July 15, 2014; 2016 ch. 88, § 2, effective July 15, 2016; 2020 ch. 39, § 4, effective July 15, 2020.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

(7/15/2002). Although 2002 Ky. Acts ch. 130, sec. 31, subsection (1), has a reference to “Sections 32 to 34 of this Act” (which sections were codified as KRS 311.858 and 311.862 ) that reference has been codified as “KRS 311.840 to 311.862 ” as the reference to “Sections 32 to 34 of this Act” was a manifest clerical or typographical error that should have read “Sections 23 to 34 of this Act” and has been corrected in codification under KRS 7.136(1)(h).

311.858. Services and procedures that may be performed by physician assistant — Restrictions.

  1. A physician assistant may perform medical services and procedures within the scope of medical services and procedures described in the initial or any supplemental application received by the board under KRS 311.854 .
  2. A physician assistant shall be considered an agent of the supervising physician in performing medical services and procedures described in the initial application or any supplemental application received by the board under KRS 311.854 .
  3. A physician assistant may initiate evaluation and treatment in emergency situations without specific approval.
  4. A physician assistant may prescribe and administer all nonscheduled legend drugs and medical devices to the extent delegated by the supervising physician. A physician assistant who is delegated prescribing authority may request, receive, sign for, and distribute professional samples of nonscheduled legend drugs to patients.
    1. A physician assistant who has been approved by the board pursuant to paragraph (b) of this subsection, may prescribe and administer Schedules III, IV, and V controlled substances, as described in KRS Chapter 218A, to the extent delegated by the supervising physician and as permitted under paragraphs (c), (d), and (e) of this subsection. (5) (a) A physician assistant who has been approved by the board pursuant to paragraph (b) of this subsection, may prescribe and administer Schedules III, IV, and V controlled substances, as described in KRS Chapter 218A, to the extent delegated by the supervising physician and as permitted under paragraphs (c), (d), and (e) of this subsection.
    2. Before a physician assistant engages in prescribing or administering controlled substances, the physician assistant shall:
      1. Have at least one (1) year of experience as a licensed and practicing physician assistant;
      2. Submit to the board a completed application for prescriptive authority for controlled substances signed by the physician assistant’s supervising physician in accordance with KRS 311.856 ;
      3. Receive from the board, or its executive director, a notice that the application for prescriptive authority has been approved; and
      4. Obtain a Controlled Substance Registration Certificate through the United States Drug Enforcement Administration and register with the electronic system for monitoring controlled substances established in KRS 218A.202 and any other applicable state controlled substance regulatory authority.
    3. Prescriptions issued by a physician assistant for Schedule III controlled substances, as described in KRS 218A.060 and 218A.080 , shall be limited to a thirty (30) day supply without any refill.
    4. Prescriptions issued by a physician assistant for Schedule IV or V controlled substances, as described in KRS 218A.100 and 218A.120 , shall be limited to the original prescription and refills not to exceed a six (6) month supply.
    5. Notwithstanding paragraph (d) of this subsection, prescriptions issued by a physician assistant for benzodiazepines or Carisoprodol shall be limited to a thirty (30) day supply without any refill.
  5. A physician assistant shall not submit direct billing for medical services and procedures performed by the physician assistant.
  6. A physician assistant may perform local infiltrative anesthesia under the provisions of subsection (1) of this section, but a physician assistant shall not administer or monitor general or regional anesthesia unless the requirements of KRS 311.862 are met.
  7. A physician assistant may perform services in the offices or clinics of the supervising physician. A physician assistant may also render services in hospitals or other licensed health care facilities only with written permission of the facility’s governing body, and the facility may restrict the physician assistant’s scope of practice within the facility as deemed appropriate by the facility.
  8. A physician assistant shall not practice medicine or osteopathy independently. Each physician assistant shall practice under supervision as defined in KRS 311.840 .

History. Enact. Acts 2002, ch. 130, § 32, effective July 15, 2002; 2020 ch. 39, § 5, effective July 15, 2020.

Opinions of Attorney General.

Physician assistants do not have authority to dispense or distribute medications under KRS 311.858(4) except for distributing professional sample drugs to patients. OAG 11-004 , 2011 Ky. AG LEXIS 89.

311.860. Services performed in location separate from supervising physician — Nonseparate location — Definition and exceptions.

    1. As used in this section, “nonseparate location” shall include the following if the supervising physician is available in person or via telecommunication at all times: (1) (a) As used in this section, “nonseparate location” shall include the following if the supervising physician is available in person or via telecommunication at all times:
      1. Hospitals in which patients of the supervising physician are receiving care, subject to the rules and regulations of the governing body of the hospital;
      2. Nursing homes in which the supervising physician has patient care responsibilities, subject to the rules and regulations of the governing body of the nursing home;
      3. The homes of patients of the supervising physician if the home visits are related to patient care; and
      4. School health fairs, wellness clinics, or similar events where the supervising physician is responsible for providing oversight.
    2. The supervising physician or credentialing facility shall have oversight of paragraph (a) of this subsection.
  1. A supervising physician who uses the services of a physician assistant in an office or clinic separate from the physician’s primary office shall submit for board approval a specific written request that describes the services to be provided by the physician assistant in the separate office or clinic, the distance between the primary office and the separate location, and the means and availability of direct communication at all times with the supervising physician.
  2. Until May 31, 2014, a newly graduated physician assistant shall not practice medicine or osteopathy in a location separate from the supervising physician or credentialing facility until the physician assistant has three (3) continuous months of experience in a nonseparate location. Beginning on June 1, 2014, three (3) continuous months of experience in a nonseparate location shall no longer be required for a physician assistant to practice at a separate location.
  3. Except as provided by KRS 311.862 , a physician assistant may perform services in a location separate from the supervising physician if the supervising physician is continuously available via telecommunication and the following are met:
    1. The requirements of subsection (2) of this section have been met; or
    2. A waiver has been granted by the board.

History. Enact. Acts 2002, ch. 130, § 33, effective July 15, 2002; 2008, ch. 36, § 1, effective July 15, 2008; 2013, ch. 80, § 7, effective June 25, 2013.

311.862. Practice as anesthesiology assistant.

  1. A physician assistant who was practicing as an anesthesiology assistant in Kentucky prior to July 15, 2002, may continue to practice if the physician assistant:
    1. Met the practice, education, training, and licensure requirements specified in KRS 311.844 and 311.846 ;
    2. Is a graduate of an approved program accredited by the Committee on Allied Health Education and Accreditation or the Commission on Accreditation of Allied Health Education Programs that is specifically designed to train an individual to administer general or regional anesthesia; and
    3. Is employed by a supervising physician in anesthesia.
  2. A physician assistant who has not practiced as an anesthesiology assistant in Kentucky prior to the July 15, 2002, shall meet the following requirements prior to practicing as an anesthesiology assistant:
    1. Graduation from an approved four (4) year physician assistant program as specified in subsection (1)(b) of this section and graduation from another two (2) year approved and accredited program that consists of academic and clinical training in anesthesiology;
    2. Compliance with the practice, education, training, and licensure requirements specified in KRS 311.844 and 311.846 ; and
    3. Employment with a supervising physician in anesthesia.
  3. A physician assistant practicing as an anesthesiology assistant shall not administer or monitor general or regional anesthesia unless the supervising physician in anesthesia:
    1. Is physically present in the room during induction and emergence;
    2. Is not concurrently performing any other anesthesiology procedure; and
    3. Is available to provide immediate physical presence in the room.

History. Enact. Acts 2002, ch. 130, § 34, effective July 15, 2002; 2006, ch. 78, § 10, effective July 12, 2006.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 78, sec. 11, provides: “A physician assistant who is certified in Kentucky and in good standing on the effective date of this Act [July 12, 2006] shall automatically be licensed under Sections 1 to 10 of this Act [KRS 311.840 , 311.842 , 311.844 , 311.845 , 311.846 , 311.848 , 311.850 , 311.852 , 311.856 , and 311.862 ] and shall be issued a physician assistant license upon annual renewal.”

Surgical Assistants

311.864. Definitions for KRS 311.864 to 311.890.

As used in KRS 311.864 to 311.890 unless the context requires otherwise:

  1. “Advisory Committee for Surgical Assistants” means the advisory committee created in KRS 311.868 ;
  2. “Board” means the Kentucky Board of Medical Licensure;
  3. “Delegating physician” means a physician who is licensed by the board as either a doctor of medicine, doctor of osteopathy, or doctor of podiatric medicine and who assumes responsibility for the services rendered by a surgical assistant;
  4. “Direct supervision” means supervision by a delegating physician who is physically present and who personally directs delegated acts and remains immediately available to personally respond to any emergency until the patient is released from the operating room or care and has been transferred to the care and responsibility of another physician;
  5. “President” means the president of the board; and
  6. “Surgical assisting” means providing aid under direct supervision in exposure, hemostasis, closures, and other intraoperative technical functions that assist a physician in performing a safe operation with optimal results for the patient.

History. Enact. Acts 2004, ch. 126, § 1, effective July 13, 2004.

311.866. Certification requirement — When not required.

  1. A person is not required to hold a certificate under KRS 311.864 to 311.890 if the person is:
    1. A student enrolled in a surgical assistant education program approved by the board who is assisting in a surgical operation that is an integral part of the program of study;
    2. A surgical assistant employed in the service of the federal government while performing surgical assisting duties related to that employment;
    3. A health care worker, licensed or certified within this Commonwealth, acting within the scope of the person’s license;
    4. A registered nurse or licensed practical nurse;
    5. A certified physician assistant; or
    6. An individual employed by a hospital who is performing the duties of a surgical assistant under the direct supervision of a registered nurse.
  2. Except as provided in subsection (1) of this section, a person shall not practice as a surgical assistant unless the person is certified under KRS 311.864 to 311.890 and shall not use the title “Kentucky Certified Surgical Assistant” or any other designation that would imply that the person is a certified surgical assistant.

History. Enact. Acts 2004, ch. 126, § 2, effective July 13, 2004.

311.867. Temporary certification to practice as surgical assistant.

    1. Based upon verified information contained in the application for certification to practice as a surgical assistant, the board may issue a temporary certificate which shall entitle the holder to practice as a surgical assistant for a maximum of six (6) months from the date of issuance. (1) (a) Based upon verified information contained in the application for certification to practice as a surgical assistant, the board may issue a temporary certificate which shall entitle the holder to practice as a surgical assistant for a maximum of six (6) months from the date of issuance.
    2. After appropriate consultation with the executive director, the board may cancel the temporary certificate at any time, without a hearing, for reasons it deems sufficient.
    3. The executive director shall cancel the temporary certificate immediately upon direction by the board, or upon the board’s denial of the holder’s application for a regular certificate.
    4. The temporary certificate shall not be renewable.
  1. The board shall consider the application for certification made by the holder of a temporary certificate. If the board issues a regular certificate to the holder of a temporary certificate, the fee paid in connection with the temporary certificate shall be applied to the regular certificate fee.
  2. If the board cancels a temporary certificate:
    1. It shall promptly notify the holder of the temporary certificate by United States certified mail at the last known address on file with the board; and
    2. The temporary certificate shall be terminated and shall have no further force or effect three (3) days after the date the notice was sent by certified mail.

HISTORY: 2019 ch. 158, § 2, effective June 27, 2019.

311.868. Advisory Committee for Surgical Assistants.

  1. The Advisory Committee for Surgical Assistants shall be a committee of six (6) members appointed by the board and whose duties shall be delegated by the board. Duties shall include those cited in KRS 311.876 . The members of the committee shall be:
    1. Three (3) practicing surgical assistants who have at least five (5) years of clinical experience as surgical assistants;
    2. Two (2) physicians licensed in the Commonwealth who supervise surgical assistants; and
    3. One (1) registered perioperative nurse with at least five (5) years of clinical experience as a perioperative nurse.
  2. Members of the committee are appointed for two (2) year terms and may not serve more than two (2) consecutive full terms. The board may determine the rotation of the membership.
  3. The president shall designate biennially a committee member to be the presiding officer to serve at the will of the president.
  4. Members shall not be entitled to per diem, travel, or other expenses and shall have no authority to determine policy independent of the board.
  5. Meetings shall be held quarterly and may be held on-line or by telephone conference call.
  6. Vacancies shall be filled with appointees selected by the president.
  7. A person may not be a member of the committee if:
    1. The person is an officer, employee, or paid consultant of a Kentucky trade association in the field of surgical assisting;
    2. The person’s spouse is an officer, manager, or paid consultant of a Kentucky trade association in the field of surgical assisting;
    3. The person is a registered lobbyist for compensation on behalf of a profession related to the field of surgical assisting; or
    4. The person is presently subject to a disciplinary order issued by their licensing or certifying body.

History. Enact. Acts 2004, ch. 126, § 3, effective July 13, 2004.

311.870. Administrative regulations and records.

  1. The board, with any committee assistance requested by the board, may promulgate administrative regulations in accordance with the provisions of KRS Chapter 13A to implement the provisions of KRS 311.864 to 311.890 as follows:
    1. Establish qualifications for a surgical assistant to practice in this state;
    2. Establish requirements for an examination and develop an application to certify a surgical assistant to practice;
    3. Establish minimum education and training requirements necessary for a certificate to practice as a surgical assistant;
    4. Develop an approved program of mandatory continuing education and the manner in which attendance at all approved courses, clinics, forums, lectures, programs, or seminars is monitored and recorded;
    5. Accept the continuing education rules and guidelines of the Association of Surgical Technologists or other national association of surgical assisting that develops continuing education guidelines;
    6. Establish reasonable and necessary fees for the application, examination, initial certificate, renewal certificate, and other fees necessary to implement KRS 311.864 to 311.890 ; and
    7. Identify the surgical assistant’s scope of practice citing appropriate medical tasks, and define the delegating physician’s oversight responsibilities.
  2. The board shall maintain a record for each certificate holder that contains information determined by the board. Any certificate holder who, after notifying the board of his or her official address or addresses, moves his or her practice location to a new address shall immediately notify the board of the change.

History. Enact. Acts 2004, ch. 126, § 4, effective July 13, 2004.

311.872. Public interest information.

The board shall prepare information of public interest describing the functions of the board that shall include procedures by which grievances are filed and resolved. The board shall make the information available on request to the public and appropriate state agencies.

History. Enact. Acts 2004, ch. 126, § 5, effective July 13, 2004.

311.874. Investigations and disciplinary procedures.

All investigations and disciplinary procedures against a surgical assistant shall be conducted in accordance with the provisions of KRS 311.591 , 311.592 , 311.593 , 311.599 , and Chapter 13B.

History. Enact. Acts 2004, ch. 126, § 6, effective July 13, 2004.

311.876. Duty to report violations — Immunity from civil liability.

  1. A surgical assistant, a physician practicing medicine in this state, or any person usually present in an operating room, including a nurse or surgical technologist, shall report relevant information to the advisory committee related to the acts of a certified surgical assistant in this state if, in that person’s opinion, a surgical assistant has violated one or more provisions of KRS 311.890 or poses a continuing threat to the public welfare through practice as a surgical assistant.
  2. A person who furnishes records, information, or assistance to the advisory committee under this section is immune from any civil liability arising from that action in a suit against the person brought by or on behalf of a surgical assistant who is reported under this section.

History. Enact. Acts 2004, ch. 126, § 7, effective July 13, 2004.

311.878. Application for certification — Eligibility.

  1. An applicant for a certificate shall file a written application with the board on a form prescribed by the board and shall pay the application fee set by the board.
  2. To be eligible for a certificate, a person shall:
    1. Hold and maintain certification by one (1) of the following:
      1. The National Commission for the Certification of Surgical Assistants (NCCSA) or its successor organization; or
      2. The National Board of Surgical Technology and Surgical Assisting (NBSTSA) or its successor organization;
    2. Document one (1) of the following:
      1. Graduation from a program approved by the Commission on Accreditation of Allied Health Education Programs (CAAHEP); or
      2. Graduation from a United States Military program that emphasizes surgical assisting; and
    3. Demonstrate to the satisfaction of the board the completion of full-time work experience performed in this country under the direct supervision of a physician licensed in this country and consisting of at least eight hundred (800) hours of performance as an assistant in surgical procedures for the three (3) years preceding the date of the application.

History. Enact. Acts 2004, ch. 126, § 8, effective July 13, 2004; 2005, ch. 182, § 7, effective June 20, 2005; 2019 ch. 158, § 1, effective June 27, 2019.

311.880. Out-of-state applicants.

The board may grant a certificate to any person who is licensed, certified, or registered and in good standing in another state that has standards at least as stringent as those required in KRS 311.878 . Applicants who are not from a state that has standards at least as stringent as those required in KRS 311.878 may request a waiver under KRS 311.878 on the grounds that their experience and education meet the criteria equivalent to the requirements of KRS 311.878.

History. Enact. Acts 2004, ch. 126, § 9, effective July 13, 2004.

311.882. Issuance of certificate before July 1, 2005. [Repealed]

History. Enact. Acts 2004, ch. 126, § 10, effective July 13, 2004; repealed by 2019 ch. 158, § 3, effective June 27, 2019.

311.884. Fees for use in administering provisions of KRS 311.864 to 311.890.

Fees received by the board under the provisions of KRS 311.864 to 311.890 shall be deposited in the State Treasury to the credit of a trust and agency fund and may be appropriated by the General Assembly for the use of the board in defraying the cost of administering the provisions of KRS 311.864 to 311.890 . No part of this fund shall revert to the general fund of this Commonwealth.

History. Enact. Acts 2004, ch. 126, § 11, effective July 13, 2004.

311.886. Renewal of surgical assistant certificate.

  1. The board shall provide for the annual renewal of a surgical assistant certificate.
  2. At least thirty (30) days before the expiration of a person’s certificate, the board shall send written notice of the impending certificate expiration to the person at the certificate holder’s last known address according to the records of the board.
  3. If the person’s certificate has been expired for ninety (90) days or less, the person may renew the certificate by paying the board one and one-half (1-1/2) times the required renewal fee. The person shall not engage in activities that require a certificate until the certificate has been renewed under this section.
  4. If the person’s certificate has been expired for longer than ninety (90) days but less than one (1) year, the person may renew the certificate by paying the board two (2) times the required renewal fee. The person shall not engage in activities that require a certificate until the certificate has been renewed under this section.
  5. If the person’s certificate has been expired for one (1) year or longer, the person may not renew the certificate. The person may obtain a new certificate by complying with the requirements and procedures for obtaining an original certificate.
  6. If the person was certified as a surgical assistant in this state, moved to another state, and is currently licensed or certified as a surgical assistant and has been in practice as a surgical assistant in the other state for the two (2) years preceding application, the person may renew an expired surgical assistant certificate without reexamination. The person shall pay the board a fee that is equal to two (2) times the required renewal fee for the license. The person shall not engage in activities that require a certificate until the certificate has been renewed under this section.

History. Enact. Acts 2004, ch. 126, § 12, effective July 13, 2004.

311.888. No authorization to practice medicine or registered nursing — No condition for reimbursement.

  1. KRS 311.864 to 311.890 does not authorize a person who holds a certificate under KRS 311.864 to 311.890 to engage in the practice of medicine, as defined in KRS 311.530 to 311.620 or the practice of registered nursing as defined in KRS 314.011 to 314.161 .
  2. A health maintenance organization, preferred provider organization, or health benefit plan may not require a registered nurse or certified physician assistant to be certified as a surgical assistant as a condition for reimbursement.

History. Enact. Acts 2004, ch. 126, § 13, effective July 13, 2004.

311.890. Revocation, suspension, denial, declination to renew, limitation, restriction of certification — Fines, reprimands, probation.

  1. The board may revoke, suspend, deny, decline to renew, limit, or restrict the certification of a surgical assistant, or may fine, reprimand, or place a surgical assistant on probation for no more than five (5) years upon proof that he or she:
    1. Has been convicted of a felony, if in accordance with KRS Chapter 335B;
    2. Has been convicted of a misdemeanor, if in accordance with KRS Chapter 335B;
    3. Has been granted a certificate upon a mistake of a material fact;
    4. Has violated any provision of KRS 311.864 to 311.890 ;
    5. Has become drug addicted;
    6. Has become a chronic or persistent alcoholic;
    7. Has developed such physical or mental disability, or other condition whereby continued practice is dangerous to patients or to the public;
    8. Has violated any order or the terms or the conditions of any order issued by the board;
    9. Has engaged in, or attempted to engage in, practice as a surgical assistant under a false or assumed name;
    10. Has willfully violated a confidential communication;
    11. Has acted in a grossly negligent or willful manner which is inconsistent with practice as a surgical assistant;
    12. Is unfit or incompetent to practice as a surgical assistant by reason of gross negligence or other causes, including but not limited to being unable to practice as a surgical assistant with reasonable skill or safety;
    13. Has had a license or certificate to practice as a surgical assistant denied, limited, suspended, probated, or revoked in another jurisdiction;
    14. Has engaged in conduct likely to deceive or defraud the public;
    15. Has knowingly made or presented or caused to be made or presented any false, fraudulent, or forged statement, writing, certificate, diploma, or other document relating to an application for certification;
    16. Has exceeded the scope of practice of surgical assisting delegated by the delegating physician; or
    17. Has exceeded the scope of practice for which the surgical assistant was credentialed by the governing board of a hospital or licensed health care facility.
  2. The board may impose a fine of up to five hundred dollars ($500) per violation as part of a disciplinary action and may require the surgical assistant to reimburse the board for all costs of the proceedings.

HISTORY: Enact. Acts 2004, ch. 126, § 14, effective July 13, 2004; 2017 ch. 158, § 52, effective June 29, 2017.

Certification of Athletic Trainers

311.900. Definitions for KRS 311.900 to 311.928.

As used in KRS 311.900 to 311.928 :

  1. “Athlete” means an individual, referee, coach, or athletic staff member who participates in sports, games, or recreational activities requiring physical strength, agility, flexibility, range of motion, speed, or stamina;
  2. “Athletic injury” means:
    1. An injury or condition, excluding medical conditions such as internal infections, internal injuries, fractures, and spinal cord injuries except in an acute situation sustained by an athlete that affects the individual’s participation or performance in sports, games, or recreation; or
    2. An injury or condition that is within the scope of practice of an athletic trainer identified by a physician licensed under this chapter, a physical therapist licensed under KRS Chapter 327, an occupational therapist licensed under KRS Chapter 319A, or a chiropractor licensed under KRS Chapter 312 that is likely to benefit from athletic training services that have been approved by a physician supervising the athletic trainer;
  3. “Athletic trainer” means a healthcare provider with specific qualifications, as set forth in KRS 311.900 to 311.928 , who is licensed to practice athletic training and who, upon the supervision of a physician licensed under this chapter, carries out the practice of preventing, recognizing, evaluating, managing, disposing, treating, reconditioning, or rehabilitating athletic injuries. In carrying out these functions, the licensed athletic trainer may use physical modalities, such as heat, light, sound, cold, or electricity, or mechanical devices. A licensed athletic trainer shall practice only in those areas in which he or she is competent by reason of his or her training, experience, and certifications, including treatment of an injury or condition that is within the scope of practice of an athletic trainer and approved by a physician licensed under this chapter;
  4. “Board” means the Kentucky Board of Medical Licensure;
  5. “Council” means the Kentucky Athletic Trainers Advisory Council;
  6. “Supervising physician” means a physician licensed by the board; and
  7. “Supervision” means advising, consenting to, and directing the activities of an athletic trainer through written or oral orders by a physician licensed to practice under this chapter. Each team of physicians and athletic trainers shall ensure that the referral of athletic injuries is appropriate to the athletic trainer’s level of training and experience.

History. Enact. Acts 1978, ch. 205, § 1, effective June 17, 1978; 1990, ch. 236, § 1, effective July 13, 1990; 2006, ch. 248, § 1, effective July 12, 2006; 2013, ch. 30, § 1, effective June 25, 2013; 2020 ch. 61, § 1, effective January 1, 2021.

311.901. Administrative regulations for licensed athletic trainers — Educational requirements — Kentucky Athletic Trainers Advisory Council.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to the licensure and regulation of athletic trainers. The regulations shall include but shall not be limited to:
    1. The establishment of fees;
    2. Procedures for eligibility and credentialing;
    3. Procedures for licensure renewal and reinstatement;
    4. Procedures for complaints and disciplinary actions;
    5. A code of ethical standards;
    6. Standards of practice;
    7. The objectives of athletic training;
    8. Procedures for name and contact information changes;
    9. Procedures for licensure renewal and reinstatement of active duty military individuals;
    10. Procedures for documentation standards;
    11. Requirements for foreign-trained athletic trainers;
    12. Requirements for medication formularies;
    13. Requirements for invasive procedures; and
    14. Continuing education requirements.
  2. There is hereby created the Kentucky Athletic Trainers Advisory Council, composed of ten (10) members appointed by the Governor. The council shall review and make recommendations to the board regarding all matters relating to athletic trainers that come before the board, including but not limited to:
    1. Applications for athletic training licensure;
    2. Licensure renewal requirements;
    3. Approval of supervising physicians;
    4. Disciplinary investigations or action, when specifically requested by one (1) of the board’s panels established under KRS 311.591 ; and
    5. Promulgation of administrative regulations.
  3. Except for initial appointments, members of the council shall be appointed by the board for four (4) year terms and shall consist of:
    1. Five (5) practicing licensed athletic trainers who shall each be selected by the board from a list of three (3) licensed athletic trainers submitted by the Kentucky Athletic Trainers Society, Inc. for each vacancy;
    2. Three (3) supervising physicians selected by the board from a list of three (3) physicians licensed by the board submitted by the Kentucky Medical Association for each vacancy;
    3. One (1) physician member of the board; and
    4. One (1) citizen at large.
  4. The chair of the council shall be elected by a majority vote of the council members and shall preside over meetings. The meetings shall be held quarterly and may be held online or by telephone conference call. Additional meetings may be held on the call of the chair or upon the written request of four (4) council members.
  5. Initial appointments shall be for staggered terms. Three (3) members shall serve a four (4) year term, two (2) members shall serve a three (3) year term, two (2) members shall serve a two (2) year term, and two (2) members shall serve a one (1) year term.
  6. Members of the council shall not be compensated for their service but shall receive reimbursement for expenditures relating to attendance at committee meetings, consistent with state policies for the reimbursement of travel expenses for state employees.
  7. A council member may be removed by the board for good cause or if he or she misses two (2) consecutive council meetings without good cause.
  8. Upon the death, resignation, or removal of any member, the vacancy for the unexpired term shall be filled by the board in the same manner as the original appointment.
  9. The quorum required for any meeting of the council shall be six (6) members. No action by the council or its members shall have any effect unless a quorum of the council approves the action.
  10. The board shall not be required to implement or adopt the recommendations of the council.

History. Enact. Acts 2006, ch. 248, § 2, effective July 12, 2006; 2013, ch. 30, § 2, effective June 25, 2013; 2015 ch. 113, § 8, effective June 24, 2015; 2020 ch. 61, § 2, effective January 1, 2021.

311.902. Advisory Council on Athletic Trainers — Appointment — Removal — Vacancies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 2, effective June 17, 1978; 1990, ch. 236, § 2, effective July 13, 1990) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.903. Prohibited services by licensed athletic trainers — Responsibilities and duties of licensed athletic trainers — Administrative regulations — Prohibited billing.

  1. A licensed athletic trainer:
    1. Shall not use spinal or pelvic manipulations or spinal or pelvic chiropractic adjustments;
    2. May assist with the appropriate management and use of, but shall not prescribe, over-the-counter or prescription medications commonly used in the practice of sports medicine, excluding any controlled substances, with the supervision of a physician licensed under this chapter, and shall maintain accurate records identifying the medication, dose, amount, directions, condition for which the medication is being used, identity of the supervising physician, lot number, and expiration date;
    3. Shall not provide or administer over-the-counter or prescription medications to a minor without express parental or guardian consent and physician oversight;
    4. Shall not perform invasive procedures, except for those invasive procedures that the board, based on recommendations from the council, determines to be permissible. Any procedures performed under this subsection shall be:
      1. Within the scope of practice for athletic trainers; and
      2. Approved by the supervising physician;
    5. May provide athletic training services, notwithstanding any other provision of KRS 311.900 to 311.928 , for employment injuries if the athletic training services for employment injuries are provided within the scope of practice for athletic trainers and under the supervision of a physician licensed under this chapter, an occupational therapist licensed under KRS Chapter 319A, a physical therapist licensed under KRS Chapter 327, or a chiropractor licensed under KRS Chapter 312;
    6. Shall not seek reimbursement from the federal government for physical therapy services performed by an athletic trainer;
    7. Shall not seek reimbursement from the federal government for occupational therapy services performed by an athletic trainer;
    8. Shall not seek reimbursement from the federal government for chiropractic services performed by an athletic trainer;
    9. Shall not prescribe medications, including controlled substances;
    10. Shall only seek third-party reimbursement for services as permitted under national standards and within the scope of practice of athletic training and when prescribed by a physician licensed under this chapter; and
    11. Shall not practice as an athletic trainer before completing a standardized form for athletic trainers and their supervising physicians that establishes the athletic trainer’s authorized practice activities while under the physician’s supervision. This form shall be developed and provided by the board.
  2. The board shall promulgate administrative regulations, based upon recommendations from the council and in accordance with KRS Chapter 13A, to establish a formulary of legend medications that a licensed athletic trainer may obtain, transport, provide, and administer when providing athletic training services, limited to only those medications that are indicated and approved by the board. This subsection shall not be interpreted to bestow prescriptive authority, and the formulary shall not include Schedule II, III, IV, or V drugs as defined in the Controlled Substances Act, 21 U.S.C. secs. 801 et seq.

History. Enact. Acts 2006, ch. 248, § 3, effective July 12, 2006; 2013, ch. 30, § 3, effective June 25, 2013; 2020 ch. 61, § 3, effective January 1, 2021.

Legislative Research Commission Notes.

(1/1/2021). The internal numbering of subsections and paragraphs of this statute has been altered in codification from the way they were listed in 2020 Ky. Acts ch. 61, sec. 3 to properly group the duties of licensed athletic trainers and separate them from a requirement that the Kentucky Board of Medical Licensure promulgate administrative regulations to establish a formulary of legend medications that a licensed athletic trainer may utilize. No words were changed in the process.

311.904. Organization — Meetings — Quorum. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 3, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.905. Requirements to be licensed as an athletic trainer — Exception to requirements — Inactive status — Automatic licensure.

  1. To be licensed by the board as an athletic trainer, an applicant shall:
    1. Submit a completed application form with the required fee on a form prescribed by the board;
    2. Be of good character and reputation; and
      1. Be certified and in good standing as an athletic trainer by the National Athletic Trainers Association Board of Certification, Inc., or its successor; or (c) 1. Be certified and in good standing as an athletic trainer by the National Athletic Trainers Association Board of Certification, Inc., or its successor; or
      2. Be authorized to practice as an athletic trainer in another state and be in good standing in that state, if that state has standards equivalent to those of this Commonwealth.
  2. Any person who is issued initial licensure as an athletic trainer shall be registered for three (3) years, or for the completion of the current three (3) year cycle. The person shall then apply to the board for triennial renewal and shall submit all information requested by the board and pay a renewal fee as prescribed by the board.
  3. No person shall hold himself or herself out as an athletic trainer or perform any of the activities of an athletic trainer as prescribed in KRS 311.900 to 311.928 , without first obtaining a license under KRS 311.900 to 311.928 .
  4. Nothing in this section shall be construed to limit:
    1. The activities, services, and use of title on the part of a person in the employ of the federal government, to the extent the person is operating within the specific parameters of that employment; or
    2. The activities or services of a student athletic trainer or someone in a similar educational position, if the service is not for compensation and is carried out under the supervision of a physician and a licensed athletic trainer licensed under KRS 311.900 to 311.928 .
  5. Upon petition to the board, licensed athletic trainers may be granted inactive status for a period of time not to exceed three (3) years. Licensed athletic trainers shall not practice athletic training while under inactive status. Inactive athletic trainers may apply for an active license after paying a fee as prescribed in administrative regulations promulgated by the board.
  6. Persons who are certified by the board and are in good standing as athletic trainers on July 12, 2006, shall be automatically licensed under KRS 311.900 to 311.928 without meeting the requirements of subsection (1) of this section.

History. Enact. Acts 2006, ch. 248, § 4, effective July 12, 2006; 2013, ch. 30, § 4, effective June 25, 2013.

311.906. Council to serve without compensation — Reimbursement for expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 6, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.907. Temporary licenses — Cancellation of temporary licenses.

  1. If the executive director of the board, based upon verified information contained in the application, determines that an applicant is eligible for licensure as an athletic trainer under this section, the executive director may issue to the applicant, on behalf of the board, a temporary license. The temporary license shall be nonrenewable and shall entitle the holder to practice as an athletic trainer for a maximum of six (6) months from the date of issuance, unless the temporary license is canceled by the executive director. The executive director may cancel the temporary license:
    1. At any time, without a hearing, for reasons deemed sufficient after appropriate consultation with the president of the board;
    2. Immediately, upon direction by the board; or
    3. Upon the board’s denial of the holder’s application for a regular license.
  2. The executive director shall present to the board the application for licensure made by the holder of the temporary license. If the board issues a regular license to the holder of a temporary license, the fee paid in connection with the temporary license shall be applied to the regular license fee.
  3. If the executive director cancels a temporary license, he or she shall promptly notify, by United States certified mail, the holder of the temporary license at the last known address on file with the board. The temporary license shall be terminated and of no further force or effect three (3) days after the date the notice was sent by certified mail.

History. Enact. Acts 2006, ch. 248, § 5, effective July 12, 2006; 2013, ch. 30, § 5, effective June 25, 2013.

311.908. Certification by Board of Medical Licensure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 5, effective June 17, 1978; 1990, ch. 443, § 61, effective July 13, 1990; 1998, ch. 426, § 543, effective July 15, 1998) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.909. Disciplinary measures by the board — Grounds — Procedures.

  1. The board may revoke, suspend, deny, decline to renew, limit, or restrict the license of an athletic trainer or may impose fines of not less than one hundred dollars ($100) and not more than five thousand dollars ($5,000) per violation, including the costs of any proceedings; reprimand; or place an athletic trainer on probation for no more than five (5) years upon proof that the athletic trainer:
    1. Knowingly made or presented, or caused to be made or presented, any false, fraudulent, or forged statement, writing, certificate, diploma, or other document relating to an application for licensure or renewal thereof;
    2. Practiced or aided or abetted in the practice of fraud, forgery, deception, collusion, or conspiracy relating to an examination for licensure;
    3. Has been convicted of a crime as defined in KRS 335B.010 , if in accordance with KRS Chapter 335B;
    4. Has become addicted to or is an abuser of alcohol, drugs, or any illegal substances;
    5. Developed a physical or mental disability or other condition that presents a danger in continuing to provide athletic training services to patients, the public, or other health-care personnel;
    6. Knowingly made, caused to be made, or aided or abetted in the making of a false statement in any document executed in connection with the practice of athletic training;
    7. Performed any act or service as an athletic trainer without proper supervision by a licensed physician;
    8. Exceeded the scope of medical services or procedures described by the supervising physician in the application required under KRS 311.903 ;
    9. Aided, assisted, or abetted another in the unlawful practice of medicine, osteopathy, chiropractics, or any healing art, including the unlawful practice of athletic training;
    10. Willfully violated a confidential communication;
    11. Performed the services of an athletic trainer in an unprofessional, incompetent, or grossly or chronically negligent manner;
    12. Has been removed, suspended, expelled, or placed on probation by any health-care facility for unprofessional conduct, incompetence, negligence, or violation of any provision of KRS 311.900 to 311.928 ;
    13. Violated any applicable provision of an administrative regulation relating to athletic training practice;
    14. Violated any term of probation or other disciplinary order issued by the board or an agreed order defined in KRS 311.550 ;
    15. Failed to complete the required number of hours of approved continuing education; or
    16. Willfully violated any provision of KRS 311.900 to 311.928 or acted outside of the licensed athletic trainer’s scope of practice.
  2. All disciplinary proceedings against an athletic trainer shall be conducted in accordance with the provisions of KRS 311.591 , 311.592 , 311.593 , and 311.599 ; KRS Chapter 13B; and any related administrative regulations promulgated under KRS Chapter 311, except that the provisions which apply to physicians shall apply to athletic trainers.
  3. Notwithstanding any of the requirements for licensure established by KRS 311.900 to 311.928 , the board, after providing the applicant with reasonable notice of its intended action and a reasonable opportunity to be heard, may deny licensure to an applicant without a prior evidentiary hearing upon a finding that the applicant has violated any provisions of KRS 311.900 to 311.928 or is otherwise unfit to practice. Orders denying licensure may be appealed pursuant to KRS 311.593 .
  4. The board may impose restrictions on the scope of practice of an athletic trainer after providing the applicant with reasonable notice of its intended action and a reasonable opportunity to be heard. The Athletic Trainers Advisory Council may make recommendations on such restrictions.
  5. The provisions of this chapter shall not be construed as preventing or restricting the practices, services, or activities of a person licensed in accordance with the provisions of another law of the Commonwealth from engaging in the profession or occupation for which he or she is licensed.

HISTORY: Enact. Acts 2006, ch. 248, § 6, effective July 12, 2006; 2013, ch. 30, § 6, effective June 25, 2013; 2017 ch. 158, § 53, effective June 29, 2017.

311.910. Records — Roster of certified athletic trainers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 4, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.911. Inquiry panel powers.

  1. At any time when an inquiry panel established under KRS 311.591 has probable cause to believe that an athletic trainer has violated the terms of an agreed order as defined in KRS 311.550 or a disciplinary order, or that an athletic trainer’s practice constitutes a danger to the health, welfare, or safety of his or her patients or the general public, the inquiry panel may issue an emergency order in accordance with KRS 13B.125 suspending, limiting, or restricting the athletic trainer’s license.
  2. For the purposes of a hearing conducted under KRS 13B.125 on an emergency order issued under this section, the findings of fact in the emergency order shall constitute a rebuttable presumption of a violation of law that constitutes immediate danger to the health, welfare, or safety of patients or the general public. For the purposes of this hearing only, hearsay shall be admissible and may serve as a basis of the board’s findings.
  3. An emergency order as described in subsection (1) of this section shall not be issued unless grounds exist for the issuance of a complaint. The inquiry panel shall issue a complaint prior to the date of the emergency hearing or the emergency order shall become void.
  4. An order of temporary suspension, restriction, or limitation shall not be maintained after a final order as defined in KRS 311.550 is served on the charged athletic trainer pursuant to the proceeding on the complaint. An appeal of an emergency order shall not prejudice the board from proceeding with the complaint.

History. Enact. Acts 2006, ch. 248, § 7, effective July 12, 2006; 2013, ch. 30, § 7, effective June 25, 2013.

311.912. Fees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 7, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.914. Acting as athletic trainer without certification prohibited. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 8, effective July 1, 1979) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.916. Applicant qualifications — Nonresident applicants — Reciprocal licensing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 9, effective June 17, 1978; 1990, ch. 236, § 3, effective July 13, 1990; 1990, ch. 443, § 62, effective July 13, 1990) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.918. Application — Certificate — Temporary certificate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 10, effective June 17, 1978; 1990, ch. 236, § 4, effective July 13, 1990) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.920. Grounds for refusal to issue certificate, suspension or revocation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 11, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.922. Hearing on denial of application. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 12, effective June 17, 1978; 1984, ch. 251, § 9, effective July 13, 1984) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.924. Appeal to District Court. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 13, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.926. Certificates to persons actively engaged as athletic trainer on June 17, 1978. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 205, § 15, effective June 17, 1978) was repealed by Acts 2006, ch. 248, § 10, effective July 12, 2006.

311.928. Limitation on construction of KRS 311.900 to 311.928.

No provision of KRS 311.900 to 311.928 shall be construed so as to limit or prevent any person duly licensed or certified under the laws of this state from practicing the profession for which he was licensed or certified.

History. Enact. Acts 1978, ch. 205, § 16, effective June 17, 1978; 2006, ch. 248, § 8, effective July 12, 2006.

Disseminating Information on Treatment of Breast Cancer

311.935. Preparation of standardized written summary of information on alternatives in treatment of breast cancer — Distribution to patients.

  1. No later than one (1) year after July 13, 1984, the McDowell Cancer Network, Inc., and the James Graham Brown Cancer Center shall jointly develop and submit to the Cabinet for Health and Family Services and may periodically update a standardized written summary, in layman’s language and in language understood by the patient, of the advantages, disadvantages, risks, and descriptions of all medically efficacious and viable alternatives for the treatment of breast cancer.
  2. The Cabinet for Health and Family Services, within ninety (90) days of receipt of the summary, shall print and make available to all licensed physicians in the Commonwealth sufficient copies of the standardized written summary for distribution by such physicians to their patients.
  3. Upon receipt of the summary, any physician licensed under the laws of the Commonwealth who treats a patient for any form of breast cancer shall provide the patient with a standardized written summary, as provided under this section, informing the patient of medically efficacious and viable alternative methods of treatment for breast cancer which may include surgical, radiological, or chemotherapeutic treatment or combinations thereof.

History. Enact. Acts 1984, ch. 179, § 1, effective July 13, 1984; 1998, ch. 426, § 544, effective July 15, 1998; 2005, ch. 99, § 589, effective June 20, 2005.

Laetrile

311.950. Status of laetrile — May be prescribed, when. [Repealed]

History. Enact. Acts 1980, ch. 354, § 1, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 1, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.952. Availability of laetrile to patient. [Repealed]

History. Enact. Acts 1980, ch. 354, § 2, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 2, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.954. Manufacture, sale, or distribution permissive. [Repealed]

History. Enact. Acts 1980, ch. 354, § 3, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 3, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.956. Prescription and administration by physician. [Repealed]

History. Enact. Acts 1980, ch. 354, § 4, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 4, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.958. Written informed request. [Repealed]

History. Enact. Acts 1980, ch. 354, § 5, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 5, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.960. Written informed request to be filed with state board. [Repealed]

History. Enact. Acts 1980, ch. 354, § 6, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 6, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.962. Physician’s liability limited. [Repealed]

History. Enact. Acts 1980, ch. 354, §§ 9, 14, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, §§ 9, 14, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.964. Health care facility not to restrict use of laetrile — Exception. [Repealed]

History. Enact. Acts 1980, ch. 354, § 11, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 11, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.966. Laetrile not endorsed as treatment. [Repealed]

History. Enact. Acts 1980, ch. 354, § 12, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 12, effective July 15, 1980) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

Health Care Surrogates

311.970. Definitions for KRS 311.970 to 311.986. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 1) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.972. Designation of surrogate — Resignation — Persons prohibited from serving. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 2) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.974. Execution of designation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 3) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.976. Revocation of designation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 4) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.978. Powers of surrogate — Limitations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 5) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.980. Form of designation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 6) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.982. Refusal of health care provider to comply with designation — Effect of refusal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 7) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.984. Liabilities of surrogate — Effect of designation on life insurance — Right to make decision as to use of life-prolonging treatment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 8) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

311.986. Short title. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 123, § 9) was repealed by Acts 1994, ch. 235, § 13. For present law see KRS 311.621 to 311.643 .

Penalties

311.990. Penalties.

  1. Any person who violates KRS 311.250 shall be guilty of a violation.
  2. Any college or professor thereof violating the provisions of KRS 311.300 to 311.350 shall be civilly liable on his bond for a sum not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) for each violation, which may be recovered by an action in the name of the Commonwealth.
  3. Any person who presents to the county clerk for the purpose of registration any license which has been fraudulently obtained, or obtains any license under KRS 311.380 to 311.510 by false or fraudulent statement or representation, or practices podiatry under a false or assumed name or falsely impersonates another practitioner or former practitioner of a like or different name, or aids and abets any person in the practice of podiatry within the state without conforming to the requirements of KRS 311.380 to 311.510 , or otherwise violates or neglects to comply with any of the provisions of KRS 311.380 to 311.510, shall be guilty of a Class A misdemeanor. Each case of practicing podiatry in violation of the provisions of KRS 311.380 to 311.510 shall be considered a separate offense.
  4. Each violation of KRS 311.560 shall constitute a Class D felony.
  5. Each violation of KRS 311.590 shall constitute a Class D felony. Conviction under this subsection of a holder of a license or permit shall result automatically in permanent revocation of such license or permit.
  6. Conviction of willfully resisting, preventing, impeding, obstructing, threatening, or interfering with the board or any of its members, or of any officer, agent, inspector, or investigator of the board or the Cabinet for Health and Family Services, in the administration of any of the provisions of KRS 311.550 to 311.620 shall be a Class A misdemeanor.
  7. Each violation of KRS 311.375(1) shall, for the first offense, be a Class B misdemeanor, and, for each subsequent offense shall be a Class A misdemeanor.
  8. Each violation of KRS 311.375(2) shall, for the first offense, be a violation, and, for each subsequent offense, be a Class B misdemeanor.
  9. Each day of violation of either subsection of KRS 311.375 shall constitute a separate offense.
    1. Any person who intentionally or knowingly performs an abortion contrary to the requirements of KRS 311.723(1) shall be guilty of a Class D felony; and (10) (a) Any person who intentionally or knowingly performs an abortion contrary to the requirements of KRS 311.723(1) shall be guilty of a Class D felony; and
    2. Any person who intentionally, knowingly, or recklessly violates the requirements of KRS 311.723(2) shall be guilty of a Class A misdemeanor.
      1. Any physician who performs a partial-birth abortion in violation of KRS 311.765 shall be guilty of a Class D felony. However, a physician shall not be guilty of the criminal offense if the partial-birth abortion was necessary to save the life of the mother whose life was endangered by a physical disorder, illness, or injury. (11) (a) 1. Any physician who performs a partial-birth abortion in violation of KRS 311.765 shall be guilty of a Class D felony. However, a physician shall not be guilty of the criminal offense if the partial-birth abortion was necessary to save the life of the mother whose life was endangered by a physical disorder, illness, or injury.
      2. A physician may seek a hearing before the State Board of Medical Licensure on whether the physician’s conduct was necessary to save the life of the mother whose life was endangered by a physical disorder, illness, or injury. The board’s findings, decided by majority vote of a quorum, shall be admissible at the trial of the physician. The board shall promulgate administrative regulations to carry out the provisions of this subparagraph.
      3. Upon a motion of the physician, the court shall delay the beginning of the trial for not more than thirty (30) days to permit the hearing, referred to in subparagraph 2. of this paragraph, to occur.
    1. Any person other than a physician who performs a partial-birth abortion shall not be prosecuted under this subsection but shall be prosecuted under provisions of law which prohibit any person other than a physician from performing any abortion.
    2. No penalty shall be assessed against the woman upon whom the partial-birth abortion is performed or attempted to be performed.
  10. Any person who intentionally performs an abortion with knowledge that, or with reckless disregard as to whether, the person upon whom the abortion is to be performed is an unemancipated minor, and who intentionally or knowingly fails to conform to any requirement of KRS 311.732 is guilty of a Class A misdemeanor.
  11. Any person who negligently releases information or documents which are confidential under KRS 311.732 is guilty of a Class B misdemeanor.
  12. Any person who performs an abortion upon a married woman either with knowledge or in reckless disregard of whether KRS 311.735 applies to her and who intentionally, knowingly, or recklessly fails to conform to the requirements of KRS 311.735 shall be guilty of a Class D felony.
  13. Any person convicted of violating KRS 311.750 shall be guilty of a Class B felony.
  14. Any person who violates KRS 311.760(2) shall be guilty of a Class D felony.
  15. Any person who violates KRS 311.770 shall be guilty of a Class D felony.
  16. Except as provided in KRS 311.787 (3), any person who intentionally violates KRS 311.787 shall be guilty of a Class D felony.
  17. A person convicted of violating KRS 311.780 shall be guilty of a Class C felony.
  18. Except as provided in KRS 311.782 (6), any person who intentionally violates KRS 311.782 shall be guilty of a Class D felony.
  19. Any person who violates KRS 311.783(1) shall be guilty of a Class B misdemeanor.
  20. Any person who violates KRS 311.7705(1) is guilty of a Class D felony.
  21. Any person who violates KRS 311.7706(1) is guilty of a Class D felony.
  22. Except as provided in KRS 311.731(7), any person who violates KRS 311.731(2) shall be guilty of a Class D felony.
  23. Any physician, physician assistant, advanced practice registered nurse, nurse, or other healthcare provider who intentionally violates KRS 311.823(2) shall be guilty of a Class D felony. As used in this subsection, “healthcare provider” has the same meaning as in KRS 311.821 .
  24. Any person who violates KRS 311.810 shall be guilty of a Class A misdemeanor.
  25. Any professional medical association or society, licensed physician, or hospital or hospital medical staff who shall have violated the provisions of KRS 311.606 shall be guilty of a Class B misdemeanor.
  26. Any administrator, officer, or employee of a publicly owned hospital or publicly owned health care facility who performs or permits the performance of abortions in violation of KRS 311.800(1) shall be guilty of a Class A misdemeanor.
  27. Any person who violates KRS 311.905(3) shall be guilty of a violation.
  28. Any person who violates the provisions of KRS 311.820 shall be guilty of a Class A misdemeanor.
    1. Any person who fails to test organs, skin, or other human tissue which is to be transplanted, or violates the confidentiality provisions required by KRS 311.281 , shall be guilty of a Class A misdemeanor. (31) (a) Any person who fails to test organs, skin, or other human tissue which is to be transplanted, or violates the confidentiality provisions required by KRS 311.281 , shall be guilty of a Class A misdemeanor.
    2. Any person who has human immunodeficiency virus infection, who knows he is infected with human immunodeficiency virus, and who has been informed that he may communicate the infection by donating organs, skin, or other human tissue who donates organs, skin, or other human tissue shall be guilty of a Class D felony.
  29. Any person who sells or makes a charge for any transplantable organ shall be guilty of a Class D felony.
  30. Any person who offers remuneration for any transplantable organ for use in transplantation into himself shall be fined not less than five thousand dollars ($5,000) nor more than fifty thousand dollars ($50,000).
  31. Any person brokering the sale or transfer of any transplantable organ shall be guilty of a Class C felony.
  32. Any person charging a fee associated with the transplantation of a transplantable organ in excess of the direct and indirect costs of procuring, distributing, or transplanting the transplantable organ shall be fined not less than fifty thousand dollars ($50,000) nor more than five hundred thousand dollars ($500,000).
  33. Any hospital performing transplantable organ transplants which knowingly fails to report the possible sale, purchase, or brokering of a transplantable organ shall be fined not less than ten thousand dollars ($10,000) or more than fifty thousand dollars ($50,000).
    1. Any physician or qualified technician who violates KRS 311.727 shall be fined not more than one hundred thousand dollars ($100,000) for a first offense and not more than two hundred fifty thousand dollars ($250,000) for each subsequent offense. (37) (a) Any physician or qualified technician who violates KRS 311.727 shall be fined not more than one hundred thousand dollars ($100,000) for a first offense and not more than two hundred fifty thousand dollars ($250,000) for each subsequent offense.
    2. In addition to the fine, the court shall report the violation of any physician, in writing, to the Kentucky Board of Medical Licensure for such action and discipline as the board deems appropriate.
  34. Any person who violates KRS 311.691 shall be guilty of a Class B misdemeanor for the first offense, and a Class A misdemeanor for a second or subsequent offense. In addition to any other penalty imposed for that violation, the board may, through the Attorney General, petition a Circuit Court to enjoin the person who is violating KRS 311.691 from practicing genetic counseling in violation of the requirements of KRS 311.690 to 311.700 .
  35. Any person convicted of violating KRS 311.728 shall be guilty of a Class D felony.

History. 2615, 2615-3, 2618, 2618a-4, 2618a-12, 2618b-2, 2618b-4, 2651: amend. Acts 1948, ch. 176, § 15; 1950, ch. 86, § 24; 1952, ch. 150, §§ 17, 18; 1952, ch. 197, § 8; 1952, ch. 198, § 3; 1966, ch. 255, § 244; 1972, ch. 218, § 18; 1974, ch. 74, Art. VI, § 107(1); 1974, ch. 255, § 17(1) to (6); 1978, ch. 107, § 12; 1978, ch. 205, § 14; 1978, ch. 211, § 12; 1980, ch. 64, § 2, effective June 1, 1980; 1980, ch. 188, § 258, effective July 15, 1980; 1980, ch. 225, § 2, effective July 15, 1980; 1982, ch. 342, § 10, effective July 15, 1982; 1986, ch. 375, § 2, effective July 15, 1986; 1990, ch. 443, § 63, effective July 13, 1990; 1990, ch. 495, § 10, effective January 1, 1991; 1992, ch. 447, § 6, effective July 14, 1992; 1992, ch. 463, § 35, effective July 14, 1992; 1998, ch. 426, § 545, effective July 15, 1998; 1998, ch. 578, § 4, effective July 15, 1998; 1998, ch. 614, § 3, effective July 15, 1998; 2000, ch. 262, § 34, effective July 14, 2000; 2000, ch. 343, § 25, effective July 14, 2000; 2002, ch. 211, § 42, effective July 15, 2002; 2005, ch. 99, § 590, effective June 20, 2005; 2006, ch. 175, § 6, effective July 12, 2006; ch. 248, § 9, effective July 12, 2006; 2017 ch. 2, § 2, effective January 9, 2017; 2017 ch. 5, § 8, effective January 9, 2017; 2018, ch. 142, § 2, effective April 10, 2018; 2017 ch. 107, § 8, effective June 29, 2017; 2018 ch. 187, § 9, effective July 1, 2019; 2019 ch. 20, § 13, effective March 15, 2019; 2019 ch. 20, § 14, effective July 1, 2019; 2019 ch. 37, § 4, effective March 19, 2019; 2019 ch. 37, § 5, effective July 1, 2019; 2021 ch. 1, § 10, effective January 22, 2021.

Legislative Research Commission Notes.

(3/19/2019). 2019 Ky. Acts ch. 37, sec. 8, provides that 2019 Ky. Acts ch. 37 may be cited as the “Human Rights of the Unborn Child and Anti-Discrimination Act.” This statute was amended in Section 5 of that Act.

(1/9/2017). This statute was amended by 2017 Ky. Acts chs. 2 and 5, which do not appear to be in conflict and have been codified together.

(1/9/2017). 2017 Ky. Acts ch. 2, sec. 3 provides that the amendments made to this statute in 2017 Ky. Acts ch. 2, sec. 2 and KRS 311.727 created in Section 1 of that Act shall be known and may be cited as the Ultrasound Informed Consent Act.

NOTES TO DECISIONS

1.Standing to Challenge Act.

Obstetrician-gynecologists who regularly performed medical abortions and who were thereby subject to penalties for failing to obtain required consent had standing to challenge the written, spousal and parental consent requirements of KRS 311.740 (repealed). Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ).

The statute “directly operates” on physicians failing to obtain statutorily required consent by authorizing imprisonment or fine or both. Wolfe v. Schroering, 541 F.2d 523, 1976 U.S. App. LEXIS 7513 (6th Cir. Ky. 1976 ).

2.Constitutionality of Abortion Law.

The Kentucky “Partial Birth Abortion Act,” KRS 311.720 et seq. is invalid and unenforceable under the United States Constitution as the act’s “substantial portion” language broadens its scope to reach a significant number of the D&E’s as performed in Kentucky, which constitutes an undue burden on some women seeking a lawful abortion. Eubanks v. Stengel, 28 F. Supp. 2d 1024, 1998 U.S. Dist. LEXIS 17579 (W.D. Ky. 1998 ), aff'd, 224 F.3d 576, 2000 FED App. 0257P, 2000 U.S. App. LEXIS 18277 (6th Cir. Ky. 2000 ).

Because House Bill 2, codified at Ky. Rev. Stat. Ann. §§ 311.727 and 311.990(34), provides truthful, non-misleading, and relevant information about an abortion, it helps ensure informed consent to that procedure. It therefore is not subject to heightened scrutiny and complies with the First Amendment under case law. EMW Women's Surgical Ctr., P.S.C. v. Beshear, 920 F.3d 421, 2019 FED App. 62P, 2019 U.S. App. LEXIS 9945 (6th Cir.), cert. denied, 140 S. Ct. 655, 205 L. Ed. 2d 387, 2019 U.S. LEXIS 7296 (U.S. 2019).

Because House Bill 2, codified at Ky. Rev. Stat. Ann. §§ 311.727 and 311.990(34), requires the disclosure of truthful, non-misleading, and relevant information about an abortion, it does not violate a doctor’s right to free speech under the First Amendment. EMW Women's Surgical Ctr., P.S.C. v. Beshear, 920 F.3d 421, 2019 FED App. 62P, 2019 U.S. App. LEXIS 9945 (6th Cir.), cert. denied, 140 S. Ct. 655, 205 L. Ed. 2d 387, 2019 U.S. LEXIS 7296 (U.S. 2019).

House Bill 2, codified at Ky. Rev. Stat. Ann. §§ 311.727 and 311.990(34), provides truthful, non-misleading, and relevant information aimed at informing a patient about her decision to abort unborn life. Therefore, although the statute requires doctors to disclose certain truthful and non-misleading information relevant to the abortion procedure, it does not violate their First Amendment rights because the required disclosures are incidental to the Commonwealth’s regulation of doctors’ professional conduct. EMW Women's Surgical Ctr., P.S.C. v. Beshear, 920 F.3d 421, 2019 FED App. 62P, 2019 U.S. App. LEXIS 9945 (6th Cir.), cert. denied, 140 S. Ct. 655, 205 L. Ed. 2d 387, 2019 U.S. LEXIS 7296 (U.S. 2019).

3.Wrongful Discharge Claim.

Summary judgment for a health system employer in an employee’s wrongful discharge claim was error because based upon all of the evidence, a jury reasonably could have inferred that the employee’s involvement in reporting billing irregularities, in violation of KRS 205.8465 , and her involvement in reporting the inebriated treating physician issue to the investigator, in compliance with KRS 311.990(6), were substantial and motivating factors but for which the employee would not have been discharged. Follett v. Gateway Reg'l Health Sys., 229 S.W.3d 925, 2007 Ky. App. LEXIS 227 (Ky. Ct. App. 2007).

4.Enforcement.

House Bill 2 (H.B. 2), codified at Ky. Rev. Stat. Ann. §§ 311.727 and 311.990(34), and its penalty provision, in contrast with other statutes, do not delegate specific enforcement power to any single state actor. Ky. Rev. Stat. Ann. §§ 311.727 , 311.990(33). Multiple local prosecutors, the Commonwealth’s and county attorneys, have the duty to enforce H.B. 2. EMW Women's Surgical Ctr., P.S.C. v. Beshear, 920 F.3d 421, 2019 FED App. 62P, 2019 U.S. App. LEXIS 9945 (6th Cir.), cert. denied, 140 S. Ct. 655, 205 L. Ed. 2d 387, 2019 U.S. LEXIS 7296 (U.S. 2019).

Cited:

Hollis v. Commonwealth, 652 S.W.2d 61, 1983 Ky. LEXIS 248 ( Ky. 1983 ), overruled, Commonwealth v. Morris, 142 S.W.3d 654, 2004 Ky. LEXIS 153 ( Ky. 2004 ), overruled in part, Commonwealth v. Morris, 142 S.W.3d 654, 2004 Ky. LEXIS 153 ( Ky. 2004 ); Urella v. Kentucky Bd. of Medical Licensure, 939 S.W.2d 869, 1997 Ky. LEXIS 23 ( Ky. 1997 ).

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Kentucky Law Journal.

Notes, Kentucky’s New Abortion Law: Searching for the Outer Limits of Permissible Regulation, 71 Ky. L.J. 617 (1982-83).

Comment, Feticide: Murder in Kentucky?, 71 Ky. L.J. 933 (1982-83).

Northern Kentucky Law Review.

Note — Criminal Law — Murder — Intentional Killing of Viable Fetus Not Murder, 11 N. Ky. L. Rev. 213 (1984).

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

311.991. Penalty. [Repealed]

History. Enact. Acts 1980, ch. 354, § 13, effective July 15, 1980; 1998, ch. 426, § 546, effective July 15, 1998; 2005, ch. 99, § 591, effective June 20, 2005; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 354, § 13, effective July 15, 1980; 1998, ch. 426, § 546, effective July 15, 1998; 2005, ch. 99, § 591, effective June 20, 2005) was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

311.992. Penalty for violation of KRS 311.715.

Any person who intentionally or recklessly violates KRS 311.715 shall be guilty of a Class A misdemeanor.

History. Enact. Acts 1984, ch. 377, § 10, effective July 13, 1984; 1986, ch. 19, § 5(4), (5), effective July 15, 1986; 2010, ch. 161, § 35, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 311A Emergency Medical Services

311A.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Advanced emergency medical technician” or “AEMT” means a person certified by the board under this chapter as an advanced emergency medical technician;
  2. “Advanced practice paramedic” or “APP” means a paramedic licensed by the board under this chapter as a paramedic and certified by the board under this chapter in at least one (1) emergency medical services subspecialty, including community paramedic, critical care paramedic, wilderness paramedic, tactical paramedic, or flight paramedic;
  3. “Ambulance” means a vehicle which has been inspected and approved by the board, including a helicopter or fixed-wing aircraft, except vehicles or aircraft operated by the United States government, that are specially designed, constructed, or have been modified or equipped with the intent of using the same, for the purpose of transporting any individual who is sick, injured, or otherwise incapacitated who may require immediate stabilization or continued medical response and intervention during transit or upon arrival at the patient’s destination to safeguard the patient’s life or physical well-being;
  4. “Ambulance provider” means any individual or private or public organization, except the United States government, who is licensed by the board to provide medical services that may include transport at either basic life support level or advanced life support level and who may have a vehicle or vehicles, including ground vehicles, helicopters, or fixed-wing aircraft to provide such transportation. An ambulance provider may be licensed as a Class I, II, III, or IV ground ambulance provider, a Class VI medical first response provider, a Class VII air ambulance provider, or a Class VIII event medicine provider;
  5. “Board” means the Kentucky Board of Emergency Medical Services;
  6. “Community paramedic” or “CP” means an advanced practice paramedic certified under this chapter as a CP;
  7. “Emergency medical facility” means a hospital or any other institution licensed by the Cabinet for Health and Family Services that furnishes emergency medical services;
  8. “Emergency medical responder” or “EMR” means a person certified under this chapter as an EMR or EMR instructor;
  9. “Emergency medical services” or “EMS” means the services utilized in providing care for the perceived individual need for immediate medical care to protect against loss of life, or aggravation of physiological or psychological illness or injury;
  10. “Emergency medical services educator” or “EMS educator” means a person who is certified and licensed by the board under this chapter as a Level I, II, or III EMS educator to provide emergency medical services education and training with the scope of practice established by the board through administrative regulations;
  11. “Emergency Medical Services for Children Program” or “EMSC Program” means the program established under this chapter;
  12. “Emergency medical services medical director” means a physician licensed in Kentucky and certified by the board under this chapter who is employed by, under contract to, or has volunteered to provide supervision for a paramedic or an ambulance service, or both;
  13. “Emergency medical services personnel” means:
    1. Persons trained to provide emergency medical services and certified or licensed by the board under this chapter as an AEMT, APP, EMR, EMR instructor, EMT, EMT instructor, paramedic, or paramedic instructor; and
    2. Authorized emergency medical services medical directors and mobile integrated healthcare program medical directors, whether on a paid or volunteer basis;
  14. “Emergency medical services system” means a coordinated system of health-care delivery that responds to the needs of acutely sick and injured adults and children, and includes community education and prevention programs, mobile integrated healthcare programs, centralized access and emergency medical dispatch, communications networks, trained emergency medical services personnel, medical first response, ground and air ambulance services, trauma care systems, mass casualty management, medical direction, and quality control and system evaluation procedures;
  15. “Emergency medical services training or educational institution” means any organization licensed by the board under this chapter to provide emergency medical services training or education or in-service training, other than a licensed ambulance service which provides training, or in-service training in-house for its own employees or volunteers;
  16. “Emergency medical technician” or “EMT” means a person certified under this chapter as an EMT or EMT instructor;
  17. “Executive director” means the executive director of the Kentucky Board of Emergency Medical Services;
  18. “Mobile integrated healthcare” or “MIH” means a program licensed by the board under this chapter to provide services including evaluation, advice, and medical care for the purpose of preventing or improving a particular medical condition outside of a hospital setting to eligible patients who do not require or request emergency medical transportation;
  19. “Mobile integrated healthcare program medical director” or “MIH program medical director” means a physician licensed in Kentucky and certified by the board under this chapter who is employed by, under contract to, or has volunteered to provide supervision for a licensed MIH program;
  20. “Paramedic” means a person who is involved in the delivery of medical services and is licensed under this chapter;
  21. “Paramedic preceptor” means a licensed paramedic who supervises a paramedic student during the field portion of the student’s training;
  22. “Prehospital care” means the provision of emergency medical services, mobile integrated healthcare, or transportation by trained and certified or licensed emergency medical services personnel at the scene or while transporting sick or injured persons to a hospital or other emergency medical facility; and
  23. “Trauma” means a single or multisystem life-threatening or limb-threatening injury requiring immediate medical or surgical intervention or treatment to prevent death or permanent disability.

History. Enact. Acts 2002, ch. 211, § 1, effective July 15, 2002; 2005, ch. 99, § 592, effective June 20, 2005; 2019 ch. 100, § 1, effective June 27, 2019.

311A.015. Kentucky Board of Emergency Medical Services — Members — Terms — Quorum — Procedure — Removal of members — Reimbursement — Annual reports.

  1. The Kentucky Board of Emergency Medical Services is created and shall be attached to the Kentucky Community and Technical College System.
  2. The board shall consist of thirteen (13) members who are residents of Kentucky appointed by the Governor in conjunction with recognized state emergency medical services related organizations. Membership shall be made up of the following:
    1. One (1) emergency medical technician who works for a government agency but is not serving in an educational, management, or supervisory capacity;
    2. One (1) physician licensed in Kentucky serving as medical director of an advanced life support ambulance service selected from a list of three (3) physicians submitted by the Kentucky Medical Association;
    3. One (1) physician licensed in Kentucky who is routinely involved in the emergency care of ill or injured children selected from a list of three (3) physicians submitted by the Kentucky Medical Association;
    4. One (1) citizen having no involvement in the delivery of medical or emergency services;
    5. One (1) certified emergency medical services educator;
    6. One (1) fire-service-based, licensed Class I ground ambulance service administrator who is a certified emergency medical technician, an advanced emergency medical technician, or a licensed paramedic;
    7. One (1) licensed air ambulance service administrator or paramedic for a licensed air ambulance service headquartered in Kentucky;
    8. One (1) privately operated, licensed Class 1 ground ambulance service administrator who is a certified emergency medical technician, an advanced emergency medical technician, or a licensed paramedic;
    9. One (1) hospital administrator selected from a list of three (3) nominees submitted by the Kentucky Hospital Association;
    10. One (1) advanced life support ambulance provider who is an advanced emergency medical technician or a licensed paramedic, who works for a government agency but is not serving in an educational, management, or supervisory capacity;
    11. One (1) publicly operated Class I ground ambulance service administrator who is a certified emergency medical technician, an advanced emergency medical technician, or a licensed paramedic;
    12. One (1) mayor of a city that operates, either directly or through contract services, a licensed Class I ground ambulance service; and
    13. One (1) county judge/executive from a county that operates, whether directly or through contract services, a licensed Class I ground ambulance service.
    1. Members shall serve for a term of four (4) years, may be reappointed, and shall serve no more than two (2) consecutive terms. A member appointed to a partial term vacancy exceeding two (2) years shall be deemed to have served a full term. A former member may be reappointed following an absence of at least one (1) term. (3) (a) Members shall serve for a term of four (4) years, may be reappointed, and shall serve no more than two (2) consecutive terms. A member appointed to a partial term vacancy exceeding two (2) years shall be deemed to have served a full term. A former member may be reappointed following an absence of at least one (1) term.
    2. Any person serving on the board in a position eliminated on June 27, 2019, and whose term has not expired prior to June 27, 2019, may continue to serve in a voting, ex officio capacity until the expiration of his or her term.
  3. The board shall:
    1. Meet at least six (6) times a year; and
    2. At the first meeting of the board after September 1 of each year, elect a chair and vice chair by majority vote of the members present and

      set a schedule of six (6) regular meetings for the next twelve (12) month period.

  4. The board shall adopt a quorum and rules of procedure by administrative regulation.
    1. A member of the board who misses three (3) regular meetings in a twelve (12) month period shall be deemed to have resigned from the board and his or her position shall be deemed vacant. (6) (a) A member of the board who misses three (3) regular meetings in a twelve (12) month period shall be deemed to have resigned from the board and his or her position shall be deemed vacant.
    2. The failure of a board member to attend a special or emergency meeting shall not result in any penalty.
    3. The Governor shall appoint a person of the same class to fill the vacancy within ninety (90) days.
    4. The person removed under this subsection shall not be reappointed to the board for at least ten (10) years.
  5. Members of the board shall be entitled to reimbursement for actual and necessary expenses when carrying out official duties of the board in accordance with state administrative regulations relating to travel reimbursement.
  6. Annual reports and recommendations from the board shall be sent by September 1 each year to the Governor, the president of the Kentucky Community and Technical College System, and the General Assembly.

History. Enact. Acts 2002, ch. 211, § 2, effective July 15, 2002; 2006, ch. 243, § 1, effective July 12, 2006; 2019 ch. 100, § 2, effective June 27, 2019.

311A.020. Powers and duties of board — Executive director and deputy executive director — Persons employed by board — Transfer of personnel funds and equipment to Kentucky Community and Technical College System — Personnel committee.

  1. The board shall:
    1. Exercise all of the administrative functions of the state not regulated by the Board of Medical Licensure or Cabinet for Health and Family Services in the regulation of the emergency medical services system and the practice of emergency medical services, and emergency medical services training institutions, with the exception of employment of personnel as described in subsections (5) and (6) of this section;
    2. Issue any licenses or certifications authorized by this chapter;
    3. Oversee the operations and establish the organizational structure of the Office of the Kentucky Board of Emergency Medical Services, which is created and shall be attached to the board for administrative purposes. The office shall be headed by the executive director appointed under paragraph (d) of this subsection and shall be responsible for:
      1. Personnel and budget matters affecting the board;
      2. Fiscal activities of the board, including grant writing and disbursement of funds;
      3. Information technology, including the design and maintenance of databases;
      4. Certification and recertification of emergency medical responders;
      5. Certification and recertification of emergency medical technicians and advanced emergency medical technicians;
      6. Licensure and relicensure of ambulances, ambulance services, and mobile integrated healthcare programs;
      7. Licensure and relicensure of paramedics;
      8. Certification and recertification of advanced practice paramedics;
      9. Certification and recertification of EMS educators;
      10. Investigation of and resolution of quality complaints and ethics issues; and
      11. Other responsibilities that may be assigned to the executive director by the board;
    4. Employ an executive director and deputy executive director and fix the compensation. The executive director and deputy executive director shall serve at the pleasure of the board, administer the day-to-day operations of the Office of the Kentucky Board of Emergency Medical Services, and supervise all directives of the board. The director and deputy executive director shall possess a baccalaureate degree and shall have no less than five (5) years of experience in public administration or in the administration of an emergency medical services program;
    5. Employ or contract with a physician licensed in Kentucky who is board certified in emergency medicine and fix the compensation. The physician shall serve at the pleasure of the board and as the medical advisor to the Kentucky Board of Emergency Medical Services and the staff of the board;
    6. Employ or contract with an attorney licensed to practice law in Kentucky and fix the compensation. The attorney shall serve at the pleasure of the board and have primary assignment to the board;
    7. Employ personnel sufficient to carry out the statutory responsibilities of the board.
      1. Personnel assigned to investigate an emergency medical responder program complaint or regulate the emergency medical responder programs shall be certified emergency medical responders, emergency medical technicians, advanced emergency medical technicians, or licensed paramedics.
      2. Personnel assigned to investigate an emergency medical technician program complaint or regulate the emergency medical technician program shall be certified emergency medical technicians, advanced emergency medical technicians, or paramedics.
      3. Personnel assigned to investigate an advanced emergency medical technician program complaint or regulate the advanced emergency medical technician program shall be certified advanced emergency medical technicians or paramedics.
      4. Personnel assigned to investigate a paramedic program complaint or regulate the paramedic program shall be licensed paramedics.
      5. A person who is employed by the board who is licensed or certified by the board shall retain his or her license or certification if he or she meets the in-service training requirements and pays the fees specified by administrative regulation.
      6. A person who is employed by the board may instruct in emergency medical subjects in which he or she is qualified, with the permission of the board. All instruction shall be rendered without remuneration other than his or her state salary and the employee shall be considered as on state duty when teaching.
      7. A person who is employed by the board may render services for which the person is qualified at a declared disaster or emergency or in a situation where trained personnel are not available until those personnel arrive to take over the patient, or where insufficient trained personnel are available to handle a specific emergency medical incident. All aid shall be rendered without remuneration other than the employee’s state salary and the employee shall be considered as on state duty when rendering aid. In cases specified in this paragraph, the state medical advisor shall serve as the emergency medical services medical director for the employee;
    8. Establish committees and subcommittees and the membership thereof. Members of committees and subcommittees do not need to be members of the board;
    9. Enter into contracts, apply for grants and federal funds, and disburse funds to local units of government as approved by the General Assembly. All funds received by the board shall be placed in a trust and agency account in the State Treasury subject to expenditure by the board;
    10. Administer the Emergency Medical Services for Children Program; and
    11. Establish minimum curriculum and standards for emergency medical services training.
  2. The board may utilize materials, services, or facilities as may be made available to it by other state agencies or may contract for materials, services, or facilities.
  3. The board may delegate to the executive director, by written order, any function other than promulgation of an administrative regulation specified in this chapter.
  4. Except for securing funding for trauma centers , the board shall not serve as the lead agency relating to the development or regulation of trauma systems, but shall be a partner with other state agencies in the development, implementation, and oversight of such systems.
    1. The Kentucky Community and Technical College System shall employ personnel for the work of the board, and the personnel in the positions described in this section and all other persons in administrative and professional positions shall be transferred to the personnel system of the Kentucky Community and Technical College System on July 12, 2006, in the appropriate classification to carry out the mission of the board. All employees transferred under this paragraph shall have all employment records and months of service credit transferred to the Kentucky Community and Technical College System. Employees of the board transferred under this paragraph who subsequently return to state employment under KRS Chapter 18A shall have their employment records and months of service credit under the Kentucky Community and Technical College System transferred back to the KRS Chapter 18A personnel system, and the employment records and months of service credit shall be used in calculations for all benefits under KRS Chapter 18A. (5) (a) The Kentucky Community and Technical College System shall employ personnel for the work of the board, and the personnel in the positions described in this section and all other persons in administrative and professional positions shall be transferred to the personnel system of the Kentucky Community and Technical College System on July 12, 2006, in the appropriate classification to carry out the mission of the board. All employees transferred under this paragraph shall have all employment records and months of service credit transferred to the Kentucky Community and Technical College System. Employees of the board transferred under this paragraph who subsequently return to state employment under KRS Chapter 18A shall have their employment records and months of service credit under the Kentucky Community and Technical College System transferred back to the KRS Chapter 18A personnel system, and the employment records and months of service credit shall be used in calculations for all benefits under KRS Chapter 18A.
    2. New employees hired or contracted after July 12, 2006, shall be employed or contracted by the Kentucky Community and Technical College System.
  5. The board shall appoint a personnel committee consisting of the chair of the board, one (1) physician member of the board, one (1) ambulance service provider member of the board, one (1) additional member of the board selected by the chair of the board, and one (1) representative of the Kentucky Community and Technical College System administration. The personnel committee shall conduct an annual job performance review of the executive director, the medical advisor, and the board attorney that conforms with the personnel standards of the Kentucky Community and Technical College System and includes a recommendation for or against continued employment to be presented to the personnel office of the Kentucky Community and Technical College System.
  6. All state general fund moneys appropriated to the board, all federal funds, all moneys collected by the board, and all equipment owned by the board shall be transferred to the Kentucky Community and Technical College System on July 1, 2006.
  7. The board shall develop a proposed biennial budget for all administrative and operational functions and duties in conjunction with the Kentucky Community and Technical College System budget submission process. The Kentucky Community and Technical College System shall not make changes to the budget proposal submitted by the board, but may submit written comments on the board’s budget proposal to the board and other agencies in the budget submission process.

History. Enact. Acts 2002, ch. 211, § 3, effective July 15, 2002; 2005, ch. 99, § 593, effective June 20, 2005; 2006, ch. 243, § 2, effective July 12, 2006; 2019 ch. 100, § 3, effective June 27, 2019.

Legislative Research Commission Note.

(7/12/2006). 2006 Ky. Acts ch. 243, sec. 2, contained a reference to the “Kentucky Community and Technical System” in subsection (8) of this statute. The Reviser of Statutes has corrected that reference to read “Kentucky Community and Technical College System” under the authority of KRS 7.136 in accordance with KRS 164.580 , which established the Kentucky Community and Technical College System.

311A.025. Levels of certification or licensure — Administrative regulations — Emergency services medical director.

  1. The board shall, subject to the provisions of this chapter, create levels of certification or licensure, as appropriate for individuals providing services under this chapter. These may consist of but not be limited to:
    1. Emergency medical services educator, Level I, II, and III;
    2. Emergency medical responder;
    3. Emergency medical technician and advanced emergency medical technician;
    4. Paramedic, advanced practice paramedic, and paramedic preceptor;
    5. Emergency medical services medical director who supervises a person or organization licensed or certified by the board;
    6. Mobile integrated healthcare program medical director who supervises an MIH program licensed by the board;
    7. Emergency medical service training institution;
    8. Emergency medical service testing agency;
    9. Ground ambulance service, including categories thereof;
    10. Air ambulance service;
    11. Medical first response provider;
    12. Emergency medical dispatcher, emergency medical dispatch instructor, and emergency medical dispatch instructor trainer;
    13. Emergency medical dispatch center or public safety answering point; and
    14. Any other entity authorized by this chapter.
  2. The board shall promulgate administrative regulations for any certification or license the board may create. The administrative regulations shall, at a minimum, address:
    1. Requirements for students, if appropriate;
    2. Requirements for training;
    3. Eligibility for certification or licensure; and
    4. Renewal, recertification, and relicensure requirements.
  3. The board may authorize a physician licensed to practice in Kentucky to serve as an emergency medical services medical director if that physician meets the requirements specified by the board by administrative regulation.

History. Enact. Acts 2002, ch. 211, § 4, effective July 15, 2002; 2019 ch. 100, § 4, effective June 27, 2019.

NOTES TO DECISIONS

1.Supervision.

Defendants were entitled to summary judgment on a wrongful termination claim by an EMT since, while KRS 311A.165 did not require medical supervision of EMT’s, given the supervisory requirements of KRS 311A.165 and KRS 311A.025(1)(d), the EMT had to be terminated once the medical director withdrew his agreement to supervise the EMT. Miracle v. Bell County Emergency Med. Servs., 237 S.W.3d 555, 2007 Ky. App. LEXIS 235 (Ky. Ct. App. 2007).

311A.027. Residence requirement prohibited for response providers and licensed ambulance services — Response within specified time.

  1. No public agency, tax district, or other publicly funded emergency medical service first response provider or licensed ambulance service shall have a residence requirement for an employee of or volunteer for the organization.
  2. The provisions of subsection (1) of this section shall not preclude an employer or agency specified in subsection (1) of this section from having a requirement for response to a specified location within a specified time limit for an employee or volunteer who is off duty but who is on call to respond for work.

History. Enact. Acts 2002, ch. 308, § 1, effective July 15, 2002; repealed and reenact., Acts 2003, ch. 150, § 5, effective June 24, 2003.

311A.030. Administrative regulations relating to ambulance services, mobile integrated healthcare programs, first-response providers, and emergency medical services training institutions.

The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to carry out the functions of this chapter, including but not limited to:

  1. Licensing, inspecting, and regulating of ambulance services, mobile integrated healthcare programs, and medical first-response providers. The administrative regulations shall address specific requirements for:
    1. Class I ground ambulance providers, which provide basic life support or advanced life support services to all patients for emergencies or scheduled ambulance transportation which is medically necessary;
    2. Class II ground ambulance providers, which provide only basic life support services but do not provide initial response to the general population with medical emergencies and which are limited to providing scheduled ambulance transportation which is medically necessary;
    3. Class III ground ambulance providers, which provide mobile intensive care services at or above the level of advanced life support to patients with critical illnesses or injuries who must be transported between hospitals in vehicles with specialized equipment as an extension of hospital-level care;
    4. Class IV ground ambulance providers, which provide basic life support or advanced life support services and transportation for restricted locations such as industrial sites and other sites that do not provide services outside a designated site;
    5. Class V mobile integrated healthcare programs, which do not transport patients as a function of the program and which must be operated by or in affiliation with a Class I ambulance provider that provides emergency medical response in the geographic area;
    6. Class VI medical first response providers, which provide basic or advanced life support services, but do not transport patients;
    7. Class VII air ambulance providers, which provide basic or advanced life support services; and
    8. Class VIII event medicine providers, which provide basic or advanced life support services, but do not transport patients; and
  2. Licensing, inspecting, and regulating of emergency medical services training institutions.

Nothing in this section shall be construed to change or alter the issuance of certificates of need for emergency medical services providers.

History. Enact. Acts 2002, ch. 211, § 5, effective July 15, 2002; 2019 ch. 100, § 5, effective June 27, 2019.

311A.032. Posting of fee schedules of licensed ambulance providers — Report — Modification — Penalty — Administrative regulations.

  1. Each licensed ambulance provider, as defined in KRS 311A.010 , shall:
    1. Post in a conspicuous area of the main office, any satellite location, and on the company Web site, if the company hosts or otherwise maintains a Web site itself or through contract with another party, a comprehensive fee schedule of all services provided that is consistent with the Healthcare Common Procedure Coding System (HCPCS). The fee schedule shall:
      1. Clearly identify fees for services including base rates, mileage, disposable supply fees, and any other potential fees for services provided; and
      2. Be documented in understandable language with sufficient explanation to allow consumers to draw meaningful comparisons of fees among licensed ambulance providers;
    2. Provide a copy of this fee schedule to a beneficiary at the time of service upon request;
    3. Update fee schedules within fifteen (15) calendar days of any modification; and
    4. Submit a report of an initial ambulance provider fee schedule and any subsequent modifications to the Kentucky Board of Emergency Medical Services. The report shall be subject to open records requests under KRS 61.870 to 61.884 .
  2. The Kentucky Board of Emergency Medical Services shall:
    1. Assess a licensed ambulance provider a monetary penalty of one hundred fifty dollars ($150) per occurrence for failure to post or update a modified fee schedule as required under subsection (1) of this section; and
    2. Issue a statement of violation consistent with administrative regulations promulgated by the Kentucky Board of Emergency Medical Services.
  3. The Kentucky Board of Emergency Medical Services shall promulgate administrative regulations to implement the provisions of this section.

HISTORY: 2018 ch. 79, § 1, effective July 14, 2018.

311A.035. Functions of chapter to be carried out by board.

The board may carry out the functions of this chapter, including but not limited to:

  1. Establishing minimum data reporting requirements, including requirements specifically related to emergency medical services and trauma care of children, for ambulance providers and collection and analysis of data related to the provision of emergency medical services;
  2. Maintaining the Emergency Medical Services for Children Program with federal funds so designated plus any additional funds that may be appropriated by the General Assembly, or any other funds that may become available to the board, including gifts, grants, or other sources;
  3. Developing a statewide plan for the implementation of emergency medical services systems and trauma care systems within the Commonwealth of Kentucky that specifically addresses the unique needs of rural areas;
  4. Applying for, receiving, and disposing of federal, state, or private funds by grant, appropriation, donation, or otherwise for emergency medical services programs, personnel, and equipment; and
  5. Developing, monitoring, and encouraging other projects and programs that may be of benefit to emergency medical services in the Commonwealth.

Nothing in this section shall be construed to change or alter the issuance of certificates of need for emergency medical services providers.

History. Enact. Acts 2002, ch. 211, § 6, effective July 15, 2002.

311A.040. Advisory opinions.

  1. The board may, on petition by an interested party, issue an advisory opinion relating to the applicability to any person, property, or state of facts of a statute in this chapter, administrative regulation promulgated by the board, decision, order, or other written statement of law or policy within the jurisdiction of the board.
  2. An advisory opinion shall be binding on the board and all parties to the proceeding on the statement of facts alleged.
  3. The board may not retroactively change an advisory opinion, but nothing in this section shall prevent the board from prospectively changing an advisory opinion.
  4. The board shall promulgate an administrative regulation in accordance with KRS Chapter 13A on procedures for submission, consideration, reconsideration, and disposition of a petition for an advisory opinion.
  5. An advisory opinion of the board may be appealed to the Franklin Circuit Court within thirty (30) days of the date of the advisory opinion by the board.
  6. Each advisory opinion shall be a public record and shall be published in the manner specified by the board.
  7. When the board supersedes, vacates, modifies, or repeals a previous advisory opinion the new opinion shall specify each previous opinion affected.

History. Enact. Acts 2002, ch. 211, § 7, effective July 15, 2002; 2019 ch. 100, § 6, effective June 27, 2019.

311A.045. Coordinator and other positions — Emergency Medical Services for Children Program — Funds received by program.

  1. The board may employ or contract with a coordinator and other positions who shall serve at the pleasure of the board for the Emergency Medical Services for Children Program for which funding is provided by the General Assembly or through any other sources, including gifts, grants, or federal funds.
  2. The coordinator shall, subject to the direction of the board:
    1. Implement and oversee the Emergency Medical Services for Children Program described in this section; and
    2. Serve as liaison for collaboration and coordination between the Emergency Medical Services for Children Program, the board and other public and private organizations, the state traffic safety office, the maternal and child health program, the Medicaid department, the state and local child fatality review and response teams, state and local professional organizations, private sector voluntary organizations, and consumer and community representatives.
  3. The Emergency Medical Services for Children Program may include but not be limited to the establishment of the following:
    1. Guidelines for necessary out-of-hospital medical service equipment;
    2. Guidelines and protocols for out-of-hospital pediatric emergency medical services;
    3. Assistance in the development and provision of professional education programs for emergency medical services personnel for the provision of emergency care of infants and children;
    4. Coordination and cooperation between the Emergency Medical Services for Children Program and other public and private organizations interested or involved in emergency care for children, including those persons and organizations identified in subsection (2)(b) of this section; and
    5. Assistance with the purchase of equipment for the provision of medical services for children only.

      The scope of activities carried out by and the provision of staff for the Emergency Medical Services for Children Program shall be commensurate with the availability of funds.

  4. Funds received under this section may be distributed based upon a matching grant system to be developed by the board, and distribution shall be need-based. No single grant shall exceed two thousand dollars ($2,000) to the same grantee.
  5. Funds received by the Emergency Medical Services for Children Program shall be placed in a trust and agency account in the state treasury which shall not lapse unless grant provisions specify otherwise. No funds shall be expended from a grant except by vote of the board.

History. Enact. Acts 2002, ch. 211, § 8, effective July 15, 2002; 2003, ch. 69, § 2, effective June 24, 2003.

311A.050. Restrictions on persons and programs not licensed or certified — Activities prohibited to persons licensed or certified — Reporting of prohibited activities — Penalties and disciplinary action.

  1. No person shall:
    1. Call or hold himself or herself out as or use the title of emergency medical technician, advanced emergency medical technician, emergency medical responder, paramedic, advanced practice paramedic, emergency medical services educator, paramedic course coordinator, emergency medical services medical director, mobile integrated healthcare program medical director, or any other member of emergency medical services personnel unless licensed or certified under the provisions of this chapter. The provisions of this paragraph shall not apply if the board does not license or certify a person as an instructor in a particular discipline regulated by the board;
    2. Operate or offer to operate or represent or advertise the operation of a school or other educational program for emergency medical services personnel unless the school or educational program has been approved and licensed under the provisions of this chapter. The provisions of this paragraph shall not apply to continuing education provided by a licensed ambulance service for anyone certified or licensed by the board given by an ambulance service for its employees or volunteers; or
    3. Knowingly employ emergency medical services personnel unless that person is licensed or certified under the provisions of this chapter.
  2. No person licensed or certified by the board or who is an applicant for licensure or certification by the board shall:
    1. If licensed or certified, violate any provision of this chapter or any administrative regulation promulgated by the board;
    2. Use fraud or deceit in obtaining or attempting to obtain a license or certification from the board, or be granted a license upon mistake of a material fact;
    3. If licensed or certified by the board, grossly negligently or willfully act in a manner inconsistent with the practice of the discipline for which the person is certified or licensed;
    4. Be unfit or incompetent to practice a discipline regulated by the board by reason of negligence or other causes;
    5. Abuse, misuse, or misappropriate any drugs placed in the custody of the licensee or certified person for administration, or for use of others;
    6. Falsify or fail to make essential entries on essential records;
    7. Be convicted of a misdemeanor which involved acts that bear directly on the qualifications or ability of the applicant, licensee, or certified person to practice the discipline for which the person is an applicant, licensee, or certified person, if in accordance with KRS Chapter 335B;
    8. Be convicted of a misdemeanor which involved fraud, deceit, breach of trust, or physical harm or endangerment to self or others, acts that bear directly on the qualifications or ability of the applicant, licensee, or certificate holder to practice acts in the license or certification held or sought, if in accordance with KRS Chapter 335B;
    9. Be convicted of a misdemeanor offense under KRS Chapter 510 involving a patient or be found by the board to have had sexual contact as defined in KRS 510.010(7) with a patient while the patient was under the care of the licensee or certificate holder;
    10. Have had his or her license or credential to practice as a nurse or physician denied, limited, suspended, probated, revoked, or otherwise disciplined in Kentucky or in another jurisdiction on grounds sufficient to cause a license to be denied, limited, suspended, probated, revoked, or otherwise disciplined in this Commonwealth;
    11. Have a license or certification to practice in any activity regulated by the board denied, limited, suspended, probated, revoked, or otherwise disciplined in another jurisdiction on grounds sufficient to cause a license or certification to be denied, limited, suspended, probated, revoked, or otherwise disciplined in this Commonwealth;
    12. Violate any lawful order or directive previously entered by the board;
    13. Have been listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property; or
    14. Be convicted of, have entered a guilty plea to, or have entered an Alford plea to a felony offense, if in accordance with KRS Chapter 335B.
  3. It shall be unlawful for an employer of a person licensed or certified by the board having knowledge of the facts to refrain from reporting to the board on an official complaint form approved by the board through administrative regulation any person licensed or certified by the board who:
    1. Has been convicted of, has entered a guilty plea to, or has entered an Alford plea to a felony offense;
    2. Has been convicted of a misdemeanor or felony which involved acts that bear directly on the qualifications or ability of the applicant, licensee, or certified person to practice the discipline for which they are an applicant, licensee, or certified person;
    3. Is reasonably suspected of fraud or deceit in procuring or attempting to procure a license or certification from the board;
    4. Is reasonably suspected of grossly negligently or willfully acting in a manner inconsistent with the practice of the discipline for which they are certified or licensed;
    5. Is reasonably suspected of being unfit or incompetent to practice a discipline regulated by the board by reason of negligence or other causes, including but not limited to being unable to practice the discipline for which they are licensed or certified with reasonable skill or safety;
    6. Is reasonably suspected of violating any provisions of this chapter or the administrative regulations promulgated under this chapter;
    7. Has a license or certification to practice an activity regulated by the board denied, limited, suspended, probated, revoked, or otherwise disciplined in another jurisdiction on grounds sufficient to cause a license or certification to be denied, limited, suspended, probated, revoked, or otherwise disciplined in this Commonwealth;
    8. Is practicing an activity regulated by the board without a current active license or certification issued by the board;
    9. Is reasonably suspected of abusing, misusing, or misappropriating any drugs placed in the custody of the licensee or certified person for administration or for use of others; or
    10. Is suspected of falsifying or in a grossly negligent manner making incorrect entries or failing to make essential entries on essential records.
  4. A person who violates subsection (1)(a), (b), or (c) of this section shall be guilty of a Class A misdemeanor for a first offense and a Class D felony for each subsequent offense.
  5. The provisions of this section shall not preclude prosecution for the unlawful practice of medicine, nursing, or other practice certified or licensed by an agency of the Commonwealth.
  6. The filing of criminal charges or a criminal conviction for violation of the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the office of the board from instituting or imposing board disciplinary action authorized by this chapter against any person or organization violating this chapter or the administrative regulations promulgated thereunder.
  7. The institution or imposition of disciplinary action by the office of the board against any person or organization violating the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the filing of criminal charges against or a criminal conviction of any person or organization for violation of the provisions of this chapter or the administrative regulations promulgated thereunder.

History. Enact. Acts 2002, ch. 211, § 9, effective July 15, 2002; 2006, ch. 243, § 3, effective July 12, 2006; 2017 ch. 158, § 54, effective June 29, 2017; 2019 ch. 100, § 7, effective June 27, 2019.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

311A.055. Complaint of violation of chapter — Investigation — Notification — Preliminary inquiry board — Hearing — Order — Appeal — Discipline — Sexual contact with patient.

  1. In accordance with the provisions of KRS Chapter 13B, all discipline for which the board is authorized to conduct investigations, hold hearings, and impose punishments is delegated to the executive director, state medical advisor, board attorney, and hearing panels as provided herein.
  2. Any person may make a complaint to the executive director that an entity licensed or certified by the board, emergency medical services personnel, or any other person licensed or certified by the board has violated a provision of this chapter, an administrative regulation promulgated pursuant to this chapter, protocol, practice standard, or order of the board.
  3. Each complaint shall:
    1. Be in writing;
    2. Identify specifically the person or organization against whom the complaint is made;
    3. Set forth the facts relating to the violation alleged and any other supporting information which may have a bearing on the matter;
    4. Contain the name, address, telephone number, facsimile number, and e-mail address, if available, of the complainant;
    5. Be subscribed and sworn to as to the truth of the statements contained in the complaint by the complainant; and
    6. Be notarized.
  4. A complaint which is unsigned shall not be acted upon by the executive director. A complaint which is not subscribed and sworn in the manner specified in subsection (3) of this section shall be returned to the complainant for completion.
  5. The executive director of the board may, on behalf of the board, based on knowledge available to the office of the board, make a complaint against any person or organization regulated by the board in the same manner as provided in subsection (3) of this section.
  6. Upon receipt of a properly completed complaint, the executive director shall assign the complaint to a staff investigator who shall investigate the complaint and shall make findings of fact and recommendations to the executive director who shall then convene a preliminary inquiry board.
  7. When the executive director assigns a complaint to a staff investigator, he or she shall notify the person or organization against whom the complaint has been filed, the employer of the emergency services personnel against whom the complaint has been filed, the emergency medical services medical director or mobile integrated healthcare program medical director for the organization against whom the complaint has been filed or that employs the emergency medical services personnel against whom the complaint has been filed, and any other person or organization specified in this chapter.
  8. The notification shall name the person or organization complained against, the complainant, the violations alleged, and the facts presented in the complaint and shall notify the person or organization complained against, the employer, and the emergency medical services medical director of:
    1. The fact that the complaint shall be answered, the steps for answering the complaint, and the action to be taken if the complaint is not answered;
    2. The time frame and steps in the proceedings of a complaint;
    3. The rights of the parties, including the right to counsel; and
    4. The right to testify at any hearing.
  9. Upon the failure of a license or certificate holder to respond to a written accusation or to request a hearing within twenty (20) days after the sending of the accusation, the accused shall be considered to have admitted the truth of the facts and the circumstances in the allegation and appropriate discipline may be imposed.
  10. The preliminary inquiry board shall consist of one (1) member of the board selected by the chair, and two (2) persons representing the same category of certification or licensure as the defendant who are not members of the board appointed by the chairman of the board.
  11. After reviewing the complaint and results of any investigation conducted on behalf of the board, the preliminary inquiry board shall consider whether the accusation is sufficient to remand the matter for a hearing as provided in this section and KRS Chapter 13B. A majority vote of the members of the preliminary inquiry board shall be necessary for action to either remand the matter for hearing or dismiss the complaint without hearing.
  12. If the preliminary inquiry board dismisses the complaint, all parties notified previously shall be notified of the action. If the preliminary inquiry board remands the matter for a hearing, all parties notified previously shall be notified of the action.
  13. Each proceeding to consider the imposition of a penalty which the board is authorized to impose pursuant to this chapter shall be conducted in accordance with KRS Chapter 13B.
  14. A hearing panel for purposes of making a decision in any disciplinary matter shall consist of one (1) physician who may be a member of the board or who meets the qualifications of an emergency medical services medical director; one (1) person from the category of persons or organizations of the same class as the defendant; and the hearing officer, who shall not be involved in emergency medical services.
  15. The hearing officer may issue subpoenas to compel the attendance of witnesses and the production of documents in the conduct of an investigation. The subpoenas may be enforced by any Circuit Court for contempt. Any order or subpoena of the court requiring the attendance and testimony of witnesses and the production of documentary evidence may be enforced and shall be valid anywhere in this state.
  16. At all hearings the board attorney or, on request of the board, the Attorney General of this state or one (1) of the assistant attorneys general designated shall appear and represent the board.
  17. The emergency medical services provider or related employer of a person licensed or certified by the board and the emergency medical services medical director of such a person who is the defendant in a hearing shall be parties to the action and may appear and testify in the matter at any deposition or hearing on the matter and may propose conclusions of law, findings of fact, and penalties to the hearing panel.
  18. To make a finding or recommend discipline, the two (2) members of the hearing panel who are not the hearing officer shall agree on the finding or discipline. In the event of a tie vote, the hearing officer shall cast the deciding vote.
  19. The final order in any disciplinary proceeding shall be prepared by the executive director and sent to all parties in the manner prescribed by law.
  20. Any person or entity aggrieved by a final order of the board may appeal to the Franklin Circuit Court in accordance with the provisions of KRS Chapter 13B.
  21. The only discipline that the board may impose against an emergency medical services medical director is denial, suspension or withdrawal of the board’s approval for that person to serve as an emergency medical services medical director.
  22. If the executive director substantiates that sexual contact occurred between a licensee or certificate holder and a patient while the patient was under the care of or in a professional relationship with the licensee or certificate holder, the license or certification may be revoked or suspended with mandatory treatment of the person as prescribed by the executive director. The executive director may require the licensee or certificate holder to pay a specified amount for mental health services for the patient which are needed as a result of the sexual contact.

History. Enact. Acts 2002, ch. 211, § 10, effective July 15, 2002; 2006, ch. 243, § 4, effective July 12, 2006; 2019 ch. 100, § 8, effective June 27, 2019.

Legislative Research Commission Note.

(7/12/2006). In codifying 2006 Ky. Acts ch. 243, sec. 4, the Reviser of Statutes has corrected a manifest clerical or typographical error in subsection (10) of this statute under the authority of KRS 7.136 .

Opinions of Attorney General.

When viewed in conjunction, KRS 61.805(2)(e) and the mandatory language of KRS 311A.055 remove any doubt as to whether the Board is properly characterized as a public agency in this context. Insofar as the Review Board, standing alone, constitutes a public agency for purposes of the Open Meetings Act, the attorney general considers the total composition of the Board itself, rather than the total composition of the KBEMS, in determining whether a quorum of the Board was present on the date in question. OAG 06-OMD-262.

The Preliminary Inquiry Board violated the Open Meetings Act in relying upon KRS 61.810(1)(f) to conduct the closed session to discuss discipline of a licensee since this exception does not encompass licensees. Additionally, although the Board was operating as a “quasi-judicial” body engaged in deliberations regarding “individual adjudications,” the presence of “the person involved, his representatives,” and/or an individual “not a member of the agency’s governing body or staff” rendered KRS 61.810(1)(j) inapplicable. OAG 06-OMD-262.

311A.060. Sanctions for violations — Disciplinary actions — Criminal charges.

    1. If it is determined that an entity or a member of emergency medical services personnel regulated, licensed, or certified by the board has violated a statute, administrative regulation, protocol, or practice standard relating to serving as an entity or a member of emergency medical services personnel regulated by the board, the office of the board may impose any of the sanctions provided in subsection (2) of this section. Any party to the complaint shall have the right to propose findings of fact and conclusions of law, and to recommend sanctions. (1) (a) If it is determined that an entity or a member of emergency medical services personnel regulated, licensed, or certified by the board has violated a statute, administrative regulation, protocol, or practice standard relating to serving as an entity or a member of emergency medical services personnel regulated by the board, the office of the board may impose any of the sanctions provided in subsection (2) of this section. Any party to the complaint shall have the right to propose findings of fact and conclusions of law, and to recommend sanctions.
    2. For the purposes of this subsection, violation of “a statute, administrative regulation, protocol, or practice standard relating to serving as an entity regulated by the board, a paramedic, first responder, or emergency medical technician” shall include violation of KRS 304.39-215 and conduct that is subject to the penalties under KRS 304.99-060 (4) or (5).
  1. The office of the board shall require an acceptable plan of correction and may use any one (1) or more of the following sanctions when disciplining emergency medical services personnel or any entity regulated by the board:
    1. Private reprimand that shall be shared with each of the paramedic’s, emergency medical responder’s, advanced emergency medical technician’s, or emergency medical technician’s emergency medical services or related employer and medical director;
    2. Public reprimand;
    3. Fines of fifty dollars ($50) to five hundred dollars ($500) for a natural person or fifty dollars ($50) to five thousand dollars ($5,000) for a public agency or business entity;
    4. Revocation of certification or licensure;
    5. Suspension of certification or licensure until a time certain;
    6. Suspension until a certain act or acts are performed;
    7. Limitation of practice permanently;
    8. Limitation of practice until a time certain;
    9. Limitation of practice until a certain act or acts are performed;
    10. Repassing a portion of the paramedic, emergency medical responder, advanced emergency medical technician, or emergency medical technician examination;
    11. Probation for a specified time; or
    12. If it is found that the person who is licensed or certified by the board has been convicted of, pled guilty to, or entered an Alford plea to a felony offense, the license or certification shall be revoked.
  2. The filing of criminal charges or a criminal conviction for violation of the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the office of the board from instituting or imposing board disciplinary action authorized by this chapter against any person or organization violating this chapter or the administrative regulations promulgated thereunder.
  3. The institution or imposition of disciplinary action by the office of the board against any person or organization violating the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the filing of criminal charges against or a criminal conviction of any person or organization for violation of the provisions of this chapter or the administrative regulations promulgated thereunder.

History. Enact. Acts 2002, ch. 211, § 11, effective July 15, 2002; 2006, ch. 243, § 5, effective April 24, 2006; 2019 ch. 100, § 9, effective June 27, 2019; 2019 ch. 143, § 8, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 100 and 143, which do not appear to be in conflict and have been codified together.

311A.065. Psychological or physical evaluation.

  1. If the office of the board has reasonable cause to believe that any licensee or certificate holder or any applicant for licensure or certification by examination, reinstatement, or change of status is unable to practice with reasonable skill or safety or has abused alcohol or drugs, it may require the person to submit to a mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation by a licensed or certified practitioner designated by the board. Upon the failure of the person to submit to a mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation, unless due to circumstances beyond the person’s control, the office of the board may initiate an action for immediate temporary suspension pursuant to this chapter or deny the application until the person submits to the required evaluation. The office of the board may issue an immediate and temporary suspension from the time of the evaluation until the hearing.
  2. Every licensee or certificate holder or applicant for licensure or certification by examination, reinstatement, or change of status shall be deemed to have given consent to submit to a mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation when so directed in writing by the board. The direction to submit to an evaluation shall contain the basis of the office of the board’s reasonable cause to believe that the person is unable to practice with reasonable skill or safety, or has abused alcohol or drugs. The person shall be deemed to have waived all objections to the admissibility of the examining physician’s or psychologist’s testimony or evaluation reports on the ground of privileged communication.
  3. The licensee or certificate holder or applicant for licensure or certification by examination, reinstatement, or change of status shall bear the cost of any mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation ordered by the board.

History. Enact. Acts 2002, ch. 211, § 12, effective July 15, 2002; 2019 ch. 100, § 10, effective June 27, 2019.

311A.070. Written notice of complaint or proposed action.

  1. When a complaint is filed against an ambulance service, emergency medical services provider, or an emergency medical services educational institution or an employee or volunteer thereof, or when the office of the board is contemplating action against an ambulance service, emergency medical services provider, or emergency medical services educational institution or an employee or volunteer thereof, written notice of the complaint or proposed action shall be sent to:
    1. The county judge/executive, in the event of a county-operated ambulance service, emergency medical services provider, or educational institution;
    2. The mayor, in the event of a city-operated ambulance service, emergency medical services provider, or educational institution;
    3. The mayor, in the event of an urban-county government-operated ambulance service, emergency medical services provider, or educational institution;
    4. The chairman of the fire protection district, in the event of a fire district-operated ambulance service, emergency medical services provider, or educational institution;
    5. The head of the public agency, in the event of an ambulance service, emergency medical services provider, or educational institution operated by a public agency other than specified in paragraphs (a) to (d) of this subsection;
    6. The president, chancellor, or other officer in charge of an educational institution operated, in the event of an ambulance service or educational institution;
    7. The chief operating officer or president of a nonprofit corporation, corporation for profit, limited liability company, or other business entity, in the event of an ambulance service, emergency medical services provider, or educational institution operated by the business entity; and
    8. Both the ambulance service, emergency medical services provider, or educational institution officials specified in this subsection and the officials of any public agency contracting for services.
  2. The notice specified in this section shall be in addition to any notice provided to any other person or organization.

History. Enact. Acts 2002, ch. 211, § 13, effective July 15, 2002; 2007, ch. 137, § 138, effective June 26, 2007; repealed and reenact., Acts 2010, ch. 51, § 138, effective July 15, 2010.

311A.075. Immediate temporary suspension of license or certification — Hearing.

  1. The chair of the board, or his or her designee, in writing, may determine that immediate temporary suspension of a license or certification of a natural person against whom disciplinary action or an investigation is pending is necessary in order to protect the public. If the defendant is employed by an emergency medical services provider, the input of the employer’s emergency medical services medical director or mobile integrated healthcare program medical director may be sought with regard to the matter. In the event of an action against an organization, the determination that an immediate temporary suspension is necessary in order to protect the public shall be made by the chair of the board, or his or her designee, in writing. When this action may be necessary, the executive director, in writing, shall issue an emergency order suspending the licensee or certificate holder. Upon appeal of an emergency order, an emergency hearing shall be conducted in accordance with KRS 13B.125 .
  2. No board member shall be disqualified from serving on a disciplinary action hearing panel for the reason that he or she has previously sat on a preliminary inquiry panel hearing of the same licensee or certification holder.
  3. Disciplinary actions in which a license or certification has been temporarily suspended and a hearing shall be held in accordance with KRS 13B.125 within ninety (90) days unless the defendant requests an extension of time.
  4. The order of immediate temporary suspension shall remain in effect until either retracted or superseded by final disciplinary action by the office of the board. In cases where disciplinary action is imposed, the office of the board may additionally order that the temporary suspension continue in effect until the later expiration of time permitted for appeal or termination of the appellate process.

History. Enact. Acts 2002, ch. 211, § 14, effective July 15, 2002; 2006, ch. 243, § 6, effective July 12, 2006; 2019 ch. 100, § 11, effective June 27, 2019.

311A.080. Persons prohibited from operating ambulance service or first response program — Penalties.

  1. No person as defined in KRS 446.010 who is not licensed to do so, or whose license to do so has been suspended, revoked, or denied, shall operate an ambulance service or advanced life support emergency medical first response program.
  2. Any person as defined in KRS 446.010 who violates subsection (1) of this section is guilty of a Class A misdemeanor for the first offense and a Class D felony for each subsequent offense.
  3. The provisions of this section shall not preclude the board from revoking or increasing the suspension period of a person operating an ambulance service or advanced life support first response program which has illegally operated while its license is under suspension or has been revoked.
  4. The filing of criminal charges or a criminal conviction for violation of the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the board from instituting or imposing board disciplinary action authorized by this chapter against any person or organization violating this chapter or the administrative regulations promulgated thereunder.
  5. The institution or imposition of disciplinary action by the board against any person or organization violating the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the filing of criminal charges against or a criminal conviction of any person or organization for violation of the provisions of this chapter or the administrative regulations promulgated thereunder.

History. Enact. Acts 2002, ch. 211, § 15, effective July 15, 2002.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

311A.085. Notification of disciplinary action taken against business or professional licensee.

Any person licensed or certified by the board shall immediately notify the office of 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 is surrendered or terminated under threat of disciplinary action or is refused, suspended, or revoked, or if renewal of continuance is denied.

History. Enact. Acts 2002, ch. 211, § 16, effective July 15, 2002.

311A.090. Notification of criminal conviction.

Any person licensed or certified by the board shall, within thirty (30) days of entry of the final judgment, notify the office of the board in writing of any misdemeanor or felony criminal conviction in this Commonwealth or any other jurisdiction. Upon learning of any failure to notify the office of the board under this section, the office of the board may initiate an action for immediate temporary suspension under this chapter until the person submits the required notification.

History. Enact. Acts 2002, ch. 211, § 17, effective July 15, 2002.

311A.095. Expiration of license and certification — Renewal — Lapsed license or certification — Reinstatement — Correspondence — Retention of license or certification.

  1. A paramedic license, emergency medical responder certification, advanced emergency medical technician certification, or emergency medical technician certification shall:
    1. Be valid for a period of two (2) years upon renewal; and
    2. Expire on December 31 of the second year from its initial issuance.
  2. The license or certification of every person issued under the provisions of this chapter shall be renewed at least biennially except as provided in this section. At least six (6) weeks before the renewal date the office of the board shall send notification correspondence for renewal to every person for whom a license or certification was issued during the current licensure or certification period. The applicant shall complete and submit the application for renewal with the renewal fee prescribed by the board in an administrative regulation before the expiration date of his or her current license or certification. Upon receipt of the application and fee, the board shall verify the accuracy of the application to determine whether the licensee or person seeking certification has met all the requirements as set forth in this chapter and in the administrative regulations promulgated by the board, and, if so, shall issue to the applicant a license or certification to practice or engage in the activity for the ensuing licensure or certification period. Such license or certification shall render the holder a legal practitioner of the practice or activity specified in the license or certification for the period stated on it. The board shall prescribe by administrative regulation the beginning and ending of the licensure or certification period.
  3. Any person who is licensed or certified by the board who allows his or her license or certification to lapse by failing to renew the license or certification as provided in this section may be reinstated by the board by meeting the requirements of administrative regulations promulgated by the board.
  4. Correspondence regarding renewal of a license or certification shall be sent to the electronic mail address provided by the individual certified or licensed by the board.
  5. Any person engaging in any practice or activity regulated by the board during the time his or her license or certification has lapsed shall be considered an illegal practitioner and shall be subject to the penalties provided for violations of this chapter.
  6. Failure to receive correspondence for renewal of a license or certification shall not relieve a paramedic, emergency medical responder, advanced emergency medical technician, or emergency medical technician from the duty to renew his or her license or certification prior to December 31 of the year in which the license or certification expires.
  7. The duration of any license or certification issued by the board may be limited by disciplinary action of the board.
  8. Every license or certification issued by the board shall have the seal of the board affixed. A holder of a license or certification shall retain it in his or her possession and be prepared to exhibit it upon demand by an employer or anyone to whom the holder of the license or certification offers emergency medical services or any board or staff member of the Kentucky Board of Emergency Medical Services.
  9. Failure or refusal to produce a license or certification upon demand shall be prima facie evidence that no such license or certification exists.

History. Enact. Acts 2002, ch. 211, § 18, effective July 15, 2002; 2019 ch. 100, § 12, effective June 27, 2019.

311A.100. Criminal background investigation of applicant.

The board may require a criminal background investigation of an applicant for licensure or certification, including by means of a fingerprint check by the Department of Kentucky State Police or the Federal Bureau of Investigation, or both.

History. Enact. Acts 2002, ch. 211, § 19, effective July 15, 2002; 2007, ch. 85, § 295, effective June 26, 2007.

311A.105. Mailing and electronic mailing address — Service of notice or orders of board.

Any person as defined in KRS 446.010 licensed or certified by the board shall maintain a current mailing and electronic mailing address with the office of the board and immediately notify the board in writing of a change of mailing or electronic mailing address. As a condition of holding a license or certification from the board, a licensee or certificate holder is deemed to have consented to service of notice or orders of the board at the mailing address on file with the office of the board, and any notice or order of the board mailed or delivered to the mailing address on file with the board constitutes valid service of the notice or order.

History. Enact. Acts 2002, ch. 211, § 20, effective July 15, 2002; 2019 ch. 100, § 13, effective June 27, 2019.

311A.110. Educational course on AIDS for paramedics, first responders, and emergency medical technicians. [Repealed]

History. Enact. Acts 2002, ch. 211, § 21, effective July 15, 2002; repealed by 2019 ch. 100, § 25, effective June 27, 2019.

311A.115. Educational course on AIDS for paramedics. [Repealed]

History. Repealed, reenact. and amend. Acts 2002, ch. 211, § 45, effective July 15, 2002; 2005, ch. 99, § 594, effective June 20, 2005; 2015 ch. 113, § 9, effective June 24, 2015; repealed by 2019 ch. 100, § 25, effective June 27, 2019.

311A.120. Educational course and continuing education — Administrative regulations.

  1. As a condition of being issued a certificate or license as an emergency medical technician, advanced emergency medical technician, emergency medical responder, or paramedic, the applicant shall have completed a Kentucky Board of Emergency Medical Services-approved educational course on the transmission, control, treatment, and prevention of the human immunodeficiency virus and acquired immunodeficiency syndrome with an emphasis on appropriate behavior and attitude change.
  2. The board shall promulgate administrative regulations to require continuing education for emergency medical technicians, advanced emergency medical technicians, emergency medical responders, or paramedics that includes the completion of one (1) hour of board-approved continuing education covering the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 , at least one (1) time every two (2) year renewal cycle. The one (1) hour required under this section shall be included in the current number of required continuing education hours.
  3. The board shall promulgate administrative regulations to require continuing education for emergency medical technicians or first responders which includes the completion of a training course of at least one (1) hour covering awareness of sexual violence, including reporting options, care options, pre-hospital treatment considerations, knowledge of regional rape crisis centers, and how to access the SANE-ready list, at least one (1) time every two (2) year renewal cycle. The one (1) hour of continuing education required under this subsection shall be included in the current number of required continuing education hours.

History. Repealed, reenact. and amend. Acts 2002, ch. 211, § 46, effective July 15, 2002; 2010, ch. 171, § 12, effective July 15, 2010; 2015 ch. 113, § 10, effective June 24, 2015; 2019 ch. 85, § 1, effective June 27, 2019; 2019 ch. 100, § 14, effective June 27, 2019.

Compiler’s Notes.

This section was formerly compiled as KRS 311.6531 .

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 85 and 100, which do not appear to be in conflict and have been codified together.

311A.125. Continuing competence — Education courses.

  1. For each licensure renewal of a paramedic following the issuance of an initial license or certification by the board, as a prerequisite for license or certification renewal, all individuals licensed under the provisions of this chapter shall be required to document continuing competence during the immediate past licensure or certification period as prescribed in administrative regulations promulgated by the board.
  2. The board shall approve providers of emergency medical services education and continuing education. The approval may include recognition of providers approved by national organizations and state boards of emergency medical services with comparable standards. Standards for these approvals shall be set forth by the board in administrative regulations promulgated in accordance with KRS Chapter 13A. The board need not approve continuing education training provided by a licensed ambulance service for anyone certified or licensed by the board.
  3. The board shall work cooperatively with professional emergency medical services organizations, approved schools, and other potential sources of continuing education programs to ensure that adequate continuing education offerings are available statewide. The board may enter into contractual agreements to implement the provisions of this section.

History. Enact. Acts 2002, ch. 211, § 22, effective July 15, 2002; 2006, ch. 243, § 7, effective July 12, 2006; 2019 ch. 100, § 15, effective June 27, 2019.

311A.127. Course for paramedics on recognition and prevention of pediatric abusive head trauma. [Repealed]

History. Enact. Acts 2010, ch. 171, § 13, effective July 15, 2010; repealed by 2019 ch. 100, § 25, effective June 27, 2019.

311A.130. In-service training — Records — Penalties — Board recognition of training.

  1. The conduct of proper in-service training, including but not limited to in-house in-service training, in accordance with the standards specified by this chapter, administrative regulations, and the standards of relevant United States Department of Transportation curricula shall be that of the provider of the in-service training.
  2. If in-service training is conducted by an ambulance service, emergency medical services provider, or educational institution, the organization, the instructor, and its medical director share responsibility for the provision of training which meets or exceeds the requirements of subsection (1) of this section.
  3. Persons and organizations providing in-service training for any emergency medical services personnel shall keep the records required by the board by administrative regulation and shall make them available to a representative of the board upon request.
  4. Failure to keep a record required by the board by administrative regulation or required to be kept by statute, falsifying a record, or grossly negligently maintaining a record required to be kept by administrative regulation or statute shall be subject to action by the office of the board.
  5. Providing in-service training not meeting or exceeding the requirements specified in subsections (1) and (2) of this section shall be subject to action of the office of the board.
  6. Penalties specified in this section shall be in addition to any action which the board may be permitted to take against the license or certification of any person or organization.
  7. The board may refuse to recognize any in-service training not conducted in accordance with the provisions of this chapter, United States Department of Transportation curricula, or administrative regulations promulgated pursuant to this chapter. If the board determines that in-service training will not be accepted, the denial of credit shall be extended to all persons who completed that specific in-service training.

History. Enact. Acts 2002, ch. 211, § 23, effective July 15, 2002; 2019 ch. 100, § 16, effective June 27, 2019.

311A.135. Paramedics — Administrative regulations — Relicensure programs.

  1. The board shall promulgate administrative regulations relating to paramedics. The administrative regulations may include the classification and licensure of paramedics, instructor-trainers, instructors, and students and trainees; examinations; standards of training and experience; curricula standards; administration of drugs and controlled substances by paramedics under the direction or supervision of licensed physicians; issuance and renewal of licenses; and such other administrative regulations as may be necessary for the protection of public health and safety in the delivery of emergency medical services.
  2. Relicensure programs shall be organized to include continuing education and in-service training approved by the board.

History. Enact. Acts 2002, ch. 211, § 24, effective July 15, 2002.

311A.140. Emergency medical technicians — Administrative regulations — Renewal of certification and licensure — Paramedics to be certified as emergency medical technicians.

  1. The board shall promulgate administrative regulations relating to emergency medical technicians. The administrative regulations may include the classification and certification of emergency medical technicians, instructors, instructor-trainers, and students and trainees; examinations; standards of training and experience; curricula standards; issuance or renewal of certificates; hearing of appeals; and other administrative regulations as may be necessary for the protection of public health and safety in the delivery of emergency medical services. No additional testing or examinations shall be required for recertification, except for proficiency testing of new skills or knowledge, or areas in which there is documented evidence of deterioration of skills.
  2. Recertification programs shall be organized to include continuing education and in-service training approved by the board.
  3. An applicant for initial certification as an emergency medical responder, emergency medical technician, or advanced emergency medical technician, or licensure as a paramedic, shall be certified using the requirements and testing established by the National Registry of Emergency Medical Technicians or other agent chosen by the board.
  4. An applicant for certification renewal as an emergency medical responder, emergency medical technician, or advanced emergency medical technician, or renewal of licensure as a paramedic, shall meet the educational requirements for renewal of the appropriate certification or licensure credential as required by administrative regulations promulgated by the board or the requirements established by the National Registry of Emergency Medical Technicians or other agent chosen by the board in lieu of the standards established by the board.
  5. Except as provided in KRS 311A.060 , the board shall not require any additional course work, in-service training, testing, or examinations of a person who chooses the National Registry of Emergency Medical Technicians or other agent chosen by the board for certification or recertification as an emergency medical technician.
  6. Any person licensed by the board as a paramedic shall be certified as an emergency medical technician by the board. The certification shall be issued without fee, without additional training, in-service training, testing, or examination. The emergency medical technician certification shall be issued and expire at the same time that the paramedic license is issued or expires, and if a paramedic voluntarily gives up his or her license prior to the expiration of his or her paramedic license, his or her emergency medical technician certification shall be unaffected thereby. If a paramedic chooses not to be relicensed as a paramedic but chooses to retain his emergency medical technician certification, the paramedic shall, prior to the expiration of his paramedic license, complete the requirements for recertification as an emergency medical technician utilizing one (1) of the methods provided for in this section.
  7. A paramedic whose license as a paramedic or certification as an emergency medical technician is suspended, revoked, or denied by the board shall have the same action taken automatically with regard to his emergency medical technician certification or paramedic license.

History. Enact. Acts 2002, ch. 211, § 25, effective July 15, 2002; 2019 ch. 100, § 17, effective June 27, 2019.

311A.142. Reciprocity for certification or licensure of member of military as emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic — Reciprocity of licensure and certification with contiguous states — Administrative regulations.

  1. Any member of the United States military who is registered by the National Registry of Emergency Medical Technicians as an emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic shall be eligible for reciprocity for Kentucky certification or licensure at the same certification or licensure level.
  2. Any emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic that is currently certified or licensed and in good standing with a state contiguous to Kentucky shall be eligible for reciprocity at the same certification or licensure level in accordance with administrative regulations promulgated in accordance with KRS Chapter 13A.
  3. The Kentucky Board of Emergency Medical Services shall promulgate administrative regulations in accordance with KRS Chapter 13A as necessary to implement the provisions of this section.

History. Enact. Acts 2013, ch. 32, § 154, effective June 25, 2013; 2020 ch. 15, § 1, effective July 15, 2020.

311A.145. Fees and charges — Trust and agency fund.

  1. The board may, by administrative regulation, prescribe a reasonable schedule of fees and charges for:
    1. Examination;
    2. Issuance, renewal, and reinstatement of licenses;
    3. Issuance, renewal, and reinstatement of certifications;
    4. Inspections and reinspections;
    5. Applications; and
    6. Other services and materials provided by the board.
  2. All fees, charges, or other moneys collected or received by the board shall be paid into the State Treasury and credited to a trust and agency fund which shall not lapse, to be used by the board for the carrying out of the provisions of this chapter.

History. Enact. Acts 2002, ch. 211, § 26, effective July 15, 2002.

311A.150. Privileges and immunities of paramedics and first responders.

A paramedic licensed pursuant to this chapter and a first responder certified pursuant to this chapter shall have the privileges and immunities specified in KRS 411.148 , subject to the provisions of that statute.

History. Enact. Acts 2002, ch. 211, § 27, effective July 15, 2002.

NOTES TO DECISIONS

1.Applicability.

Paramedic and emergency medical technicians were not subject to the Good Samaritan immunity under KRS 411.148 and KRS 311A.150 as KRS 411.148 did not apply to the regular professional work responsibilities of paramedics for which they were paid; the paramedics provided care to a decedent in the normal course of their work, and they had a pre-existing duty to assist the decedent that was specifically exempted from the immunity granted by KRS 411.148. Cook v. Taylor, 2008 Ky. App. LEXIS 264 (Ky. Ct. App. Aug. 22, 2008), review denied, ordered not published, 2009 Ky. LEXIS 212 (Ky. Aug. 19, 2009).

311A.155. Emergency medical services grant program — Trust and agency account — Withholding funds for emergency purposes — Grants to fiscal courts — Administrative regulations — Emergency funding.

  1. There shall be an emergency medical services grant program to provide funding to each county for the direct operation of emergency medical services, including but not limited to purchase or lease of ambulances or equipment. Funds available shall not be used to fund personnel or consultant salaries.
  2. Funds appropriated to or received by the emergency medical services grant program shall be placed in a trust and agency account in the State Treasury and shall not lapse.
  3. The board shall administer the emergency medical services grant program and may promulgate administrative regulations, which shall include but not be limited to funding criteria necessary for its implementation and operation.
  4. Twenty percent (20%) of the funds received each fiscal year for the grant program may be withheld from general distribution and shall be distributed for emergency purposes only.
  5. Grants may be made each fiscal year to each county fiscal court determined to be eligible by the board for distribution to public ambulance services operated by or for the county. A county may keep funds appropriated to them for a period of two (2) years, if desired, for expenditure for authorized purposes. At the end of two (2) years from the date of the receipt of the grant, the county shall return any funds remaining unexpended to the emergency medical services grant fund. Each expenditure made by the fiscal court from grant funds provided to the county shall be documented, with appropriate receipts or other documents, and a copy of each receipt or other document shall be provided to the board to verify that the expenditure was proper. The board shall require reimbursement to the emergency medical services fund by the county, with interest at a rate of twenty percent (20%) annually, for any funds expended for an unauthorized purpose. If the county fails or refuses to reimburse the fund, the board shall notify the Attorney General, who shall seek appropriate civil and criminal remedies.
  6. The board shall, annually, by January 1, promulgate administrative regulations specifying items of equipment and other authorized expenditures for the upcoming fiscal year. No funds shall be provided to the county until after the start of the fiscal year.
  7. The board may, in the event of a documented situation which the board considers to be an emergency and beyond the ability of the county to pay, provide emergency funding to the fiscal court for an ambulance or authorized equipment which has been damaged or destroyed. Normal replacement of an ambulance or equipment shall not be considered an emergency. The amount of funding that may be provided by the board shall not exceed ten thousand dollars ($10,000). Only one (1) emergency funding request shall be granted for any county in each fiscal year. The amount of the emergency grant to the county shall be deducted from the county’s grant for the next fiscal year.

History. Enact. Acts 2002, ch. 211, § 28, effective July 15, 2002.

311A.160. First responders — Permitted activities — Reasonable control by employers — Utilization of first responders in medical care facilities.

  1. A first responder may, subject to the provisions of this section, perform any procedure:
    1. Specified in the most recent curriculum of the United States Department of Transportation training course for first responders; and
    2. Any additional procedure authorized by the board by administrative regulation.
  2. When there is a change in the United States Department of Transportation curriculum for first responders or the board approves an additional skill or procedure by administrative regulation, no person who was not trained under that curriculum shall perform any activity or procedure authorized by the new curriculum or administrative regulation unless the person has been trained according to the new curriculum or administrative regulation and demonstrates competency in the new knowledge or skill. Competency in a new skill shall be demonstrated through a return demonstration to a competent evaluator. If the board adopts the new procedure or skill, the board shall promulgate an administrative regulation specifying the new procedure, training requirements, examination requirements, and a time period during which the first responder shall successfully complete the new material or lose his or her certification as a first responder.
  3. Except as provided in subsection (2) of this section, nothing in this section shall prevent an employer from exercising reasonable fiscal control over the costs of providing emergency medical services to its citizens nor to prevent the employer from exercising any reasonable control over first responders providing emergency medical care on behalf of a licensed entity or other provider.
  4. Nothing in this section shall be construed to permit utilization of any certified first responder for the purpose of such individual working with primary responsibility and duties limited to hospitals, physician’s offices, clinics, or other definitive care facilities, except as a first responder trainee or as a full-time instructor of first responders.

History. Enact. Acts 2002, ch. 211, § 29, effective July 15, 2002.

311A.165. Emergency medical technicians — Permitted activities — Reasonable control by employers — Utilization of emergency medical technicians in medical care facilities.

  1. An emergency medical technician may, subject to the provisions of this section, perform any procedure:
    1. Specified in the most recent curriculum of the United States Department of Transportation training course for emergency medical technicians; and
    2. Any additional procedure authorized by the board by administrative regulation.
  2. When there is a change in the United States Department of Transportation curriculum for emergency medical technicians or the board approves an additional skill or procedure by administrative regulation, no person who was not trained under that curriculum or administrative regulation shall perform any activity or procedure in the new curriculum or administrative regulation unless the person has been trained according to the new curriculum or administrative regulation and demonstrates competency in the new knowledge or skill. Competency in a new skill shall be demonstrated through a return demonstration to a competent evaluator. If the board adopts the new procedure or skill, the board shall promulgate an administrative regulation specifying the new procedure, training requirements, examination requirements, and a time period during which the emergency medical technician shall successfully complete the new material or lose his or her certification as an emergency medical technician.
  3. Except as provided in subsection (2) of this section, nothing in this section shall prevent an employer from exercising reasonable fiscal control over the costs of providing emergency medical services to its citizens nor prevent the employer from exercising any reasonable control over emergency medical technicians providing emergency medical care upon behalf of the licensed entity or other provider.
  4. Nothing in this section shall be construed to permit utilization of a certified emergency medical technician for the purpose of such individual working with primary responsibility and duties limited to hospitals, physician’s offices, clinics, or other definitive care facilities, except as an emergency medical technician trainee or a full-time instructor of emergency medical technicians.

History. Enact. Acts 2002, ch. 211, § 30, effective July 15, 2002.

NOTES TO DECISIONS

1.Supervision.

Defendants were entiteld to summary judgment on a wrongful termination claim by an EMT since, while KRS 311A.165 did not require medical supervision of EMT’s, given the supervisory requirements of KRS 311A.165 and KRS 311A.025(1)(d), the EMT had to be terminated once the medical director withdrew his agreement to supervise the EMT. Miracle v. Bell County Emergency Med. Servs., 237 S.W.3d 555, 2007 Ky. App. LEXIS 235 (Ky. Ct. App. 2007).

311A.167. Procedures that an advanced medical technician may perform — New curriculum or administrative regulation — Reasonable control by employer — Construction.

  1. An advanced emergency medical technician may, subject to the provisions of this section, perform:
    1. Any procedure specified in the most recent curriculum of the United States Department of Transportation training course for advanced emergency medical technicians; and
    2. Any additional procedure authorized by the board by administrative regulation.
  2. When there is a change in the United States Department of Transportation curriculum for advanced emergency medical technicians or the board approves an additional skill or procedure by administrative regulation, no person who was not trained under that curriculum or administrative regulation shall perform any activity or procedure in the new curriculum or administrative regulation unless the person has been trained according to the new curriculum or administrative regulation and demonstrates competency in the new knowledge or skill. If the board adopts the new procedure or skill, the board shall promulgate an administrative regulation specifying the new procedure, training requirements, examination requirements, and a time period during which the advanced emergency medical technician shall successfully complete the new material or lose his or her certification as an advanced emergency medical technician.
  3. Except as provided in subsection (2) of this section, nothing in this section shall prevent an employer from exercising reasonable fiscal control over the costs of providing emergency medical services to its citizens nor prevent the employer from exercising any reasonable control over advanced emergency medical technicians providing emergency medical care upon behalf of the licensed entity or other provider.
  4. Nothing in this section shall be construed to permit utilization of a certified advanced emergency medical technician for the purpose of the individual working with primary responsibility and duties limited to hospitals, physician’s offices, clinics, or other definitive care facilities, except as an advanced emergency medical technician student.

HISTORY: 2019 ch. 100, § 21, effective June 27, 2019.

311A.170. Paramedics — Administrative regulations — Permitted activities — Employment by hospitals — Reasonable control by employers.

  1. Subject to the provisions of this section, a paramedic may perform any procedure:
    1. Specified in the most recent curriculum of the United States Department of Transportation training course for paramedics; and
    2. Any additional procedure specified by the board by administrative regulation.
  2. When there is a change in the United States Department of Transportation curriculum for paramedics, or the board approves an additional skill or procedure by administrative regulation, or approves a protocol differing from the curriculum or administrative regulations, no person who was not trained under that curriculum or administrative regulation shall perform any activity or procedure in the new curriculum, administrative regulation, or protocol unless the person has been trained according to the new curriculum, administrative regulation, or protocol and demonstrates competency in the new knowledge or skill. Competency in a new skill shall be demonstrated through a return demonstration to a competent evaluator. If the board adopts the new procedure or skill, the board shall promulgate an administrative regulation specifying the new procedure, training requirements, examination requirements, and a time period during which the paramedic shall successfully complete the material or lose his or her license as a paramedic.
  3. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A establishing the educational requirements, testing requirements, credentialing, and licensure requirements of advanced practice paramedics. Advanced practice paramedics shall validate competency as prescribed in administrative regulations and be identified as one (1) or more of the following certification levels of advanced practice paramedic:
    1. Certified community paramedic;
    2. Certified critical care paramedic;
    3. Certified flight paramedic;
    4. Certified tactical paramedic; or
    5. Certified wilderness paramedic.
  4. A paramedic may draw blood samples from a criminal defendant upon the request of a peace officer and the consent of the defendant, or without the consent of the defendant upon receipt of a court order requiring the procedure, if the paramedic is authorized to do so by his or her employer. The authorization shall be in writing and may be by general written policy of the employer and the service’s medical director. The paramedic who drew the blood sample shall deliver the sample to the peace officer or other person specified by the court in a court order and shall testify in court with regard thereto upon service of a proper subpoena.
  5. A paramedic shall be permitted to render services only under the supervision of a certified emergency medical services medical director, certified mobile integrated healthcare program medical director, or under the direct supervision of an emergency department medical director.
  6. A paramedic holding board certification as a community paramedic may provide mobile integrated healthcare services only as an employee of a mobile integrated healthcare program holding a Class V mobile integrated healthcare license in affiliation with a Class I ground ambulance provider.
  7. Any provision of this chapter other than this section relating to the requirement for additional training, requirement for skill examination, or approval of standing orders, protocols, or medical procedures to the contrary notwithstanding, a paramedic may be employed by a hospital to work as a licensed paramedic in the emergency department of the hospital subject to the following conditions:
    1. The hospital in collaboration with the medical staff shall provide operating procedures and policies under which the paramedic shall operate consistent with the paramedic’s scope of practice;
    2. A paramedic shall provide patient care services under the orders of a physician, physician assistant, advanced practice registered nurse, or as delegated by a registered nurse;
    3. Subject to the provisions relating to the scope of practice of a paramedic, a hospital may require a paramedic to take additional training on any subject or skill which the paramedic may be required to perform in a hospital and demonstrate competency in the skill or subject to a competent evaluator; and
    4. The paramedic does not violate the provisions of KRS 311A.175 or any other statute or administrative regulation relating to a paramedic. No provision of this section shall prevent a paramedic from being employed in any other section of the hospital where the paramedic’s job duties do not require certification or licensure by the board and do not otherwise constitute the unlawful practice of medicine.
  8. Except as provided in subsection (2) of this section, nothing in this section shall prevent an employer from exercising reasonable fiscal control over the costs of providing medical services to its citizens nor prevent the employer from exercising any reasonable control over paramedics providing care on behalf of the licensed entity.

History. Enact. Acts 2002, ch. 211, § 31, effective July 15, 2002; 2010, ch. 85, § 50, effective July 15, 2010; 2019 ch. 100, § 18, effective June 27, 2019.

NOTES TO DECISIONS

1.Supervision.

Defendants were entitled to summary judgment on a wrongful termination claim by a paramedic since, under KRS 311A.170(4), the paramedic could not be allowed to continue to work after a medical director refused to supervise the paramedic, regardless of the motivation of the medical director’s actions. Miracle v. Bell County Emergency Med. Servs., 237 S.W.3d 555, 2007 Ky. App. LEXIS 235 (Ky. Ct. App. 2007).

311A.175. Exceeding scope of practice — Discipline prohibited for refusal to exceed scope of practice.

  1. No certified emergency medical responder shall perform any act or procedure which exceeds the scope of practice of an emergency medical responder as specified in this chapter and in administrative regulations promulgated by the board.
  2. No emergency medical technician shall perform any act or procedure which exceeds the scope of practice of an emergency medical technician as specified in this chapter and in administrative regulations promulgated by the board.
  3. No advanced emergency medical technician shall perform any act or procedure which exceeds the scope of practice of an advanced emergency medical technician as specified in this chapter and in administrative regulations promulgated by the board.
  4. No paramedic shall perform any act or procedure which exceeds the scope of practice of a paramedic as specified in this chapter, administrative regulations promulgated by the board, protocol, standing order, or other document approved by the board.
  5. A certified emergency responder, emergency medical technician, advanced emergency medical technician, or licensed paramedic is presumed to know the standards of practice for his or her level of certification or licensure.
  6. It is the legal duty of an emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic to refuse to perform any act or procedure which is beyond the scope of practice for his or her level of certification or licensure regardless of whether that act or procedure is ordered by a physician, physician assistant, medical director, advanced practice registered nurse, registered nurse, or supervisor.
  7. No employer or organization for which an emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic has volunteered shall reprimand, discipline, or dismiss an emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic who has refused to perform an act or procedure which the emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic knows is in violation of the provisions of this section. Violation of this section by an employer or by an organization for which an emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic has volunteered shall be grounds for a legal action for wrongful discipline or wrongful discharge, as appropriate.
  8. The provisions of this section shall not apply to an order to perform an act or procedure:
    1. For which a license or certification by the board is not required and which otherwise do not constitute the unlawful practice of medicine; or
    2. For which no license or certification is required and does not involve medical care or treatment; or
    3. For which a license or certification issued by an agency other than the board is required and the emergency medical responder, emergency medical technician, advanced emergency medical technician, or paramedic holds such a license or certification.

History. Enact. Acts 2002, ch. 211, § 32, effective July 15, 2002; 2010, ch. 85, § 51, effective July 15, 2010; 2019 ch. 100, § 19, effective June 27, 2019.

311A.180. Medical control documents — Review — Approval — Appeal — Schedule for submission and review.

  1. Each emergency medical services medical director for an ambulance service, or other emergency medical services provider, shall submit:
    1. His or her protocols, including the pre-hospital care protocols related to the assessment, treatment, and transport of stroke patients;
    2. His or her standing orders; and
    3. Similar medical control documents to the board for approval prior to placing the document in use.
  2. The medical advisor for the board shall review each document submitted to ascertain if it is in accordance with accepted standards of medical care and in accordance with the provisions of this chapter and administrative regulations promulgated thereunder. If the protocol, standing order, or other medical control document clearly violates the accepted standards of medical care, this chapter, or an administrative regulation, the medical advisor shall notify the emergency medical services medical director of the exact violation and recommend a correction thereof.
  3. Following review of protocol, standing order, and medical control documents and giving the emergency medical services medical director who submitted the documents an opportunity to review the medical advisor’s comments, the medical advisor shall submit the documents together with his or her comments to the board for approval or disapproval.
  4. The board shall approve, disapprove, or approve with modifications protocol, standing order, and medical control documents submitted by the emergency medical services medical director at its next regular or special meeting following the submission of the documents.
  5. If a protocol, standing order, or other medical control document is disapproved by the board, the emergency medical services medical director who submitted it may appeal the decision to the Franklin Circuit Court. If the decision of the board is appealed to the Franklin Circuit Court, the board shall bear the burden of proving that the protocol, standing order, or other medical control document violates the accepted standards of medical care, or an administrative regulation.
  6. The board shall, by administrative regulation, specify a schedule for submission and prompt review and decision making with regard to protocols, standing orders, and medical control documents submitted to the board.

HISTORY: Enact. Acts 2002, ch. 211, § 33, effective July 15, 2002; 2015 ch. 9, § 2, effective June 24, 2015.

311A.185. Determination of death by paramedic — Notification — Instruction in making determination — Administration of life support measures.

  1. When it appears that a person whom a paramedic who has successfully completed training in determination of death has been called to attend is dead, the paramedic shall, utilizing the protocol specified by the board by administrative regulation, determine whether or not the patient is dead after resuscitation of the patient is attempted by the paramedic or an emergency medical technician who has responded with or after the paramedic, unless the protocol indicates that the patient is not capable of being resuscitated. If, after resuscitation has been attempted on a patient who the protocol deems is capable of being resuscitated, the patient has not been successfully resuscitated according to the protocol, the paramedic may discontinue further resuscitation efforts and proceed to determine whether the patient is dead and whether to declare the patient dead. If it is determined that death has occurred in accordance with the procedures of KRS 446.400 with regard to patients who have not been resuscitated, the paramedic may make the actual determination and pronouncement of death. This section shall not apply to patients who are in a hospital when apparent death occurs.
  2. In the event that a paramedic determines that a person is dead, the paramedic shall make the notifications required by KRS 72.020 and take the protective actions required by that statute.
  3. Any paramedic course taught after July 15, 1998, shall include a course of instruction on the determination of death and preservation of evidence as required by the board by administrative regulation.
  4. Any paramedic from another jurisdiction desiring to become a paramedic in Kentucky shall show evidence of successful completion of a training course in Kentucky meeting the requirements of subsection (3) of this section, and licensure as a paramedic shall be denied if the required evidence is not shown.
  5. The administration of cardiopulmonary resuscitation or other basic life support measures to the apparently dead person prior to the arrival of the paramedic by any person, for the purposes of this section and KRS 446.400 , shall not be considered as artificial maintenance of respiration and circulation. The administration of advanced cardiac life support procedures by any person, other than a registered nurse, prior to the arrival of the paramedic shall preclude the determination of death by the paramedic, and the provisions of KRS 446.400 shall apply. However, nothing in this section shall preclude the supervising physician from directing the paramedic to cease resuscitative efforts under approved agency medical protocols.
  6. The resuscitative efforts of a paramedic under the protocols authorized by this section shall not invoke the provisions of KRS 446.400 .

HISTORY: Enact. Acts 2002, ch. 211, § 34, effective July 15, 2002; 2018 ch. 183, § 12, effective July 14, 2018.

311A.190. Information furnished to board by providers and program — Patient care record report form — Annual reports — Confidentiality — Report to medical facility, ambulance provider, and patient — Records — Disclosure and admissibility of data and records.

  1. Each licensed ambulance provider, mobile integrated healthcare program, and medical first response provider as defined in this chapter shall collect and provide to the board patient care record data and information required by the board by this chapter and administrative regulation.
  2. The board shall develop a patient care record form for the use of each class of ambulance provider, mobile integrated healthcare program, and medical first response provider containing the data required in subsection (1) of this section. An ambulance provider, mobile integrated healthcare program, or medical first response provider may utilize any patient care record form it chooses in lieu of or in addition to the board developed patient care record form. However, the data captured on the patient care record form utilized by the ambulance service provider, mobile integrated healthcare program, or medical first response provider shall include at least that data which is required by the administrative regulations promulgated pursuant to subsection (1) of this section.
  3. An ambulance provider, mobile integrated healthcare program, or medical first response provider shall report the required patient care record data as prescribed through administrative regulations promulgated by the board by transmitting the required data and information to the board in an electronic format. If the board requires the use of a specific electronic format, it shall provide a copy of the file layout requirements, in either written or electronic format, to the licensed ambulance provider or medical first response provider at no charge.
  4. The board may publish a comprehensive annual report reflecting the data collected, injury and illness data, treatment utilized, and other information deemed important by the board. The annual report shall not include patient identifying information or any other information identifying a natural person. A copy of the comprehensive annual report, if issued, shall be forwarded to the Governor and the General Assembly.
  5. Ambulance provider, mobile integrated healthcare program and medical first response provider patient care records and the information transmitted electronically to the board shall be confidential. No person shall make an unauthorized release of information on an ambulance provider, mobile integrated healthcare program, or medical first response provider patient care record.Only the patient or the patient’s parent or legal guardian if the patient is a minor, or the patient’s legal guardian or person with proper power of attorney if the patient is under legal disability as being incompetent or mentally ill, or a court of competent jurisdiction may authorize the release of information on a patient’s care record or the inspection or copying of the patient care record.Any authorization for the release of information or for inspection or copying of a patient care record shall be in writing.
  6. An ambulance provider or medical first response provider that collects patient data through electronic means shall have the means of providing a patient care record or summary report that includes all required data elements to the medical care facility. A copy of the medical first response patient care record or summary report of the patient care record and patient information shall be made available to the ambulance service that transports the patient. A copy of the ambulance run report form shall be made available to any medical care facility to which a patient is transported and shall be included in the patient’s medical record by that facility. If a patient is not transported to a medical facility, the copy of the patient care record that is to be given to the transporting ambulance provider or medical care facility shall be given to the patient or to the patient’s parent or legal guardian upon request. If the ambulance provider, medical facility, patient, or patient’s legal guardian refuses delivery of their patient care record or is unavailable to receive the form, that copy of the patient care record shall be returned to the medical first response provider or ambulance provider and destroyed.
  7. All ambulance services and mobile integrated healthcare programs shall be required to keep adequate reports and records to be maintained at the ambulance base headquarters and to be available for periodic review as deemed necessary by the board. Required records and reports are as follows:
    1. Employee records, including a resume of each employee’s training and experience and evidence of current certification or licensure; and
    2. Health records of all personnel including records of all illnesses or accidents occurring while on duty.
  8. Data and records generated and kept by the board or its contractors regarding the evaluation of emergency medical care, mobile integrated healthcare programs, and trauma care in the Commonwealth, including the identities of patients, emergency medical services personnel, ambulance providers, medical first-response providers, and emergency medical facilities, shall be confidential, shall not be subject to disclosure under KRS 61.805 to 61.850 or KRS 61.870 to 61.884 , shall not be admissible in court for any purpose, and shall not be subject to discovery. However, nothing in this section shall limit the discoverability or admissibility of patient medical records regularly and ordinarily kept in the course of a patient’s treatment that otherwise would be admissible or discoverable.

History. Enact. Acts 2002, ch. 211, § 36, effective July 15, 2002; 2019 ch. 100, § 20, effective June 27, 2019.

Opinions of Attorney General.

Ambulance reports and emergency and EMS records must be withheld from an open records request unless a written release is first obtained, pursuant to the confidentiality provision of former KRS 216B.410 (now this section). OAG 01-ORD-75.

The Fiscal Court judge discharged his duty to disclose nonexempt information relating to emergency medical services runs in Henry County for a three month period by compiling that information from the ambulance run reports in a “recap sheet” that did not violate either KRS 61.878(1)(a) or former KRS 216B.410 . OAG 01-ORD-137.

311A.195. Administration of epinephrine — Supply of epinephrine and needles — Medical protocols.

  1. Any emergency medical technician and any paramedic shall be authorized to administer epinephrine to any person whom the EMT or paramedic has been called to attend if the EMT or paramedic makes an assessment that the person is exhibiting symptoms consistent with an anaphylactic reaction. The EMT or paramedic shall follow the medical protocol established by the medical director of the employing licensed ambulance service in determining the appropriate dose or doses of epinephrine and the routes for administration.
  2. Every ambulance provider in the Commonwealth shall:
    1. Maintain an adequate supply of epinephrine and disposable sterile needles and syringes on every ambulance that it operates; and
    2. Establish medical protocols to be used by EMT providers and paramedics in determining symptoms of an anaphylactic reaction, the appropriate dose or doses of epinephrine, and the routes for administration.

History. Enact. Acts 2002, ch. 211, § 43, effective July 15, 2002; 2003, ch. 69, § 7, effective June 24, 2003.

311A.200. Limited certification or license issued to felon in correctional institution — Penalties.

  1. The provisions of KRS 311A.050 relating to the certification and licensure of a felon as a first responder, emergency medical technician, or paramedic to the contrary notwithstanding, the board may issue a limited certification as a first responder or emergency medical technician or a limited license as a paramedic to a convicted felon who is currently serving a sentence for a felony and is in a facility operated by or under contract to the Department of Corrections.
  2. A felon with a limited certification or license shall be limited to performing his or her services only upon other inmates, visitors, or staff of an institution operated by or under contract to the Department of Corrections.
  3. Upon release by expiration of sentence, probation, shock probation, parole, or other form of early release or upon the escape of the inmate from confinement the license or certification shall automatically terminate. If the inmate has escaped from confinement he or she shall never be issued a future limited certification or license.
  4. All other provisions of this chapter relating to first responders, emergency medical technicians, paramedics, and their employment and supervision shall apply to convicted felons with a limited license or certification.
  5. An inmate who violates the provisions of this section shall be guilty of a Class D felony.

History. Enact. Acts 2002, ch. 211, § 44, effective July 15, 2002.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

CHAPTER 311B Medical Imaging, Radiation Therapy, and Related Occupations

311B.010. Legislative policy and intent.

  1. It is the declared policy of the General Assembly of Kentucky that the practice of medical imaging, radiation therapy, and related occupations should be regulated and controlled as provided by this chapter and by the administrative regulations of the board in order to protect and safeguard the health and safety of the citizens of the Commonwealth of Kentucky.
  2. Prior to July 12, 2012, the Cabinet for Health and Family Services has exercised effective oversight over the fields of medical imaging and radiation therapy, but it is the intent of the General Assembly that, as of July 12, 2012:
    1. These professions shall be governed by a peer-reviewed, practitioner-based body; and
    2. The board as established in this chapter is the best means to carry out this purpose.

History. Enact. Acts 2012, ch. 50, § 1, effective July 12, 2012.

311B.020. Definitions for chapter.

As used in this chapter, unless the context clearly requires otherwise:

  1. “Accredited educational program” means a program that is approved by a national organization acceptable to the board to provide education in medical imaging or radiation therapy;
  2. “Actively employed” means an individual who is appropriately credentialed and currently employed as an advanced imaging professional, medical imaging technologist, radiation therapist, an educator or administrator in any of these disciplines, or a limited X-ray machine operator;
  3. “Advanced imaging professional” means an individual who is credentialed by a nationally recognized certification organization that is recognized by the board;
  4. “Authorized user” means a physician, dentist, or podiatrist identified on a radioactive materials license that authorizes the medical use of radioactive materials if the license was issued by:
    1. The Cabinet for Health and Family Services;
    2. The United States Nuclear Regulatory Commission; or
    3. Another United States Nuclear Regulatory Commission agreement state;
  5. “Board” means the Kentucky Board of Medical Imaging and Radiation Therapy;
  6. “Credentialed” means someone who is certified and registered by an appropriate national organization that is recognized by the board;
  7. “Continuing education” means a learning activity that is planned, organized, and administered to enhance the professional knowledge and skills of a licensed individual of medical imaging or radiation therapy to provide services for patients, the public, or the medical profession;
  8. “Licensed practitioner” or “licensed practitioner of the healing arts” means a person licensed in Kentucky to practice medicine, osteopathy, dentistry, chiropractic, podiatry, or veterinary medicine;
  9. “Limited X-ray machine operator” means an individual who performs limited radiographic procedures in facilities where contrast studies, fluoroscopic, nuclear medicine, or radiation therapy procedures are not performed;
  10. “Medical imaging technologist” means an individual who has completed an accredited educational program in radiography, nuclear medicine, or other imaging modality recognized by the board and who is licensed and granted privileges under this chapter. Only an individual licensed as a medical imaging technologist shall be employed to perform medical imaging at a facility where contrast studies, fluoroscopic, nuclear medicine, or radiation therapy procedures are performed;
  11. “National organization” means:
    1. The American Society of Radiologic Technologists;
    2. The Nuclear Medicine Technology Certification Board;
    3. The American Registry of Radiologic Technologists;
    4. The Society of Nuclear Medicine Technologist Section;
    5. The Joint Review Committee on Education in Radiologic Technology;
    6. The Joint Review Committee on Educational Programs in Nuclear Medicine Technology;
    7. The American College of Radiology; or
    8. Another national organization recognized by the board;
  12. “Nuclear medicine technologist” means an individual who is authorized to prepare and administer radiopharmaceuticals, pharmaceuticals, and radionuclides under the direction of an authorized user to perform nuclear medicine procedures for diagnostic and therapeutic purposes;
  13. “Post-primary certification” means an individual who has primary certification and has been awarded post-primary certification by a national organization that has been recognized by the board;
  14. “Primary certification” means an individual who has successfully completed a formal educational program and certification in radiography, nuclear medicine, radiation therapy, or other modality recognized by the board;
  15. “Radiation therapist” means an individual who:
    1. Has completed an accredited educational program in radiation therapy;
    2. Is licensed by the board; and
    3. Is authorized to utilize ionizing radiation-generating equipment and sources of radiation for the planning, localization, and delivery of therapeutic procedures on human beings; and
  16. “Radiographer” means an individual who is authorized to use ionizing radiation-generating equipment to perform a comprehensive scope of diagnostic imaging procedures and is responsible for the operation of radiation-generating equipment, protecting the patient and staff from unnecessary radiation, and selecting the appropriate exposure to produce diagnostic images with the lowest reasonable exposure.

History. Enact. Acts 2012, ch. 50, § 2, effective July 12, 2012.

311B.030. Kentucky Board for Medical Imaging and Radiation Therapy — Qualifications, terms, and nomination of members.

  1. The Kentucky Board for Medical Imaging and Radiation Therapy is hereby created to promote, preserve, and protect the public health, safety, and welfare of the citizens of the Commonwealth of Kentucky by regulating and licensing individuals who use ionizing or nonionizing radiation as advanced imaging professionals, medical imaging technologists, radiographers, radiation therapists, nuclear medicine technologists, limited X-ray machine operators, or any combination of professions licensed under this chapter. The board shall consist of nine (9) members appointed by the Governor, with the following qualifications:
    1. Two (2) members shall be licensed radiographers whose primary work responsibilities are related to general diagnostic radiography;
    2. Two (2) members shall be licensed radiographers with a post-primary certification and whose primary work responsibilities are related to that post-primary certification;
    3. One (1) member shall be a licensed nuclear medicine technologist;
    4. One (1) member shall be a licensed radiation therapist;
    5. One (1) member shall be a licensed limited X-ray machine operator;
    6. One (1) member shall be a licensed medical imaging technologist or therapist who serves as an educator in an accredited program or as an administrator in a medical imaging or radiation therapy department; and
    7. One (1) member shall be an individual at-large from the general public with no family or business relation to health care but with an interest in the rights of consumers of health services.
  2. All board members, except the at-large member, shall have at least five (5) years of experience in their respective areas of certification or licensure and shall maintain active registry or certification and Kentucky licensure in medical imaging or radiation therapy during the term as a board member. Each board member shall be a resident of Kentucky or actively employed in medical imaging or radiation therapy in Kentucky, and shall be in good standing with the board.
    1. By May 1 of years in which terms expire, nominations of individuals for appointment to the board shall be submitted to the Governor and may be made by citizens of the Commonwealth of Kentucky through the Kentucky Society of Radiologic Technologists, the Kentucky Society of Nuclear Medicine Technologists, the board, or other professional imaging or radiation therapy organizations that are recognized by the board. (3) (a) By May 1 of years in which terms expire, nominations of individuals for appointment to the board shall be submitted to the Governor and may be made by citizens of the Commonwealth of Kentucky through the Kentucky Society of Radiologic Technologists, the Kentucky Society of Nuclear Medicine Technologists, the board, or other professional imaging or radiation therapy organizations that are recognized by the board.
    2. No two (2) board members shall be residents of the same county.
    3. A minimum of two (2) names per appointment shall be submitted to the Governor.
  3. The Governor shall make each appointment by September 1 for terms beginning November 1 of that same year. The initial terms of appointment shall be staggered with five (5) members appointed for four (4) years and four (4) members appointed for two (2) years. Thereafter, members shall be appointed to the board for terms of four (4) years, expiring on October 31 of the fourth year. A board member may serve two (2) consecutive appointments. After a second consecutive appointment, that individual may not be reappointed until at least one (1) full year has passed.

History. Enact. Acts 2012, ch. 50, § 3, effective July 12, 2012.

311B.040. Meetings — Officers — Quorum — Vacancies — Removal — Exemption from liability — Compensation.

  1. The board shall meet at least two (2) times annually and may meet at other times as needed. Special meetings shall be called by the chair, or by written petition of three (3) board members to the chair of the board.
  2. At the first meeting each year, the board shall elect by majority a chair to preside at the meetings for a one (1) year term. A vice chair shall be elected by the board to preside over board meetings in the chair’s absence.
  3. The board chair shall establish an agenda to conduct business for each meeting. The agenda shall be distributed to board members at least two (2) weeks prior to the scheduled meeting. Specific items for consideration shall be submitted at least thirty (30) days prior to the next board meeting.
  4. A majority of the board members shall constitute a quorum for the transaction of necessary business.
  5. Vacancies shall be filled in the manner of the original appointment for the length of the unexpired portion of the term only. Appointment to a vacancy for more than two (2) years shall constitute a full term of appointment.
  6. Upon recommendation by a majority of the board members and after notice and a hearing, the Governor may remove any member for failure to maintain the qualifications as a board member, incompetence, neglect of duty, or malfeasance in office. Any board member removed under this subsection shall be entitled to appeal the removal in the Franklin Circuit Court.
  7. There shall be no liability on the part of, and no action for damages against, any current or former board member, representative, agent, or employee of the board, when the person is acting with ordinary care, is functioning within the scope of board duties, is acting without malice, and has the reasonable belief that the actions taken by him or her are warranted by law.
  8. Each member of the board shall receive, in addition to travel, hotel, and other necessary expenses, a reasonable amount as determined by the board through the promulgation of administrative regulations for each day the member is engaged in the discharge of official duties at scheduled or called meetings of the board.

History. Enact. Acts 2012, ch. 50, § 4, effective July 12, 2012.

311B.050. Duties of board.

The board shall:

  1. Administer and enforce this chapter. The board alone shall have this authority;
  2. Promulgate administrative regulations to administer and enforce this chapter;
  3. Issue and renew the licenses of duly qualified applicants, following procedures established by the board through the promulgation of administrative regulations;
  4. Determine and enforce continuing education requirements and establish guidelines for approval of continuing education;
  5. Approve accredited educational programs of imaging or radiation therapy and monitor compliance with the educational standards established by the individual disciplines, as recognized by the board;
  6. Designate funds for scholarships, program development, or continued education;
  7. Investigate suspected or alleged violations of this chapter, conduct hearings and record minutes, resolve the allegations, and, if appropriate, impose sanctions or penalties; and
  8. Submit an annual report to the Governor and the Legislative Research Commission that provides information concerning the board’s work regarding licensure of professionals under this chapter and that lists all hearings conducted by the board and the decisions rendered.

History. Enact. Acts 2012, ch. 50, § 5, effective July 12, 2012.

311B.060. Powers of board.

The board may:

  1. Hire an executive director, set compensation appropriate for the administrative responsibilities of the position, and delegate to the executive director those duties for daily operation;
  2. Appoint ad hoc committees, if necessary, to conduct the business of the board;
  3. Hire legal counsel as needed;
  4. Employ an administrative assistant or assistants to assist the executive director in the completion of daily activities and responsibilities of this chapter; and
  5. Employ or contract with other persons as needed to carry out the work of the board.

History. Enact. Acts 2012, ch. 50, § 6, effective July 12, 2012.

311B.070. Executive director — Qualifications — Duties — Bond.

  1. The executive director shall have demonstrated administrative experience relative to budget, management, organizational abilities, and professional communication. The executive director shall:
    1. Be a licensed medical imaging technologist or radiation therapist;
    2. Have a minimum of a bachelor’s degree; and
    3. Meet the qualifications of a board member as required under KRS 311B.030(2).
  2. The executive director shall implement and oversee the licensure process of advanced imaging professionals, medical imaging technologists, radiographers, radiation therapists, nuclear medicine technologists, and limited X-ray machine operators as defined by the board. The executive director shall, at a minimum:
    1. Receive and evaluate applications for licenses;
    2. Document continuing education by licensees;
    3. Report suspected allegations of violations of this chapter to the board;
    4. Serve as corresponding secretary for the board;
    5. Supervise and evaluate administrative assistants and other office staff hired or contracted by the board;
    6. Assist the board chair in coordinating regular and special meetings and agendas;
    7. Maintain records of the actions of the board;
    8. Obtain an annual audit of the funds received and disbursed;
    9. Prepare and submit reports as needed;
    10. Serve as liaison between educational programs and the board; and
    11. Serve as liaison between the board and:
      1. State and national professional and accrediting organizations; and
      2. Other Kentucky boards and agencies.
  3. The executive director and other persons designated by the board shall be bonded by the state in an amount as determined by the board to be approved by the State Treasurer for the faithful performance of related duties.

History. Enact. Acts 2012, ch. 50, § 7, effective July 12, 2012.

311B.080. Board to recognize and enforce national standards.

The board shall recognize and enforce the current rules and regulations, practice standards, scopes of practice, and ethical standards for the nationally recognized professional organizations and certifying bodies for technologists and therapists regulated by this chapter.

History. Enact. Acts 2012, ch. 50, § 8, effective July 12, 2012.

311B.090. Restrictions on unlicensed persons — Application of chapter.

  1. No person shall engage or attempt to engage 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 licensed in accordance with the provisions of this chapter.
  2. This chapter shall not apply to any individual licensed in the Commonwealth of Kentucky as a licensed practitioner of the healing arts, any student enrolled in an approved educational program in medical imaging technology or radiation therapy, or any employee of the federal government engaged in the performance of official duties within the state.
  3. Misuse of regulated credentials shall result in disciplinary action by the board in addition to possible action by the credentialing agency.
  4. Nothing in this chapter or in the administrative regulations promulgated by the board pursuant to this chapter shall be interpreted to limit or restrict a licensed health care practitioner or provider from engaging in the full scope of practice authorized by the license for that person’s profession, training, or services.

History. Enact. Acts 2012, ch. 50, § 9, effective July 12, 2012.

311B.100. License required — Qualifications for various categories to be established by board — Licensure of applicants licensed or certified in another jurisdiction.

  1. The following individuals are required to apply for and receive a license from the Commonwealth of Kentucky before performance of any procedures utilizing radiation for either medical imaging or radiation therapy:
    1. Advanced imaging professionals;
    2. Medical imaging technologists;
    3. Radiographers;
    4. Radiation therapists;
    5. Nuclear medicine technologists; and
    6. Limited X-ray machine operators.
  2. Qualifications for the above categories shall be established by the board through the promulgation of administrative regulations. The board may also identify other specialties or categories of duties consistent with this chapter through the promulgation of administrative regulations.
  3. An applicant for licensure under subsection (1)(a) to (e) of this section who did not graduate from an accredited educational program, is licensed or certified in another jurisdiction with requirements and privileges comparable to Kentucky’s, and has:
    1. Graduated from a postsecondary institution in a course of study focusing on one (1) of the licensing categories listed in subsection (1) of this section;
    2. Passed a certifying examination from a national organization demonstrating competence in his or her subject matter area;
    3. An active valid license or certificate and has not been professionally disciplined or reprimanded by any credentialing jurisdiction or national organization; and
    4. Provided the board with evidence of:
      1. At least five (5) years of experience as an advanced imaging professional; and
      2. Maintenance of continuing education requirements during his or her period of licensure or certification; shall, upon application and payment of an application fee to the board, be granted licensure by the board in his or her category, unless the board can show cause for denial under KRS 311B.150(4).

History. Enact. Acts 2012, ch. 50, § 10, effective July 12, 2012; 2017 ch. 13, § 1, effective March 10, 2017.

311B.110. Application for licensure — Display of license — Continuing education — Renewal — Inactive status — Administrative regulations.

  1. An applicant for licensure as an advanced imaging professional, medical imaging technologist, radiographer, radiation therapist, nuclear medicine technologist, or limited X-ray machine operator shall file an application in a format prescribed by the board.
  2. Licensees shall display or have available an original current license at any place of employment. It shall be unlawful for any person to display a license in an effort to misrepresent his or her qualifications. An individual who no longer meets the licensure requirements shall not display a license nor purport to have the qualifications.
  3. Licensees shall meet continuing education requirements.
  4. Licenses shall be renewed or reinstated in accordance with the requirements set out by the board.
  5. Licenses may be placed on inactive status for those who are not actively employed, as defined by this chapter. To reactivate an inactive license, the applicant shall submit a new application and required fee and meet all requirements for reactivation.
  6. The requirements of this section shall be established by the board through the promulgation of administrative regulations.

History. Enact. Acts 2012, ch. 50, § 11, effective July 12, 2012.

311B.120. Board to set fees and penalties by administrative regulation.

The board shall, through the promulgation of administrative regulations, set appropriate fees and penalties for:

  1. The application process;
  2. Verification of qualifications;
  3. Issuance and renewal of licenses for advanced imaging professionals, medical imaging technologists, radiographers, radiation therapists, nuclear medicine technologists, and limited X-ray machine operators;
  4. Duplicate licenses;
  5. Home study courses for limited X-ray machine operators;
  6. Late renewals or reinstatements;
  7. Violations;
  8. Checks issued on accounts with insufficient funds; and
  9. Any other actions as deemed appropriate by the board.

History. Enact. Acts 2012, ch. 50, § 12, effective July 12, 2012.

311B.130. Trust and agency fund for administration of chapter.

  1. On behalf of the board, the executive director shall receive and account for all moneys collected pursuant to the provisions of this chapter, or the administrative regulations promulgated pursuant to this chapter, and shall deposit all such moneys into the State Treasury, to be credited to a trust and agency fund which is hereby created for the purpose of defraying the costs and expenses of the administration of this chapter in the manner provided for other similar licensure agencies and boards of the Commonwealth.
  2. These moneys shall be used for the reimbursement of board members for actual and necessary expenses incurred in the performance of their official duties, the compensation of all of the employees of the board, and payment of all other operational expenses incurred in fulfilling the board’s duties as described in this chapter and administrative regulation, and are hereby appropriated for those purposes.
  3. No part of this fund shall revert to the general fund of the Commonwealth.
  4. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse but shall be carried forward into the succeeding fiscal year to be used for the purposes set forth in this chapter.
  5. Any interest earnings of the fund shall become a part of the fund and shall not lapse.

History. Enact. Acts 2012, ch. 50, § 13, effective July 12, 2012.

311B.140. Waiver of licensure fees for active duty members of Armed Forces — Renewal of license upon release.

  1. Normal licensure fees shall be waived for persons who provide the board with documentation of active duty in the United States Armed Forces.
  2. Upon release from active duty, a licensee shall not be required to seek reinstatement of an expired license if the licensee seeks renewal of the license within thirty (30) days by submitting the appropriate fees and documentation of continuing education requirements.
  3. Upon release from active duty, a licensee may renew an unexpired license according to the usual cycle.
  4. Other situations related to military service will be evaluated on an individual basis by the board.

History. Enact. Acts 2012, ch. 50, § 14, effective July 12, 2012.

311B.150. Prohibited activities.

It shall be unlawful for any person to:

  1. Claim to be a licensee or perform medical imaging or therapeutic procedures unless licensed under this chapter;
  2. Manipulate equipment that produces ionizing radiation or administer radiopharmaceuticals unless licensed under this chapter;
  3. Knowingly employ an advanced imaging professional, medical imaging technologist, radiographer, radiation therapist, nuclear medicine technologist, or limited X-ray machine operator unless that individual is licensed under the provisions of this chapter; or
  4. Be an advanced imaging professional, medical imaging technologist, radiographer, radiation therapist, nuclear medicine technologist, limited X-ray machine operator, employer of one (1) of these individuals, or any other person who, having knowledge of a situation listed in paragraphs (a) to (j) of this subsection, refrains from reporting to the board a licensee who:
    1. Has been convicted 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;
    2. Is suspected of fraud or deceit in procuring or attempting to procure a license or credential to practice in his or her discipline;
    3. Is suspected of negligently or willfully acting in a manner inconsistent with professional practice relative to his or her discipline;
    4. Is suspected of being unfit or incompetent to practice by reason of negligence or other causes, including but not limited to being unable to practice with reasonable skill or safety;
    5. Has a license or credential to practice medical imaging or radiation therapy denied, suspended, revoked, or otherwise disciplined in another jurisdiction on grounds sufficient to cause a license or credential to be denied, suspended, revoked, or otherwise disciplined in this Commonwealth;
    6. Is practicing medical imaging or radiation therapy, as it pertains to this chapter, without a current active license or valid temporary license issued by the board;
    7. Is suspected of misusing or misappropriating any drugs placed in the licensee’s custody to be administered to or used by others;
    8. Is suspected of falsely or negligently making incorrect entries or failing to make essential entries on essential records;
    9. Is suspected of abusing controlled substances, prescription medications, illegal substances, or alcohol; or
    10. Is suspected of violating any provision of this chapter.

History. Enact. Acts 2012, ch. 50, § 15, effective July 12, 2012.

311B.160. Denial, revocation, or suspension of license — Grounds.

The board may deny, revoke, or suspend the license of an individual who:

  1. Has engaged in conduct relating to his or her profession that is likely to deceive, defraud, or harm the public, which shall include violation of KRS 304.39-215 and conduct that is subject to the penalties under KRS 304.99-060 (4) or (5);
  2. Has a substance use disorder that impairs the individual’s ability to perform his or her duties;
  3. Develops a physical or mental disability or other condition that makes continued practice or performance of his or her duties potentially dangerous to patients or the public;
  4. Performs procedures under or represents as valid to any person a license:
    1. Not issued by the board;
    2. Containing unauthorized alterations; or
    3. Containing changes that are inconsistent with board records regarding its issuance;
  5. Has been convicted of a crime that is a felony under the laws of this state or convicted of a felony in a federal court, unless the individual has had all civil rights restored, if in accordance with KRS Chapter 335B;
  6. Exhibits significant or repeated failure in the performance of professional duties; or
  7. Fails to comply with any administrative regulation of the board.

History. Enact. Acts 2012, ch. 50, § 16, effective July 12, 2012; 2017 ch. 158, § 55, effective June 29, 2017; 2019 ch. 128, § 27, effective June 27, 2019; 2019 ch. 143, § 9, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 128 and 143, which do not appear to be in conflict and have been codified together.

311B.170. Board to notify licensee of alleged offenses — Hearing — Disciplinary action — Appeal.

  1. The board shall notify any licensee of alleged offenses. The notice shall include sufficient detail to reasonably apprise the person of the allegations, the nature of the offense charged, or both.
  2. The board shall furnish the licensee with written notice of the date, time, and place of a hearing.
  3. A licensee who fails to respond to a notice of a hearing or fails to attend the hearing shall have the license revoked immediately.
  4. The board shall notify any employer or employers and any appropriate credentialing organization if a license is suspended or revoked.
  5. A licensee may request a conference and appeal the board’s action.
  6. All actions and proceedings under this section shall be conducted in accordance with KRS Chapter 13B.

History. Enact. Acts 2012, ch. 50, § 17, effective July 12, 2012.

311B.180. Civil Penalties.

  1. The board shall assess civil penalties authorized by KRS 311B.190 against an individual or licensee who performs diagnostic or therapeutic procedures without a valid license.
  2. Prior to assessing civil penalties, the board shall confirm the violation of the requirements by any of the following:
    1. Observing the violation;
    2. Obtaining records, documents, or other physical evidence;
    3. Obtaining statements from either the employer or the employee that confirm the existence of the violation; or
    4. Obtaining statements from third parties, such as patients or coworkers, that corroborate the allegation that a violation has occurred.
  3. Civil penalties shall be assessed against individuals who perform diagnostic or therapeutic procedures without a valid license as follows:
    1. Failure to apply for an initial license by an individual who is fully qualified for licensure at the time the violation is discovered shall be assessed a civil penalty plus the license application fee;
    2. Failure to apply for renewal by an individual who would be eligible for renewal of a license but would not currently qualify due to insufficient continuing education at the time the violation is discovered shall be assessed a civil penalty plus the license renewal fee;
    3. Performance of a diagnostic or therapeutic procedure requiring licensure by an individual who is not qualified for a license at the time the violation is discovered shall be assessed a civil penalty; and
    4. Civil penalties for repeating the above offenses shall be doubled. Each day the violation occurs shall count as a separate repeat offense.
  4. Civil penalties, double the amount assessed against the licensee, shall also be assessed against the employer of the individual without a valid license pursuant to subsection (3) of this section.

History. Enact. Acts 2012, ch. 50, § 18, effective July 12, 2012.

311B.190. Penalties to be determined by board.

Any person who fails to comply with any provisions of this chapter, any administrative regulations promulgated under this chapter, or any valid order of the board shall be fined a reasonable amount as determined by the board through the promulgation of administrative regulations. Each day of violation or noncompliance shall constitute a separate offense.

History. Enact. Acts 2012, ch. 50, § 19, effective July 12, 2012.

CHAPTER 312 Chiropractors

312.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (2643a-5) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.015. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Board” means the Kentucky State Board of Chiropractic Examiners;
  2. Subject to the limitations of subsection (4) of this section “chiropractic” means the science of diagnosing and adjusting or manipulating the subluxations of the articulations of the human spine and its adjacent tissues;
  3. Subject to the limitations of subsection (4) of this section “chiropractor” means one qualified by experience and training and licensed by the board to diagnose his patients and to treat those of his patients diagnosed as having diseases or disorders relating to subluxations of the articulations of the human spine and its adjacent tissues by indicated adjustment or manipulation of those subluxations and by applying methods of treatment designed to augment those adjustments or manipulation. The terms “chiropractic,” “doctor of chiropractic,” and “chiropractor” shall be synonymous, and shall be construed to mean a practitioner of chiropractic as defined in this section.
  4. “Peer review” means an evaluation, based upon generally accepted standards, by a peer review committee established in KRS 312.200 or by other persons performing peer review pursuant to KRS 312.200 (3), of the appropriateness, quality, utilization, and cost of chiropractic health care and health service provided to a patient.
  5. The practice of chiropractic shall not include the practice of medicine or osteopathy as defined in KRS 311.550 , the practice of podiatry as defined in KRS 311.380 , the practice of dentistry as defined in KRS 313.010 , the practice of optometry as defined in KRS 320.210 , the practice as a nurse as defined in KRS 314.011 , or the practice of pharmacy by persons licensed and registered under KRS 315.050 .

History. Enact. Acts 1962, ch. 179, § 1, effective June 14, 1962; 1976, ch. 359, § 1, effective June 19, 1976; 1988, ch. 426, § 4, effective July 15, 1988; 1992, ch. 252, § 1, effective July 14, 1992.

NOTES TO DECISIONS

1.Human Specimens.

Neither the language of the statutory definition of “chiropractic” nor the statutory authority to sign a death certificate and to state the cause of death carries with it the authorization for the collection and submission of human specimens to a medical laboratory. Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

2.Peer Review.

Kentucky Board of Chiropractic Examiners (Board) was not entitled to an injunction barring medical doctors from opining to an insurer on the propriety of chiropractic treatment because, inter alia, an interpretation that KRS 312.015(4) and 312.200 only meant a matter not submitted to the Board was not a “peer review” subject to any action by the Board avoided declaring KRS 312.200 (3) to usurp the judiciary’s power to determine the rules of evidence, contrary to separation of powers. Commonwealth v. Barlow, 454 S.W.3d 862, 2014 Ky. App. LEXIS 117 (Ky. Ct. App. 2014).

Kentucky Board of Chiropractic Examiners (Board) was not entitled to an injunction barring medical doctors from opining to an insurer on the propriety of chiropractic treatment because, inter alia, (1) KRS 312.015(4) and 312.200 only meant a matter not submitted to the Board was not a “peer review” subject to any action by the Board, and (2) the doctors’ opinions were not submitted to the Board. Commonwealth v. Barlow, 454 S.W.3d 862, 2014 Ky. App. LEXIS 117 (Ky. Ct. App. 2014).

Opinions of Attorney General.

A doctor of chiropractic is not considered a “licensed physician” for the purpose of certifying the disability of an applicant for a handicapped parking permit. OAG 82-130 .

312.017. Types of treatment prohibited — Scope and methods of chiropractic treatment — Referral of patients.

  1. No chiropractor shall:
    1. Treat or attempt to treat contagious or communicable diseases;
    2. Treat or attempt to treat cancer;
    3. Treat by use of x-ray or radiological methods;
    4. Perform surgery;
    5. Treat or attempt to treat by use of acupuncture; or
    6. Administer prescription drugs or controlled substances.
  2. Subject to the limitations in this chapter, a chiropractor shall examine, diagnose and treat the human body within the scope of chiropractic as defined in this section and KRS 312.015 and by methods taught in accredited chiropractic colleges as stated in KRS 312.085 . A chiropractor may refer a patient to a physician, licensed medical laboratory or licensed health facility for testing or examination to aid in differential diagnosis or treatment. However, nothing contained herein shall require any licensed health care provider to accept such a referral.
  3. No chiropractor shall otherwise treat a patient for any disorder or by any method except as provided in this chapter. Chiropractic patients whose diagnosis is not within the chiropractic scope of practice, as defined in this section and KRS 312.015 , shall be referred by the chiropractor to a medical doctor or other licensed health practitioner for treatment of that condition.

History. Enact. Acts 1976, ch. 359, § 2, effective June 19, 1976; 1988, ch. 426, § 5, effective July 15, 1988.

312.018. Practice without license prohibited — Exceptions.

  1. No person shall engage or attempt to engage in the practice of chiropractic or hold himself out to be a doctor of chiropractic in Kentucky unless licensed in accordance with the provisions of this chapter.
  2. The provisions of subsection (1) of this section shall not apply to volunteer health practitioners providing services under KRS 39A.350 to 39A.366 .
  3. Nothing in this chapter shall be construed to prevent a student of chiropractic from engaging in clinical practice under the supervision of a licensed chiropractor as part of the student’s educational program.

History. Enact. Acts 1976, ch. 359, § 3, effective June 19, 1976; 2007, ch. 96, § 11, effective June 26, 2007; 2019 ch. 49, § 1, effective June 27, 2019.

312.019. Powers of board.

  1. The board shall administer the provisions of this chapter and the administrative regulations promulgated by the board relating to the practice of chiropractic.
  2. The board shall pass upon the qualifications of applicants for a license, certification, or registration to practice chiropractic. It shall examine, license, certify, register, and renew the license, certification, or registration of duly qualified applicants.
  3. The board may deny, revoke, limit, impose probationary conditions, refuse to renew, or suspend any license, certification, or registration issued by it.
  4. The board shall 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.
  5. The board shall regulate the practice of chiropractic by persons licensed or certified by it and shall enforce the provisions of this chapter and the administrative regulations of the board. The board may investigate violations and cause the prosecution of persons violating the provisions of this chapter or the administrative regulations promulgated by the board.
  6. The board may employ such personnel and incur such expenses as may be necessary for the performance of its duties and the enforcement of this chapter.
  7. The board may prescribe and collect reasonable fees for the issuance and renewal of licenses, certifications, and registrations and the administration of examinations as provided in KRS 312.095 and 312.175 .
  8. The board may inspect at all reasonable times any chiropractic office or place where chiropractic services are performed and inspect chiropractic records, a copy of which may be obtained by the board, and question all persons.
  9. The board may promulgate and from time to time amend administrative regulations, consistent with the provisions of this chapter and in accordance with the provisions of KRS Chapter 13A, governing the practice of chiropractic and the diagnosis and treatment of patients, the enforcement of this chapter and the proper performance of its duties, including but not limited to:
    1. A code of ethical conduct governing the practice of chiropractic;
    2. Requirements, standards, and examinations to determine the moral, physical, intellectual, educational, scientific, technical, and professional qualifications of applicants for licenses and certifications;
    3. Matters pertaining to the content and conduct of examinations;
    4. Matters pertaining to the operation and registration of chiropractic clinics;
    5. Matters pertaining to the practice and certification of chiropractic specialties by licensed doctors of chiropractic;
    6. The type, character, and location of postgraduate study to be done by any licensee in order to comply with the provisions of KRS 312.175 ;
    7. Regulation of forms of advertising or solicitation that are false, misleading, or deceptive or otherwise in violation of this chapter. The board may require a seventy-two (72) hour rescission period for consumers responding to certain forms of solicitation or advertising proposing or offering a series or course of treatments. The board may require that advertisements or solicitations stating coverage available from third-party payors include a conspicuous notice that persons may be required to submit to an independent evaluation which may result in a determination that the all or part of the services are unreasonable or unnecessary;
    8. Establishing a recommended course of pre-chiropractic education to be completed prior to entry into chiropractic college and the establishment of a preceptorship program for students enrolled in accredited chiropractic colleges that conform to KRS 312.085 to meet the standards of accreditation of the Council on Chiropractic Education.
    9. Registration and regulation of chiropractic management consultants operating in Kentucky. The board may impose annual registration fees not to exceed two hundred dollars ($200); and
    10. Establishing minimum standards for recordkeeping in chiropractic offices, the issuance of itemized statements, and requiring that any record or report include the name of the treating chiropractor.
  10. The board shall develop specific guidelines to follow upon receipt of an allegation of sexual misconduct by a chiropractor licensed by the board. The guidelines shall include investigation, inquiry, and hearing procedures which ensure the process does not revictimize the alleged victim or cause harm if a chiropractor is falsely accused.
  11. The board, the hearing officer, and investigators hired by the board shall receive training on the dynamics of sexual misconduct of professionals, including the nature of this abuse of authority, the characteristics of the offender, the impact on the victim, the possibility and the impact of false accusations, investigative procedure in sex offense cases, and effective intervention with victims and offenders.

History. Enact. Acts 1976, ch. 359, § 4, effective June 19, 1976; 1988, ch. 426, § 6, effective July 15, 1988; 1992, ch. 252, § 2, effective July 14, 1992; 1994, ch. 265, § 17, effective July 15, 1994; 1994, ch. 470, § 18, effective July 15, 1994; 2003, ch. 126, § 1, effective June 24, 2003.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

312.020. Practice without license prohibited — Practice limited. [Repealed.]

Compiler’s Notes.

This section (2643a-6) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.021. Certification of specialties — Advertising restrictions.

  1. No licensed doctor of chiropractic shall advertise or hold himself out to the public in any manner which is false, deceptive, misleading, or as being especially qualified or advanced in any branch of the practice of chiropractic except as certified by the board.
  2. The board shall identify by administrative regulation those specialties of the chiropractic for which certification may be granted and shall establish by administrative regulation the procedures for obtaining and maintaining such certification and the fees therefor.

History. Enact. Acts 1976, ch. 359, § 5, effective June 19, 1976; 2003, ch. 126, § 2, effective June 24, 2003.

312.025. Kentucky State Board of Chiropractic Examiners.

The Kentucky State Board of Chiropractic Examiners shall consist of five (5) members, appointed by the Governor, who shall be doctors of chiropractic of integrity and ability who at the time of their appointment have been actual residents of the State 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.

History. Enact. Acts 1962, ch. 179, § 2, effective June 14, 1962; 1974, ch. 227, § 1; 1976, ch. 206, § 5, effective June 19, 1976; 1976, ch. 359, § 6, effective June 19, 1976.

Legislative Research Commission Note.

This section was amended by two 1976 Acts which were in conflict and could not be compiled together. The later amendment by 1976 Ky. Acts ch. 359, sec. 6, as printed above, prevails.

Opinions of Attorney General.

Upon review of this section, as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Board of Chiropractic Examiners are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Board of Chiropractic Examiners are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

312.030. Qualifications for examination. [Repealed.]

Compiler’s Notes.

This section (2643a-1, 2643a-4) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.035. Terms of board members — Vacancies.

Each member of the board shall serve for a term of three (3) years and until his successor is appointed and qualified. Appointments to fill vacancies shall be for the unexpired term, and shall be made in accordance with the provisions of KRS 312.015 to 312.175 .

History. Enact. Acts 1962, ch. 179, § 3, effective June 14, 1962; 1980, ch. 188, § 185, effective July 15, 1980.

312.040. Application for examination — Issuance of license. [Repealed.]

Compiler’s Notes.

This section (2643a-7, 2643a-8) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.045. Suspending member of board.

The Governor may suspend any member of the board for misfeasance, malfeasance, gross inefficiency or misconduct, or upon any of the constitutional grounds upon which officers may be suspended by the Governor of this state.

History. Enact. Acts 1962, ch. 179, § 4, effective June 14, 1962.

312.050. Registration of license. [Repealed.]

Compiler’s Notes.

This section (2643a-8) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.055. Officers of board — Salary of executive secretary — Compensation of board members.

  1. The board shall elect from its members a president, vice-president, and a secretary or an executive secretary. The executive secretary shall receive an annual salary to be established by the board by promulgation of administrative regulations.
  2. Each member of the board shall receive his necessary traveling expenses and members other than the executive secretary shall receive a per diem not to exceed one hundred dollars ($100) for each day they actually spend in the discharge of their official duties.

History. Enact. Acts 1962, ch. 179, § 5, effective June 14, 1962; 1976, ch. 359, § 7, effective June 19, 1976; 1992, ch. 252, § 3, effective July 14, 1992; 2003, ch. 126, § 3, effective June 24, 2003.

Opinions of Attorney General.

The board of chiropractic examiners does not have the authority to create the position of field supervisor under this section as the services contemplated for that office must be obtained from the division of occupations and professions as provided by KRS 42.066 . OAG 74-628 .

312.060. Revocation of license. [Repealed.]

Compiler’s Notes.

This section (2643a-10) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.065. Meetings of board — Call of meetings, notice.

The board shall hold meetings at least annually for the transaction of business. A majority of the board shall constitute a quorum for the transaction of business. The State Property and Buildings Commission shall, at the request of the board, provide an office at the capitol where meetings may be held. The president of the board or a majority of its members may for necessary or appropriate cause call other meetings by transmitting prior written notice of the time and place set for the meeting to all board members.

History. Enact. Acts 1962, ch. 179, § 6, effective June 14, 1962; 1976, ch. 359, § 8, effective June 19, 1976; 2003, ch. 126, § 4, effective June 24, 2003.

Opinions of Attorney General.

An official meeting of the board must be held before the board can finally consider and approve any rules and regulations. OAG 75-222 .

312.070. Appeal from order revoking license. [Repealed.]

Compiler’s Notes.

This section (2643a-11) was repealed by Acts 1962, ch. 179, § 21.

312.075. Powers of board — Seal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 7, effective June 14, 1962) was repealed by Acts 1976, ch. 359, § 21, effective June 19, 1976. For present law see KRS 312.019 .

312.080. Annual renewal of license — Fee. [Repealed.]

Compiler’s Notes.

This section (2643a-8) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.085. Application to practice chiropractic — Course of study — Qualifications.

  1. Any persons desiring to practice chiropractic in this state shall make application to the board, in the form and manner established by the board by the promulgation of administrative regulations. Each applicant shall have satisfactorily completed not less than sixty (60) semester credit hours of study from a college or university accredited by the Southern Association of Colleges and Schools or other regional accrediting agencies as recognized by the United States Department of Education and the Council on Higher Education Accreditation, be a graduate of a college or university accredited by the Council on Chiropractic Education or their successors, and which maintains a standard and reputability approved by the board.
  2. The board may by administrative regulation require a two-year pre-chiropractic course of instruction to be completed prior to entry into chiropractic college. The board may by administrative regulation establish a preceptorship program where students or graduates of accredited chiropractic colleges as stated in this section may work with and under the direction and supervision of a licensed doctor of chiropractic prior to the taking of the appropriate licensing examination.
  3. Applications shall be signed in applicant’s own handwriting, and shall be sworn to and before an officer authorized to administer oaths, and shall recite the history of the applicant as to his educational experience, his length of study of chiropractic, what collateral branches he has studied, the length of time he has been engaged in clinical practice, accompanying same with a diploma, or diplomas awarded to applicant by a college or colleges in which such studies were pursued. Certificates of attendance from the college or colleges from which he is a graduate, stating dates of matriculation, graduation, and number of months and hours in attendance shall accompany the application, with satisfactory evidence of good character and reputation. If in accordance with KRS Chapter 335B, no license shall be issued to any person convicted of a felony unless he has been pardoned and approved by the board.

HISTORY: Enact. Acts 1962, ch. 179, § 8, effective June 14, 1962; 1976, ch. 359, § 9, effective June 19, 1976; 1988, ch. 426, § 7, effective July 15, 1988; 1990, ch. 443, § 17, effective July 13, 1990; 1992, ch. 90, § 1, effective July 14, 1992; 1992, ch. 252, § 4, effective July 14, 1992; 2003, ch. 126, § 5, effective June 24, 2003; 2015 ch. 113, § 11, effective June 24, 2015; 2017 ch. 158, § 56, effective June 29, 2017.

Opinions of Attorney General.

The amendment of subsection (1) of this section by § 7 of Acts 1988, ch. 426 whereby the reference to the Association of Chiropractic Colleges was deleted leaving a college accredited by the Council on Chiropractic Education or their successors as the only type of chiropractic college from which an applicant can graduate in order to be licensed in Kentucky was not arbitrary in that the Legislature chose an accrediting agency having the broader requirements and, therefore such law is constitutional. OAG 91-68 . (The 2003 amendment expanded the list of the schools whose students may qualify for licensure in Kentucky.)

312.090. State board of chiropractic examiners — Members — Qualifications — Terms — Vacancies. [Repealed.]

Compiler’s Notes.

This section (2643a-1) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962. For present law see KRS 312.025 , 312.035 .

312.095. Application fee.

There shall be paid to the board by each applicant at the time of his application for a license, a nonrefundable fee not to exceed four hundred dollars ($400).

History. Enact. Acts 1962, ch. 179, § 9, effective June 14, 1962; 1976, ch. 359, § 10, effective June 19, 1976; 1988, ch. 426, § 8, effective July 15, 1988; 1992, ch. 252, § 5, effective July 14, 1992; 2003, ch. 126, § 6, effective June 24, 2003.

312.100. Board to elect officers, adopt rules. [Repealed.]

Compiler’s Notes.

This section (2643a-1, 2643a-2) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962. For present law see KRS 312.055 .

312.105. Reciprocity for licensees of other states. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 1, effective June 14, 1962; 1976, ch. 359, § 1, effective June 19, 1976; 1988, ch. 426, § 4, effective July 15, 1988) was repealed by Acts 1992, ch. 252, § 12, effective July 14, 1992.

312.110. Meetings — Functions of board. [Repealed.]

Compiler’s Notes.

This section (2643a-2, 2643a-3) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962. For present law see KRS 312.019 , 312.065 .

312.115. Examination of applicants — Subjects tested.

  1. Examination for a license to practice chiropractic shall be made by the board according to the method deemed by it to be the most practicable and expeditious to test the applicants’ qualifications. Examination papers shall be designated by number, and not by name of applicant, so that the identity of the applicant will not be disclosed to members of the board until after the examination papers are graded.
  2. The examination shall consist of a written test including questions of essay or objective type designed to measure the applicants’ knowledge of the subjects of anatomy, physiology, pathology, neurology, histology, hygiene, bacteriology, chemistry, chiropractic orthopedics, diagnosis, the use and effects of X-ray and chiropractic principles and practices as taught in chiropractic schools and colleges. The national board tests of the National Board of Chiropractic Examiners may be accepted as a part or all of the written examination. A portion of the licensing examination shall consist of a practical demonstration of clinical competency to be evaluated by the board by such methods as it may designate prior to the examination.

History. Enact. Acts 1962, ch. 179, § 11, effective June 14, 1962; 1976, ch. 359, § 12, effective June 19, 1976; 1988, ch. 426, § 9, effective July 15, 1988.

312.120. Compensation. [Repealed.]

Compiler’s Notes.

This section (2643a-12) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962. For present law see KRS 312.055 .

312.125. Purpose of examination — Passing grades. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 12, effective June 14, 1962) was repealed by Acts 1976, ch. 359, § 21, effective June 19, 1976.

312.130. Chiropractor may sign death certificate and other legal documents. [Renumbered.]

Compiler’s Notes.

This section was renumbered as KRS 312.190 .

312.135. Filing license with county clerk. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 13, effective June 14, 1962; 1976, ch. 359, § 13, effective June 19, 1976; 1992, ch. 252, § 6, effective July 14, 1992) was repealed by Acts 2003, ch. 126, § 13, effective June 24, 2003.

312.140. Reciprocity. [Repealed.]

Compiler’s Notes.

This section (2643a-9) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.145. Form of license — Inquiry into identity of licensee — Current names and addresses of all facilities to be provided.

  1. Any license issued by the board shall be numbered. The license shall be open to public inspection, and in all actions or proceedings in any court, a transcript, or any part thereof, certified under the seal of the board to be a true copy, shall be entitled to admission in evidence.
  2. The board may at any time inquire into the identity of any person claiming to hold a license to practice chiropractic in the state, and after due service of a notice in writing, require him to prove to the satisfaction of the board that he is the person authorized to practice under the license by virtue of which he claims the privilege to practice in this state. When the board finds that a person claiming to be the holder of a license to practice in this state is not in fact the person to whom the license was issued, it shall reduce its findings to writing and file them in its office, and such findings shall be prima facie evidence that the claimant does not hold a license to practice in this state.
  3. Ownership or operation of a chiropractic facility within this state constitutes the practice of chiropractic requiring licensure. A chiropractic facility using an assumed name shall include the name of the owner or operator, and either the word “chiropractic” or “chiropractors.”
  4. By application and renewal, every chiropractor must annually provide the board with the name and address of each facility where the chiropractor practices. The chiropractor shall notify the board within ten (10) days of any change of address or change in practice location. All correspondence from the board shall be sent to the most recent address of record.

History. Enact. Acts 1962, ch. 179, § 14(1), (2), effective June 14, 1962; 1976, ch. 359, § 14, effective June 19, 1976; 1992, ch. 252, § 7, effective July 14, 1992; 2003, ch. 126, § 7, effective June 24, 2003.

NOTES TO DECISIONS

1.Unjust Enrichment.

Insurer could not recover payments made over four years to chiropractic clinics whose owner was not a licensed chiropractor because there was no unjust enrichment, as the lack of a license did not affect the insurer’s statutory duty to pay for the insurer’s insureds’ treatments. State Farm Auto. Ins. Co. v. Newburg Chiropractic, P.S.C., 741 F.3d 661, 2013 FED App. 0351P, 2013 U.S. App. LEXIS 25075 (6th Cir. Ky. 2013 ).

312.150. Charges against licensee — Grounds — Disciplinary proceedings — Opportunity for hearing required — Penalty for sexual contact with patient.

  1. Charges may be preferred by the board against the holder of a license to practice chiropractic in this state on any of the following grounds:
    1. That fraud, misrepresentation, concealment of material facts, or deceit was used in obtaining or retaining the license;
    2. That the licensee no longer possesses a good moral character;
    3. That the licensee has been convicted of a felony or violation of any law involving moral turpitude;
    4. That the licensee solicits or advises patients utilizing false, deceptive, or misleading statements or information;
    5. That the licensee is impaired by drugs or alcohol to the extent that it may affect the health, welfare, or safety of patients;
    6. That the licensee is in any way guilty of any deception, misrepresentation, fraud, or unethical conduct in the practice of chiropractic;
    7. That the licensee has:
      1. Violated:
        1. Any of the provisions of this chapter, or any of the administrative regulations of the board; or
        2. KRS 304.39-215 ; or
      2. Engaged in conduct that is subject to the penalties under KRS 304.99-060 (4) or (5);
    8. That the licensee failed to attend and complete annual continuing chiropractic education courses as provided in KRS 312.175 ;
    9. That the licensee failed to provide a complete copy of the patient’s medical records or an itemized statement to the patient upon request, pursuant to KRS 422.317 , within ten (10) business days; or
    10. That the chiropractor failed to provide notice of a change in address or change in the name and address of the facility where the chiropractor practices as required by KRS 312.145(4).
  2. Unprofessional conduct shall include any departure or the failure to conform to the minimal standards of acceptable chiropractic practice or the willful or careless disregard for the health, welfare, or safety of patients, in any of which cases proof of actual injury need not be established. Unprofessional conduct shall include, but not be limited to, the following acts of a chiropractor:
    1. Gross ignorance of, or incompetence in, the practice of chiropractic;
    2. Performing unnecessary services;
    3. Charging a patient an unconscionable fee or charging for services not rendered;
    4. Directly or indirectly engaging in threatening, dishonest, or misleading fee collection techniques, including having patients enter into a contract for a course of treatment;
    5. Perpetrating fraud upon patients, third-party payors, or others, relating to the practice of chiropractic, including violations of the federal Medicaid and Medicare laws;
    6. Advertising that the licensee shall accept for services rendered assigned payments from any third-party payor as payment in full, if the effect is to give the impression of eliminating the need for payment by the patient of any required deductible or copayment applicable in the patient’s health benefit plan; or advertising a fee or charge for a service or treatment different from the fee or charge the licensee submits to a third-party payor for that service of treatment. The licensee shall attach to any claim form submitted to any third-party payor a copy of any coupon or a summary of the terms of any discount given;
    7. Accepting for services rendered assigned payments from any third-party payor as payment in full, if the effect is to eliminate the need for payment by the patient of any required deductible or copayment applicable in the patient’s health benefit plan, or collecting a fee or charge the licensee submits to a third-party payor for that service or treatment. However, in instances where the intent is not to collect excessive remuneration from a third-party payor but rather to provide services at a reduced rate to a patient unable to afford the deductible or copayment, the services may be performed for a lesser charge or fee. The third-party payor shall be informed by the licensee of the reduced charge; or
    8. Conviction of a misdemeanor offense under KRS Chapter 510 involving a patient while the patient was under the care of the chiropractor, or a felony offense under KRS Chapter 510, 530.064(1)(a), or 531.310 , or the chiropractor having been found by the board to have had sexual contact as defined in KRS 510.010 with a patient while the patient was under the care of the chiropractor.
  3. Upon receipt and due consideration of any charges, the board upon an affirmative vote shall determine whether the nature and quality of the charges are such that further investigation or initiation of disciplinary proceedings against the charged licensee is indicated. If disciplinary proceedings are not warranted, the charges shall be dismissed with or without prejudice. If the board determines that disciplinary proceedings are appropriate, the case may be resolved informally by agreed order or set for hearing to be conducted in accordance with KRS Chapter 13B.
  4. Except for revocation for nonrenewal, no license shall be revoked or suspended without an opportunity for a hearing. 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 informal investigation.
  5. If the board substantiates that sexual contact occurred between the chiropractor and a patient while the patient was under the care of or in a professional relationship with the chiropractor, the chiropractor’s license may be revoked or suspended with mandatory treatment of the chiropractor as prescribed by the board. The board may require the chiropractor to pay a specified amount for mental health services for the patient which are needed as a result of the sexual contact.

History. Enact. Acts 1962, ch. 179, § 14(3), (4), effective June 14, 1962; 1976, ch. 359, § 15, effective June 19, 1976; 1988, ch. 426, § 10, effective July 15, 1988; 1992, ch. 252, § 8, effective July 14, 1992; 1994, ch. 265, § 18, effective July 15, 1994; 1994, ch. 470, § 19, effective July 15, 1994; 1996, ch. 318, § 258, effective July 15, 1996; 2003, ch. 126, § 8, effective June 24, 2003; 2006, ch. 182, § 59, effective July 12, 2006; 2019 ch. 143, § 10, effective June 27, 2019.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

Opinions of Attorney General.

The state board may prefer charges against a licensee under the statute if it is able to allege and prove that the newspaper advertisements of the licensee made in the course of his practice contain misrepresentations and are deceptive or untruthful. OAG 63-562 .

Research References and Practice Aids

Cross-References.

Advertising or soliciting by practitioner of healing arts, criminal penalties and exceptions, KRS 438.065 .

312.152. Witnesses under subpoena.

  1. Subpoenas for witnesses, whose evidence is deemed material to an investigation or hearing authorized by KRS 312.150 and this section, may be issued by the board or any officer of the board and under the seal of the board, commanding the witness to appear before the board at a time and place to be named, and to bring books, records, and documents that may be specified, or to submit books, records, and documents for inspection. Subpoenas may be served by any sheriff or deputy.
  2. When any witness who has been served with a subpoena fails or refuses to appear at the time and place named; or fails or refuses to answer any lawful question propounded; or fails to produce the books, records, or documents required; or is guilty of disorderly or contumacious conduct at the hearing, the board may invoke the aid of the Franklin Circuit Court and any order or subpoena of the court requiring the attendance and testimony of witnesses and the production of documentary evidence may be enforced and shall be valid anywhere in the state.
  3. Witnesses shall be entitled to the same fees and mileage as they may be entitled to by law for attending as witnesses in a Circuit Court.
  4. Witnesses who testify under subpoena shall be entitled to the same protection and immunities as witnesses in judicial proceedings.

History. Enact. Acts 2003, ch. 126, § 9, effective June 24, 2003.

312.155. Subpoenaing witnesses for hearing — Enforcement — Fees — Immunities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 14(5) to (8), effective June 14, 1962; 1976, ch. 359, § 16, effective June 19, 1976) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

312.160. Appeal — Reporting of disciplinary matters.

  1. Any licensed person who has been disciplined after a hearing shall have the right to appeal to the Franklin Circuit Court in accordance with KRS Chapter 13B. If the person who has been disciplined fails to appeal within thirty (30) days after the final order is mailed or personally served, the final order of the board shall be final.
  2. Any disciplinary matter shall be reported to the Healthcare Integrity and Protection Data Bank or to the board’s authorized agent.

History. Enact. Acts 1962, ch. 179, § 14(9) to (11), effective June 14, 1962; 1976, ch. 359, § 17, effective June 19, 1976; 1996, ch. 318, § 259, effective July 15, 1996; 2003, ch. 126, § 10, effective June 24, 2003.

312.163. Disciplinary powers of board — Imposition of penalty — Procedural rights of licensee.

  1. In addition to the other powers granted to the board under this chapter, the board may, in connection with any person whom the board, after a hearing adjudges unqualified or whom the board, after a hearing, finds to have performed one (1) or more of the acts described in KRS 312.150 :
    1. Revoke the license to practice;
    2. Suspend the license to practice;
    3. Publicly reprimand or censure the person;
    4. Place the person on probation for a period and upon the terms and conditions that the board may establish;
    5. Require payment of all costs of proceedings resulting from the disciplinary action; and
    6. Limit the license to practice.
  2. The board may also impose a penalty not exceeding five thousand dollars ($5,000) for each separate violation.
  3. A licensee subject to any disciplinary proceeding under this chapter shall be afforded an administrative hearing conducted in accordance with KRS Chapter 13B and may appeal any final order of the board to the Franklin Circuit Court.

History. Enact. Acts 1988, ch. 426, § 1, effective July 15, 1988; 1992, ch. 252, § 9, effective July 14, 1992; 1996, ch. 318, § 260, effective July 15, 1996; 2003, ch. 126, § 11, effective June 24, 2003.

312.165. Restoration of license.

The board may, at any time after the refusal or revocation of a license, for good and sufficient reason appearing to it, issue a license to the person affected, conferring upon him all the rights and privileges of and pertaining to the practice of chiropractic, as defined and regulated by this chapter.

History. Enact. Acts 1962, ch. 179, § 15, effective June 14, 1962; 1976, ch. 359, § 18, effective June 19, 1976.

312.170. Expenses and per diem. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 16, effective June 14, 1962) was repealed by Acts 1976, ch. 359, § 21, effective June 19, 1976. For present law see KRS 312.055 .

312.175. Annual renewal of licenses — Educational requirements — Renewal notices to licensees — Failure to renew — Restoration of licenses.

  1. Each person licensed to practice chiropractic in this state shall, on or before the first day of March, annually renew his license and pay a renewal fee of not more than one hundred dollars ($100) for each inactive licensee and not more than five hundred dollars ($500) for each active licensee each year to the board. In addition to the payment of the renewal fee, the active licensee applying for a license renewal shall furnish to the board satisfactory evidence that he has attended an educational program in the year preceding each application for renewal. Satisfactory evidence of attendance of postgraduate study at an institution approved by the board shall be considered equivalent. Provided, however, that licenses may be renewed by the board, at its discretion, and the applicant may be excused from paying the renewal fee or attending the annual educational program, or both, in instances where the applicant submits an affidavit to the board evidencing that he, for good cause assigned, suffered a hardship which prevented the applicant from renewing the license or attending the educational program at the proper time.
  2. The board shall send a written notice to every person holding a valid license to practice chiropractic within this state at least forty-five (45) days prior to the first day of March in each year, directed to the last known address of the licensee, and shall enclose with the notice proper blank forms for application for annual license renewal. The board shall, within forty-five (45) days, notify every person failing to renew his license after it is due that he is delinquent and is subject to a late penalty of three hundred dollars ($300). If the licensee fails to renew his license within forty-five (45) days after the mailing of the delinquent notice then his license shall be revoked for nonrenewal. Any licensee whose license has been revoked for failure to renew his license may have his license restored upon the payment of a restoration fee not to exceed five hundred dollars ($500) for each delinquent year or any part thereof in addition to the renewal fee of not more than five hundred dollars ($500) and upon presentation of satisfactory evidence of postgraduate study of a standard approved by the state board or upon a showing that he is an exception as provided for in subsection (1) of this section.
  3. Any licensee whose license has been revoked for less than four (4) years, may not apply for a license pursuant to KRS 312.085 . The licensee may only apply for restoration pursuant to subsection (2) of this section.
  4. Any licensee whose license has been revoked for more than four (4) years may apply for a license by examination, as long as the licensee pays a restoration fee not to exceed five hundred dollars ($500) for each delinquent year, or any part thereof, in addition to the renewal fee of not less than five hundred dollars ($500) and not more than three thousand dollars ($3,000).

HISTORY: Enact. Acts 1962, ch. 179, § 17, effective June 14, 1962; 1976, ch. 359, § 19, effective June 19, 1976; 1988, ch. 426, § 11, effective July 15, 1988; 1990, ch. 443, § 6, effective July 13, 1990; 1992, ch. 252, § 10, effective July 14, 1992; 2001, ch. 61, § 7, effective June 21, 2001; 2003, ch. 126, § 12, effective June 24, 2003; 2015 ch. 113, § 12, effective June 24, 2015.

Opinions of Attorney General.

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 .

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

312.180. Renewal notice — Failure to renew license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 18, effective June 14, 1962; 1966, ch. 255, § 245) was repealed by Acts 1976, ch. 359, § 21, effective June 19, 1976. For present law see KRS 312.019 , 312.175 .

312.185. Board may prescribe educational requirements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 179, § 19, effective June 14, 1962) was repealed by Acts 1976, ch. 359, § 21, effective June 19, 1976. For present law see KRS 312.019 to 312.175 .

312.190. Chiropractor may sign death certificates and other legal documents.

Any person licensed under this chapter may sign death certificates and sign and execute all legal documents and certificates with the same authority as members of other schools or systems of treatment.

History. 2643a-14.

Compiler’s Notes.

This section was formerly compiled as KRS 312.130 .

NOTES TO DECISIONS

1.Human Specimens.

Neither the language of the statutory definition of “chiropractic” nor the statutory authority to sign a death certificate and to state the cause of death carries with it the authorization for the collection and submission of human specimens to a medical laboratory. Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

Research References and Practice Aids

Cross-References.

Death certificates, KRS 213.076 to 213.096 .

312.200. Peer review committee — Initiation of peer review — Report of findings — Licensure of other persons performing peer review of chiropractic claims.

  1. The board shall appoint a peer review committee not to exceed five (5) doctors of chiropractic licensed under this chapter, none of whom are in direct business relationship with the provider, insurer, or patient whose case is being reviewed. Members of the peer review committee shall serve at the pleasure of the board.
  2. Peer review shall occur upon submission by a patient, the patient’s representative, insurer, or chiropractor, in accordance with the procedures and fees approved by the board, of an inquiry about a treatment rendered to a patient by a chiropractor. The peer review committee shall examine each inquiry submitted to it and shall report its findings to the board and furnish copies of the findings to the patient, chiropractor, and third-party payor. The findings of the peer review committee on each inquiry reviewed may include a determination of whether or not the chiropractor properly utilized services and rendered or ordered appropriate treatment or services and whether or not the cost of the treatment was unconscionable.
  3. Other persons performing peer review of chiropractic claims shall be licensed by the board and complete annually a board approved utilization review course, in addition to the required annual education in KRS 312.175 . Persons performing review services under this subsection shall annually register with the board and pay a registration fee not to exceed one hundred dollars ($100).

History. Enact. Acts 1988, ch. 426, § 2, effective July 15, 1988; 1992, ch. 252, § 11, effective July 14, 1992.

NOTES TO DECISIONS

1.Peer Review.

Kentucky Board of Chiropractic Examiners (Board) was not entitled to an injunction barring medical doctors from opining to an insurer on the propriety of chiropractic treatment because, inter alia, the doctors did not purport to conduct any sort of “peer review” that was subject to the Board’s authority. Commonwealth v. Barlow, 454 S.W.3d 862, 2014 Ky. App. LEXIS 117 (Ky. Ct. App. 2014).

Kentucky Board of Chiropractic Examiners (Board) was not entitled to an injunction barring medical doctors from opining to an insurer on the propriety of chiropractic treatment because, inter alia, (1) KRS 312.015(4) and 312.200 only meant a matter not submitted to the Board was not a “peer review” subject to any action by the Board, and (2) the doctors’ opinions were not submitted to the Board. Commonwealth v. Barlow, 454 S.W.3d 862, 2014 Ky. App. LEXIS 117 (Ky. Ct. App. 2014).

Kentucky Board of Chiropractic Examiners (Board) was not entitled to an injunction barring medical doctors from opining to an insurer on the propriety of chiropractic treatment because, inter alia, an interpretation that KRS 312.015(4) and 312.200 only meant a matter not submitted to the Board was not a “peer review” subject to any action by the Board avoided declaring KRS 312.200 (3) to usurp the judiciary’s power to determine the rules of evidence, contrary to separation of powers. Commonwealth v. Barlow, 454 S.W.3d 862, 2014 Ky. App. LEXIS 117 (Ky. Ct. App. 2014).

312.210. Immunity from personal civil liability.

Members of the board, its employees and members of the peer review committee acting in good faith on an informed basis shall be immune from personal civil liability.

History. Enact. Acts 1988, ch. 426, § 3, effective July 15, 1988.

312.220. Duty of treating chiropractor utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating chiropractor who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of chiropractic services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 11, effective July 14, 2000.

312.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (2643a-13) was repealed by Acts 1962, ch. 179, § 21, effective June 14, 1962.

312.991. Penalties — Injunction or restraining order.

  1. Any person who shall practice or attempt to practice chiropractic in violation of the provisions of this chapter, or any person who shall buy, sell or fraudulently obtain any diploma or license to practice chiropractic, whether recorded or not; or any person who shall use the title to induce the public to believe that he is engaged in the practice of chiropractic, without first complying with the provisions of this chapter, shall be guilty of a misdemeanor, and upon conviction thereof shall be punished by a fine of not more than five hundred dollars ($500) or by imprisonment in the county jail for not more than six (6) months or both. Each adjustment or treatment shall constitute a separate offense.
  2. Any advertisement or sign of whatsoever nature to induce the public to believe that one is a chiropractor or practices chiropractic shall be prima facie evidence of a violation of this chapter, provided the person displaying such sign or causing such advertisement has not been licensed to practice chiropractic as provided in this chapter.
  3. Whenever in the judgment of the board any person has engaged or is about to engage in the acts or practices that constitute, or will constitute, a violation of any of the provisions of this chapter or the rules and regulations adopted by the board, the board may make application to the Franklin Circuit Court for an order enjoining such acts or practices. Upon a showing by the board that such person has engaged, or is about to engage, in any such acts or practices, an injunction, restraining order, or such other order as may be appropriate shall be granted by such court. Any order of the Franklin Circuit Court shall be enforceable and shall be valid anywhere in this state and the order of the court shall be reviewable as provided in the Rules of Civil Procedure in the case of other injunctions and restraining orders.

History. Enact. Acts 1962, ch. 179, § 20, effective June 14, 1962; 1976, ch. 359, § 20, effective June 19, 1976.

NOTES TO DECISIONS

1.Unjust Enrichment.

Insurer could not recover payments made over four years to chiropractic clinics whose owner was not a licensed chiropractor because there was no unjust enrichment, as the licensing statute did not provide a civil remedy. State Farm Auto. Ins. Co. v. Newburg Chiropractic, P.S.C., 741 F.3d 661, 2013 FED App. 0351P, 2013 U.S. App. LEXIS 25075 (6th Cir. Ky. 2013 ).

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 313 Dentists and Dental Specialists

Practice of Profession

313.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Dentistry;
  2. “Certified dental technician” means an individual recognized as such by the National Board for Certification in Dental Laboratory Technology;
  3. “Delegated duties list” means the list of procedures authorized in administrative regulation which may be delegated by a dentist licensed under this chapter to a licensed dental hygienist or a registered dental assistant;
  4. “Dental auxiliary personnel” means any staff member of a dental office not licensed by or registered with the board;
  5. “Dental hygiene” means the treatment of the oral cavity, including but not limited to dental hygiene assessment or screening, scaling and root planing, nonsurgical therapy, removing calcareous deposits, removing accumulated accretion from beneath the free gingival margin, cavity preventive procedures, periodontal procedures that require administering antimicrobial agents along with other general dentistry activities outlined in the treatment care plan and not prohibited by this chapter or by administrative regulation promulgated by the board;
  6. “Dental hygienist” means any person who has graduated from a CODA accredited dental hygiene program at an institute of higher learning and has been credentialed as a “Registered Dental Hygienist”;
  7. “Dental laboratory” includes any person, firm, or corporation other than a licensed dentist, who directly or through an agent or employee, by any means or method, in any way supplies or manufactures artificial substitutes for the natural teeth, other than those unfinished substitutes normally available through dental supply houses, or who furnishes supplies, constructs, or reproduces or repairs any prosthetic denture, bridge, or appliance to be worn in the human mouth or who performs or offers or undertakes to perform or accomplish dental laboratory technology;
  8. “Dental laboratory technician” means any person who performs or offers or undertakes to perform or accomplish dental laboratory technology;
  9. “Dental specialist” means a dentist who practices in fields of specialty recognized and approved by the American Dental Association;
  10. “Dentist” means any person who has graduated from a Commission on Dental Accreditation (CODA) accredited dental school and has been conferred with the degree of “Doctor of Medical Dentistry” (D.M.D.) or “Doctor of Dental Surgery” (D.D.S.);
  11. “Dentistry” means the evaluation, diagnosis, prevention, or surgical, nonsurgical, or related treatment of diseases, disorders, or conditions of the oral cavity, maxillofacial area, or the adjacent and associated structures and their impact on the human body provided by a dentist within the scope of his or her education, training, and experience and in accordance with the ethics of the profession and applicable law. Any person shall be regarded as “practicing dentistry” who, for a fee, salary, or other reward paid, or to be paid either to himself or herself, or to another person, performs or advertises to perform, dental operations of any kind, including the whitening of natural or manufactured teeth, or who diagnoses or treats diseases or lesions of human teeth or jaws, or attempts to correct malpositions thereof, or who diagnoses or treats disorders, or deficiencies of the oral cavity and adjacent associated structures, or who takes impressions of the human teeth or jaws to be used directly in the fabrication of any intraoral appliance, or shall construct, supply, reproduce or repair any prosthetic denture, bridge, artificial restoration, appliance or other structure to be used or worn as a substitute for natural teeth, except upon the written laboratory procedure work order of a licensed dentist and constructed upon or by the use of casts or models made from an impression taken by a licensed dentist, or who shall advertise, offer, sell, or deliver any such substitute or the services rendered in the construction, reproduction, supply, or repair thereof to any person other than a licensed dentist, or who places or adjusts such substitute in the oral cavity of another, or who uses the words “dentist,” “dental surgeon,” the letters “D.D.S.,” “D.M.D.,” or other letters or title in connection with his or her name, which in any way represents him or her as being engaged in the practice of dentistry;
  12. “Direct supervision” means that the dentist is physically present in the dental office or treatment facility, personally diagnoses the condition to be treated, authorizes the procedures to be performed, remains in the dental office or treatment facility while the procedures are being performed, and evaluates the performance of the individual supervised;
  13. “General supervision” means a circumstance of treatment in which a dentist licensed under this chapter must diagnose and authorize the work to be performed on a patient by the dental hygienist authorized pursuant to administrative regulation to work under general supervision but the dentist is not required to be on the premises while the treatment is carried out;
  14. “Registered dental assistant” means any person who is registered with the board and works under the direct supervision of a dentist;
  15. “Telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education; and
  16. “Volunteer community health setting” means a setting in which services are rendered at no charge to the patient or to third-party payors.

History. 2636-11, 2636-18: amend. Acts 1942, ch. 60, § 1; 1948, ch. 6, § 1; 1950, ch. 139, § 1; 1964, ch. 12, § 1; 1970, ch. 75, § 1; 1974, ch. 303, § 1; 1978, ch. 155, § 162, effective June 17, 1978; 2009, ch. 55, § 1, effective June 25, 2009; repealed and reenact., Acts 2010, ch. 85, § 1, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). Under the authority of KRS 7.136(1), the Reviser of Statutes has changed the internal numbering of this statute to place definitions in alphabetical order. No words were changed in this process.

NOTES TO DECISIONS

1.Purpose.

The primary purpose of restricting and regulating the practice of dentistry and like professions is to safeguard public health and welfare. It is immaterial that the treatment is gratuitous or that the practitioner does not assume to be a physician or dentist. Lewis v. Kentucky State Board of Dental Examiners, 300 S.W.2d 241, 1957 Ky. LEXIS 448 ( Ky. 1957 ) (decided under prior law).

2.Injunction.

One who formerly practiced dentistry without a license but had transferred business to licensed dentist and was employed by him as helper to do laboratory work, collect accounts, make appointments, and do other things not within the term “practicing dentistry” would not be injured by injunction against practicing dentistry. Jones v. Commonwealth, 222 Ky. 173 , 300 S.W. 346, 1927 Ky. LEXIS 876 ( Ky. 1927 ) (decided under prior law).

It was clear from the agreed order that defendant had earlier signed, that all the defendant agreed to was that she had actual knowledge of the April 7, 1987, injunction against her dental lab employer; therefore, the court erred by ruling that she had agreed to become an enjoined party under the injunction; if the court wished to enjoin the defendant, it should have issued an injunction against her or expressly joined her to the injunction issued against her employer. Howlett v. Kentucky Bd. of Dentistry, 823 S.W.2d 461, 1991 Ky. App. LEXIS 157 (Ky. Ct. App. 1991) (decided under prior law).

Where a permanent injunction was still in effect, the dental lab owner had a duty to obey it, even if the Kentucky Board of Dentistry had granted him a license to practice dentistry after the injunction had been issued, because whether an injunction order is right or wrong, it is the duty of the party bound by the injunction to obey it so long as the injunction remains in effect; therefore, the Kentucky Board of Dentistry had no duty to show that the dental lab owner was not a licensed dentist. Goodman v. Kentucky Bd. of Dentistry, 823 S.W.2d 944, 1991 Ky. App. LEXIS 152 (Ky. Ct. App. 1991) (decided under prior law).

3.Laboratory Work.

The language of subdivision (2) of this section clearly articulates a state policy that dental technicians have contact with and sell to the dentist only and not to the public at large, and that it is the dentist’s responsibility to deliver his work orders to the dental technician he chooses. Gambrel v. Kentucky Bd. of Dentistry, 689 F.2d 612, 1982 U.S. App. LEXIS 25348 (6th Cir. 1982), cert. denied, 459 U.S. 1208, 103 S. Ct. 1198, 75 L. Ed. 2d 441, 1983 U.S. LEXIS 3430 (1983) (decided under prior law).

Where the Board of Dentistry had always construed this section and former KRS 313.247 as forbidding dentists from providing prescriptions for dentures directly to patients for delivery to the laboratory of their choice as contrasted to the dentist’s choice, and the Board had always used that construction in guiding its enforcement activities, the defendant dentists’ conduct in refusing to hand denture work orders or prescriptions over to the patients was compelled by those statutes and was, therefore, exempt under the antitrust laws. Gambrel v. Kentucky Bd. of Dentistry, 689 F.2d 612, 1982 U.S. App. LEXIS 25348 (6th Cir. 1982), cert. denied, 459 U.S. 1208, 103 S. Ct. 1198, 75 L. Ed. 2d 441, 1983 U.S. LEXIS 3430 (1983) (decided under prior law).

By enacting KRS 313.510 to 313.540 , the legislature did not intent do change anything with respect to the prohibitions against dental laboratories supplying dentures directly to the public, thereby bypassing licensed dentists; if it intended to make an exception for dental laboratories, it would have done so by amending subsection (2) of this section, stating the exception. What the legislature did was provide for licensure of dental laboratories and excepted licensed dentists from the requirement of an additional license other than to practice dentistry if they engaged in dental laboratory work themselves. Manning v. Kentucky Bd. of Dentistry, 657 S.W.2d 584, 1983 Ky. App. LEXIS 361 (Ky. Ct. App. 1983) (decided under prior law).

The 1974 amendment to this section made no change whatsoever in subdivision (2) of this section and, consequently, it intended to continue with the prohibitions with no exceptions. Manning v. Kentucky Bd. of Dentistry, 657 S.W.2d 584, 1983 Ky. App. LEXIS 361 (Ky. Ct. App. 1983) (decided under prior law).

By taking oral impressions of patients for the purpose of making dentures, and then proceeding to make dentures from the mold and selling them to their patients without a written laboratory work order of a licensed dentist, and by advertising delivery of this service to the general public, the operators of a dental laboratory violated the statutory prohibitions of practicing dentistry without a license in violation of subsection (2) of this section and KRS 313.020 . Manning v. Kentucky Bd. of Dentistry, 657 S.W.2d 584, 1983 Ky. App. LEXIS 361 (Ky. Ct. App. 1983) (decided under prior law).

Cited:

Nugent v. Stokes, 313 Ky. 131 , 230 S.W.2d 609, 1950 Ky. LEXIS 830 ( Ky. 1950 ); Martin v. Thompson, 253 S.W.2d 15, 1952 Ky. LEXIS 1057 ( Ky. 1952 ); Reynolds v. Kentucky State Board of Dental Examiners, 280 S.W.2d 539, 1955 Ky. LEXIS 183 ( Ky. 1955 ); Kentucky State Board of Dental Examiners v. Steely, 291 S.W.2d 823, 1956 Ky. LEXIS 401 ( Ky. 1956 ).

Opinions of Attorney General.

A nurse anesthetist may properly administer an anesthetic to a dental patient under the direct supervision and responsibility of a dentist so long as the anesthetic is being administered in the course of a dental procedure. OAG 68-77 .

The term “practicing dentistry” as defined in this section does not include the teaching of dentistry at the University of Kentucky Dental School. OAG 72-611 .

A dental laboratory may not advertise, offer, sell or deliver dental devices or the services rendered in the construction, reproduction, supply or repair thereof to any person other than a licensed dentist as such action would constitute the practice of dentistry. OAG 77-226 .

Absent statutory authority, neither the board, nor an individual dentist, can delegate those items constituting the practice of dentistry, as defined in subsection (2) of this section, to anyone other than a licensed dentist, nor can the board delegate such authority by regulation. OAG 82-379 .

An out-of-state dentist, not licensed in Kentucky, may advertise in the yellow pages of a Kentucky phone book to perform dental procedures outside of Kentucky; however, such procedures must be performed in conformity with the licensing laws of the state within which the advertiser is offering to perform the dental acts. Should he begin to perform dental acts within Kentucky or advertise to perform dental acts within Kentucky, then the Kentucky dental licensing law would be applicable. OAG 82-430 .

313.020. Kentucky Board of Dentistry — Members — Qualifications — Terms — Meetings — Quorum — Vacancies — Compensation — Annual reports.

  1. The Kentucky Board of Dentistry shall consist of ten (10) members, each appointed by the Governor to a four (4) year term. Seven (7) members of the board shall be licensed dentists appointed from a list of three (3) names recommended for each board position by the resident licensed dentists of Kentucky at an annual election at a time selected by the Kentucky Board of Dentistry. Two (2) members of the board shall be dental hygienists licensed to practice dental hygiene in the Commonwealth. Each appointment to the board of a licensed dental hygienist shall be made from a list of three (3) names recommended for this position by the resident licensed dental hygienists of Kentucky at an annual election at a time selected by the board. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. One (1) nonvoting ex officio representative from each the University of Kentucky and the University of Louisville shall represent the dental schools’ interests. One (1) nonvoting ex officio representative from a hygiene program not associated with the University of Kentucky or the University of Louisville shall represent the dental hygiene programs’ interests. The hygiene school seats shall rotate on a yearly basis. One (1) nonvoting ex officio representative from the Department for Public Health shall represent the department’s interests.
  2. Individuals seeking board appointment, other than the citizen member, shall have been an actual resident and licensed practicing dentist or dental hygienist of the Commonwealth for not less than five (5) years immediately preceding his or her appointment to the board, be in good standing with the board, and shall not have been disciplined by the board in the past eight (8) years. A voting member shall not receive compensation from or have a financial interest in any dental college or dental department of any institution of learning, dental supply business, or any entity over which the board has regulatory authority or sets standards for. For this subsection alone, a private admonishment shall not count as discipline.
  3. No board member shall serve more than two (2) consecutive terms. A member appointed to a partial term vacancy exceeding two (2) years shall be deemed to have served one (1) full term. A former member may be reappointed following an absence of one (1) term.
  4. The board shall annually:
    1. Meet at least four (4) times a year;
    2. At the first meeting of the board after July 1, elect officers of the board by majority vote of the members present; and
    3. Set a schedule of at least four (4) regular meetings for the next twelve (12) month period.
  5. A majority of the voting members of the board shall constitute a quorum for the transaction of business.
    1. A member of the board who misses three (3) regular meetings in one (1) year shall be deemed to have resigned from the board, and his or her position shall be deemed vacant. (6) (a) A member of the board who misses three (3) regular meetings in one (1) year shall be deemed to have resigned from the board, and his or her position shall be deemed vacant.
    2. The failure of a board member to attend a special or emergency meeting shall not result in any penalty.
    3. The year specified in paragraph (a) of this subsection shall begin with the first meeting missed and end three hundred sixty-five (365) days later or with the third meeting missed, whichever occurs earlier.
    4. The Governor shall appoint a person of the same class to fill the vacancy within ninety (90) days.
    5. A person removed under this subsection shall not be reappointed to the board for four (4) years.
  6. Each voting member of the board shall receive any necessary expenses incurred in attending its meetings. Each voting member shall receive as compensation two hundred dollars ($200) for each day actually engaged in the duties of his or her office.
  7. Annual reports and recommendations from the board shall be sent by February 1 each year to the Governor and the General Assembly.

History. 2636-3, 2636-18: amend. Acts 1964, ch. 12, § 2(1); 1998, ch. 552, § 4, effective July 15, 1998; 1998, ch. 556, § 2, effective July 15, 1998; repealed and reenact., Acts 2010, ch. 85, § 2, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 552 and 556. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 556, which was last enacted by the General Assembly, prevails under KRS 446.250 .

NOTES TO DECISIONS

Cited:

Bentley v. Commonwealth, 307 Ky. 756 , 212 S.W.2d 296, 1948 Ky. LEXIS 829 ( Ky. 1948 ); Nugent v. Stokes, 313 Ky. 131 , 230 S.W.2d 609, 1950 Ky. LEXIS 830 ( Ky. 1950 ); Kentucky State Board of Dental Examiners v. Steely, 291 S.W.2d 823, 1956 Ky. LEXIS 401 ( Ky. 1956 ); Gambrel v. Kentucky Bd. of Dentistry, 689 F.2d 612, 1982 U.S. App. LEXIS 25348 (6th Cir. 1982).

313.021. Functions and duties of board — Authority for administrative regulations — Employees — Biennial budget.

  1. The board shall:
    1. Exercise all of the administrative functions of the Commonwealth in the regulation of the profession of dentistry, including but not limited to dentists, dental hygienists, dental assistants, and dental laboratories;
    2. Subject to the provisions of this chapter, create levels of licensure or registration as appropriate for individuals providing services under this chapter. These shall consist of:
      1. Dentist;
      2. Dental hygienist; and
      3. Dental assistant;
    3. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A for any license or registration the board may create. The administrative regulations shall, at a minimum, address:
      1. Requirements for students, if appropriate;
      2. Requirements for education;
      3. Eligibility for licensure or registration; and
      4. Renewal requirements;
    4. Oversee the operations and establish the organizational structure of the Office of the Kentucky Board of Dentistry, which is created and shall be attached to the board for administrative purposes. The office shall be headed by the executive director appointed under paragraph (e) of this subsection and shall be responsible for:
      1. Personnel and budget matters affecting the board;
      2. Fiscal activities of the board, including grant writing and disbursement of funds;
      3. Information technology, including the design and maintenance of databases;
      4. Licensure of dentists and dental hygienists;
      5. Registration of dental assistants;
      6. Investigation of complaints; and
      7. Other responsibilities which may be assigned to the executive director by the board;
    5. Employ an executive director and fix his or her compensation. The executive director shall serve at the pleasure of the board, administer the day-to-day operations of the Office of the Kentucky Board of Dentistry, and supervise all directives of the board. The executive director shall possess a baccalaureate degree and shall have no less than five (5) years of experience in public administration;
    6. Employ or contract with an attorney licensed to practice law in Kentucky and fix his or her compensation. The attorney shall serve at the pleasure of the board and have primary assignment to the board;
    7. Employ or contract with personnel sufficient to carry out the statutory responsibilities of the board;
    8. Establish committees and subcommittees and the membership thereof. Members of committees and subcommittees shall not need to be members of the board;
    9. Provide for affiliation with the American Association of Dental Boards;
    10. Select the subject matter and standards of proficiency for examinations related to issuance of licenses or registrations issued under this chapter or administrative regulations promulgated hereunder; and
    11. Have the authority to issue advisory opinions and declaratory rulings related to this chapter and the administrative regulations promulgated thereunder as established by administrative regulation.
  2. The board may utilize materials, services, or facilities as may be made available to it by other state agencies or may contract for materials, services, or facilities.
  3. The board shall develop a proposed biennial budget for all administrative and operational functions and duties.

History. Enact. Acts 1998, ch. 556, § 1, effective July 15, 1998; repealed and reenact., Acts 2010, ch. 85, § 3, effective July 15, 2010.

313.022. Board to prescribe fees, charges, and fines — Trust and agency fund — Petty cash fund.

  1. The board shall, by administrative regulation promulgated in accordance with KRS Chapter 13A, prescribe a schedule of reasonable fees, charges, and fines not to exceed the national average of other state dental boards for:
    1. Examination;
    2. Issuance, renewal, and reinstatement of licenses;
    3. Issuance, renewal, and reinstatement of registrations;
    4. Inspections and reinspections;
    5. Applications;
    6. Other services and materials provided by the board;
    7. Investigations;
    8. Administrative legal costs; and
    9. Fines for infractions.
  2. All fees, charges, or other moneys collected or received by the board shall be paid into the State Treasury and credited to a trust and agency fund which, notwithstanding KRS 45.229 , shall not lapse, to be used by the board for the carrying out of the provisions of this chapter.
  3. All disbursements by the board in the transactions of its business and in the enforcement of the provisions of this chapter shall be paid out of such trust and agency account as claims against the state in accordance with the provisions of KRS Chapters 45 and 45A.
  4. The board may establish a petty cash fund not to exceed one thousand dollars ($1,000) for the purpose of making disbursements requiring prompt cash outlay, and to carry out the provisions of KRS 45A.045 applying to the delegation of authority to purchase.

History. Enact. Acts 1950, ch. 139, § 2; 1976 (Ex. Sess.), ch. 14, § 272, effective January 2, 1978; 1980, ch. 188, § 149, effective July 15, 1980; repealed and reenact., Acts 2010, ch. 85, § 4, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 313.360 .

NOTES TO DECISIONS

Cited:

Gambrel v. Kentucky Bd. of Dentistry, 689 F.2d 612, 1982 U.S. App. LEXIS 25348 (6th Cir. 1982), cert. denied, 459 U.S. 1208, 103 S. Ct. 1198, 75 L. Ed. 2d 441, 1983 U.S. LEXIS 3430 (1983).

313.030. Licensing and registration of dentists, dental hygienists, and dental assistants — Duration, expiration, and renewal — Disciplinary action by board — Board’s power to extend license or registration.

  1. The license or registration held by a dentist, dental hygienist, or dental assistant shall be valid for a period of two (2) years.
  2. Each license or registration held by a dentist, dental hygienist, or dental assistant shall expire on December 31. A dentist’s license shall expire in odd-numbered years, while all other licenses or registrations issued by the board shall expire in even-numbered years.
  3. Each license or registration held by any person issued under the provisions of this chapter shall be renewed at least biennially. Upon receipt of the application and fee, the board shall verify the accuracy of the application to determine whether the licensee or person seeking licensure or registration has met all the requirements as set forth in this chapter and in the administrative regulations promulgated by the board, and, if so, shall issue to the applicant a license or registration to practice or engage in the activity for the ensuing licensure or registration period. Such license or registration shall render the holder a legal practitioner of the practice or activity specified in the license or registration for the period stated on it. The board shall prescribe by administrative regulation promulgated in accordance with KRS Chapter 13A the beginning and ending of the licensure or registration period.
  4. Any person who is licensed or registered by the board who allows his or her license or registration to lapse by failing to renew the license or registration as provided in this section may be reinstated by the board on payment of the current fee for original licensure or registration in addition to any late fees and by meeting the requirements of administrative regulations promulgated by the board.
  5. An application for renewal of a license or registration shall be completed online or, if a written request is made to the board prior to November 1 of the year of expiration, a paper application shall be sent to the last known address of each licensee or certified or registered person requesting a paper application.
  6. Any person engaging in any practice or activity regulated by the board during the time his or her license or registration has lapsed shall be considered practicing with an expired license or registration and shall be subject to the penalties provided for violations of this chapter.
  7. Failure to receive the application for renewal of a license or registration shall not relieve a dentist, dental hygienist, or dental assistant from the duty to renew his or her license or registration prior to December 31 of the year in which the license or registration expires.
  8. The duration of any license or registration issued by the board may be limited by disciplinary action of the board.
  9. Every license or registration issued by the board shall have the seal of the board affixed. A holder of a license or registration shall retain it in his or her possession and be prepared to exhibit it upon demand by an employer or anyone to whom the holder of the license or registration offers treatment or any board or staff member of the Kentucky Board of Dentistry. Each license or registration issued by the board shall be posted in a conspicuous place in each place of employment of the dentist, dental hygienist, or dental assistant.
  10. Failure or refusal to produce a license or registration upon demand shall be prima facie evidence that no such license or registration exists.
  11. In order to ensure a proper transition during the implementation of the provisions of this section, the board may, for a period of no longer than three (3) years, extend a license or registration of any person in order to utilize the expiration date provided for in this section. The board shall, in writing, notify each person whose license or registration is extended of the extension and the new date of expiration. The extension shall be without charge.

History. 2636-21: amend. Acts 1998, ch. 556, § 3, effective July 15, 1998; 2007, ch. 96, § 12, effective June 26, 2007; repealed and reenact., Acts 2010, ch. 85, § 5, effective July 15, 2010.

NOTES TO DECISIONS

1.Nature of Fee.

This section does not impose tax on property or conduct of business, and does not attempt to tax occupation in another state; fee is not to raise revenue under state’s taxing power, but is incident to police power, and not being discriminatory, is not prohibited by state or federal constitutions. Commonwealth ex rel. Attorney Gen. v. Pollitt, 258 Ky. 489 , 80 S.W.2d 543, 1935 Ky. LEXIS 184 ( Ky. 1935 ) (Decided under former KRS 313.080 prior to 2010 repeal and reenactment).

2.Renewal.

Dentist licensed in state must pay annual renewal fee notwithstanding he left state and practiced in another state. Commonwealth ex rel. Attorney Gen. v. Pollitt, 258 Ky. 489 , 80 S.W.2d 543, 1935 Ky. LEXIS 184 ( Ky. 1935 ) (Decided under former KRS 313.080 prior to 2010 repeal and reenactment).

Every licensed dentist must, at his peril, renew his license annually within period fixed by this section. Commonwealth ex rel. Attorney Gen. v. Pollitt, 258 Ky. 489 , 80 S.W.2d 543, 1935 Ky. LEXIS 184 ( Ky. 1935 ) (Decided under former KRS 313.080 prior to 2010 repeal and reenactment).

Opinions of Attorney General.

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 (Decided under former KRS 313.080 prior to 2010 repeal and reenactment).

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

313.035. Scope of administrative regulations — Specialties — Limitation of liability — Power to prescribe — Exceptions from requirements of chapter.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to dentists. The administrative regulations shall include the classification of and licensure of dentists, by examination or credentials, the licensure of specialists, student limited licenses, faculty limited licenses, reciprocity, retirement of a license, reinstatement of a license, charity licenses, and conscious sedation and anesthesia permits.
  2. Renewal programs shall be organized to include continuing education approved by the board.
  3. For the purposes of licensure of specialists the board shall only recognize fields of specialty duly recognized and approved by the American Dental Association. Individuals licensed as specialists shall not practice outside of that specialty except as provided for in charitable dentistry as defined by administrative regulation, during a declared disaster by order of the Governor, or when the special needs of the patient require they be followed past the age of eighteen (18) by a pediatric dentist.
  4. No person licensed under this chapter, who in good faith renders emergency care at the scene of an emergency, shall be liable for any civil damages as a result of any acts or omissions by such person in rendering the emergency care.
  5. Any dentist who serves on any committee, board, commission, or other entity which is duly constituted by any licensed hospital, dental society or association affiliated with the American Dental Association, dental care foundation affiliated with such dental society or association or governmental or quasi-governmental agency for the purpose of reviewing and evaluating the dental acts of other dentists, or dental auxiliary personnel, shall not be required to respond in damages for any action taken by him or her in good faith as a member of such committee, board, commission, or other entity.
  6. Licensed dentists may prescribe any drug necessary within the scope of their practice.
  7. Dentists may sign death certificates the same as physicians, when necessary in the line of their profession.
  8. Nothing in this chapter shall apply to a legally licensed doctor of medicine unless he or she practices dentistry as a specialty.
  9. Nothing in this chapter shall apply to a practitioner of dentistry duly licensed by another state or the District of Columbia while making a clinical demonstration before a dental society, convention, association of dentists, or a dental school.

History. Enact. Acts 1992, ch. 243, § 1, effective July 14, 1992; repealed and reenact., Acts 2010, ch. 85, § 6, effective July 15, 2010.

Opinions of Attorney General.

Administrative Regulation DEN:G:EL-1 providing that an applicant for a dentist’s license must be a citizen of the United States violated the Fourteenth Amendment to the United States Constitution, exceeded the specific power granted the Board of Dentistry by KRS 313.220(1), and enlarged the statutory intent of this section by regulation. OAG 74-350 (Decided under former 313.040 prior to 2010 repeal and reenactment).

313.040. Administrative regulations governing dental hygienists.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to dental hygienists. The administrative regulations may include at a minimum the classification of and licensure of dental hygienists, by examination or credentials, general supervision privileges, anesthesia registration, retirement of a license, reinstatement of a license, and charity licenses.
  2. Renewal programs shall be organized to include continuing education approved by the board.
  3. A licensed dental hygienist shall practice under the supervision, order, control, and full responsibility of a dentist licensed under this chapter and may practice:
    1. In a dental office, public or private school, health care facility, or government institution with a dentist on staff;
    2. Without the physical presence of a supervising dentist as provided in administrative regulations promulgated pursuant to subsections (6), (7), and (8) of this section; or
    3. Without a supervising dentist if providing screening services in accordance with subsection (9) of this section.
  4. It shall be unlawful for a person or corporation to practice dental hygiene in a manner that is separate or independent from the dental practice of a supervising dentist or to establish or maintain an office or practice that is primarily devoted to the provision of dental hygiene services.
  5. A dental hygienist may be employed by the supervising dentist or under contract with a dentist licensed under this chapter who is one (1) of the following:
    1. The employer of the supervising dentist;
    2. A shareholder in a professional association formed under KRS 274.015 of which the supervising dentist is a shareholder;
    3. A member or manager of a limited liability company formed under KRS 275.005 of which the supervising dentist is a member or manager;
    4. A shareholder in a corporation formed under KRS Chapter 271B of which the supervising dentist is a shareholder;
    5. A partner or employee of a partnership of which the supervising dentist is a partner or employee; or
    6. A government entity that employs the dental hygienist to provide dental hygiene services in a public school in connection with other programs the government entity administers.
  6. A dental hygienist may provide the following procedures in a volunteer community health setting without the supervision of a dentist:
    1. Dental health education;
    2. Nutritional counseling;
    3. Preparing a generalized oral screening with subsequent referral to a dentist;
    4. Applying fluoride on patients;
    5. Demonstration of oral hygiene technique; and
    6. Sealants.
    1. A dental hygienist may provide, for not more than fifteen (15) consecutive full business days, dental hygiene services to a patient when the supervising dentist is not physically present at the location at which the services are provided if all the following requirements are met: (7) (a) A dental hygienist may provide, for not more than fifteen (15) consecutive full business days, dental hygiene services to a patient when the supervising dentist is not physically present at the location at which the services are provided if all the following requirements are met:
      1. The dental hygienist has at least two (2) years with a minimum of three thousand (3,000) hours of experience in the practice of dental hygiene;
      2. The dental hygienist has successfully completed a course approved by the board in the identification and prevention of potential medical emergencies with reregistration in this course every two (2) years;
      3. The dental hygienist complies with written protocols for emergencies the supervising dentist establishes;
      4. The dental hygienist does not examine or provide dental health services to a patient who has not been examined by the supervising dentist within the previous seven (7) months. The supervising dentist shall have completed and evaluated a medical and dental history of the patient and shall have placed a written order for treatment in the patient’s file. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to determine guidelines for the written order; and
      5. A patient is notified in advance of an appointment for dental hygiene services when the supervising dentist will be absent from the location. The patient shall be required to sign an informed consent form, prior to treatment by the hygienist, acknowledging the dentist’s absence.
    2. The board shall promulgate administrative regulations to determine procedures the dental hygienist shall not be allowed to perform while the supervising dentist is absent from the work site.
  7. A dental hygienist licensed by the board may practice as a public health hygienist and may provide dental hygiene services if:
    1. The services are provided as part of a dental health program;
    2. The program for which the hygienist works is operated through the Department for Public Health or a governing board of health; and
    3. The hygienist performs only accepted standardized protocols which are contained within the scope of practice of dental hygiene and which are reviewed and approved by the Board of Dentistry and either the Department for Public Health or the dentist member of the governing board of health, as set out in administrative regulation.
  8. A dental hygienist may provide screening services in any setting without the supervision of a dentist if:
    1. The screening is conducted to fulfill the requirements of KRS 156.160(1)(j); and
    2. Patients are informed that the service being provided is a screening and that only a dentist is licensed to make a definitive diagnosis of the need for dental care.

History. 2636-3, 2636-10, 2636-19: amend. Acts 1964, ch. 12, § 3; 1970, ch. 120, § 6; 1990, ch. 443, § 18, effective July 13, 1990; repealed and reenact., Acts 2010, ch. 85, § 7, effective July 15, 2010; 2012, ch. 27, § 3, effective July 12, 2012.

313.045. Administrative regulations governing dental assistants.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to define registration requirements, duties, training, and standards of practice that may be performed by a dental assistant who has a minimum of one (1) year of dental office experience.
  2. The board shall approve the instructor and the courses of study for approving duties, training, and standards of practice that may be performed by a registered dental assistant.
  3. A registered dental assistant shall practice under the supervision, order, control, and full responsibility of a dentist licensed under this chapter.
  4. The registration for each registered dental assistant shall be continuously displayed in a conspicuous place in the office of the licensee.
  5. Supervising dentists shall only assign to registered dental assistants procedures that do not require the professional competence of a licensed dentist or a licensed dental hygienist.
  6. Registered dental assistant services may include coronal polishing, a cosmetic procedure that is not essential to therapeutic oral prophylaxis, if the following criteria are observed:
    1. Polishing activities are limited to the use of a rubber cap attached to a slow-speed rotary dental handpiece;
    2. The assistant has received a certificate from the board’s approved instructor that ensures the assistant has successfully completed a dental assisting course developed by the board and a committee of dental educators from the Kentucky institutions of dental education accredited by the Council on Dental Accreditation; and
    3. The dental assisting course includes basic dental assisting and coronal polishing instruction that includes didactic, preclinical, clinical training, and competency testing.
  7. Registered dental assistant services shall not include the following:
    1. The practice of dental hygiene or the performance of the duties of a licensed dental hygienist that require the use of any instrumentation which may elicit the removal of calcareous deposits or accretions on the crowns and roots of teeth;
    2. Diagnosis;
    3. Treatment planning and prescription, including prescriptions for drugs or medicaments, or authorization for restorative, prosthodontic, or orthodontic appliances;
    4. Surgical procedures on hard or soft tissues of the oral cavity, or any other intaoral procedure that contributes to or results in an irreversible alteration of the oral anatomy; and
    5. The making of final impressions from which casts are made to construct any dental restoration.
  8. A licensed dentist may delegate the taking of radiographs to registered dental assistants who have completed a board-approved course in radiography technique and safety. The course completion certificate shall be maintained by the supervising dentist and be made available to the board upon request.

History. Enact. Acts 1964, ch. 12, § 6; repealed and reenact., Acts 2010, ch. 85, § 8, effective July 15, 2010.

313.050. Procedures which dentist may delegate to dental auxiliary personnel.

  1. A licensed dentist may delegate to competent dental auxiliary personnel those procedures for which the dentist exercises direct supervision and full responsibility as long as the delegated powers do not include any of the following:
    1. Those procedures which require professional judgment and skill, such as diagnosis and treatment planning and the cutting of hard or soft tissues or any intraoral procedure which will be used directly in the fabrication of an appliance which, when worn by the patient, would come in direct contact with hard or soft tissue;
    2. Those procedures allocated by this chapter to licensed dental hygienists or registered dental assistants; and
    3. No injectable medication or anesthesia shall be administered by auxiliary personnel unless otherwise authorized by law.
  2. A licensed dentist may delegate the taking of radiographs to dental auxiliary personnel who have completed a board-approved course in radiography technique and safety. The course completion certificate shall be maintained by the supervising dentist and be available to the board upon request.

History. 2636-3; repealed and reenact., Acts 2010, ch. 85, § 9, effective July 15, 2010.

313.060. Administrative regulations governing minimal requirements for documentation, oath for disease control compliance, sedation of patients, and compliance with federal statutes and regulations — Death or incapacity of dentist — Telehealth — Continuing education.

  1. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to dental practices which shall include minimal requirements for documentation, Centers for Disease Control compliance, conscious sedation of patients, compliance with federal controlled substances regulations, and any applicable federal statute or regulation.
  2. Any person practicing or offering to practice dentistry or dental surgery shall practice under his or her own name or the name of a deceased or incapacitated dentist for whom the person practicing dentistry has contracted to perform continuing operations.
  3. No person shall conduct a dental office in his or her name nor advertise his or her name in connection with any dental office unless he or she personally performs services as a dentist or dental surgeon in such office or personally supervises such services as are performed in such office during a portion of the time such office is operated by him or her only, and shall not use his or her name in connection with that of any other dentist, except as provided for deceased or incapacitated dentists in subsection (4) of this section.
  4. The executor or administrator of a deceased dentist’s estate, or the legal guardian or authorized representative of a dentist who has become incapacitated, may contract with another dentist or dentists to continue the operations of the deceased or incapacitated dentist’s practice if the practice of the deceased or incapacitated dentist is a:
    1. Sole proprietorship;
    2. Corporation in which the deceased or incapacitated dentist is the sole shareholder; or
    3. Limited liability company in which the deceased or incapacitated dentist is the sole member.
  5. Contracts to continue the operations of a deceased or incapacitated dentist’s practice may extend until the practice is sold.
  6. Prior to contracting with another dentist or dentists to continue operations of a deceased or incapacitated dentist’s practice, the executor, administrator, guardian, or authorized representative shall file a notification of intent to contract for continuation of practice with the board on a form prescribed by the board. The notification shall include the following information:
    1. The name and license number of the deceased or incapacitated dentist;
    2. The name and address of the dental practice;
    3. The name, address, and tax identification number of the estate;
    4. The name and license number of each dentist who will provide services in the dental practice;
    5. An affirmation, under penalty of perjury, that the information provided is true and correct and that the executor, administrator, guardian, or authorized representative understands that any interference by the executor, administrator, guardian, or authorized representative, or any agent or assignee of the executor, administrator, guardian, or authorized representative, with the contracting dentist’s or dentists’ practice of dentistry or professional judgment or any other violation of this chapter is grounds for an immediate termination of the operations of the dental practice; and
    6. Any other information the board deems necessary for the administration of this chapter.
  7. Within thirty (30) days after the death or incapacitation of a dentist, the executor, administrator, guardian, or authorized representative shall send notification of the death or incapacitation by mail to the last known address of each patient of record that has received treatment by the deceased or incapacitated dentist within the previous twelve (12) months, with an explanation of how copies of the practitioner’s records may be obtained. This notice may also contain any other relevant information concerning the continuation of dental practice.
  8. A treating dentist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  9. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of dental services and in the provision of continuing education.
  10. A licensed dentist may delegate to a licensed dental hygienist the administration of block and infiltration anesthesia and nitrous oxide analgesia under the direct supervision of a dentist if the dental hygienist completes the following requirements and receives a certificate of verification from the board:
    1. Formal training from a dental or dental hygiene school accredited by the Commission on Dental Accreditation;
    2. A minimum of thirty-two (32) hours covering all of the following topics, including but not limited to anatomical considerations, basic injunction technique, basic placement technique, nitrous oxide administration, recordkeeping, armamentarium exercise, local anesthesia and nitrous oxide, techniques of maxillary anesthesia, techniques of mandibular injections, partner injections and partner administration of nitrous oxide, neurophysiology, pharmacology of local anesthetics and nitrous oxide, pharmacology of vasoconstrictors, physical and psychological evaluation, local and systemic complications, and contraindications;
    3. A minimum of two (2) hours of clinical education for nitrous oxide administration with successful completion of administration, monitoring, and removal of nitrous oxide on at least two (2) patients;
    4. A minimum of twelve (12) hours demonstrating mastery of local anesthesia applications and successful completion of at least three (3) injections each of all maxillary and mandibular injection sites; and
    5. A score that exceeds seventy-four percent (74%) on a written examination administered after coursework and clinical training.
  11. The board shall approve all continuing education courses and require them for individuals holding anesthesia registration for over one (1) year without practical application. The courses shall be developed and implemented by dental education institutions accredited by the Commission on Dental Accreditation.

History. 2636-10; repealed and reenact., Acts 2010, ch. 85, § 10, effective July 15, 2010.

313.070. Persons not licensed or registered — Prohibitions on practicing — Penalties — Disciplinary powers of board — Exceptions — Hearing in Circuit Court.

  1. A person who is not licensed or registered to do so, or whose license or registration to do so has been suspended, revoked, or denied, shall not practice as a dentist, dental hygienist, or dental assistant.
  2. Any person who violates subsection (1) of this section is guilty of a Class B misdemeanor for the first offense and a Class A misdemeanor for each subsequent offense.
  3. The provisions of this section shall not preclude the board from revoking or increasing the suspension period of a person practicing as a dentist, dental hygienist, or dental assistant who has illegally practiced while his or her license or registration is under suspension or has been revoked.
  4. The filing of criminal charges or a criminal conviction for violation of the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the board from instituting or imposing board disciplinary action authorized by this chapter against any person or organization violating this chapter or the administrative regulations promulgated thereunder.
  5. The institution or imposition of disciplinary action by the board against any person or organization violating the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the filing of criminal charges against or a criminal conviction of any person or organization for violation of the provisions of this chapter or the administrative regulations promulgated thereunder.
    1. Nothing in this chapter shall prohibit students from performing dental operations under the supervision of competent instructors approved by the dental school, college, or department of a university. The board may authorize the students of any dental college, school, or department of a university to practice dentistry in any state or municipal institution or public school, or under the board of health, or in a public clinic or a charitable institution. No fee shall be accepted by the student beyond the expenses provided by the stipend. (6) (a) Nothing in this chapter shall prohibit students from performing dental operations under the supervision of competent instructors approved by the dental school, college, or department of a university. The board may authorize the students of any dental college, school, or department of a university to practice dentistry in any state or municipal institution or public school, or under the board of health, or in a public clinic or a charitable institution. No fee shall be accepted by the student beyond the expenses provided by the stipend.
    2. Students shall be at all times under the direct supervision of a dentist licensed in this state, who is an instructor of the institution at which they are studying.
  6. Nothing in this chapter shall prohibit volunteer health practitioners providing services under KRS 39A.350 to 39A.366 .
  7. Violations of this chapter shall be heard in the Circuit Court of the county in which the alleged offense occurred.

History. 2636-8, 2636-19; 1964, ch. 12, § 4; repealed and reenact., Acts 2010, ch. 85, § 12, effective July 15, 2010.

NOTES TO DECISIONS

1.Purpose.

The object of the law is to allow none but persons who are specially skilled and learned to exercise the functions of or to practice a profession which requires special skill and knowledge. Lewis v. Kentucky State Board of Dental Examiners, 300 S.W.2d 241, 1957 Ky. LEXIS 448 ( Ky. 1957 ) (decided under former KRS 313.020 prior to 2010 repeal and reenactment).

2.Injunction.

Injunction was available to prevent unlawful and unlicensed practice of dentistry, notwithstanding offender might be guilty of crime and incur penalty. Kentucky State Board of Dental Examiners v. Payne, 213 Ky. 382 , 281 S.W. 188, 1926 Ky. LEXIS 523 ( Ky. 1926 ) (decided under former KRS 313.020 prior to 2010 repeal and reenactment).

Members of board, which was not created a corporation, could maintain action to enjoin person from continuing practice of dentistry without license. Kentucky State Board of Dental Examiners v. Payne, 213 Ky. 382 , 281 S.W. 188, 1926 Ky. LEXIS 523 ( Ky. 1926 ) (decided under former KRS 313.020 prior to 2010 repeal and reenactment).

3.— Res Judicata.

Where injunction against practice of dentistry without license, issued in former action, was still in force, it was res judicata in subsequent action for another injunction against same defendant. The fact that the statute under which the first injunction was issued had subsequently been amended did not affect the status of the injunction, where the amendment was merely a continuation of the original provisions. Jones v. Kentucky State Board of Dental Examiners, 291 Ky. 136 , 163 S.W.2d 297, 1942 Ky. LEXIS 190 ( Ky. 1942 ) (decided under former KRS 313.020 prior to 2010 repeal and reenactment).

4.Dental Laboratory.

By taking oral impressions of patients for the purpose of making dentures, and then proceeding to make dentures from the mold and selling them to their patients without a written laboratory work order of a licensed dentist, and by advertising delivery of this service to the general public, the operators of a dental laboratory violated the statutory prohibitions of practicing dentistry without a license in violation of KRS 313.010(2) and this section. Manning v. Kentucky Bd. of Dentistry, 657 S.W.2d 584, 1983 Ky. App. LEXIS 361 (Ky. Ct. App. 1983) (decided under former KRS 313.020 prior to 2010 repeal and reenactment).

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

313.080. Grounds for discipline or for revocation or suspension of license or registration — Criminal prosecution.

  1. No person shall:
    1. Call or hold himself out as or use the title dentist, dental specialist, dental hygienist, or dental assistant unless licensed or registered under the provisions of this chapter;
    2. Operate, offer to operate, or represent or advertise the operation of a dental practice of any type unless licensed by or employing individuals licensed by the board;
    3. Employ a dentist, dental hygienist, or dental assistant unless that person is licensed or registered under the provisions of this chapter; or
    4. Maintain any license or certificate authorized by this chapter if convicted of, having entered a guilty plea to, having entered an Alford plea to, or having completed a diversion program for a Class A, B, or C felony offense on or after the date of initial licensure or registration.
  2. Persons licensed or registered by the board or who are applicants for licensure or registration by the board shall be subject to disciplinary action by the board if they:
    1. If licensed or registered by the board:
      1. Violate:
        1. Any provision of this chapter or any administrative regulation promulgated by the board; or
        2. KRS 304.39-215 ; or
      2. Engage in conduct that is subject to the penalties under KRS 304.99-060 (4) or (5);
    2. Use fraud or deceit in obtaining or attempting to obtain a license or registration from the board, or are granted a license upon mistake of a material fact;
    3. If licensed or registered by the board, negligently act in a manner inconsistent with the practice of the discipline for which the person is licensed or registered;
    4. Are unable to practice a discipline regulated by the board with reasonable skill or safety or are unfit or incompetent to practice a discipline regulated by the board;
    5. Abuse, misuse, or misappropriate any drugs placed in the custody of the licensee or certified person for administration, or for use of others, or those drugs prescribed by the licensee;
    6. Falsify or fail to make essential entries on essential records;
    7. Are convicted of a misdemeanor which involved acts which bear directly on the qualifications or ability of the applicant, licensee, or certified person to practice the discipline for which the person is an applicant, licensee, or certified person, if in accordance with KRS Chapter 335B;
    8. Are convicted of a misdemeanor which involved fraud, deceit, breach of trust, or physical harm or endangerment to self or others, acts which bear directly on the qualifications or ability of the applicant, licensee, or certificate holder to practice acts in the license or registration held or sought, if in accordance with KRS Chapter 335B;
    9. Are convicted of a misdemeanor offense under KRS Chapter 510 involving a patient;
    10. Have had a license or certificate to practice as a dentist, dental hygienist, or dental assistant denied, limited, suspended, probated, revoked, or otherwise disciplined in Kentucky or in another jurisdiction on grounds sufficient to cause a license to be denied, limited, suspended, probated, revoked, or otherwise disciplined in this Commonwealth;
    11. Have a license or registration to practice any activity regulated by the board denied, limited, suspended, probated, revoked, or otherwise disciplined in another jurisdiction on grounds sufficient to cause a license or registration to be denied, limited, suspended, probated, revoked, or otherwise disciplined in this Commonwealth;
    12. Violate any lawful order or directive previously entered by the board;
    13. Have been listed on the National Practitioner Databank with a substantiated finding of abuse, neglect, or misappropriation of property;
    14. Fail to notify the board in writing of any change in the person’s name, residential address, employment address, preferred mailing address, or telephone number within thirty (30) days of the change;
    15. Fail to comply with KRS 422.317 regarding patient records; or
    16. Fail to report to the board any negative outcome related to dental treatment involving intravenous or conscious sedation beyond anxiety control that requires hospital admission.
  3. A person who violates subsection (1)(a), (b), (c), or (d) of this section shall be guilty of a Class B misdemeanor for a first offense and a Class A misdemeanor for each subsequent offense. The board shall consider each individual count of a violation as a separate and subsequent offense.
  4. The provisions of this section shall not preclude prosecution for the unlawful practice of dentistry by an agency of the Commonwealth.
  5. The filing of criminal charges or a criminal conviction for violation of the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the Office of the Board from instituting or imposing board disciplinary action authorized by this chapter against any person or organization violating this chapter or the administrative regulations promulgated thereunder.
  6. The institution or imposition of disciplinary action by the Office of the Board against any person or organization violating the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the filing of criminal charges against or a criminal conviction of any person or organization for violation of the provisions of this chapter or the administrative regulations promulgated thereunder.

History. 2636-9, 2636-19: amend. Acts 1964, ch. 12, § 5; 1970, ch. 75, § 2; 1978, ch. 351, § 1, effective June 17, 1978; 1990, ch. 443, § 7, effective July 13, 1990; 1992, ch. 387, § 2, effective July 14, 1992; 1998, ch. 552, § 1, effective July 15, 1998; 2001, ch. 61, § 8, effective June 21, 2001; repealed and reenact., Acts 2010, ch. 85, § 13, effective July 15, 2010; 2017 ch. 158, § 57, effective June 29, 2017; 2019 ch. 143, § 11, effective June 27, 2019.

NOTES TO DECISIONS

1.Constitutionality.

To the extent that KRS 313.410 prevents general practicing dentists from “inserting the name of the specialty” into an advertisement, it is unconstitutional under the First and Fourteenth Amendments of the United States Constitution; similarly, subdivision (3) of this section, KRS 313.410 , and subdivision (4) of KRS 313.140 are unconstitutional as applied to the dentist inasmuch as these provisions have been interpreted to prevent the dentist from using other terms to describe his practice which were not misleading or deceptive, under the theory that such words were “phrases customarily used by qualified specialists.” Parker v. Kentucky, Bd. of Dentistry, 818 F.2d 504, 1987 U.S. App. LEXIS 5783 (6th Cir. Ky. 1987 ) (Decided under former KRS 313.130 prior to 2010 repeal and reenactment).

2.Moral Turpitude.

Conviction of dentist in federal court of misdemeanor of unlawfully possessing intoxicating liquor was not a conviction of an offense “involving moral turpitude” such as would constitute grounds for revoking license. Kentucky State Board of Dental Examiners v. Crowell, 220 Ky. 1 , 294 S.W. 818, 1926 Ky. LEXIS 130 ( Ky. 1 926 ) (Decided under former KRS 313.130 prior to 2010 repeal and reenactment).

3.Statutory Reasons.

While board may revoke license for reasons specified in statute, it may not revoke it for other or different causes not clearly within, or necessarily implied by statute. Kentucky State Board of Dental Examiners v. Crowell, 220 Ky. 1 , 294 S.W. 818, 1926 Ky. LEXIS 130 ( Ky. 1 926 ) (Decided under former KRS 313.130 prior to 2010 repeal and reenactment).

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

313.085. Law Enforcement Committee — Emergency order for suspension of license or certificate — Appeals.

  1. The Law Enforcement Committee shall consist of three (3) members of the board, including at least two (2) licensed dentists, appointed by the president of the board.
  2. The Law Enforcement Committee may, by a majority vote, issue an emergency order for the immediate temporary suspension of a license or certificate against which disciplinary action or an investigation is pending if the order is necessary to protect the public.
  3. 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.
  4. 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.
  5. The appeal of an emergency order shall address only the necessity for the action and shall not constitute an appeal of the merits of the underlying complaint or charge.
  6. The emergency order shall remain in effect until modified or vacated by the Law Enforcement Committee or hearing officer or superseded by final disciplinary action of the Law Enforcement Committee or hearing officer on the underlying complaint or charge.
  7. The Law Enforcement Committee shall expedite disciplinary hearings in which a license has been suspended under subsection (2) of this section.
  8. Any party aggrieved by a final order of the board may appeal the final order to the Circuit Court of the county in which the licensee or certificate holder resides after a written decision is rendered.

History. Enact. Acts 1964, ch. 12, § 7; repealed and reenact., Acts 2010, ch. 85, § 14, effective July 15, 2010.

313.090. Law Enforcement Committee’s jurisdiction when complaint filed against dentist, dental hygienist, dental assistant, or other registered person — Procedure for resolving complaint — Appeals.

  1. In accordance with the provisions of KRS Chapter 13B, all discipline for which the board is authorized to conduct investigations, hold hearings, and impose punishments is delegated to the executive director, board attorney, and hearing panel as provided in this section.
  2. Any person may make a complaint to the executive director that a dentist, dental hygienist, dental assistant, or other person licensed or registered by the board has violated a provision of this chapter, an administrative regulation promulgated pursuant to this chapter, a practice standard, or an order of the board.
  3. Each complaint shall:
    1. Be in writing;
    2. Identify specifically the person or organization against whom the complaint is made;
    3. Set forth the facts relating to the violation alleged and any other supporting information which may have a bearing on the matter;
    4. Contain the name, address, telephone number, facsimile number, and e-mail address, if available, of the complainant; and
    5. Be signed by the complainant as the truth of the statements contained in the complaint by the complainant.
  4. A complaint which is unsigned shall not be acted upon by the executive director unless the complaint involves a violation of standards set forth by the Centers for Disease Control or alleged mental or physical impairment as provided for in KRS 313.130 . A complaint which is not signed in the manner specified in subsection (3) of this section shall be returned to the complainant for completion.
  5. The executive director of the board may, on behalf of the board, based on knowledge available to the Office of the Board, make a complaint against any person or organization regulated by the board in the same manner as provided in subsection (3) of this section.
  6. Upon receipt of a properly completed complaint, the executive director shall assign the complaint to a staff investigator who shall investigate the complaint and shall make findings of fact and recommendations to the executive director who shall then convene a meeting of the Law Enforcement Committee.
  7. The staff investigator shall notify the person or organization against whom the complaint has been filed and shall notify the employer of the dentist, dental hygienist, or dental assistant of the complaint.
  8. The notification shall name the person or organization complained against, the complainant, the violations alleged, and the facts presented in the complaint and shall notify the person or organization complained against and the employer of:
    1. The fact that the complaint shall be answered, the steps for answering the complaint, and the action to be taken if the complaint is not answered;
    2. The timeframe and steps in the proceedings of a complaint;
    3. The rights of the parties, including the right to counsel; and
    4. The right to testify at any hearing.
  9. Upon the failure of a licensee or certificate holder to respond to a written accusation or to request a hearing within twenty (20) days after the sending of the accusation, the accused shall be considered to have admitted the truth of the facts and the circumstances in the allegation and appropriate discipline may be imposed.
  10. After reviewing the complaint and results of any investigation conducted on behalf of the board, the Law Enforcement Committee shall consider whether the accusation is sufficient to remand the matter for a hearing as provided in this section and KRS Chapter 13B. A majority vote of the members of the Law Enforcement Committee shall be necessary for action to either remand the matter for hearing or dismiss the complaint without a hearing.
  11. If the Law Enforcement Committee dismisses the complaint, all parties notified previously shall be notified of the action. If the Law Enforcement Committee remands the matter for a hearing, all parties notified previously shall be notified of the action.
  12. Each proceeding to consider the imposition of a penalty which the board is authorized to impose pursuant to this chapter shall be conducted in accordance with KRS Chapter 13B.
  13. A hearing panel for purposes of making a decision in any disciplinary matter shall consist of a quorum of the remaining seven (7) members of the board who are not on the Law Enforcement Committee and the hearing officer.
  14. The board may issue subpoenas to compel the attendance of witnesses and the production of documents in the conduct of an investigation. The subpoenas may be enforced by any Circuit Court for contempt. Any order or subpoena of the court requiring the attendance and testimony of witnesses and the production of documentary evidence may be enforced and shall be valid anywhere in this state.
  15. At all hearings the board attorney or, on request of the board, the Attorney General of this state or one (1) of the assistant attorneys general designated, shall appear and represent the board.
  16. The dentist, dental hygienist, or dental assistant who is the defendant in a hearing shall be a party to the action and may appear and testify in the matter at any deposition or hearing on the matter and may propose conclusions of law, findings of fact, and penalties to the hearing panel.
  17. To make a finding or impose discipline, a majority of the members of the hearing panel who are not the hearing officer shall agree on the finding or discipline.
  18. The final order in any disciplinary proceeding shall be prepared by the hearing officer and sent to all parties in the manner prescribed by law.
  19. Any person or entity aggrieved by a final order of the board may appeal the final order to the Circuit Court of the county in which the person or entity resides in accordance with KRS Chapter 13B.
  20. Upon final disposition of a complaint which results in disciplinary action, the final order shall be published on the Web site of the board, placed in the record of the licensed or registered individual, and reported to the National Practitioner Database.

History. 2636-13; repealed and reenact., Acts 2010, ch. 85, § 15, effective July 15, 2010.

313.100. Sanctions for violation of statute, administrative regulation, or practice standard — Administrative hearing — Criminal charges — Expungement of record.

  1. If it is determined that an entity regulated by the board, a dentist, dental hygienist, dental specialist, or dental assistant has violated a statute, administrative regulation, or practice standard relating to serving as an entity regulated by the board, a dentist, dental hygienist, dental specialist, or dental assistant, the Office of the Board may impose any of the sanctions provided in subsection (2) of this section. Any party to the complaint shall have the right to propose findings of fact and conclusions of law, and to recommend sanctions.
  2. The Office of the Board shall require an acceptable plan of correction and may use any one (1) or more of the following sanctions when disciplining a dentist, dental hygienist, dental specialist, or dental assistant or any entity regulated by the board:
    1. Private admonishment;
    2. Public reprimand;
    3. Fines;
    4. Revocation of licensure or registration;
    5. Suspension of licensure or registration until a time certain;
    6. Suspension until a certain act or acts are performed;
    7. Limitation of practice permanently;
    8. Limitation of practice until a time certain;
    9. Limitation of practice until a certain act or acts are performed;
    10. Repassing a portion of the clinical examination;
    11. Probation for a specified time and conditions of probation; or
    12. Costs of the disciplinary action as defined by administrative regulation.
  3. A private admonishment shall not be subject to disclosure to the public under KRS 61.878(1)(l). A private admonishment shall not constitute disciplinary action but may be used by the board for statistical purposes or in subsequent disciplinary action against the same licensee, certificate holder, or applicant.
  4. The filing of criminal charges or a criminal conviction for violation of the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the Office of the Board from instituting or imposing board disciplinary action authorized by this chapter against any person or organization violating this chapter or the administrative regulations promulgated thereunder.
  5. The institution or imposition of disciplinary action by the Office of the Board against any person or organization violating the provisions of this chapter or the administrative regulations promulgated thereunder shall not preclude the filing of criminal charges against or a criminal conviction of any person or organization for violation of the provisions of this chapter or the administrative regulations promulgated thereunder.
  6. The board may maintain an action to enjoin the practice of or the attempt to practice as a dentist, dental hygienist, or dental assistant without a license or registration to do so.
  7. In case of a violation of any injunction granted under this section, the court may use its inherent powers for adequate relief.
    1. Any licensee or certificate holder who has received a private admonishment may request in writing for the board to expunge the private admonishment from the licensee or certificate holder’s permanent record. (8) (a) Any licensee or certificate holder who has received a private admonishment may request in writing for the board to expunge the private admonishment from the licensee or certificate holder’s permanent record.
    2. The request for expungement may be filed no sooner than three (3) years after the date on which the licensee or certificate holder has completed disciplinary sanctions imposed and if the licensee or certificate holder has not been disciplined for any subsequent violation of the same nature within this period of time.
    3. No person may have his record expunged under this chapter more than once.
  8. If it is found the person who is licensed or registered by the board has been convicted of, pled guilty to, or entered an Alford plea to a Class A, B, or C felony offense, or has completed a diversion program for a Class A, B, or C felony offense, the license or registration shall be revoked.
  9. A licensee subject to any disciplinary proceeding under this chapter shall be afforded an administrative hearing conducted in accordance with KRS Chapter 13B and may appeal any final order of the board to the Franklin Circuit Court.

History. 2636-3, 2636-6; repealed and reenact., Acts 2010, ch. 85, § 16, effective July 15, 2010.

313.110. Registration of license with county clerk — Attestation — Clerk’s fee. [Repealed.]

Compiler’s Notes.

This section (2636-4) was repealed by Acts 1998, ch. 552, § 6, effective July 15, 1998.

313.120. Forfeiture of license for failure to register it. [Repealed.]

Compiler’s Notes.

This section (2636-7, 2636-19: amend. Acts 1964, ch. 12, § 8) was repealed by Acts 1998, ch. 552, § 6, effective July 15, 1998.

313.130. Examination of licensee, certificate holder, or applicant by physician or psychologist — Temporary suspension — Well-being Committee to promote identification, treatment, and rehabilitation of impaired individuals — Confidentiality of documents — Limits on disclosure.

  1. If the Law Enforcement Committee has reasonable cause to believe any licensee or certificate holder or any applicant for licensure or registration by examination, reinstatement, credentials, or change of status is unable to practice with reasonable skill or safety or has abused alcohol or drugs, it may require such person to submit to a mental or physical examination by a physician or psychologist it designates. Upon the failure of the person to submit to a mental or physical examination, unless due to circumstances beyond the person’s control, the Law Enforcement Committee may initiate an action for immediate temporary suspension pursuant to this chapter or deny the application until the person submits to the required examination. The Law Enforcement Committee may issue an immediate and temporary suspension from the time of the examination until the hearing.
  2. Every licensee or certificate holder or applicant for licensure or registration by examination, reinstatement, credentials, or change of status shall be deemed to have given consent to submit to an examination when so directed in writing by the board. The direction to submit to an examination shall contain the basis of the Office of the Board’s reasonable cause to believe that the person is unable to practice with reasonable skill or safety, or has abused alcohol or drugs. The person shall be deemed to have waived all objections to the admissibility of the examining physician’s or psychologist’s testimony or examination reports on the ground of privileged communication.
  3. The licensee or certificate holder or applicant for licensure or registration by examination, reinstatement, credentials, or change of status shall bear the cost of any mental or physical examination ordered by the Office of the Board.
  4. The board shall establish a committee for individuals licensed or registered by the board, to be designated as the Well-being Committee, to promote the early identification, intervention, treatment, and rehabilitation of individuals licensed or registered who may be impaired by reasons of illness, alcohol or drug abuse, or as a result of any physical or mental condition. The board may enter into a contractual agreement with a nonprofit corporation or a dental association for the purpose of creating, supporting, and maintaining the Well-being Committee. The board may promulgate administrative regulations in accordance with KRS Chapter 13A to effectuate and implement the committee and may expend any funds it deems necessary to adequately provide for operational expenses of the committee. Any member of the Well-being Committee, as well as any administrator, staff member, consultant, agent, or employee of the committee acting within the scope of their duties and without actual malice, and all other persons who furnish information to the committee in good faith and without actual malice, shall not be liable for any claim of damages as a result of any statement, decision, opinion, investigation, or action taken by the committee, or by any individual member of the committee.
  5. All information, interviews, reports, statements, memoranda, or other documents furnished to or produced by the Well-being Committee, as well as communications to or from the committee, and any findings, conclusions, interventions, treatment, rehabilitation, or other proceedings of the committee which in any way pertain to an individual licensed or registered who may be, or who actually is, impaired shall be privileged and confidential.
  6. All records and proceedings of the Well-being Committee which pertain or refer to an individual licensed or registered who may be, or who actually is, impaired shall be privileged and confidential and shall be used by the committee and its members only in the exercise of the proper function of the committee and shall not be considered public records and shall be subject to court subpoena and subject to discovery or introduction as evidence in any civil, criminal, or administrative proceedings except as described in subsection (4) of this section.
  7. The Well-being Committee may disclose information relative to an impaired licensee or certificate holder only when:
    1. It is essential to disclose the information to further the intervention, treatment, or rehabilitation needs of the impaired individual, and only to those persons or organizations with a need to know;
    2. Its release is authorized in writing by the impaired individual;
    3. The committee is required to make a report to the board; or
    4. The information is subject to court order.

History. 2636-6a: amend. Acts 1964, ch. 12, § 9; 1966, ch. 255, § 246; 1970, ch. 75, § 3; 1992, ch. 387, § 3, effective July 14, 1992; 2004, ch. 163, § 1, effective July 13, 2004; 2005, ch. 45, § 7, effective June 20, 2005; 2005, ch. 93, § 4, effective March 16, 2005; 2007, ch. 101, § 2, effective June 26, 2007; repealed and reenact., Acts 2010, ch. 85, § 17, effective July 15, 2010.

Legislative Research Commission Notes.

(6/20/2005). Although KRS 313.130 was included in 2005 Ky. Acts ch. 45, sec. 7 and ch. 93, sec. 4, as having been amended, the amendment relettering paragraphs of this section in those acts became unnecessary when the Office of the Kentucky Attorney General requested that other changes be made to the rearrangement of the paragraphs of KRS 61.878 , which was also amended in 2005 Ky. Acts chs. 45 and 93. The Statute Reviser made these changes under the authority of KRS 7.136 .

313.140. Unprofessional conduct. [Repealed.]

Compiler’s Notes.

This section (2636-6a; amend. Acts 1952, ch. 17, § 10; 1964, ch. 12, § 10) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.150. Proceedings to reprimand, place on probation, revoke, suspend, refuse to renew, or refuse to issue license — Administrative hearing — Appeal. [Repealed.]

Compiler’s Notes.

This section (2636-6b: amend. Acts 1996, ch. 318, § 261, effective July 15, 1996; 1998, ch. 552, § 2, effective July 15, 1998) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.160. Hearing on revocation or suspension. [Repealed.]

Compiler’s Notes.

This section (2636-6b) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

313.170. Record of revocation or suspension. [Repealed.]

Compiler’s Notes.

This section (2636-6b) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.180. Appeal from order of revocation. [Repealed.]

Compiler’s Notes.

This section (2636-6b: amend. Acts 1992, ch. 387, § 4, effective July 14, 1992) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

313.190. Practice prohibited when license suspended or revoked. [Repealed.]

Compiler’s Notes.

This section (2636-18) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.195. Emergency order for immediate temporary suspension of license — Appeal to board — Hearing — Appeal of final order. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 260, § 1, effective July 15, 2002) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.197. Contracts to continue the operations of a deceased or incapacitated dentist’s practice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2007, ch. 53, § 2, effective June 26, 2007) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.200. Board of Dentistry — Members — Qualifications — Terms — Vacancies — Compensation. [Repealed.]

Compiler’s Notes.

This section (2636-1, 2636-8: amend. Acts 1948, ch. 222, § 5; 1964, ch. 12, § 12; 1972, ch. 162, § 1; 1976, ch. 206, § 6; 1982, ch. 163, § 1, effective July 15, 1982; 2006, ch. 74, § 1, effective July 12, 2006) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.210. Officers of board — Meetings — Quorum — Record books. [Repealed.]

Compiler’s Notes.

This section (2636-2: amend. Acts 1946, ch. 27, § 31) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.220. Powers and duties of board — Annual report. [Repealed.]

Compiler’s Notes.

This section (2636-1, 2636-2, 2636-8: amend. Acts 1964, ch. 12, § 13; 1970, ch. 75, § 4) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.225. Investigators, appointment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 11) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.230. Dentist to display license and certificate. [Repealed.]

Compiler’s Notes.

This section (2636-5) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.240. Professional service corporations, professional limited liability companies, and partnerships — Use of names — Places of practice — Limitation on number of practices per person. [Repealed.]

Compiler’s Notes.

This section (2636-14: amend. Acts 1964, ch. 12, § 15; 1974, ch. 220, § 1; 1974, ch. 269, § 1) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). Under KRS 446.260 , the repeal of this section in 2010 Ky. Acts ch. 85 prevails over its repeal and reenactment in 2010 Ky. Acts ch. 51.

313.243. Duties to report names and capacity of assistants on demand. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 14) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.247. Laboratory procedure work order required for dental laboratory work, exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 2(2) to (4); 1978, ch. 155, § 163, effective June 17, 1978) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.250. Dentists’ prescriptions to be filled — Death certificates, signing — Persons exempt from law. [Repealed.]

Compiler’s Notes.

This section (2636-11, 2636-20: amend. Acts 1964, ch. 12, § 16) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.253. Dental laboratories, standards. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 17) was repealed by Acts 1974, ch. 303, § 6.

313.254. Temporary license for dentist or dental hygienist to provide medical care to indigent populations — Waiver for volunteers.

  1. The board may grant a temporary license to a dentist or dental hygienist who holds a currently valid license from another state, district, possession, or territory of the United States for the sole purpose of providing medical care to indigent populations who may not otherwise be able to obtain such services, without expectation of compensation or charge to the individual, and without payment or reimbursement by any governmental agency or insurer. The health care services shall be provided to charitable organizations only. A temporary license issued under this section shall be valid for no more than a ten (10) day period during any given charitable event.
  2. To obtain the temporary license issued under subsection (1) of this section, the dentist or dental hygienist shall:
    1. Apply online or in writing to the Board of Dentistry at least thirty (30) days prior to providing the health care services under subsection (1) of this section;
    2. Submit himself or herself for a National Practitioner Databank query to be conducted by the board.
  3. Prior to beginning the services permitted under subsection (1) of this section, the dentist or dental hygienist shall notify the appropriate agent in the Cabinet for Health and Family Services.
  4. A dentist or dental hygienist working under this section may perform all preventive procedures and treatments including but not limited to scaling, prophylaxis, radiographs, sealants, and fluoride application.
  5. In addition to the procedures permitted under subsection (4) of this section, a dentist may perform those procedures or treatments considered to be routine in nature and that are typically performed and completed in one (1) appointment. The procedures include simple extractions and basic restorative procedures. All procedures performed other than those provided in this subsection and subsection (4) of this section shall be performed by a dentist holding a currently valid license in the Commonwealth.
  6. A dentist or dental hygienist working under this section who registers as a charitable health care provider under KRS 216.941 shall be eligible for the provision of medical malpractice insurance procured under KRS 304.40-075 .
  7. The board may waive the requirements of subsections (1), (2), and (3) of this section and the requirements of KRS 313.035 and 313.040 for a dentist or dental hygienist who volunteers to provide dental services through a nonprofit, all-volunteer charitable organization.
  8. The board shall promulgate administrative regulations that are reasonably necessary to administer this section.
  9. Any person or organization that conducts a nonprofit charitable dentistry event shall be granted immunity from civil liability in accordance with KRS 411.200 .

History. Enact. Acts 2002, ch. 142, § 1, effective July 15, 2002; 2005, ch. 99, § 595, effective June 20, 2005; 2008, ch. 92, § 2, effective April 14, 2008; 2010, ch. 85, § 22, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). A reference in subsection (7) of this statute to “KRS 313.045 ” has been changed in codification to “KRS 313.035 and 313.040 ” to correct an inadvertent omission by the drafter, since KRS 313.045 was repealed and reenacted in the same Act to relate to administrative regulations concerning dental assistants, rather than licensing requirements addressed in KRS 313.035 and 313.040 .

313.255. Duty of treating dentist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 376, § 12, effective July 14, 2000) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.257. Nonliability of licensees for emergency care. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 28) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.258. Dentist serving as member of medical review board — Nonliability. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 156, § 1) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

Dental Hygienists

313.259. Injunctive relief against unauthorized practice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 387, § 1, effective July 14, 1992) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.260. Board to administer dental hygiene law. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 2) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.270. Powers and duties of board as to dental hygiene law. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 3; 1978, ch. 104, § 1, effective June 17, 1978) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.280. Compensation of board members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 4) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.290. Eligibility for examination for license to practice dental hygiene. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 5; 1948, ch. 6, § 2; 1970, ch. 120, § 7; 1974, ch. 103, § 1; 1978, ch. 104, § 2, effective June 17, 1978; 1990, ch. 443, § 19, effective July 13, 1990) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.300. Application for examination — Fee — Issuance of license — Annual fee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 6; 1964, ch. 12, § 18; 1978, ch. 104, § 3, effective June 17, 1978) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.303. Reciprocal licensing of dental hygienists — Fee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 19; 1978, ch. 104, § 4, effective June 17, 1978) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.305. Biennial renewal of license — Completion of continuing education courses a prerequisite to license renewal — Notification of change of address. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 104, § 5, effective June 17, 1978; 1990, ch. 443, § 8, effective July 13, 1990; 1992, ch. 387, § 5, effective July 14, 1992; 1998, ch. 552, § 3, effective July 15, 1998; 2001, ch. 61, § 9, effective June 21, 2001) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.307. Registration of dental hygienists — License in county — Fee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 20; 1978, ch. 84, § 8, effective June 17, 1978) was repealed by Acts 1998, ch. 552, § 6, effective July 15, 1998.

313.310. License required — Practice regulated — Practice when supervising dentist not present — Display of license — Duties of supervising dentist — Employment — Permitted screening services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 7; 1948, ch. 6, § 3; 1964, ch. 12, § 21; 1978, ch. 104, § 6, effective June 17, 1978; 2002, ch. 244, § 1, effective July 15, 2002) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.320. Form of licenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 8) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.330. Disciplinary actions against dental hygienists — Private admonishment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 9; 1974, ch. 315, § 55; 1978, ch. 104, § 7, effective June 17, 1978; 1980, ch. 114, § 76, effective July 15, 1980; 1996, ch. 318, § 262, effective July 15, 1996) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.340. Appeal from order revoking, suspending or refusing to renew license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 9) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.343. Delegation of block and infiltration anesthesia and nitrous oxide analgesia to dental hygienist — Certificate of verification — Fee — Continuing education for anesthesia certification. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 244, § 2, effective July 15, 2002) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.345. Administrative regulations on practices that may be performed by dental assistant — Courses of study — Supervision by dentist — Certificate — Dental assistant services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 244, § 3, effective July 15, 2002) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.350. Revolving fund of board — Petty cash fund. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 60, § 10; 1964, ch. 12, § 22; 1966, ch. 255, § 247; 1990, ch. 496, § 60, effective July 13, 1990) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.360. Injunction against unauthorized practice. [Renumbered.]

Compiler’s Notes.

This section was renumbered as KRS 313.022 .

Dental Specialties

313.400. Specialties listed. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 1; 1964, ch. 12, § 23) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.410. License to practice as specialist required. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 2; 1964, ch. 12, § 24) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.420. Licensure of practicing specialist — Examinations — Exemption from examination requirement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 3, effective June 19, 1952) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.430. Qualifications for specialist’s examination — Fee — Method of examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 4; 1964, ch. 12, § 25) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.440. Fees for license certificates — Contents of certificates. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 5; 1964, ch. 12, § 27) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.445. Specialist’s practice limited — Authority of general practitioner — Exception from specialty license requirement for charitable health care provider. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 12, § 26; 2004, ch. 62, § 3, effective July 13, 2004) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.450. Construction of provisions of KRS 313.140 and 313.400 to 313.470. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 6) was repealed by Acts 1964, ch. 12, § 30.

313.460. Suspension or revocation of specialty licenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 7; 1996, ch. 318, § 263, effective July 15, 1996) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.470. Disposition of fees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 17, § 8; 1992, ch. 387, § 8, effective July 14, 1992) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

Dental Laboratories and Dental Laboratory Technicians

313.510. Dental Laboratory Advisory Commission — Membership — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 303, § 2) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.520. Annual registration of laboratories and technicians — Fees — Certificates of authority. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 303, § 3; 1992, ch. 387, § 6, effective July 14, 1992) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.530. Operation without registration prohibited. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 303, § 4) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.540. Injunction. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 303, § 5) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

313.550. Dental laboratories — Employees — Prohibitions.

  1. A dental laboratory shall employ at least one (1) of the following:
    1. A certified dental technician who shall supervise all work performed in accordance with a written laboratory procedure work order issued by a dentist licensed pursuant to this chapter; or
    2. A dentist licensed pursuant to this chapter.
  2. No dentist shall use the services of any dental laboratory to construct, alter, repair, or duplicate any denture, plate, bridge, splint, orthodontic, or prosthetic appliance, without first furnishing the commercial dental laboratory a written procedure work order. Both the commercial dental laboratory and the dentist producing the work order shall keep a copy on file for two (2) years, and all laboratory procedure work orders required by this subsection shall be open to inspection by the board.
  3. A dental laboratory that employs or contracts with a dentist licensed according to this chapter may construct, alter, repair, or duplicate any denture, plate, bridge, splint, orthodontic, or prosthetic appliance without a work order from a referring dentist if the patient is seen or evaluated, or whose care is supervised by the referring dentist.

History. Enact. Acts 2010, ch. 85, § 11, effective July 15, 2010.

General Provisions

313.600. Request to expunge minor violations from permanent record — Administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2002, ch. 335, § 4, effective July 15, 2002) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

Penalties

313.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (2636-5, 2636-10, 2636-18: amend. Acts 1942, ch. 60, § 11; 1950, ch. 139, § 3; 1952, ch. 17, § 9; 1964, ch. 12, § 29; 1992, ch. 387, § 7, effective July 14, 1992; 1992, ch. 463, § 36, effective July 14, 1992) was repealed by Acts 2010, ch. 85, § 77, effective July 15, 2010.

CHAPTER 314 Registered Nurses — Practical Nurses

314.010. Definitions and application. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, §§ 1, 12; 1950, ch. 185, § 1) was repealed by Acts 1966, ch. 20, § 21.

General Provisions

314.011. Definitions for chapter.

As used in this chapter, unless the context thereof requires otherwise:

  1. “Board” means Kentucky Board of Nursing;
  2. “Delegation” means directing a competent person to perform a selected nursing activity or task in a selected situation under the nurse’s supervision and pursuant to administrative regulations promulgated by the board in accordance with the provisions of KRS Chapter 13A;
  3. “Nurse” means a person who is licensed or holds the privilege to practice under the provisions of this chapter as a registered nurse or as a licensed practical nurse;
  4. “Nursing process” means the investigative approach to nursing practice utilizing a method of problem-solving by means of:
    1. Nursing diagnosis, a systematic investigation of a health concern, and an analysis of the data collected in order to arrive at an identifiable problem; and
    2. Planning, implementation, and evaluation based on nationally accepted standards of nursing practice;
  5. “Registered nurse” means one who is licensed or holds the privilege under the provisions of this chapter to engage in registered nursing practice;
  6. “Registered nursing practice” means the performance of acts requiring substantial specialized knowledge, judgment, and nursing skill based upon the principles of psychological, biological, physical, and social sciences in the application of the nursing process in:
    1. The care, counsel, and health teaching of the ill, injured, or infirm;
    2. The maintenance of health or prevention of illness of others;
    3. The administration of medication and treatment as prescribed by a physician, physician assistant, dentist, or advanced practice registered nurse and as further authorized or limited by the board, and which are consistent either with American Nurses’ Association Scope and Standards of Practice or with standards of practice established by nationally accepted organizations of registered nurses. Components of medication administration include but are not limited to:
      1. Preparing and giving medications in the prescribed dosage, route, and frequency, including dispensing medications only as defined in subsection (17)(b) of this section;
      2. Observing, recording, and reporting desired effects, untoward reactions, and side effects of drug therapy;
      3. Intervening when emergency care is required as a result of drug therapy;
      4. Recognizing accepted prescribing limits and reporting deviations to the prescribing individual;
      5. Recognizing drug incompatibilities and reporting interactions or potential interactions to the prescribing individual; and
      6. Instructing an individual regarding medications;
    4. The supervision, teaching of, and delegation to other personnel in the performance of activities relating to nursing care; and
    5. The performance of other nursing acts which are authorized or limited by the board, and which are consistent either with American Nurses’ Association Standards of Practice or with Standards of Practice established by nationally accepted organizations of registered nurses;
  7. “Advanced practice registered nurse” or “APRN” means a certified nurse practitioner, certified registered nurse anesthetist, certified nurse midwife, or clinical nurse specialist, who is licensed to engage in advance practice registered nursing pursuant to KRS 314.042 and certified in at least one (1) population focus;
  8. “Advanced practice registered nursing” means the performance of additional acts by registered nurses who have gained advanced clinical knowledge and skills through an accredited education program that prepares the registered nurse for one (1) of the four (4) APRN roles; who are certified by the American Nurses’ Association or other nationally established organizations or agencies recognized by the board to certify registered nurses for advanced practice registered nursing as a certified nurse practitioner, certified registered nurse anesthetist, certified nurse midwife, or clinical nurse specialist; and who certified in at least one (1) population focus. The additional acts shall, subject to approval of the board, include but not be limited to prescribing treatment, drugs, devices, and ordering diagnostic tests. Advanced practice registered nurses who engage in these additional acts shall be authorized to issue prescriptions for and dispense nonscheduled legend drugs as defined in KRS 217.905 and to issue prescriptions for but not to dispense Schedules II through V controlled substances described in or as classified pursuant to KRS 218A.020 , 218A.060 , 218A.080 , 218A.100 , and 218A.120 under the conditions set forth in KRS 314.042 and regulations promulgated by the Kentucky Board of Nursing on or before August 15, 2006.
      1. Prescriptions issued by advanced practice registered nurses for Schedule II controlled substances classified under KRS 218A.060 , except hydrocodone combination products as defined in KRS 218A.010 , shall be limited to a seventy-two (72) hour supply without any refill. (a) 1. Prescriptions issued by advanced practice registered nurses for Schedule II controlled substances classified under KRS 218A.060, except hydrocodone combination products as defined in KRS 218A.010 , shall be limited to a seventy-two (72) hour supply without any refill.
      2. Prescriptions issued by advanced practice registered nurses for hydrocodone combination products as defined in KRS 218A.010 shall be limited to a thirty (30) day supply without any refill.
      3. Prescriptions issued under this subsection for psychostimulants may be written for a thirty (30) day supply only by an advanced practice registered nurse certified in psychiatric-mental health nursing who is providing services in a health facility as defined in KRS Chapter 216B or in a regional services program for mental health or individuals with an intellectual disability as defined in KRS Chapter 210.
    1. Prescriptions issued by advanced practice registered nurses for Schedule III controlled substances classified under KRS 218A.080 shall be limited to a thirty (30) day supply without any refill. Prescriptions issued by advanced practice registered nurses for Schedules IV and V controlled substances classified under KRS 218A.100 and 218A.120 shall be limited to the original prescription and refills not to exceed a six (6) month supply. Nothing in this chapter shall be construed as requiring an advanced practice registered nurse designated by the board as a certified registered nurse anesthetist to obtain prescriptive authority pursuant to this chapter or any other provision of law in order to deliver anesthesia care. The performance of these additional acts shall be consistent with the certifying organization or agencies’ scopes and standards of practice recognized by the board by administrative regulation;
  9. “Licensed practical nurse” means one who is licensed or holds the privilege under the provisions of this chapter to engage in licensed practical nursing practice;
  10. “Licensed practical nursing practice” means the performance of acts requiring knowledge and skill such as are taught or acquired in approved schools for practical nursing in:
    1. The observing and caring for the ill, injured, or infirm under the direction of a registered nurse, advanced practice registered nurse, physician assistant, licensed physician, or dentist;
    2. The giving of counsel and applying procedures to safeguard life and health, as defined and authorized by the board;
    3. The administration of medication or treatment as authorized by a physician, physician assistant, dentist, or advanced practice registered nurse and as further authorized or limited by the board which is consistent with the National Federation of Licensed Practical Nurses or with Standards of Practice established by nationally accepted organizations of licensed practical nurses;
    4. Teaching, supervising, and delegating except as limited by the board; and
    5. The performance of other nursing acts which are authorized or limited by the board and which are consistent with the National Federation of Practical Nurses’ Standards of Practice or with Standards of Practice established by nationally accepted organizations of licensed practical nurses;
  11. “School of nursing” means a nursing education program preparing persons for licensure as a registered nurse or a practical nurse;
  12. “Continuing education” means offerings beyond the basic nursing program that present specific content planned and evaluated to meet competency based behavioral objectives which develop new skills and upgrade knowledge;
  13. “Nursing assistance” means the performance of delegated nursing acts by unlicensed nursing personnel for compensation under supervision of a nurse;
  14. “Sexual assault nurse examiner” means a registered nurse who has completed the required education and clinical experience and maintains a current credential from the board as provided under KRS 314.142 to conduct forensic examinations of victims of sexual offenses under the medical protocol issued by the Justice and Public Safety Cabinet in consultation with the Sexual Assault Response Team Advisory Committee pursuant to KRS 216B.400(4);
  15. “Competency” means the application of knowledge and skills in the utilization of critical thinking, effective communication, interventions, and caring behaviors consistent with the nurse’s practice role within the context of the public’s health, safety, and welfare;
  16. “Credential” means a current license, registration, certificate, or other similar authorization that is issued by the board;
  17. “Dispense” means:
    1. To receive and distribute nonscheduled legend drug samples from pharmaceutical manufacturers to patients at no charge to the patient or any other party; or
    2. To distribute nonscheduled legend drugs from a local, district, and independent health department, subject to the direction of the appropriate governing board of the individual health department;
  18. “Dialysis care” means a process by which dissolved substances are removed from a patient’s body by diffusion, osmosis, and convection from one (1) fluid compartment to another across a semipermeable membrane;
  19. “Dialysis technician” means a person who is not a nurse, a physician assistant, or a physician and who provides dialysis care in a licensed renal dialysis facility under the direct, on-site supervision of a registered nurse or a physician;
  20. “Population focus” means the section of the population within which the advanced practice registered nurse has targeted to practice. The categories of population foci are:
    1. Family and individual across the lifespan;
    2. Adult gerontology;
    3. Neonatal;
    4. Pediatrics;
    5. Women’s health and gender-related health; and
    6. Psychiatric mental health; and
  21. “Conviction” means but is not limited to:
    1. An unvacated adjudication of guilt;
    2. Pleading no contest or nolo contendere or entering an Alford plea; or
    3. Entering a guilty plea pursuant to a pretrial diversion order;

Regardless of whether the penalty is rebated, suspended, or probated.

HISTORY: Enact. Acts 1966, ch. 20, § 2; 1978, ch. 168, § 1, effective June 17, 1978; 1982, ch. 408, § 1, effective July 15, 1982; 1992, ch. 128, § 1, effective July 14, 1992; 1994, ch. 367, § 1, effective July 15, 1994; 1996, ch. 260, § 3, effective July 15, 1996; 1996, ch. 342, § 1, effective July 15, 1996; 1998, ch. 228, § 5, effective July 15, 1998; 2000, ch. 142, § 7, effective July 14, 2000; 2000, ch. 391, § 6, effective July 14, 2000; 2001, ch. 144, § 1, effective June 21, 2001; 2002, ch. 20, § 2, effective July 15, 2002; 2002, ch. 80, § 8, effective July 15, 2002; 2004, ch. 55, § 1, effective July 13, 2004; 2006, ch. 5, § 1, effective July 12, 2006; 2006, ch. 86, § 2, effective June 1, 2007; 2007, ch. 85, § 296, effective June 26, 2007; 2010, ch. 85, § 52, effective July 15, 2010; 2010, ch. 101, § 2, effective July 15, 2010; 2011, ch. 35, § 1, effective June 8, 2011; 2012, ch. 146, § 112, effective July 12, 2012; 2015 ch. 117, § 8, effective June 24, 2015; 2016 ch. 135, § 6, effective April 27, 2016; 2017 ch. 61, § 6, effective June 29, 2017; 2018 ch. 183, § 1, effective July 14, 2018.

NOTES TO DECISIONS

1.SANE Nurse.

The statements the alleged victim made to the sexual assault nurse examiner (SANE nurse) following the alleged rape were not admissible. The statements were testimonial in nature and not admissible in a case where the alleged victim died after defendant was indicted but before defendant was tried, as admission of those statements violated defendant’s rights under the Sixth Amendment, U.S. Const. amend. VI Confrontation Clause, because the SANE nurse was, pursuant to KRS 314.011(14) and KRS 216B.400(4), an active participant in the criminal investigative process because the SANE partly collected evidence for the police and prosecuting attorney. Hartsfield v. Commonwealth, 277 S.W.3d 239, 2009 Ky. LEXIS 37 ( Ky. 2009 ).

Opinions of Attorney General.

A registered nurse as defined in subdivision (3) (now subdivision (5)) who has adequate instruction and experience in such procedures may administer blood transfusions under the direct supervision of a licensed physician. OAG 64-261 .

A registered nurse may not be held personally liable for injuries a patient suffers because the nurse, against her better medical judgment, administers a treatment ordered by a physician. OAG 72-555 .

In view of this section and KRS 317.420 , nurses, but not nursing assistants, may shave male patients in health care facilities without securing a barbering license. OAG 75-387 .

Licensed practical nurses as defined in subdivision (4) (now subdivision (9)) who have successfully completed courses in intravenous injections and medication approved by the Kentucky Board of Nursing Education and Nurse Registration (now Board of Nursing) may legally administer such injections under the direction and supervision of a physician. OAG 75-605 .

It is clear that Kentucky does recognize and authorize nurse practitioners if they are registered with the Board of Nursing and meet that body’s requirements for registration. OAG 79-97 .

An advanced registered nurse practitioner may be available in a primary health care center without a licensed physician being present on the premises during certain hours provided there are specific and detailed previously drawn-up protocols which would provide for emergency situations and which would limit the activity of the advanced registered nurse practitioner to performing those duties which she was properly trained to perform in the absence of the physician and provided detailed requirements as to when the physician must be called upon the premises, and the physician must be within ready call and available for consultation and appearance when not on the premises. OAG 79-403 .

In an emergency situation a registered nurse or licensed practical nurse may take any procedures which the nurse is trained to perform to save the live of a patient without the necessity of having a physician’s or dentist’s order. OAG 79-506 .

There is no legal impediment with procedures providing for the physician giving orders to nurses through intermediaries as long as they are his orders, but if a nurse has doubt about the validity or the authenticity of an order, she should be careful to check it directly with the physician. OAG 79-506 .

The term “certify” as used in former paragraph (7) of this section, requires the registered nurse to complete successfully a post-basic course of study or professional experience and be tested and certified by a nationally recognized organization or agency which has the authority to issue such certification. OAG 80-514 .

With regard to determining the scope and standards of practice of advanced registered nurse practitioners, 201 KAR 20:057 promulgated by the Kentucky Board of Nursing, is a properly promulgated regulation which has the full force of law, and neither it nor the statutes upon which it is based constitute an unlawful delegation of legislative authority. OAG 90-23 .

Pharmacists may not legally fill prescriptions written by advanced registered nurse practitioners. OAG 93-36 .

Research References and Practice Aids

Cross-References.

Local health units and officers, KRS Chapter 212.

Practitioners of medicine generally, KRS Chapter 311.

314.020. Acting as registered nurse without license prohibited. [Repealed.]

Compiler’s Notes.

This section (3727a-9, 3727a-14) was repealed by Acts 1950, ch. 183, § 12.

314.021. Policy.

  1. It is the declared policy of the General Assembly of Kentucky that the practice of nursing, and the practices of licensed certified professional midwives and dialysis technicians, should be regulated and controlled as provided herein and by regulations of the board in order to protect and safeguard the health and safety of the citizens of the Commonwealth of Kentucky.
  2. All individuals licensed or privileged under provisions of this chapter and administrative regulations of the board shall be responsible and accountable for making decisions that are based upon the individuals’ educational preparation and experience and shall practice with reasonable skill and safety.

History. Enact. Acts 1966, ch. 20, § 1; 1978, ch. 168, § 2, effective June 17, 1978; 1994, ch. 367, § 2, effective July 15, 1994; 2006, ch. 86, § 3, effective June 1, 2007; 2021 ch. 119, § 1, effective June 29, 2021.

314.025. Kentucky nursing incentive scholarship fund — Intent of General Assembly.

  1. There is hereby created the Kentucky nursing incentive scholarship fund.
  2. It is the intent of the General Assembly of the Commonwealth of Kentucky to address the nursing workforce needs throughout the Commonwealth; further it is the intent of the General Assembly to give preference for these scholarships to financially needy residents, registered nurses pursuing graduate nursing education, and licensed practical nurses of the Commonwealth.
  3. It further is the intent of the General Assembly that an applicant who has been listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property may not be eligible for a Kentucky nursing incentive scholarship.

HISTORY: Enact. Acts 1990, ch. 249, § 1, effective July 13, 1990; 1992, ch. 128, § 2, effective July 14, 1992; 1994, ch. 367, § 3, effective July 15, 1994; 1996, ch. 26, § 1, effective July 15, 1996; 2000, ch. 391, § 7, effective July 14, 2000; 2015 ch. 117, § 9, effective June 24, 2015.

314.026. Applications for scholarships — Awards.

  1. The board shall make nursing scholarships in schools of nursing and graduate programs in nursing available to Kentucky residents through the Kentucky nursing incentive scholarship fund, as set forth by KRS 314.025 to 314.027 and by administrative regulations of the board promulgated pursuant to KRS Chapter 13A.
  2. The board shall administer the Kentucky nursing incentive scholarship fund and may recover reasonable costs for administering the fund. The board shall be responsible for receiving and evaluating all applications for the scholarship made by persons who are bona fide residents of the Commonwealth and who desire to become nurses. The board shall evaluate each application to determine if the applicant complies with criteria for such scholarships as set forth in KRS 314.025 to 314.027 and in administrative regulations of the board.
  3. Applications from all persons determined to be qualified shall be forwarded to the board. The board shall designate the persons to receive assistance and the amount thereof. Decisions of the board in these matters shall be final. Disbursement of funds shall be pursuant to a written contract between the board and the applicant.
  4. The yearly individual nursing scholarship award granted shall be determined annually by the board. In determining the amount of the award and the number of scholarships to be granted, the board shall use its best judgment and shall seek to maintain the scholarship funds for future use.
  5. Each recipient of a scholarship shall agree in the written contract to practice as a nurse in Kentucky for at least one (1) year for each academic year funded.

HISTORY: Enact. Acts 1990, ch. 249, § 2, effective July 13, 1990; 1992, ch. 128, § 3, effective July 14, 1992; 1996, ch. 26, § 2, effective July 15, 1996; 2002, ch. 266, § 3, effective July 15, 2002; 2015 ch. 117, § 10, effective June 24, 2015.

314.027. Funding for scholarships — Contract for scholarship.

  1. Funding for the Kentucky nursing incentive scholarship fund shall be supplied partly by funds received from penalties and fines, to include, but not be limited to, certificate of need penalties assessed on hospitals, nursing facilities, nursing homes, personal care homes, and family care homes under the provisions of KRS 216.560 and 216B.131(2).
  2. Additional funding shall be provided by an assessment of five dollars ($5) to be added to each nurse licensure renewal application fee payable to the board, proceeds of which shall be annually allocated to the Kentucky nursing incentive scholarship fund.
  3. The board may cancel any contract between it and any applicant or recipient upon failure by the applicant or recipient to meet requirements of KRS 314.025 to 314.027 or board administrative regulations. Failure to complete the terms of the contract shall subject the applicant to legal action for the recovery of all assistance provided, together with attorney fees and interest at a compound rate of eight percent (8%) from the date of disbursement from the Kentucky nursing incentive scholarship fund.

HISTORY: Enact. Acts 1990, ch. 249, § 3, effective July 13, 1990; 1992, ch. 128, § 4, effective July 14, 1992; 1994, ch. 367, § 4, effective July 15, 1994; 1996, ch. 26, § 3, effective July 15, 1996; 2018 ch. 143, § 15, effective July 14, 2018.

314.030. Qualifications of applicant for license. [Repealed.]

Compiler’s Notes.

This section (3727a-15) was repealed by Acts 1950, ch. 183, § 12.

314.031. Unlawful acts relating to nursing.

  1. It shall be unlawful for any person to call or hold herself or himself out as or use the title of nurse or to practice or offer to practice as a nurse unless licensed or privileged under the provisions of this chapter.
  2. It shall be unlawful for any person to operate or to offer to operate or to represent or advertise the operation of a school of nursing unless the school of nursing has been approved under the provisions of this chapter.
  3. It shall be unlawful for any person knowingly to employ a nurse unless the nurse is licensed or privileged under the provisions of this chapter.
  4. It shall be unlawful for any nurse, employer of nurses, or any person having knowledge of facts to refrain from reporting to the board a nurse who is suspected of having violated any provision of KRS 314.091(1).

HISTORY: Enact. Acts 1966, ch. 20, § 3; 1978, ch. 168, § 3, effective June 17, 1978; 1982, ch. 408, § 2, effective July 15, 1982; 1994, ch. 367, § 5, effective July 15, 1994; 2000, ch. 391, § 8, effective July 14, 2000; 2006, ch. 86, § 4, effective June 1, 2007; 2008, ch. 99, § 1, effective July 15, 2008; 2010, ch. 85, § 54, effective July 15, 2010; 2018 ch. 183, § 2, effective July 14, 2018.

314.035. Unlawful acts relating to dialysis care.

  1. It shall be unlawful for any person, other than a nurse, a physician assistant, or a physician, to provide dialysis care in a licensed renal dialysis facility unless that person holds a current active credential from the board to practice as a dialysis technician.
  2. It shall be unlawful for any person to practice as a dialysis technician who is listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property.
  3. It shall be unlawful for any dialysis technician, employer of dialysis technicians, or any person having knowledge of the facts to refrain from reporting to the board a dialysis technician who is suspected of having violated any provision of this chapter or any administrative regulation promulgated by the board.

HISTORY: Enact. Acts 2001, ch. 144, § 2, effective June 21, 2001; 2018 ch. 183, § 3, effective July 14, 2018.

314.037. References in the Kentucky Revised Statutes to “licensed” nurses to include those credentialed or privileged.

References in the Kentucky Revised Statutes to persons “licensed” under this chapter as nurses, registered nurses, licensed registered nurses, or licensed practical nurses shall be interpreted to include persons credentialed or privileged under this chapter to practice those occupations.

History. Enact. Acts 2006, ch. 86, § 12, effective June 1, 2007.

314.040. Board to examine applicants. [Repealed.]

Compiler’s Notes.

This section (3727a-5, 3727a-6) was repealed by Acts 1950, ch. 183, § 12.

Registered Nurses

314.041. Registered nurse license — Jurisprudence examination — Use of “R.N.A.” by provisional licensee — Use of “R.N.” — Special license — Reinstatement — Limited license.

  1. An applicant for a license to practice as a registered nurse shall file with the board a written application for a license and submit evidence, verified by oath, that the applicant:
    1. Has completed the basic curriculum for preparing registered nurses in an approved school of nursing and has completed requirements for graduation therefrom;
    2. Is able to understandably speak and write the English language and to read the English language with comprehension; and
    3. Has passed the jurisprudence examination approved by the board as provided by subsection (4) of this section.
  2. An applicant shall be required to pass a licensure examination in any subjects as the board may determine. Application for licensure by examination shall be received by the board at the time determined by the board by administrative regulation.
  3. Upon request, an applicant who meets the requirements of subsection (1) of this section shall be issued a provisional license that shall expire no later than six (6) months from the date of issuance.
  4. The jurisprudence examination shall be prescribed by the board and be conducted on the licensing requirements under this chapter and board regulations and requirements applicable to the nursing profession in this Commonwealth. The board shall promulgate an administrative regulation in accordance with KRS Chapter 13A establishing the provisions to meet this requirement.
  5. An individual who holds a provisional license shall have the right to use the title “registered nurse applicant” and the abbreviation “R.N.A.” An R.N.A. shall only work under the direct supervision of a registered nurse and shall not engage in independent nursing practice.
  6. Upon the applicant’s successful completion of all requirements for registered nurse licensure, the board may issue to the applicant a license to practice nursing as a registered nurse, if in the determination of the board the applicant is qualified to practice as a registered nurse in this state.
  7. The board may issue a license to practice nursing as a registered nurse to any applicant who has passed the licensure examination and the jurisprudence examination prescribed by the board or their equivalent and been licensed as a registered nurse under the laws of another state, territory, or foreign country, if in the opinion of the board the applicant is qualified to practice as a registered nurse in this state.
  8. The applicant for licensure to practice as a registered nurse shall pay a licensure application fee, and licensure examination fees if applicable, as set forth in a regulation by the board promulgated pursuant to the provisions of KRS Chapter 13A.
  9. Any person who holds a license to practice as a registered nurse in this state shall have the right to use the title “registered nurse” and the abbreviation “R.N.” No other person shall assume the title or use the abbreviation or any other words, letters, signs, or figures to indicate that the person using the same is a registered nurse. No person shall practice as a registered nurse unless licensed under this section.
    1. On November 1, 2006, and thereafter, a registered nurse who is retired, upon payment of a one-time fee, may apply for a special license in recognition of the nurse’s retired status. A retired nurse may not practice nursing but may use the title “registered nurse” and the abbreviation “R.N.” (10) (a) On November 1, 2006, and thereafter, a registered nurse who is retired, upon payment of a one-time fee, may apply for a special license in recognition of the nurse’s retired status. A retired nurse may not practice nursing but may use the title “registered nurse” and the abbreviation “R.N.”
    2. A retired registered nurse who wishes to return to the practice of nursing shall apply for reinstatement.
    3. The board shall promulgate an administrative regulation pursuant to KRS Chapter 13A to specify the fee required in paragraph (a) of this subsection and reinstatement under paragraph (b) of this subsection.
  10. Any person heretofore licensed as a registered nurse under the licensing laws of this state who has allowed the license to lapse by failure to renew may apply for reinstatement of the license under the provisions of this chapter. A person whose license has lapsed for one (1) year or more shall pass the jurisprudence examination approved by the board as provided in subsection (4) of this section.
  11. A license to practice registered nursing may be limited by the board in accordance with regulations promulgated by the board and as defined in this chapter.
  12. A person who has completed a prelicensure registered nurse program and holds a current, active licensed practical nurse license from another jurisdiction may apply for licensure by endorsement as a licensed practical nurse in this state.

HISTORY: Enact. Acts 1966, ch. 20, § 6; 1978, ch. 168, § 4, effective June 17, 1978; 1982, ch. 408, § 3, effective July 15, 1982; 1986, ch. 346, § 1, effective July 15, 1986; 1990, ch. 443, § 20, effective July 13, 1990; 1992, ch. 128, § 5, effective July 14, 1992; 1994, ch. 367, § 6, effective July 15, 1994; 2000, ch. 391, § 9, effective July 14, 2000; 2004, ch. 55, § 2, effective July 13, 2004; 2011, ch. 35, § 2, effective June 8, 2011; 2015 ch. 113, § 13, effective June 24, 2015; 2015 ch. 117, § 11, effective June 24, 2015.

Legislative Research Commission Notes.

(6/24/2015). This statute was amended by 2015 Ky. Acts chs. 113 and 117, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

Cited in:

Underhill v. Stephenson, 756 S.W.2d 459, 1988 Ky. LEXIS 41 ( Ky. 1988 ).

Opinions of Attorney General.

Where an individual who is not licensed as a nurse in Kentucky signs herself as R.N. or L.P.N., the board should turn over all pertinent material and information to the county attorney for prosecution for violation of this section or KRS 314.051 . OAG 70-538 .

The Kentucky Board of Nursing should not hold hearings regarding the effect of an applicant’s prior criminal history until the person is a bona fide applicant to practice nursing as a registered nurse or as a licensed practical nurse, and has satisfactorily completed his/her nursing training. OAG 80-226 .

Candidates for licensure renewal with regard to nurses must complete the AIDS education course(s) as part of their ongoing continuing education requirements; this interpretation satisfies the purpose behind the AIDS education program which is to keep the medical community, along with the general public, fully informed of the everchanging issues involved with AIDS, and thus, the completion of the AIDS education course is required for every license renewal period. OAG 90-121 .

314.042. License to practice as an advanced practice registered nurse — Application — Renewal — Reinstatement — Use of “APRN” — Prescriptive authority under CAPA-NS and CAPA-CS — Exemption from CAPA-NS requirement — Administrative regulations.

  1. An applicant for licensure to practice as an advanced practice registered nurse shall file with the board a written application for licensure and submit evidence, verified by oath, that the applicant:
    1. Has completed an education program that prepares the registered nurse for one (1) of four (4) APRN roles that has been accredited by a national nursing accrediting body recognized by the United States Department of Education;
    2. Is certified by a nationally established organization or agency recognized by the board to certify registered nurses for advanced practice registered nursing;
    3. Is able to understandably speak and write the English language and to read the English language with comprehension; and
    4. Has passed the jurisprudence examination approved by the board as provided in subsection (12) of this section.
  2. The board may issue a license to practice advanced practice registered nursing to an applicant who holds a current active registered nurse license issued by the board or holds the privilege to practice as a registered nurse in this state and meets the qualifications of subsection (1) of this section. An advanced practice registered nurse shall be:
    1. Designated by the board as a certified registered nurse anesthetist, certified nurse midwife, certified nurse practitioner, or clinical nurse specialist; and
    2. Certified in at least one (1) population focus.
  3. The applicant for licensure or renewal thereof to practice as an advanced practice registered nurse shall pay a fee to the board as set forth in regulation by the board.
  4. An advanced practice registered nurse shall maintain a current active registered nurse license issued by the board or hold the privilege to practice as a registered nurse in this state and maintain current certification by the appropriate national organization or agency recognized by the board.
  5. Any person who holds a license to practice as an advanced practice registered nurse in this state shall have the right to use the title “advanced practice registered nurse” and the abbreviation “APRN.” No other person shall assume the title or use the abbreviation or any other words, letters, signs, or figures to indicate that the person using the same is an advanced practice registered nurse. No person shall practice as an advanced practice registered nurse unless licensed under this section.
  6. Any person heretofore licensed as an advanced practice registered nurse under the provisions of this chapter who has allowed the license to lapse may be reinstated on payment of the current fee and by meeting the provisions of this chapter and regulations promulgated by the board pursuant to the provisions of KRS Chapter 13A.
  7. The board may authorize a person to practice as an advanced practice registered nurse temporarily and pursuant to applicable regulations promulgated by the board pursuant to the provisions of KRS Chapter 13A if the person is awaiting licensure by endorsement.
    1. Except as authorized by subsection (9) of this section, before an advanced practice registered nurse engages in the prescribing or dispensing of nonscheduled legend drugs as authorized by KRS 314.011(8), the advanced practice registered nurse shall enter into a written “Collaborative Agreement for the Advanced Practice Registered Nurse’s Prescriptive Authority for Nonscheduled Legend Drugs” (CAPA-NS) with a physician licensed in Kentucky that defines the scope of the prescriptive authority for nonscheduled legend drugs. (8) (a) Except as authorized by subsection (9) of this section, before an advanced practice registered nurse engages in the prescribing or dispensing of nonscheduled legend drugs as authorized by KRS 314.011(8), the advanced practice registered nurse shall enter into a written “Collaborative Agreement for the Advanced Practice Registered Nurse’s Prescriptive Authority for Nonscheduled Legend Drugs” (CAPA-NS) with a physician licensed in Kentucky that defines the scope of the prescriptive authority for nonscheduled legend drugs.
    2. The advanced practice registered nurse shall notify the Kentucky Board of Nursing of the existence of the CAPA-NS and the name of the collaborating physician and shall, upon request, furnish to the board or its staff a copy of the completed CAPA-NS. The Kentucky Board of Nursing shall notify the Kentucky Board of Medical Licensure that a CAPA-NS exists and furnish the collaborating physician’s name.
    3. The CAPA-NS shall be in writing and signed by both the advanced practice registered nurse and the collaborating physician. A copy of the completed collaborative agreement shall be available at each site where the advanced practice registered nurse is providing patient care.
    4. The CAPA-NS shall describe the arrangement for collaboration and communication between the advanced practice registered nurse and the collaborating physician regarding the prescribing of nonscheduled legend drugs by the advanced practice registered nurse.
    5. The advanced practice registered nurse who is prescribing nonscheduled legend drugs and the collaborating physician shall be qualified in the same or a similar specialty.
    6. The CAPA-NS is not intended to be a substitute for the exercise of professional judgment by the advanced practice registered nurse or by the collaborating physician.
    7. The CAPA-NS shall be reviewed and signed by both the advanced practice registered nurse and the collaborating physician and may be rescinded by either party upon written notice to the other party and the Kentucky Board of Nursing.
    1. Before an advanced practice registered nurse may discontinue or be exempt from a CAPA-NS required under subsection (8) of this section, the advanced practice registered nurse shall have completed four (4) years of prescribing as a nurse practitioner, clinical nurse specialist, nurse midwife, or as a nurse anesthetist. For nurse practitioners and clinical nurse specialists, the four (4) years of prescribing shall be in a population focus as defined in KRS 314.011 . (9) (a) Before an advanced practice registered nurse may discontinue or be exempt from a CAPA-NS required under subsection (8) of this section, the advanced practice registered nurse shall have completed four (4) years of prescribing as a nurse practitioner, clinical nurse specialist, nurse midwife, or as a nurse anesthetist. For nurse practitioners and clinical nurse specialists, the four (4) years of prescribing shall be in a population focus as defined in KRS 314.011 .
    2. After four (4) years of prescribing with a CAPA-NS in collaboration with a physician:
      1. An advanced practice registered nurse whose license is in good standing at that time with the Kentucky Board of Nursing and who will be prescribing nonscheduled legend drugs without a CAPA-NS shall notify that board that the four (4) year requirement has been met and that he or she will be prescribing nonscheduled legend drugs without a CAPA-NS;
      2. The advanced practice registered nurse will no longer be required to maintain a CAPA-NS and shall not be compelled to maintain a CAPA-NS as a condition to prescribe after the four (4) years have expired, but an advanced practice registered nurse may choose to maintain a CAPA-NS indefinitely after the four (4) years have expired; and
      3. If the advanced practice registered nurse’s license is not in good standing, the CAPA-NS requirement shall not be removed until the license is restored to good standing.
    3. An advanced practice registered nurse wishing to practice in Kentucky through licensure by endorsement is exempt from the CAPA-NS requirement if the advanced practice registered nurse:
      1. Has met the prescribing requirements in a state that grants independent prescribing to advanced practice registered nurses; and
      2. Has been prescribing for at least four (4) years.
    4. An advanced practice registered nurse wishing to practice in Kentucky through licensure by endorsement who had a collaborative prescribing agreement with a physician in another state for at least four (4) years is exempt from the CAPA-NS requirement.
    1. Before an advanced practice registered nurse engages in the prescribing of Schedules II through V controlled substances as authorized by KRS 314.011(8), the advanced practice registered nurse shall enter into a written “Collaborative Agreement for the Advanced Practice Registered Nurse’s Prescriptive Authority for Controlled Substances” (CAPA-CS) with a physician licensed in Kentucky that defines the scope of the prescriptive authority for controlled substances. (10) (a) Before an advanced practice registered nurse engages in the prescribing of Schedules II through V controlled substances as authorized by KRS 314.011(8), the advanced practice registered nurse shall enter into a written “Collaborative Agreement for the Advanced Practice Registered Nurse’s Prescriptive Authority for Controlled Substances” (CAPA-CS) with a physician licensed in Kentucky that defines the scope of the prescriptive authority for controlled substances.
    2. The advanced practice registered nurse shall notify the Kentucky Board of Nursing of the existence of the CAPA-CS and the name of the collaborating physician and shall, upon request, furnish to the board or its staff a copy of the completed CAPA-CS. The Kentucky Board of Nursing shall notify the Kentucky Board of Medical Licensure that a CAPA-CS exists and furnish the collaborating physician’s name.
    3. The CAPA-CS shall be in writing and signed by both the advanced practice registered nurse and the collaborating physician. A copy of the completed collaborative agreement shall be available at each site where the advanced practice registered nurse is providing patient care.
    4. The CAPA-CS shall describe the arrangement for collaboration and communication between the advanced practice registered nurse and the collaborating physician regarding the prescribing of controlled substances by the advanced practice registered nurse.
    5. The advanced practice registered nurse who is prescribing controlled substances and the collaborating physician shall be qualified in the same or a similar specialty.
    6. The CAPA-CS is not intended to be a substitute for the exercise of professional judgment by the advanced practice registered nurse or by the collaborating physician.
    7. Before engaging in the prescribing of controlled substances, the advanced practice registered nurse shall:
      1. Have been licensed to practice as an advanced practice registered nurse for one (1) year with the Kentucky Board of Nursing; or
      2. Be nationally certified as an advanced practice registered nurse and be registered, certified, or licensed in good standing as an advanced practice registered nurse in another state for one (1) year prior to applying for licensure by endorsement in Kentucky.
    8. Prior to prescribing controlled substances, the advanced practice registered nurse shall obtain a Controlled Substance Registration Certificate through the U.S. Drug Enforcement Agency.
    9. The CAPA-CS shall be reviewed and signed by both the advanced practice registered nurse and the collaborating physician and may be rescinded by either party upon written notice to the other party and the Kentucky Board of Nursing.
    10. The CAPA-CS shall state the limits on controlled substances which may be prescribed by the advanced practice registered nurse, as agreed to by the advanced practice registered nurse and the collaborating physician. The limits so imposed may be more stringent than either the schedule limits on controlled substances established in KRS 314.011(8) or the limits imposed in regulations promulgated by the Kentucky Board of Nursing thereunder.
    11. Within thirty (30) days of obtaining a Controlled Substance Registration Certificate from the United States Drug Enforcement Administration, and prior to prescribing controlled substances, the advanced practice registered nurse shall register with the electronic system for monitoring controlled substances established by KRS 218A.202 and shall provide a copy of the registration certificate to the board.
  8. Nothing in this chapter shall be construed as requiring an advanced practice registered nurse designated by the board as a certified registered nurse anesthetist to enter into a collaborative agreement with a physician, pursuant to this chapter or any other provision of law, in order to deliver anesthesia care.
  9. The jurisprudence examination shall be prescribed by the board and be conducted on the licensing requirements under this chapter and board regulations and requirements applicable to advanced practice registered nursing in this Commonwealth. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A, establishing the provisions to meet this requirement.

History. Enact. Acts 1982, ch. 408, § 5, effective July 15, 1982; 1990, ch. 443, § 21, effective July 13, 1990; 1992, ch. 128, § 6, effective July 14, 1992; 1994, ch. 367, § 7, effective July 15, 1994; 1996, ch. 342, § 2, effective July 15, 1996; 2000, ch. 391, § 10, effective July 14, 2000; 2006, ch. 5, § 2, effective July 12, 2006; 2006, ch. 86, § 5, effective June 1, 2007; 2008, ch. 99, § 2, effective July 15, 2008; 2010, ch. 85, § 53, effective July 15, 2010; 2014, ch. 2, § 2, effective July 15, 2014; 2015 ch. 113, § 14, effective June 24, 2015; 2015 ch. 117, § 12, effective June 24, 2015; 2018 ch. 183, § 4, effective July 14, 2018; 2021 ch. 119, § 2, effective June 29, 2021.

Legislative Research Commission Note

(6/24/2015). This statute was amended by 2015 Ky. Acts chs. 113 and 117, which do not appear to be in conflict and have been codified together.

Opinions of Attorney General.

Under this section, no one may practice as an advanced registered nurse practitioner (including nurse midwives) without being registered with the board of nursing. OAG 82-361 .

With regard to determining the scope and standards of practice of advanced registered nurse practitioners, 201 KAR 20:057 promulgated by the Kentucky Board of Nursing, is a properly promulgated regulation which has the full force of law, and neither it nor the statutes upon which it is based constitute an unlawful delegation of legislative authority. OAG 90-23 .

Candidates for licensure renewal with regard to nurses must complete the AIDS education course(s) as part of their ongoing continuing education requirements; this interpretation satisfies the purpose behind the AIDS education program which is to keep the medical community, along with the general public, fully informed of the everchanging issues involved with AIDS, and thus, the completion of the AIDS education course is required for every license renewal period. OAG 90-121 .

314.043. Nurse midwifery permits not to be issued after January 1, 1986 — Current permits may be reissued — Use of title “advanced practice registered nurse” regulated. [Repealed]

HISTORY: Enact. Acts 1986, ch. 346, § 10, effective July 15, 1986; 2010, ch. 85, § 55, effective July 15, 2010; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 346, § 10, effective July 15, 1986; 2010, ch. 85, § 55, effective July 15, 2010) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.046. Registered nurse may sign the provisional report of death, when. [Repealed]

History. Enact. Acts 1990, ch. 436, § 1, effective July 13, 1990; 2006, ch. 86, § 6, effective June 1, 2007; Repealed Acts 2018, ch. 183, § 13, effective July 14, 2018.

314.050. Subjects of examination. [Repealed.]

Compiler’s Notes.

This section (3727a-6) was repealed by Acts 1950, ch. 183, § 12.

Practical Nurses

314.051. Practical nurse license — Jurisprudence examination — Use of “L.P.N.A.” by provisional licensee — Use of “L.P.N.” — Special license — Reinstatement — Limited license.

  1. An applicant for a license to practice as a licensed practical nurse shall file with the board a written application for a license verified by oath, that the applicant:
    1. Has completed the required educational program in practical nursing at an approved school of nursing and has completed requirements for graduation therefrom;
    2. Is able to understandably speak and write the English language and to read the English language with comprehension; and
    3. Has passed the jurisprudence examination approved by the board as provided by subsection (4) of this section.
  2. The applicant for licensure to practice as a licensed practical nurse shall pay a licensure application fee, and licensure examination fees if applicable, as set forth in a regulation by the board.
  3. An applicant shall be required to pass a licensure examination in any subjects the board may determine. Application for licensure by examination shall be received by the board at the time determined by the board by administrative regulation.
  4. The jurisprudence examination shall be prescribed by the board and be conducted on the licensing requirements under this chapter and board regulations and requirements applicable to the nursing profession in this Commonwealth. The board shall promulgate an administrative regulation in accordance with KRS Chapter 13A establishing the provisions to meet this requirement.
  5. Upon request, an applicant who meets the requirements of subsection (1) of this section shall be issued a provisional license that shall expire no later than six (6) months from the date of issuance.
  6. An individual who holds a provisional license shall have the right to use the title “licensed practical nurse applicant” and the abbreviation “L.P.N.A.” An L.P.N.A. shall only work under the direct supervision of a nurse and shall not engage in independent nursing practice.
  7. Upon the applicant’s successful completion of all requirements for licensed practical nurse licensure, the board may issue to the applicant a license to practice as a licensed practical nurse if, in the determination of the board, the applicant is qualified to practice as a licensed practical nurse in this state.
  8. The board may issue a license to practice as a licensed practical nurse to any applicant who has passed the licensure examination and the jurisprudence examination prescribed by the board or their equivalent, and has been licensed or registered as a licensed practical nurse or a person licensed to perform similar services under a different title, under the laws of another state, territory or foreign country if, in the opinion of the board, the applicant meets the requirements for a licensed practical nurse in this state.
  9. Any person who holds a license to practice as a licensed practical nurse in this state shall have the right to use the title “licensed practical nurse” and the abbreviation “L.P.N.” No other person shall assume the title or use the abbreviation or any other words, letters, signs, or figures to indicate that the person using the same is a licensed practical nurse. No person shall practice as a licensed practical nurse unless licensed under this chapter.
    1. Beginning November 1, 2005, for a licensed practical nurse who is retired, upon payment of a one-time fee, the board may issue a special license to a licensed practical nurse in recognition of the nurse’s retired status. A retired nurse may not practice nursing but may use the title “licensed practical nurse” and the abbreviation “L.P.N.” (10) (a) Beginning November 1, 2005, for a licensed practical nurse who is retired, upon payment of a one-time fee, the board may issue a special license to a licensed practical nurse in recognition of the nurse’s retired status. A retired nurse may not practice nursing but may use the title “licensed practical nurse” and the abbreviation “L.P.N.”
    2. A retired licensed practical nurse who wishes to return to the practice of nursing shall apply for reinstatement.
    3. The board shall promulgate an administrative regulation pursuant to KRS Chapter 13A to specify the fee required in paragraph (a) of this subsection and reinstatement under paragraph (b) of this subsection.
  10. Any person heretofore licensed as a practical nurse under the licensing laws of this state who has allowed the license to lapse by failure to renew may apply for reinstatement of the license under the provisions of this chapter. A person whose license has lapsed for one (1) year or more shall pass the jurisprudence examination approved by the board as provided in subsection (4) of this section.
  11. A license to practice practical nursing may be limited by the board in accordance with regulations promulgated by the board and as defined in this chapter.

HISTORY: Enact. Acts 1966, ch. 20, §§ 11, 12(1), 13, 14, 17(2), 18; 1978, ch. 168, § 5, effective June 17, 1978; 1982, ch. 408, § 4, effective July 15, 1982; 1986, ch. 346, § 2, effective July 15, 1986; 1990, ch. 443, § 22, effective July 13, 1990; 1992, ch. 128, § 7, effective July 14, 1992; 1994, ch. 367, § 8, effective July 15, 1994; 2000, ch. 391, § 11, effective July 14, 2000; 2004, ch. 55, § 3, effective July 13, 2004; 2011, ch. 35, § 3, effective June 8, 2011; 2015 ch. 113, § 15, effective June 24, 2015.

Legislative Research Commission Note.

(7/13/2004). The word “for” has been added to this statute so that subsection (10)(b) reads, “Beginning November 1, 2005, for a licensed practical nurse who is retired . . . . . ” The Reviser of Statutes added this word when codifying 2004 Ky. Acts ch. 55, sec. 3, to correct a manifest clerical or typographical error in accordance with KRS 7.136(1)(h).

Opinions of Attorney General.

Although a person may have been licensed as a practical nurse in another state, the applicant must be a graduate from an accredited nursing school in order to be licensed in Kentucky. OAG 70-729 .

The Kentucky Board of Nursing should not hold hearings regarding the effect of an applicant’s prior criminal history until the person is a bona fide applicant to practice nursing as a registered nurse or as a licensed practical nurse, and has satisfactorily completed his/her nursing training. OAG 80-226 .

Candidates for licensure renewal with regard to nurses must complete the AIDS education course(s) as part of their ongoing continuing education requirements; this interpretation satisfies the purpose behind the AIDS education program which is to keep the medical community, along with the general public, fully informed of the everchanging issues involved with AIDS, and thus, the completion of the AIDS education course is required for every license renewal period. OAG 90-121 .

314.060. License fee — Renewal of license — Reinstatement after default. [Repealed.]

Compiler’s Notes.

This section (3727a-5) was repealed by Acts 1950, ch. 183, § 12.

Licensing Provisions

314.061. Credential to bear seal of board — Exhibit of credential on demand — Effect of refusal. [Repealed]

HISTORY: Enact. Acts 1966, ch. 20, § 15; 1986, ch. 346, § 3, effective July 15, 1986; 2000, ch. 391, § 12, effective July 14, 2000; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

314.070. Misrepresentation in applying for license. [Repealed.]

Compiler’s Notes.

This section (3727a-15) was repealed by Acts 1950, ch. 183, § 12.

314.071. Renewal of licenses — Reinstatement of licenses.

  1. The license of every person issued under the provisions of this chapter shall be renewed for a period of time as determined by the board by administrative regulation promulgated pursuant to KRS Chapter 13A, except as hereinafter provided. The applicant shall fill in the application form truthfully and accurately and return it to the board with the renewal fee prescribed by the board in a regulation before the expiration date of his current license. The board shall prescribe by regulation the beginning and ending of the licensure period.
  2. Any licensee who allows his license to lapse by failing to renew the license as provided above may be reinstated by the board on payment of current fee and by meeting the regulations of the board.
  3. Notice that the license must be renewed shall be sent to the address of record pursuant to KRS 314.107 of each licensee before the expiration date of the license.
  4. Any person practicing nursing during the time the license has lapsed shall be considered an illegal practitioner and shall be subject to the penalties provided for violations of the provisions of this chapter.

HISTORY: Enact. Acts 1966, ch. 20, § 7; 1978, ch. 168, § 6, effective June 17, 1978; 1982, ch. 408, § 6, effective July 15, 1982; 2004, ch. 55, § 4, effective July 13, 2004; 2010, ch. 85, § 56, effective July 15, 2010; 2015 ch. 117, § 13, effective June 24, 2015.

Opinions of Attorney General.

Candidates for licensure renewal with regard to nurses must complete the AIDS education course(s) as part of their ongoing continuing education requirements; this interpretation satisfies the purpose behind the AIDS education program which is to keep the medical community, along with the general public, fully informed of the everchanging issues involved with AIDS, and thus, the completion of the AIDS education course is required for every license renewal period. OAG 90-121 .

314.073. Continuing competency requirements.

  1. As a prerequisite for license renewal, all individuals licensed under provisions of this chapter shall be required to document continuing competency during the immediate past licensure period as prescribed in regulations promulgated by the board.
  2. The continuing competency requirement shall be documented and reported as set forth by the board in administrative regulations promulgated in accordance with KRS Chapter 13A.
  3. The board shall approve providers of continuing education. The approval may include recognition of providers approved by national organizations and state boards of nursing with comparable standards. Standards for these approvals shall be set by the board in administrative regulations promulgated in accordance with the provisions of KRS Chapter 13A.
  4. The board shall work cooperatively with professional nursing organizations, approved nursing schools, and other potential sources of continuing education programs to ensure that adequate continuing education offerings are available statewide. The board may enter into contractual agreements to implement the provisions of this section.
  5. The board shall be responsible for notifying applicants for licensure and licensees applying for license renewal, of continuing competency requirements.
  6. As a part of the continuing education requirements that the board adopts to ensure continuing competency of present and future licensees, the board shall ensure practitioners licensed under KRS Chapter 314 complete a one-time training course of at least one and one-half (1.5) hours covering the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 . The one and one-half (1.5) hours required under this section shall be included in the current number of required continuing education hours.
  7. In order to offset administrative costs incurred in the implementation of the mandatory continuing competency requirements, the board may charge reasonable fees as established by regulation in accordance with the provisions of KRS Chapter 13A.
  8. The continuing competency requirements shall include at least five (5) contact hours in pharmacology continuing education for any person licensed as an advanced practice registered nurse.

HISTORY: Enact. Acts 1978, ch. 168, § 13, effective June 17, 1978; 1982, ch. 408, § 7, effective July 15, 1982; 1990, ch. 443, § 9, effective July 13, 1990; 1992, ch. 128, § 8, effective July 14, 1992; 1996, ch. 342, § 3, effective July 15, 1996; 2000, ch. 391, § 13, effective July 14, 2000; 2001, ch. 61, § 10, effective June 21, 2001; 2010, ch. 85, § 57, effective July 15, 2010; 2010, ch. 171, § 14, effective July 15, 2010; 2011, ch. 35, § 4, effective June 8, 2011; 2015 ch. 113, § 16, effective June 24, 2015; 2015 ch. 117, § 14, effective June 24, 2015.

Legislative Research Commission Notes.

(6/24/2015). This statute was amended by 2015 Ky. Acts chs. 113 and 117, which do not appear to be in conflict and have been codified together.

Opinions of Attorney General.

The hours associated with the AIDS course (which is mandated for license renewal) should be included within, and not in addition to, the 30 continuing education hours which nurses are required to complete in order to renew their licenses under this section. OAG 90-55 .

Candidates for licensure renewal with regard to nurses must complete the AIDS education course(s) as part of their ongoing continuing education requirements; this interpretation satisfies the purpose behind the AIDS education program which is to keep the medical community, along with the general public, fully informed of the everchanging issues involved with AIDS, and thus, the completion of the AIDS education course is required for every license renewal period. OAG 90-121 .

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

314.074. In-service training for nurses on child sexual abuse. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 351, § 7, effective July 14, 1992) was repealed by Acts 2000, ch. 391, § 23, effective July 14, 2000.

314.075. Dishonor of financial instrument in payment of license fee — Emergency hearing.

  1. If a licensee issues payment for a license to the board by a check, draft, order, or electronic funds transfer that is dishonored by the bank or financial institution upon which it is drawn, and the licensee fails to reimburse the board for the amount of the check, draft, order, or electronic funds transfer and any applicable fee within thirty (30) days of written notice from the board, the board may initiate action for the immediate temporary suspension of the license under KRS 314.089 until the licensee pays the required fee and meets all requirements for reinstatement of the license. The board shall mail written notice that the check, draft, order, or electronic funds transfer has been dishonored to the licensee’s address on record with the board.
  2. A licensee whose license is suspended under subsection (1) of this section may request an emergency hearing under the provisions of KRS 13B.125 .
  3. Nothing in this section shall supersede the provisions of KRS 314.091 .

History. Enact. Acts 2002, ch. 266, § 1, effective July 15, 2002; 2004, ch. 55, § 5, effective July 13, 2004; 2008, ch. 99, § 3, effective July 15, 2008.

314.077. Suspension of nurse’s license for violation of KRS 205.712 — Hearing and reinstatement.

  1. Notwithstanding any provision of law to the contrary, upon receipt of a notice from the Cabinet for Health and Family Services that a nurse is in violation of KRS 205.712 , the board shall issue an order suspending the nurse’s license. If the individual is an applicant for licensure, the board shall issue a denial of licensure. The order shall constitute disciplinary action against the nurse or individual.
  2. Suspension of a license or denial of licensure under subsection (1) of this section shall continue until the Cabinet for Health and Family Services notifies the board that the nurse or individual is no longer in violation of KRS 205.712 .
  3. A nurse shall not be entitled to a hearing before the board on a suspension of a license in child support cases administered by the Cabinet for Health and Family Services in accordance with 42 U.S.C. secs. 651 et seq.
  4. To reinstate a license suspended under this section, a nurse shall comply with all reinstatement requirements.

History. Enact. Acts 2002, ch. 266, § 2, effective July 15, 2002; 2005, ch. 99, § 596, effective June 20, 2005.

314.080. Causes for refusal, suspension, revocation of license. [Repealed.]

Compiler’s Notes.

This section (3727a-10) was repealed by Acts 1950, ch. 183, § 12.

314.081. Licenses under prior law entitled to renewal — Grandfather clause. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 20, § 17 (1), (3)) was repealed by Acts 1978, ch. 168, § 15, effective June 17, 1978.

314.085. Mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation of licensee or applicant — Suspension or denial of application until person submits to evaluation.

  1. If the board has reasonable cause to believe that any licensee; applicant for licensure by examination, endorsement, reinstatement, or change of status; holder of the privilege to practice as a nurse; credential holder; or holder of a temporary work permit is unable to practice with reasonable skill and safety or has abused alcohol or drugs, it may require the person to submit to a mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation by a licensed or certified practitioner designated by the board. Upon the failure of the person to submit the evaluation within thirty (30) days, unless due to circumstances beyond the person’s control, the board may initiate an action for immediate temporary suspension pursuant to KRS 314.089 or deny the application until the person submits to the required evaluation.
  2. Every licensee; applicant for licensure by examination, endorsement, reinstatement, or change of status; holder of the privilege to practice as a nurse; credential holder; or holder of a temporary work permit shall be deemed to have given consent to submit to a mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation when so directed in writing by the board. The direction to submit to an evaluation shall contain the basis of the board’s reasonable cause to believe that the person is unable to practice with reasonable skill and safety, or has abused alcohol or drugs. The person shall be deemed to have waived all objections to the admissibility of the examining practitioner’s testimony or examination reports on the ground of privileged communication.
  3. The licensee; applicant for licensure by examination, endorsement, reinstatement, or change of status; holder of the privilege to practice as a nurse; credential holder; or holder of a temporary work permit shall bear the cost of any mental health, neuropsychological, psychosocial, psychosexual, substance use disorder, or physical evaluation ordered by the board.

HISTORY: Enact. Acts 1992, ch. 128, § 13, effective July 14, 1992; 2000, ch. 391, § 14, effective July 14, 2000; 2002, ch. 266, § 4, effective July 15, 2002; 2006, ch. 86, § 7, effective June 1, 2007; 2015 ch. 117, § 15, effective June 24, 2015; 2018 ch. 183, § 5, effective July 14, 2018.

314.089. Immediate temporary suspension of license against which disciplinary action or investigation is pending — Procedure.

  1. The board’s president or the president’s designee may determine that immediate temporary suspension of a license or privilege against which disciplinary action or an investigation is pending is necessary in order to stop, prevent, or avoid immediate danger to the public health, safety, or welfare. When it appears that this action may be necessary, the executive director or the executive director’s designee shall issue an emergency order suspending the nurse’s license or privilege. Upon appeal of an emergency order, an emergency hearing shall be conducted in accordance with KRS 13B.125 .
  2. No board member shall be disqualified from serving on a disciplinary action hearing panel for the reason that he has previously sat on a hearing panel considering temporary suspension of the same license or privilege.
  3. The board shall expedite disciplinary actions in which a license or privilege has been temporarily suspended.
  4. The order of immediate temporary suspension shall remain in effect until either reconsidered or superseded by final disciplinary action by the board.

HISTORY: Enact. Acts 1986, ch. 346, § 11, effective July 15, 1986; 1992, ch. 128, § 9, effective July 14, 1992; 1996, ch. 318, § 266, effective July 15, 1996; 2002, ch. 266, § 5, effective July 15, 2002; 2004, ch. 55, § 6, effective July 13, 2004; 2006, ch. 86, § 8, effective June 1, 2007; 2018 ch. 183, § 6, effective July 14, 2018.

314.090. License to bear signatures and seal. [Repealed.]

Compiler’s Notes.

This section (3727a-16) was repealed by Acts 1950, ch. 183, § 12.

314.091. Reprimand, denial, limitation, probation, revocation, or suspension of licenses, privileges, or credentials — Hearings — Appeals.

  1. The board shall have power to reprimand, deny, limit, revoke, probate, or suspend any license or credential to practice nursing issued by the board or applied for in accordance with this chapter or the privilege to practice as a nurse recognized by the board in accordance with this chapter, or to otherwise discipline a licensee, credential holder, privilege holder, or applicant, or to deny admission to the licensure examination, or to require evidence of evaluation and therapy upon proof that the person:
    1. Is guilty of fraud or deceit in procuring or attempting to procure a license, credential, or privilege to practice nursing;
    2. Has been convicted 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, if in accordance with KRS Chapter 335B. 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;
    3. Has been convicted of a misdemeanor offense under KRS Chapter 510 involving a patient, or a felony offense under KRS Chapter 510, 530.064(1)(a), or 531.310 , or has been found by the board to have had sexual contact as defined in KRS 510.010(7) with a patient while the patient was under the care of the nurse;
    4. Has negligently or willfully acted in a manner inconsistent with the practice of nursing;
    5. Is unfit or incompetent to practice nursing by reason of negligence or other causes, including but not limited to, being unable to practice nursing with reasonable skill or safety;
    6. Abuses controlled substances, prescription medications, illegal substances, or alcohol;
    7. Has misused or misappropriated any drugs placed in the custody of the nurse for administration, or for use of others;
    8. Has falsified or in a negligent manner made incorrect entries or failed to make essential entries on essential records;
    9. Has a license, privilege, or credential to practice as a nurse 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 action by another jurisdiction for failure to repay a student loan;
    10. Has violated any of the provisions of this chapter;
    11. Has violated any lawful order or directive previously entered by the board;
    12. Has violated any administrative regulation promulgated by the board;
    13. Has been listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property;
    14. Has violated the confidentiality of information or knowledge concerning any patient, except as authorized or required by law;
    15. Used or possessed a Schedule I controlled substance;
    16. Has used or been impaired as a consequence of the use of alcohol or drugs while practicing as a nurse;
    17. Has violated KRS 304.39-215 ;
    18. Has engaged in conduct that is subject to the penalties under KRS 304.99-060 (4) or (5); or
    19. As provided in KRS 311.824(2), has been convicted of a violation of KRS 311.823(2).
  2. All hearings shall be conducted in accordance with KRS Chapter 13B. A suspended or revoked license, privilege, or credential may be reinstated at the discretion of the board, and in accordance with regulations promulgated by the board.
  3. The executive director may issue subpoenas to compel the attendance of witnesses and the production of documents in the conduct of an investigation. The subpoenas may be enforced by the Circuit Court as for contempt. Any order or subpoena of the court requiring the attendance and testimony of witnesses and the production of documentary evidence may be enforced and shall be valid anywhere in this state.
  4. At all hearings on request of the board the Attorney General of this state or one (1) of the assistant attorneys general designated by the Attorney General shall appear and represent the board.
  5. A final order of the board shall be by majority vote thereof.
  6. Any person adversely affected by any final order of the board may obtain a review thereof by filing a written petition for review with the Circuit Court of the county in which the board’s offices are located in accordance with KRS Chapter 13B.
  7. If the board substantiates that sexual contact occurred between a nurse and a patient while the patient was under the care of or in a professional relationship with the nurse, the nurse’s license, privilege, or credential may be revoked or suspended with mandatory treatment of the nurse as prescribed by the board. The board may require the nurse to pay a specified amount for mental health services for the patient which are needed as a result of the sexual contact.
  8. The board may, by administrative regulation, provide for the recovery of the costs of an administrative hearing.

History. Enact. Acts 1966, ch. 20, § 10; 1978, ch. 168, § 7, effective June 17, 1978; 1982, ch. 408, § 8, effective July 15, 1982; 1986, ch. 346, § 4, effective July 15, 1986; 1992, ch. 128, § 10, effective July 14, 1992; 1994, ch. 265, § 6, effective July 15, 1994; 1994, ch. 367, § 9, effective July 15, 1994; 1994, ch. 470, § 6, effective July 15, 1994; 1996, ch. 26, § 4, effective July 15, 1996; 1996, ch. 318, § 264, effective July 15, 1996; 2000, ch. 391, § 15, effective July 14, 2000; 2004, ch. 55, § 7, effective July 13, 2004; 2006, ch. 86, § 9, effective June 1, 2007; 2006, ch. 182, § 60, effective July 12, 2006; 2008, ch. 99, § 4, effective July 15, 2008; 2010, ch. 85, § 58, effective July 15, 2010; 2017 ch. 158, § 58, effective June 29, 2017; 2018 ch. 183, § 7, effective July 14, 2018; 2019 ch. 143, § 12, effective June 27, 2019; 2021 ch. 1, § 11, effective January 22, 2021.

Legislative Research Commission Notes.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last. 1994 Ky. Acts ch. 367 sec. 9 is not in conflict with these two Acts and has been codified together with them.

NOTES TO DECISIONS

1.Conduct Justifying Suspension or Revocation of License.

Where board of nursing ordered suspension of nurse’s license because she had sternly rebuked patient with a threat and where board’s findings of fact supported by Circuit Court record indicated that nurse had received commendations for patient care, had no complaints on record and confirmed that patient was difficult and that nurse had spoken abusive words because she was concerned for patient’s safety, the isolated incident complained of did not rise to the level of conduct prohibited by this section. Kentucky Bd. of Nursing v. Ward, 890 S.W.2d 641, 1994 Ky. App. LEXIS 104 (Ky. Ct. App. 1994).

Opinions of Attorney General.

The board has jurisdiction only over licensees or those persons applying for a license. OAG 70-538 .

Where an applicant has submitted an application which includes false information, after holding a hearing on the application the board could turn over the material and information to the Commonwealth or county attorney for imposition of penalties in accordance with subsection (2) or subsection (4) (now see subsection (2)) of KRS 314.991 . OAG 70-538 .

The Department for Social Services improperly denied the Kentucky Board of Nursing’s Credentials Consultant’s request for a report prepared by the Department in the course of its investigation into suspected adult abuse pursuant to KRS 209.140 , which is incorporated into the Open Records Act by operation of KRS 61.878(1)(k). OAG 93-ORD-131.

The Department of Social Services improperly denied the Kentucky Board of Nursing’s request for medical records referenced in a report prepared by the Department in the course of an investigation into suspected child abuse pursuant to subsection (4) of KRS 620.050 , which is incorporated into the Open Records Act by operation of subdivision (1)(k) [now (1)(l)] of KRS 61.878 . OAG 93-ORD-132.

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

314.093. Immunity from civil and criminal liability.

Persons and agencies that file a complaint, provide sworn or written statements, or otherwise participate in an investigation or administrative proceeding instituted pursuant to this chapter shall have immunity from civil or criminal prosecution that is based upon such information unless the person or agency committed perjury, acted in bad faith, or acted with gross negligence, recklessness, or malicious purpose.

History. Enact. Acts 2010, ch. 85, § 24, effective July 15, 2010.

314.095. Licensees, credentialed holders, privilege holders, and applicants to cooperate with investigation.

A licensee, credentialed holder, privilege holder, or applicant who is the subject of an investigation by or on behalf of the board shall cooperate fully with the investigation, including responding to a complaint or lawful request for information in a materially factual and timely manner.

History. Enact. Acts 2010, ch. 85, § 25, effective July 15, 2010.

314.099. Jurisdiction of board over applicants, licensees, and those privileged to practice.

Jurisdiction, both as to person and subject matter, under this chapter vests with the board upon application for licensure or practice on the privilege and shall continue during periods of licensure and lapse of licensure. The jurisdiction of the board shall be continuous over the individual applicant or licensee or holder of the privilege and shall not be divested by voluntary surrender of a license or privilege, withdrawal of an application, or expiration of a temporary work permit.

History. Enact. Acts 2000, ch. 391, § 21, effective July 14, 2000; 2004, ch. 55, § 8, effective July 13, 2004; 2006, ch. 86, § 10, effective June 1, 2007.

314.100. Recording license with county clerk — Fee. [Repealed.]

Compiler’s Notes.

This section (3727a-5, 3727a-17) was repealed by Acts 1950, ch. 183, § 12.

314.101. Excepted activities and practices — Work permits — Withdrawal of temporary work permits.

  1. This chapter does not prohibit the following:
    1. The practice of any currently licensed nurse of another state practicing in this state during an emergency occurring in this state or any other state declared by the President of the United States or the Governor of Kentucky. The duration and conditions of the practice shall be determined by the board;
    2. The practice of nursing which is incidental to the program of study by individuals enrolled in nursing education programs and refresher courses approved by the board or in graduate programs in nursing;
    3. The practice of any legally qualified nurse of another state who is employed by the United States government or any bureau, division, or agency thereof while in the discharge of his or her official duties;
    4. The practice of any currently licensed nurse of another state that is not a member of the Nurse Licensure Compact set forth in KRS 314.475 , who is in this state on a nonroutine basis not to exceed seven (7) days; or
    5. Notwithstanding the provisions of paragraph (a) of this subsection, the practice of volunteer health practitioners under KRS 39A.350 to 39A.366 .
  2. Nothing in this chapter shall be construed as prohibiting care of the sick with or without compensation or personal profit when done in connection with the practice of the religious tenets of any recognized or established church by adherents thereof as long as they do not engage in the practice of nursing as defined in this chapter.
  3. Nothing in this chapter shall limit, preclude, or otherwise restrict the practices of other licensed personnel in carrying out their duties under the terms of their licenses.
  4. A temporary work permit may be issued by the board to persons who have completed the requirements for, applied for, and paid the fee for licensure by endorsement. Temporary work permits shall be issued only for the length of time required to process applications for endorsement and shall not be renewed. No temporary work permit shall be issued to an applicant who has failed the licensure examination.
  5. The board may summarily withdraw a temporary work permit upon determination that the person does not meet the requirements for licensure or has disciplinary action pending against the person’s license in this or another jurisdiction.

HISTORY: Enact. Acts 1966, ch. 20, § 9; 1978, ch. 168, § 8, effective June 17, 1978; 1982, ch. 408, § 9, effective July 15, 1982; 1986, ch. 346, § 5, effective July 15, 1986; 1992, ch. 128, § 11, effective July 14, 1992; 1994, ch. 367, § 10, effective July 15, 1994; 2000, ch. 391, § 16, effective July 14, 2000; 2004, ch. 55, § 9, effective July 13, 2004; 2006, ch. 86, § 11, effective June 1, 2007; 2007, ch. 96, § 13, effective June 26, 2007; 2018 ch. 183, § 8, effective July 14, 2018.

Opinions of Attorney General.

Although a person who is licensed in another state may be employed by the United States government in an institution in this state without having to have a license to practice as a nurse in Kentucky, this section does not permit a person who is not licensed by any state to practice as a nurse in Kentucky, even in a federal institution, and while the Board of Nursing could not take any action against the federal institution as such, it could take action against the individual who is practicing illegally as a licensed nurse. OAG 79-530 .

314.103. Criminal background check of applicant.

The board may require a criminal background investigation of an applicant, nurse, or dialysis technician by means of a fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation.

History. Enact. Acts 2000, ch. 391, § 1, effective July 14, 2000; 2007, ch. 85, § 297, effective June 26, 2007; 2010, ch. 85, § 59, effective July 15, 2010.

314.105. Declaratory ruling by board on applicability of law to a particular case. [Repealed]

History. Enact. Acts 2000, ch. 391, § 2, effective July 14, 2000; Repealed Acts 2018, ch. 183, § 13, effective July 14, 2018.

314.107. Service of notice or order to licensee at mailing address and electronic mailing address required to be on file with board.

Any person licensed by the board shall maintain a current mailing address and an electronic mailing address with the board and immediately notify the board in writing of a change of mailing address or electronic mailing address. As a condition of holding a license from the board, a licensee is deemed to have consented to service of notices or orders of the board at the mailing address on file with the board, and any notice or order of the board mailed or delivered to the mailing address on file with the board constitutes valid service of the notice or order.

History. Enact. Acts 2000, ch. 391, § 3, effective July 14, 2000; 2021 ch. 119, § 3, effective June 29, 2021.

314.108. Notification of board if any professional or business license is terminated or suspended.

  1. Any person licensed by the board shall, within thirty (30) days of the entry of a final order, 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 is subject to disciplinary action. The person shall submit a certified copy of the order and a letter of explanation.
  2. An applicant for licensure shall notify the board in writing if any professional or business license that was issued to the person by any agency of the Commonwealth or any other jurisdiction is surrendered or terminated under threat of disciplinary action, or is refused, suspended, or revoked, or if renewal of continuance is denied. The person shall submit a certified copy of the order and a letter of explanation with his or her application.

History. Enact. Acts 2000, ch. 391, § 4, effective July 14, 2000; 2004, ch. 55, § 10, effective July 13, 2004; 2010, ch. 85, § 60, effective July 15, 2010.

314.109. Notification of board of any criminal conviction.

Any person under the jurisdiction of the board shall, within ninety (90) days of entry of an order or judgment, notify the board in writing of any misdemeanor or felony criminal conviction, except traffic-related misdemeanors other than operating a motor vehicle under the influence of drugs or alcohol, in this or any other jurisdiction. The person shall submit a certified or attested copy of the order and a letter of explanation.

HISTORY: Enact. Acts 2000, ch. 391, § 5, effective July 14, 2000; 2004, ch. 55, § 11, effective July 13, 2004; 2008, ch. 99, § 5, effective July 15, 2008; 2010, ch. 85, § 61, effective July 15, 2010; 2015 ch. 117, § 16, effective June 24, 2015.

314.110. Suspension — Revocation proceedings — Appeal from refusal, suspension, revocation of license. [Repealed.]

Compiler’s Notes.

This section (3727a-11) was repealed by Acts 1950, ch. 183, § 12.

Nursing Schools

314.111. Nursing school approval — Standards — Administrative regulations — Administrative hearing.

  1. An institution desiring to conduct a school of nursing shall apply to the board and submit evidence that it is prepared to carry out the minimum approved basic curriculum in nursing and that it is prepared to fulfill other requirements of standards which are established by KRS 314.011 to 314.161 and KRS 314.991 and the administrative regulations promulgated by the board. No person shall operate a nursing education program or school of nursing without complying with the provisions of this section.
  2. A survey of the institution and its proposed education program shall be made by the executive director or an authorized employee of the board who shall submit a written report of the survey to the board. If in the opinion of the board the requirements for an approved nursing education program or school of nursing are met it shall approve the school.
  3. The board shall, by administrative regulations promulgated pursuant to KRS Chapter 13A, set standards for the establishment and outcomes of nursing education programs that prepare advanced practice registered nurses, including clinical learning experiences, and shall approve such programs that meet the standards.
  4. If the board determines that any approved school of nursing is not maintaining the standards required by the statutes and the administrative regulations of the board or is not complying with the requirements of the administrative regulations of the board, notice thereof in writing specifying their deficiencies or compliance issues shall be given to the school. A school which fails to correct these conditions to the satisfaction of the board or fails to comply with the requirements of the administrative regulation may be fined up to five hundred dollars ($500) per day for each day that it fails to correct the deficiencies or fails to comply with the requirements of the administrative regulations. A school may:
    1. Request an administrative hearing in accordance with KRS Chapter 13B to contest any fine; and
    2. Be subject to an administrative hearing in accordance with KRS Chapter 13B to determine whether the school shall be closed.

The board shall promulgate administrative regulations pursuant to KRS Chapter 13A to implement this subsection.

History. Enact. Acts 1966, ch. 20, § 8; 1978, ch. 168, § 9, effective June 17, 1978; 1996, ch. 318, § 267, effective July 15, 1996; 2000, ch. 391, § 17, effective July 14, 2000; 2010, ch. 85, § 62, effective July 15, 2010; 2018 ch. 183, § 10, effective July 14, 2018.

Opinions of Attorney General.

When an institution advertises they have a nursing program which is approved by the Nursing Board when there has been no such approval, the Board should turn over all pertinent material and information to the county attorney for prosecution for violation of this section. OAG 70-538 .

This section vests the Kentucky Board of Nursing Education and Nurse Registration (now Board of Nursing) with the responsibility of approving all nursing education programs and nursing schools within the commonwealth and this responsibility is not superseded by KRS 164.020 , 164.945 or 216.040 (repealed). OAG 75-251 .

314.120. Board — Members — Qualifications — Terms — Vacancies — Quorum. [Repealed.]

Compiler’s Notes.

This section (3727a-1, 3727a-2) was repealed by Acts 1950, ch. 183, § 12.

Board of Nursing — Advisory Council

314.121. Board of Nursing — Members — Appointment — Terms — Qualifications.

  1. The Governor shall appoint a Board of Nursing consisting of sixteen (16) members:
    1. Nine (9) members shall be registered nurses licensed to practice in the Commonwealth, with the Governor ensuring that the appointees represent different specialties from a broad cross-section of the nursing profession after soliciting and receiving nominations from recognized specialty state component societies;
    2. Three (3) members shall be practical nurses licensed to practice in the Commonwealth;
    3. One (1) member shall be a nurse service administrator who is a registered nurse licensed to practice in the Commonwealth;
    4. One (1) member shall be engaged in practical nurse education who is a registered nurse licensed to practice in the Commonwealth; and
    5. Two (2) members shall be citizens at large, who are not associated with or financially interested in the practice or business regulated.
  2. Each appointment shall be for a term of four (4) years expiring on June 30 of the fourth year. The cycle for appointments and expiration of terms shall be as follows:
    1. The first year of the four (4) year cycle, the terms for three (3) registered nurses and one (1) licensed practical nurse shall expire;
    2. The second year of the four (4) year cycle, the terms for three (3) registered nurses and one (1) citizen at large shall expire;
    3. The third year of the four (4) year cycle, the terms for two (2) registered nurses, one (1) licensed practical nurse, and the one (1) member engaged in practical nurse education who is a registered nurse shall expire; and
    4. The fourth year of the four (4) year cycle, the terms for two (2) registered nurses, one (1) licensed practical nurse, and one (1) citizen at large shall expire.
    1. By March 1, the Kentucky Nurses Association shall submit to the Governor a list of members qualified for appointment as R.N. members, in number not less than twice the number of appointments to be made, from which list the Governor shall make each appointment or appointments necessary by July 1. (3) (a) By March 1, the Kentucky Nurses Association shall submit to the Governor a list of members qualified for appointment as R.N. members, in number not less than twice the number of appointments to be made, from which list the Governor shall make each appointment or appointments necessary by July 1.
    2. By March 1, Kentucky Licensed Practical Nurses Organization Incorporated shall submit to the Governor a list of names qualified for appointment as L.P.N. members, in number not less than twice the number of appointments to be made, from which list the Governor shall make each appointment or appointments as necessary by July 1.
    3. By March 1 of the year in which the nurse service administrator’s term shall expire, the Kentucky Organization of Nurse Leaders, an affiliate of the Kentucky Hospital Association, shall submit to the Governor two (2) names of qualified individuals for appointment as the nurse service administrator from which list the Governor shall make an appointment as necessary by July 1.
    4. By March 1, LeadingAge Kentucky shall submit to the Governor two (2) names of qualified individuals for appointments as its R.N. representative to the board, from which the Governor shall make an appointment by July 1.
    5. By March 1 of the year in which the Kentucky Association of Health Care Facilities representative’s term shall expire, the Kentucky Association of Health Care Facilities shall submit to the Governor two (2) names of qualified individuals for appointment as its R.N. representative to the board, from which list the Governor shall make an appointment as necessary by July 1.
    6. Initially, the Governor shall appoint one (1) member to serve as the registered nurse who is engaged in practical nurse education to serve the term remaining according to the cycle specified in subsection (2) of this section. By August 1, 1996, Kentucky Licensed Practical Nurses Organization Incorporated shall submit to the Governor two (2) names of qualified individuals for the appointment, from which list the Governor shall make the appointment by September 1, 1996. Thereafter, by March 1 of the year in which the practical nurse educator’s term expires, Kentucky Licensed Practical Nurses Organization Incorporated shall submit to the Governor two (2) names of qualified individuals for the appointment, from which list the Governor shall make the appointment by July 1.
    7. The Governor shall appoint two (2) members who shall be citizens at large, who are not associated with or financially interested in the practice or business regulated. The Governor shall make the appointments by July 1 of the year in which the citizen members’ terms expire.
  3. A vacancy on the board shall be filled by the Governor as provided for under subsection (1) of this section.
  4. The Governor may remove any member from the board for neglect of duty, incompetence, or unprofessional or dishonorable conduct.
  5. Each R.N. member of the board shall be a citizen of the United States, a resident of Kentucky, a graduate of an approved school of nursing, and a registered nurse in this state. All shall have had at least five (5) years of experience in nursing, three (3) of which shall immediately precede such appointment. Five (5) members shall be engaged in nursing practice; three (3) shall be engaged in nursing education; one (1) shall be engaged in advanced practice registered nursing; and one (1) shall be in nursing administration.
  6. Each L.P.N. member of the board shall be a citizen of the United States, a resident of Kentucky, a graduate of an approved school of practical nursing or its equivalent, licensed as a licensed practical nurse in this state, have at least five (5) years of experience in nursing, three (3) of which shall immediately precede this appointment, and be currently engaged in nursing practice.

HISTORY: Enact. Acts 1966, ch. 20, § 4; 1976, ch. 206, § 7; 1978, ch. 168, § 10, effective June 17, 1978; 1982, ch. 408, § 10, effective July 15, 1982; 1986, ch. 346, § 6, effective July 15, 1986; 1988, ch. 342, § 1, effective July 15, 1988; 1992, ch. 83, § 1, effective July 14, 1992; 1992, ch. 128, § 12, effective July 14, 1992; 1992, ch. 259, § 4, effective July 14, 1992; 1996, ch. 26, § 5, effective July 15, 1996; 2000, ch. 391, § 18, effective July 14, 2000; 2010, ch. 29, § 1, effective July 15, 2010; 2010, ch. 85, § 63, effective July 15, 2010; 2012 (1st Ex. Sess.), ch. 1, § 10, effective July 20, 2012; 2018 ch. 183, § 11, effective July 14, 2018.

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Opinions of Attorney General.

Members of the advisory council of the Kentucky Board of Nursing are not authorized to incur reimbursable travel expenses. OAG 72-555 .

The general rule that appointive terms begin on the date the appointment is made and run with the calendar year until the period of appointment ends applies to members of the Board of Nursing and their terms end four (4) calendar years from the day their appointments are received. OAG 72-555 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

314.130. Compensation of board members and secretary-treasurer. [Repealed.]

Compiler’s Notes.

This section (3727a-4: amend. Acts 1946, ch. 31, § 1) was repealed by Acts 1950, ch. 183, § 12.

314.131. Board meetings — Administrative regulations — Officers — Quorum — Duties — Executive director — Compensation of members — Liability insurance — Expunging of disciplinary action records.

  1. The board shall meet at least annually and shall elect from its members a president and any other officers that it deems necessary. Nine members of the board including one (1) officer shall constitute a quorum at any meeting. The board is authorized to promulgate administrative regulations not inconsistent with the law and subject to the provisions of KRS Chapter 13A, as may be necessary to enable it to carry into effect the provisions of this chapter. The board may 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 under this chapter and the administrative regulations of the board, including electronic submission.
  2. The board shall approve programs of nursing and shall monitor compliance with standards for nurse competency under this chapter. It shall examine, license, and renew the license of duly-qualified applicants; determine notice of place and time of licensure examinations; approve providers of continuing education; administer continuing education requirements; issue advisory opinions or declaratory rulings dealing with the practice of nursing; register and designate those persons qualified to engage in advanced nursing practice; and it shall conduct administrative hearings in accordance with KRS Chapter 13B upon charges calling for discipline of a licensee and cause the prosecution of all persons violating any provisions of this chapter. It shall keep a record of all its proceedings and make an annual report to the Governor.
  3. The board shall develop specific guidelines to follow upon receipt of an allegation of sexual misconduct by a nurse licensed by the board. The guidelines shall include investigation, inquiry, and hearing procedures which ensure that the process does not revictimize the alleged victim or cause harm if a nurse is falsely accused.
  4. The board and investigators hired by the board shall receive training on the dynamics of sexual misconduct of professionals, including the nature of this abuse of authority, characteristics of the offender, the impact on the victim, the possibility and the impact of false accusations, investigative procedure in sex offense cases, and effective intervention with victims and offenders.
  5. The board shall employ a qualified person to serve as executive director to the board, and shall fix the compensation and define the duties of the executive director. It may employ other persons as may be necessary to carry on the work of the board.
  6. The executive director shall have at least the qualifications for board members, and a master’s degree in nursing or equivalent and shall have had at least two (2) years of experience in nursing administration immediately preceding the time of appointment.
  7. Each member of the board shall receive, in addition to traveling, hotel, and other necessary expenses, one hundred fifty dollars ($150) for each day the member is actually engaged in the discharge of official duties.
  8. The board may, in its discretion, purchase liability insurance for board and staff members against acts performed in good faith discharge of duties.
  9. The board may, by administrative regulation issued pursuant to the provisions of KRS Chapter 13A, determine which disciplinary action records may be expunged. Any records which are expunged shall be exempt from disclosure under the Kentucky Open Records Law, KRS 61.870 to 61.884 . The board shall not report its disciplinary actions for any purpose other than statistical.
  10. The board may reimburse any person appointed by direction of the board to any committee, subcommittee, or task force created by the board for his or her travel and subsistence expenses as established through the promulgation of administrative regulations in accordance with KRS Chapter 13A.

History. Enact. Acts 1966, ch. 20, § 5; 1978, ch. 168, § 12, effective June 17, 1978; 1982, ch. 408, § 11, effective July 15, 1982; 1986, ch. 346, § 7, effective July 15, 1986; 1994, ch. 265, § 7, effective July 15, 1994; 1994, ch. 367, § 11, effective July 15, 1994; 1994, ch. 470, § 7, effective July 15, 1994; 1996, ch. 26, § 6, effective July 15, 1996; 1996, ch. 318, § 265, effective July 15, 1996; 2000, ch. 391, § 19, effective July 14, 2000; 2021 ch. 119, § 4, effective June 29, 2021.

Legislative Research Commission Notes.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last. 1994 Ky. Acts ch. 367, sec. 11 is not in conflict with these two Acts and has been codified together with them.

Opinions of Attorney General.

The board has jurisdiction only over licensees or those persons applying for a license. OAG 70-538 .

Where an applicant submitted an application which includes false information, the board could hold a hearing as required by this section and, if the evidence justified, deny the application. OAG 70-538 .

Where an individual who is not licensed as a nurse in Kentucky signs herself as R.N. or L.P.N., the Board should turn over all pertinent material and information to the county attorney for prosecution for violation of KRS 314.041 or 314.051 . OAG 70-538 .

KRS 314.111 and subsection (1) (now (2)) of this section vest the Kentucky Board of Nursing Education and Nurse Registration (now Board of Nursing) with the responsibility of approving all nursing education programs and nursing schools within the Commonwealth and this responsibility is not superseded by KRS 164.020 , 164.945 or 216.040 (repealed). OAG 75-251 .

Licensed practical nurses who have successfully completed courses in intravenous injections and medication approved under subsection (1) (now (2)) of this section by the Kentucky Board of Nursing Education and Nurse Registration (now Board of Nursing) may legally administer such injections under the direction and supervision of a physician. OAG 75-605 .

It is clear that Kentucky does recognize and authorize nurse practitioners if they are registered with the Board of Nursing and meet that body’s requirements for registration. OAG 79-97 .

While KRS 211.180(4) (now KRS 211.180(1)(f)) does not conflict with subsection (1) of this section which regulates persons engaged in advanced nursing practice which as defined in KRS 314.011(6) (now (7)) includes midwifery, such sections are unnecessarily redundant, as there is no need for two (2) agencies to register and recognize the same group of people. OAG 82-361 .

With regard to determining the scope and standards of practice of advanced registered nurse practitioners, 201 KAR 20:057 promulgated by the Kentucky Board of Nursing, is a properly promulgated regulation which has the full force of law, and neither it nor the statutes upon which it is based constitute an unlawful delegation of legislative authority. OAG 90-23 .

314.135. Regulations.

All regulations issued by the board pursuant to this chapter shall be issued in accordance with KRS Chapter 13A.

History. Enact. Acts 1982, ch. 408, § 16, effective July 15, 1982; 1986, ch. 346, § 8, effective July 15, 1986.

314.137. Administrative regulations relating to dialysis technicians.

The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to:

  1. Establish educational requirements for credentialing as a dialysis technician;
  2. Establish required standards for training programs for dialysis technicians;
  3. Establish credentialing requirements for dialysis technicians;
  4. Establish provisions for discipline of dialysis technicians;
  5. Establish fees for initial credentialing, renewal of credentials, reinstatement of credentials, and other fees as may be necessary, for dialysis technicians; and
  6. Further regulate, as necessary, dialysis technicians.

History. Enact. Acts 2001, ch. 144, § 3, effective June 21, 2001.

314.140. Board to elect officers. [Repealed.]

Compiler’s Notes.

This section (3727a-2) was repealed by Acts 1950, ch. 183, § 12.

314.141. Assistant board of practical nurse examiners, appointment, terms. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 20, § 12 (2)) was repealed by Acts 1978, ch. 168, § 15, effective June 17, 1978.

314.142. Sexual Assault Nurse Examiner Program — Advisory council.

  1. The Kentucky Board of Nursing shall promulgate administrative regulations pursuant to KRS Chapter 13A to create a Sexual Assault Nurse Examiner Program. These administrative regulations shall address, at a minimum:
    1. Educational requirements for sexual assault nurse examiners and statewide standards for provision of the education;
    2. The application process through which registered nurses who submit documentation of required education and clinical experience and who remit the designated application fee may apply to the board to be credentialed as a “Sexual Assault Nurse Examiner”;
    3. Continuing education requirements for maintenance of the sexual assault nurse examiner credential;
    4. Methods of monitoring overall program implementation; and
    5. Procedures for obtaining input from the Sexual Assault Response Team Advisory Committee established under KRS Chapter 403 prior to proposing amendments to any provision of the administrative regulations promulgated under this section or KRS 314.131 .
  2. Any person in this state who holds a credential as a Sexual Assault Nurse Examiner as defined in KRS 314.011(14) shall have the right to use the title “Sexual Assault Nurse Examiner” and the abbreviation “SANE”. No other person shall assume the title or use the abbreviation or any other words, letters, signs, or figures to indicate that the person using the same is a Sexual Assault Nurse Examiner.

History. Enact. Acts 1996, ch. 260, § 2, effective July 15, 1996; 1997 (1st Ex. Sess.), ch. 1, § 145, effective May 30, 1997; 1998, ch. 426, § 547, effective July 15, 1998; 1998, ch. 427, § 13, effective July 15, 1998; 2000, ch. 14, § 50, effective July 14, 2000; 2002, ch. 20, § 3, effective July 15, 2002.

314.145. Dialysis Technician Advisory Council.

  1. There is hereby created, under the Board of Nursing, the Dialysis Technician Advisory Council, which shall advise the board regarding qualifications, standards for training, competency determination of dialysis technicians, and all other matters related to dialysis technicians.
  2. The council shall be appointed by the board and shall consist of:
    1. One (1) member of the board, who shall serve as chair of the council;
    2. Three (3) dialysis technicians; and
    3. Three (3) nurses who regularly perform dialysis and care for patients who receive dialysis.
  3. The board may solicit nominations for the council from interested parties or organizations.
  4. The board shall specify the terms for the council members. Members shall serve at the discretion of the board and shall receive reimbursement for their actual and necessary expenses incurred in the performance of their official duties.

History. Enact. Acts 2001, ch. 144, § 4, effective June 21, 2001.

314.150. Functions of board — Annual report to Governor. [Repealed.]

Compiler’s Notes.

This section (3727a-2 to 3727a-5) was repealed by Acts 1950, ch. 183, § 12.

314.151. Board’s power limited. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 20, § 19) was repealed by Acts 1982, ch. 408, § 17, effective July 15, 1982.

314.155. Duty of treating nurse utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating nurse who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of nursing services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 13, effective July 14, 2000.

314.160. Duties of secretary-treasurer. [Repealed.]

Compiler’s Notes.

This section (3727a-3) was repealed by Acts 1950, ch. 183, § 12.

314.161. Fees may be set by regulation — Use and investment of fees.

The board may by regulation set fees to carry out the provisions of this chapter. All fees received by the board and collected under this chapter shall be deposited with the State Treasurer of the Commonwealth of Kentucky, who shall place the money to the credit of the revolving fund of the board. The board may direct the investment of that portion of its revolving fund not needed to meet current expenses, the earnings from which investments shall also be credited to the revolving fund of the board. The fund shall be held subject to the order of the board, and to be used for meeting necessary expenses incurred in the performance of the purposes of this chapter and the duties imposed thereby.

History. Enact. Acts 1966, ch. 20, § 16, effective July 1, 1966; 1982, ch. 408, § 12, effective July 15, 1982; 1986, ch. 346, § 9, effective July 15, 1986.

314.170. Licensed nurse may use “R.N.” after name. [Repealed.]

Compiler’s Notes.

This section (3727a-13) was repealed by Acts 1950, ch. 183, § 12.

314.171. Alternative to discipline program — Authority for administrative regulations — Nonliability for actions — Confidentiality of materials and proceedings — Disclosure of information.

  1. The board may establish an alternative to discipline program to promote the early identification, intervention, treatment, and rehabilitation of nurses who may be impaired by reason of alcohol or drug abuse. In addition, the board may include in this program nurses or applicants who have practice competency deficits.
  2. The board may enter into a contractual agreement with a nonprofit corporation, nursing professional organization, or similar organization for the purpose of creating, supporting, and maintaining an alternative to discipline program.
  3. The board may promulgate administrative regulations pursuant to KRS Chapter 13A to effectuate and implement an alternative to discipline program formed pursuant to this section.
  4. Beginning January 1, 1997, the board shall collect an assessment of five dollars ($5) to be added to each nurse licensure renewal application fee payable to the board, proceeds from which shall be expended on the operation of an alternative to discipline program formed pursuant to this section.
  5. Any administrator, staff member, consultant, agent, volunteer, or employee of the alternative to discipline program acting within the scope of their duties and without actual malice, and all other persons who furnish information to the alternative to discipline program in good faith and without actual malice, shall not be liable for any claim or damages as a result of any statement, decision, opinion, investigation, or action taken by the alternative to discipline program or staff.
  6. All interviews, reports, statements, memoranda, or other documents furnished to or produced by the alternative to discipline program, all communications to or from the alternative to discipline program, and all proceedings, findings, and conclusions of the alternative to discipline program including those relating to intervention, treatment, or rehabilitation, which in any way pertain or refer to a nurse who is or may be impaired, shall be privileged and confidential.
  7. All records and proceedings of the alternative to discipline program which pertain or refer to a nurse who is or may be impaired shall be privileged and confidential, shall be used by the alternative to discipline program, board members, or board staff only in the exercise of the proper function of the alternative to discipline program, 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 proceedings except as described in subsection (8) of this section.
  8. The alternative to discipline program may only disclose information relative to an impaired nurse if:
    1. It is essential to disclose the information to persons or organizations needing the information in order to address the intervention, treatment, or rehabilitation needs of the impaired nurse;
    2. The release is authorized in writing by the impaired nurse; or
    3. The alternative to discipline program is required to make a report to the board pursuant to KRS 314.031(4).
  9. The alternative to discipline program may order an examination or evaluation under KRS 314.085 at any time following initial contact by a potential applicant to the program.
  10. Notwithstanding any other provision of law to the contrary, the board shall disclose the fact of a nurse’s participation in the alternative to discipline program to the public. No information other than the nurse’s participation in the alternative to discipline program shall be disclosed.

History. Enact. Acts 1996, ch. 26, § 8, effective July 15, 1996; 2002, ch. 266, § 6, effective July 15, 2002; 2010, ch. 85, § 64, effective July 15, 2010.

314.180. Reciprocity. [Repealed.]

Compiler’s Notes.

This section (3727a-5) was repealed by Acts 1950, ch. 183, § 12.

314.181. Determination of death by registered nurses — Notification.

A registered nurse who is employed by a health facility as defined in KRS 216B.015 may determine whether or not a patient is dead in accordance with the requirements of KRS 446.400 . The nurse shall notify the patient’s attending physician or other appropriate practitioner of the death in accordance with the facility’s policy. The registered nurse is authorized to sign the provisional report of death as furnished by the state registrar of vital statistics.

HISTORY: Enact. Acts 1998, ch. 497, § 2, effective July 15, 1998; 2000, ch. 62, § 1, effective July 14, 2000; 2000, ch. 391, § 20, effective July 14, 2000; 2002, ch. 211, § 41, effective July 15, 2002; 2018 ch. 183, § 9, effective July 14, 2018.

314.190. Exceptions to chapter. [Repealed.]

Compiler’s Notes.

This section (3727a-12) was repealed by Acts 1950, ch. 183, § 12.

Advanced Practice Registered Nurses

314.193. Advanced Practice Registered Nurse Council — Members — Meetings — Duties — Terms.

  1. There is hereby created an Advanced Practice Registered Nurse Council to be made up of nine (9) members, including one (1) member who shall be from the Board of Nursing, one (1) member from the Board of Medical Licensure, one (1) member from the Board of Pharmacy, and six (6) advanced practice registered nurses who shall be determined as follows:
    1. Three (3) advanced practice registered nurse members shall include one (1) certified nurse anesthetist, one (1) certified nurse midwife, and one (1) certified nurse practitioner who shall be nominated from members chosen by their respective nursing specialty groups or organizations and recommended to the Board of Nursing for appointment; and
    2. Three (3) advanced practice registered nurse members, at least one (1) of whom shall be a designated clinical nurse specialist, shall be nominated by the Kentucky Nurses Association, and recommended to the Board of Nursing for appointment.
  2. The council shall meet annually or as the members designate and shall seek all available information from concerned nursing groups. The council shall have the duty of recommending standards in the performance of any acts requiring additional education which is recognized by the nursing profession. The Board of Nursing may authorize the performance of additional acts by its regulations, after seeking all available information from the groups to be regulated. The regulations shall not be inconsistent with statutory law and shall be promulgated pursuant to the provisions of KRS Chapter 13A.
  3. The terms for the council shall be for four (4) years.

History. Enact. Acts 1978, ch. 168, § 11, effective June 17, 1978; 1982, ch. 408, § 13, effective July 15, 1982; 1992, ch. 83, § 2, effective July 14, 1992; 1994, ch. 367, § 12, effective July 15, 1994; 1996, ch. 26, § 7, effective July 15, 1996; 2010, ch. 85, § 65, effective July 15, 2010.

NOTES TO DECISIONS

Cited in:

Sietsema v. Adams, 2015 Ky. App. LEXIS 116 (Aug. 14, 2015).

Opinions of Attorney General.

With regard to determining the scope and standards of practice of advanced registered nurse practitioners, 201 KAR 20:057 promulgated by the Kentucky Board of Nursing, is a properly promulgated regulation which has the full force of law, and neither it nor the statutes upon which it is based constitute an unlawful delegation of legislative authority. OAG 90-23 .

314.195. Prescriptive authority of advanced practice registered nurse.

An advanced practice registered nurse shall be considered a practitioner for purposes of KRS Chapters 217 and 218A and shall have the authority granted to a practitioner pursuant to those chapters subject to the conditions set forth in KRS 314.042 .

History. Enact. Acts 1996, ch. 342, § 4, effective July 15, 1996; 2006, ch. 5, § 3, effective July 12, 2006; 2010, ch. 85, § 66, effective July 15, 2010.

NOTES TO DECISIONS

Cited in:

Sietsema v. Adams, 2015 Ky. App. LEXIS 116 (Ky. Ct. App. Aug. 14, 2015).

314.196. Collaborative Prescribing Agreement Joint Advisory Committee — Members — Purposes — Assistance provided — Complaints — Jurisdiction — Meetings. [Repealed]

History. Enact. Acts 2014, ch. 2, § 1, effective July 15, 2014; repealed by 2021 ch. 119, § 5, effective June 29, 2021.

314.198. Definitions for KRS 314.198 and 314.199.

As used in this section and KRS 314.199 :

  1. “Direct primary care membership agreement” means a written contractual agreement between a primary care provider and an individual patient or his or her legal guardian that:
    1. Is for an agreed-upon fee over an agreed-upon period of time;
    2. Describes the primary care services to be provided in exchange for the agreed-upon fee;
    3. States that the primary care provider shall not bill a health benefit plan or the Medicaid program on a fee-for-service basis for the primary care services provided under the agreement;
    4. Specifies automatic agreement renewal periods;
    5. Specifies any additional fees that may be charged for primary care services that are not included in the agreement;
    6. States that the patient is not required to pay more than twelve (12) months of the agreed-upon fee in advance;
    7. States that the agreed-upon fee and any additional fees may be paid by a third party;
    8. Allows either party to terminate the agreement in writing, without penalty or payment of a termination fee, after notice;
    9. Provides that, upon termination of the agreement by the patient or his or her legal guardian, all unearned fees are to be returned to the patient, his or her legal guardian, or any third-party payor; and
    10. Contains a conspicuous and prominent statement that the agreement does not constitute a health benefit plan and does not meet any individual health benefit plan mandate that may be required by federal law;
  2. “Health benefit plan” has the same meaning as in KRS 304.17A-005 ;
  3. “Primary care provider” means an advanced practice registered nurse as defined by KRS 314.011 or an advanced practice registered nurse’s practice that enters into a direct primary care membership agreement;
  4. “Primary care service” means the screening, assessment, diagnosis, and treatment for the purpose of promotion of health or the detection and management of disease or injury within the competency and training of the primary care provider; and
  5. “Third party” means a legal guardian, the individual patient’s employer, a spouse’s employer, a family member of the patient, or a state-sponsored direct primary care payment program. “Third party” does not include a network designed to merely accept payment from a patient and then direct the patient to one (1) of several independently owned clinics for the delivery of care.

HISTORY: 2017 ch. 25, § 5, effective June 29, 2017.

314.199. Receipt of primary care services under direct primary care membership agreement.

  1. Receiving primary care services under a direct primary care membership agreement shall not require a patient or his or her legal guardian to forfeit coverage under a health benefit plan.
  2. The offer or provision of primary care services under a direct primary care membership agreement shall not be deemed an offer or provision of coverage under a health benefit plan and shall not be regulated under KRS Chapter 304.
  3. A primary care provider shall not be required to obtain a license to market, sell, or offer to sell a direct primary care membership agreement.
  4. All services provided pursuant to this section shall be consistent with this chapter for advanced practice registered nurses.

HISTORY: 2017 ch. 25, § 6, effective June 29, 2017.

314.200. State Board of Nursing Education and Nurse Registration — Appointment — Membership — Vacancies — Removals — Qualifications. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, §§ 2, 3) was repealed by Acts 1966, ch. 20, § 21.

314.210. Meetings of board — Officers — Powers and duties — Compensation and expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 4) was repealed by Acts 1966, ch. 20, § 21.

314.220. Licensing of registered nurses — Use of title “Registered Nurse.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 5) was repealed by Acts 1966, ch. 20, § 21.

314.230. Renewal of license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 6) was repealed by Acts 1966, ch. 20, § 21.

314.240. Approval of schools of nursing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 8) was repealed by Acts 1966, ch. 20, § 21.

314.250. Disciplinary proceedings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 9) was repealed by Acts 1966, ch. 20, § 21.

314.260. Revolving fund for administration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 7) was repealed by Acts 1966, ch. 20, § 21.

314.270. Excepted activities and practice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 183, § 10) was repealed by Acts 1966, ch. 20, § 21.

314.310. Qualifications for license as practical nurse. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 2) was repealed by Acts 1966, ch. 20, § 21.

314.320. Examinations — Assistant examining board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, §§ 3,4) was repealed by Acts 1966, ch. 20, § 21.

314.330. Licensing with or without examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 5) was repealed by Acts 1966, ch. 20, § 21.

314.340. Form of license — Display. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 6(a)) was repealed by Acts 1966, ch. 20, § 21.

314.350. License fee — Revolving fund for administration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 6(b)) was repealed by Acts 1966, ch. 20, § 21.

314.360. Renewal of license — Lapse. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 8) was repealed by Acts 1966, ch. 20, § 21.

314.370. Use of title “Licensed Practical Nurse.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 7) was repealed by Acts 1966, ch. 20, § 21.

314.380. Approval of schools of practical nursing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 185, § 9) was repealed by Acts 1966, ch. 20, § 21.

314.390. Disciplinary proceedings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 85, §§ 10, 11) was repealed by Acts 1966, ch. 20, § 21.

Certified Professional Midwives

314.400. Definitions of KRS 314.400 to 314.414.

As used in KRS 314.400 to 314.414 :

  1. “APRN-designated certified nurse-midwife” means an advanced practice registered nurse as defined in KRS 314.011 who is designated by the board as a certified nurse-midwife;
  2. “Certified professional midwifery services”:
    1. Means the provision of care to a person during a low-risk pregnancy, childbirth, and the postpartum period, and the care of a normal newborn immediately following birth;
    2. Includes collaboration with other appropriate licensed health care providers as specified by the board by administrative regulation or when otherwise indicated; and
    3. Does not have the same meaning as the practice of an APRN-designated certified nurse-midwife, or the practice of medicine or osteopathy as defined in KRS 311.550 ;
  3. “Collaboration” means the process by which a licensed certified professional midwife and a physician or other appropriate healthcare provider jointly manage the care of a client, the requirements for which shall be defined by the board;
  4. “Consultation” means the process by which a licensed certified professional midwife directs the client to a physician or other appropriate licensed healthcare provider to render an opinion regarding the management of a specific problem or condition, the requirements for which shall be defined by the board;
  5. “Council” means the Licensed Certified Professional Midwives Advisory Council created in KRS 314.402 ;
  6. “Licensed certified professional midwife” means a person who is certified by the North American Registry of Midwives and issued a license by the board to provide certified professional midwifery services in the Commonwealth of Kentucky;
  7. “Referral” means the process by which a licensed certified professional midwife arranges for an accepting physician or other appropriate licensed healthcare provider to assume primary management responsibility for the condition requiring referral, which shall not preclude the licensed certified professional midwife from continuing in the provision of care as mutually agreed upon with the accepting provider, as regulated by the board; and
  8. “Transfer” means the act of transporting a client to a licensed healthcare facility providing a higher level of care.

HISTORY: 2019 ch. 104, § 1, effective June 27, 2019.

314.402. Licensed Certified Professional Midwives Advisory Council — Members — Terms — Authority and responsibility — Administrative regulations governing licensee’s duty to keep appropriate medical records.

  1. The Licensed Certified Professional Midwives Advisory Council is hereby created, under the Board of Nursing. The council shall at regular intervals and guided by newly available evidence in peer-reviewed medical literature, advise the board on promulgating administrative regulations regarding qualifications, standards for training, competency determination of licensed certified professional midwives, any necessary statutory changes, and all other matters relating to licensed certified professional midwives.
  2. The council shall be appointed by the board and shall consist of:
    1. One (1) member of the board, who shall be a nonvoting, ex officio member and serve as the liaison between the chair of the council and the board;
    2. Three (3) certified professional midwives who shall be licensed certified professional midwives within six (6) months of the license availability;
    3. Two (2) APRN-designated certified nurse-midwives licensed in Kentucky;
    4. Two (2) obstetricians licensed in Kentucky;
    5. One (1) practicing neonatal health care provider licensed in Kentucky; and
    6. One (1) member of the general public. The chair of the council shall be elected annually by members of the council.
  3. The board may solicit nominations for the council from interested parties or organizations and shall give consideration to nominees who have experience collaborating with providers of, providing, or utilizing out-of-hospital midwifery services.
  4. The board shall specify the terms for the council members, not to exceed four (4) years. Members shall serve at the discretion of the board, may be reappointed at the end of their terms, and shall receive reimbursement for their actual and necessary expenses incurred in the performance of their official duties.
  5. A licensed certified professional midwife has the same authority and responsibility as appropriate licensed health care providers regarding following public health laws, reporting reportable diseases and conditions, controlling and preventing communicable diseases, recording of vital statistics, obtaining health histories, and performing physical examinations, except that this authority is limited to activity consistent with provision of services authorized by KRS 314.400 to 314.414 .
  6. A licensed certified professional midwife shall keep appropriate medical records regarding treatment and outcomes as required by the board by administrative regulation.

HISTORY: 2019 ch. 104, § 2, effective June 27, 2019.

314.404. Board of Nursing to promulgate administrative regulations based upon recommendations of the council — Standards for training programs — Licensing requirements — Disciplinary action — Fees — Informed consent — Authority to order medical tests and administer medications — Information to be included in licensee’s annual report to the board — Requirement to report cases of newborn or maternal death — Conditions requiring collaboration, consultation, or referral to a physician or other health care provider.

The board shall promulgate administrative regulations, based upon recommendations of the council, in accordance with KRS Chapter 13A to:

  1. Establish required standards for training programs for licensed certified professional midwives;
  2. Establish licensing requirements for licensed certified professional midwives, including but not limited to:
    1. Educational requirements that are consistent with United States educational accreditation standards and the United States Midwifery Education, Regulation, and Association statement on the licensure of certified professional midwives;
    2. Competency validation certified by a national organization or agency that meets United States accreditation standards and recognized by the board; and
    3. Licensed certified professional midwife preceptor programs;
  3. Establish statewide requirements for licensed certified professional midwives and hospitals regarding the transfer of care from a licensed certified professional midwife to a hospital as developed by the Transfer Guidelines Work Group established in KRS 314.414 ;
  4. Establish provisions for disciplinary actions for licensed certified professional midwives;
  5. Establish fees for the initial license not to exceed one thousand dollars ($1,000), renewal of a license, reinstatement of a license, and other fees as may be necessary, for licensed certified professional midwives;
  6. Establish requirements for informed consent by individuals receiving services from a licensed certified professional midwife, which shall include:
    1. A description of the licensed certified professional midwife’s education and credentials;
    2. A description of the scope of practice of certified professional midwifery permitted under KRS 314.400 to 314.414 , including a summary of the limitations of the skills and practices of a licensed certified professional midwife;
    3. Instructions for obtaining a copy of the administrative regulations promulgated by the board pursuant to this section;
    4. Instructions for filing complaints with the board;
    5. A written protocol for emergencies, including transfer to a higher level of care;
    6. A description of the procedures, benefits, and risks of birth in the client’s chosen environment, primarily those conditions that may arise during delivery;
    7. Disclosure of professional liability insurance held by the licensed certified professional midwife;
    8. A summary of the requirements for consultation, referral or transfer of care as promulgated by administrative regulation by the board under this section;
    9. Procedures established by the licensed certified professional midwife for referral or transfer of care of a client to a physician or other appropriate healthcare providers;
    10. Procedures established by the licensed certified professional midwife for consultation or collaboration; and
    11. Any other information deemed necessary by the board for the patient to provide informed consent for care by a licensed certified professional midwife;
  7. 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 and birth, and care of a client and not intended for the diagnosis or management of any acute condition unrelated to pregnancy;
  8. Establish a formulary of legend medications that a licensed certified professional midwife may obtain, transport, and administer when providing certified professional midwifery services that is limited to only those medications that are indicated and approved by the board for the safe conduct of pregnancy, labor and birth, and immediate care of the newborn, immediate management of obstetrical emergencies, or performance of routine prophylactic measures, and that the licensed certified professional midwife is approved to administer and monitor. This subsection shall not be interpreted to bestow prescriptive authority, and the formulary shall not include Schedule II, III, IV, or V drugs as defined in the Controlled Substances Act, 21 U.S.C. secs. 812 et seq.;
  9. Further regulate, as necessary, the provision of certified professional midwifery services;
  10. Require licensed certified professional midwives to report to the board annually as specified by the board the following 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:
    1. The total number of clients provided certified professional midwife services at the onset of care;
    2. The number of live births attended as a licensed certified professional midwife;
    3. The number of cases of fetal demise, newborn deaths, and maternal deaths attended as a licensed certified professional midwife at the discovery of the demise or death;
    4. The number, reason for, and outcome of each transport of a client in the antepartum, intrapartum, or immediate postpartum periods;
    5. A brief description of any complications resulting in the morbidity or mortality of a mother or a newborn;
    6. Planned location of delivery and the actual location of delivery; and
    7. Any other information deemed necessary by the board;
  11. 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 the death; and
  12. 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.

HISTORY: 2019 ch. 104, § 3, effective June 27, 2019.

314.406. Criminal background investigation of applicants — Fingerprint check by Kentucky State Police and Federal Bureau of investigation.

The board may require a criminal background investigation of an applicant for a license as a licensed certified professional midwife by means of a fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation.

HISTORY: 2019 ch. 104, § 4, effective June 27, 2019.

314.408. Prohibited activities.

  1. It shall be unlawful for any person to provide certified professional midwifery services as defined in KRS 314.400 unless that person is a licensed certified professional midwife currently issued a license by the board in accordance with KRS 314.400 to 314.414 or is an appropriate licensed health care provider providing services that are within his or her scope of practice.
  2. It shall be unlawful for any person to hold herself or himself out as a licensed certified professional midwife or other skilled birth attendant authorized to provide prenatal care or manually assist in the delivery of an infant, or to provide the services defined in KRS 314.400 (2) in Kentucky unless he or she has been issued a license by the board in accordance with KRS 314.400 to 314.414 .
  3. It shall be unlawful for any person to operate or to offer to operate or to represent or advertise the operation of a school or program of certified professional midwifery unless the school or program has been approved by the board to do so.
  4. It shall be unlawful for any licensed certified professional midwife or employer of a licensed certified professional midwife having knowledge of facts to refrain from reporting to the board a licensed certified professional midwife who violates any provision set forth in administrative regulation for licensed certified professional midwives.
  5. It shall be unlawful for any person to provide certified professional midwifery services who is listed on the nurse aide abuse registry with a substantiated finding of abuse, neglect, or misappropriation of property.
  6. Nothing in KRS 314.400 to 314.414 shall prohibit a traditional birth attendant providing midwifery services without a license if the traditional birth attendant has cultural or religious traditions that have historically included the attendance of traditional birth attendants at birth, and the birth attendant serves only women and families in that distinct cultural or religious group.
  7. Nothing in KRS 314.400 to 314.414 shall prohibit an appropriate licensed health care provider or other person from providing emergency care, including care of a precipitous delivery.
  8. In accordance with KRS 311.723 , a licensed certified professional midwife issued a license by the board in accordance with KRS 314.400 to 314.414 shall not perform an abortion.
  9. Nothing in KRS 314.400 to 314.414 shall prohibit a person from providing self-care, or uncompensated care to a friend or family member, as long as the person does not hold himself or herself out to be a midwife or provider of certified professional midwifery services as defined under KRS 314.400 .
  10. Nothing in KRS 314.400 to 314.414 shall prohibit an employee or other individual who is assisting, and under the direct supervision of, a licensed certified professional midwife from performing activities or functions that are delegated by the licensed certified professional midwife and are within the licensed certified professional midwife’s scope of practice as authorized by the board.
  11. Nothing in KRS 314.400 to 314.414 shall prohibit an individual from performing activities or functions that are delegated by the licensed certified professional midwife if that individual is a student of midwifery in a training program operating as authorized by the board, and is under the direct supervision of a qualified preceptor as authorized by the board.

HISTORY: 2019 ch. 104, § 5, effective June 27, 2019.

314.410. Board of Nursing to promulgate administrative regulations based upon recommendations of the council — Recommendations to include regulatory framework to support consultation and collaboration between licensed certified professional midwives and other appropriate licensed health care providers — Specifications to be included in regulatory framework — Management of clients whose conditions may preclude them from being considered at low risk — Board to enforce specified safety precautions before administrative regulations are in place.

  1. Within one (1) year of June 27, 2019, the council shall make recommendations to the board for the promulgation of administrative regulations by the board regarding requirements for the management of clients who may have a condition that precludes the clients from being considered at low risk of an adverse outcome for the mother, her fetus, or her newborn. These recommendations shall include:
    1. A regulatory framework to support consultation and collaboration between licensed certified professional midwives and other appropriate licensed health care providers with expertise in obstetrical and neonatal care, in order to optimize obstetrical and neonatal outcomes in whatever setting a client chooses for birth. The regulatory framework shall specify:
      1. Processes and infrastructure to facilitate collaboration and consultation with other licensed healthcare providers who possess the appropriate medical expertise;
      2. Processes and infrastructure to facilitate co-management with, or transfer of primary management responsibility to, other licensed healthcare providers who possess the appropriate medical expertise;
      3. Processes and infrastructure for transfer of clients to facilities with a higher level of care, as developed by the Transfer Guidelines Work Group established in KRS 314.414 , and as updated by the council;
      4. Processes for the provision of required or routinely recommended screening and disease prevention measures, if not provided directly by the licensed certified professional midwife; and
      5. Other collaborative processes deemed necessary by the council or the board to optimize obstetrical and neonatal outcomes;
    2. A list of conditions or symptoms associated with a risk of death or serious permanent harm affecting a mother, fetus, or newborn, as assessed by a licensed certified professional midwife exercising reasonable skill and knowledge, and:
      1. Requirements for collaborative management with, or referral of primary management responsibility to, a physician or other appropriate licensed healthcare provider, of a client with conditions or symptoms specified under this paragraph, to protect the health and safety of a mother, fetus or newborn. Separate regulatory requirements shall be developed for each or any condition on the list, if clinically appropriate; and
      2. Requirements for management of a client with conditions or symptoms specified under this paragraph who refuses to consent to recommendations intended to prevent death or serious permanent harm, including requirements for informed refusal by the client. The requirements for informed refusal shall be tailored to the specific condition or symptom, and shall reflect maximal effort to protect the life and health of the mother, her fetus, and her newborn; and
    3. A list of conditions or symptoms associated with a more than minimal risk of adversely affecting a mother, fetus, or newborn, but not a significant risk of death or serious permanent harm, as assessed by a licensed certified professional midwife exercising reasonable skill and knowledge, and:
      1. Requirements for consultation, collaborative management, or referral of primary management responsibility of a client with conditions or symptoms specified under this paragraph, for each condition or symptom on the list, to ensure the health and safety of a mother, fetus, or newborn; and
      2. Requirements for documentation of an informed refusal by a client with conditions or symptoms specified under this paragraph of recommended consultation, referral of care, or other management, including the information to be provided to a client that is necessary to enable informed refusal of recommended care.
  2. The council’s recommendations shall be considered by the board to form the basis for any requirements or restrictions imposed by the board on the provision of certified professional midwifery services to a client whose condition is not classified as low-risk. The recommendations shall be based on evolving medical evidence published in peer-reviewed medical literature and with consideration to the likelihood of serious harm or death to the mother or newborn.
  3. Until such time as the council has conveyed superseding recommendations to the board and the board has promulgated superseding administrative regulations, the following shall be enforced by the board:
    1. If on initial or subsequent assessment, one (1) of the following conditions exists, the licensed certified professional midwife shall arrange for consultation and either collaboration or referral in accordance with KRS 314.400 to 314.414 , and document that recommendation in the licensed certified professional midwife’s record:
      1. Complete placenta previa, or partial placenta previa persisting after twenty eight (28) weeks;
      2. HIV infection;
      3. Cardiovascular disease, including hypertension;
      4. Severe psychiatric illness that may result in self-harm or harm to others;
      5. History of cervical incompetence;
      6. Pre-eclampsia or eclampsia;
      7. Intrauterine growth restriction, oligohydramnios or polyhydramnios in the current pregnancy;
      8. Known potentially serious anatomic fetal abnormalities;
      9. Any type of diabetes requiring insulin or other medication for management;
      10. Gestational age greater than forty-three (43) weeks; or
      11. Any other condition or symptom which could threaten the life of the mother or fetus, as assessed by a licensed certified professional midwife exercising reasonable skill and knowledge;
    2. The licensed certified professional midwife may continue to participate in the care of a client requiring transfer, in a collaborative fashion and as mutually agreed upon with the accepting physician, to the extent permitted by hospital regulations and if it is beneficial to the client. If a client with a condition listed in paragraph (a) of this subsection declines to accept a medically indicated consultation or referral, the licensed certified professional midwife shall document such refusal in writing and shall endeavor to transition the client to an appropriate higher level of care. If the condition mandating transfer occurs during labor or delivery, or the client is otherwise acutely in jeopardy but refuses transfer, then the midwife shall call 911 and provide care at least until relieved by another appropriate licensed health care provider; and
    3. If on initial or subsequent assessment, one (1) of the following conditions exists, the midwife shall arrange for consultation and either collaboration or referral in accordance with KRS 314.400 to 314.414 , and document that recommendation in the midwifery record:
      1. Prior cesarean section or other surgery resulting in a uterine scar;
      2. Multifetal gestation;
      3. Non-cephalic presentation after thirty-six (36) weeks gestation; and
      4. History of severe shoulder dystocia as documented by objective findings.
  4. The board shall, at the earliest opportunity, promulgate administrative regulations specific to the conditions listed in subsection (3)(c) of this section, including the minimum requirements for informed refusal by the client of otherwise mandatory consultation and either collaboration or referral.
  5. If the client has complied with administrative regulations promulgated by the board for informed refusal, then the licensed certified professional midwife may pursuant to subsection (4) of this section, continue to assume primary management responsibility for the client unless and until the client subsequently consents to collaborative care or referral.

HISTORY: 2019 ch. 104, § 6, effective June 27, 2019.

314.412. Liability of licensed certified professional midwife or other health care providers shall be limited to their negligent acts and omissions that violate the standards of care in existing law.

Nothing in KRS 314.400 to 314.414 is intended to expand liability. In the event of an action for injury or death due to any act or omission of a licensed certified professional midwife licensed pursuant to KRS 314.400 to 314.414 , the liability of any other licensed healthcare provider shall be limited to their negligent acts and omissions that violate their standards of care according to existing law.

HISTORY: 2019 ch. 104, § 7, effective June 27, 2019.

314.414. Transfer Guidelines Work Group established as independent entity — Objectives and scope of work group — Members — Board to promulgate administrative regulations to implement requirements developed by work group — Work group’s existence only temporary.

The Transfer Guidelines Work Group is hereby established as an independent entity to develop statewide requirements for licensed certified professional midwives and hospitals which shall be based upon evidence in peer-reviewed medical literature and accepted best practice standards, regarding the process of transfer of care from a licensed certified professional midwife to a hospital. The scope of the Transfer Guidelines Work Group shall include procedures that promote the safe and timely transfer of mothers or newborns to facilities that can provide a higher level of care when needed, and to ensure the complete and timely transmission of all necessary information required to satisfactorily care for a mother or newborn requiring transfer. The work group shall select a chair from among the members. The work group shall meet as necessary and submit the developed statewide requirements agreed to unanimously by the work group to the board within one (1) year of June 27, 2019. The board shall promulgate administrative regulations to implement the requirements developed by the work group. The work group shall cease to exist after the developed requirements have been submitted to the board unless the board directs its continuance. The members of the work group shall not be paid or reimbursed for travel or other expenses. The work group shall consist of the following members:

  1. Two (2) individuals to be appointed by the Kentucky Hospital Association;
  2. Three (3) individuals appointed by the Kentucky Chapter of the National Association of Certified Professional Midwives;
  3. Two (2) individuals appointed by the Kentucky Medical Association who have expertise in obstetrical or neonatal care;
  4. One (1) individual appointed by the Kentucky Home Birth Coalition; and
  5. One (1) member of the board who shall be a nonvoting, ex officio member and who shall serve as the liaison between the work group chair and the board.

HISTORY: 2019 ch. 104, § 8, effective June 27, 2019.

314.416. Severability of invalid provisions or applications.

If any provision of KRS 314.400 to 314.414 or the application thereof to any person or circumstance is held invalid, the invalidity shall not affect other provisions or applications of KRS 314.400 to 314.414 that can be given effect without the invalid provision or application, and to this end the provisions of KRS 314.400 to 314.414 are severable.

HISTORY: 2019 ch. 104, § 13, effective June 27, 2019.

Nursing Workforce Foundation

314.450. Legislative finding. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 1, effective July 15, 2002; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 1, effective July 15, 2002) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.452. Nursing Workforce Foundation — Board — Membership — Reimbursement — Executive director — Funding. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 2, effective July 15, 2002; 2006, ch. 211, § 130, effective July 12, 2006; 2009, ch. 11, § 67, effective June 25, 2009; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 2, effective July 15, 2002; 2006, ch. 211, § 130, effective July 12, 2006; 2009, ch. 11, § 67, effective June 25, 2009) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.454. Powers and duties of board. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 3, effective July 15, 2002; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 3, effective July 15, 2002) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.456. Trust and agency fund. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 4, effective July 15, 2002; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 4, effective July 15, 2002) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.458. Grants — Requirements for receipt of funds. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 5, effective July 15, 2002; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 5, effective July 15, 2002) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.460. Matching fund program. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 6, effective July 15, 2002; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 6, effective July 15, 2002) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.462. Scholarship program and loan repayment program — Requirements. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 7, effective July 15, 2002; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 7, effective July 15, 2002) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

314.464. Annual report. [Repealed]

HISTORY: Enact. Acts 2002, ch. 272, § 8, effective July 15, 2002; 2006, ch. 211, § 131, effective July 12, 2006; 2009, ch. 11, § 68, effective June 25, 2009; repealed by 2015 ch. 117, § 17, effective June 24, 2015.

Compiler's Notes.

This section (Enact. Acts 2002, ch. 272, § 8, effective July 15, 2002; 2006, ch. 211, § 131, effective July 12, 2006; 2009, ch. 11, § 68, effective June 25, 2009) was repealed by Acts 2015, ch. 117, § 17, effective June 24, 2015.

Nurse Licensure Compact

314.475. Nurse Licensure Compact.

HISTORY: 2017 ch. 84, § 1, effective July 20, 2017.

ARTICLE I. Findings and Declaration of Purpose

  1. The health and safety of the public are affected by the degree of compliance with and the effectiveness of enforcement activities related to state nurse licensure laws;
  2. Violations of nurse licensure and other laws regulating the practice of nursing may result in injury or harm to the public;
  3. The expanded mobility of nurses and the use of advanced communication technologies as part of our nation’s health care delivery system require greater coordination and cooperation among states in the areas of nurse licensure and regulation;
  4. New practice modalities and technology make compliance with individual state nurse licensure laws difficult and complex;
  5. The current system of duplicative licensure for nurses practicing in multiple states is cumbersome and redundant for both nurses and states; and
  6. Uniformity of nurse licensure requirements throughout the states promotes public safety and public health benefits.

    b. The general purposes of this Compact are to:

  7. Provide opportunities for interstate practice by nurses who meet uniform licensure requirements.

    c. The following provisions of this Compact shall apply in this state:

    1. By entering into this Compact, this state authorizes the licensing board as defined in Article II.g. of this Compact and as created by KRS Chapter 314 to implement the provisions of this Compact.

    2. Notwithstanding any provision of this Compact to the contrary:

  1. Facilitate the states’ responsibility to protect the public’s health and safety;
  2. Ensure and encourage the cooperation of party states in the areas of nurse licensure and regulation;
  3. Facilitate the exchange of information between party states in the areas of nurse regulation, investigation and adverse actions;
  4. Promote compliance with the laws governing the practice of nursing in each jurisdiction;
  5. Invest all party states with the authority to hold a nurse accountable for meeting all state practice laws in the state in which the patient is located at the time care is rendered through the mutual recognition of party state licenses;
  6. Decrease redundancies in the consideration and issuance of nurse licenses; and
    1. “Adverse action” means any administrative, civil, equitable or criminal action permitted by a state’s laws which is imposed by a licensing board or other authority against a nurse, including actions against an individual’s license or multistate licensure privilege such as revocation, suspension, probation, monitoring of the licensee, limitation on the licensee’s practice, or any other encumbrance on licensure affecting a nurse’s authorization to practice, including issuance of a cease and desist action.
    2. “Alternative program” means a non-disciplinary monitoring program approved by a licensing board.
    3. “Coordinated licensure information system” means an integrated process for collecting, storing and sharing information on nurse licensure and enforcement activities related to nurse licensure laws that is administered by a nonprofit organization composed of and controlled by licensing boards.
    4. “Current significant investigative information” means:
      1. “Multistate licensure privilege” means a legal authorization associated with a multistate license permitting the practice of nursing as either a registered nurse (RN) or LPN/VN in a remote state.

        j. “Nurse” means RN or LPN/VN, as those terms are defined by each party state’s practice laws.

        k. “Party state” means any state that has adopted this Compact.

        l . “Remote state” means a party state, other than the home state.

        m. “Single-state license” means a nurse license issued by a party state that authorizes practice only within the issuing state and does not include a multistate licensure privilege to practice in any other party state.

        n. “State” means a state, territory or possession of the United States and the District of Columbia.

        o. “State practice laws” means a party state’s laws, rules and regulations that govern the practice of nursing, define the scope of nursing practice, and create the methods and grounds for imposing discipline. “State practice laws” do not include requirements necessary to obtain and retain a license, except for qualifications or requirements of the home state.

ARTICLE II. Definitions

  1. Investigative information that a licensing board, after a preliminary inquiry that includes notification and an opportunity for the nurse to respond, if required by state law, has reason to believe is not groundless and, if proved true, would indicate more than a minor infraction; or
  2. Investigative information that indicates that the nurse represents an immediate threat to public health and safety regardless of whether the nurse has been notified and had an opportunity to respond.

    e. “Encumbrance” means a revocation or suspension of, or any limitation on, the full and unrestricted practice of nursing imposed by a licensing board.

    f. “Home state” means the party state which is the nurse’s primary state of residence.

    g. “Licensing board” means a party state’s regulatory body responsible for issuing nurse licenses.

    h. “Multistate license” means a license to practice as a registered or a licensed practical/vocational nurse (LPN/VN) issued by a home state licensing board that authorizes the licensed nurse to practice in all party states under a multistate licensure privilege.

    1. A multistate license to practice registered or licensed practical/vocational nursing issued by a home state to a resident in that state will be recognized by each party state as authorizing a nurse to practice as a registered nurse (RN) or as a licensed practical/vocational nurse (LPN/VN), under a multistate licensure privilege, in each party state.
    2. A state must implement procedures for considering the criminal history records of applicants for initial multistate license or licensure by endorsement. Such procedures shall include the submission of fingerprints or other biometric-based information by applicants for the purpose of obtaining an applicant’s criminal history record information from the Federal Bureau of Investigation and the agency responsible for retaining that state’s criminal records.
    3. Each party state shall require the following for an applicant to obtain or retain a multistate license in the home state:

ARTICLE III. General Provisions and Jurisdiction

  1. Meets the home state’s qualifications for licensure or renewal of licensure, as well as all other applicable state laws;
  2. i. Has graduated or is eligible to graduate from a licensing board- approved RN or LPN/VN prelicensure education program; or

    ii. Has graduated from a foreign RN or LPN/VN prelicensure education program that (a) has been approved by the authorized accrediting body in the applicable country and (b) has been verified by an independent credentials review agency to be comparable to a licensing board-approved prelicensure education program;

  3. Has, if a graduate of a foreign prelicensure education program, not taught in English or, if English is not the individual’s native language, successfully passed an English proficiency examination that includes the components of reading, speaking, writing and listening;
  4. Has successfully passed an NCLEX-RN or NCLEX-PN Examination or recognized predecessor, as applicable;
  5. Is eligible for or holds an active, unencumbered license;
  6. Has submitted, in connection with an application for initial licensure or licensure by endorsement, fingerprints or other biometric data for the purpose of obtaining criminal history record information from the Federal Bureau of Investigation and the agency responsible for retaining that state’s criminal records;
  7. Has not been convicted or found guilty, or has entered into an agreed disposition, of a felony offense under applicable state or federal criminal law;
  8. Has not been convicted or found guilty, or has entered into an agreed disposition, of a misdemeanor offense related to the practice of nursing as determined on a case-by-case basis;
  9. Is not currently enrolled in an alternative program;
  10. Is subject to self-disclosure requirements regarding current participation in an alternative program; and
  11. Has a valid United States Social Security number.

    d. All party states shall be authorized, in accordance with existing state due process law, to take adverse action against a nurse’s multistate licensure privilege such as revocation, suspension, probation or any other action that affects a nurse’s authorization to practice under a multistate licensure privilege, including cease and desist actions. If a party state takes such action, it shall promptly notify the administrator of the coordinated licensure information system. The administrator of the coordinated licensure information system shall promptly notify the home state of any such actions by remote states.

    e. A nurse practicing in a party state must comply with the state practice laws of the state in which the client is located at the time service is provided. The practice of nursing is not limited to patient care, but shall include all nursing practice as defined by the state practice laws of the party state in which the client is located. The practice of nursing in a party state under a multistate licensure privilege will subject a nurse to the jurisdiction of the licensing board, the courts and the laws of the party state in which the client is located at the time service is provided.

    f. Individuals not residing in a party state shall continue to be able to apply for a party state’s single-state license as provided under the laws of each party state. However, the single-state license granted to these individuals will not be recognized as granting the privilege to practice nursing in any other party state. Nothing in this Compact shall affect the requirements established by a party state for the issuance of a single-state license.

    g. Any nurse holding a home state multistate license, on the effective date of this Compact, may retain and renew the multistate license issued by the nurse’s then-current home state, provided that:

    1. A nurse, who changes primary state of residence after this Compact’s effective date, must meet all applicable Article III.c. requirements to obtain a multistate license from a new home state.

    2. A nurse who fails to satisfy the multistate licensure requirements in Article III. c. of this Compact due to a disqualifying event occurring after this Compact’s effective date shall be ineligible to retain or renew a multistate license, and the nurse’s multistate license shall be revoked or deactivated in accordance with applicable rules adopted by the Interstate Commission of Nurse Licensure Compact Administrators (“Commission”).

    1. Upon application for a multistate license, the licensing board in the issuing party state shall ascertain, through the coordinated licensure information system, whether the applicant has ever held, or is the holder of, a license issued by any other state, whether there are any encumbrances on any license or multistate licensure privilege held by the applicant, whether any adverse action has been taken against any license or multistate licensure privilege held by the applicant and whether the applicant is currently participating in an alternative program.
    2. A nurse may hold a multistate license, issued by the home state, in only one (1) party state at a time.
    3. If a nurse changes primary state of residence by moving between two (2) party states, the nurse must apply for licensure in the new home state, and the multistate license issued by the prior home state will be deactivated in accordance with applicable rules adopted by the Commission.

ARTICLE IV. Applications for Licensure in a Party State

  1. The nurse may apply for licensure in advance of a change in primary state of residence.
  2. A multistate license shall not be issued by the new home state until the nurse provides satisfactory evidence of a change in primary state of residence to the new home state and satisfies all applicable requirements to obtain a multistate license from the new home state.

    d. If a nurse changes primary state of residence by moving from a party state to a non-party state, the multistate license issued by the prior home state will convert to a single-state license, valid only in the former home state.

    1. In addition to the other powers conferred by state law, a licensing board shall have the authority to:
      1. Only the home state shall have the power to take adverse action against a nurse’s license issued by the home state.
      2. For purposes of taking adverse action, the home state licensing board shall give the same priority and effect to reported conduct received from a remote state as it would if such conduct had occurred within the home state. In so doing, the home state shall apply its own state laws to determine appropriate action.

ARTICLE V. Additional Authorities Invested in Party State Licensing Boards

  1. Take adverse action against a nurse’s multistate licensure privilege to practice within that party state.
  2. Issue cease and desist orders or impose an encumbrance on a nurse’s authority to practice within that party state.
  3. Complete any pending investigations of a nurse who changes primary state of residence during the course of such investigations. The licensing board shall also have the authority to take appropriate action(s) and shall promptly report the conclusions of such investigations to the administrator of the coordinated licensure information system. The administrator of the coordinated licensure information system shall promptly notify the new home state of any such actions.
  4. Issue subpoenas for both hearings and investigations that require the attendance and testimony of witnesses, as well as the production of evidence. Subpoenas issued by a licensing board in a party state for the attendance and testimony of witnesses or the production of evidence from another party state shall be enforced in the latter state by any court of competent jurisdiction, according to the practice and procedure of that court applicable to subpoenas issued in proceedings pending before it. The issuing authority shall pay any witness fees, travel expenses, mileage and other fees required by the service statutes of the state in which the witnesses or evidence are located.
  5. Obtain and submit, for each nurse licensure applicant, fingerprint or other biometric-based information to the Federal Bureau of Investigation for criminal background checks, receive the results of the Federal Bureau of Investigation record search on criminal background checks and use the results in making licensure decisions.
  6. If otherwise permitted by state law, recover from the affected nurse the costs of investigations and disposition of cases resulting from any adverse action taken against that nurse.
  7. Take adverse action based on the factual findings of the remote state, provided that the licensing board follows its own procedures for taking such adverse action.

    b. If adverse action is taken by the home state against a nurse’s multistate license, the nurse’s multistate licensure privilege to practice in all other party states shall be deactivated until all encumbrances have been removed from the multistate license. All home state disciplinary orders that impose adverse action against a nurse’s multistate license shall include a statement that the nurse’s multistate licensure privilege is deactivated in all party states during the pendency of the order.

    c. Nothing in this Compact shall override a party state’s decision that participation in an alternative program may be used in lieu of adverse action. The home state licensing board shall deactivate the multistate licensure privilege under the multistate license of any nurse for the duration of the nurse’s participation in an alternative program.

    1. All party states shall participate in a coordinated licensure information system of all licensed registered nurses (RNs) and licensed practical/vocational nurses (LPNs/VNs). This system will include information on the licensure and disciplinary history of each nurse, as submitted by party states, to assist in the coordination of nurse licensure and enforcement efforts.
    2. The Commission, in consultation with the administrator of the coordinated licensure information system, shall formulate necessary and proper procedures for the identification, collection and exchange of information under this Compact.
    3. All licensing boards shall promptly report to the coordinated licensure information system any adverse action, any current significant investigative information, denials of applications (with the reasons for such denials) and nurse participation in alternative programs known to the licensing board regardless of whether such participation is deemed nonpublic or confidential under state law.
    4. Current significant investigative information and participation in nonpublic or confidential alternative programs shall be transmitted through the coordinated licensure information system only to party state licensing boards.
    5. Notwithstanding any other provision of law, all party state licensing boards contributing information to the coordinated licensure information system may designate information that may not be shared with non-party states or disclosed to other entities or individuals without the express permission of the contributing state.
    6. Any personally identifiable information obtained from the coordinated licensure information system by a party state licensing board shall not be shared with non-party states or disclosed to other entities or individuals except to the extent permitted by the laws of the party state contributing the information.
    7. Any information contributed to the coordinated licensure information system that is subsequently required to be expunged by the laws of the party state contributing that information shall also be expunged from the coordinated licensure information system.
    8. The Compact administrator of each party state shall furnish a uniform data set to the Compact administrator of each other party state, which shall include, at a minimum:
      1. The Compact administrator of a party state shall provide all investigative documents and information requested by another party state.

ARTICLE VI. Coordinated Licensure Information System and Exchange of Information

  1. Identifying information;
  2. Licensure data;
  3. Information related to alternative program participation; and
  4. Other information that may facilitate the administration of this Compact, as determined by Commission rules.
    1. The party states hereby create and establish a joint public entity known as the Interstate Commission of Nurse Licensure Compact Administrators.
      1. Noncompliance of a party state with its obligations under this Compact;
      2. The employment, compensation, discipline or other personnel matters, practices or procedures related to specific employees or other matters related to the Commission’s internal personnel practices and procedures;
      3. Current, threatened or reasonably anticipated litigation;
      4. Negotiation of contracts for the purchase or sale of goods, services or real estate;
      5. Accusing any person of a crime or formally censuring any person;
      6. Disclosure of trade secrets or commercial or financial information that is privileged or confidential;
      7. Disclosure of information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
      8. Disclosure of investigatory records compiled for law enforcement purposes;
      9. Disclosure of information related to any reports prepared by or on behalf of the Commission for the purpose of investigation of compliance with this Compact; or
      10. Matters specifically exempted from disclosure by federal or state statute.

ARTICLE VII. Establishment of the Interstate Commission of Nurse Licensure Compact Administrators

  1. The Commission is an instrumentality of the party states.
  2. Venue is proper, and judicial proceedings by or against the Commission shall be brought solely and exclusively, in a court of competent jurisdiction where the principal office of the Commission is located. The Commission may waive venue and jurisdictional defenses to the extent it adopts or consents to participate in alternative dispute resolution proceedings.
  3. Nothing in this Compact shall be construed to be a waiver of sovereign immunity.

    b. Membership, Voting and Meetings

    1. Each party state shall have and be limited to one administrator. The head of the state licensing board or designee shall be the administrator of this Compact for each party state. Any administrator may be removed or suspended from office as provided by the law of the state from which the Administrator is appointed. Any vacancy occurring in the Commission shall be filled in accordance with the laws of the party state in which the vacancy exists.

    2. Each administrator shall be entitled to one (1) vote with regard to the promulgation of rules and creation of bylaws and shall otherwise have an opportunity to participate in the business and affairs of the Commission. An administrator shall vote in person or by such other means as provided in the bylaws. The bylaws may provide for an administrator’s participation in meetings by telephone or other means of communication.

    3. The Commission shall meet at least once during each calendar year. Additional meetings shall be held as set forth in the bylaws or rules of the commission.

  4. All meetings shall be open to the public, and public notice of meetings shall be given in the same manner as required under the rulemaking provisions in Article VIII of this Compact.
  5. The Commission may convene in a closed, nonpublic meeting if the Commission must discuss:
  6. If a meeting, or portion of a meeting, is closed pursuant to this provision, the Commission’s legal counsel or designee shall certify that the meeting may be closed and shall reference each relevant exempting provision. The Commission shall keep minutes that fully and clearly describe all matters discussed in a meeting and shall provide a full and accurate summary of actions taken, and the reasons therefor, including a description of the views expressed. All documents considered in connection with an action shall be identified in such minutes. All minutes and documents of a closed meeting shall remain under seal, subject to release by a majority vote of the Commission or order of a court of competent jurisdiction.

    c. The Commission shall, by a majority vote of the administrators, prescribe bylaws or rules to govern its conduct as may be necessary or appropriate to carry out the purposes and exercise the powers of this Compact, including but not limited to:

    1. Establishing the fiscal year of the Commission;

    2. Providing reasonable standards and procedures:

    i. For the establishment and meetings of other committees; and

    ii. Governing any general or specific delegation of any authority or function of the Commission;

    3. Providing reasonable procedures for calling and conducting meetings of the Commission, ensuring reasonable advance notice of all meetings and providing an opportunity for attendance of such meetings by interested parties, with enumerated exceptions designed to protect the public’s interest, the privacy of individuals, and proprietary information, including trade secrets. The Commission may meet in closed session only after a majority of the administrators vote to close a meeting in whole or in part. As soon as practicable, the Commission must make public a copy of the vote to close the meeting revealing the vote of each administrator, with no proxy votes allowed;

    4. Establishing the titles, duties and authority and reasonable procedures for the election of the officers of the Commission;

    5. Providing reasonable standards and procedures for the establishment of the personnel policies and programs of the Commission. Notwithstanding any civil service or other similar laws of any party state, the bylaws shall exclusively govern the personnel policies and programs of the Commission; and

    6. Providing a mechanism for winding up the operations of the Commission and the equitable disposition of any surplus funds that may exist after the termination of this Compact after the payment or reserving of all of its debts and obligations.

    d. The Commission shall publish its bylaws and rules, and any amendments thereto, in a convenient form on the Web site of the Commission.

    e. The Commission shall maintain its financial records in accordance with the bylaws.

    f. The Commission shall meet and take such actions as are consistent with the provisions of this Compact and the bylaws.

    g. The Commission shall have the following powers:

    1. To promulgate uniform rules to facilitate and coordinate implementation and administration of this Compact. The rules shall have the force and effect of law and shall be binding in all party states;

    2. To bring and prosecute legal proceedings or actions in the name of the Commission, provided that the standing of any licensing board to sue or be sued under applicable law shall not be affected;

    3. To purchase and maintain insurance and bonds;

    4. To borrow, accept or contract for services of personnel, including but not limited to employees of a party state or nonprofit organizations;

    5. To cooperate with other organizations that administer state compacts related to the regulation of nursing, including but not limited to sharing administrative or staff expenses, office space or other resources;

    6. To hire employees, elect or appoint officers, fix compensation, define duties, grant such individuals appropriate authority to carry out the purposes of this Compact, and to establish the Commission’s personnel policies and programs relating to conflicts of interest, qualifications of personnel and other related personnel matters;

  7. To accept any and all appropriate donations, grants and gifts of money, equipment, supplies, materials and services, and to receive, utilize and dispose of the same; provided that at all times the Commission shall avoid any appearance of impropriety or conflict of interest;
  8. To lease, purchase, accept appropriate gifts or donations of, or otherwise to own, hold, improve or use, any property, whether real, personal or mixed; provided that at all times the Commission shall avoid any appearance of impropriety;
  9. To sell, convey, mortgage, pledge, lease, exchange, abandon or otherwise dispose of any property, whether real, personal or mixed;
  10. To establish a budget and make expenditures;
  11. To borrow money;
  12. To appoint committees, including advisory committees comprised of administrators, state nursing regulators, state legislators or their representatives, and consumer representatives, and other such interested persons;
  13. To provide and receive information from, and to cooperate with, law enforcement agencies;
  14. To adopt and use an official seal; and
  15. To perform such other functions as may be necessary or appropriate to achieve the purposes of this Compact consistent with the state regulation of nurse licensure and practice.

    h. Financing of the Commission

    1. The Commission shall pay, or provide for the payment of, the reasonable expenses of its establishment, organization and ongoing activities.

    2. The Commission may also levy on and collect an annual assessment from each party state to cover the cost of its operations, activities and staff in its annual budget as approved each year. The aggregate annual assessment amount, if any, shall be allocated based upon a formula to be determined by the Commission, which shall promulgate a rule that is binding upon all party states.

    3. The Commission shall not incur obligations of any kind prior to securing the funds adequate to meet the same; nor shall the Commission pledge the credit of any of the party states, except by, and with the authority of, such party state.

    4. The Commission shall keep accurate accounts of all receipts and disbursements. The receipts and disbursements of the Commission shall be subject to the audit and accounting procedures established under its bylaws. However, all receipts and disbursements of funds handled by the Commission shall be audited yearly by a certified or licensed public accountant, and the report of the audit shall be included in and become part of the annual report of the Commission.

    i. Qualified Immunity, Defense and Indemnification

    1. The administrators, officers, executive director, employees and representatives of the Commission shall be immune from suit and liability, either personally or in their official capacity, for any claim for damage to or loss of property or personal injury or other civil liability caused by or arising out of any actual or alleged act, error or omission that occurred, or that the person against whom the claim is made had a reasonable basis for believing occurred, within the scope of Commission employment, duties or responsibilities; provided that nothing in this paragraph shall be construed to protect any such person from suit or liability for any damage, loss, injury or liability caused by the intentional, willful or wanton misconduct of that person.

    2. The Commission shall defend any administrator, officer, executive director, employee or representative of the Commission in any civil action seeking to impose liability arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties or responsibilities, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities; provided that nothing herein shall be construed to prohibit that person from retaining his or her own counsel; and provided further that the actual or alleged act, error or omission did not result from that person’s intentional, willful or wanton misconduct.

    3. The Commission shall indemnify and hold harmless any administrator, officer, executive director, employee or representative of the Commission for the amount of any settlement or judgment obtained against that person arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties or responsibilities, or that such person had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities, provided that the actual or alleged act, error or omission did not result from the intentional, willful or wanton misconduct of that person.

    1. The Commission shall exercise its rulemaking powers pursuant to the criteria set forth in this Article and the rules adopted thereunder. Rules and amendments shall become binding as of the date specified in each rule or amendment and shall have the same force and effect as provisions of this Compact.
    2. Rules or amendments to the rules shall be adopted at a regular or special meeting of the Commission.
    3. Prior to promulgation and adoption of a final rule or rules by the Commission, and at least sixty (60) days in advance of the meeting at which the rule will be considered and voted upon, the Commission shall file a notice of proposed rulemaking:
      1. Following the scheduled hearing date, or by the close of business on the scheduled hearing date if the hearing was not held, the Commission shall consider all written and oral comments received.

        j. The Commission shall, by majority vote of all administrators, take final action on the proposed rule and shall determine the effective date of the rule, if any, based on the rulemaking record and the full text of the rule.

        k. Upon determination that an emergency exists, the Commission may consider and adopt an emergency rule without prior notice, opportunity for comment or hearing, provided that the usual rulemaking procedures provided in this Compact and in this section shall be retroactively applied to the rule as soon as reasonably possible, in no event later than ninety (90) days after the effective date of the rule. For the purposes of this provision, an emergency rule is one that must be adopted immediately in order to:

        1. Meet an imminent threat to public health, safety or welfare;

        2. Prevent a loss of Commission or party state funds; or

        3. Meet a deadline for the promulgation of an administrative rule that is required by federal law or rule.

        l . The Commission may direct revisions to a previously adopted rule or amendment for purposes of correcting typographical errors, errors in format, errors in consistency or grammatical errors. Public notice of any revisions shall be posted on the Web site of the Commission. The revision shall be subject to challenge by any person for a period of thirty (30) days after posting. The revision may be challenged only on grounds that the revision results in a material change to a rule. A challenge shall be made in writing, and delivered to the Commission, prior to the end of the notice period. If no challenge is made, the revision will take effect without further action. If the revision is challenged, the revision may not take effect without the approval of the Commission.

ARTICLE VIII. Rulemaking

  1. On the Web site of the Commission; and
  2. On the Web site of each licensing board or the publication in which each state would otherwise publish proposed rules.

    d. The notice of proposed rulemaking shall include:

    1. The proposed time, date and location of the meeting in which the rule will be considered and voted upon;

    2. The text of the proposed rule or amendment, and the reason for the proposed rule;

  3. A request for comments on the proposed rule from any interested person; and
  4. The manner in which interested persons may submit notice to the Commission of their intention to attend the public hearing and any written comments.

    e. Prior to adoption of a proposed rule, the Commission shall allow persons to submit written data, facts, opinions and arguments, which shall be made available to the public.

    f. The Commission shall grant an opportunity for a public hearing before it adopts a rule or amendment.

    g. The Commission shall publish the place, time and date of the scheduled public hearing.

    1. Hearings shall be conducted in a manner providing each person who wishes to comment a fair and reasonable opportunity to comment orally or in writing. All hearings shall be recorded, and a copy shall be made available upon request.

    2. Nothing in this section shall be construed as requiring a separate hearing on each rule. Rules may be grouped for the convenience of the Commission at hearings required by this section.

    h. If no one appears at the public hearing, the Commission may proceed with promulgation of the proposed rule.

    1. Oversight
      1. Provide written notice to the defaulting state and other party states of the nature of the default, the proposed means of curing the default or any other action to be taken by the Commission; and
      2. Provide remedial training and specific technical assistance regarding the default.

        2. If a state in default fails to cure the default, the defaulting state’s membership in this Compact may be terminated upon an affirmative vote of a majority of the administrators, and all rights, privileges and benefits conferred by this Compact may be terminated on the effective date of termination. A cure of the default does not relieve the offending state of obligations or liabilities incurred during the period of default.

ARTICLE IX. Oversight, Dispute Resolution and Enforcement

  1. Each party state shall enforce this Compact and take all actions necessary and appropriate to effectuate this Compact’s purposes and intent.
  2. The Commission shall be entitled to receive service of process in any proceeding that may affect the powers, responsibilities or actions of the Commission, and shall have standing to intervene in such a proceeding for all purposes. Failure to provide service of process in such proceeding to the Commission shall render a judgment or order void as to the Commission, this Compact or promulgated rules.

    b. Default, Technical Assistance and Termination

    1. If the Commission determines that a party state has defaulted in the performance of its obligations or responsibilities under this Compact or the promulgated rules, the Commission shall:

  3. Termination of membership in this Compact shall be imposed only after all other means of securing compliance have been exhausted. Notice of intent to suspend or terminate shall be given by the Commission to the governor of the defaulting state and to the executive officer of the defaulting state’s licensing board and each of the party states.
  4. A state whose membership in this Compact has been terminated is responsible for all assessments, obligations and liabilities incurred through the effective date of termination, including obligations that extend beyond the effective date of termination.
  5. The Commission shall not bear any costs related to a state that is found to be in default or whose membership in this Compact has been terminated unless agreed upon in writing between the Commission and the defaulting state.
  6. The defaulting state may appeal the action of the Commission by petitioning the United States District Court for the District of Columbia or the federal district in which the Commission has its principal offices. The prevailing party shall be awarded all costs of such litigation, including reasonable attorneys’ fees.

    c. Dispute Resolution

    1. Upon request by a party state, the Commission shall attempt to resolve disputes related to the Compact that arise among party states and between party and non-party states.

    2. The Commission shall promulgate a rule providing for both mediation and binding dispute resolution for disputes, as appropriate.

    3. In the event the Commission cannot resolve disputes among party states arising under this Compact:

    i. The party states may submit the issues in dispute to an arbitration panel, which will be comprised of individuals appointed by the Compact administrator in each of the affected party states and an individual mutually agreed upon by the Compact administrators of all the party states involved in the dispute.

    ii. The decision of a majority of the arbitrators shall be final and binding.

    d. Enforcement

    1. The Commission, in the reasonable exercise of its discretion, shall enforce the provisions and rules of this Compact.

    2. By majority vote, the Commission may initiate legal action in the United States District Court for the District of Columbia or the federal district in which the Commission has its principal offices against a party state that is in default to enforce compliance with the provisions of this Compact and its promulgated rules and bylaws. The relief sought may include both injunctive relief and damages. In the event judicial enforcement is necessary, the prevailing party shall be awarded all costs of such litigation, including reasonable attorneys” fees.

    3. The remedies herein shall not be the exclusive remedies of the Commission. The Commission may pursue any other remedies available under federal or state law.

    1. This Compact shall become effective and binding on the earlier of the date of legislative enactment of this Compact into law by no fewer than twenty-six (26) states or December 31, 2018. All party states to this Compact that also were parties to the prior Nurse Licensure Compact, superseded by this Compact (“Prior Compact”), shall be deemed to have withdrawn from said Prior Compact within six (6) months after the effective date of this Compact.
    2. Each party state to this Compact shall continue to recognize a nurse’s multistate licensure privilege to practice in that party state issued under the Prior Compact until such party state has withdrawn from the Prior Compact.
    3. Any party state may withdraw from this Compact by enacting a statute repealing the same. A party state’s withdrawal shall not take effect until six (6) months after enactment of the repealing statute.
    4. A party state’s withdrawal or termination shall not affect the continuing requirement of the withdrawing or terminated state’s licensing board to report adverse actions and significant investigations occurring prior to the effective date of such withdrawal or termination.
    5. Nothing contained in this Compact shall be construed to invalidate or prevent any nurse licensure agreement or other cooperative arrangement between a party state and a non-party state that is made in accordance with the other provisions of this Compact.
    6. This Compact may be amended by the party states. No amendment to this Compact shall become effective and binding upon the party states unless and until it is enacted into the laws of all party states.
    7. Representatives of non-party states to this Compact shall be invited to participate in the activities of the Commission, on a nonvoting basis, prior to the adoption of this Compact by all states.

ARTICLE X. Effective Date, Withdrawal and Amendment

ARTICLE XI. Construction and Severability

This Compact shall be liberally construed so as to effectuate the purposes thereof. The provisions of this Compact shall be severable, and if any phrase, clause, sentence or provision of this Compact is declared to be contrary to the constitution of any party state or of the United States, or if the applicability thereof to any government, agency, person or circumstance is held invalid, the validity of the remainder of this Compact and the applicability thereof to any government, agency, person or circumstance shall not be affected thereby. If this Compact shall be held to be contrary to the constitution of any party state, this Compact shall remain in full force and effect as to the remaining party states and in full force and effect as to the party state affected as to all severable matters.

Legislative Research Commission Notes.

(7/20/2017). 2017 Ky. Acts ch. 84, sec. 3 provided that the creation of this statute and the repeal of KRS 314.470 in Sections 1 and 2 of that Act, respectively, take effect on the earlier of December 31, 2018, or the date of legislative enactment by no fewer than 26 states of the Nurse Licensure Compact that is, in form, substantially the same as the compact contained in this statute. On July 20, 2017, North Carolina became the 26th state to enact the compact; therefore, the effective date of this statute is July 20, 2017.

Penalties

314.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (3727a-14, 3727a-15: amend. Acts 1950, ch. 183, § 11; 1950, ch. 185, § 12) was repealed by Acts 1966, ch. 20, § 21.

314.991. Penalties.

  1. Any person who violates any provision of this chapter for which no other penalty has been provided shall be fined not less than fifty dollars ($50) nor more than five hundred dollars ($500). Each day he violates any provisions of this chapter shall be considered a separate offense.
  2. Any person who willfully makes any false representation to the board in applying for a license under this chapter shall be fined not more than five hundred dollars ($500).
  3. For any violation of this chapter where the board has the power to deny, revoke, probate, limit, or suspend a license, the board may, in lieu thereof or in addition to other remedies, impose a civil penalty against the violator of not more than ten thousand dollars ($10,000).
  4. Any person who knowingly violates KRS 314.031(1) or KRS 314.035(1) shall, for the first occurrence, be imprisoned for not more than twelve (12) months or fined not more than five hundred dollars ($500), or both.
  5. Any person who knowingly violates KRS 314.031(1) or KRS 314.035(1) on a second or subsequent occasion shall be imprisoned for not more than five (5) years or fined not more than ten thousand dollars ($10,000), or both.
  6. Any unlicensed person who knowingly poses as someone else who does hold a license under this chapter shall be guilty of a violation of KRS 314.031(1), and the penalties set out in subsections (4) and (5) of this section all apply to such conduct.
  7. In addition to the penalties provided in subsections (4) and (5) of this section, the board may impose civil penalties for violations of KRS 314.031(1) or KRS 314.035(1) in an amount equal to one hundred dollars ($100) for each day during which a violation occurred or continued.
  8. All civil penalties received and collected by the board shall be deposited with the State Treasurer of the Commonwealth of Kentucky, who shall place the money to the credit of the revolving fund of the board.
  9. Any civil penalty received and collected by the board may be recovered in an action brought thereon in the name of the Commonwealth of Kentucky in the Circuit Court.
  10. Whenever the board has reason to believe that any person is in violation or is about to violate any provision of this chapter, it may seek a restraining order, temporary or permanent injunction, or other civil remedy against such person in the Circuit Court.
  11. In order to obtain a temporary or permanent restraining order, or other equitable remedy, it shall not be necessary to allege or prove that an adequate remedy at law does not exist, nor shall it be necessary to allege or prove that irreparable injury, loss, or damage will result if the injunctive relief is denied. Further, it shall not be necessary to allege or prove that criminal action has been first instituted.

History. Enact. Acts 1966, ch. 20, § 20; 1978, ch. 168, § 14, effective June 17, 1978; 1982, ch. 408, § 14, effective July 15, 1982; 1986, ch. 346, § 12, effective July 15, 1986; 1992, ch. 128, § 14, effective July 14, 1992; 2001, ch. 144, § 5, effective June 21, 2001.

Opinions of Attorney General.

Where an applicant has submitted an application which includes false information, after holding a hearing on the application the Board could turn over the material and information to the commonwealth or county attorney for imposition of penalties in accordance with subsections (2) and (4) (now see subsection (2)) of this section. OAG 70-538 .

CHAPTER 314A Respiratory Care Practitioners

314A.010. Definitions for chapter.

As used in this chapter:

  1. “Respiratory care” includes “respiratory therapy,” “inhalation therapy,” or other “cardiopulmonary” terms.
  2. “Practice of respiratory care” means the procedures employed in the therapy, management, rehabilitation, gathering of assessment information, or other procedures administered to patients with deficiencies or abnormalities which affect their cardiopulmonary system and associated aspects of cardiopulmonary and other system functions. This includes but is not limited to:
    1. Provision of respiratory care procedures to ensure the safety, comfort, personal hygiene, protection of patients, and the performance of disease prevention and restorative measures;
    2. The administration of pharmacologic and therapeutic agents related to the cardiopulmonary care necessary for treatment, disease prevention, or rehabilitation regimes prescribed by a physician; and
    3. Observation of signs and symptoms of cardiopulmonary illness, reactions to treatment, general physical condition; determination of whether such signs, symptoms, reactions, behavior, or general appearance exhibit abnormal characteristics; and performance of standard procedures according to observed abnormalities, or reporting them to the physician in charge or other caretakers; initiating standard or emergency procedures.
  3. “Respiratory care practitioner” means a person who holds a mandatory certificate approved by the board. The term “respiratory care practitioner” includes the following:
    1. A “registered respiratory therapist” means an individual who has successfully completed a training program accredited by the American Medical Association’s Commission on Accreditation of Allied Health Education or its equivalent in collaboration with the Committee on Accreditation for Respiratory Care or its equivalent, and who has successfully completed the registry examination for advanced respiratory therapists administered by the National Board for Respiratory Care, Incorporated or its equivalent;
    2. A “certified respiratory therapist” means an individual who has successfully completed a training program accredited by the American Medical Association’s Commission on Accreditation of Allied Health Education or its equivalent in collaboration with the Committee on Accreditation for Respiratory Care or its equivalent, and who has successfully completed the entry level certification examination for respiratory therapists administered by the National Board for Respiratory Care, Incorporated or its equivalent;
    3. A “graduate respiratory care practitioner” means an individual who has graduated from an approved educational program and is eligible to sit for the entry level certification examination that will be administered by the National Board for Respiratory Care, Incorporated or its equivalent;
    4. A “student respiratory care practitioner” means:
      1. An individual enrolled in an education and training program, accredited by the American Medical Association’s Commission on Accreditation of Allied Health Education or its equivalent and the Committee on Accreditation for Respiratory Care or its equivalent, for respiratory care practitioners and whose sponsoring educational institution assumes responsibility for the supervision of and the services rendered by the student respiratory care practitioner while the student is functioning in a clinical training capacity; or
      2. An individual enrolled in an education and training program, accredited by the American Medical Association’s Commission on Accreditation of Allied Health Education or its equivalent and the Committee on Accreditation for Respiratory Care or its equivalent, and who is also employed for compensation to provide respiratory care services as outlined in KRS 314A.112 .
  4. “Board” means the Kentucky Board of Respiratory Care.
  5. “Accredited program” means a training program accredited by the American Medical Association’s Commission on Accreditation of Allied Health or its equivalent in collaboration with the Committee on Accreditation for Respiratory Care or its equivalent which qualifies the graduate to sit for the registry examination or the entry level examination administered by the National Board for Respiratory Care or its equivalent.
  6. “Mandatory certification” means the board’s official authorization to practice respiratory care for the time specified by the mandatory certification.
  7. “Continuing education” means educational activities primarily designed to keep respiratory care practitioners informed of developments in the respiratory care field or any special areas of practice engaged in by such persons.
  8. “Documented competency” means adherence to guidelines established by health facilities, medical staff, or accreditation agencies. These guidelines shall be in accordance with national standards of practice deemed appropriate by the American Association for Respiratory Care or its equivalent.
  9. “Medical director” means a licensed physician who is knowledgeable in the diagnosis, treatment, and assessment of respiratory problems and whose responsibilities are established by statutes and regulations governing the operation of facilities licensed under KRS Chapter 216B, as well as statutes and regulations dealing with hospice, home health, and other settings where respiratory care services may be delivered.
  10. “Direct supervision” means supervision by a holder of a mandatory certificate who shall be on the premises where respiratory care services are provided and who shall be available for immediate consultation.
  11. “Indirect supervision” means supervision by a holder of a mandatory certificate who shall be available by telephone and who shall have a response time, if needed, of thirty (30) minutes or less.

History. Enact. Acts 1990, ch. 201, § 1, effective July 13, 1990; 2000, ch. 295, § 1, effective July 14, 2000; 2002, ch. 237, § 1, effective July 15, 2002.

314A.100. Scope of practice.

  1. A respiratory care practitioner may perform respiratory care procedures under medical direction with documented competency, in accordance with agency or facility guidelines and only in accordance with the prescription of a physician. The procedures shall include, but not be limited to, the assessment and therapeutic use of the following: medical gases, exclusive of general anesthesia; aerosols, humidification, environmental control systems; pharmacologic agents related to cardiopulmonary procedures, unless prohibited by the medical staff of the licensed health-care facility; mechanical or physiological ventilatory support; bronchopulmonary hygiene, maintenance of the natural airways; insertion without cutting tissues and maintenance of artificial airways; specific assessment and testing procedures such as drawing and analyzing of arterial blood gases employed in the medical measurement and monitoring of cardiac function as it relates to pulmonary pathophysiology.
  2. The practice of respiratory care may be performed in hospitals or in other settings where respiratory care is to be provided in accordance with a prescription of a physician. In addition, respiratory care may be provided during the transportation of a patient, or under any circumstances where an emergency necessitates respiratory care.
  3. The respiratory care practitioner may transcribe and implement a physician’s written or verbal orders pertaining to the practice of respiratory care procedures as defined in this section.
  4. The respiratory care practitioner’s scope of practice shall include practice standards and guidelines as developed by the American Association for Respiratory Care, or its equivalent, and as incorporated by the board through promulgation of administrative regulations in accordance with KRS Chapter 13A.

History. Enact. Acts 1990, ch. 201, § 2, effective July 13, 1990; 2000, ch. 295, § 2, effective July 14, 2000.

Notes to Unpublished Decisions

1.Qualified and Competent to Perform Work.

Unpublished decision: Trial court properly granted summary judgment to the former employer on the former employee’s claim that she was wrongfully discharged from her employment position in violation of a public policy because the former employer would have required her to perform medical procedures for which she was neither licensed nor qualified, as she did not provide any evidence that she was required to, or would have been required to, violate any law in the new position to which the former employer had assigned her; although she was prevented by statutory law in her prior position as a respiratory physical therapist from performing any procedures for which she was not qualified and competent, her new position of echocardiographer did not have any specific training or license required to work as an echocardiographer and she did not show that she had been required to perform any of the invasive medical procedures that sometimes accompanied such work. Russell v. Jewish Hosp., 2004 Ky. App. Unpub. LEXIS 890 (Ky. Ct. App. Mar. 5, 2004).

314A.105. Permitted activities.

  1. This chapter does not prohibit:
    1. The performance of respiratory care which is an integral part of the program of study by students enrolled in an accredited program;
    2. Self-care by the patient nor the gratuitous care by a friend or member of the family who does not represent or hold himself out to be a respiratory care practitioner;
    3. Respiratory care services provided in the case of an emergency;
    4. Persons from engaging in cardiopulmonary research;
    5. The performance of respiratory care by trained paramedical personnel; and
    6. Volunteer health practitioners providing services under KRS 39A.350 to 39A.366 .
  2. Nothing in this section shall limit, preclude, or otherwise restrict the practices of other licensed personnel in carrying out their duties under the terms of their license.

History. Enact. Acts 1990, ch. 201, § 3, effective July 13, 1990; 2007, ch. 96, § 14, effective June 26, 2007.

314A.110. Requirements for mandatory certification — Limited mandatory certificate.

  1. To be eligible for mandatory certification as a respiratory care practitioner the applicant shall have held a registered respiratory therapist (RRT) or certified respiratory therapist (CRT) credential issued by the National Board for Respiratory Care or its equivalent.
  2. A temporary mandatory certificate may be issued to the graduate respiratory care practitioner for a period not to exceed six (6) months from graduation. The holder of a temporary mandatory certificate who does not successfully pass the National Board for Respiratory Care or its equivalent entry-level certification examination within a six (6) month period shall cease and desist performing any services as a respiratory care practitioner. Failure to comply in this instance shall subject the individual to prosecution for practicing as a respiratory care practitioner without a mandatory certificate.
  3. In order for student respiratory care practitioners to be employed for compensation to provide respiratory care services, they must apply to the board for a limited mandatory certificate which will permit them to perform respiratory care procedures (for which they have received training) under the direct supervision of a respiratory therapist who holds a mandatory certificate. This limited mandatory certificate excludes the performance of continuous mechanical or physiological ventilatory support, arterial puncture, and blood gas analysis. The limited mandatory certificate may be granted only to individuals actively enrolled in an accredited program and for a period not to exceed three (3) years. This limited mandatory certificate is in no manner required for individuals actively enrolled in an accredited program while performing uncompensated clinical activities required by the program.
  4. Respiratory care practitioners duly authorized to practice in other states and in good standing and who have held a RRT or hold the CRT credential or its equivalent may be conferred a mandatory certificate by the board if the requirements for licensure or certification in that state are substantially equal to the requirements of this section.
  5. Respiratory therapists applying for mandatory certification, who received their National Board for Respiratory Care certified respiratory therapist (CRT) or registered respiratory therapist (RRT) credential prior to July 1, 2002, shall retain their National Board for Respiratory Care (NBRC) designations as certified respiratory therapists (CRT) or registered respiratory therapists (RRT). Those respiratory therapists applying for mandatory certification, who receive their CRT or RRT credential from the NBRC after July 1, 2002, shall retain their CRT or RRT credential as long as they have fulfilled the National Board for Respiratory Care’s continuing competency program requirements. Persons holding a mandatory certification through the limited mechanism of grandfather status and those respiratory therapists, receiving their CRT or RRT credential after July 1, 2002, who do not fulfill the National Board for Respiratory Care’s continuing competency requirements, shall solely be designated as respiratory care practitioners.
  6. Mandatory certification of respiratory care practitioners shall be on a biennial basis according to established criteria under KRS 314A.115 . Mandatory certificates issued by the board shall expire and shall not be renewed unless the certificate holder submits proof to the board of compliance with KRS 314A.115 . On and after the date on which a person’s mandatory certificate has expired, the practitioner may apply for reinstatement within five (5) years of the expiration of the mandatory certificate. The applicant shall show compliance with the current continuing education requirement in force at the time of mandatory certificate renewal application. After expiration of a five (5) year period, current standards for mandatory certification shall be met. The board may require individualized conditions for reinstatement.

History. Enact. Acts 1990, ch. 201, § 4, effective July 13, 1990; 2000, ch. 295, § 3, effective July 14, 2000; 2002, ch. 237, § 2, effective July 15, 2002.

314A.112. Requirements for limited mandatory certification.

To be eligible for limited mandatory certification as a respiratory care practitioner, the applicant shall meet the criteria established under this chapter and any administrative regulation promulgated to carry out the provisions of this chapter.

History. Enact. Acts 2000, ch. 295, § 4, effective July 14, 2000.

314A.115. Renewal of mandatory certificate.

A person applying for renewal of his mandatory certificate shall show evidence of completion of continuing professional education in respiratory care as prescribed by the board in administrative regulations.

History. Enact. Acts 1990, ch. 201, § 5, effective July 13, 1990.

314A.200. Board of Respiratory Care.

  1. There is hereby created a Board of Respiratory Care which shall consist of seven (7) voting members appointed by the Governor.
    1. Four (4) members shall be respiratory care practitioners holding a valid mandatory certificate and practicing in Kentucky;
    2. Two (2) members shall be pulmonologists who are licensed and practicing physicians in Kentucky; and
    3. One (1) member shall be a citizen at large who is not associated with or financially interested in respiratory care.
  2. Members shall be appointed to the board for terms of three (3) years, expiring on October 30 of the third year. No person shall be appointed to serve more than two (2) consecutive terms.
  3. By May 30 of years in which respiratory care practitioner terms expire, the Kentucky Society for Respiratory Care shall submit to the Governor a list of names of candidates qualified for the appointment of respiratory care practitioner, in numbers not less than twice the numbers of appointments to be made, from which the Governor shall make each appointment or appointments by October 31 of that year. The Governor shall also appoint the pulmonologist and citizen at-large members by October 31 of any year in which a term expires.
  4. A vacancy on the board shall be filled by the Governor as provided under subsection (1) of this section. The appointment shall be for the remaining portion of the member’s term.
  5. The Governor or board may remove a member from the board for cause or as provided under administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  6. The board shall reorganize annually and select a chairperson. Four (4) voting members of the board shall constitute a quorum to do business. The board shall hold at least one (1) regular meeting each year. Additional meetings may be held upon the call of the chairperson or at the written request of any two (2) members of the board. All meetings of the board shall be open and public to the extent permitted by law.

History. Enact. Acts 1990, ch. 201, § 6, effective July 13, 1990; 2000, ch. 295, § 5, effective July 14, 2000.

314A.205. Powers and duties of board.

  1. The board shall administer, coordinate, and enforce the provisions of this chapter, evaluate the qualifications of applicants, and may issue subpoenas, examine witnesses, and administer oaths, and shall investigate persons engaging in practices which violate the provisions of this chapter.
  2. The board shall conduct hearings in accordance with KRS Chapter 13B and keep records and minutes as shall be necessary to an orderly dispatch of business.
  3. The board shall promulgate administrative regulations to carry out the provisions of this chapter.
  4. Every person who holds a mandatory certificate to practice respiratory care in this state shall be governed and controlled by the rules of professional conduct promulgated by the board.
  5. The enumeration of specific powers elsewhere in this chapter shall not be construed as a limitation of the general powers conferred by this section.
  6. The board shall fix appropriate and reasonable fees for mandatory certification, and shall periodically review and modify these fees as necessary.

History. Enact. Acts 1990, ch. 201, § 7, effective July 13, 1990; 1996, ch. 318, § 268, effective July 15, 1996.

314A.210. Review of board order.

Any person aggrieved by a final order of the board may obtain a review of the order by filing a petition in the Franklin Circuit Court in accordance with KRS Chapter 13B. The commencement of proceedings under this section does not, unless specifically ordered by the court, operate as a stay of the board’s order.

History. Enact. Acts 1990, ch. 201, § 8, effective July 13, 1990; 1996, ch. 318, § 269, effective July 15, 1996.

314A.215. Compensation of board members — Board personnel — Deposit of money received from fees, certificates, and charges.

  1. The board members shall receive a compensation of fifty dollars ($50) per day for their services, and per diem and traveling expenses to the extent authorized by board policy.
  2. The board shall employ and, at its pleasure, discharge a secretary and such attorneys, inspectors, clerks, and any other employees as shall be deemed necessary, and shall outline their duties and fix their compensation. The amount of per diem and mileage paid to employees shall be provided by board policy.
  3. All money received by the board shall be deposited in the State Treasury into a separate trust fund for the board. The board shall be financed solely and individually from income accruing to it from fees, mandatory certificates, and other charges collected by the board.

History. Enact. Acts 1990, ch. 201, § 9, effective July 13, 1990.

314A.220. Mandatory certificate fees — Renewal, restoration, and reinstatement.

  1. The board shall issue a mandatory certificate to all applicants who meet the requirements of this chapter and who pay to the board the initial mandatory certificate fee.
  2. The amount of fees prescribed in connection with a mandatory certificate as a respiratory care practitioner shall be prescribed by administrative regulation promulgated by the board in accordance with KRS Chapter 13A.
  3. Each respiratory care mandatory certificate shall expire on January 30 every two (2) years. No person who applies for renewal, whose mandatory certificate has expired, shall be required to submit to any examination as a condition to renewal, provided such renewal application is made within five (5) years from the date of such expiration. No person shall practice respiratory care in this state unless the individual holds a valid certificate. All mandatory certificates not renewed by January 30 following the date of issuance shall be deemed expired.
  4. A suspended mandatory certificate is subject to expiration and shall be renewed as provided in this chapter, but such renewal shall not entitle the respiratory care practitioner, while the mandatory certificate remains suspended, and until it is reinstated, to engage in mandatory certification activities, or in any other activity or conduct in violation of the order of judgment by which the mandatory certificate was suspended. A mandatory certificate revoked on disciplinary grounds is subject to expiration as provided in this chapter, but it may not be renewed. If it is reinstated after its expiration, the mandatory certificate holder, as a condition of reinstatement, shall pay a reinstatement fee in an amount equal to the renewal fee in effect on the last preceding regular renewal date before the date on which it is reinstated, plus the delinquency fee, if any, accrued at the time of its revocation.
  5. A person who fails to renew his or her mandatory certificate within the five (5) years after its expiration may not renew it, and it may not be restored, reissued, or reinstated thereafter, but such persons may apply for and obtain a new mandatory certificate if he meets the requirements of this chapter.

History. Enact. Acts 1990, ch. 201, § 10, effective July 13, 1990; 2000, ch. 295, § 6, effective July 14, 2000; 2002, ch. 237, § 3, effective July 15, 2002; 2006, ch. 16, § 1, effective July 12, 2006.

314A.225. Denial, suspension, probation, or revocation of certificate — Grounds — Administrative fine — Reprimand or admonishment — Reinstatement of certificate.

  1. The board may refuse to issue a certificate, or may suspend, revoke, impose probationary conditions upon, impose an administrative fine, issue a written reprimand or admonishment, or any combination thereof regarding any certificate holder upon proof that the certificate holder has:
    1. Committed any crime, act of dishonesty, or corruption, if in accordance with KRS Chapter 335B. If the act constitutes a crime, conviction in a criminal proceeding is not a condition precedent to disciplinary action. Upon conviction of the crime, the judgment and sentence are presumptive evidence at the ensuing disciplinary hearing of the guilt of the certificate holder or applicant. Conviction includes all instances in which a plea of no contest is the basis of conviction;
    2. Misrepresented or concealed a material fact in obtaining, renewing or reinstating a certificate;
    3. Committed any unfair, false, misleading, or deceptive act or practice;
    4. Been incompetent or negligent in the practice of respiratory care;
    5. Violated any state statute or administrative regulation governing the practice of respiratory care or any activities undertaken by a respiratory care practitioner, which shall include violation of KRS 304.39-215 and conduct that is subject to the penalties under KRS 304.99-060 (4) or (5);
    6. Failed to comply with an order issued by the board or an assurance of voluntary compliance;
    7. Violated the code of ethics as set forth in administrative regulations promulgated by the board; or
    8. Violated any applicable provision of any federal or state law, if in accordance with KRS Chapter 335B.
  2. One (1) year from the date of revocation, any person whose certificate has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the certificate upon a finding that the individual has complied with any terms prescribed by that board and is again able to competently engage in the practice of respiratory care.
  3. The board may reconsider, modify, or reverse its probation, suspensions, or other disciplinary actions.
  4. The surrender of a certificate shall not serve to deprive the board of jurisdiction to proceed with disciplinary action under this chapter.

History. Enact. Acts 1990, ch. 201, § 11, effective July 13, 1990; 1996, ch. 318, § 270, effective July 15, 1996; 2000, ch. 295, § 7, effective July 14, 2000; 2002, ch. 237, § 4, effective July 15, 2002; 2017 ch. 158, § 59, effective June 29, 2017; 2019 ch. 143, § 13, effective June 27, 2019.

314A.230. Duty of treating respiratory care practitioner utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating respiratory care practitioner who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of respiratory care services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 14, effective July 14, 2000.

314A.990. Penalties.

  1. Any person who violates any of the provisions of this chapter shall be guilty of a misdemeanor punishable by imprisonment in the county jail not exceeding six (6) months, or by a fine not exceeding one thousand dollars ($1,000), or by both.
  2. When any person other than a respiratory care practitioner holding a valid mandatory certificate has engaged in any act or practice which constitutes an offense against this chapter, the Franklin Circuit Court, on application of the board, may issue an injunction or other appropriate order restraining such conduct.

History. Enact. Acts 1990, ch. 201, § 12, effective July 13, 1990.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 315 Pharmacists and Pharmacies

315.002. Declarations of public policy — Construction of chapter.

The practice of pharmacy within the Commonwealth is declared to be a professional practice affecting the public health, safety, and welfare, and is subject to regulation and control in the public interest. It is further declared to be a matter of public interest and concern that the practice of pharmacy, as defined in this chapter, should merit and receive the confidence of the public, and only qualified persons shall be permitted to engage in the practice of pharmacy and ensure the quality of drugs and related devices distributed within the Commonwealth. This chapter shall be liberally construed to carry out these objectives and purposes. The persons entrusted through this chapter to engage in the practice of pharmacy shall be pharmacists. They shall be recognized by the Commonwealth as health care professionals, and, within their statutory scope of practice, providers of pharmacy-related primary care.

History. Enact. Acts 1996, ch. 257, § 1, effective July 15, 1996.

Research References and Practice Aids

Kentucky Law Journal.

Note: What the Doctor Ordered: Balancing Religion and Patient Rights in U.S. Pharmacies, 97 Ky. L.J. 521 (2008/2009).

315.005. Purpose of chapter.

The purpose of this chapter is to promote, preserve, and protect public health, safety, and welfare by and through effective control and regulation of the practice of pharmacy; the licensure of pharmacists; the licensure, control, and regulation of all sites or persons who are required to obtain a license, certificate, or permit from the Board of Pharmacy, whether located in or outside the Commonwealth, that distribute, manufacture, or sell drugs within the Commonwealth.

History. Enact. Acts 1996, ch. 257, § 2, effective July 15, 1996; 2008, ch. 148, § 6, effective July 15, 2008; 2012, ch. 73, § 10, effective July 12, 2012; 2016 ch. 103, § 16, effective July 15, 2016.

315.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Administer” means the direct application of a drug to a patient or research subject by injection, inhalation, or ingestion, whether topically or by any other means;
  2. “Administrative activities of a pharmacy” means the following functions performed by a pharmacy adhering to all local, state, and federal patient privacy laws:
    1. Investigating and researching a patient’s insurance benefits and updating the patient profile regarding insurance coverage;
    2. Billing and collections activities, including:
      1. Contacting patients for copayments and coinsurance payments; and
      2. Communicating with insurance companies;
    3. Performing patient financial assistance activities and updating patient records accordingly;
    4. Opening faxes and accessing electronic prescriptions for the purposes of setting up patient demographic and insurance profiles, excluding height, weight, and allergy information, so long as the activity does not involve the entering of a prescription order into the dispensing or medication management system;
    5. Initiating insurance prior authorizations for submission to the licensed pharmacy, including communications with the prescribing physician to collect, record, and transmit information to insurance companies, so long as the activity does not include the authorization or receipt of new or refill prescription orders;
    6. Answering and transferring telephone calls, whether or not such calls require accessing a patient record, so long as the call does not involve the interpretation, evaluation, or implementation of a drug order; and
    7. Communicating with patients via telephone or electronically regarding refill reminders, so long as the communication does not involve the interpretation, evaluation, or implementation of a drug order and a pharmacist is readily available for patient consultation;
  3. “Association” means the Kentucky Pharmacists Association;
  4. “Board” means the Kentucky Board of Pharmacy;
  5. “Collaborative care agreement” means a written agreement between a pharmacist or pharmacists and a practitioner or practitioners that outlines a plan of cooperative management of patients’ drug-related health care needs where:
    1. Patients’ drug-related health care needs fall within the practitioner’s or practitioners’ statutory scope of practice;
    2. Patients are referred by the practitioner or practitioners to the pharmacist or pharmacists; and
    3. The agreement:
      1. Identifies the practitioner or practitioners and the pharmacist or pharmacists who are parties to the agreement;
      2. Specifies the drug-related regimen to be provided, and how drug therapy is to be monitored; and
      3. Stipulates the conditions for initiating, continuing, or discontinuing drug therapy and conditions which warrant modifications to dose, dosage regimen, dosage form, or route of administration;
  6. “Compound” or “compounding” means the preparation or labeling of a drug pursuant to or in anticipation of a valid prescription drug order, including but not limited to packaging, intravenous admixture or manual combination of drug ingredients. “Compounding,” as used in this chapter, shall not preclude simple reconstitution, mixing, or modification of drug products prior to administration by nonpharmacists;
  7. “Confidential information” means information which is accessed or maintained by a pharmacist in a patient’s record, or communicated to a patient as part of patient counseling, whether it is preserved on paper, microfilm, magnetic media, electronic media, or any other form;
  8. “Continuing education unit” means ten (10) contact hours of board approved continuing pharmacy education. A “contact hour” means fifty (50) continuous minutes without a break period;
  9. “Dispense” or “dispensing” means to deliver one (1) or more doses of a prescription drug in a suitable container, appropriately labeled for subsequent administration to or use by a patient or other individual entitled to receive the prescription drug;
  10. “Drug” means any of the following:
    1. Articles recognized as drugs or drug products in any official compendium or supplement thereto;
    2. Articles, other than food, intended to affect the structure or function of the body of man or other animals;
    3. Articles, including radioactive substances, intended for use in the diagnosis, cure, mitigation, treatment or prevention of disease in man or other animals; or
    4. Articles intended for use as a component of any articles specified in paragraphs (a) to (c) of this subsection;
  11. “Drug regimen review” means retrospective, concurrent, and prospective review by a pharmacist of a patient’s drug-related history, including but not limited to the following areas:
    1. Evaluation of prescription drug orders and patient records for:
      1. Known allergies;
      2. Rational therapy contraindications;
      3. Appropriate dose and route of administration;
      4. Appropriate directions for use; or
      5. Duplicative therapies;
    2. Evaluation of prescription drug orders and patient records for drug-drug, drug-food, drug-disease, and drug-clinical laboratory interactions;
    3. Evaluation of prescription drug orders and patient records for adverse drug reactions; or
    4. Evaluation of prescription drug orders and patient records for proper utilization and optimal therapeutic outcomes;
  12. “Immediate supervision” means under the physical and visual supervision of a pharmacist;
  13. “Manufacturer” or “virtual manufacturer” of a product means:
    1. A person that holds an application approved under 21 U.S.C. sec. 355 or a license issued under 42 U.S.C. sec. 262 for such product, or if such product is not the subject of an approved application or license, the person who manufactured the product;
    2. A co-licensed partner of the person described in paragraph (a) of this subsection that obtains the product directly from a person described in this paragraph or paragraph (a) of this subsection;
    3. An affiliate of a person described in paragraph (a) or (b) of this subsection who receives the product directly from a person described in this paragraph or in paragraph (a) or (b) of this subsection; or
    4. Any person, except a pharmacist compounding in the normal course of professional practice;
  14. “Medical order” means a lawful order of a specifically identified practitioner for a specifically identified patient for the patient’s health care needs. “Medical order” may or may not include a prescription drug order;
  15. “Nonprescription drugs” means nonnarcotic medicines or drugs which may be sold without a prescription and are prepackaged and labeled for use by the consumer in accordance with the requirements of the statutes and regulations of this state and the federal government;
  16. “Outsourcing facility” means a facility at one (1) geographic location or address that:
    1. Is engaged in the compounding of human sterile drugs without a patient-specific prescription;
    2. Has registered as an outsourcing facility with the secretary of the United States Department of Health and Human Services, Food and Drug Administration; and
    3. Complies with all applicable state and federal requirements;
  17. “Pharmacist” means a natural person licensed by this state to engage in the practice of the profession of pharmacy;
  18. “Pharmacist intern” means a natural person who is:
    1. Currently certified by the board to engage in the practice of pharmacy under the direction of a licensed pharmacist and who satisfactorily progresses toward meeting the requirements for licensure as a pharmacist;
    2. A graduate of an approved college or school of pharmacy or a graduate who has established educational equivalency by obtaining a Foreign Pharmacy Graduate Examination Committee (FPGEC) certificate, who is currently licensed by the board for the purpose of obtaining practical experience as a requirement for licensure as a pharmacist;
    3. A qualified applicant awaiting examination for licensure as a pharmacist or the results of an examination for licensure as a pharmacist; or
    4. An individual participating in a residency or fellowship program approved by the board for internship credit;
  19. “Pharmacy” means every place where:
    1. Drugs are dispensed under the direction of a pharmacist;
    2. Prescription drug orders are compounded under the direction of a pharmacist; or
    3. A registered pharmacist maintains patient records and other information for the purpose of engaging in the practice of pharmacy, whether or not prescription drug orders are being dispensed;
  20. “Pharmacy-related primary care” means the pharmacists’ activities in patient education, health promotion, and assistance in the selection and use of over-the-counter drugs and appliances for the treatment of common diseases and injuries, as well as those other activities falling within their statutory scope of practice;
  21. “Pharmacy technician” means a natural person who works under the immediate supervision, or general supervision if otherwise provided for by statute or administrative regulation, of a pharmacist for the purpose of assisting a pharmacist with the practice of pharmacy;
  22. “Practice of pharmacy” means interpretation, evaluation, and implementation of medical orders and prescription drug orders; responsibility for dispensing prescription drug orders, including radioactive substances; participation in drug and drug-related device selection; administration of medications or biologics in the course of dispensing or maintaining a prescription drug order; the administration of adult immunizations pursuant to prescriber-approved protocols; the administration of immunizations to individuals nine (9) to seventeen (17) years of age pursuant to prescriber-approved protocols with the consent of a parent or guardian; the administration of immunizations to a child as defined in KRS 214.032 , pursuant to protocols as authorized by KRS 315.500 ; drug evaluation, utilization, or regimen review; maintenance of patient pharmacy records; and provision of patient counseling and those professional acts, professional decisions, or professional services necessary to maintain and manage all areas of a patient’s pharmacy-related care, including pharmacy-related primary care as defined in this section;
  23. “Practitioner” has the same meaning given in KRS 217.015(35);
  24. “Prescription drug” means a drug which:
    1. Under federal law is required to be labeled with either of the following statements:
      1. “Caution: Federal law prohibits dispensing without prescription”;
      2. “Caution: Federal law restricts this drug to use by, or on the order of, a licensed veterinarian”;
      3. “Rx Only”; or
      4. “Rx”; or
    2. Is required by any applicable federal or state law or administrative regulation to be dispensed only pursuant to a prescription drug order or is restricted to use by practitioners;
  25. “Prescription drug order” means an original or new order from a practitioner for drugs, drug-related devices or treatment for a human or animal, including orders issued through collaborative care agreements or protocols authorized by the board. Lawful prescriptions result from a valid practitioner-patient relationship, are intended to address a legitimate medical need, and fall within the prescribing practitioner’s scope of professional practice;
  26. “Society” means the Kentucky Society of Health-Systems Pharmacists;
  27. “Supervision” means the presence of a pharmacist on the premises to which a pharmacy permit is issued, who is responsible, in whole or in part, for the professional activities occurring in the pharmacy; and
  28. “Wholesaler” means any person who legally buys drugs for resale or distribution to persons other than patients or consumers.

HISTORY: Enact. Acts 1960, ch. 234, § 1; 1970, ch. 221, § 1; 1982, ch. 191, § 1, effective July 15, 1982; 1996, ch. 257, § 3, effective July 15, 1996; 1998, ch. 297, § 4, effective July 15, 1998; 1998, ch. 301, § 27, effective July 15, 1998; 1998, ch. 531, § 3, effective July 15, 1998; 2004, ch. 10, § 1, effective July 13, 2004; 2005, ch. 150, § 18, effective June 20, 2005; 2007, ch. 124, § 8, effective June 26, 2007; 2010, ch. 22, § 5, effective July 15, 2010; 2010, ch. 37, § 1, effective July 15, 2010; 2011, ch. 81, § 1, effective June 8, 2011; 2015 ch. 118, § 1, effective June 24, 2015; 2016 ch. 105, § 1, effective July 15, 2016; 2017 ch. 44, § 1, effective June 29, 2017; 2017 ch. 136, § 1, effective June 29, 2017.

Legislative Research Commission Notes.

(6/29/2017). This statute was amended by 2017 Ky. Acts chs. 44 and 136, which do not appear to be in conflict and have been codified together.

(7/13/2004). 2004 Ky. Acts ch. 10, sec. 2, states that 2004 Ky. Acts ch. 10, sec. 1, which amends this section, shall be known as the Robert L. Bennett, Jr. R. Ph. Act.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 297, 301, and 531 which do not appear to be in conflict and have been codified together. It is clear that the intent of both 1998 Ky. Acts ch. 297, sec. 4, and ch. 301, sec. 27, was to change the subsection reference in KRS 217.015 for the definition of practitioner. In codifying these Acts, that result has been effectuated. KRS 7.136(1)(e).

NOTES TO DECISIONS

1.Pharmacist.

A pharmacist is excluded from the category consisting of manufacturers and wholesalers, even when acting as a pharmacist as defined in subdivision (10) (now subdivision (15)) of this section. Kennedy v. Kentucky Bd. of Pharmacy, 799 S.W.2d 58, 1990 Ky. App. LEXIS 122 (Ky. Ct. App. 1990).

2.Practice of Pharmacy.

Selling excess drugs before they become stale or expire is conduct that would fall within the definition of the “practice of pharmacy.” Kennedy v. Kentucky Bd. of Pharmacy, 799 S.W.2d 58, 1990 Ky. App. LEXIS 122 (Ky. Ct. App. 1990).

Cited:

Commonwealth v. Black, 297 Ky. 832 , 181 S.W.2d 415, 1944 Ky. LEXIS 818 ( Ky. 1944 ).

Opinions of Attorney General.

There is nothing in KRS Chapter 315 or the Open Records Law (KRS 61.870-61.884) prohibiting the release of scores on examinations administered by the Kentucky Board of Pharmacy to applicants for a pharmacist’s license under KRS 315.050 to colleges of pharmacy or other institutions or agencies. OAG 76.573.

“Licensed practitioner” means one who is licensed under the laws of the Commonwealth of Kentucky and who is permitted to prescribe by those laws. OAG 92-28 .

Pharmacists may not legally fill prescriptions written by advanced registered nurse practitioners. OAG 93-36 .

Research References and Practice Aids

Cross-References.

Foods, drugs and poisons, KRS Chapter 217.

Practitioners of medicine generally, KRS Chapter 311.

Kentucky Law Journal.

Note, Consumer Protection and Prescription Drugs: The Generic Drug Substitution Laws, 67 Ky. L.J. 384 (1978-1979).

Note: Making Changes: Generic Drug Labeling and the Case Against Federal Preemption, 98 Ky. L.J. 623 (2009/2010).

315.020. Only pharmacists to supervise manufacturing of pharmaceuticals or practice pharmacy — Exceptions — Access to pharmacy electronic database allowed under specific conditions — Persons employed to assist practice of pharmacy after April 1, 2009, to be registered pharmacy technicians or exempt under KRS 315.135.

  1. No owner of a pharmacy who is not a pharmacist shall fail to place a pharmacist in charge of his or her pharmacy or shall permit any person to compound or dispense prescription drugs, medicines, or pharmaceuticals in his or her place of business except in the presence and under the immediate supervision of a pharmacist.
  2. No manufacturer of pharmaceuticals who is not a pharmacist shall fail to place a pharmacist in charge of his or her place of business or shall permit any person to compound prescription drugs, medicines, or pharmaceuticals in his or her place of business, except as provided by the board through the promulgation of administrative regulations pursuant to KRS Chapter 13A.
  3. Except as provided in subsection (4) of this section, no person shall engage in the practice of pharmacy unless licensed to practice under the provisions of KRS Chapter 315.
  4. The provisions of subsection (3) of this section shall not apply to:
    1. Pharmacist interns performing professional practice activities under the immediate supervision of a licensed pharmacist. The nature and scope of the activities referred to in this paragraph shall be determined by the board through administrative regulation promulgated pursuant to KRS Chapter 13A;
    2. Pharmacist interns and pharmacy technicians performing specifically identified pharmacy practice activities while under the supervision of a pharmacist. The nature and scope of the activities referred to in this paragraph shall be determined by the board through administrative regulation promulgated pursuant to KRS Chapter 13A;
    3. Other licensed health care professionals practicing within the statutory scope of their professional practices; or
    4. Volunteer health practitioners providing services under KRS 39A.350 to 39A.366 .
    1. As used in this subsection: (5) (a) As used in this subsection:
      1. “Order entry” means the process by which pharmacy personnel validate prescription data and enter that data into a pharmacy’s dispensing or medication management system. Prescription data includes but is not limited to patient demographics, prescriber demographics, drug name, strength, dosage form, quantity, the directions for use, refill authorization, or any clarifications of the same; and
      2. “Order entry verification” means the process by which a pharmacist verifies prescription data entered in a pharmacy’s dispensing or medication management system after order entry has been completed.
    2. Nothing in this chapter shall prohibit a pharmacist licensed in Kentucky, or a pharmacy technician registered in Kentucky or a pharmacy intern certified in Kentucky who is working under the supervision of the pharmacist, from accessing the electronic database of the pharmacy, from inside or outside of the pharmacy, to perform order entry, order entry verification, or drug regimen review as defined in KRS 315.010 , if:
      1. The pharmacy has established controls to protect the confidentiality and integrity of protected health information;
      2. No part of the pharmacy’s database is duplicated, downloaded, or removed from the electronic database;
      3. The pharmacy is located in Kentucky and is permitted by the board; and
      4. All personnel who access the pharmacy’s electronic database from outside of the pharmacy reside in Kentucky or within one hundred (100) miles of the pharmacy.
    3. Supervision required by paragraph (b) of this subsection may include electronic supervision.
    4. This subsection shall only apply to pharmacies that are not open to the public and do not dispense to walk-in patients in a retail setting.
    5. Nothing in this subsection shall be construed to authorize final product verification and dispensing of a prescription from a location outside of or other than a pharmacy.
    6. Nothing in this subsection permits pharmacists, pharmacy technicians, or pharmacy interns to receive hard copy prescriptions outside of the premises of a permitted pharmacy.
  5. Effective April 1, 2009, an owner of a pharmacy shall not employ a person to assist in the practice of pharmacy unless the person is registered as a pharmacy technician by the board or exempt under KRS 315.135 .

History. 2619, 2620, 2628, 2631: amend. Acts 1970, ch. 221, § 2; 1982, ch. 191, § 2, effective July 15, 1982; 1996, ch. 257, § 4, effective July 15, 1996; 2007, ch. 96, § 15, effective June 26, 2007; 2008, ch. 148, § 7, effective July 15, 2008; 2021 ch. 56, § 3, effective June 29, 2021.

NOTES TO DECISIONS

1.In General.

It is within state’s police power to enact statutes regulating practice of pharmacy. Kentucky Board of Pharmacy v. Cassidy, 115 Ky. 690 , 74 S.W. 730, 25 Ky. L. Rptr. 102 , 1903 Ky. LEXIS 149 ( Ky. 1903 ); Kentucky Board of Pharmacy ex rel. Attorney Gen. v. Ashland Gem Co., 254 Ky. 492 , 71 S.W.2d 1006, 1933 Ky. LEXIS 3 ( Ky. 1933 ).

2.Purpose.

Purpose of statutes relating to practice of pharmacy is to protect health and lives of public against acts of untrained and incompetent persons in compounding and dispensing medicines. Kentucky Board of Pharmacy ex rel. Attorney Gen. v. Ashland Gem Co., 254 Ky. 492 , 71 S.W.2d 1006, 1933 Ky. LEXIS 3 ( Ky. 1933 ).

3.Water Fluoridation.

The fluoridation of public water supplies does not violate Const., § 2 or this section. Graybeal v. McNevin, 439 S.W.2d 323, 1969 Ky. LEXIS 371 ( Ky. 1969 ).

4.Injunction.

Injunction was available against unlicensed proprietor of retail drugstore who filled prescriptions and compounded medicines without having registered pharmacists in store, as against contention that prosecution was only remedy since statute prescribed penalty for offense. Commonwealth ex rel. Attorney Gen. v. Brown, 239 Ky. 197 , 39 S.W.2d 223, 1931 Ky. LEXIS 748 ( Ky. 1931 ).

Owner of retail drugstore where prescriptions were compounded and drugs sold by persons who were not registered pharmacists and without having registered pharmacists in charge could be properly enjoined, notwithstanding, since injunction was sought, owner had employed registered pharmacist. Commonwealth ex rel. Attorney Gen. v. Brown, 239 Ky. 197 , 39 S.W.2d 223, 1931 Ky. LEXIS 748 ( Ky. 1931 ); Kentucky Board of Pharmacy ex rel. Attorney Gen. v. Ashland Gem Co., 254 Ky. 492 , 71 S.W.2d 1006, 1933 Ky. LEXIS 3 ( Ky. 1933 ).

5.Action for Injuries.

Since K.S. 2630 to 2632 [KRS 217.400 , 315.020 , 315.040 ] were for public’s protection, duties imposed upon druggists were statutory tests of care so far as statutes went; nonobservance was both per se neglect of duty and also neglect of care; where special damage resulted, there existed prima facie, actionable negligence. Sutton's Adm'r v. Wood, 120 Ky. 23 , 85 S.W. 201, 27 Ky. L. Rptr. 412 , 1905 Ky. LEXIS 67 ( Ky. 1905 ).

Notwithstanding K.S. 2630 [KRS 217.400 ] together with K.S. 2631, 2632 [KRS 315.020 , 315.040 ] were police measures to protect public health and breach thereof was fineable crime, damages from negligence were recoverable, pursuant to KRS 446.070 , by one specially damaged. Sutton's Adm'r v. Wood, 120 Ky. 23 , 85 S.W. 201, 27 Ky. L. Rptr. 412 , 1905 Ky. LEXIS 67 ( Ky. 1905 ).

Proprietors of store, who were not registered pharmacists, did not violate law by selling at retail proprietory and patent medicines in original packages or bottles. Kentucky Board of Pharmacy v. Cassidy, 115 Ky. 690 , 74 S.W. 730, 25 Ky. L. Rptr. 102 , 1903 Ky. LEXIS 149 ( Ky. 1903 ).

Cited:

Commonwealth v. Black, 297 Ky. 832 , 181 S.W.2d 415, 1944 Ky. LEXIS 818 ( Ky. 1944 ).

Opinions of Attorney General.

This statute requires that a licensed pharmacist be physically present so that he may converse directly with an unlicensed person filling a prescription and actually see what he is doing. It is obviously not sufficient to give instructions or service by telephone or in writing. OAG 68-44 .

The Board of Pharmacy can license a pharmacy which will operate inside a larger mercantile establishment and permit it to maintain shorter business hours than the parent store as long as a pharmacist is in charge while the pharmacy is in operation. OAG 71-459 .

A nurse is not authorized to dispense any controlled substance even under the immediate supervision of a licensed practicing physician unless the physician has prescribed the substance. OAG 76-217 .

In some hospitals which do not have a pharmacist on actual duty 24 hours, but keep a pharmacist “on call,” emergency boxes are set apart in which the pharmacist places certain medications for use in “emergencies” by the nursing staff upon standing orders of physicians; however, the entire pharmacy itself cannot be used as an emergency box or approved night cabinet. OAG 79-16 .

A medication order on an inpatient chart signed by either a physician assistant student or a medical student cannot suffice for a prescription and a pharmacist presented with such an order cannot legally dispense thereon. OAG 79-613 .

As long as orders for medication on an inpatient chart by a physician assistant student or a medical student are countersigned by a practitioner before they are submitted to a pharmacist for dispensing, the writing constitutes a bona fide prescription and may be filled by a pharmacist. OAG 79-613 .

Neither physician assistant students nor medical students come within the definition of practitioner. OAG 79-613 .

A nursing supervisor may do no more than obtain from a Brewer Machine or other special cabinet, medication that has been prefilled and placed there by a registered pharmacist. A nursing supervisor may not fill any prescriptions and may not enter the closed pharmacy. OAG 82-434 .

315.030. Permit required — License required to represent oneself as pharmacist — Registration required to represent oneself as pharmacy technician.

  1. No person shall take, use or exhibit the title of drug, drug store, pharmacy or apothecary, or any combination of such names or titles, or any title, name or description of like import, or any form designed to take the place of such a title, or use any place with respect to which any of those terms are used in any advertisement or telephone directory listing, unless the facility has been issued a permit by the board.
  2. No person shall call himself or hold himself out as or use the title of “pharmacist,” “registered pharmacist,” “licensed pharmacist,” “druggist,” or use the initials “R.Ph.” or terms which would imply that he is a pharmacist, unless he is duly licensed under the provisions of KRS Chapter 315.
  3. Effective April 1, 2009, a person shall not call himself or herself or hold himself or herself out as a or use the title of “pharmacy technician” unless the person is duly registered under KRS 315.136 or 315.138 .

History. 1376t: amend. Acts 1970, ch. 221, § 3; 1982, ch. 191, § 3, effective July 15, 1982; 2008, ch. 148, § 9, effective July 15, 2008.

NOTES TO DECISIONS

1.Store Sign.

The operation of a store in the storeroom over which defendant’s predecessor had erected signs containing the words “drugs and drugstore” was as clearly a use or exhibition of the signs in violation of this section as if appellee himself had erected the signs. Commonwealth v. Black, 297 Ky. 832 , 181 S.W.2d 415, 1944 Ky. LEXIS 818 ( Ky. 1944 ).

315.035. Permit required for operation of a pharmacy — Application — Fee — Issuance — Fee for failure to renew — Premises covered by permit — Rules and regulations — Requirements for in-state pharmacy doing business through the Internet — Board may waive permit requirements for out-of-state pharmacy — Temporary operation of pharmacy during state of emergency.

  1. No person shall operate a pharmacy within this Commonwealth, physically or by means of the Internet, facsimile, phone, mail, or any other means, without having first obtained a permit as provided for in KRS Chapter 315. An application for a permit to operate a pharmacy shall be made to the board upon forms provided by it and shall contain such information as the board requires, which may include affirmative evidence of ability to comply with such reasonable standards and rules and regulations as may be prescribed by the board. Each application shall be accompanied by a reasonable permit fee to be set by administrative regulation promulgated by the board pursuant to KRS Chapter 13A, not to exceed two hundred fifty dollars ($250).
  2. Upon receipt of an application of a permit to operate a pharmacy, accompanied by the permit fee not to exceed two hundred fifty dollars ($250), the board shall issue a permit if the pharmacy meets the standards and requirements of KRS Chapter 315 and the rules and regulations of the board. The board shall refuse to renew any permit to operate unless the pharmacy meets the standards and requirements of KRS Chapter 315 and the rules and regulations of the board. The board shall act upon an application for a permit to operate within thirty (30) days after the receipt thereof; provided, however, that the board may issue a temporary permit to operate in any instance where it considers additional time necessary for investigation and consideration before taking final action upon the application. In such event, the temporary permit shall be valid for a period of thirty (30) days, unless extended.
  3. A separate permit to operate shall be required for each pharmacy.
  4. Each permit to operate a pharmacy, unless sooner suspended or revoked, shall expire on June 30 following its date of issuance and be renewable annually thereafter upon proper application accompanied by such reasonable renewal fee as may be set by administrative regulation of the board, not to exceed two hundred fifty dollars ($250) nor to increase more than twenty-five dollars ($25) per year. An additional fee not to exceed the annual renewal fee may be assessed and set by administrative regulation as a delinquent renewal penalty for failure to renew by June 30 of each year.
  5. Permits to operate shall be issued only for the premises and persons named in the application and shall not be transferable; provided however, that a buyer may operate the pharmacy under the permit of the seller pending a decision by the board of an application which shall be filed by the buyer with the board at least five (5) days prior to the date of sale.
  6. The board may promulgate rules and regulations to assure that proper equipment and reference material is on hand considering the nature of the pharmaceutical practice conducted at the particular pharmacy and to assure reasonable health and sanitation standards for areas within pharmacies which are not subject to health and sanitation standards promulgated by the Kentucky Cabinet for Health and Family Services or a local health department.
  7. Each pharmacy shall comply with KRS 218A.202 .
  8. Any pharmacy within the Commonwealth that dispenses more than twenty-five percent (25%) of its total prescription volume as a result of an original prescription order received or solicited by use of the Internet, including but not limited to electronic mail, shall, prior to obtaining a permit, receive and display in every medium in which it advertises itself a seal of approval for the National Association of Boards of Pharmacy certifying that it is a Verified Internet Pharmacy Practice Site (VIPPS) or a seal certifying approval of a substantially similar program approved by the Kentucky Board of Pharmacy. VIPPS, or any other substantially similar program approved by the Kentucky Board of Pharmacy, accreditation shall be maintained and remain current.
  9. Any pharmacy within the Commonwealth doing business by use of the Internet shall certify the percentage of its annual business conducted via the Internet and submit such supporting documentation as requested by the board, and in a form or application required by the board, when it applies for permit or renewal.
  10. A pharmacist may temporarily operate a pharmacy in an area not designated on the permit as authorized in KRS 315.500 .

History. Enact. Acts 1966, ch. 260, § 6; 1974, ch. 310, § 1; 1982, ch. 191, § 4, effective July 15, 1982; 1996, ch. 257, § 5, effective July 15, 1996; 1998, ch. 426, § 548, effective July 15, 1998; 2005, ch. 61, § 1, effective June 20, 2005; 2005, ch. 99, § 597, effective June 20, 2005; 2005, ch. 150, § 19, effective June 20, 2005; 2007, ch. 124, § 9, effective June 26, 2007; 2010, ch. 22, § 6, effective July 15, 2010.

315.0350. Administrative activities of a pharmacy.

Administrative activities of a pharmacy do not constitute the practice of pharmacy and shall be performed in the United States in a pharmacy or in a location other than a pharmacy.

HISTORY: 2016 ch. 105, § 2.

315.0351. Out-of-state pharmacy — Permit — Requests for information — Records — Toll-free telephone service — Pharmacist on duty — Requirements for out-of-state pharmacy doing business through the Internet — Application to sale or distribution of dialysate solution or devices.

  1. Except as provided in subsection (2) of this section:
    1. Every person or pharmacy located outside this Commonwealth which does business, physically or by means of the Internet, facsimile, phone, mail, or any other means, inside this Commonwealth within the meaning of KRS Chapter 315, shall hold a current pharmacy permit as provided in KRS 315.035 (1) and (4) issued by the Kentucky Board of Pharmacy. The pharmacy shall be designated an “out-of-state pharmacy” and the permit shall be designated an “out-of-state pharmacy permit.” The fee for the permit shall not exceed the current in-state pharmacy permit fee as provided under KRS 315.035 ;
    2. Every out-of-state pharmacy granted an out-of-state pharmacy permit by the board shall disclose to the board the location, names, and titles of all principal corporate officers and all pharmacists who are dispensing prescription drugs to residents of the Commonwealth. A report containing this information shall be made to the board on an annual basis and within thirty (30) days after any change of office, corporate officer, or pharmacist;
    3. Every out-of-state pharmacy granted an out-of-state pharmacy permit shall comply with all statutorily-authorized directions and requests for information from any regulatory agency of the Commonwealth and from the board in accordance with the provisions of this section. The out-of-state pharmacy shall maintain at all times a valid unexpired permit, license, or registration to conduct the pharmacy in compliance with the laws of the jurisdiction in which it is a resident. As a prerequisite to seeking a permit from the Kentucky Board of Pharmacy, the out-of-state pharmacy shall submit a copy of the most recent inspection report resulting from an inspection conducted by the regulatory or licensing agency of the jurisdiction in which it is located. Thereafter, the out-of-state pharmacy granted a permit shall submit to the Kentucky Board of Pharmacy a copy of any subsequent inspection report on the pharmacy conducted by the regulatory or licensing body of the jurisdiction in which it is located;
    4. Every out-of-state pharmacy granted an out-of-state pharmacy permit by the board shall maintain records of any controlled substances or dangerous drugs or devices dispensed to patients in the Commonwealth so that the records are readily retrievable from the records of other drugs dispensed;
    5. Records for all prescriptions delivered into Kentucky shall be readily retrievable from the other prescription records of the out-of-state pharmacy;
    6. Each out-of-state pharmacy shall, during its regular hours of operation, but not less than six (6) days per week and for a minimum of forty (40) hours per week, provide a toll-free telephone service directly to the pharmacist in charge of the out-of-state pharmacy and available to both the patient and each licensed and practicing in-state pharmacist for the purpose of facilitating communication between the patient and the Kentucky pharmacist with access to the patient’s prescription records. A toll-free number shall be placed on a label affixed to each container of drugs dispensed to patients within the Commonwealth;
    7. Each out-of-state pharmacy shall have a pharmacist in charge who is licensed to engage in the practice of pharmacy by the Commonwealth that shall be responsible for compliance by the pharmacy with the provisions of this section and for the distribution and sale of dialysate solutions and devices pursuant to subsection (2) of this section;
    8. Each out-of-state pharmacy shall comply with KRS 218A.202 ;
    9. Any out-of-state pharmacy that dispenses more than twenty-five percent (25%) of its total prescription volume as a result of an original prescription order received or solicited by use of the Internet, including but not limited to electronic mail, shall receive and display in every medium in which it advertises itself a seal of approval for the National Association of Boards of Pharmacy certifying that it is a Verified Internet Pharmacy Practice Site (VIPPS) or a seal certifying approval of a substantially similar program approved by the Kentucky Board of Pharmacy. VIPPS, or any other substantially similar accreditation, shall be maintained and remain current;
    10. Any out-of-state pharmacy doing business in the Commonwealth of Kentucky shall certify the percentage of its annual business conducted via the Internet and electronic mail and submit such supporting documentation as requested by the board, and in a form or application required by the board, when it applies for permit or renewal;
    11. Any pharmacy doing business within the Commonwealth of Kentucky shall use the address on file with the Kentucky Board of Pharmacy as the return address on the labels of any package shipped into or within the Commonwealth. The return address shall be placed on the package in a clear and prominent manner; and
    12. The Kentucky Board of Pharmacy may waive the permit requirements of this chapter for an out-of-state pharmacy that only does business within the Commonwealth of Kentucky in limited transactions.
    1. Only subsection (1)(g) of this section shall apply to the sale or distribution of dialysate solutions or devices necessary to perform home peritoneal kidney dialysis to patients with end-stage renal disease, if: (2) (a) Only subsection (1)(g) of this section shall apply to the sale or distribution of dialysate solutions or devices necessary to perform home peritoneal kidney dialysis to patients with end-stage renal disease, if:
      1. The dialysate solutions or devices are approved or cleared by the federal Food and Drug Administration, as required by federal law;
      2. The dialysate solutions or devices are lawfully held by a manufacturer or manufacturer’s agent that is properly registered with or licensed by the board as a manufacturer, wholesale distributer, or third-party logistics provider under this chapter;
      3. The dialysate solutions or devices are held and delivered in their original, sealed packaging from Food and Drug Administration-approved manufacturing facility;
      4. The dialysate solutions or devices are only delivered upon receipt of a physician’s prescription by a Kentucky licensed pharmacy and the transmittal of an order from the Kentucky licensed pharmacy to the manufacturer or manufacturer’s agent; and
      5. The manufacturer or manufacturer’s agent delivers the dialysate solutions or devices directly to:
        1. A patient with end-stage renal disease or the patient’s designee for the patient’s self-administration of dialysis therapy; or
        2. A health-care provider or institution for administration or delivery of dialysis therapy to a patient with end-stage renal disease.
      1. A manufacturer or manufacturer’s agent who sells or distributes dialysate solutions or devices under this subsection shall employ or contract with a pharmacist who is licensed to engage in the practice of pharmacy by the Commonwealth to conduct a retrospective audit on ten percent (10%) of the orders processed by that manufacturer or manufacturer’s agent each month. (b) 1. A manufacturer or manufacturer’s agent who sells or distributes dialysate solutions or devices under this subsection shall employ or contract with a pharmacist who is licensed to engage in the practice of pharmacy by the Commonwealth to conduct a retrospective audit on ten percent (10%) of the orders processed by that manufacturer or manufacturer’s agent each month.
      2. On or before February 1 of each year, an annual summary of the monthly audits shall be prepared and submitted to the board, in the form prescribed by the board.
      3. On or before June 1 of each year, the board shall compile the summaries of monthly audits into a single report and submit that report to the Interim Joint Committee on Health and Welfare and Family Services.
    2. Prescriptions and records of delivery for dialysate solutions or devices sold or distributed under this subsection shall be maintained by the manufacturer or manufacturer’s agent for a minimum of two (2) years and shall be made available to the board upon request.
    3. As used in this subsection, “dialysate solutions” means dextrose or icodextrin when used to perform home peritoneal kidney dialysis.
    4. The Kentucky Board of Pharmacy will retain oversight of the distribution of dialysate solutions and devices under this section.

History. Enact. Acts 1990, ch. 155, § 1, effective July 13, 1990; 2004, ch. 107, § 4, effective July 13, 2004; 2005, ch. 150, § 20, effective June 20, 2005; 2007, ch. 124, § 10, effective June 26, 2007; 2019 ch. 157, § 1, effective June 27, 2019.

315.036. Permit to be acquired by manufacturer — Fee — Records required — Report — Exception.

  1. Except as provided in subsection (4) of this section, each manufacturer of drugs shall be required to register with and obtain a permit from the board. Such permit shall be issued in accordance with policy and procedure prescribed by regulations of the board. Each application shall be accompanied by a reasonable permit fee to be set by administrative regulation of the board, not to exceed two hundred fifty dollars ($250) annually or increase more than twenty-five dollars ($25) per year.
  2. Manufacturers shall be required to maintain accurate records of all drugs manufactured, received and sold, as established by administrative regulation of the board. Such records shall be made available to agents of the board for inspection at reasonable times. The board may require by regulation that manufacturers periodically report to the board all drugs manufactured, received, and sold.
  3. Failure to report to the board or willful submission of inaccurate information shall be grounds for disciplinary action under the provisions of KRS 315.131 .
  4. The provisions of subsection (1) of this section do not apply to a pharmacist who, in the normal course of professional practice, compounds reasonable quantities of drugs pursuant to or in anticipation of a valid prescription drug order.

History. Enact. Acts 1982, ch. 191, § 5, effective July 15, 1982; 1996, ch. 257, § 6, effective July 15, 1996; 2008, ch. 124, § 2, effective July 15, 2008.

NOTES TO DECISIONS

1.Pharmacist.

A pharmacist is excluded from the category consisting of manufacturers and wholesalers, even when acting as a pharmacist as defined in subdivision (10) (now subdivision (15)) of KRS 315.010 . Kennedy v. Kentucky Bd. of Pharmacy, 799 S.W.2d 58, 1990 Ky. App. LEXIS 122 (Ky. Ct. App. 1990).

315.040. Exceptions to chapter.

  1. Nothing in this chapter shall be construed to prevent, restrict, or otherwise interfere with the sale of nonprescription drugs in their original packages by any retailer. No rule or regulation shall be adopted by the Board of Pharmacy under this chapter which shall require the sale of nonprescription drugs by a licensed pharmacist or under the supervision of a licensed pharmacist.
  2. Nothing in this chapter shall interfere with the professional activities of any licensed practicing physician, or prevent the physician from keeping any drug or medicine that he or she may need in his or her practice, from compounding the physician’s own medications, or from dispensing or supplying to patients any article that seems proper to the physician.
  3. Nothing in this chapter pertaining to the use of collaborative care agreements shall apply in any hospital or other health facility operated by a hospital without the express written permission of the hospital’s governing body. Collaborative care agreements may be restricted by the policies and procedures of the facility.
  4. Nothing in this chapter shall interfere with the activities of a physician assistant as authorized in KRS Chapter 311.
  5. Nothing in this chapter shall interfere with the activities of an advanced practice registered nurse as authorized in KRS Chapter 314.
  6. Nothing in this chapter shall be construed to prevent, restrict, or otherwise interfere with the sale or distribution of dialysate solutions as defined in KRS 315.0351 or devices necessary to perform home peritoneal dialysis to patients with end-stage renal disease, provided that the requirements established in KRS 315.0351 (2) are satisfied. No rule or administrative regulation shall be adopted or promulgated by the board under this chapter that requires the sale or distribution of dialysate solutions as defined in KRS 315.0351 or devices necessary to perform home peritoneal dialysis by a licensed pharmacist or under the supervision of a licensed pharmacist.

History. 1376t, 2625, 2632: amend. Acts 1990, ch. 482, § 12, effective July 13, 1990; 1996, ch. 257, § 7, effective July 15, 1996; 1998, ch. 228, § 6, effective July 15, 1998; 2000, ch. 391, § 22, effective July 14, 2000; 2010, ch. 85, § 67, effective July 15, 2010; 2017 ch. 80, § 23, effective June 29, 2017; 2019 ch. 157, § 2, effective June 27, 2019.

NOTES TO DECISIONS

1.Purpose.

It was not the purpose of this section to permit the use of a drugstore sign by a store selling patent medicines and other permitted drugs while not keeping a pharmacist in charge. Commonwealth v. Black, 297 Ky. 832 , 181 S.W.2d 415, 1944 Ky. LEXIS 818 ( Ky. 1944 ).

2.Physician.

Physician who has no license as pharmacist may compound and sell drugs to his patients, but may not fill prescriptions or sell drugs indiscriminately to all who may call for them. Commonwealth v. Hovious, 112 Ky. 491 , 66 S.W. 3, 23 Ky. L. Rptr. 1724 , 1902 Ky. LEXIS 179 ( Ky. 1902 ).

3.Patent or Proprietory Medicines.

K.S. 2630 [KRS 217.400 ] applies to such deadly poisons as produce immediate harm or death, but not to patent or proprietory medicines, as is shown by K.S. 2631, 2632 [KRS 315.020 , 315.040 ]. Kentucky Board of Pharmacy v. Cassidy, 115 Ky. 690 , 74 S.W. 730, 25 Ky. L. Rptr. 102 , 1903 Ky. LEXIS 149 ( Ky. 1903 ).

Proprietors of store, who were not registered pharmacists, did not violate law by selling at retail proprietory and patent medicines in original packages or bottles. Kentucky Board of Pharmacy v. Cassidy, 115 Ky. 690 , 74 S.W. 730, 25 Ky. L. Rptr. 102 , 1903 Ky. LEXIS 149 ( Ky. 1903 ).

Opinions of Attorney General.

A nurse is not authorized to dispense any controlled substance even under the immediate supervision of a licensed practicing physician unless the physician has prescribed the substance. OAG 76-217 .

315.050. Qualifications of applicant for licensure — Examination — Standards for internship — Certificate of internship.

  1. Every applicant for licensure as a pharmacist shall be not less than eighteen (18) years of age, of good mental health and moral character, a graduate of a school or college of pharmacy program approved by the board, and shall file proof satisfactory to the board, substantiated by proper affidavits, of completion of an approved internship.
  2. After the applicant has passed a satisfactory examination conducted before the board under regulations prescribed by the board, he shall be entitled to a license as a pharmacist.
  3. The examination for licensure shall be given by the board at least two (2) times during each year. The examination shall be prepared to measure the competency of the applicant to engage in the practice of pharmacy. The board may employ and cooperate with any organization or consultant in the preparation and grading of an appropriate examination, but shall retain the sole discretion and responsibility of determining which applicants have successfully passed such an examination.
  4. The board shall by regulation establish standards for pharmacist intern certification and an approved internship program and shall determine appropriate qualifications for pharmacists supervising approved internship programs.
  5. The board shall issue certificates of internship which shall be valid for six (6) years from date of issuance. The fee for a certificate shall be set by administrative regulation of the board, not to exceed fifty dollars ($50).

HISTORY: 2625: amend. Acts 1946, ch. 161; 1970, ch. 120, § 8; 1970, ch. 221, § 4; 1982, ch. 191, § 6, effective July 15, 1982; 1990, ch. 443, § 23, effective July 13, 1990; 1996, ch. 257, § 8, effective July 15, 1996; 2015 ch. 113, § 17, effective June 24, 2015.

Opinions of Attorney General.

Since there is nothing in KRS Chapter 315 or in the Kentucky Open Records Law, KRS 61.870-61.884, prohibiting the Board of Pharmacy from making available for public inspection the file of a licensee, the Board should make the entire file of a licensee available for inspection. OAG 80-474 .

The former United States citizenship requirement of subsection (1) of this section is unconstitutional as violative of the Equal Protection Clause of the Fourteenth Amendment of the United States Constitution and therefore should not be enforced. OAG 87-27 .

315.060. Examination fee.

A reasonable examination fee shall be fixed by administrative regulation of the board, not to exceed three hundred dollars ($300) or increase more than twenty-five dollars ($25) per year, and shall be collected for each examination taken by an applicant.

History. 2625: amend. Acts 1970, ch. 221, § 5; 1974, ch. 310, § 2; 1982, ch. 191, § 7, effective July 15, 1982; 1996, ch. 257, § 9, effective July 15, 1996.

315.065. Continuing education requirements.

  1. Because of the continuous introduction of new therapeutic and diagnostic agents and changing concepts in the practice of pharmacy, it is essential that a pharmacist undertake a program of continuing education to maintain his professional competency to practice in the public interest.
  2. No pharmacist’s license shall be renewed until the license holder is able to submit written proof to the board that he has satisfactorily completed, in the previous renewal period, a continuing education program acceptable to the board. Such continuing education requirements shall be determined by regulation of the board, but they shall not require more than an average of one and one-half (1-1/2) continuing education units (CEU) per year.
  3. The board shall adopt rules and regulations to carry out the provisions of this section, to include guidelines and criteria for reviewing and approving continuing education programs.

HISTORY: Enact. Acts 1982, ch. 191, § 9, effective July 15, 1982; 1990, ch. 443, § 10, effective July 13, 1990; 1996, ch. 257, § 10, effective July 15, 1996; 1998, ch. 531, § 4, effective July 15, 1998; 2001, ch. 61, § 11, effective June 21, 2001; 2015 ch. 113, § 18, effective June 24, 2015.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

315.070. Pharmacist holding license on May 30, 1938 to secure renewal of license only. [Repealed.]

Compiler’s Notes.

This section (2626) was repealed by Acts 1982, ch. 191, § 21.

315.080. Licensed assistant pharmacists. [Repealed.]

Compiler’s Notes.

This section (2625) was repealed by Acts 1982, ch. 191, § 21.

315.085. Assistant pharmacists may be examined and licensed as licensed pharmacists. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 98, § 1) was repealed by Acts 1982, ch. 191, § 21.

315.090. Wording required on license certificate. [Repealed.]

Compiler’s Notes.

This section (2625) was repealed by Acts 1966, ch. 260, § 13.

315.100. False representations prohibited. [Repealed.]

Compiler’s Notes.

This section (2628: amend. Acts 1970, ch. 221, § 6) was repealed by Acts 1982, ch. 191, § 21, effective July 15, 1982.

315.110. License expiration date — Renewal fee — Application and requirements — Certificate — Display — Pocket certificate.

  1. Each license to practice pharmacy, unless sooner suspended or revoked, shall expire on February 28 following its date of issuance. Every pharmacist who desires to continue to practice pharmacy shall pay to the executive director of the board a reasonable renewal fee to be set by administrative regulation of the board, but not to exceed one hundred seventy-five dollars ($175) annually or increase more than twenty-five dollars ($25) per year, and shall file with the board an application in such form and containing such data as the board may require for renewal of the license. A delinquent renewal penalty fee not to exceed the renewal fee may be assessed and set by administrative regulation for each renewal period the licensee fails to renew the license after expiration.
  2. Every pharmacist shall keep his current certificate conspicuously displayed in his primary place of practice.
  3. In addition to a current renewal certificate, each pharmacist shall be issued upon renewal a pocket certificate which shall be in the licensee’s possession at all times when the licensee is engaged in the practice of pharmacy and which shall be exhibited by the licensee upon request from any member, inspector or agent of the board.

History. 2627: amend. Acts 1960, ch. 234, § 2; 1966, ch. 260, § 2; 1970, ch. 221, § 7; 1974, ch. 310, § 3; 1982, ch. 191, § 8, effective July 15, 1982; 1996, ch. 257, § 11, effective July 15, 1996; 2005, ch. 61, § 2, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Cash receipts to be paid into state treasury, KRS 41.070 .

Revolving funds, KRS 45.253 .

State treasury, withdrawal of funds from, KRS 41.110 .

315.115. Renewal fees suspended for persons in Armed Forces.

All persons who are required to pay renewal fees to the board as registered pharmacists shall not be required to pay such fees during the time such persons are actively serving in the Armed Forces of the United States.

History. Enact. Acts 1942, ch. 98, § 2; 1970, ch. 221, § 8; 1996, ch. 257, § 12, effective July 15, 1996.

315.120. Notification of failure to renew license — Procedure for renewal of expired license — Renewal after lapse of five or more years — Inactive license.

  1. Within thirty (30) days after the renewal period, the executive director shall notify all pharmacists who have failed to comply with license renewal requirements.
  2. Any pharmacist who has failed to timely renew his license for any consecutive period up to five (5) years may renew his license only upon satisfying the continuing education regulations of the board and paying the cumulative penalty and renewal fees provided for in KRS 315.110 .
  3. Any pharmacist who has failed to timely renew his license for five (5) or more consecutive years may renew his license only upon satisfying the continuing education regulations of the board, passing a satisfactory examination before the board and paying the renewal and penalty fees provided for in KRS 315.110 .
  4. Any pharmacist not currently holding an active pharmacist’s license in another jurisdiction who does not desire to meet the qualifications for active license renewal shall, upon application, be issued an inactive license. Such license shall entitle the license holder to use the term “pharmacist” but the license holder shall not be permitted to engage in the practice of pharmacy. An inactive license holder may apply for an active license as provided for by the regulations of the board. The inactive license renewal fee shall be set by administrative regulation of the board, not to exceed fifty dollars ($50) annually.

History. 2627: amend. Acts 1970, ch. 221, § 9; 1982, ch. 191, § 10, effective July 15, 1982; 1996, ch. 257, § 13, effective July 15, 1996; 2005, ch. 61, § 3, effective June 20, 2005.

Opinions of Attorney General.

The Kentucky Board of Pharmacy does have the right to reinstate the license of a pharmacist whose license has been previously revoked; however, where a registered pharmacist license has been revoked and as a consequence of such revocation has failed to have an annual renewal certificate for five (5) consecutive years the Board of Pharmacy could not reinstate the license of such person without first requiring that the pharmacist pass a satisfactory examination as required by this section. OAG 76-455 .

315.121. Grounds for acting against licensee — Notification to board of conviction required — Petition for reinstatement — Expungement.

  1. The board may refuse to issue or renew a license, permit, or certificate to, or may suspend, temporarily suspend, revoke, fine, place on probation, reprimand, reasonably restrict, or take any combination of these actions against any licensee, permit holder, or certificate holder for the following reasons:
    1. Unprofessional or unethical conduct;
    2. Mental or physical incapacity that prevents the licensee, permit holder, or certificate holder from engaging or assisting in the practice of pharmacy or the wholesale distribution or manufacturing of drugs with reasonable skill, competence, and safety to the public;
    3. Being convicted of, or entering 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 such plea, one (1) or more or the following, if in accordance with KRS Chapter 335B:
      1. A crime as defined in KRS 335B.010 ; or
      2. A violation of the pharmacy or drug laws, rules, or administrative regulations of this state, any other state, or the federal government;
    4. Knowing or having reason to know that a pharmacist, pharmacist intern, or pharmacy technician is incapable of engaging or assisting in the practice of pharmacy with reasonable skill, competence, and safety to the public and failing to report any relevant information to the board;
    5. Knowingly making or causing to be made any false, fraudulent, or forged statement or misrepresentation of a material fact in securing issuance or renewal of a license, permit, or certificate;
    6. Engaging in fraud in connection with the practice of pharmacy or the wholesale distribution or manufacturing of drugs;
    7. Engaging in or aiding and abetting an individual to engage or assist in the practice of pharmacy without a license or falsely using the title of “pharmacist,” “pharmacist intern,” “pharmacy technician,” or other term which might imply that the individual is a pharmacist, pharmacist intern, or pharmacy technician;
    8. Being found by the board to be in violation of any provision of this chapter, KRS Chapter 217, KRS Chapter 218A, or the administrative regulations promulgated pursuant to these chapters;
    9. Violation of any order issued by the board to comply with any applicable law or administrative regulation;
    10. Knowing or having reason to know that a pharmacist, pharmacist intern, or pharmacy technician has engaged in or aided and abetted the unlawful distribution of legend medications, and failing to report any relevant information to the board;
    11. Failure to notify the board within fourteen (14) days of a change in one’s home address; or
    12. As provided in KRS 311.824(2), being convicted of a violation of KRS 311.823(2).
  2. Unprofessional or unethical conduct includes but is not limited to the following acts of a pharmacist, pharmacist intern, or pharmacy technician:
    1. Publication or circulation of false, misleading, or deceptive statements concerning the practice of pharmacy;
    2. Divulging or revealing to unauthorized persons patient information or the nature of professional services rendered without the patient’s express consent or without order or direction of a court. In addition to members, inspectors, or agents of the board, the following are considered authorized persons:
      1. The patient, patient’s agent, or another pharmacist acting on behalf of the patient;
      2. Certified or licensed health-care personnel who are responsible for care of the patient;
      3. Designated agents of the Cabinet for Health and Family Services for the purposes of enforcing the provisions of KRS Chapter 218A;
      4. Any federal, state, or municipal officer whose duty is to enforce the laws of this state or the United States relating to drugs and who is engaged in a specific investigation involving a designated person; or
      5. An agency of government charged with the responsibility of providing medical care for the patient, upon written request by an authorized representative of the agency requesting such information;
    3. Selling, transferring, or otherwise disposing of accessories, chemicals, drugs, or devices found in illegal traffic when the pharmacist, pharmacy intern, or pharmacy technician knows or should have known of their intended use in illegal activities;
    4. Engaging in conduct likely to deceive, defraud, or harm the public, demonstrating a willful or careless disregard for the health, welfare, or safety of a patient, or engaging in conduct which substantially departs from accepted standards of pharmacy practice ordinarily exercised by a pharmacist or pharmacy intern, with or without established proof of actual injury;
    5. Engaging in grossly negligent professional conduct, with or without established proof of actual injury;
    6. Except as provided in KRS 315.500 , selling, transferring, dispensing, ingesting, or administering a drug for which a prescription drug order is required, without having first received a prescription drug order for the drug;
    7. Willfully or knowingly failing to maintain complete and accurate records of all drugs received, dispensed, or disposed of in compliance with federal and state laws, rules, or administrative regulations;
    8. Obtaining any remuneration by fraud, misrepresentation, or deception;
    9. Accessing or attempting to access confidential patient information for persons other than those with whom a pharmacist has a current pharmacist-patient relationship and where such information is necessary to the pharmacist to provide pharmacy care;
    10. Failing to exercise appropriate professional judgment in determining whether a prescription drug order is lawful;
    11. Violating KRS 304.39-215 ; or
    12. Engaging in conduct that is subject to the penalties under KRS 304.99-060 (4) or (5).
  3. Any licensee, permit holder, or certificate holder entering an “Alford” plea, pleading nolo contendere, or who is found guilty of a violation prescribed in subsection (1)(c) of this section shall within thirty (30) days notify the board of that plea or conviction. Failure to do so shall be grounds for suspension or revocation of the license, certificate, or permit.
  4. Any person whose license, permit, or certificate has been revoked in accordance with the provisions of this section, may petition the board for reinstatement. The petition shall be made in writing and in a form prescribed by the board. The board shall investigate all reinstatement petitions, and the board may reinstate a license, permit, or certificate upon showing that the former holder has been rehabilitated and is again able to engage in the practice of pharmacy with reasonable skill, competency, and safety to the public. Reinstatement may be on the terms and conditions that the board, based on competent evidence, reasonably believes necessary to protect the health and welfare of the citizens of the Commonwealth.
  5. Upon exercising the power of revocation provided for in subsection (1) of this section, the board may reasonably prohibit any petition for reinstatement for a period up to and including five (5) years.
  6. Any licensee, permit holder, or certificate holder who is disciplined under this section for a minor violation may request in writing that the board expunge the minor violation from the licensee’s, permit holder’s, or certificate holder’s permanent record.
    1. The request for expungement may be filed no sooner than three (3) years after the date on which the licensee, permit holder, or certificate holder has completed disciplinary sanctions imposed and if the licensee, permit holder, or certificate holder has not been disciplined for any subsequent violation of the same nature within this period of time.
    2. No person may have his or her record expunged under this section more than once.

The board shall promulgate administrative regulations under KRS Chapter 13A to establish violations which are minor violations under this subsection. A violation shall be deemed a minor violation if it does not demonstrate a serious inability to practice the profession; assist in the practice of pharmacy; provide home medical equipment and services; adversely affect the public health, safety, or welfare; or result in economic or physical harm to a person; or create a significant threat of such harm.

History. Enact. Acts 1982, ch. 191, § 11, effective July 15, 1982; 1996, ch. 257, § 14, effective July 15, 1996; 1998, ch. 426, § 549, effective July 15, 1998; 2002, ch. 335, § 1, effective July 15, 2002; 2003, ch. 51, § 4, effective June 24, 2003; 2005, ch. 99, § 598, effective June 20, 2005; 2008, ch. 148, § 8, effective July 15, 2008; 2010, ch. 22, § 7, effective July 15, 2010; 2012, ch. 73, § 11, effective July 12, 2012; 2016 ch. 103, § 13, effective July 15, 2016; 2017 ch. 158, § 60, effective June 29, 2017; 2019 ch. 143, § 14, effective June 27, 2019; 2021 ch. 1, § 12, effective January 22, 2021.

Legislative Research Commission Notes.

(7/12/2012). Under the authority of KRS 7.136(1), the Reviser of Statutes has corrected manifest clerical or typographical errors in this statute during codification. The meaning of the text was not changed.

NOTES TO DECISIONS

1.Generally.

The conduct by a pharmacist of reselling excess birth control pills to drug company was not shown to deceive, defraud or harm the public, and such a showing is essential to support any charge of unprofessional conduct, under subdivision (1)(f) of this section. Kennedy v. Kentucky Bd. of Pharmacy, 799 S.W.2d 58, 1990 Ky. App. LEXIS 122 (Ky. Ct. App. 1990).

315.123. Suspension or revocation of pharmacy permit, grounds. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 260, § 7) was repealed by Acts 1982, ch. 191, § 21.

315.125. Mental or physical examination ordered by board — Effect of failure to submit to examination.

  1. When the board has probable cause to believe a pharmacist, pharmacy technician, licensee, certificate holder, or permit holder is suffering from a mental or physical condition that might impede that person’s ability to practice competently, the board may order the individual to undergo a mental or physical examination by an appropriately-trained professional designated by the board.
  2. Failure of a pharmacist, pharmacy technician, licensee, or permit holder to submit to such an examination when directed, unless the failure was due to circumstances beyond his or her control, shall constitute an admission that he or she has developed such a mental or physical disability, or other condition, that continued practice is dangerous to patients or to the public. Failure to attend the examination shall constitute a default, and a final order suspending, limiting, restricting, or revoking the license or permit may be entered without the taking of testimony or presentation of evidence.
  3. A pharmacist, pharmacy technician, licensee, or permit holder whose license has been suspended, limited, restricted, or revoked pursuant to this section shall at reasonable intervals be afforded an opportunity, pursuant to KRS 315.121(4), to demonstrate that he can resume the competent practice of pharmacy with reasonable skill and safety to patients.

History. Enact. Acts 1996, ch. 257, § 15, effective July 15, 1996; 2008, ch. 148, § 5, effective July 15, 2008; 2012, ch. 73, § 12, effective July 12, 2012; 2016 ch. 103, § 15, effective July 15, 2016.

Legislative Research Commission Notes.

(7/12/2012). Under the authority of KRS 7.136(1), the Reviser of Statutes has corrected manifest clerical or typographical errors in this statute during codification. The meaning of the text was not changed.

315.126. Pharmacist recovery network committee — Administrative regulations — Assessment — Confidentiality — Reporting restrictions.

  1. The board shall establish a pharmacist recovery network committee to promote the early identification, intervention, treatment, and rehabilitation of pharmacists and pharmacist interns who may be impaired by reason of illness, alcohol or drug abuse, or as a result of any other physical or mental condition.
  2. The board may enter into a contractual agreement with a nonprofit corporation, pharmacy professional organization, or similar organization for the purpose of creating, supporting, and maintaining a pharmacist recovery network committee.
  3. The board may promulgate administrative regulations pursuant to KRS Chapter 13A to effectuate and implement the provisions of this section.
  4. Beginning July 15, 1998, the board shall collect an assessment of ten dollars ($10) to be added to each licensure renewal application fee payable to the board. This assessment shall be expended by the board on the operation of the pharmacist recovery network committee.
  5. Members of a pharmacist recovery network committee, any administrator, staff member, consultant, agent, volunteer, or employee of the committee acting within the scope of his or her duties and without actual malice and all other persons who furnish information to the committee in good faith and without actual malice shall not be liable for any claim or damages as a result of any statement, decision, opinion, investigation, or action taken by the committee or by any individual member of the committee.
  6. All information, interviews, reports, statements, memoranda, or other documents furnished to or produced by the pharmacist recovery network committee, 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.
  7. All records and proceedings of the committee 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 committee, not be considered public records, and not be subject to court subpoena, discovery, or introduction as evidence in any civil, criminal, or administrative proceedings, except as described in subsection (8) of this section.
  8. The committee may only disclose the information relative to an impaired pharmacist or pharmacist intern if:
    1. It is essential to disclose the information to persons or organizations needing the information in order to address the intervention, treatment, or rehabilitation needs of the impaired pharmacist or pharmacist intern;
    2. The release is authorized in writing by the impaired pharmacist or pharmacist intern; or
    3. The committee is required to make a report to the board pursuant to KRS 315.121 .

History. Enact. Acts 1998, ch. 531, § 1, effective July 15, 1998; 2005, ch. 61, § 5, effective June 20, 2005.

315.127. Revocation or suspension of pharmacist’s license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 260, § 3; 1970, ch. 221, § 10) was repealed by Acts 1982, ch. 191, § 21.

315.130. Portion of fees to be turned over to association. [Repealed.]

Compiler’s Notes.

This section (2627) was repealed by Acts 1966, ch. 260, § 13.

315.131. Proceedings before fine, probation, suspension, revocation of license, permit, or certificate — Appeals — Emergency suspension prior to disciplinary hearing.

  1. Every proceeding imposing a fine or for probation, suspension, or revocation of a license, permit, or certificate issued pursuant to this chapter shall be conducted in accordance with KRS Chapter 13B. Upon failure of the licensee, permit holder, or certificate holder to respond to the complaint at or before the time of the hearing, the allegations set forth in the complaint shall be taken by the board as confessed.
  2. All decisions revoking or suspending a license, permit, or certificate or placing a licensee, permit holder, or certificate holder on probation or imposing a fine shall be made by the board.
  3. The board may when in its opinion the continued practice of the licensee or certificate holder or the continued operation of the permit holder would be dangerous to the health, welfare, and safety of the general public, issue an emergency order as provided in KRS 13B.125 .
  4. A licensee, permit holder, or certificate holder aggrieved by a final order of the board may within ten (10) days after notice thereof move the board to reconsider this order. A motion to reconsider based on newly-discovered material evidence must be made within one (1) year of the entry of the order.
  5. A licensee, permit holder, or certificate holder aggrieved by a final order of the board may appeal to the Franklin Circuit Court in accordance with KRS Chapter 13B.
  6. The board may, without benefit of a hearing, temporarily suspend a license, certificate, or permit for not more than sixty (60) days if the president of the board finds on the basis of reasonable evidence that a licensee, certificate holder, or permit holder:
    1. Has violated a statute or administrative regulation the board is empowered to enforce, and continued practice or operation by the licensee, certificate holder, or permit holder would create imminent risk of harm to the public; or
    2. Suffers a mental or physical condition that through continued practice or operation could create an imminent risk of harm to the public.

The emergency suspension shall take effect upon receipt by the licensee, certificate holder, or permit holder of written notice, delivered by certified mail or in person, specifying the statute or administrative regulation violated. At the time the emergency suspension order issues, the board shall schedule a disciplinary hearing to be held in accordance with the provisions of KRS Chapter 13B within sixty (60) days thereafter.

History. Enact. Acts 1966, ch. 260, § 8; 1982, ch. 191, § 12, effective July 15, 1982; 1996, ch. 257, § 16, effective July 15, 1996; 1996, ch. 318, § 271, effective July 15, 1996.

Legislative Research Commission Note.

(10/16/96). The initial 1996 codification of the amendments to this statute from the 1996 Regular Session has been revised with respect to subsection (5) of the statute. 1996 Ky. Acts ch. 257, sec. 16, made the venue for appeals “the Franklin Circuit Court” while 1996 Ky. Acts ch. 318, sec. 271, changed “permittee” to “permit holder,” in existing language that set the venue for appeals as “the Circuit Court of the county in which the licensee, permittee or certificate holder conducts his practice or place of business.” The changing of the word “permittee” to “permit holder” in this phrase was purely stylistic. Therefore, although Acts ch. 318 was a later enactment than Acts ch. 257 for purposes of KRS 446.250 , the substantive amendment on this point in Acts ch. 257 prevails over the nonsubstantive, stylistic amendment in Acts ch. 318 pursuant to 1996 Ky. Acts ch. 318, sec. 358. The text of subsection (5) has been altered to reflect this determination.

(7/15/96). This section was amended by 1996 Ky. Acts chs. 257 and 318. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 318, which was last enacted by the General Assembly, prevails under KRS 446.250 .

NOTES TO DECISIONS

1.Specificity of Charges.

Where the history of the investigation was not properly any part of the charges and the charges made against pharmacist were very general in nature but where, nevertheless, pharmacist appeared at the hearing on the charges and did not raise any question whatever that he did not understand the nature, time or place of the accusations or that he was not prepared to defend, where he made no request to have the charges made more specific, and where he did not request that the hearing be continued, pharmacist could not raise the issue for the first time on appeal. Kupper v. Kentucky Bd. of Pharmacy, 666 S.W.2d 729, 1983 Ky. LEXIS 279 ( Ky. 1983 ).

2.Controlled Substance Law Violations.

Repeated violation of the statutes relating to the sale of controlled substances can justify the revocation of the license of the offending pharmacist for unprofessional conduct. Kupper v. Kentucky Bd. of Pharmacy, 666 S.W.2d 729, 1983 Ky. LEXIS 279 ( Ky. 1983 ).

315.135. Registration as pharmacy technician required to assist in the practice of pharmacy — Exemptions.

  1. Effective April 1, 2009, a person shall not assist in the practice of pharmacy unless he or she is duly registered as a pharmacy technician under the provisions of this chapter or is exempt under subsection (2) of this section.
  2. A person may assist in the practice of pharmacy without obtaining the registration required by this section if the person:
    1. Has filed an application with the board in accordance with KRS 315.136 and no more than thirty (30) days has elapsed since the date the applicant was first employed by the pharmacy. The exemption shall not apply if:
      1. The application has been denied;
      2. The person is less than sixteen (16) years of age; or
      3. The person has previously been denied a registration or has had a registration revoked or suspended in any jurisdiction and the registration has not yet been issued or reinstated;
    2. Is in the employ of a son, daughter, spouse, parent, or legal guardian; or
    3. Is participating in a work-study program through an accredited secondary or postsecondary educational institution.

History. Enact. Acts 2008, ch. 148, § 1, effective July 15, 2008.

315.136. Requirements for registration as pharmacy technician.

  1. Every applicant for registration as a pharmacy technician shall be sixteen (16) years of age and of good mental health and moral character and shall file with the board an application in such form and containing such data as the board may reasonably require.
  2. The application fee shall be twenty-five dollars ($25). All applicants for registration as a pharmacy technician who serve only on a voluntary basis as a pharmacy technician with a pharmacy operated by a charitable provider as defined in KRS 142.301 shall not be required to pay the application fee.
  3. The board shall issue a certificate of registration and a pocket registration card to an applicant who meets the requirements for registration.

History. Enact. Acts 2008, ch. 148, § 2, effective July 15, 2008; 2010, ch. 11, § 1, effective July 15, 2010.

315.137. Denial of application for registration as pharmacy technician — Hearing.

  1. The board may deny an application for registration filed under KRS 315.136 if the applicant:
    1. Submits an incomplete application;
    2. Fails to submit the application fee; or
    3. Violates or is deemed to be in violation of any of the provisions of KRS 315.121 .
  2. After denying an application for registration, the board shall set the matter for a hearing in accordance with KRS Chapter 13B, upon the written request of the applicant. The applicant’s request shall be submitted to the board no later than thirty (30) days immediately following the date the letter of denial is postmarked.

History. Enact. Acts 2008, ch. 148, § 3, effective July 15, 2008.

315.138. Renewal of registration as pharmacy technician — Display of registration certificate.

  1. Every pharmacy technician who wishes to renew his or her registration shall pay to the executive director of the board an annual renewal fee of twenty-five dollars ($25) and shall file with the board an application in such form and containing such information that the board reasonably determines necessary to renew the registration. Each pharmacy technician’s registration shall expire on March 31 of each year. A delinquent renewal penalty fee not to exceed twenty-five dollars ($25) may be assessed for each renewal period the registrant fails to remove his or her registration after the expiration of the registration.
  2. Every pharmacy technician shall keep his or her current certificate of registration conspicuously displayed in the technician’s primary place of employment.
  3. In addition to a current certificate of registration, each pharmacy technician shall be issued, upon renewal, a pocket registration card which shall be in the registrant’s possession when the registrant is assisting in the practice of pharmacy. The pocket registration card shall be exhibited upon the request of any member, inspector, or agent of the board.

History. Enact. Acts 2008, ch. 148, § 4, effective July 15, 2008.

315.140. Forfeiture of license. [Repealed.]

Compiler’s Notes.

This section (2625, 2627, 2628: amend. Acts 1966, ch. 260, § 4; 1970, ch. 221, § 11) was repealed by Acts 1982, ch. 191, § 21, effective July 15, 1982.

315.150. Board membership — Appointment — Term — Vacancy — Oath — Quorum.

  1. The board shall consist of six (6) members appointed by the Governor. Five (5) members shall be pharmacists licensed in this state. One (1) member shall be a citizen at large, who is not associated with or financially interested in the practice of pharmacy.
  2. In any calendar year scheduled to be the last full calendar year of a member’s regular term in office, the association shall select and submit to the Governor a list of five (5) pharmacists, each of whom has had at least five (5) years’ experience in the practice of pharmacy, is a resident of the state and in good standing with the board. On or before March 1 of the same year, the society, other state pharmacy organizations, or individuals may submit recommendations to the association for its consideration in selecting the list to be submitted. The Governor shall, before October 1 of the same year, appoint no more than two (2) persons from each list so submitted, to take office on January 1 following. The citizen member shall be appointed by the Governor. No two (2) pharmacist members of the board shall be residents of the same county.
  3. Beginning January 1, 2005, the term of each board member shall be four (4) years. Each member shall serve until his or her successor is appointed and qualified, unless removed for cause. No member shall be appointed to serve for more than two (2) full terms.
  4. The Governor shall fill any vacancy of a pharmacist member from the names last submitted within sixty (60) days after such a vacancy occurs. Any member so appointed shall commence service at the next regularly-scheduled board meeting and shall serve for the remainder of the term vacated.
  5. Each member shall take and subscribe to an oath before a competent officer to perform the duties of the office faithfully and impartially. The oath shall be inscribed upon the member’s commission.
  6. Four (4) members of the board shall constitute a quorum.

History. 2621, 2622: amend. Acts 1948, ch. 222, § 6; 1970, ch. 221, § 12; 1976, ch. 206, § 8; 1982, ch. 191, § 13, effective July 15, 1982; 1996, ch. 257, § 17, effective July 15, 1996; 2004, ch. 96, § 4, effective July 13, 2004.

NOTES TO DECISIONS

1.Removal.

The Governor is not by this section given the power to remove from office, for cause or otherwise, members of the State Board of Pharmacy. Votteler v. Fields, 232 Ky. 322 , 23 S.W.2d 588, 1926 Ky. LEXIS 1 ( Ky. 1926 ).

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

315.155. Removal of board members.

  1. The Governor may remove a member of the board for any of the following reasons:
    1. Refusal or inability of a board member to perform his duties as a member of the board in an efficient, responsible and professional manner;
    2. Misuse of the office by a member of the board to obtain personal, pecuniary, or material gain or advantage for himself or another;
    3. Willful violation of any provision of KRS Chapter 315 or any rule or regulation promulgated thereunder.
  2. Any person may file a complaint with the executive director of the board against a board member alleging specific facts which constitute grounds for removal from the board. The executive director shall transmit a copy of any such complaint to the Governor, the president of the board and the accused board member. Upon a written recommendation of the Governor or two-thirds (2/3) of the members of the board, a hearing shall be conducted before an impartial hearing officer pursuant to KRS Chapter 13B.
  3. The hearing officer shall submit a transcript of the hearing to the Governor with a recommendation based on evidence presented in the hearing. The Governor shall review the transcript to determine if the evidence supports the recommendation, and he shall enter a finding in accordance with such determination.
  4. In the event a board member is removed, his removal shall be effective as of the date of the Governor’s finding and a vacancy shall be deemed to exist. Any board member so removed shall be entitled to appeal the removal in the Franklin Circuit Court.

History. Enact. Acts 1982, ch. 191, § 19, effective July 15, 1982; 1996, ch. 257, § 18, effective July 15, 1996.

315.160. Election of officers — Executive director — Meetings.

  1. The board shall elect annually from its membership a president and such other officers as it deems necessary. These officers shall serve for a term of one (1) year and perform the duties prescribed by the board. No officer shall serve more than two (2) consecutive full terms in each office to which he is elected.
  2. The board shall employ a pharmacist to serve as a full time employee of the board in the position of executive director. The executive director shall be responsible for the performance of the administrative functions of the board and such other duties as the board may direct. The board may employ, upon recommendation of the executive director, such additional assistance as necessary for the proper conduct of board business and in accordance with the rules and regulations of the Kentucky Personnel Cabinet.
  3. The board shall meet at least four (4) times a year to transact business, at such place as it may determine. The board may also meet at the call of the president or a majority of the board members. Each board member shall be given adequate prior notice of any board meeting.

History. 2622: amend. Acts 1970, ch. 221, § 13; 1982, ch. 191, § 14, effective July 15, 1982; 1998, ch. 154, § 89, effective July 15, 1998.

315.170. Compensation and expenses of board members and secretary-treasurer. [Repealed.]

Compiler’s Notes.

This section (2623: amend. Acts 1950, ch. 170, § 1) was repealed by Acts 1966, ch. 260, § 13.

315.171. Compensation of board members and executive director.

  1. Beginning January 1, 1998, each member of the board shall receive not more than one hundred dollars ($100) for each day actively engaged in the service of the board. During the period between July 15, 1996, and January 1, 1998, each board member shall receive not more than seventy-five dollars ($75) for each day actively engaged in the service of the board. Each member shall receive his traveling expenses and all necessary expenses incurred in the performance of his official duties.
  2. The executive director of the board shall receive a reasonable salary determined by the board. He shall also receive his traveling expenses and all necessary expenses incurred in the performance of his official duties.

History. Enact. Acts 1966, ch. 260, § 5; 1982, ch. 191, § 15, effective July 15, 1982; 1996, ch. 257, § 19, effective July 15, 1996.

315.180. Executive director to keep record of persons issued licenses, permits or certificates.

The executive director shall keep a register of the names of those persons to whom a license, permit or certificate has been issued and the dates thereof.

History. 2627: amend. Acts 1970, ch. 221, § 15; 1982, ch. 191, § 16, effective July 15, 1982.

315.190. Functions of board. [Repealed.]

Compiler’s Notes.

This section (2622, 2623, 2634) was repealed by Acts 1966, ch. 260, § 13.

315.191. Powers and duties of board — Advisory council.

  1. The board is authorized to:
    1. Promulgate administrative regulations pursuant to KRS Chapter 13A necessary to regulate and control all matters set forth in this chapter relating to pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers, to the extent that regulation and control of same have not been delegated to some other agency of the Commonwealth, but administrative regulations relating to drugs shall be limited to the regulation and control of drugs sold pursuant to a prescription drug order. However, nothing contained in this chapter shall be construed as authorizing the board to promulgate any administrative regulations relating to prices or fees or to advertising or the promotion of the sales or use of commodities or services;
    2. Issue subpoenas, schedule and conduct hearings, or appoint hearing officers to schedule and conduct hearings on behalf of the board on any matter under the jurisdiction of the board;
    3. Prescribe the time, place, method, manner, scope, and subjects of examinations, with at least two (2) examinations to be held annually;
    4. Issue and renew all licenses, certificates, and permits for all pharmacists, pharmacist interns, pharmacies, pharmacy technicians, wholesale distributors, and manufacturers engaged in the manufacture, distribution, or dispensation of drugs;
    5. Investigate all complaints or violations of the state pharmacy laws and the administrative regulations promulgated by the board, and bring all these cases to the notice of the proper law enforcement authorities;
    6. Promulgate administrative regulations, pursuant to KRS Chapter 13A, that are necessary and to control the storage, retrieval, dispensing, refilling, and transfer of prescription drug orders within and between pharmacists and pharmacies licensed or issued a permit by it;
    7. Perform all other functions necessary to carry out the provisions of law and the administrative regulations promulgated by the board relating to pharmacists, pharmacist interns, pharmacy technicians, pharmacies, wholesale distributors, and manufacturers;
    8. Establish or approve programs for training, qualifications, and registration of pharmacist interns;
    9. Assess reasonable fees, in addition to the fees specifically provided for in this chapter and consistent with KRS 61.870 to 61.884 , for services rendered to perform its duties and responsibilities, including, but not limited to, the following:
      1. Issuance of duplicate certificates;
      2. Mailing lists or reports of data maintained by the board;
      3. Copies of documents; or
      4. Notices of meetings;
    10. Seize any drug or device found by the board to constitute an imminent danger to public health and welfare;
    11. Establish an advisory council to advise the board on administrative regulations and other matters, within the discretion of the board, pertinent to the regulation of pharmacists, pharmacist interns, pharmacy technicians, pharmacies, drug distribution, and drug manufacturing. The council shall consist of nine (9) members selected by the board for terms of up to four (4) years. No member shall serve on the council for more than eight (8) years. Membership of the council shall include nine (9) individuals broadly representative of the profession of pharmacy and the general public. Members shall be selected by the board from a list of qualified candidates submitted by the association, society, or other interested parties; and
    12. Promulgate administrative regulations establishing the qualifications that pharmacy technicians are required to attain prior to engaging in pharmacy practice activities outside the immediate supervision of a pharmacist.
  2. The board shall have other authority as may be necessary to enforce pharmacy laws and administrative regulations of the board including, but not limited to:
    1. Joining or participating in professional organizations and associations organized exclusively to promote improvement of the standards of practice of pharmacy for the protection of public health and welfare or facilitate the activities of the board; and
    2. Receiving and expending funds, in addition to its biennial appropriation, received from parties other than the state, if:
      1. The funds are awarded for the pursuit of a specific objective which the board is authorized to enforce through this chapter, or which the board is qualified to pursue by reason of its jurisdiction or professional expertise;
      2. The funds are expended for the objective for which they were awarded;
      3. The activities connected with or occasioned by the expenditure of the funds do not interfere with the performance of the board’s responsibilities and do not conflict with the exercise of its statutory powers;
      4. The funds are kept in a separate account and not commingled with funds received from the state; and
      5. Periodic accountings of the funds are maintained at the board office for inspection or review.
  3. In addition to the sanctions provided in KRS 315.121 , the board or its hearing officer may direct any licensee, permit holder, or certificate holder found guilty of a charge involving pharmacy, or drug laws, rules, or administrative regulations of the state, any other state, or federal government, to pay to the board a sum not to exceed the reasonable costs of investigation and prosecution of the case, not to exceed twenty-five thousand dollars ($25,000).
  4. In an action for recovery of costs, proof of the board’s order shall be conclusive proof of the validity of the order of payment and any terms for payment.

History. Enact. Acts 1966, ch. 260, § 1; 1970, ch. 221, § 16; 1982, ch. 191, § 17, effective July 15, 1982; 1996, ch. 257, § 20, effective July 15, 1996; 2005, ch. 61, § 4, effective June 20, 2005; 2008, ch. 148, § 10, effective July 15, 2008; 2012, ch. 73, § 13, effective July 12, 2012; 2015 ch. 56, § 3, effective June 24, 2015; 2016 ch. 103, § 14, effective July 15, 2016.

Legislative Research Commission Notes.

(7/12/2012). Under the authority of KRS 7.136(1), the Reviser of Statutes has corrected manifest clerical or typographical errors in this statute during codification. The meaning of the text was not changed.

Opinions of Attorney General.

The Kentucky Board of Pharmacy does have the right to reinstate the license of a pharmacist whose license has been previously revoked; however, where a registered pharmacist license has been revoked and as a consequence of such revocation has failed to have an annual renewal certificate for five (5) consecutive years the Board of Pharmacy could not reinstate the license of such person without first requiring that the pharmacist pass a satisfactory examination as required by KRS 315.120 . OAG 76-455 .

The Case Review Committee of the Kentucky Board of Pharmacy is a public agency for purposes of the Open Meetings Act; the Kentucky Board of Pharmacy is a public agency within the meaning of KRS 61.805(2)(a), and any committee established, created, and controlled by it is a public agency pursuant to KRS 61.805(2)(g). OAG 04-OMD-148.

Research References and Practice Aids

Cross-References.

Certified public record to be prima facie evidence in proceedings, KRE 1005.

Statutory department to make reports to Governor, KRS 12.110 .

315.192. Board of Pharmacy not to prohibit sale and dispensing of laetrile. [Repealed]

History. Enact. Acts 1980, ch. 354, § 10, effective July 15, 1980; repealed by 2017 ch. 80, § 58, effective June 28, 2017.

315.193. Board members’ immunity for official acts.

  1. Members of the board, its agents, and employees shall be immune from suit in any action, civil, or criminal, which is based upon any official act or acts performed by them in good faith.
  2. Any pharmacist, whose duty it is to review or evaluate the acts of other pharmacists and who serves on any committee, board, commission or other entity affiliated with a governmental or quasi-governmental agency or with a medical facility, shall not be required to respond in damages for any official action taken by him in good faith as a member thereof.

History. Enact. Acts 1974, ch. 310, § 4; 1996, ch. 257, § 21, effective July 15, 1996.

315.195. Agency fund — Use.

  1. All license, permit, and certificate fees, charges, fines, and other moneys collected by the board under the provisions of this chapter, and the administrative regulations of the board, shall be deposited into the State Treasury and credited to a trust and agency fund to be used by the board in carrying out the provisions of this chapter, and are hereby appropriated for those purposes.
  2. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse but shall be carried forward into the succeeding fiscal year.

History. Enact. Acts 1966, ch. 260, § 11; 1982, ch. 191, § 18, effective July 15, 1982; 1996, ch. 257, § 22, effective July 15, 1996; 2012, ch. 73, § 14, effective July 12, 2012.

315.200. For whom prescriptions to be refilled.

No prescription shall be knowingly refilled except for the person for whom it was written.

History. 2060a-6.

Research References and Practice Aids

Cross-References.

Dentists may fill prescriptions of, KRS 313.035 .

Infant, sale of poison to prohibited, KRS 217.450 .

315.202. Exercise of judgment by pharmacist to dispense varying quantities of prescription drug per fill.

  1. Notwithstanding any statute to the contrary, unless the practitioner has specified on the prescription drug order that dispensing a prescription for a noncontrolled maintenance drug in an initial amount followed by periodic refills is medically necessary, a pharmacist may exercise professional judgment to dispense varying quantities of the prescribed drug per fill up to the total number of dosage units as authorized by the practitioner on the prescription drug order, including any refills, up to a ninety (90) day supply.
  2. This section does not apply to controlled substances or to any drugs for which a report is required to the electronic system for monitoring controlled substances established in KRS 218A.202 .

HISTORY: 2017 ch. 113, § 1, effective June 29, 2017.

315.205. Notification of immunization to minor’s primary care provider.

Upon the request of an individual or his or her parent or guardian, a pharmacist who administers an immunization to an individual who is nine (9) to seventeen (17) years of age , as authorized in KRS 315.010(22), shall provide notification of the immunization to the individual’s primary care provider.

HISTORY: Enact. Acts 2010, ch. 37, § 2, effective July 15, 2010; 2011, ch. 81, § 2, effective June 8, 2011; 2016 ch. 105, § 3, effective July 15, 2016; 2017 ch. 44, § 2, effective June 29, 2017; 2017 ch. 136, § 11, effective June 29, 2017.

Legislative Research Commission Notes.

(6/29/2017). This statute was amended by 2017 Ky. Acts chs. 44 and 136, which do not appear to be in conflict and have been codified together.

315.210. Reciprocity.

The board may exchange license certificates with other states so as to allow registered pharmacists of other states to practice pharmacy in this state under regulations prescribed by the board.

History. 2619a-1: amend. Acts 1970, ch. 221, § 17.

NOTES TO DECISIONS

1.Residency Requirement.

Rule of Board requiring applicants for reciprocal registration to have been bona fide residents and engaged in retail drug business in other state for year preceding examination there was valid; purpose was to prevent Kentucky citizens from evading examination in state by going to other states, obtaining certificate and immediately demanding reciprocal registration. King v. Kentucky Board of Pharmacy, 160 Ky. 74 , 169 S.W. 600, 1914 Ky. LEXIS 414 ( Ky. 1914 ).

315.220. Powers of representatives of board.

  1. For the purpose of enforcing the provisions of this chapter, officers, agents, and inspectors of the board shall have the power and authority to:
    1. Administer oaths;
    2. Enter upon premises of all facilities issued a permit or license by the board, at all reasonable times for the purpose of:
      1. Making inspections and carrying out the provisions of this chapter;
      2. Conducting investigations;
      3. Requiring production of books, papers, documents, records, or other evidence for inspection or copying;
      4. Seizing evidence; or
      5. Securing oral or written statements;
    3. Employ special investigators;
    4. Expend funds for the purpose of obtaining evidence; and
    5. Issue subpoenas.
  2. As used in subsection (1) of this section, “records” includes, but is not limited to, patient records.
  3. Any decision to inspect, copy, or seize books, papers, documents, records, or other evidence shall be at the discretion of the officer, agent, or inspector of the board.
  4. Inspection, copying, or seizure of books, papers, documents, records, or other evidence does not affect the confidential nature of those records, and the board shall maintain the records so as to protect the confidentiality of the records.

History. Enact. Acts 1966, ch. 260, § 9; 1996, ch. 257, § 23, effective July 15, 1996; 2012, ch. 73, § 15, effective July 12, 2012.

315.230. Restraint of violations — Legal representation.

  1. Notwithstanding the existence or pursuit of any other remedy (civil or criminal) the board is hereby authorized to institute and maintain actions to restrain and enjoin any violation of this chapter, or the rules and regulations of the board.
  2. City, county and Commonwealth’s attorneys, and the Attorney General, shall within their respective jurisdictions represent the board, its officers, agents, and inspectors, in the enforcement of the provisions of this chapter, and the rules and regulations of the board, but when the board deems it necessary, it may employ at its discretion, special attorneys to assist the board, or its officers, agents, or inspectors, and may pay reasonable compensation, fees and other costs from any unexpended funds.

History. Enact. Acts 1966, ch. 260, § 10.

Research References and Practice Aids

Kentucky Bench & Bar.

Advisory Opinions, Vol. 46, No. 3, July, 1982, Ky. Bench & Bar 44.

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

315.235. Attorney General’s jurisdiction to investigate and prosecute violators of pharmacy laws.

  1. The Attorney General has concurrent jurisdiction with the Commonwealth’s attorneys of this state for the enforcement of the provisions of this chapter.
  2. The Attorney General may investigate and prosecute a practitioner or any other person who violates the provisions of:
    1. This chapter; and
    2. Any other statute if the violation is committed by the practitioner or person in the course of committing a violation described in paragraph (a) of this subsection.
  3. When acting pursuant to this section, the Attorney General may commence his investigation and file a criminal action without leave of court, and the Attorney General has exclusive charge of the conduct of the prosecution.

History. Enact. Acts 2005, ch. 150, § 16, effective June 20, 2005.

315.295. Automated pharmacy system in residential hospice facilities.

  1. As used in this section and KRS 315.300 :
    1. “Automated pharmacy system” means a mechanical system that delivers prescribed over-the-counter and legend drugs, and controlled substances received from a pharmacy licensed in Kentucky that maintains transaction information; and
    2. “Residential hospice facility” means a facility licensed under KRS Chapter 216B that provides residential skilled nursing care, pain management, and treatment for acute and chronic conditions for terminally ill patients.
  2. A pharmacy may provide pharmacy services to a residential hospice facility through the use of an automated pharmacy system under the supervision of a licensed pharmacist pursuant to the policies, procedures, and protocol established by the Kentucky Board of Pharmacy. The supervising pharmacist shall not be required to be physically present at the location of the automated pharmacy system and supervision may be provided electronically.
  3. Drugs stored in bulk or unit dose in an automated pharmacy system in a residential hospice facility shall be considered the inventory of the pharmacy providing services to the facility and drugs delivered through the automated pharmacy system shall be considered dispensed by the pharmacy.
  4. The Kentucky Board of Pharmacy shall promulgate administrative regulations pursuant to KRS Chapter 13A to implement the provisions of this section that shall include but not be limited to:
    1. Accuracy of the automated pharmacy system;
    2. Security of the system;
    3. Recordkeeping, including but not limited to electronic signatures of authorized users;
    4. Inventory management;
    5. Labeling or reporting requirements that include identification of the dispensing pharmacy, the prescription number, the name of the patient, and the name of the prescriber; and
    6. Training for authorized users.
  5. Nothing in this section shall be construed to limit or impede pharmacy practice in Kentucky.

History. Enact. Acts 2006, ch. 153, § 1, effective July 12, 2006.

315.300. Placement of drugs by pharmacy with authorized employees of home health agencies and hospices — Protocol — Allowable legend drugs — Administrative regulations.

  1. A pharmacy shall be allowed to place drugs with a home health agency’s authorized employees and with a hospice’s authorized employees for the betterment of public health. The pharmacy shall remain the legal owner of the drugs.
  2. A written agreement between the pharmacy and home health agency or hospice shall document the protocol for the handling and storage of the drugs by authorized employees and shall be approved by the pharmacist in charge.
  3. The pharmacist in charge shall review the protocol to assure that safe, secure and accountable handling of controlled legend drugs is maintained under the protocol before giving approval.
  4. The pharmacist in charge or a pharmacist designee shall physically inspect and review the drug storage and handling at the home health agency and the hospice not less than annually.
  5. The home health agency and the hospice protocol shall include but not be limited to the following:
    1. Safe and secure storage of drugs;
    2. Access to drugs limited to authorized employees;
    3. Records of drugs checked out to authorized employees and records of drugs, amounts, and to whom and by whom administered;
    4. Prompt notification of the pharmacy when a drug is used, including the prescriber, patient, drug, dosage form, directions for use and other pertinent information;
    5. Billing information;
    6. Procedures for handling drugs beyond their expiration date; and
    7. Inventory control.
  6. The following legend drugs shall be allowed under these agreements:
    1. Sterile water for injection or irrigation;
    2. Sterile saline solution for injection or irrigation;
    3. Heparin flush solution;
    4. Diphenhydramine injectable;
    5. Epinephrine injectable;
    6. Glucagon;
    7. Influenza vaccine; and
    8. Pneumonia vaccine.
  7. As used in this section:
    1. “Authorized employee” means any employee of a home health agency or hospice who, in the course of the employee’s duties, is licensed by the employee’s appropriate licensing agency to administer legend drugs;
    2. “Home health agency” means an entity required to be licensed under KRS Chapter 216; and
    3. “Hospice” means an entity authorized to hold itself out to the public as a hospice or as a licensed hospice pursuant to KRS Chapter 216.
  8. The cabinet shall promulgate administrative regulations to implement the provisions of this section.
  9. Nothing in this section shall preclude or prevent a pharmacy from providing pharmacy services through an automated pharmacy system to a residential hospice facility in accordance with KRS 315.295 .

History. Enact. Acts 1998, ch. 531, § 5, effective July 15, 1998; 2006, ch. 153, § 2, effective July 12, 2006.

315.310. Duty of treating pharmacist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating pharmacist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of pharmacy services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 15, effective July 14, 2000.

315.320. Illegal operation of out-of-state pharmacy — Exemption for lapsed license or permit — Penalty — Exceptions from section.

  1. A person or pharmacy is guilty of a Class C felony if the person or pharmacy, located inside or outside this Commonwealth, is not licensed by the Commonwealth of Kentucky to engage in the practice of pharmacy and knowingly:
    1. Communicates with a person in this Commonwealth; and
    2. Uses or attempts to use such communication or information, in whole, or in part, to:
      1. Fill or refill a prescription for a prescription drug for the other person; or
      2. Deliver, cause, allow, or aid in the delivery of a controlled substance, imitation controlled substance, counterfeit substance or prescription drug to the other person.
  2. A person or pharmacy is guilty of a Class B felony if the substance or drug dispensed in subsection (1) of this section:
    1. Is classified in Schedule I; or
    2. Proximately causes serious physical injury or the death of the intended recipient of the substance or drug or any other person.
  3. The court shall not grant probation to or suspend the sentence of a person punished pursuant to subsection (2) of this section.
  4. A person who knowingly aids another in any act or transaction that violates the provisions of subsection (1) of this section is guilty of a Class C felony.
  5. A person who knowingly aids another in any act or transaction that violates the provisions of subsection (2) of this section is guilty of a Class B felony.
  6. A person or pharmacy may be prosecuted, convicted, and punished for a violation of this section whether or not the person is prosecuted, convicted, or punished for a violation of any other statute based upon the same act or transaction.
  7. This section shall not apply to a licensed pharmacist or permitted pharmacy that inadvertently allows its license or permit issued by the Kentucky Board of Pharmacy to lapse for a period of less than thirty (30) days.
  8. This section shall not apply to authorized agents of a pharmacy with a valid permit issued by the Kentucky Board of Pharmacy.
  9. This section shall not apply to an authorized agent of a pharmacy that inadvertently allows its permit issued by the Kentucky Board of Pharmacy, to lapse for a period of less than thirty (30) days.
  10. Unless a more specific penalty applies within this chapter, anyone who uses the Internet to communicate and facilitate the sale of controlled substances, except as specifically provided for in this chapter, may be prosecuted under KRS Chapter 218A.

History. Enact. Acts 2005, ch. 150, § 14, effective June 20, 2005; 2007, ch. 124, § 11, effective June 26, 2007.

Research References and Practice Aids

Cross-References.

Maximum sentence for Class B and Class C felonies, see KRS 532.060 .

315.325. Exemption from pharmacy licensing requirements for common carriers transporting drugs.

The provisions of KRS 315.320 do not apply to a person who is:

  1. A common or contract carrier or warehouseman, or any employee thereof, unless the person is acting outside of the usual course of his business or employment or knows or has reasonable cause to believe that the act or transaction is unlawful; or
  2. An employee or agent of a pharmacist or pharmacy licensed or permitted pursuant to this chapter and acting in accordance with KRS Chapter 218A, unless the person is acting outside of the usual course of his business or employment or knows or has reasonable cause to believe that the act or transaction is unlawful; or
  3. The intended recipient of a substance or drug, unless the intended recipient knows or has reasonable cause to believe that the act or transaction is unlawful.

History. Enact. Acts 2005, ch. 150, § 15, effective June 20, 2005.

315.330. Seizure and forfeiture of illegal drug shipments.

  1. Any drug which is ordered or shipped in violation of any provision of this chapter or KRS Chapter 218A shall be considered as contraband and may be seized by any peace officer or any employee of the Board of Pharmacy designated to enforce the provisions of this chapter or KRS Chapter 218A.
  2. The officer, prior to seizing the drug, shall make a reasonable effort to determine:
    1. The person who ordered the drug;
    2. The pharmacy from which the drug was ordered;
    3. The shipper of the drug;
    4. The intended recipient of the drug; and
    5. Whether or not the shipment was legal.
  3. Unless the matter is the subject of a criminal prosecution, if, after thirty (30) days of investigation, the officer seizing the drug cannot adequately determine the information required by subsection (2) of this section, the drug that has been seized shall be considered as abandoned and escheat to the Commonwealth.
  4. If a drug seized pursuant to this section is the subject of a criminal investigation, the drug shall be retained as evidence and, if there is a conviction of any person or pharmacy relating to the ordering or shipment of the drug, the drug shall be forfeited to the Commonwealth. If the defendant is found not guilty or the charges are dismissed with prejudice, the drug shall be returned to the defendant.
  5. Drugs which have been seized and which have been forfeited or abandoned and escheat to the Commonwealth shall be destroyed.

History. Enact. Acts 2005, ch. 150, § 17, effective June 20, 2005.

315.335. Reporting of robbery, theft, or missing shipment of controlled substances.

  1. A pharmacy located in Kentucky which has a robbery or theft of a controlled substance shall immediately following the robbery or discovery of the theft report the incident to a law enforcement agency serving the geographic area in which the pharmacy is located.
  2. A pharmacy which has mailed or shipped a controlled substance to a location in Kentucky and learns that the mailing or shipment did not arrive shall within three (3) business days report that nonreceipt to:
    1. The Department of Kentucky State Police; and
    2. If applicable, the United States Postal Inspection Service.
    1. The reports required pursuant to subsections (1) and (2) of this section shall contain at a minimum, if known and applicable: (3) (a) The reports required pursuant to subsections (1) and (2) of this section shall contain at a minimum, if known and applicable:
      1. The name, National Drug Code, and quantity of each controlled substance involved;
      2. A description of the circumstances of the loss;
      3. The names and contact information of any witnesses; and
      4. The name and description of any person suspected of committing the offense or causing the loss.
    2. The Board of Pharmacy may by administrative regulation authorize a pharmacy to submit a completed DEA 106 form or a successor form in lieu of the data elements required by this subsection.

History. Enact. Acts 2012 (1st Ex. Sess.), ch. 1, § 11, effective July 20, 2012; 2013, ch. 2, § 5, effective March 4, 2013.

315.340. Permit for operation of in-state outsourcing facility doing business in Kentucky — Requirements — Administrative regulations.

    1. A person shall not operate an outsourcing facility within this Commonwealth, physically or by means of the Internet, facsimile, phone, mail, or any other means, without first obtaining a permit from the board. (1) (a) A person shall not operate an outsourcing facility within this Commonwealth, physically or by means of the Internet, facsimile, phone, mail, or any other means, without first obtaining a permit from the board.
    2. An application for a permit to operate an outsourcing facility shall be made to the board upon forms provided by the board and shall contain such information as the board requires, which may include affirmative evidence of the ability to comply with the requirements of this chapter and the administrative regulations promulgated by the board.
    3. Each application shall be accompanied by a nonrefundable permit fee to be set by administrative regulation promulgated by the board, not to exceed five hundred dollars ($500).
    1. As a prerequisite to obtaining or renewing a permit from the board, the outsourcing facility shall: (2) (a) As a prerequisite to obtaining or renewing a permit from the board, the outsourcing facility shall:
      1. Register as an outsourcing facility with the United States Secretary of Health and Human Services in accordance with 21 U.S.C. sec. 353 b; and
      2. Submit a copy of a current inspection report resulting from an inspection conducted by the United States Food and Drug Administration that indicates compliance with the requirements of state and federal law and regulations, including all applicable guidance documents and Current Good Manufacturing Practices published by the United States Food and Drug Administration.
      1. The inspection report required pursuant to paragraph (a)2. of this subsection shall be deemed current for the purposes of this section if the inspection was conducted no more than: (b) 1. The inspection report required pursuant to paragraph (a)2. of this subsection shall be deemed current for the purposes of this section if the inspection was conducted no more than:
        1. One (1) year prior to the date of submission of an application for a permit to the board; or
        2. Two (2) years prior to the date of submission of an application for renewal of a permit to the board.
      2. If the outsourcing facility has not been inspected by the United States Food and Drug Administration within the period required under subparagraph 1. of this paragraph, the board may:
        1. Accept an inspection report or other documentation from another entity that is satisfactory to the board; or
        2. Cause an inspection to be conducted by its duly authorized agent and charge an inspection fee in an amount sufficient to cover the costs of the inspection.
    1. Upon receipt of an application for a permit to operate an outsourcing facility accompanied by the permit fee prescribed by administrative regulation, the board shall: (3) (a) Upon receipt of an application for a permit to operate an outsourcing facility accompanied by the permit fee prescribed by administrative regulation, the board shall:
      1. Issue a permit if the outsourcing facility meets the requirements of this chapter and the administrative regulations promulgated by the board; or
      2. Refuse to issue or renew any permit to operate if the outsourcing facility fails to meet the requirements of this chapter and the administrative regulations promulgated by the board.
    2. The board shall act upon an application for a permit to operate within thirty(30) days after the receipt of the application. The board may issue a temporary permit to operate in any instance where it considers additional time necessary for investigation and consideration before taking final action upon the application. The temporary permit shall be valid for a period of thirty (30) days, unless extended.
  1. A separate permit to operate shall be required for each outsourcing facility.
    1. Each permit to operate an outsourcing facility, unless suspended or revoked, shall expire on June 30 following its date of issuance and be renewable annually thereafter upon proper application accompanied by the renewal fee as established by administrative regulations promulgated by the board. The renewal fee shall not exceed five hundred dollars ($500). (5) (a) Each permit to operate an outsourcing facility, unless suspended or revoked, shall expire on June 30 following its date of issuance and be renewable annually thereafter upon proper application accompanied by the renewal fee as established by administrative regulations promulgated by the board. The renewal fee shall not exceed five hundred dollars ($500).
    2. An additional nonrefundable fee not to exceed the annual renewal fee may be assessed and set by administrative regulation as a delinquent renewal penalty for failure to renew by June 30 of each year.
  2. Permits to operate shall be issued only for the premises and persons named in the application and shall not be transferable, except that a buyer may operate the outsourcing facility under the permit of the seller pending a decision by the board on an application, which shall be filed by the buyer with the board at least five (5) days prior to the date of sale.
  3. The board may promulgate administrative regulations to ensure:
    1. That proper equipment and reference material is on hand considering the nature of the pharmaceutical practice conducted at the particular outsourcing facility; and
    2. Health and sanitation standards for areas within outsourcing facilities that adhere to Current Good Manufacturing Practices published by the United States Food and Drug Administration.
  4. Each outsourcing facility shall comply with KRS 218A.202 .
  5. Each outsourcing facility shall compound in compliance with the requirements of state and federal law and regulations, including all applicable guidance documents and Current Good Manufacturing Practices published by the United States Food and Drug Administration.
  6. A pharmacist may temporarily operate an outsourcing facility in an area not designated on the permit as authorized in KRS 315.500 .

HISTORY: 2017 ch. 136, § 2, effective June 29, 2017.

315.342. Permit for operation of out-of-state outsourcing facility doing business in Kentucky — Requirements — Administrative regulations.

    1. Each out-of-state outsourcing facility that does business physically or by means of the Internet, facsimile, phone, mail, or any other means, inside this Commonwealth, shall hold a current outsourcing facility permit issued by the board. (1) (a) Each out-of-state outsourcing facility that does business physically or by means of the Internet, facsimile, phone, mail, or any other means, inside this Commonwealth, shall hold a current outsourcing facility permit issued by the board.
    2. An application for a permit to operate an out-of-state outsourcing facility shall be made to the board upon forms provided by it and shall contain such information as the board requires, which may include affirmative evidence of ability to comply with reasonable standards and regulations as may be prescribed by the board.
    3. Each application shall be accompanied by a permit fee to be set by administrative regulation promulgated by the board. The fee shall not exceed:
      1. Two hundred fifty dollars ($250); or
      2. The current in-state outsourcing facility permit.
    1. As a prerequisite to obtaining or renewing a permit from the board, the out-of-state outsourcing facility shall: (2) (a) As a prerequisite to obtaining or renewing a permit from the board, the out-of-state outsourcing facility shall:
      1. Register as an outsourcing facility with the United States Secretary of Health and Human Services in accordance with 21 U.S.C. sec. 353 b; and
      2. Submit a copy of a current inspection report resulting from an inspection conducted by the United States Food and Drug Administration that indicates compliance with the requirements of state and federal law and regulations, including all applicable guidance documents and Current Good Manufacturing Practices published by the United States Food and Drug Administration.
      1. The inspection report required pursuant to paragraph (a)2. of this subsection shall be deemed current for the purposes of this section if the inspection was conducted no more than: (b) 1. The inspection report required pursuant to paragraph (a)2. of this subsection shall be deemed current for the purposes of this section if the inspection was conducted no more than:
        1. One (1) year prior to the date of submission of an application for a permit to the board; or
        2. Two (2) years prior to the date of submission of an application for renewal of a permit to the board.
      2. If the out-of-state outsourcing facility has not been inspected by the United States Food and Drug Administration within the required period required under subparagraph 1. of this paragraph, the board may:
        1. Accept an inspection report or other documentation from another entity that is satisfactory to the board; or
        2. Cause an inspection to be conducted by its duly authorized agent and may charge an inspection fee in an amount sufficient to cover the costs of the inspection.
    1. Upon receipt of an application for a permit to operate an out-of-state outsourcing facility, accompanied by the permit fee required by subsection (1) of this section, the board shall: (3) (a) Upon receipt of an application for a permit to operate an out-of-state outsourcing facility, accompanied by the permit fee required by subsection (1) of this section, the board shall:
      1. Issue a permit if the out-of-state outsourcing facility meets the requirements of this chapter and the administrative regulations promulgated by the board; or
      2. Refuse to renew any permit to operate unless the out-of-state outsourcing facility meets the requirements of this chapter and the administrative regulations promulgated by the board.
    2. The board shall act upon an application for a permit to operate within thirty (30) days after the receipt thereof. The board may issue a temporary permit to operate in any instance where it considers additional time necessary for investigation and consideration before taking final action upon the application. The temporary permit shall be valid for a period of thirty (30) days, unless extended.
  1. A separate permit to operate shall be required for each out-of-state outsourcing facility.
  2. Each out-of-state outsourcing facility granted an out-of-state outsourcing facility permit by the board shall disclose to the board the location, names, and titles of all its principal corporate officers and all its pharmacists who are dispensing prescription drugs to entities within the Commonwealth. A report containing this information shall be made to the board on an annual basis and within thirty (30) days after any change of office, corporate officer, or pharmacist.
    1. An out-of-state outsourcing facility granted an out-of-state outsourcing facility permit shall comply with all requests for information within three (3) business days of a written request by the board or its agents. (6) (a) An out-of-state outsourcing facility granted an out-of-state outsourcing facility permit shall comply with all requests for information within three (3) business days of a written request by the board or its agents.
    2. An out-of-state outsourcing facility shall maintain at all times a valid unexpired permit, license, or registration to conduct the outsourcing facility in compliance with the laws of the jurisdiction in which it is a resident.
    3. As a prerequisite to seeking a permit from the board, the out-of-state outsourcing facility shall submit a copy of the most recent inspection report resulting from an inspection conducted by the regulatory or licensing agency of the jurisdiction in which it is located. Thereafter, the out-of-state outsourcing facility granted a permit shall submit to the board a copy of any subsequent inspection report of the outsourcing facility conducted by the regulatory or licensing body of the jurisdiction in which it is located.
  3. Each out-of-state outsourcing facility granted an out-of-state outsourcing facility permit by the board shall maintain records of any controlled substances or dangerous drugs.
  4. Each out-of-state outsourcing facility shall, during its regular hours of operation, but not less than five (5) days per week and for a minimum of forty (40) hours per week, provide a toll-free telephone service directly to the pharmacist in charge of the out-of-state outsourcing facility for the purpose of facilitating communication. A toll-free number shall be placed on a label affixed to each container of drugs dispensed to an entity within the Commonwealth.
  5. An out-of-state outsourcing facility shall comply with KRS 218A.202 .
  6. An out-of-state outsourcing facility doing business within the Commonwealth of Kentucky shall use the address on file with the board as the return address on the labels of any package shipped into or within the Commonwealth. The return address shall be placed on the package in a clear and prominent manner.
    1. A permit to operate an out-of-state outsourcing facility, unless suspended or revoked, shall expire on June 30 following its date of issuance and be renewable annually thereafter upon proper application accompanied by the nonrefundable renewal fee established by subsection (1) of this section. (11) (a) A permit to operate an out-of-state outsourcing facility, unless suspended or revoked, shall expire on June 30 following its date of issuance and be renewable annually thereafter upon proper application accompanied by the nonrefundable renewal fee established by subsection (1) of this section.
    2. An additional nonrefundable fee not to exceed the annual renewal fee may be assessed and set by administrative regulation as a delinquent renewal penalty for failure to renew by June 30 of each year.
  7. Permits to operate shall be issued only for the premises and persons named in the application and shall not be transferable, except that a buyer may operate the out-of-state outsourcing facility under the permit of the seller pending a decision by the board on an application which shall be filed by the buyer with the board at least five (5) days prior to the date of sale.
  8. The board may promulgate administrative regulations to ensure that proper equipment and reference material is on hand considering the nature of the pharmaceutical practice conducted at the particular out-of-state outsourcing facility.
  9. Each out-of-state outsourcing facility shall compound in compliance with the requirements of state and federal law and regulations, to include all applicable guidance documents and Current Good Manufacturing Practices published by the United States Food and Drug Administration.

HISTORY: 2017 ch. 136, § 3, effective June 29, 2017.

315.350. License required for medical gas wholesaler operating within state — Fee — Recordkeeping — Penalty for noncompliance — Administrative regulations.

  1. A medical gas wholesaler, whether located within the Commonwealth or operating within the Commonwealth from a location outside the Commonwealth, shall be licensed by the board. Each license application shall be accompanied by a fee which shall:
    1. Be prescribed by administrative regulation promulgated by the board in an amount not to exceed two hundred fifty dollars ($250); and
    2. Not be increased by more than twenty-five dollars ($25) per year.
  2. A medical gas wholesaler shall be required to maintain accurate records of all drugs handled. Records shall be made available to agents of the board for inspection upon request.
  3. Failure to report to the board or willful submission of inaccurate information shall be grounds for disciplinary action under KRS 315.121 .
  4. The board shall promulgate administrative regulations to specify the criteria for licensure and discipline of a medical gas wholesaler.

HISTORY: 2017 ch. 136, § 10, effective June 29, 2017.

Distribution of Prescription Drugs

315.400. Definitions for KRS 315.400 to 315.412.

As used in KRS 315.400 to 315.412 :

  1. “Authorized distributor of record” means a wholesale distributor that:
    1. Has established an ongoing relationship with a manufacturer to distribute the manufacturer’s prescription drug. An ongoing relationship exists between a wholesale distributor and a manufacturer if the wholesale distributor, including any affiliated group of the wholesale distributor as defined in Section 1504 of the Internal Revenue Code, has a written agreement for distribution in effect; and
    2. Is listed on the manufacturer’s current list of authorized distributors of record;
  2. “Co-licensed product” means a prescription drug manufactured by two (2) or more co-licensed partners;
  3. “Counterfeit prescription drug” means a drug which, or the container or labeling of which, without authorization, bears the trademark, trade name, or other identifying mark, imprint, or device, or any likeness thereof, of a drug manufacturer, processor, packer, or distributor other than the person or persons who in fact manufactured, processed, packed, or distributed the drug and which thereby falsely purports or is represented to be the product of, or to have been packed or distributed by, the other drug manufacturer, processor, packer, or distributor;
  4. “Dispenser” means:
    1. A retail pharmacy, hospital pharmacy, a group of chain pharmacies under common ownership and control that do not act as a wholesale distributor, or any other person authorized by law to dispense or administer prescription drugs, and the affiliated warehouse distribution centers of such entities under common ownership and control that do not act as a wholesale distributor; but
    2. Does not include a person who dispenses only products to be used in animals in accordance with 21 U.S.C. sec. 360 b(a)(4) and (5);
  5. “Distribution” or “distribute” means the sale, purchase, trade, delivery, handling, storage, or receipt of a product, and does not include the dispensing of a product pursuant to a prescription executed in accordance with Section 503(b)(1) of the federal Drug Quality and Security Act or the dispensing of a product approved under Section 512(b) of the federal Drug Quality and Security Act;
  6. “Drop shipment” means a product not physically handled or stored by a wholesale distributor and that is exempt from Section 582 of the federal Drug Quality and Security Act, except the notification requirements under clauses (ii), (iii), and (iv) of subsection (c)(4)(B) of Section 582 of the federal Drug Quality and Security Act, provided that the manufacturer, repackager, or other wholesale distributor that distributes the product to the dispenser by means of a drop shipment for the wholesale distributor includes on the transaction information and transaction history to the dispenser the contact information of the wholesale distributor and provides the transaction information, transaction history, and transaction statement directly to the dispenser. Providing administrative services, including the processing of orders and payments, shall not by itself be construed as being involved in the handling, distribution, or storage of a product;
  7. “Emergency medical reasons” includes but is not limited to:
    1. Transfers of a prescription drug between health-care entities or between a health-care entity and a retail pharmacy to alleviate a temporary shortage of a prescription drug arising from delays in or interruptions of the regular distribution schedules;
    2. Sales of drugs for use in the treatment of acutely ill or injured persons to nearby emergency medical services providers, firefighting organizations, or licensed health-care practitioners in the same marketing or service area;
    3. The provision of emergency supplies of drugs to nearby nursing homes, home health agencies, or hospice organizations for emergency use when necessary drugs cannot be obtained; or
    4. Transfers of prescription drugs by a retail pharmacy to another retail pharmacy to alleviate a temporary shortage;
  8. “End user” means a patient or consumer that uses a prescription drug as prescribed by an authorized health-care professional;
  9. “Exclusive distributor” means the wholesale distributor that directly purchased the product from the manufacturer and is the sole distributor of that manufacturer’s product to a subsequent repackager, wholesale distributor, or dispenser;
  10. “FDA” means the United States Food and Drug Administration and any successor agency;
  11. “Illegitimate product” means a product for which credible evidence shows that the product:
    1. Is counterfeit, diverted, or stolen;
    2. Is intentionally adulterated so that the product would result in serious adverse health consequences or death to humans;
    3. Is the subject of a fraudulent transaction; or
    4. Appears otherwise unfit for distribution so that the product would be reasonably likely to result in serious adverse health consequences or death to humans;
  12. “Manufacturer” means the same as defined in KRS 315.010 ;
  13. “Medical gas wholesaler” means a person licensed to distribute, transfer, wholesale, deliver, or sell medical gases on drug orders to suppliers or other entities licensed to use, administer, or distribute medical gas;
  14. “Pharmacy warehouse” means a physical location for prescription drugs that acts as a central warehouse and performs intracompany sales or transfers of prescription drugs to a group of pharmacies under common ownership and control;
  15. “Prescription drug” means the same as defined in KRS 315.010 ;
  16. “Repackager” means a person who owns or operates an establishment that repacks and relabels a product or package for further sale, or distribution without a further transaction;
  17. “Reverse distributor” means every person who acts as an agent for pharmacies, drug wholesalers, manufacturers, or other entities by receiving, taking inventory, and managing the disposition of outdated or nonsalable drugs;
  18. “Third-party logistics provider” means an entity that contracts with a manufacturer, wholesale distributor, repackager, or dispenser to provide and coordinate warehousing or other logistics services on behalf of a manufacturer, wholesale distributor, repackager, or dispenser, but does not take title to the drug or have responsibility to direct the sale of the drug. A third-party logistics provider shall be considered as part of the normal distribution channel;
  19. “Transaction” means the transfer of product between persons in which a change of ownership occurs, with the following exemptions:
    1. Intracompany distribution of any product between members of an affiliate or within a manufacturer;
    2. The distribution of a product among hospitals or other health care entities that are under common control;
    3. The distribution of a product for emergency medical reasons, including a public health emergency declaration pursuant to Section 319 of the federal Public Health Service Act, except that a drug shortage not caused by a public health emergency shall not constitute an emergency medical reason;
    4. The dispensing of a product pursuant to a prescription executed in accordance with Section 503(b)(1) of the Federal Food, Drug, and Cosmetic Act;
    5. The distribution of product samples by a manufacturer or a licensed wholesale distributor in accordance with Section 503(d) of the Federal Food, Drug, and Cosmetic Act;
    6. The distribution of blood or blood components intended for transfusion;
    7. The distribution of minimal quantities of product by a licensed retail pharmacy to a licensed practitioner for office use;
    8. The sale, purchase, or trade of a drug or an offer to sell, purchase, or trade a drug by a charitable organization described in Section 501(c)(3) of the Internal Revenue Code of 1986 to a nonprofit affiliate of the organization to the extent otherwise permitted by law;
    9. The distribution of a product pursuant to the sale or merger of a pharmacy or pharmacies or a wholesale distributor or wholesale distributors, except that any records required to be maintained for the product shall be transferred to the new owner of the pharmacy or pharmacies or wholesale distributor or wholesale distributors;
    10. The dispensing of a product approved under Section 512(c) of the Federal Food, Drug, and Cosmetic Act;
    11. Products transferred to or from any facility that is licensed by the Nuclear Regulatory Commission or by the state pursuant to an agreement with the commission under Section 274 of the federal Atomic Energy Act, 42 U.S.C. sec. 2021 ;
    12. A combination product that is not subject to approval under Section 505 of the federal Drug Quality and Security Act or licensure under Section 351 of the federal Public Health Service Act, and that is:
      1. A product composed of a device and one (1) or more other regulated components such as a drug or drug device, a biologic or biologic device, or a drug and biologic or drug and biologic device that are physically, chemically, or otherwise combined or mixed and produced as a single entity;
      2. Two (2) or more separate products packaged together in a single package or as a unit and composed of a drug and device or device and biological product; or
      3. Two (2) or more finished medical devices plus one (1) or more drug or biological products that are packaged together in what is referred to as a medical convenience kit as described in paragraph (m) of this subsection;
    13. The distribution of a medical convenience kit or collection of finished medical devices which may include a product or biological product, assembled in kit form strictly for the convenience of the purchaser or user, if:
      1. The medical convenience kit is assembled in an establishment that is registered with the federal Food and Drug Administration as a device manufacturer in accordance with Section 510(b)(2) of the Federal Food, Drug, and Cosmetic Act;
      2. The medical convenience kit does not contain a controlled substance that appears in a schedule contained in the federal Comprehensive Drug Abuse Prevention and Control Act of 1970;
      3. In the case of a medical convenience kit that includes a product, the person that manufacturers the kit:
        1. Purchased the product directly from the pharmaceutical manufacturer or from a wholesale distributor that purchased the product directly from the pharmaceutical manufacturer; and
        2. Does not alter the primary container or label of the product as purchased from the manufacturer or wholesale distributor; and
      4. In the case of a medical convenience kit that includes a product, the product is:
        1. An intravenous solution intended for the replenishment of fluids and electrolytes;
        2. A product intended to maintain the equilibrium of water and minerals in the body;
        3. A product intended for irrigation or reconstitution;
        4. An anesthetic;
        5. An anticoagulant;
        6. A vasopressor; or
        7. A sympathomimetic;
    14. The distribution of an intravenous product that, by its formulation, is intended for the replenishment of fluids and electrolytes such as sodium, chloride, and potassium, or calories such as dextrose and amino acids;
    15. The distribution of an intravenous product used to maintain the equilibrium of water and minerals in the body, such as dialysis solutions;
    16. The distribution of a product that is intended for irrigation, or sterile water, whether intended for such purposes or for injection;
    17. The distribution of a medical gas as defined in Section 575 of the Federal Food, Drug, and Cosmetic Act; or
    18. The distribution or sale of any licensed product under Section 351 of the federal Public Health Service Act that meets the definition of a device under Section 201(h) of the Federal Food, Drug, and Cosmetic Act;
  20. “Wholesale distribution” means the distribution of a prescription drug to persons other than an end user or to the end user pursuant to KRS 315.0351(2), but does not include:
    1. Intracompany sales or transfers;
    2. The sale, purchase, distribution, trade, or transfer of a prescription drug for emergency medical reasons;
    3. The distribution of prescription drug samples by a manufacturer or authorized distributor;
    4. Drug returns or transfers to the original manufacturer, original wholesale distributor, or transfers to a reverse distributor or third-party returns processor;
    5. The sale, purchase, or trade of a drug pursuant to a prescription;
    6. The delivery of a prescription drug by a common carrier;
    7. The purchase or acquisition by a health-care entity or pharmacy that is a member of a group purchasing organization of a drug for its own use from the group purchasing organization, or health-care entities or pharmacies that are members of the group organization;
    8. The sale, purchase, distribution, trade, or transfer of a drug by a charitable health-care entity to a nonprofit affiliate of the organization as otherwise permitted by law;
    9. The sale, transfer, merger, or consolidation of all or part of the business of a pharmacy with another pharmacy or pharmacies; or
    10. The distribution of a prescription drug to a health-care practitioner or to another pharmacy if the total number of units transferred during a twelve (12) month period does not exceed five percent (5%) of the total number of all units dispensed by the pharmacy during the immediate twelve (12) month period; and
  21. “Wholesale distributor” or “virtual wholesale distributer” means a person other than a manufacturer, a manufacturer’s co-licensed partner, a third-party logistics provider, or repackager engaged in wholesale distribution as defined by 21 U.S.C. sec. 353(e)(4) as amended by the federal Drug Supply Chain Security Act.

History. Enact. Acts 2008, ch. 124, § 3, effective July 15, 2008; 2017 ch. 136, § 4, effective June 29, 2017; 2019 ch. 157, § 3, effective June 27, 2019.

Compiler’s Notes.

The federal Prescription Drug Marketing Act referenced in this section is compiled at 21 USCS §§ 331, 333, 353, and 381.

315.402. Licensure of wholesale distributors of prescription drugs — Record retention — Administrative regulations — Confidentiality.

  1. A wholesale distributor shall be licensed by the board under this section prior to engaging in the wholesale distribution of prescription drugs in the Commonwealth. Each license application shall be accompanied by a reasonable fee prescribed by administrative regulation not to exceed two hundred fifty dollars ($250) annually or increase more than twenty-five dollars ($25) per year.
  2. A wholesale distributor shall be required to maintain accurate records of all drugs handled in accordance with KRS 315.400 to 315.412 , and records shall be made available to agents of the board for inspection upon request.
  3. Licensing requirements that exceed the requirements of federal law shall not apply to a manufacturer distributing its own FDA-approved drugs or co-licensed products, unless there is reasonable cause to believe that the manufacturer presents a special risk of distributing counterfeit prescription drugs in the Commonwealth.
  4. Failure to report to the board or willful submission of inaccurate information shall be grounds for disciplinary action under the provisions of KRS 315.131 .
  5. The board shall promulgate an administrative regulation pursuant to KRS Chapter 13A to specify the criteria for licensure in conformity with the guidelines for state licensure of a wholesale prescription drug distributor issued by the FDA.
  6. Pursuant to KRS 61.878 , information provided by an applicant under this section and any related administrative regulation shall not be disclosed to any person or entity other than the board.

History. Enact. Acts 2008, ch. 124, § 4, effective July 15, 2008.

315.404. Returns or exchanges of prescription drugs.

    1. A wholesale distributor may receive prescription drug returns or exchanges from a pharmacy, pharmacy warehouse, or other person authorized to distribute a prescription drug to an end user under the terms and conditions of an agreement between the parties. (1) (a) A wholesale distributor may receive prescription drug returns or exchanges from a pharmacy, pharmacy warehouse, or other person authorized to distribute a prescription drug to an end user under the terms and conditions of an agreement between the parties.
    2. Returns of expired, damaged, recalled, or otherwise nonsalable prescription drugs shall be distributed by the receiving wholesale distributor only to the original manufacturer, a third-party returns processor, or a reverse distributor licensed as a wholesale distributor.
    3. Returns or exchanges of prescription drugs that may or may not be salable, including any redistribution by a receiving wholesaler, shall not be subject to the requirements of KRS 315.406 if they are exempt from the pedigree requirements of the federal regulations for the federal Prescription Drug Marketing Act of 1987 as amended by the Prescription Drug Amendments of 1992 and any amendments thereto.
  1. A manufacturer or wholesale distributor shall supply prescription drugs only to a person or entity licensed to possess or distribute prescription drugs to an end user.
  2. Prescription drugs supplied by a manufacturer or wholesale distributor shall be delivered only to the business address of the licensee or the address listed on the license, to the address of a health-care entity authorized by the licensee, or to an authorized person or agent of the licensee at the premises of the manufacturer or wholesale distributor if the identity and authority of the authorized agent is established.
  3. A licensed wholesale distributor, pharmacy, or other person authorized by law to furnish prescription drugs to an end user shall be accountable for their returns process and shall ensure that all aspects of their operations are secure and do not permit the entry of adulterated or counterfeit prescription drugs.

History. Enact. Acts 2008, ch. 124, § 5, effective July 15, 2008.

Compiler’s Notes.

The federal Prescription Drug Marketing Act referenced in this section is compiled at 21 USCS §§ 331, 333, 353, and 381.

315.406. Prescription drug pedigree for drugs leaving the normal distribution channel — Administrative regulations.

    1. As of the date specified by an administrative regulation promulgated by the board pursuant to KRS Chapter 13A, each person or entity engaged in the wholesale distribution of prescription drugs that leave or that have ever left the normal distribution channel shall, prior to the distribution of the prescription drug, provide a pedigree to the person receiving the prescription drug. (1) (a) As of the date specified by an administrative regulation promulgated by the board pursuant to KRS Chapter 13A, each person or entity engaged in the wholesale distribution of prescription drugs that leave or that have ever left the normal distribution channel shall, prior to the distribution of the prescription drug, provide a pedigree to the person receiving the prescription drug.
    2. A retail pharmacy or a pharmacy warehouse shall comply with paragraph (a) of this subsection only if it engages in wholesale distribution of prescription drugs.
  1. The board shall specify the requirements for the contents and maintenance of a pedigree that are consistent with the federal requirements.
  2. The board shall promulgate an administrative regulation pursuant to KRS Chapter 13A to implement the provisions of this section no later than one hundred eighty (180) days after July 15, 2008.

History. Enact. Acts 2008, ch. 124, § 6, effective July 15, 2008.

315.408. Electronic track and trace system.

  1. The board shall not require the use of an electronic track and trace system to initiate, provide, receive, or maintain a pedigree by a person or entity licensed to possess, distribute, dispense, or administer prescription drugs for use by an end user until the FDA develops and implements standards for identification, validation, authentication, and tracking and tracing of prescription drugs pursuant to 21 U.S.C. sec. 355 e. The electronic track and trace system requirements by the board shall meet the FDA’s standards for all prescription drugs covered by the FDA standards.
  2. Upon implementation of FDA standards for an electronic track and trace system, the requirements relating to a pedigree in KRS 315.406 shall be superseded by the FDA standards and shall not apply to any prescription drugs specified in the FDA standards.
  3. Prior to promulgation of any administrative regulation under KRS Chapter 13A that requires the use of an electronic track and trace system, the board shall consult with manufacturers, wholesale distributors, and pharmacies regarding implementation of the electronic track and trace system requirements and publish a report on its Web site about implementation issues, including but not limited to universal availability, technical and operational feasibility, and reliability for manufacturers, wholesale distributors, and pharmacies.

History. Enact. Acts 2008, ch. 124, § 7, effective July 15, 2008.

315.410. Order to cease distribution of prescription drugs — Hearing.

  1. The board shall issue an order to the appropriate person or entity, including but not limited to wholesale distributors or retailers, to immediately cease distribution of prescription drugs within the Commonwealth if there are reasonable grounds to believe:
      1. The distribution of the prescription drug is in violation of KRS 315.406 ; (a) 1. The distribution of the prescription drug is in violation of KRS 315.406 ;
      2. The prescription drug is accompanied by a falsified pedigree in violation of KRS 315.406; or
      3. The prescription drug is a counterfeit prescription drug; and
    1. Other procedures to intercede would result in an unreasonable delay.
  2. A person in receipt of an order to cease distribution shall be notified in writing of the right to an administrative hearing to be conducted in accordance with KRS Chapter 13B no later than ten (10) days, excluding weekends and holidays, after the date of the order. If, after a hearing is conducted, the hearing officer determines that there are inadequate grounds to support the order, the order shall be vacated.

History. Enact. Acts 2008, ch. 124, § 8, effective July 15, 2008.

315.4102. License required for each facility of a third-party logistics provider.

  1. Each facility of a third-party logistics provider located within Kentucky shall be licensed by the board prior to shipping a prescription drug:
    1. Within the borders of Kentucky; or
    2. To a location outside the borders of Kentucky.
  2. Licenses issued under subsection (1) of this section shall be renewed annually upon:
    1. Completion of an application; and
    2. Payment of a renewal fee as established by administrative regulations promulgated by the board.
  3. A third-party logistics provider located in another state seeking to ship a prescription drug into Kentucky shall provide documentation upon request by the by the board or its staff that the third-party logistics provider is licensed as a third-party logistics provider by:
    1. The state from which the third-party logistics provider ships, if that state licenses third-party logistics providers; or
    2. The United States Food and Drug Administration.
  4. A third-party logistics provider license shall be valid only for the name, ownership, and location listed on the license. Changes of name, ownership, or location shall require a new third-party logistics provider license.
  5. Changes in information required for licensure shall be reported to the board, in writing, within ten (10) days of the change.
  6. A third-party logistics provider shall not operate from a place of residence.
  7. A third-party logistics provider facility shall be located apart and separate from any retail pharmacy licensed by the board.
  8. A third-party logistics provider shall publicly display all licenses and have the most recent state and federal inspection reports readily available.

HISTORY: 2017 ch. 136, § 5, effective June 29, 2017.

315.4104. Required license application information and fee for third-party logistics provider.

  1. An applicant for licensure as a third-party logistics provider shall submit a satisfactorily completed board-approved application along with the required fee. New applicants shall provide, at minimum, the following:
    1. The applicant’s full name, all trade or business names used, full business address, and telephone number;
    2. Type of ownership, whether individual, partnership, limited liability company, or corporation;
    3. Name of the owner or owners, including:
      1. If a person, the name, address, Social Security number, and date of birth;
      2. If other than a person, the name, address, Social Security number, and date of birth of each partner, limited liability company member, or corporate officer and corporate director, and the federal employer identification number;
      3. If a corporation, the state of incorporation; and
      4. If a publicly traded corporation, the information described in subparagraph 2. of this paragraph is not required for corporate officers and corporate directors; and
    4. Upon the board’s written request, a list of all manufacturers, wholesale distributors, and dispensers for whom the third-party logistics provider provides services.
  2. The board may use a board-approved outside agency, if permitted by federal law, to inspect third-party logistics providers.

HISTORY: 2017 ch. 136, § 6, effective June 29, 2017.

315.4106. Eligibility factors for initial licensure and renewal for third-party logistics provider.

  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:
    1. A finding by a law enforcement agency or regulatory agency that the applicant or any owners of an applicant has violated federal, state, or local laws;
    2. Suspension, revocation, or any other sanction against a license currently or previously held by the applicant or any of its owners for a violation of federal or state law;
    3. A finding that the applicant or any of its owners are guilty of or pleaded guilty or nolo contendere to violating federal, state, or local laws;
    4. The furnishing by the applicant of false or fraudulent material in any application;
    5. Failure to maintain or make available to the board or to federal, state, or local law enforcement officials the records required to be maintained by third-party logistics providers; and
    6. Any other factors or qualifications that the board considers relevant to and consistent with the public health and safety. Any factors inconsistent with federal standards shall not be applied.
  2. A licensee who has no record of providing third-party logistics services involving prescription drugs during a routine inspection may have its subsequent renewal application referred to the board for review and possible discipline, and the board may require the licensee to appear before the board at the review.
  3. A third-party logistics provider shall have and follow a diversion detection and loss prevention plan that includes all prescription drugs, which shall be immediately available to the board or its agents upon request.
  4. The board shall have the right to deny licensure if it determines that granting the license would not be consistent with public health and safety.

HISTORY: 2017 ch. 136, § 7, effective June 29, 2017.

315.4108. List of owners and designated representatives of third-party logistics provider subject to board inspection — Persons disqualified from being owner or designated representative.

  1. Third-party logistics providers shall establish and maintain for board inspection a list of each partner, limited liability company member, and corporate officer and director, including a description of the duties and the qualifications of each.
  2. A third-party logistics provider shall not have as an owner or designated representative anyone convicted of a felony for conduct relating to:
    1. Providing third-party logistics services involving prescription drugs;
    2. A violation of 21 U.S.C. sec. 331(i) or (k); or
    3. A violation of 18 U.S.C. sec. 1365 relating to product tampering.
  3. A third-party logistics provider shall not have, as an owner or designated representative, anyone who has violated federal or state requirements for third-party logistics provider licensure and presented a threat of serious adverse health consequences or death to humans.

HISTORY: 2017 ch. 136, § 8, effective June 29, 2017.

315.4110. Third-party logistics provider must comply with all laws and regulations — Inspection access required — Penalty for noncompliance.

  1. A third-party logistics provider shall operate in compliance with all applicable federal, state, and local laws and regulations, including but not limited to:
    1. The Drug Supply Chain Security Act of 2013 and rules promulgated thereunder; and
    2. The storage practices set out in 21 U.S.C. sec. 360 eee-3(d)(2)(C).
  2. A third-party logistics provider shall allow the board and authorized federal, state, and local law enforcement officials to enter and inspect its premises and delivery vehicles, to audit its records and written operating procedures, and to confiscate prescription drugs and records to the extent authorized by law, rule, or regulation.
  3. Failure to operate in compliance with all applicable federal, state, and local laws and regulations shall constitute unprofessional conduct pursuant to KRS 315.121(1)(a).

HISTORY: 2017 ch. 136, § 9, effective June 29, 2017.

315.412. Penalties for violation of KRS 315.400 to 315.410.

  1. A person engaged in the wholesale distribution of prescription drugs who unknowingly violates any provision of KRS 315.400 to 315.410 may be fined not more than five thousand dollars ($5,000).
  2. A person engaged in the wholesale distribution of prescription drugs who acts with gross negligence and violates any provision of KRS 315.400 to 315.410 may be fined not more than fifteen thousand dollars ($15,000).
  3. A person engaged in the wholesale distribution of prescription drugs who knowingly violates any provision of KRS 315.400 to 315.410 may be fined not more than one hundred thousand dollars ($100,000).

History. Enact. Acts 2008, ch. 124, § 9, effective July 15, 2008.

Legend Drug Repository Program

315.450. Definitions for KRS 315.450 to 315.460.

For the purposes of KRS 315.450 to 315.460 :

  1. “Controlled substance” has the same meaning as in KRS 218A.010 ;
  2. “Dispense” has the same meaning as in KRS 217.015 ;
  3. “Health care provider” has the same meaning as in KRS 304.17A-005 ;
  4. “Health facility” has the same meaning as in KRS 216B.015 ;
  5. “Legend drug” has the same meaning as in KRS 217.015 ;
  6. “Pharmacist” has the same meaning as in KRS 315.010 ; and
  7. “Prescription drug” has the same meaning as in KRS 315.010 .

History. Enact. Acts 2005, ch. 136, § 1, effective July 20, 2005; renumbered 2017, ch. 136, § 12, effective June 29, 2017.

315.452. Legend Drug Repository Program to be established — Purpose — Permitted donations — Voluntary participation — Handling fee — Distribution.

  1. The board shall establish and maintain a legend drug repository program to support the donation of a legend drug or supplies needed to administer a legend drug for use by an individual who meets the eligibility criteria specified by an administrative regulation promulgated by the board. The repository program shall not accept any controlled substance.
  2. Donations may be made on the premises of a health facility or pharmacy that elects to participate in the program and meets requirements specified by the board by an administrative regulation promulgated by the board.
  3. The health facility may charge a handling fee to an individual who received a legend drug or supplies under the program established under this section, except that the fee shall not exceed the amount established by an administrative regulation promulgated by the board.
  4. A health facility or pharmacy that receives a donated legend drug under this section may distribute the legend drug or supplies to another eligible health facility or pharmacy for use under the program created under this section.
  5. Nothing in this section or KRS 315.454 shall require a health facility, pharmacy, pharmacist, or practitioner to participate in the program established in this section.

HISTORY: Enact. Acts 2005, ch. 136, § 2, effective July 20, 2005; renumbered 2017, ch. 136, § 13, effective June 29, 2017.

315.454. Requirements for accepting and dispensing legend drug or administration supplies.

  1. A legend drug or supplies used to administer a legend drug may be accepted and dispensed under the program established in KRS 315.452 only if the following requirements are met:
    1. The legend drug or supplies needed to administer the legend drug is in its original, unopened, sealed, and tamper-evident unit dose packaging or, if packaged in single-unit doses, the single-unit dose packaging is unopened;
    2. The legend drug is not classified as a controlled substance;
    3. The legend drug or supplies needed to administer a legend drug is not adulterated or misbranded, as determined by a pharmacist employed by, or under contract with, the health facility or pharmacy, who shall inspect the drug or supplies needed to administer a legend drug before the drug or supplies are dispensed; and
    4. The legend drug or supplies needed to administer a legend drug are prescribed by a physician, advanced practice registered nurse, or physician assistant and dispensed by a pharmacist.
  2. No legend drug or supplies needed to administer a legend drug that are donated for use under this section may be resold.

HISTORY: Enact. Acts 2005, ch. 136, § 3, effective July 20, 2005; 2010, ch. 85, sec. 32, effective July 15, 2010; renumbered 2017, ch. 136, § 14, effective June 29, 2017.

315.456. Immunity from civil liability — Exceptions.

  1. Unless the manufacturer of a legend drug or supply needed to administer a legend drug exercises bad faith or fails to exercise ordinary care, the manufacturer of a legend drug or supply shall not be subject to criminal or civil liability for injury, death, or loss to a person or property for matters related to the donation, acceptance, or dispensing of the drug or supply under the legend drug repository created under KRS 315.452 , including liability for failure to transfer or communicate product or consumer information or the expiration date of the donated drug or supply.
  2. Health facilities, pharmacies, and health care providers shall be immune from civil liability for injury to or the death of an individual to whom a legend drug or supply is dispensed and shall not be subject to disciplinary action for unprofessional conduct for their acts or omissions related to donating, accepting, distributing, or dispensing a legend drug or supply under KRS 1315.450 to 315.460 , unless the act or omission involves reckless, wanton, or intentional misconduct or the act or omission results from failure to exercise ordinary care.

HISTORY: Enact. Acts 2005, ch. 136, § 4, effective July 20, 2005; renumbered 2017, ch. 136, § 15, effective June 29, 2017.

315.458. Required administrative regulations.

The board shall promulgate administrative regulations to establish:

  1. The requirements for health facilities and pharmacies to accept and dispense donated legend drugs or supplies needed to administer legend drugs under KRS 315.452 and 315.454 , including all of the following:
    1. Eligibility criteria for health facilities;
    2. Standards and procedures for accepting, safely storing, and dispensing donated legend drugs or supplies needed to administer legend drugs;
    3. Standards and procedures for inspecting donated legend drugs or supplies needed to administer legend drugs to determine if these are in their original, unopened, sealed, and tamper-evident unit dose packaging or, if packaged in single-unit doses, the single-unit dose packaging is unopened; and
    4. Standards and procedures for inspecting donated legend drugs or supplies needed to administer legend drugs to determine that these are not adulterated or misbranded;
  2. Eligibility criteria for individuals to receive donated legend drugs or supplies needed to administer legend drugs dispensed under KRS 315.452 and 315.454 ;
  3. Standards for prioritizing the dispensation to individuals who are uninsured or indigent, or to others if an uninsured or indigent individual is unavailable;
  4. A means by which an individual who is eligible to receive a donated legend drug or supplies needed to administer a legend drug may indicate that eligibility;
  5. Necessary forms for administration of the legend drug repository program;
  6. The maximum handling fee that a health facility may charge for accepting, distributing, or dispensing donated legend drugs or supplies needed to administer legend drugs;
  7. A list of legend drugs and supplies needed to administer legend drugs that the legend drug repository program may accept for dispensing; and
  8. A list of legend drugs and supplies needed to administer legend drugs that the legend drug repository program shall not accept for dispensing, including the reason why the legend drug or supply is ineligible for donation.

HISTORY: Enact. Acts 2005, ch. 136, § 5, effective July 20, 2005; renumbered 2017, ch. 136, § 16, effective June 29, 2017.

315.460. Restriction on acceptance or distribution of certain drugs.

Drugs that shall only be dispensed to a patient registered with the drug’s manufacturer in accordance with federal Food and Drug Administration requirements shall not be accepted or distributed under the provisions of the program.

HISTORY: 2017 ch. 136, § 17, effective June 29, 2017.

Emergency Authority for Pharmacists

315.500. Emergency authority for pharmacists during state of emergency — Executive order — Time limit — Actions authorized — Extension.

  1. When the Governor declares a state of emergency pursuant to KRS 39A.100 , the Governor may issue an executive order for a period of up to thirty (30) days giving pharmacists emergency authority. The executive order shall designate the geographical area to which it applies. In the executive order, the Governor may vest pharmacists with the authority to:
    1. Dispense up to a thirty (30) day emergency supply of medication;
    2. Administer immunizations to children pursuant to protocols established by the Centers for Disease Control and Prevention, the National Institutes of Health, or the National Advisory Committee on Immunization Practices or determined to be appropriate by the commissioner of public health or his or her designee;
    3. Operate temporarily, a pharmacy in an area not designated on the pharmacy permit; and
    4. Dispense drugs as needed to prevent or treat the disease or ailment responsible for the emergency pursuant to protocols established by the Centers for Disease Control and Prevention or the National Institutes of Health or determined to be appropriate by the commissioner of public health or his or her designee to respond to the circumstances causing the emergency.
  2. The provisions of this section may be extended, in writing, by the Governor if necessary to protect the lives or welfare of the citizens.
  3. Nothing in this section shall be affected by the requirements of KRS 39A.090 .

History. Enact. Acts 2010, ch. 22, § 1, effective July 15, 2010; 2021 ch. 6, § 8, effective February 2, 2021.

315.505. Administrative regulations to effectuate authority granted in KRS 315.500(1).

The Kentucky Board of Pharmacy may promulgate administrative regulations in accordance with KRS Chapter 13A to allow pharmacists to effectuate the authority granted in KRS 315.500(1).

History. Enact. Acts 2010, ch. 22, § 2, effective July 15, 2010.

Home Medical Equipment and Services Provider Licensure Act

315.510. Short title. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 1, effective July 12, 2012; Renumbered as 309.400 , Acts 2016, ch. 103, § 1, effective July 15, 2016.

315.512. Definitions for KRS 315.510 to 315.524. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 2, effective July 12, 2012; Renumbered as 309.402 , Acts 2016, ch. 103, § 2, effective July 15, 2016.

315.514. License required to provide or hold oneself out as providing home medical equipment and services — Exemptions. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 3, effective July 15, 2012; 2015 ch. 56, § 4, effective June 24, 2015; Renumbered as 309.412 , Acts 2016, ch. 103, § 3, effective July 15, 2016.

315.516. Legend or order from health care practitioner required. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 4, effective July 12, 2012; Renumbered as 309.410 , Acts 2016, ch. 103, § 4, effective July 15, 2016.

315.518. Application for license — Fee — Record retention — Administrative regulations — Confidentiality. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 5, effective July 12, 2012; Renumbered as 309.414 , Acts 2016, ch. 103, § 5, effective July 15, 2016.

315.520. Issuance and renewal of licenses — Separate license required for each location — Display of license — Transfer of license prohibited. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 6, effective July 12, 2012; Renumbered as 309.416 , Acts 2016, ch. 103, § 6, effective July 15, 2016.

315.522. Reciprocity with bordering states. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 7, effective July 12, 2012; 2015 ch. 56, § 2, effective June 24, 2015; Renumbered as 309.420 , Acts 2016, ch. 103, § 7, effective July 15, 2016.

315.524. Providing home medical equipment and services without license — Penalty. [Renumbered]

History. Enact. Acts 2012, ch. 73, § 8, effective July 12, 2012; Renumbered as 309.422 , Acts 2016, ch. 103, § 10, effective July 15, 2016.

Penalties

315.990. Penalties.

  1. Except for the provisions of KRS 315.320 , any person violating any provision of KRS Chapter 315 shall be fined for each offense not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) or imprisoned in the county jail for not more than six (6) months, or both. Each week that any provision of KRS 315.020 , 315.030 , or 315.035 is violated shall also constitute a separate offense.
  2. Any person convicted of willfully resisting, preventing, impeding, obstructing, threatening, or interfering with the officers, agents, or inspectors of the board in the administration of the provisions of this chapter shall be guilty of a Class A misdemeanor.
  3. The board may levy an administrative fine not to exceed five thousand dollars ($5,000) for each offense, for any violation of KRS 315.121 . All such fines shall be deposited to the credit of the licensing board to be used by the board in carrying out the provisions of this chapter.
  4. The board may refuse to issue or renew a permit, or may suspend, temporarily suspend, revoke, fine, or reasonably restrict any permit holder for any violation of KRS 315.0351 . Any administrative fine levied by the board shall not exceed five thousand dollars ($5,000) for any violation of KRS 315.0351 . All such fines shall be deposited to the credit of the licensing board to be used by the Board of Pharmacy in carrying out the provisions of this chapter.
  5. For a violation of KRS 315.320 , the Board of Pharmacy may, in addition to any other civil or criminal penalty, levy an administrative fine not exceeding one hundred thousand dollars ($100,000). All such fines shall be deposited to the credit of the Board of Pharmacy in carrying out the provisions of this chapter.

History. 1376t-1, 2619, 2620, 2625, 2628: amend. Acts 1950, ch. 16; 1970, ch. 221, § 18; 1982, ch. 191, § 20, effective July 15, 1982; 1990, ch. 155, § 2, effective July 13, 1990; 1996, ch. 257, § 24, effective July 15, 1996; 2005, ch. 150, § 21, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

315.991. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 260, § 12) was repealed by Acts 1982, ch. 191, § 21, effective July 15, 1982.

CHAPTER 316 Embalmers and Funeral Directors

316.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Apprentice” means a person engaged in learning the practice of embalming or funeral directing who is under the instruction and personal supervision of a Kentucky-licensed embalmer or a Kentucky-licensed funeral director;
  2. “Board” means the Kentucky Board of Embalmers and Funeral Directors;
  3. “Direct burial” means the pick-up, transport, and interment of a dead human body or body parts without a funeral;
  4. “Embalmer” means a person who preserves, restores, and disinfects dead human bodies by the application of chemical substances either externally or internally, or both;
  5. “Embalming service establishment” means a place of business where dead human bodies are embalmed or otherwise prepared or held for burial. An embalming service establishment shall not arrange or conduct a funeral or direct burial. An embalming service establishment may arrange for and transport dead human bodies only under the following circumstances:
    1. On behalf of a full-service funeral establishment;
    2. On behalf of a visitation and ceremonial funeral establishment; or
    3. At the direction of a coroner;
  6. “Funeral” means the ceremonies or services related to the final disposition and interment of a human body or body parts;
  7. “Full-service funeral establishment” means a place of business where dead human bodies may be embalmed or otherwise prepared and held for burial and where funeral services may be arranged, provided, and conducted;
  8. “Funeral director” means a person who, for profit, engages in or represents himself or herself as engaged in the supervision, direction, and arrangement of funeral services, transportation, burials, and disposals of dead human bodies;
  9. “Funeral establishment” or “establishment” means:
    1. A full-service funeral establishment;
    2. An embalming service establishment; or
    3. A visitation and ceremonial funeral service establishment;
  10. “Memorial service” means a ceremony or service held in honor of a deceased human being at which there are no human remains, as defined in KRS 367.97501(14) present, and for which no license is required;
  11. “Person,” as used in this chapter, includes but is not limited to an individual, partnership, firm, association, or corporation;
  12. “In use” means that funeral directing or embalming is taking place in a funeral establishment;
  13. “Courtesy card” means a card that is issued by the board to a funeral director or an embalmer from another state that gives the director or embalmer permission to receive and transport a dead human body to and from Kentucky for a funeral and to conduct funeral services and burials in Kentucky;
  14. “Supervision” means responsibility for the professional activities of the funeral establishment that requires a Kentucky-licensed funeral director or a Kentucky-licensed embalmer, as appropriate, to be on the premises when the funeral establishment is in use. If the Kentucky-licensed funeral director or the Kentucky-licensed embalmer is unable to be on the premises due to a reasonable circumstance, then the Kentucky-licensed funeral director or the Kentucky-licensed embalmer shall be within a reasonable proximity to the funeral establishment so that upon contact the funeral director or embalmer is able to immediately return to the funeral establishment; and
  15. “Visitation and ceremonial funeral service establishment” means a location from which a funeral establishment may provide all services except embalming within either the same or adjoining county as that served by an affiliated full-service funeral establishment. The visitation and ceremonial funeral service establishment shall be owned in whole or in part by the affiliated full-service funeral establishment, and shall be located sufficiently close to the full-service funeral establishment to share administration and services in a manner that renders it unnecessary for the visitation and ceremonial funeral service establishment to independently meet the minimum licensure requirements for a full-service funeral establishment. A full-service funeral establishment may own and operate more than one (1) visitation and ceremonial funeral service establishment.

History. 1599a-1: amend. Acts 1960, ch. 52, § 1; 1984, ch. 82, § 1, effective July 13, 1984; 1996, ch. 149, § 1, effective July 15, 1996; 1998, ch. 90, § 1, effective July 15, 1998; 2006, ch. 112, § 1, effective July 12, 2006; 2019 ch. 160, § 1, effective June 27, 2019.

Legislative Research Commission Notes.

(7/15/2016). During codification of 2016 Ky. Acts ch. 59, a conforming correction was required to be made to subsection (10) of this statute to reflect the renumbering of definition subsections in 2016 Ky. Acts ch. 59, sec. 12 (KRS 367.97501 ).

NOTES TO DECISIONS

1.Funeral Director.

Due Process and Equal Protection Clauses of the Kentucky Constitution were not violated because the regulations about transporting dead human bodies were rationally related to a legitimate state interest; a distinction between funeral directors and crematory operators reflected a legitimate interest in protecting public health and welfare. The legislation only had to meet the rational basis test since a crematory’s economic interest did not rise to the level of a property right. Reynolds Enters. v. Ky. Bd. of Embalmers & Funeral Dirs., 382 S.W.3d 47, 2012 Ky. App. LEXIS 329 (Ky. Ct. App. 2012).

Opinions of Attorney General.

There is no difference in the requirement of “direct and constant supervision” between a funeral home and a branch establishment as defined by subdivision (3) (now subdivision (5)) of this section and any facility that conducts embalming and funeral services must be under the direct and constant supervision of a licensed embalmer and funeral director. OAG 83-219 .

Research References and Practice Aids

Cross-References.

Births and deaths, KRS Ch. 213.

Funeral director to fill out death certificate and obtain burial permit, KRS 213.076 to 213.096 .

316.020. License required for embalmers and funeral directors. [Repealed.]

Compiler’s Notes.

This section (1599a-7, 1599a-8a, 1599a-16, 1599a-16a: amend. Acts 1960, ch. 52, § 2; 1988, ch. 125, § 3, effective July 15, 1988) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.030. Embalmer’s license — Qualifications — Funeral director’s license — Qualifications — Restriction on place of practice — Apprenticeship.

  1. No person shall engage in, or attempt to engage in, embalming or funeral directing in the Commonwealth of Kentucky unless the person is licensed under the provisions of this chapter.
  2. All Kentucky-licensed persons who practice embalming or funeral directing in Kentucky shall practice from a funeral establishment that is licensed to operate under the provisions of this chapter.
  3. One (1) member of every firm, and one (1) officer and one (1) stockholder of every corporation, that engages in embalming and funeral directing in Kentucky, shall be a Kentucky-licensed embalmer and a Kentucky-licensed funeral director.
  4. The board shall issue an embalmer’s license to an applicant who:
    1. Is at least eighteen (18) years of age;
    2. Is of good moral character;
    3. Possesses a high school diploma or a High School Equivalency Diploma;
    4. Has received an associate degree in funeral services from a college or university accredited by the American Board of Funeral Service Education;
    5. Has served an apprenticeship of one (1) year in a Kentucky funeral establishment under the supervision of a Kentucky-licensed embalmer;
    6. Has taken an active part during the apprenticeship in assisting with the embalming of at least twenty-five (25) dead human bodies under the direct supervision of a Kentucky-licensed embalmer;
    7. Has paid to the board an examination fee as set out in administrative regulations promulgated by the board; and
    8. Has passed an examination prepared or approved by the board.
  5. The board shall issue a funeral director’s license to an applicant who:
    1. Is at least eighteen (18) years of age;
    2. Is of good moral character;
    3. Possesses a high school diploma or a High School Equivalency Diploma;
    4. Has served an apprenticeship of three (3) consecutive years in a Kentucky funeral establishment under the supervision of a Kentucky-licensed funeral director. An associate degree in funeral services from a college or university accredited by the American Board of Funeral Service Education shall substitute for two (2) years of the apprenticeship. The completion of thirty (30) semester credit hours or the equivalent from an accredited college or university shall substitute for one (1) year of the apprenticeship. At no time shall more than two (2) years of the apprenticeship be substituted;
    5. Has taken an active part during the apprenticeship in assisting with the management of at least twenty-five (25) funerals under the direct supervision of a Kentucky-licensed funeral director;
    6. Has paid to the board an examination fee as set out in administrative regulations promulgated by the board; and
    7. Has passed an examination prepared or approved by the board.
  6. An applicant may serve embalming and funeral directing apprenticeships concurrently.
  7. At the beginning of an apprenticeship, an applicant for an embalmer’s or a funeral director’s license shall:
    1. Appear before the board;
    2. Pay to the board a registration fee as set out in administrative regulations promulgated by the board; and
    3. File with the board the sworn statement of the supervising Kentucky-licensed embalmer or the Kentucky-licensed funeral director averring that the applicant will work full-time under supervision in the funeral establishment and will receive a regular salary.
  8. An applicant shall work full-time in the funeral establishment during the apprenticeship and shall receive a regular salary.
  9. An applicant shall file with the board semiannually during the apprenticeship sworn statements by the applicant and the supervising Kentucky-licensed embalmer or Kentucky-licensed funeral director setting out the number of hours worked, the number of embalmings or funerals in which the applicant has assisted, and the salary received.
  10. A Kentucky-licensed embalmer or a Kentucky-licensed funeral director shall not supervise more than five (5) applicants serving apprenticeships at any one (1) time.

History. 1599a-7: amend. Acts 1960, ch. 52, § 3; 1970, ch. 120, § 9; 1988, ch. 125, § 4, effective July 15, 1988; 1996, ch. 149, § 2, effective July 15, 1996; 2004, ch. 69, § 1, effective July 13, 2004; 2017 ch. 63, § 29, effective June 29, 2017; 2021 ch. 23, § 1, effective June 29, 2021.

NOTES TO DECISIONS

1.Competent Witness to Wounds.

A licensed embalmer, required by his profession to study and acquire a practical knowledge of the anatomy and structure of the human body, was competent to testify to the nature of bullet wounds and the cause of death in a murder prosecution. Caine v. Commonwealth, 491 S.W.2d 824, 1973 Ky. LEXIS 605 (Ky.), cert. denied, 414 U.S. 876, 94 S. Ct. 80, 38 L. Ed. 2d 121, 1973 U.S. LEXIS 885 (U.S. 1973).

2.Evidence Sufficient.

Kentucky Board of Embalmers and Funeral Directors properly sanctioned a funeral home and its director for permitting unlicensed individuals to perform embalming services, in violation of KRS 316.030(1), where sufficient evidence was presented by the testifying witnesses that the funeral director taught an unlicensed individual embalming procedures and described the specific acts that he had performed; thus, the appeals court refused to disturb said finding. New v. Commonwealth, 156 S.W.3d 769, 2005 Ky. App. LEXIS 22 (Ky. Ct. App. 2005).

3.Constitutionality.

Due Process and Equal Protection Clauses of the Kentucky Constitution were not violated because the regulations about transporting dead human bodies were rationally related to a legitimate state interest; a distinction between funeral directors and crematory operators reflected a legitimate interest in protecting public health and welfare. The legislation only had to meet the rational basis test since a crematory’s economic interest did not rise to the level of a property right. Reynolds Enters. v. Ky. Bd. of Embalmers & Funeral Dirs., 382 S.W.3d 47, 2012 Ky. App. LEXIS 329 (Ky. Ct. App. 2012).

4.Enforcement.

Kentucky Board of Embalmers and Funeral Directors was not enjoined from enforcing statutes relating to embalmers and funeral directors against a crematory because it had not been granted a permit to transport dead human bodies; therefore, the Board was the property authority to regulate the crematory’s violation of the licensing statute. Reynolds Enters. v. Ky. Bd. of Embalmers & Funeral Dirs., 382 S.W.3d 47, 2012 Ky. App. LEXIS 329 (Ky. Ct. App. 2012).

5.Avoiding Licensing Requirements By Permission.

Licensing requirements may not be avoided simply by obtaining the permission of a family member to transport a dead human body. Reynolds Enters. v. Ky. Bd. of Embalmers & Funeral Dirs., 382 S.W.3d 47, 2012 Ky. App. LEXIS 329 (Ky. Ct. App. 2012).

Cited:

Pulliam v. Commonwealth, 296 Ky. 696 , 178 S.W.2d 417, 1944 Ky. LEXIS 1061 ( Ky. 1944 ).

316.040. Certificate of apprenticeship — Number of apprentices allowed per funeral director or embalmer. [Repealed.]

Compiler’s Notes.

This section (1599a-7: amend. Acts 1960, ch. 52, § 4; 1978, ch. 313, § 2, effective June 17, 1978; 1988 ch. 125, § 5, effective July 15, 1988) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.045. Causes for revocation or suspension of certificate of apprenticeship. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988 ch. 125, § 1, effective July 15, 1988) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.050. Application for license — Fee — Certificates of character. [Repealed.]

Compiler’s Notes.

This section (1599a-7: amend. Acts 1960, ch. 52, § 5; 1978, ch. 313, § 3, effective June 17, 1978; 1988 ch. 125, § 6, effective July 15, 1988) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.060. Examination — Issuance of license. [Repealed.]

Compiler’s Notes.

This section (1599a-7) was repealed by Acts 1960, ch. 52, § 6.

316.070. Secretary of board to mail notices of examination — Issuance of license. [Repealed.]

Compiler’s Notes.

This section (1599a-4: amend. Acts 1960, ch. 52, § 7) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.080. Registration and display of license. [Repealed.]

Compiler’s Notes.

This section (1599a-7: amend. Acts 1960, ch. 52, § 8; 1978, ch. 84, § 9, effective June 17, 1978; 1978 ch. 384, § 478, effective June 17, 1978) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.090. Funeral director’s license — Qualifications of applicant. [Repealed.]

Compiler’s Notes.

This section (1599a-8a: amend. Acts 1960, ch. 52, § 9; 1970, ch. 120, § 10; 1988 ch. 125, § 7, effective July 15, 1988) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.100. Application for license — Fee — Proof of facts in application. [Repealed.]

Compiler’s Notes.

This section (1599a-8a) was repealed by Acts 1960, ch. 52, § 10.

316.110. Issuance of license. [Repealed.]

Compiler’s Notes.

This section (1599a-8a: amend. Acts 1960, ch. 52, § 11) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.120. Registration, display of license. [Repealed.]

Compiler’s Notes.

This section (1599a-8a) was repealed by Acts 1960, ch. 52, § 12.

316.125. Funeral establishment license — Application — Fee — Each funeral establishment to be licensed separately — Supervision.

  1. No person shall operate a full-service funeral establishment, a visitation and ceremonial funeral service establishment, or an embalming service establishment in the Commonwealth of Kentucky without first obtaining the applicable establishment license issued by the board.
  2. The board shall issue the appropriate establishment license to an applicant who:
    1. Has paid to the board an establishment license fee as set out in administrative regulations promulgated by the board; and
    2. Has filed with the board a sworn statement that sets out the following:
      1. Name of the funeral establishment;
      2. Address of the funeral establishment;
      3. Type of funeral establishment;
      4. Owners of the funeral establishment, indicating which owners are licensed by the board; and
      5. Name and address of the Kentucky-licensed embalmer or the Kentucky-licensed funeral director who will supervise the funeral establishment pursuant to subsection (4) of this section.
  3. Each funeral establishment shall be licensed separately from any other funeral establishment.
  4. Each funeral establishment, when in use, shall be under the supervision of a Kentucky-licensed embalmer or a Kentucky-licensed funeral director.
  5. A Kentucky-licensed embalmer or a Kentucky-licensed funeral director shall not supervise more than one (1) funeral establishment at the same time.
  6. The funeral establishment shall display in a public place in the establishment its establishment license and the license of the embalmer or funeral director who supervises the establishment pursuant to subsection (4) of this section.

History. Enact. Acts 1984, ch. 82, § 4, effective July 13, 1984; 1996, ch. 149, § 3, effective July 15, 1996; 1998, ch. 90, § 2, effective July 15, 1998; 2006, ch. 112, § 2, effective July 12, 2006; 2021 ch. 23, § 2, effective June 29, 2021.

316.127. Licensing for establishments existing before July 12, 2006.

  1. A funeral establishment licensed on July 12, 2006, that meets the definition of a full-service funeral establishment shall be issued a license as a full-service funeral establishment. This license shall be effective until the date that the funeral establishment’s former license would have expired. The funeral establishment shall be required to make an application for renewal under this chapter as a full-service funeral establishment.
  2. A funeral establishment licensed on July 12, 2006, that meets the definition of an embalming service establishment shall be issued a license for an embalming service establishment. This license shall be effective until the date that the funeral establishment’s former license would have expired. The funeral establishment shall be required to make an application for renewal under this chapter as an embalming service establishment.
  3. A funeral establishment licensed on July 12, 2006, that does not meet the definition of a full-service funeral establishment or embalming service establishment shall be issued a license for a visitation and ceremonial funeral service establishment. This license shall be renewable as a visitation and ceremonial funeral service establishment license for the entire time of the establishment’s existence, subject to the restrictions of subsection (4) of this section, or until the board approves the establishment’s application for another type of establishment license.
  4. A visitation and ceremonial funeral service establishment that is licensed as a funeral establishment prior to July 12, 2006, shall be exempt from the requirement of ownership in whole or in part by an affiliated full-service funeral establishment. This exemption shall lapse if the visitation and ceremonial funeral service establishment is sold, ceases to exist, or engages in any activity that changes its license.

History. Enact. Acts 2006, ch. 112, § 3, effective July 12, 2006.

316.130. Expiration date of license — Renewal — Continuing education required for renewal — Fee — License not transferable.

  1. No license granted under this chapter shall be issued or renewed for a period exceeding one (1) year. Every license and renewal shall expire on July 31 following the date of its issuance unless sooner revoked, surrendered, or canceled.
  2. A person may renew an embalmer’s license or a funeral director’s license by paying to the board a renewal fee, not to exceed one hundred dollars ($100), as set out in administrative regulations promulgated by the board.
  3. Except for the first licensure renewal following the issuance of an original license by the board, as a prerequisite for license renewal, every Kentucky-licensed embalmer and every Kentucky-licensed funeral director shall attend a minimum of twelve (12) hours every two (2) years in a continuing education program or programs approved by the board. Of these twelve (12) hours, a minimum of six (6) hours shall be attained from programs attended in a live, interactive, in-person format. Upon application to the board, the board may exempt a licensee from the continuing education requirements of this section if the applicant demonstrates that meeting the continuing education requirements of this section would work an undue hardship because of disability, illness, or other clearly mitigating circumstances, or if the applicant is seventy (70) years of age or older and is not actively involved in embalming or funeral directing. The board may use a portion of the annual license renewal fees for the purpose of contracting with accredited educational institutions, professional organizations, or other qualified persons to provide educational programs that meet this continuing education requirement.
  4. A licensed funeral establishment may renew its license by paying to the board a renewal fee equal to the establishment license fee.
  5. Any renewal not received by the board prior to July 31 will be assessed a late fee, not to exceed the amount of the renewal fee, as set out in administrative regulations promulgated by the board.
  6. A license granted under this chapter shall not be transferable.

History. 1599a-9, 1599a-10: amend. Acts 1960, ch. 52, § 13; 1964, ch. 121; 1978, ch. 313, § 4, effective June 17, 1978; 1984, ch. 82, § 2, effective July 13, 1984; 1988, ch. 125, § 8, effective July 15, 1988; 1990, ch. 86, § 2, effective July 13, 1990; 1996, ch. 149, § 4, effective July 15, 1996; 2012, ch. 115, § 1, effective July 12, 2012.

Opinions of Attorney General.

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 .

316.131. Reinstatement of expired license.

  1. The board may reinstate an embalmer’s or a funeral director’s license that has expired for failure to renew within three (3) years of the license’s expiration if the applicant for reinstatement:
    1. Pays a late fee and the renewal fees, as set out in administrative regulations promulgated by the board, for the period during which the license was expired; and
    2. Provides proof that the applicant has met the cumulative continuing education requirements for the period during which the license was expired.
  2. The board may reinstate an embalmer’s or a funeral director’s license that has expired for failure to renew more than three (3) years after the license’s expiration if the applicant for reinstatement:
    1. Pays a late fee and the renewal fees, as set out in administrative regulations promulgated by the board, for the period during which the license was expired;
    2. Provides proof that the applicant has met all the cumulative continuing education requirements for the period during which the license was expired; and
    3. Demonstrates that the applicant is able to practice embalming or funeral directing with reasonable competence. The board may require the person to pass an examination to determine competency.

History. Enact. Acts 1996, ch. 149, § 6, effective July 15, 1996; 2021 ch. 23, § 3, effective June 29, 2021.

316.132. Continuing education courses — Sponsors — Board approval — Certification of attendance.

  1. Continuing education hours for credit may be compiled in the following areas:
    1. Cassette and audiovisual presentations;
    2. Professional seminars;
    3. Accredited schools participating in continuing education programs;
    4. Professional association-sponsored programs;
    5. Correspondence courses;
    6. Continuing education television series; or
    7. Other programs as approved by the board.
  2. Sponsors of continuing education programs shall be responsible for obtaining from the board accreditation for their respective continuing education programs.
  3. Sponsor means any person, school, association, company, corporation, or group who wishes to develop and present a continuing education program.
  4. Sponsors of continuing education programs shall submit a program schedule and outline to the board not less than thirty (30) days prior to the date of the program, including the following information:
    1. The name of the course;
    2. The name of the sponsoring organization;
    3. The objectives of the program;
    4. The number of hours over which the educational program will be presented and the dates presented;
    5. The names of the instructors and speakers and their educational background and other relevant qualifications;
    6. The location at which the program will be presented; and
    7. The name and address of the person authorized to certify attendance at the program.
  5. Board approval of continuing education programs shall be determined on the following basis:
    1. If the program is likely to contribute to the advancement and extension of professional knowledge and skill in the practice of funeral service;
    2. If the speakers, lecturers, and others participating in the program are recognized by the board as being qualified in the field;
    3. If the program is available to all embalmers and funeral directors licensed in this state; and
    4. If any fees charged for the program are the same for nonmembers of any organization sponsoring the program. Any difference in fees charged to nonmembers, as opposed to members of the sponsoring organization, shall be reasonably and directly related to the sponsoring organization’s expense in operating the program.
  6. The board shall give written notification of the approval or disapproval of a program to the sponsor within forty-five (45) days after receipt of the proposed educational program schedule and outline. Any program approved by the board shall be awarded an approval period by the board, during which the sponsor may offer the program as many times as desired as long as the board’s standards are maintained. The board shall state the number of hours credit recognized for completion of the program.
  7. Any change in a program after approval is granted by the board shall be approved by the board. Failure to do so shall be grounds for revocation of approval.
  8. The educational program may be monitored by a member of the board or a person designated by the board for the purpose.
  9. Sponsors shall provide for the maintenance of the program schedule and outline and attendance records of educational programs for at least two (2) years following completion of any program.
  10. Any continuing education program conducted by a sponsor in another state that is approved for continuing education credit by a governmental agency of that state with licensure authority over embalmers and funeral directors in that state, similar to the licensure authority of the board, shall be exempt from the requirements of subsections (2) through (8) of this section. The board shall recognize attendance by licensees at the continuing education programs, and credit therefor, as recognized and approved by the governmental agency of that state. Licensees claiming credit for the continuing education programs conducted in other states shall comply with the requirements of subsection (11) of this section.
  11. Attendance at any continuing education program shall be certified to the board upon a form provided by the board and shall be submitted by each licensee at the time he makes application to the board for the renewal of his license. Each licensee shall be responsible for having the forms signed by the sponsor of any continuing education program for which credit is claimed, certifying that the licensee did attend the continuing education program for which credit is claimed. The board shall not approve any claim for credit for attendance at a continuing education program unless the licensee provides the signed certification of the sponsor stating that the licensee did attend the continuing education program for which credit is claimed.
  12. The board may maintain a list of sponsors providing programs to satisfy the continuing education requirement for licensees. This information may be made available to any licensee.

History. Enact. Acts 1990, ch. 86, § 1, effective July 13, 1990.

316.140. Reciprocity for embalmer or funeral director licensed out of state — Application for courtesy card — Privileges and duties of courtesy card holder — Prohibited acts.

  1. A person holding an embalmer’s or a funeral director’s license issued in another state or federal district may obtain a Kentucky embalmer’s or a Kentucky funeral director’s license if the board finds that the person, before or after obtaining a license in another state or federal district, has met the same or similar requirements for a license as set out in KRS 316.030 and pays to the board a fee equal to the license renewal fee.
  2. A person holding an embalmer’s or a funeral director’s license issued in another state or federal district may obtain a courtesy card if the following conditions are met:
    1. The person is licensed as an embalmer or a funeral director in another state or federal district;
    2. The other state or federal district issues courtesy cards or similar permits to embalmers or funeral directors licensed in Kentucky;
    3. The person completes an application for a courtesy card on a form provided by the board; and
    4. The person pays a fee that shall not exceed the amount of the fee an embalmer or a funeral director licensed under this chapter is required to pay for license renewal.
  3. The board may issue a courtesy card to a licensed funeral director or licensed embalmer upon application and payment by the funeral director or embalmer of a fee prescribed by the board in administrative regulations promulgated under KRS Chapter 13A. The application shall be approved by the board, at its discretion. The requirement in KRS 316.030 that all Kentucky-licensed embalmers or funeral directors who practice in Kentucky shall practice from a funeral establishment that is licensed to operate under the provisions of this chapter shall not apply to the holder of a courtesy card. The board shall promulgate administrative regulations necessary to administer and enforce this section.
  4. A courtesy card issued under this chapter shall expire on July 31 of each year.
  5. The holder of a courtesy card issued under this chapter may undertake the following acts of funeral directing:
    1. Remove and transport unembalmed and embalmed dead human bodies to and from Kentucky to the state or states where the courtesy card holder is licensed as a funeral director;
    2. Prepare and complete sections of death certificates and other disposition permits needed for the disposition of deceased human remains, without the assistance of, or being under the supervision of, an embalmer or funeral director licensed under this chapter; and
    3. Only a licensed funeral director who has been issued a courtesy card under this subsection may supervise and conduct funeral ceremonies in Kentucky without the assistance of a Kentucky funeral director.
  6. A courtesy card holder pursuant to this chapter shall comply with all the laws of Kentucky when engaged in any acts of funeral directing in this state. The board may revoke or suspend the courtesy card, or subject the courtesy card holder to discipline in accordance with the laws applicable to funeral directors and embalmers licensed under this chapter. Any disciplinary measures taken by the board against a courtesy card holder shall be reported by the board to the state board or agency that issued the courtesy card holder’s funeral director or embalmer’s license or certification.
  7. The holder of a courtesy card issued under this chapter shall not engage in the following acts:
    1. Transfer the courtesy card to another individual;
    2. Own or operate a funeral home, crematory, or office that provides or offers to sell or arrange funeral or disposition services in Kentucky; and
    3. Except as provided in subsection (5) of this section, perform any of the acts related to the practice of funeral directing in Kentucky, including:
      1. Arranging for a funeral or disposition service with members of the public;
      2. Being employed by, or contracted to perform funeral or embalming services in Kentucky by, a funeral home licensed under this chapter;
      3. Advertising funeral or disposition services;
      4. Executing contracts for funeral or disposition services in Kentucky;
      5. Preparing or embalming deceased human remains in Kentucky; or
      6. Exhuming or disinterring human remains in Kentucky.

History. 1599a-15: amend. Acts 1960, ch. 52, § 14; 1988, ch. 125, § 9, effective July 15, 1988; 1996, ch. 149, § 5, effective July 15, 1996; 1998, ch. 90, § 3, effective July 15, 1998; 2004, ch. 69, § 2, effective July 13, 2004; 2012, ch. 31, § 1, effective July 12, 2012; 2013, ch. 122, § 1, effective June 25, 2013.

Legislative Research Commission Notes.

(7/15/96). In codifying the changes made to this statute by 1996 Ky. Acts ch. 149, sec. 5, a citation to KRS 316.030 (Section 2 of the Act) has been substituted for the Act’s reference to 316.125 (Section 3 of the Act) pursuant to KRS 7.136(1)(h). It is clear from context that the subject matter being treated here relates to Section 2 of the Act, not Section 3.

316.150. Nonissuance, nonrenewal, revocation, suspension, and probation of licenses.

  1. The board may refuse to issue or renew, may revoke, or suspend and impose probationary conditions on the license of any Kentucky-licensed embalmer or Kentucky-licensed funeral director, and may issue a written reprimand and impose a fine, for:
    1. Violating any provision of this chapter, any lawful order of the board, or any administrative regulation promulgated by the board pursuant to this chapter;
    2. Being convicted of any felony, or any misdemeanor if the misdemeanor relates to the practice of embalming or funeral directing, if in accordance with KRS Chapter 335B. For purposes of this subsection, a conviction includes a finding or verdict of guilt or an entry of a guilty plea or a plea of no contest;
    3. Paying or offering to pay, directly or indirectly, any consideration of value to secure a funeral, prior to or after an individual’s death, or allowing the applicant’s or licensee’s employee or immediate family member to pay anything of value to secure a funeral;
    4. Soliciting business in any way by offering or giving any service which is not a normal function of a licensed embalmer or a licensed funeral director in a regular service;
    5. Permitting any person who is not a Kentucky-licensed embalmer or Kentucky-licensed funeral director to perform any service pertaining to embalming or funeral directing required by law of a licensed embalmer or a licensed funeral director, from the time of death until interment;
    6. Misrepresenting or concealing a material fact in obtaining a license or an apprentice registration;
    7. Assisting any applicant for an embalmer’s or a funeral director’s license in obtaining the license by misrepresentation or concealment of a material fact in registering for an apprenticeship, or during the period of serving an apprenticeship, or in taking or passing the examination for an embalmer’s or a funeral director’s license;
    8. Being sanctioned for a violation of any state or federal statute or administrative regulation governing the funeral industry or its practice for which a plan of correction or remedial action was not accepted by the state or federal authority; or
    9. Committing any act which constitutes unprofessional, fraudulent, misleading, corrupt, deceptive, or dishonest conduct. If the act constitutes a crime, conviction in a criminal proceeding shall not be a condition precedent to a disciplinary action.
  2. The board may refuse to issue, may revoke, or suspend and impose probationary conditions on the registration of an apprentice, and may issue a written reprimand and impose a fine, for:
    1. Violating any of the provisions set out in paragraphs (a) to (i) of subsection (1) of this section; or
    2. Disobeying the proper orders or instructions of a superior.
  3. The board may refuse to issue or renew, may revoke, or suspend and impose probationary conditions on the license of any funeral establishment, and may issue a written reprimand and impose a fine, for:
    1. Misrepresenting or concealing a material fact in obtaining a funeral establishment license;
    2. Operating a funeral establishment in violation of any lawful order of the board or any state or federal statute or administrative regulation governing the operation of a funeral establishment; or
    3. Operating a funeral establishment without the supervision of a Kentucky-licensed embalmer or a Kentucky-licensed funeral director.

HISTORY: 1599a-11: amend. Acts 1960, ch. 52, § 15; 1984, ch. 82, § 3, effective July 13, 1984; 1996, ch. 149, § 7, effective July 15, 1996; 1998, ch. 90, § 4, effective July 15, 1998; 2017 ch. 158, § 61, effective June 29, 2017.

NOTES TO DECISIONS

1.Constitutionality.

Provision that the Board may refuse or revoke the license of an embalmer or funeral director for soliciting business by offering or giving any service outside the normal function of a licensed funeral director or embalmer in a regular service is not unconstitutionally vague or overbroad as long as licensed embalmers and funeral directors are well aware of what constitutes the normal and regular services of their profession. Auxier v. Commonwealth, Board of Embalmers & Funeral Directors, 553 S.W.2d 286, 1977 Ky. App. LEXIS 738 (Ky. Ct. App. 1977).

2.Applicability.

Under this section the Board’s authority is expressly confined to the suspension or revocation of a license, or to the refusal to issue or renew a license. Johnson v. Correll, 332 S.W.2d 843, 1960 Ky. LEXIS 173 ( Ky. 1960 ).

The Board has no authority to nullify a certificate of registration of an apprentice funeral director. Johnson v. Correll, 332 S.W.2d 843, 1960 Ky. LEXIS 173 ( Ky. 1960 ).

Contract whereby undertaker agreed not to do business in certain county while other contracting undertaker did business there was not illegal restraint of trade or invalid as against public policy, although parties to contract required license before doing business and although business was quasi-public one. Elkins v. Barclay, 243 Ky. 144 , 47 S.W.2d 945, 1932 Ky. LEXIS 37 ( Ky. 1932 ).

3.Due Process.

A licensee’s constitutional right to due process is fulfilled when the agency conducts a hearing that affords the licensee all his constitutional rights; a statute conferring authority on an administrative agency is not fatally defective for failure to provide for a mandatory due process hearing in all cases involving refusal to grant or renew an occupational license. Auxier v. Commonwealth, Board of Embalmers & Funeral Directors, 553 S.W.2d 286, 1977 Ky. App. LEXIS 738 (Ky. Ct. App. 1977).

Licensed embalmer and funeral director was not entitled to enjoin the Board from taking administrative action to revoke his license in the absence of a clear showing that his rights would be violated and that, as a result, he would suffer immediate and irreparable injury. Auxier v. Commonwealth, Board of Embalmers & Funeral Directors, 553 S.W.2d 286, 1977 Ky. App. LEXIS 738 (Ky. Ct. App. 1977).

Opinions of Attorney General.

KRS 316.020(2) (now repealed) and former subsection (1)(f) of this section require that each branch establishment for the care, preparation or disposal of bodies must be in charge of a licensed funeral director and embalmer who devotes all his working hours to the management of the branch, maintains continuous daily supervision during normal working hours and lives in such proximity to the branch that he is subject to call at all times and can arrive in a short time whenever the need arises. A branch manager cannot work part of the time at another funeral establishment or another business and be present at the branch only on those occasions when a body is there necessitating attention. OAG 65-6 .

In the absence of any statutory authorization to reinstate or restore a license, the board may not initiate a procedure to grant a license to one whose license has been revoked pursuant to this chapter’s hearing procedure. OAG 76-672 .

This section clearly indicates that a branch manager, and with similar effect any manager, must spend his working hours managing the business and overseeing its day-to-day affairs; it would be impossible to carry out the intention of this statute without the daily supervision of the licensee. OAG 83-219 .

There is no difference in the requirement of “direct and constant supervision” between a funeral home and a branch establishment as defined by KRS 316.010(3) (now subdivision (5)) and any facility that conducts embalming and funeral services must be under the direct and constant supervision of a licensed embalmer and funeral director. OAG 83-219 .

Research References and Practice Aids

Cross-References.

Abuse of corpse, Penal Code, KRS 525.120 .

316.155. Hearing by the board — Appeal.

  1. The board shall, before revoking, suspending, or imposing probationary conditions on any license or registration issued pursuant to this chapter, or before issuing a written reprimand or imposing a fine, set the matter for a hearing to be conducted in accordance with KRS Chapter 13B.
  2. After denying an application for a license or a registration for an apprentice, the board shall set the matter for a hearing in accordance with KRS Chapter 13B upon written request of the applicant if the request is made within thirty (30) days of the mailing of a letter of denial.
  3. Any final order of the board may be appealed to Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1984, ch. 82, § 5, effective July 13, 1984; 1988, ch. 125, § 10, effective July 15, 1988; 1996, ch. 149, § 8, effective July 15, 1996; 1996, ch. 318, § 272, effective July 15, 1996.

Legislative Research Commission Note.

(7/15/96). This section was amended by 1996 Ky. Acts chs. 149 and 318 which do not appear to be in conflict and have been codified together.

316.160. Appeal from order of board. [Repealed.]

Compiler’s Notes.

This section (1599a-11: amend. Acts 1960, ch. 52, § 16) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996, and by Acts 1996, ch. 318, § 357, effective July 15, 1996.

316.165. Business of providing surface transportation or removal of dead human bodies — Permit to authorize — Providers and activities not eligible for permit — Administrative regulations.

  1. Any person employed by a full-service funeral establishment or an embalming service establishment, except a common carrier engaged in interstate commerce, the Commonwealth and its agencies, or an emergency medical services provider duly certified or licensed pursuant to KRS Chapter 311A, who wants to engage in the business of surface transportation or removal of dead human bodies in the Commonwealth, shall apply for and may be granted a permit from the board.
  2. Surface transportation and removal services shall not include:
    1. The arrangement or conduction of funerals;
    2. The provision for the care or preparation, including embalming, of dead human bodies; or
    3. The sale or provision of funeral-related goods and services; without also the issuance of a funeral service establishment license or an embalming service establishment license.
  3. The board shall promulgate administrative regulations related to the processes and procedures for the permitting of persons to provide surface transportation and removal services of dead human bodies.

HISTORY: 2019 ch. 160, § 2, effective June 27, 2019.

316.170. Kentucky Board of Embalmers and Funeral Directors — Membership — Qualifications — Compensation — Meetings.

  1. The board shall consist of five (5) members who shall be residents of the Commonwealth of Kentucky. Four (4) members shall be Kentucky-licensed embalmers and Kentucky-licensed funeral directors actively practicing embalming and funeral directing in a Kentucky funeral establishment and shall have a minimum of ten (10) years’ consecutive experience in the practice of embalming and funeral directing in Kentucky immediately preceding their appointment. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated.
  2. The Governor shall make all appointments to the board. The four (4) embalmer and funeral director members shall be appointed from a list of three (3) names submitted by the Funeral Directors Association of Kentucky and from a list of three (3) names submitted by the Kentucky Association of Morticians, Inc., for each position to be filled.
  3. The term of each member shall be four (4) years. Each member shall serve until a successor is appointed and qualified.
  4. Vacancies on the board shall be filled in the same manner for the unexpired terms.
  5. Each board member shall receive compensation as set forth in administrative regulation, not to exceed two hundred dollars ($200) for each day of service actually given in carrying out the board’s duties and shall be reimbursed for necessary traveling expenses and other necessary expenses incurred in attending board meetings and carrying out the board’s duties.
  6. The board shall elect annually a president from its members.
  7. The board shall meet as often as necessary to discharge its duties, but not less than once a year.
  8. Three (3) members shall constitute a quorum.

History. 1599a-1: amend. Acts 1960, ch. 52, § 17; 1976, ch. 206, § 9; 1996, ch. 149, § 9, effective July 15, 1996; 2014, ch. 40, § 1, effective July 15, 2014; 2021 ch. 23, § 4, effective June 29, 2021.

Opinions of Attorney General.

A person could not serve as the county coroner and as a member of the State Board of Funeral Directors and Embalmers at the same time. OAG 76-669 .

316.180. Appointment of board members — Terms — Vacancies — Certificates of appointment. [Repealed.]

Compiler’s Notes.

This section (1599a-1, 1599a-3: amend. Acts 1960, ch. 52, § 18; 1976, ch. 206, § 10; 1980 ch. 320, § 1, effective July 15, 1980) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.190. Board to select officers. [Repealed.]

Compiler’s Notes.

This section (1599a-4: amend. Acts 1960, ch. 52, § 19) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.200. Oath of board members. [Repealed.]

Compiler’s Notes.

This section (1599a-3: amend. Acts 1960, ch. 52, § 20) was repealed by Acts 1996, ch. 149, § 12, effective July 15, 1996.

316.210. Powers and duties of board.

  1. The board shall administer and enforce the provisions of this chapter and may promulgate administrative regulations pursuant to KRS Chapter 13A to carry out and enforce the provisions of this chapter.
  2. The board shall keep records and minutes necessary to carry out the provisions of this chapter.
  3. The board may administer oaths and may issue subpoenas to compel the attendance of witnesses and the production of documents.
  4. The board may seek injunctive relief in Franklin Circuit Court to restrain or enjoin a violation of this chapter.
  5. The board may employ persons as necessary to carry out the requirements of this chapter.
  6. The board shall promulgate administrative regulations to establish fees authorized by this chapter.

History. 1599a-4: amend. Acts 1960, ch. 52, § 21; 1984, ch. 82, § 6, effective July 13, 1984; 1996, ch. 149, § 10, effective July 15, 1996; 2021 ch. 23, § 5, effective June 29, 2021.

NOTES TO DECISIONS

1.Enforcement.

Kentucky Board of Embalmers and Funeral Directors was not enjoined from enforcing statutes relating to embalmers and funeral directors against a crematory because it had not been granted a permit to transport dead human bodies; therefore, the Board was the property authority to regulate the crematory’s violation of the licensing statute. Reynolds Enters. v. Ky. Bd. of Embalmers & Funeral Dirs., 382 S.W.3d 47, 2012 Ky. App. LEXIS 329 (Ky. Ct. App. 2012).

316.220. Meetings of board — Quorum. [Repealed.]

Compiler’s Notes.

This section (1599a-4, 1599a-5) was repealed by Acts 1960, ch. 52, § 22.

316.230. Functions of Board. [Repealed.]

Compiler’s Notes.

This section (1599a-4) was repealed by Acts 1960, ch. 52, § 22.

316.240. Who may administer oath. [Repealed.]

Compiler’s Notes.

This section (1599a-6) was repealed by Acts 1960, ch. 52, § 22.

316.250. Field counsel. [Repealed.]

Compiler’s Notes.

This section (1599a-4: amend. Acts 1960, ch. 52, § 23) was repealed by Acts 1988, ch. 125, § 11, effective July 15, 1988.

316.260. Inspector of Board of Funeral Directors and Embalmers.

There shall be appointed by the board an agent whose title shall be “inspector of the Board of Funeral Directors and Embalmers of the Commonwealth of Kentucky.” The inspector shall receive such compensation as the board may determine. The inspector shall hold office during the pleasure of the board which shall determine what his duties shall be. The inspector may enter the office, premises, establishment or place of business of any funeral director or embalmer in the Commonwealth of Kentucky or any office, premises, establishment or place where the practice of funeral directing or embalming is carried on, or where the practice is advertised as being carried on, for the purpose of inspecting the office, premises or establishment for violations of this chapter and for the purpose of inspecting the license and registration of any funeral director, embalmer, licensee or resident apprentice operating therein.

History. Enact. Acts 1988, ch. 125, § 2, effective July 15, 1988.

Preneed Funeral Contracts

316.310. Definitions. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 1) was repealed, reenacted and amended as subsection (1) to (5) of KRS 367.932 by Acts 1984, ch. 116, § 1, effective July 13, 1984.

316.320. Preneed payments and increment as trust funds — Disbursements authorized, when. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 2) was repealed, reenacted and amended as KRS 367.934 by Acts 1984, ch. 116, § 2.

316.330. Refund to persons making payments. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 3) was repealed, reenacted and amended as KRS 367.936 by Acts 1984, ch. 116, § 3.

316.340. Trust funds, how kept and deposited. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 4) was repealed, reenacted and amended as KRS 367.938 by Acts 1984, ch. 116, § 4.

316.350. License to accept preneed contract required — Fees. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 5) was repealed, reenacted and amended as KRS 367.940 by Acts 1984, ch. 116, § 5.

316.360. Records of licensee, requirements — Inspection. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 6) was repealed by Acts 1984, ch. 116, § 27.

316.370. Department of banking and securities to enforce law — Rules and regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 6) was repealed by Acts 1984, ch. 116, § 27.

Penalties

316.990. Penalties.

  1. Any person who violates or aids in the violation of KRS 316.030(1) by engaging in or attempting to engage in embalming or funeral directing or doing any part of a service pertaining to embalming or funeral directing from the time of death until the interment of a dead human body, who is not licensed under this chapter, shall be guilty of a misdemeanor and upon conviction shall be fined not less than fifty dollars ($50) nor more than five hundred dollars ($500), or imprisoned for not more than six (6) months, or both for each offense.
  2. Any person not licensed under this chapter who conducts a funeral establishment or corporation for the preparation and burial of dead human bodies, or who holds himself out to be an embalmer or funeral director, or who prepares, cares for, or disposes of dead human bodies within the meaning of this chapter, shall be guilty of a misdemeanor, and upon conviction shall be fined not less than fifty dollars ($50) nor more than five hundred dollars ($500), or imprisoned for not more than six (6) months, or both. Each day that the establishment is open to the public in violation of this chapter shall be a separate offense.

History. 1599a-16, 1599a-16a: amend. Acts 1960, ch. 52, § 24; 1996, ch. 149, § 11, effective July 15, 1996.

NOTES TO DECISIONS

1.Enforcement.

Kentucky Board of Embalmers and Funeral Directors was not enjoined from enforcing statutes relating to embalmers and funeral directors against a crematory because it had not been granted a permit to transport dead human bodies; therefore, the Board was the property authority to regulate the crematory’s violation of the licensing statute. Reynolds Enters. v. Ky. Bd. of Embalmers & Funeral Dirs., 382 S.W.3d 47, 2012 Ky. App. LEXIS 329 (Ky. Ct. App. 2012).

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

316.991. Violations, penalty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 12, § 8) was repealed by Acts 1984, cch. 116, § 27, effective July 13, 1984.

CHAPTER 317 Barbers

317.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (165c-2) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.020. Unlawful to practice without license — Unlawful to permit person without license to practice in shop. [Repealed.]

Compiler’s Notes.

This section (165c-1) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.030. Exceptions to chapter. [Repealed.]

Compiler’s Notes.

This section (165c-6) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.040. Qualifications for apprentice’s license. [Repealed.]

Compiler’s Notes.

This section (165c-10) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.050. Qualifications for license as barber, beauty specialist. [Repealed.]

Compiler’s Notes.

This section (165c-12) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.060. Qualifications for license as manicurist. [Repealed.]

Compiler’s Notes.

This section (165c-9) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.070. Qualifications for license to teach barbering, beauty culture. [Repealed.]

Compiler’s Notes.

This section (165c-13) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.080. License to operate shop. [Repealed.]

Compiler’s Notes.

This section (165c-16) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.090. License to conduct school of barbering, beauty culture — Permit for lecture, clinic, course, etc., in cosmetology. [Repealed.]

Compiler’s Notes.

This section (165c-8: amend. Acts 1954, ch. 198, § 1; 1956, ch. 57, § 1) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.100. Qualifications of nonresident for barber’s beauty specialists’ license. [Repealed.]

Compiler’s Notes.

This section (165c-15: amend. Acts 1956, ch. 57, § 2) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.110. Qualifications of nonresident for manicurist’s license. [Repealed.]

Compiler’s Notes.

This section (165c-15) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.120. Qualifications of nonresident for apprentice’s license — Nonresident practice may be credited. [Repealed.]

Compiler’s Notes.

This section (165c-15) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.130. Application for license. [Repealed.]

Compiler’s Notes.

This section (165c-7, 165c-16) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.140. Examinations. [Repealed.]

Compiler’s Notes.

This section (165c-7, 165c-14, 165c-18: amend. Acts 1956, ch. 57, § 3) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.150. Reexamination. [Repealed.]

Compiler’s Notes.

This section (165c-17) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.160. License fees. [Repealed.]

Compiler’s Notes.

This section (165c-17) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.170. Renewal, restoration of license. [Repealed.]

Compiler’s Notes.

This section (165c-14, 165c-16) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.180. Form of license — Certificate to be displayed — Evidence of right to practice. [Repealed.]

Compiler’s Notes.

This section (165c-18) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.190. Duplicate license certificate. [Repealed.]

Compiler’s Notes.

This section (165c-17: amend Acts 1954, ch. 198, § 3) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.200. Requirements of schools of barbering, beauty culture. [Repealed.]

Compiler’s Notes.

This section (165c-8, 165c-20: amend. Acts 1954, ch. 198, § 4) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.210. Grounds for refusal, revocation, suspension of license. [Repealed.]

Compiler’s Notes.

This section (165c-19) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.220. Hearing on refusal, revocation, suspension of license. [Repealed.]

Compiler’s Notes.

This section (165c-20) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.230. Appeal from board’s ruling on license. [Repealed.]

Compiler’s Notes.

This section (165c-20) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.240. Board of Barber and Beauty Examiners — Members — Appointment — Terms — Qualifications — Board to be divided into two sections — Duties. [Repealed.]

Compiler’s Notes.

This section (165c-3: amend. Acts 1956, ch. 57, § 4) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.250. Vacancies. [Repealed.]

Compiler’s Notes.

This section (165c-3, 165c-19) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.260. Officers of board — Compensation of board members and secretary — Bond of secretary. [Repealed.]

Compiler’s Notes.

This section (165c-4: amend. Acts 1954, ch. 198, § 5) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.270. Meetings of board. [Repealed.]

Compiler’s Notes.

This section (165c-4) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.280. Functions of board. [Repealed.]

Compiler’s Notes.

This section (165c-4, 165c-5, 165c-8) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.290. Qualifications of inspectors. [Repealed.]

Compiler’s Notes.

This section (165c-4) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.300. Record of proceedings — List of licensees. [Repealed.]

Compiler’s Notes.

This section (165c-4, 165c-5) was repealed by Acts 1972, ch. 203, § 55. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.310. Members and agents of board may inspect premises. [Repealed.]

Compiler’s Notes.

This section (165c-5) was repealed by Acts 1972, ch. 203, § 55. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.320. Apprentice to practice only under licensed barber or beauty specialist. [Repealed.]

Compiler’s Notes.

This section (165c-11: amend. Acts 1954, ch. 198, § 6) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.330. Established place of business — Outside entrance — Lavatory. [Repealed.]

Compiler’s Notes.

This section (165c-20) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.340. Sanitary regulations. [Repealed.]

Compiler’s Notes.

This section (165c-21) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.350. Licensee to notify board of change of address. [Repealed.]

Compiler’s Notes.

This section (165c-16) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.360. Publication and distribution of regulations. [Repealed.]

Compiler’s Notes.

This section (165c-5: amend. Acts 1958, ch. 47, § 3) was repealed by Acts 1960, ch. 233, § 22. For present law see KRS 317.410 to 317.991 and KRS Chapter 317A.

317.410. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. A “barber” is any person who engages in the practice of “barbering” for the public generally or for consideration;
  2. “Barbering” is the practice upon the human neck, face, and head, principally of shaving or trimming the beard or cutting the hair, but includes also:
    1. Giving facial and scalp massage or treatments with oils, creams, lotions, or other preparations, either by hand or any contrivance;
    2. Singeing, shampooing, pressing, arranging, dressing, styling, or dyeing the hair or applying hair tonics; and
    3. Applying to the neck or head cosmetics, lotions, powders, oils, clays, or other preparations;
  3. “Barber pole” means a cylinder or pole with alternating stripes of any combination, including but not limited to red and white, or red, white, and blue, which run diagonally along the length of the pole;
  4. “Barber school” or “school of barbering” means an operation, place, or establishment in or through which persons are trained or taught the practice of barbering;
  5. “Barber shop” is any establishment in which the practice of barbering is conducted for the general public or for consideration;
  6. “Board” means the Kentucky Board of Barbering;
  7. “Endorsement” means the process of granting a license under this chapter to an applicant licensed in another state;
  8. “Independent contract owner” means any barber or apprentice barber licensed under this chapter who leases or rents space in a barber shop; and
  9. “Lapse fees” means the annual renewal license fee which would have been paid for the period during which a license has lapsed.

History. Enact. Acts 1960, ch. 233, § 1; 1974, ch. 354, § 16; 1976, ch. 114, § 1; 2006, ch. 32, § 1, effective July 12, 2006; 2013, ch. 51, § 1, effective June 25, 2013; 2018 ch. 46, § 1, effective March 30, 2018.

NOTES TO DECISIONS

Cited:

Kentucky Board of Hairdressers & Cosmetologists v. Stevens, 393 S.W.2d 886, 1965 Ky. LEXIS 251 ( Ky. 1965 ).

Opinions of Attorney General.

Seminars and workshops, conducted by members of the Kentucky Association of Hairdressers and Cosmetologists in conjunction with their conventions, or continuing education programs, in which members hear lectures from guest experts are not “schools” or “post-graduate schools.” OAG 63-180 .

It is apparent from the wording of the statutes that the legislature envisioned that barbers would be principally concerned with the heads of men, whereas beauticians would deal principally with women. However, it is equally clear that there was no intention to exclude barbers from practicing barbering upon women or to prohibit beauticians from performing like services for men. Therefore, the law permits barbers to render any of their services to women, without limitation, and authorizes cosmetologists to render to men any tonsorial services which they are authorized to perform. OAG 69-207 .

Persons licensed as cosmetologists may, without also having a barber’s license, perform upon males in their beauty salons any or all of the services set out in this section defining the practice of “cosmetology.” There appears to be nothing in the statutes prohibiting a cosmetologist from rendering to males as well as females these services which are authorized under the cosmetologist license. OAG 69-645 .

Persons who perform facial treatments must be classified as cosmetologists and must be licensed. OAG 70-776 .

The term “arranging” was meant to apply where the arranging of the hair is the end result or sole purpose of the hairdresser’s act and not as an incidence to the sale of a wig. OAG 70-776 .

Wig salesmen are not required to be licensed by the Kentucky State Board of Hairdressers and Cosmetologists. OAG 70-776 .

The operation of a barbering college at Berea College is exempt from the licensing control of the Kentucky Board of Barbering because it does not hold itself to be a barber shop for the general public. OAG 71-134 .

In the definition of the term barbering in subdivision (2) of this section, “principally” does not mean exclusively; nothing in the statutory language indicates that the listing was intended to be all inclusive and to thereby exclude any practice which was not specifically mentioned. The definition is inclusive in nature, not exclusive, and permanent waiving of a customer’s hair constitutes practice upon the human neck and head as those terms are used in subdivision (2) of this section. OAG 82-158 .

Permanent waving of hair involves: the giving of treatments with chemical preparations, a procedure specifically included in subdivisions (2)(a) and (c) of this section, and the use of rods and chemical preparations to arrange hair, a procedure specifically included in subdivision (2)(b) of this section; accordingly, a licensed barber may administer a permanent wave to customers. OAG 82-158 .

The fact that the term cosmetology, as defined in KRS 317A.010(2), also includes the practice of giving permanent waves to customers does not alter the fact that the statutory definition of barbering in this section includes such practice. OAG 82-158 .

317.420. Barber license requirements — Exemptions — Advertising.

  1. No person shall engage in the practice of “barbering” for other than cosmetic purposes nor shall any person engage in barbering for the treatment of physical or mental ailments, except that the provisions of this chapter shall not apply to:
    1. Persons authorized by the law of this state to practice medicine, chiropody, optometry, dentistry, chiropractic, nursing, or embalming when incidental practices of barbering are performed by them in the normal course of the practice of their profession;
    2. Commissioned medical or surgical personnel of the United States Armed Forces performing incidental practices of barbering in the course of their duties; or
    3. Barbering services performed at an institution operated by or under contract to the Department of Corrections or the Department of Juvenile Justice.
  2. Except as provided in subsection (1) of this section, no person shall engage in the practice of barbering for the public generally or for consideration without the appropriate license required by this chapter.
  3. No person, unless duly and properly licensed pursuant to this chapter, shall:
    1. Teach barbering;
    2. Operate a barber shop;
    3. Conduct or operate a school for barbers; or
    4. Lease or rent booth space as an independent contract owner.
  4. No person shall aid or abet any person in violating the provisions of this section, nor shall any person engage or employ for consideration any person for the performance of any practice licensed by this chapter unless the person to perform such practice holds and displays the appropriate license therefor.
  5. Except as provided in this chapter, no person or business shall:
    1. Advertise barbering services, unless the person or business and the personnel it employs are licensed under this chapter;
    2. Advertise as a barber shop, unless all persons in the shop practicing barbering services are licensed under this chapter. Any barber practicing in a shop licensed as both a barber shop and a salon licensed under KRS Chapter 317A may display an image, that is at least four (4) inches high, of a barber pole at his or her station; or
    3. Use or display a barber pole for the purpose of advertising barbering services to the public unless it:
      1. Has a barber shop license; and
      2. Employs a barber licensed under this chapter.
  6. A person holding an active barber license from the board and who practices in a shop licensed by the board may render services for pay or otherwise to:
    1. A person suffering from a terminal illness who is receiving the services of a hospice program either at home or at a hospice inpatient unit; or
    2. A person who is deceased and in the care of a funeral establishment.

History. Enact. Acts 1960, ch. 233, § 2; 1966, ch. 145, § 1; 1974, ch. 354, § 17; 2002, ch. 11, § 7, effective July 15, 2002; 2006, ch. 32, § 2, effective July 12, 2006; 2013, ch. 51, § 2, effective June 25, 2013; 2013, ch. 72, § 5, effective June 25, 2013; 2018 ch. 46, § 2, effective March 30, 2018.

Legislative Research Commission Note

(6/25/2013). This statute was amended by 2013 Ky. Acts chs. 51 and 72, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

Cited:

Stogner v. Kentucky, 638 F. Supp. 1, 1985 U.S. Dist. LEXIS 22896 (W.D. Ky. 1985 ).

Opinions of Attorney General.

The dressing of hair and application of cosmetics for demonstration purposes as part of an exhibit of the state fair would not be the practice of cosmetology since the beauticians in question were only demonstrating upon their own personnel, the exhibit was not open to the public and no compensation was involved. OAG 62-923 .

Seminars and workshops, conducted by members of the Kentucky Association of Hairdressers and Cosmetologists in conjunction with their conventions, or continuing education programs in which members hear lectures from guest experts are not “schools” or “post-graduate schools.” OAG 63-180 .

A licensed barber may not hire an employee who is not a licensed barber for the purpose of shampooing the customers. OAG 72-643 .

In view of this section and KRS 314.011 , nurses, but not nursing assistants, may shave male patients in health care facilities without securing a barbering license. OAG 75-387 .

317.430. Kentucky Board of Barbering — Membership — Terms — Compensation.

  1. There is hereby created an independent agency of the state government to be known as the Kentucky Board of Barbering, which shall have complete supervision over the administration of the provisions of this chapter relating to barbers, barbering, barber shops, independent contract owners, barber schools, and the teaching of barbering.
  2. The board shall be composed of five (5) members appointed by the Governor. Four (4) members shall be barbers holding a valid license and practicing in Kentucky. One (1) member shall be a citizen at large who is not associated with or financially interested in barbering. At all times in the filling of vacancies of membership on the barber board, this balance of representation shall be maintained.
  3. The two (2) members appointed to fill the terms beginning on February 1, 2008, shall serve until February 1, 2011, and the three (3) members appointed to fill the terms beginning on February 1, 2007, shall serve until February 1, 2010. All subsequent appointments shall be for a term of three (3) years, with terms ending on February 1.
  4. The Governor shall not remove any member of the board except for cause.
  5. The board shall elect from its members one (1) to serve as chairman, one (1) to serve as vice chairman, and a third to serve as secretary.
  6. Three (3) members shall constitute a quorum for the transaction of business.
  7. In addition to the other qualifications specified in this section, barber members of the board shall be at least twenty-three (23) years of age, citizens of the United States, residents of Kentucky, and must have engaged in the practice of barbering in this state for a period of at least five (5) years.
  8. No member of the board shall be financially interested in, or have any financial connection with, any barber or cosmetology school, wholesale cosmetic or barber supply or equipment business, nor shall any member of the barber board teach barbering, cosmetology, or manicuring for monetary considerations.
  9. Each member of the board shall receive a compensation of one hundred dollars ($100) per day for each day of attendance at a meeting of the board, and shall be reimbursed for necessary traveling expenses.
  10. The board shall hold its meetings within the state and when deemed necessary by the board to discharge its duties.

History. Enact. Acts 1960, ch. 233, § 3; 1970, ch. 124, § 2; 1976, ch. 206, § 11; 1988, ch. 161, § 1, effective July 15, 1988; 1998, ch. 194, § 7, effective July 15, 1998; 2006, ch. 32, § 3, effective July 12, 2006; 2008, ch. 103, § 1, effective July 15, 2008; 2013, ch. 51, § 3, effective June 25, 2013; 2018 ch. 46, § 3, effective March 30, 2018.

Opinions of Attorney General.

Because no statute grants the Board of Barbering the authority to permit a student to receive credit for hours of study accrued during a period of enrollment which precedes a period of disenrollment from a barber school, the board does not have such authority. OAG 79-523 .

317.440. Administrative regulations.

  1. To protect the health and safety of the public and to protect the public against misrepresentation, deceit, or fraud in the practice or teaching of barbering, the board shall promulgate administrative regulations governing the:
    1. Location and housing of barber shops or schools;
    2. Quantity and quality of equipment, supplies, materials, records, and furnishings required in barber shops or schools;
    3. Qualifications of teachers of barbering;
    4. Qualifications of applicants to or enrollees in barber schools;
    5. Hours and courses of instruction at barber schools;
    6. Examinations of applicants for barber or teacher of barbering; and
    7. Qualifications of independent contract owners.
  2. The board shall establish fees by administrative regulation.
  3. Administrative regulations pertaining to health and sanitation shall be approved by the Kentucky secretary for health and family services before becoming effective.

History. Enact. Acts 1960, ch. 233, § 4; 1974, ch. 74, Art. VI § 107(10); 1998, ch. 193, § 1, effective July 15, 1998; 1998, ch. 426, § 550, effective July 15, 1998; 2005, ch. 99, § 599, effective June 20, 2005; 2006, ch. 32, § 4, effective July 12, 2006; 2013, ch. 51, § 4, effective June 25, 2013; 2015 ch. 110, § 2, effective June 24, 2015; 2018 ch. 46, § 4, effective March 30, 2018.

NOTES TO DECISIONS

1.Inspection.

Since barbering is closely regulated, supervised, and inspected by the state, it is not unreasonable for the barber board to conduct warrantless inspections to protect the health and safety of the public. Stogner v. Kentucky, 638 F. Supp. 1, 1985 U.S. Dist. LEXIS 22896 (W.D. Ky. 1985 ).

Research References and Practice Aids

Cross-References.

Administrative regulations, KRS Chapter 13A.

317.450. Fees and qualifications for licenses and permits — Annual renewal.

    1. The board shall issue an apprentice license to practice barbering to any person who: (1) (a) The board shall issue an apprentice license to practice barbering to any person who:
      1. Is at least seventeen and one-half (17-1/2) years of age;
      2. Is of good moral character and temperate habit;
      3. Possesses a high school diploma, a High School Equivalency Diploma, or a transcript from an issuing institution that is recognized by the educational authority in the state from which the diploma, certificate, or transcript is issued;
      4. Has graduated from a licensed school of barbering;
      5. Has satisfactorily passed the apprentice examination prescribed by the barber board, which shall include a practical assessment of the applicant’s skills, including but not limited to a taper haircut, shampoo, straight razor facial shave, facial, and a chemical application; and
      6. Has paid a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
    2. A barber shall serve an apprentice period of at least six (6) months but not more than nine (9) months of continuous service from the effective date of the license issued pursuant to paragraph (a) of this subsection.
    3. In addition to the grounds for disciplinary action specified in KRS 317.590 , the board may, during the apprentice period, require a licensee to retake any part or all of the written or practical examination, or both.
    4. At the end of the apprentice period, the board shall issue a license to practice barbering to an apprentice licensee who has:
      1. Satisfactorily passed the barber examination prescribed by the board by administrative regulations promulgated in accordance with KRS Chapter 13A; and
      2. Complied with all other requirements of this subsection.
    5. The board may issue a barber license by endorsement to a resident of another state, district, or territory within the United States of America upon payment of a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A, and upon submission of satisfactory evidence that the requirements for licensure in the other state are substantially equivalent to the requirements of this state at the time of application. In the absence of the required equivalency, an applicant from another state, district, or territory within the United States of America, shall show proof of three (3) years or more experience immediately before making application and be currently licensed and in good standing with the state, district, or territory in which he or she is licensed. The board may also require an applicant under this section to pass a written and practical examination to establish equivalency.
  1. The board shall:
    1. Issue a license to operate a barber shop to any barber licensed under the provisions of this chapter upon application and payment of a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A;
    2. Refuse to issue the license upon a failure of the licensed barber to comply with the provisions of this chapter or the administrative regulations promulgated by the board;
    3. Allow the licensed owner of a barber shop, which is licensed under this chapter, to rent or lease space in his or her barber shop to an independent contract owner; and
    4. Allow an unlicensed owner of a barber shop to rent or lease space in his or her barber shop to an independent contract owner, only if the shop owner has a licensed barber as a manager of the shop at all times. If the owner, manager, or location of a barber shop changes, the required form and fee shall be submitted to the board.
  2. The board shall issue a license to operate a school of barbering to any person, firm, or corporation who or which:
    1. Applies for a license upon forms furnished by the board;
    2. Has the equipment and facilities that may be required by administrative regulations promulgated by the board;
    3. Has furnished adequate evidence to the board that:
      1. There is an intent to establish a bona fide school for the education and training of competent barbers; and
      2. A sufficient number of teachers licensed by the board will be employed to conduct the school, including at least one (1) teacher with a minimum of thirty-six (36) months’ experience teaching in a barber school that includes administrative experience; and
    4. Pays a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  3. The board shall issue a student permit to any person enrolled in a licensed barber school upon payment of a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  4. The board shall issue a license to teach barbering to any person who:
    1. Is of good moral character and temperate habit;
    2. Possesses a high school diploma or a High School Equivalency Diploma;
    3. Has been a Kentucky-licensed and practicing barber for at least eighteen (18) months;
    4. Has satisfactorily passed the examination prescribed by the board by promulgation of administrative regulations; and
    5. Has paid a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  5. The board shall issue a license to any barber who holds an independent contract owner’s license who:
    1. Is of good moral character and temperate habit;
    2. Possesses a high school diploma or a High School Equivalency Diploma;
    3. Is a licensed and practicing barber under this chapter; and
    4. Has paid a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  6. The board shall issue a demonstration charity event permit to any licensed barber who pays a fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  7. Applications for examination required in this section shall be accompanied by an examination fee as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
    1. On and after July 1, 2016, a license issued pursuant to this section shall expire on the first day of July next following the date of its issuance. A license shall be renewed on June 1 through July 1 of each year. (9) (a) On and after July 1, 2016, a license issued pursuant to this section shall expire on the first day of July next following the date of its issuance. A license shall be renewed on June 1 through July 1 of each year.
    2. Any license shall automatically be renewed by the board:
      1. Upon receipt of the application for renewal or duplicate renewal application form and the required annual renewal license fee submitted either in person or via written or electronic means; and
      2. If the applicant for renewal is otherwise in compliance with the provisions of this chapter and the administrative regulations of the board.
  8. The annual renewal license fee for each type of license renewal shall be as established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
    1. The fee per year for the renewal of an expired license, if the period of expiration does not exceed five (5) years, shall be as established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A. (11) (a) The fee per year for the renewal of an expired license, if the period of expiration does not exceed five (5) years, shall be as established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
    2. An applicant who fails to renew a license within five (5) years of its expiration shall comply with the requirements for relicensure established by the board through promulgation of administrative regulations in accordance with KRS Chapter 13A.

History. Enact. Acts 1960, ch. 233, § 5; 1970, ch. 124, § 1; 1974, ch. 308, § 54; 1976, ch. 114, § 2; 1980, ch. 57, § 1, effective July 15, 1980; 1982, ch. 23, § 1, effective July 15, 1982; 1998, ch. 193, § 2, effective July 15, 1998; 2006, ch. 32, § 5, effective March 24, 2006; 2008, ch. 103, § 2, effective July 15, 2008; 2013, ch. 51, § 5, effective June 25, 2013; 2015 ch. 110, § 1, effective June 24, 2015; 2017 ch. 63, § 30, effective June 29, 2017; 2018 ch. 46, § 5, effective March 30, 2018.

Legislative Research Commission Note.

(7/12/2006). A reference in subsection (10) of this statute to “subsection (7) of this section” has been changed by the Reviser of Statutes during codification to read “subsection (8) of this section.” 2006 Ky. Acts ch. 32, sec. 5, added a new subsection (6) to this statute, resulting in the renumbering of subsequent subsections, but did not make the necessary change to the internal reference in subsection (10). The Reviser of Statutes has made the conforming change under the authority of KRS 7.136 .

Opinions of Attorney General.

It was never intended that the educational background for a teacher of barbering could be acquired by attending business college or an embalming school, and therefore attendance at such institutions does not constitute “two (2) years of college” within the meaning of this section. OAG 68-47 .

The term “four (4) years of high school education” as used in the statute does not require four (4) years of actual attendance at high school and the board of barbers should accept anyone who can show on reliable authority that he has obtained by whatever means an education fully equivalent to what he would have received if he had attended and finished high school. The Board of Barbers should look to the state Board of Education for advice as to particular certificates which may and should be relied upon to show high school equivalency. OAG 68-47 .

A barber or an instructor who is properly licensed in another state would qualify to take the Kentucky barber examination if the licensing requirements of the second jurisdiction surpass or are equal to those of Kentucky and if the applicant was a licensed barber for a period of three (3) years. OAG 77-293 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

317.460. Board hearings — Appeal — Inspections.

  1. The board shall hold hearings upon the request of any person directly affected by the board’s decision to refuse a license; deny or revoke a license; or suspend or place a licensee on probation. Hearings shall be conducted in accordance with KRS Chapter 13B.
  2. For the purpose of enforcing the provisions of this chapter, officers, agents, and inspectors of the board may enter upon premises of all facilities issued a permit or license by the board, at all reasonable times and during periods when those premises are otherwise open to the public, and make inspections to determine compliance with this chapter and the administrative regulations promulgated by the board, and inspect books, papers, or records pertaining to licensed activity, a copy of which may be obtained by the board officer, agent, or inspector.
  3. Final orders of the board as a result of any hearing may be appealed to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1960, ch. 233, § 6; 1988, ch. 161, § 2, effective July 15, 1988; 1996, ch. 318, § 276, effective July 15, 1996; 2018 ch. 46, § 6, effective March 30, 2018.

317.470. Board personnel and administration — Copies of rules and regulations.

  1. The board may employ such personnel as may be reasonably necessary to carry out the provisions of this chapter, whose compensation shall be established by the Personnel Cabinet. The board shall by appropriate order employ an administrator who shall be charged with responsibility of administering the provisions of this chapter, and the policies of the board relating to barbering. The administrator may receive compensation as may be established by classification of the position by the Personnel Cabinet.
  2. The board shall prescribe the duties of such personnel employed by it.
  3. The board shall publish or electronically provide copies of its rules and regulations and any proposed amendments to all persons licensed by it and to any other persons, places, or agencies as may be required by law or deemed by it reasonably necessary in the administration of the provisions of this chapter.

History. Enact. Acts 1960, ch. 233, § 7; 1970, ch. 124, § 3; 1998, ch. 154, § 90, effective July 15, 1998; 2018 ch. 46, § 7, effective March 30, 2018.

Opinions of Attorney General.

The administrator of the Kentucky Board of Barbering created pursuant to subsection (1) of this section would be classified under either subsection (f) or (h) of KRS 18.140 (now see KRS 18A.115 ), and personnel rules concerning accumulated annual leave would be applicable to such position. OAG 72-218 .

317.480. Cosmetologist board — Membership — Compensation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 8; 1966, ch. 145, § 2) was repealed by Acts 1974, ch. 354, § 26. For present law see KRS Chapter 317A.

317.490. Cosmetologist board personnel and administration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 9; 1966, ch. 145, § 3) was repealed by Acts 1974, ch. 354, § 26. For present law see KRS Chapter 317A.

317.500. Fees and qualifications for licenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 10; 1966, ch. 145, § 4) was repealed by Acts 1974, ch. 354, § 26. For present law see KRS Chapter 317A.

317.510. Cosmetologist board regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 11; 1966, ch. 145, § 54) was repealed by Acts 1974, ch. 354, § 26. For present law see KRS Chapter 317A.

317.520. Cosmetologist board hearings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 18) was repealed by Acts 1974, ch. 354, § 26. For present law, see KRS 317A.070 .

317.530. Kentucky Board of Barbering trust and agency fund — Disposition of fees.

  1. There is hereby established in the State Treasury the Kentucky Board of Barbering trust and agency fund.
  2. The fund shall be administered by the board.
    1. All fees collected by the board shall be deposited into the fund and shall be used only for the purpose of administering the provisions of this chapter as it relates to the board. (3) (a) All fees collected by the board shall be deposited into the fund and shall be used only for the purpose of administering the provisions of this chapter as it relates to the board.
    2. The cost and expenses of administering the provisions of this chapter including compensation to members of the board and its officers and employees shall be paid out of the State Treasury upon warrants of the secretary of the Finance and Administration Cabinet according to law. However, the total expense of administering these provisions shall not exceed the fees and other charges collected by the board and available in the fund.
  3. Notwithstanding KRS 45.229 , fund amounts not expended at the close of a fiscal year shall not lapse but shall be carried forward into the next fiscal year.
  4. Any interest earnings of the fund shall become a part of the fund and shall not lapse.
  5. Moneys deposited into the fund are hereby appropriated for the purposes set forth in this section and shall not be appropriated or transferred by the General Assembly for any other purpose.

History. Enact. Acts 1960, ch. 233, § 12; 1970, ch. 80, § 1; 1974, ch. 74, Art. II, § 9(2); 1974, ch. 354, § 18; 1984, ch. 111, § 133, effective July 13, 1984; 2018 ch. 46, § 8, effective March 30, 2018.

Research References and Practice Aids

Cross-References.

Revolving fund, KRS 45.253 .

317.540. Requirements for barber schools.

No license shall be renewed or issued by the board to any barber school, unless the school provides:

  1. The name of the proposed school;
  2. A statement that the proposed school is authorized to operate educational programs beyond secondary education;
  3. As a prerequisite of graduation, a prescribed course of instruction of not less than fifteen hundred (1,500) hours shall be given within a reasonable period with not more than eight (8) hours nor less than four (4) hours of instruction a day, exclusive of Sundays;
  4. Courses of instruction in histology of the hair, skin, muscles, and nerves of the face and neck; elementary chemistry with emphasis on sterilization and antiseptics; disease of the skin, hair, and glands; massaging and manipulating of the muscles of the upper body; cutting, shaving, arranging, dressing, coloring, bleaching, and tinting the hair and such other courses as may be prescribed by regulation of the board; and
  5. Such facilities, equipment, materials, and qualified teachers as may be required by rules and regulations of the board adopted pursuant to this chapter, but in no event shall any school have fewer than one (1) licensed teacher per twenty (20) students enrolled, or more than two (2) students per chair.

History. Enact. Acts 1960, ch. 233, § 13; 1966, ch. 145, § 6; 1974, ch. 354, § 19; 1980, ch. 57, § 2, effective July 15, 1980; 2006, ch. 32, § 6, effective July 12, 2006; 2013, ch. 51, § 6, effective June 25, 2013; 2015 ch. 110, § 3, effective June 24, 2015; 2018 ch. 46, § 9, effective March 30, 2018.

Opinions of Attorney General.

Seminars and workshops conducted by members of the Kentucky Association of Hairdressers and Cosmetologists, in conjunction with their conventions, or continuing education programs in which members hear lectures from guest experts are not “schools” or “post-graduate schools.” OAG 63-180 .

Because no statute grants the board of barbering the authority to permit a student to receive credit for hours of study accrued during a period of enrollment which precedes a period of disenrollment from a barber school, the Board does not have such authority. OAG 79-523 .

317.550. Reciprocal licensing of out-of-state cosmetologists. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 14) was repealed by Acts 1974, ch. 354, § 26. For present law, see KRS 317A.100 .

317.560. Principal office of board — Division of Occupations and Professions to assist board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 233, § 15; 1966, ch. 145, § 7; 1970, ch. 80, § 2; 1974, ch. 354, § 20; 1984, ch. 111, § 134, effective July 13, 1984) was repealed by Acts 2008, ch. 103, § 6.

317.570. Examinations.

  1. No examination or part of any examination required by this chapter shall be given unless two (2) or more members of the board are present to supervise the examination;
  2. Examinations given by the board shall cover all phases of the applicant’s qualifications for the license applied for including skill and technique of applicant as well as scientific and other knowledge;
  3. Examinations shall be given at regularly prescribed intervals;
  4. Examinations shall be given at the principal office of the board.

History. Enact. Acts 1960, ch. 233, § 16; 1974, ch. 354, § 21; 1984, ch. 111, § 135, effective July 13, 1984; 2008, ch. 103, § 3, effective July 15, 2008.

317.580. Sanitation requirements for barber, independent contract owner, or student.

No barber, independent contract owner, or student shall:

  1. Knowingly continue to practice while he has an infectious or communicable disease;
  2. Fail to provide the head rest of each chair with a relaundered towel or a sheet of clean paper for each patron;
  3. Fail to place around the patron’s neck a strip of cotton, towel, or neck strip so that the haircloth does not come in contact with the nude skin of the patron’s body;
  4. Use on one (1) patron a towel that has been used upon another patron, unless the towel has been relaundered; or
  5. Use on any patron any razor, scissors, tweezers, comb, sachet, rubber disc or part of vibrator or other similar equipment or appliance that comes into contact with the head, face, hands, or neck of a patron, until the equipment or appliance has been immersed in boiling water for ten (10) minutes or in a sterilizing solution and placed in a wet or dry sterilizer until again used. Only such methods of sterilization as are bacteriologically effective and approved by the Cabinet for Health and Family Services shall be used.
  6. Fail to wash his or her hands in a sink both before and after contact with each patron. Methods to sterilize hands that are bacteriologically effective as approved by the United States Food and Drug Administration’s Food Code, Sections 2-301.11 through 2-304.11, shall also be recognized and used. Barber shop licenses issued after July 12, 2006, shall require that a sink with hot and cold running water be located in the room where barbering is done.

History. Enact. Acts 1960, ch. 233, § 17; 1974, ch. 354, § 22; 2006, ch. 32, § 7, effective March 24, 2006; 2013, ch. 51, § 7, effective June 25, 2013; 2018 ch. 46, § 10, effective March 30, 2018.

Legislative Research Commission Notes.

(7/12/2006). 2005 Ky. Acts ch. 99, sec. 675, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the Act, as it confirms the establishment of the Cabinet for Health and Family Services. Such a correction has been made in this section.

NOTES TO DECISIONS

Cited in:

Stogner v. Kentucky, 638 F. Supp. 1, 1985 U.S. Dist. LEXIS 22896 (W.D. Ky. 1985 ).

Research References and Practice Aids

Kentucky Law Journal.

Comment, Protecting Persons with AIDS from Employment Discrimination, 77 Ky. L.J. 403 (1988-89).

317.590. Grounds for disciplinary action — Retesting in certain cases.

  1. The board may refuse to issue or renew a license or permit, or may suspend or revoke a license or permit, impose probationary conditions upon, impose an administrative fine, issue a written reprimand or admonishment, or take any combination of these actions regarding proof of any applicant’s, permittee’s, or licensee’s:
    1. Gross malpractice or incompetence;
    2. Mental or physical health that would endanger public health or safety;
    3. Failure to comply with regulations or rules of the board;
    4. False or deceptive advertising;
    5. Practicing in an unlicensed shop or in a shop knowing that the shop is not complying with this chapter or regulations of the board promulgated pursuant to this chapter;
    6. Unprofessional conduct;
    7. Teaching in an unlicensed school or in a school knowing that the school is not complying with this chapter or administrative regulations of the board promulgated pursuant to this chapter;
    8. Practicing as an independent contract owner in any manner that violates any provision of this chapter or the administrative regulations promulgated under this chapter; or
    9. Violation of a provision of this chapter or an administrative regulation promulgated by the board pursuant to this chapter.
  2. The board may require retesting of any licensee upon proper showing of gross malpractice or incompetence on the part of each licensee.

History. Enact. Acts 1960, ch. 233, § 19; 1974, ch. 354, § 23; 1976, ch. 3, § 1; 1988, ch. 161, § 3, effective July 15, 1988; 2006, ch. 32, § 8, effective March 24, 2006; 2008, ch. 103, § 4, effective July 15, 2008; 2018 ch. 46, § 11, effective March 30, 2018.

NOTES TO DECISIONS

1.Inspection.

Inspectors for the barber board may conduct warrantless inspections of barbershops, including barbering booths, whether or not those booths are occupied. Stogner v. Kentucky, 638 F. Supp. 1, 1985 U.S. Dist. LEXIS 22896 (W.D. Ky. 1985 ).

Revocation of licenses for refusal to permit the barber board to allow warrantless inspection of occupied barbering booths did not amount to harrassment since the board had the right to revoke licenses for violation of its rules and regulations. Stogner v. Kentucky, 638 F. Supp. 1, 1985 U.S. Dist. LEXIS 22896 (W.D. Ky. 1985 ).

The state must have some discretion in deciding the scope of its inspections, and although that discretion is not unlimited, the allegation that one barber received more favorable treatment than the plaintiffs in that its occupied private booths were not subjected to inspection while the plaintiff’s were, did not state a cause of action for arbitrary and capricious enforcement of the law. Stogner v. Kentucky, 638 F. Supp. 1, 1985 U.S. Dist. LEXIS 22896 (W.D. Ky. 1985 ).

Opinions of Attorney General.

The Board of Barbering does have some limited authority over an individual who has made application for license; specifically, this section establishes grounds allowing for the board to refuse to issue a license to an applicant, and in addition, if one is presently practicing as an apprentice and seeking to be licensed as a barber, such license could be revoked if the apprentice is proven to have violated any of the provisions of this section. OAG 91-32 .

The Board of Barbering is not specifically empowered to impose any penalty or fine against an individual who is not referred to in this chapter. OAG 91-32 .

The Board of Barbering lacks authority over any individual who does not hold any license from the board or is not an applicant for such license. Where the board has authority over a licensee or an applicant for a license, the board may refuse to issue or renew a license, or revoke, suspend or place on probation such licenses as are issued. OAG 91-32 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

317.595. Barber shop lessee as independent contract owner — Limitation of barber shop operator’s liability.

  1. For purposes of subsection (2) of this section, any person engaged in barbering who is licensed as a barber and who leases or rents space at a barber shop from the holder of a license to operate the barber shop shall be deemed an independent contract owner.
  2. The board shall not hold the holder of a license to operate a barber shop responsible for violations of this chapter, or of administrative regulations promulgated pursuant to this chapter, that are committed by an independent contract owner.

History. Enact. Acts 2004, ch. 9, § 1, effective July 13, 2004; 2006, ch. 32, § 9, effective March 24, 2006.

317.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (165c-22: amend. Acts 1954, ch. 198, § 7) was repealed by Acts 1960, ch. 233, § 22.

317.991. Penalties.

  1. Any person who violates any provision of this chapter shall be guilty of a Class A misdemeanor;
  2. Any person who violates any rule or regulation lawfully adopted by the board under the authority contained in this chapter shall be guilty of a Class B misdemeanor.

History. Enact. Acts 1960, ch. 233, § 23; 1974, ch. 354, § 25; 2008, ch. 103, § 5, effective July 15, 2008.

Opinions of Attorney General.

Although this section includes fines and imprisonment as penalties that may be imposed on any person who violates any provision of this chapter, it does not give the Board of Barbering the authority to impose those penalties. OAG 91-32 .

The Board of Barbering is without specific authority to levy a fine under this section, however, this is not meant to imply that administrative bodies are without authority to levy civil penalties which are properly provided for by statute. OAG 91-32 .

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 317A Cosmetologists

317A.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Beauty salon” means any establishment in which the practice of cosmetology is conducted for the general public or for consideration;
  2. “Board” means the Kentucky Board of Cosmetology;
    1. “Blow drying services” means beautifying, cleaning, or arranging the hair of an individual for consideration only at a limited beauty salon. (3) (a) “Blow drying services” means beautifying, cleaning, or arranging the hair of an individual for consideration only at a limited beauty salon.
    2. “Blow drying services” include any of the following services performed on an individual’s hair:
      1. Arranging;
      2. Cleaning;
      3. Curling;
      4. Dressing;
      5. Blow drying; and
      6. Performing any other similar procedure.
    3. “Blow drying services” do not include any service:
      1. Popularly known as a Brazilian blowout;
      2. That includes color services or that includes cutting, lightening, or chemically treating hair; or
      3. That otherwise falls under the practice of cosmetology, except as authorized in paragraph (b) of this subsection;
  3. “Cosmetologist” means a person who engages in the practice of cosmetology for the public generally or for consideration, regardless of the name under which the practice is conducted;
  4. “Cosmetology” means the practice upon the human neck and head of cutting hair, permanent waving, or hairdressing, and may also include but is not limited to:
    1. Nail technology and finger waving;
    2. Giving facial and scalp massage or treatments with oils, creams, lotions, or other preparations, either by hand or any contrivance;
    3. Shaping, designing, shampooing, pressing, arranging, tinting, or lightening the hair, or applying hair products;
    4. Applying to the neck or head, cosmetics, lotions, powders, oils, clays, or other products;
    5. Facial hair  removal; and
    6. Eyebrow shaping, design, or removal.

      The practice of cosmetology does not include acts performed incident to treatment of an illness or a disease;

  5. “Cosmetology school” or “school of cosmetology” means any operation, place, or establishment in or through which persons are trained or taught the practice of cosmetology, esthetic practices, and nail technology;
  6. “Esthetician” means a person who is licensed by the board to engage in esthetic practices in the Commonwealth of Kentucky;
    1. “Esthetic practices” means one (1) or more of the following acts: (8) (a) “Esthetic practices” means one (1) or more of the following acts:
      1. Giving facials, including consultation and skin analysis;
      2. Giving skin care;
      3. Removing facial hair;
      4. Beautifying or cleaning the body with the use of cosmetic preparations, antiseptics, tonics, lotions, creams; or
      5. Providing preoperative and postoperative esthetic skin care, either referred by or supervised by a medical professional;
    2. Except when these acts are performed incident to:
      1. Treatment of an illness or a disease;
      2. Work as a student in a board-approved school;
      3. Work without compensation from the person receiving the service; or
      4. Work performed by a licensed massage therapist;
  7. “Esthetic practices school” or “school of esthetic practices” means any operation, place, or establishment in or through which persons are trained in esthetic practices;
  8. “Esthetic salon” means a place where an esthetician performs esthetic practices;
  9. “Eyelash artistry” means the process of attaching semipermanent lashes or eyelash extensions to natural eyelashes;
  10. "Limited beauty salon" means any establishment in which the practice of blow drying services only is conducted for the general public or for consideration;
    1. “Makeup artistry” means applying cosmetic products to the face and body. (13) (a) “Makeup artistry” means applying cosmetic products to the face and body.
    2. “Makeup artistry” includes:
      1. Corrective and camouflage techniques; and
      2. Airbrushing.
    3. “Makeup artistry” does not include:
      1. Face painting at carnivals or fairs; or
      2. Application of cosmetics when not done for consideration;
  11. “Nail salon” means any establishment in which the practice of nail technology only is conducted for the general public or for consideration;
  12. “Nail technician” means a person who practices nail technology for the general public or for consideration;
  13. “Nail technology” means the practice of cutting, trimming, polishing, coloring, cleansing, applying artificial nails, or massaging, cleaning, treating, or beautifying the hands and feet of any human, for which a license is required by this chapter;
  14. “Nail technology school” or “school of nail technology” means any operation, place, or establishment in or through which persons are trained in nail technology;
    1. “Natural hair braiding” means a service of twisting, wrapping, weaving, extending, locking, or braiding hair by hand or with mechanical devices. Natural hair braiding is commonly known as “African-style hair braiding” but is not limited to any particular cultural, ethnic, racial, or religious forms of hair styles. (18) (a) “Natural hair braiding” means a service of twisting, wrapping, weaving, extending, locking, or braiding hair by hand or with mechanical devices. Natural hair braiding is commonly known as “African-style hair braiding” but is not limited to any particular cultural, ethnic, racial, or religious forms of hair styles.
    2. “Natural hair braiding” includes:
      1. The use of natural or synthetic hair extensions, natural or synthetic hair and fibers, decorative beads, and other hair accessories;
      2. Minor trimming of natural hair or hair extensions incidental to twisting, wrapping, weaving, extending, locking, or braiding hair;
      3. The use of topical agents such as conditioners, gels, moisturizers, oils, pomades, and shampoos; and
      4. The making of wigs from natural hair, natural fibers, synthetic fibers, and hair extensions.
    3. “Natural hair braiding” does not include:
      1. The application of dyes, reactive chemicals, or other preparation to alter the color of the hair or to straighten, curl, or alter the structure of the hair; or
      2. The use of chemical hair joining agents such as synthetic tape, keratin bonds, or fusion bonds.
    4. For the purposes of this subsection, “mechanical devices” means clips, combs, curlers, curling irons, hairpins, rollers, scissors, needles, thread, and hair binders; and
  15. “Threading” means the process of removing hair from below the eyebrow by use of a thread woven through the hair to be removed.

HISTORY: Enact. Acts 1974, ch. 354, § 1; 1996, ch. 82, § 1, effective July 15, 1996; 2012, ch. 152, § 1, effective July 12, 2012; 2016 ch. 48, § 1, effective July 15, 2016; 2018 ch. 35, § 1, effective July 14, 2018; 2018 ch. 46, § 12, effective March 30, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 35 and 46, which do not appear to be in conflict and have been codified together.

(7/15/2016). During codification, the Reviser of Statutes has changed the internal numbering of paragraphs in subsection (9) of this statute from the way it appeared in 2016 Ky. Acts ch. 48, sec. 1.

Opinions of Attorney General.

The fact that the term cosmetology as defined in subdivision (2) of this section also includes the practice of giving permanent waves to customers does not alter the fact that the statutory definition of barbering in KRS 317.410 includes such practice. OAG 82-158 .

317A.020. Scope of chapter — Licensure requirements — Legal actions brought by board.

  1. No person shall engage in the practice of cosmetology, esthetic practices, or nail technology for other than cosmetic purposes nor shall any person engage in the practice of cosmetology, esthetic practices, or nail technology for the treatment of physical or mental ailments. This chapter does not apply to:
    1. Persons authorized by the law of this state to practice medicine, podiatry, optometry, dentistry, chiropractic, nursing, or embalming who perform incidental practices of cosmetology, esthetic practices, and nail technology in the normal course of the practice of their profession;
    2. Commissioned medical or surgical personnel of the United States Armed Forces who perform incidental practices of cosmetology, esthetic practices, or nail technology in the course of their duties;
    3. Cosmetology, esthetic practices, or nail technology services performed at an institution operated or under contract to the Department of Corrections or the Department of Juvenile Justice; and
    4. Persons engaged in natural hair braiding.
  2. Except as provided in subsection (1) of this section, no person shall engage in the practice of cosmetology, esthetic practices, or nail technology for the public, generally, or for consideration without the appropriate license required by this chapter.
  3. No person unless duly and properly licensed pursuant to this chapter shall:
    1. Teach cosmetology, esthetic practices, or nail technology;
    2. Operate a beauty salon;
    3. Operate an esthetic salon;
    4. Act as an esthetician;
    5. Operate a nail salon;
    6. Act as a nail technician; or
    7. Conduct or operate a school for cosmetologists, estheticians, or nail technicians.
  4. No person shall aid or abet any person in violating this section, nor shall any person engage or employ for consideration any person to perform any practice licensed by this chapter unless the person to perform the practice holds and displays the appropriate license.
  5. No licensed cosmetology or esthetic practices instructors, licensed cosmetologists, licensed estheticians, or licensed nail technicians shall hold clinics for teaching or demonstrating for personal profit, either monetary or otherwise, if the clinics are not sponsored by a recognized professional cosmetologist’s, esthetician’s, or nail technician’s group.
  6. Whenever a person engages in different practices separately licensed, certified, or permitted by this chapter, that person shall procure a separate license, certificate, or permit for each of the practices in which the person engages.
  7. The board may bring and maintain actions in its own name to enjoin any person in violation of any provision of this chapter. These actions shall be brought in the Circuit Court of the county where the violation is alleged to have occurred.

History. Enact. Acts 1974, ch. 354, § 2; 1996, ch. 82, § 2, effective July 15, 1996; 2012, ch. 152, § 2, effective July 12, 2012; 2013, ch. 72, § 6, effective June 25, 2013; 2016 ch. 48, § 2, effective July 15, 2016; 2018 ch. 46, § 13, effective March 30, 2018.

317A.030. Board of Cosmetology — Membership — Compensation.

  1. There is created an independent agency of the state government to be known as the Kentucky Board of Cosmetology, which shall have complete supervision over the administration of the provisions of this chapter relating to cosmetology, cosmetologists, schools of cosmetology, or esthetic practices or nail technology, students, estheticians, nail technicians, instructors of cosmetology, instructors of esthetic practices, or instructors of nail technology, cosmetology salons, esthetic salons, and nail salons.
  2. The board shall be composed of five (5) members appointed by the Governor as follows:
    1. Four (4) of the members shall have been cosmetologists five (5) years prior to their appointment and shall reside in Kentucky:
      1. Two (2) of whom shall be cosmetology salon owners;
      2. One (1) of whom shall be a cosmetology teacher in public education and shall not own any interest in a cosmetology salon; and
      3. One (1) of whom shall be an owner of or one who shall have a financial interest in a licensed cosmetology school and shall be a member of a nationally recognized association of cosmetologists;
    2. One (1) member shall be a citizen at large who is not associated with or financially interested in the practices or businesses regulated; and
    3. None of whom nor the administrator shall be financially interested in, or have any financial connection with, wholesale cosmetic supply or equipment businesses.

      At all times in the filling of vacancies of membership on the board, this balance of representation shall be maintained.

  3. Appointments shall be for a term of two (2) years, ending on February 1.
  4. The Governor shall not remove any member of the board except for cause.
  5. The board shall elect from its members a chair, a vice chair, and a secretary.
  6. Three (3) members shall constitute a quorum for the transaction of any board business.
  7. Each member of the board shall receive one hundred dollars ($100) per day for each day of attendance at board meetings, and shall be reimbursed for necessary traveling expenses and necessary expenses incurred in the performance of duties pertaining to official business of the board.
  8. The board shall hold meetings at the place in the state and at the times deemed necessary by the board to discharge its duties.

History. Enact. Acts 1974, ch. 354, § 3; 1976, ch. 206, § 12; 1980, ch. 390, § 1, effective July 15, 1980; 1984, ch. 111, § 136, effective July 13, 1984; 1990, ch. 139, § 1, effective July 13, 1990; 1996, ch. 82, § 3, effective July 15, 1996; 1998, ch. 194, § 8, effective July 15, 1998; 2012, ch. 152, § 3, effective July 12, 2012; 2018 ch. 46, § 14, effective March 30, 2018.

Opinions of Attorney General.

Inasmuch as the prescribed duties of members of the Kentucky Board of Hairdressers and Cosmetologists are administrative and not technical in character, the public citizen member must be admitted to full participation in board affairs and is equally entitled to the per diem of $50.00 and appropriate travel allowances. OAG 76-721 .

In the absence of any specific prohibition against ownership of a cosmetology school, it is clear that the statutes do not prohibit the issuance of a subsequent and additional license to operate a school of cosmetology to a member of the Board of Hairdressers and Cosmetologists; of course, the award of a license to one of its own members should only be made in the absence of any participation by that interested member of the Board. OAG 84-165 .

317A.040. Board personnel — Administration.

  1. The board may employ inspectors and any other personnel reasonably necessary to carry out the provisions of this chapter, whose compensations shall be established within budgetary limits by the Personnel Cabinet. The board may delegate staffing decisions to the administrator.
  2. The board shall by appropriate order employ an administrator who shall be charged with the responsibility of administering the provisions of this chapter, and the policies and administrative regulations of the board relating to cosmetology and esthetic practices.
  3. No person shall be employed as an administrator unless the person is a licensed cosmetologist.
  4. The administrator may receive a salary as may be established by classification of the position by the Personnel Cabinet.
  5. The board shall publish or electronically provide copies of its administrative regulations and any proposed amendments to all persons licensed by it and to any other persons, places, or agencies as may be required by law or deemed by it reasonably necessary to the administration of the provisions of this chapter.

History. Enact. Acts 1974, ch. 354, § 4; 1984, ch. 111, § 137, effective July 13, 1984; 1998, ch. 154, § 91, effective July 15, 1998; 2012, ch. 152, § 4, effective July 12, 2012; 2018 ch. 46, § 15, effective March 30, 2018.

317A.050. Qualifications for licenses and permits.

  1. All applicants for licensure under this chapter shall meet the following minimum requirements:
    1. Be of good moral character and temperate habit;
    2. Be at least eighteen (18) years of age;
    3. Have a high school diploma, a High School Equivalency Diploma, or results from the Test for Adult Basic Education indicating a score equivalent to the twelfth grade of high school; and
    4. Have submitted the completed application along with the required license fee as set forth in administrative regulation.
  2. Notwithstanding any provision to the contrary, the board may refuse to grant a license to any applicant who fails to comply with the provisions of this chapter or any administrative regulations promulgated by the board.
  3. The board shall issue a cosmetologist license to any person who:
    1. Has official certification from the state board or agency that certifies cosmetology schools that the applicant has graduated from a licensed school of cosmetology requiring one thousand five hundred (1,500) hours within five (5) years of enrolling within the school; and
    2. Has satisfactorily passed an examination prescribed by the board to determine fitness to practice cosmetology.
  4. The board shall issue an esthetician license to any person who:
    1. Has satisfactorily completed seven hundred fifty (750) hours of instruction in a licensed school approved by the board; and
    2. Has received a satisfactory grade on an examination prescribed by the board to determine fitness to practice as an esthetician.
  5. The board shall issue a license to act as a nail technician to any person who:
    1. Has official certification from the state board or agency that certifies cosmetology schools that the applicant has completed satisfactorily a nail technician course of study of four hundred fifty (450) hours in a licensed school of cosmetology within five (5) years of submitting an application for licensure; and
    2. Has satisfactorily passed an examination prescribed by the board to determine fitness to practice as a nail technician.
  6. The board shall issue a license to operate a salon as follows:
    1. The board shall issue a license to operate a beauty salon to any licensed cosmetologist. An owner who is not a licensed cosmetologist shall have a licensed cosmetologist as manager of the beauty salon at all times. If the owner, manager, or location of a beauty salon changes, the required form and fee shall be submitted to the board.
    2. The board shall issue a license to operate an esthetic salon to any licensed esthetician. An owner who is not a licensed esthetician shall have a licensed esthetician or cosmetologist as manager of the esthetic salon at all times. If the owner, manager, or location of an esthetic salon changes, the required form and fee shall be submitted to the board.
    3. The board shall issue a license to operate a nail salon to any licensed nail technician. An owner who is not a licensed nail technician shall have a licensed nail technician or cosmetologist as manager of the nail salon at all times. If the owner, manager, or location of a nail salon changes, the required form and fee shall be submitted to the board.
  7. The board shall issue an apprentice license to teach cosmetology, esthetic practices, or nail technology to any person who:
    1. Has held a current cosmetologist, esthetician, or nail technician license for at least one (1) year; and
    2. Has submitted an application that has been signed by the owners of the school in which the applicant will study. The course of instruction shall be for a period of seven hundred fifty (750) hours and not less than four and one-half (4.5) months at one (1) school providing this instruction. The school owner shall verify to the board the completion of seven hundred fifty (750) hours. For out-of-state verification, an applicant shall provide official certification from the board or agency that certifies schools in that other state of licensure verifying the applicant has completed a course of instruction consisting of at least seven hundred fifty (750) hours and not less than four and one-half (4.5) months at one (1) school providing the instruction.
  8. The board shall issue a license to teach cosmetology to any person who:
    1. Has held a current cosmetologist license and apprentice instructor license for at least four and one-half (4.5) months; and
    2. Has satisfactorily passed the examination for the teaching of cosmetology as prescribed by the board.
  9. The board shall issue a license to teach esthetic practices to any person who:
    1. Has held a current esthetician license and apprentice instructor license for at least four and one-half (4.5) months;
    2. Has completed fifty (50) hours in esthetics training within the last two (2) years; and
    3. Has satisfactorily passed the examination for the teaching of esthetic practices as prescribed by the board.
  10. The board shall issue a license to teach nail technology to any person who:
    1. Has held a current nail technician license and apprentice instructor license for at least four and one-half (4.5) months;
    2. Has completed fifty (50) hours in nail technology training within the last two (2) years; and
    3. Has satisfactorily passed the examination for the teaching of nail technology as prescribed by the board.
  11. If the requirements of KRS 317A.090 have been satisfied, the board shall issue a license to operate a school of cosmetology or a school of esthetic practices or a school of nail technology to any person who:
    1. Has as manager at all times a person who is:
      1. Licensed as an instructor;
      2. Charged with the responsibility of ensuring that all applicable statutes and administrative regulations are complied with; and
      3. Responsible for having a sufficient number of licensed instructors of cosmetology or esthetic practices or nail technology to conduct the school;
    2. Has been a resident of Kentucky for five (5) years, if the applicant is an individual. If the applicant is a firm or corporation, it shall be a Kentucky corporation or licensed or qualified to do business in Kentucky and shall have been in existence for a period of at least five (5) years;
    3. Any student enrolling in the school shall pay the fee set forth in administrative regulation to the board before enrollment in the school shall be allowed; and
    4. The transfer of any license to operate a school of cosmetology or esthetic practices or nail technology shall require the board’s approval and shall become effective upon submitting the required form and fee to the board.
    1. The board shall issue a license to provide blow drying services to any person who: (12) (a) The board shall issue a license to provide blow drying services to any person who:
      1. Is at least eighteen (18) years old;
      2. Has successfully completed a twelfth grade education or the equivalent;
      3. Has passed an examination prescribed by the board to determine fitness to perform blow drying services;
      4. Has completed at least four hundred fifty (450) hours of instruction from a licensed school of cosmetology; and
      5. Has met any other reasonable criteria established in administrative regulations promulgated by the board.
    2. The board shall issue a license to operate a limited beauty salon to any person:
      1. Who is licensed to provide blow drying services or who employs at least one (1) person licensed to provide blow drying services at the limited beauty salon; and
      2. Whose limited beauty salon facility complies with standards established in administrative regulations promulgated by the board.
  12. Licenses established under this chapter shall be valid for a period of time to be established by the board through the promulgation of administrative regulations.
  13. Licenses and permits issued by the board may be renewed beginning July 1 through July 31 of each year.
    1. Any license shall automatically be renewed by the board:
      1. Upon submission and receipt of the application for renewal and the required annual license fee; and
      2. If the application for renewal is otherwise in compliance with the provisions of this chapter and the administrative regulations of the board.
    2. Any license application postmarked after July 31 shall be considered expired, and the appropriate restoration fee as required by administrative regulation of the board shall apply.
  14. The requirements for a new license for any person whose license has expired for a period exceeding five (5) years shall be as follows:
    1. Cosmetologists shall retake and pass the practical examination only;
    2. Estheticians shall retake and pass both the practical and theory examination;
    3. Instructors of cosmetology or esthetic practices shall retake and pass both the practical and theory examination;
    4. Nail technicians shall retake and pass the practical and theory examination; and
    5. The appropriate restoration fee as set forth in administrative regulation of the board shall be required.
  15. Guest artists or demonstrators appearing and demonstrating before persons other than licensed cosmetologists, estheticians, and nail technicians shall apply for a permit that shall be in effect for ten (10) days. Guest artists performing before a nonprofit, recognized professional cosmetologists’, estheticians’, or cosmetology school or nail technicians’ group shall apply for a permit, but shall not be required to pay the fee.
  16. The board shall issue a permit for threading and may promulgate administrative regulations that set out requirements for the practice of threading. Threading shall be conducted in a licensed beauty salon or a facility with a permit to engage in threading, and the board may promulgate administrative regulations for facilities and the required sanitation standards. The permit shall be valid for a period of one (1) year.
  17. The board shall issue a permit for eyelash artistry and may promulgate administrative regulations that set out the requirements for the practice of eyelash artistry. Eyelash artistry shall be conducted in a licensed beauty salon or a facility with a permit to engage in eyelash artistry, and the board may promulgate administrative regulations for facilities and the required sanitation standards. The permit shall be valid for a period of one (1) year.
  18. The board shall issue a permit for makeup artistry and may promulgate administrative regulations that set out requirements for the practice of makeup artistry and required sanitation standards. The permit shall be valid for a period of one (1) year.

HISTORY: Enact. Acts 1974, ch. 354, § 5; 1980, ch. 202, § 1, effective July 15, 1980; 1982, ch. 435, § 1, effective July 15, 1982; 1988, ch. 162, § 1, effective March 31, 1988; 1996, ch. 82, § 4, effective July 15, 1996; 1998, ch. 91, § 1, effective July 15, 1998; 2004, ch. 96, § 3, effective July 13, 2004; 2012, ch. 152, § 5, effective July 12, 2012; 2017 ch. 63, § 31, effective June 29, 2017; 2017 ch. 99, § 1, effective June 29, 2017; 2018 ch. 35, § 2, effective July 14, 2018; 2018 ch. 46, § 16, effective March 30, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 35 and 46. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 46, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(6/29/2017). This statute was amended by 2017 Ky. Acts chs. 63 and 99, which do not appear to be in conflict and have been codified together.

Opinions of Attorney General.

Subsection (7) does not make mandatory the issuance of a license by the board since the word “may” was used in lieu of the word “shall” in the 1974 act. OAG 75-196 .

In the absence of any specific prohibition against ownership of a cosmetology school, it is clear that the statutes do not prohibit the issuance of a subsequent and additional license to operate a school of cosmetology to a member of the Board of Hairdressers and Cosmetologists; of course, the award of a license to one of its own members should only be made in the absence of any participation by that interested member of the Board. OAG 84-165 .

317A.060. Administrative regulations.

  1. The board shall promulgate administrative regulations including but not limited to administrative regulations that:
    1. Protect the health and safety of the public;
    2. Protect the public against incompetent or unethical practice, misrepresentation, deceit, or fraud in the practice or teaching of beauty culture;
    3. Set standards for the operation of the schools and salons;
    4. Protect the students under this chapter;
    5. Set standards for the location and housing of beauty salons or cosmetology schools in the state. This subsection does not apply to the instructional programs in cosmetology in the state area vocational and technical schools;
    6. Set standards for the quantity and quality of equipment, supplies, materials, records, and furnishings required in beauty salons, esthetic salons, nail salons, and cosmetology, esthetic practices, and nail technology schools;
    7. Establish the qualifications of instructors of cosmetology, instructors of esthetic practices, instructors of nail technology, and apprentice teachers;
    8. Establish requirements for the hours and courses of instruction at cosmetology schools and esthetic practices schools and nail technology schools;
    9. Establish requirements for the examinations of applicants for licenses;
    10. Establish the requirements for the proper education and training of students;
    11. Address the course and conduct of school owners, instructors, apprentice instructors, licensed cosmetologists, estheticians, nail technicians, beauty salons, esthetic salons, nail salons, cosmetology schools, schools of esthetic practices, and schools of nail technology; and
    12. Establish a code of ethics for persons licensed by the board.
  2. Administrative regulations pertaining to health and sanitation shall be approved by the Cabinet for Health and Family Services before becoming effective.

History. Enact. Acts 1974, ch. 354, § 6; 1980, ch. 202, § 2, effective July 15, 1980; 1996, ch. 82, § 5, effective July 15, 1996; 2012, ch. 152, § 6, effective July 12, 2012; 2018 ch. 46, § 17, effective March 30, 2018.

Legislative Research Commission Notes.

(7/12/2006). 2005 Ky. Acts ch. 99, sec. 675, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the Act, as it confirms the establishment of the Cabinet for Health and Family Services. Such a correction has been made in this section.

Opinions of Attorney General.

An applicant for a license to operate a school of cosmetology who holds a position on the Board of Hairdressers and Cosmetologists may not participate in any way in the decision-making function of the Board; any member of the Board who has any interest, financial or otherwise, in the award of such a license should properly disqualify himself, or herself, from participating as a Board member in consideration of the matter. OAG 84-165 .

317A.062. Administrative regulations establishing fees.

The board shall promulgate administrative regulations establishing a reasonable schedule of fees and charges for examinations, for the issuance and restoration of licenses and permits, and for the renewal of licenses issued under this chapter.

HISTORY: Enact. Acts 2004, ch. 96, §§ 2 and 5, effective July 13, 2004; 2012, ch. 152, § 7, effective July 12, 2012; 2018 ch. 35, § 3, effective July 14, 2018; 2018 ch. 46, § 18, effective March 30, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 35 and 46. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 46, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(7/13/2004). This section was created by 2004 Ky. Acts ch. 96, secs. 2 and 5. The text of sec. 2 is identical to the text of the first two sentences of subsection (1) of sec. 5, and the two sections have been codified together.

317A.070. Hearings — Appeals.

  1. The board shall hold hearings upon the request of any licensee or applicant directly affected by the board’s decision to refuse to issue or renew a license or permit, or to deny, suspend, probate, fine, or revoke a license or permit. A licensee or applicant shall request a hearing within thirty (30) days of the board’s notice that it seeks to refuse to issue or renew a license or permit, or to deny, suspend, probate, fine, or revoke a license or permit. The hearing shall be conducted in accordance with KRS Chapter 13B.
  2. Rulings of the board as a result of any hearing may be appealed to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1974, ch. 354, § 7; 1980, ch. 202, § 3, effective July 15, 1980; 1996, ch. 318, § 273, effective July 15, 1996; 2012, ch. 152, § 8, effective July 12, 2012; 2018 ch. 46, § 19, effective March 30, 2018.

317A.080. Kentucky Board of Cosmetology trust and agency fund — Disposition of fees.

  1. There is hereby established in the State Treasury the Kentucky Board of Cosmetology trust and agency fund.
  2. The fund shall be administered by the board.
    1. All fees collected by the board shall be deposited into the fund and shall be used only for the purpose of administering the provisions of this chapter as it relates to the board. (3) (a) All fees collected by the board shall be deposited into the fund and shall be used only for the purpose of administering the provisions of this chapter as it relates to the board.
    2. The cost and expenses of administering the provisions of this chapter including compensation to members of the board and its officers and employees shall be paid out of the State Treasury upon warrants of the secretary of the Finance and Administration Cabinet according to law. However, the total expense of administering these provisions shall not exceed the fees and other charges collected by the board and available in the fund;
  3. Notwithstanding KRS 45.229 , fund amounts not expended at the close of a fiscal year shall not lapse but shall be carried forward into the next fiscal year.
  4. Any interest earnings of the fund shall become a part of the fund and shall not lapse.
  5. Moneys deposited in the fund are hereby appropriated for the purposes set forth in this section and shall not be appropriated or transferred by the General Assembly for any other purposes.

History. Enact. Acts 1974, ch. 354, § 8; 1974, ch. 74, Art. II, § 9(2); 2018 ch. 46, § 20, effective March 30, 2018.

317A.090. Requirements for schools of cosmetology, esthetic practices, and nail technology.

No license shall be issued or renewed by the board to any cosmetology school or school of esthetic practices or school of nail technology unless such school provides:

  1. The name of the proposed school;
  2. A statement that the proposed school is authorized to operate educational programs beyond secondary education;
  3. As a prerequisite of graduation, a prescribed course of instruction of not less than one thousand five hundred (1,500) hours for a cosmetology school or seven hundred fifty (750) hours for a school of esthetic practices, or four hundred fifty (450) hours for a school of nail technology, to be given within an uninterrupted period with not more than eight (8) hours nor less than four (4) hours of instruction a day, exclusive of Sundays; except that in the state area vocational schools, the required hours of instruction may be offered according to the schedule for other vocational classes in the school;
  4. Courses of instruction in histology of the hair, skin, nails, muscles, and nerves of the face and neck; elementary chemistry with emphasis on sterilization, diseases of the skin, hair, and glands, and massaging and manipulating of the muscles of the upper body; cutting, shaving, arranging, dressing, chemical treatment of the hair and such other courses as may be prescribed by administrative regulation of the board;
  5. Facilities, equipment, materials, and qualified instructors and apprentice instructors as may be required by administrative regulations of the board adopted pursuant to this chapter, but no cosmetology school or school of esthetic practices or school of nail technology shall have fewer than one (1) licensed instructor per twenty (20) students present for instruction;
  6. No cosmetology school or school of esthetic practices or school of nail technology, after being licensed for the first time, shall serve the public until one hundred fifty (150) hours of instruction has been taught; and
  7. In compliance with KRS 317A.070 , the board may revoke or suspend any license issued by it if, in the judgment of the board, the school is not following the requirements as set out in this chapter or the school does not comply with the administrative regulations promulgated by the board in order to regulate the conduct of the school and in order to supervise the proper education of the students.

History. Enact. Acts 1974, ch. 354, § 9; 1980, ch. 188, § 259; 1980, ch. 202, § 4, effective July 15, 1980; 2012, ch. 152, § 9, effective July 12, 2012; 2015 ch. 110, § 4, effective June 24, 2015; 2017 ch. 99, § 2, effective June 29, 2017; 2018 ch. 46, § 21, effective March 30, 2018.

317A.100. Reciprocal licensing — Administrative regulations — Continuing education.

  1. The board may promulgate reasonable administrative regulations pertaining to the issuance of a license, upon payment of the prescribed license fee, to any person holding a comparable license issued by another state where the laws of that state, in the opinion of the board, provide comparable professional qualification, health, and safety standards;
  2. A person who provides certification of licensure from a state board or appropriate agency, whose requirements are not comparable to those of Kentucky, who has held a license in good standing for more than two (2) years, shall be issued a Kentucky license after completion of an application, payment of a fee, and passage of the theory and practical examinations.
  3. A person who provides certification of licensure from a state board or appropriate agency, whose requirements are not comparable to those of Kentucky, who has held a license in good standing for less than two (2) years, shall be able to cure the deficiency of comparability through continuing education in Kentucky as determined by the board. The board may require completion of an application, payment of a fee, and passage of the theory and practical examinations.

History. Enact. Acts 1974, ch. 354, § 10; 2012, ch. 152, § 10, effective July 12, 2012; 2018 ch. 46, § 22, effective March 30, 2018.

317A.110. Assistance to board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 354, § 11; 1984, ch. 111, § 138, effective July 13, 1984; 2010, ch. 24, § 1669, effective July 15, 2010) was repealed by Acts 2012, ch. 152, § 26, effective July 12, 2012.

317A.120. Examinations by board.

  1. Examinations given by the board shall cover all phases of qualifications for the license applied for including skill and technique of applicant as well as scientific and other knowledge. National exams may be used if approved by the board.
  2. Examinations shall be given by trained proctors.
  3. Examinations shall be given at regularly prescribed intervals.
  4. Examinations shall be given at locations that have been approved by the board.

History. Enact. Acts 1974, ch. 354, § 12; 1984, ch. 111, § 139, effective July 13, 1984; 2012, ch. 152, § 11, effective July 12, 2012; 2018 ch. 46, § 23, effective March 30, 2018.

317A.130. Sanitation requirements and prohibited practices — Practices under supervision of physician.

  1. No instructor, student, cosmetologist, or nail technician shall:
    1. Fail to provide the head rest of each chair with a relaundered towel or a sheet of clean paper for each person;
    2. Fail to place around the patron’s neck a strip of cotton, towel, or neck strip so that the haircloth does not come in contact with the patron’s skin;
    3. Use on one (1) patron a towel that has been used upon another patron, unless the towel has been relaundered;
    4. Use on any patron any razor, scissors, tweezers, comb, bowl, recirculating pipes, rubber disc, or part of vibrator or other similar equipment or appliance that comes into contact with the head, face, hands, feet, or neck of a patron, until the equipment or appliance has been sterilized in accordance with methods of sterilization that are bacteriologically effective and approved by the Cabinet for Health and Family Services; or
    5. Use on any patron a liquid nail enhancement product containing monomeric methyl methacrylate, also known as dental acrylic monomer, for the purpose of creating artificial nail enhancements in the practice of cosmetology and nail technology.
  2. No esthetician practicing under this chapter shall perform any of the following unless practicing under the immediate supervision of a licensed physician:
    1. Botox or collagen injections;
    2. Laser treatments;
    3. Electrolysis;
    4. Tattoo;
    5. Permanent makeup;
    6. Microblading; or
    7. Piercing.

History. Enact. Acts 1974, ch. 354, § 13; 1996, ch. 82, § 6, effective July 15, 1996; 1998, ch. 437, § 1, effective July 15, 1998; 2012, ch. 152, § 12, effective July 12, 2012; 2018 ch. 46, § 24, effective March 30, 2018.

Legislative Research Commission Notes.

(7/12/2006). 2005 Ky. Acts ch. 99, sec. 675, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in the Act, as it confirms the establishment of the Cabinet for Health and Family Services. Such a correction has been made in this section.

Research References and Practice Aids

Kentucky Law Journal.

Comment, Protecting Persons with AIDS from Employment Discrimination, 77 Ky. L.J. 403 (1988-89).

317A.140. Grounds for fine, reprimand, probation, suspension, revocation, or refusal to issue or renew license or permit.

  1. The board may refuse to issue or renew a license or permit, or may suspend or revoke a license or permit, impose probationary conditions upon, impose an administrative fine, issue a written reprimand or admonishment, or take any combination of these actions regarding proof of any applicant’s, permitee’s, or licensee’s:
    1. Conviction of a felony, if in accordance with KRS Chapter 335B;
    2. Gross malpractice or incompetence;
    3. Mental or physical health that would endanger public health or safety;
    4. False or deceptive practice or misrepresentation including advertising;
    5. Practicing in an unlicensed salon or in a salon knowing that the salon is not in compliance with this chapter or the administrative regulations of the board promulgated pursuant to this chapter;
    6. Immoral conduct, unprofessional conduct, or a violation of the code of ethics;
    7. Teaching in an unlicensed school or in a school knowing that the school is not in compliance with this chapter or the administrative regulations of the board promulgated pursuant to this chapter;
    8. Failure to comply with the administrative regulations of the board.
  2. Payments in lieu of suspension collected by the board shall be deposited in the State Treasury and credited to the general fund.
  3. The board may require retesting of any licensee upon proper showing of gross malpractice or incompetence on the part of the licensee.

History. Enact. Acts 1974, ch. 354, § 14; 1980, ch. 202, § 5, effective July 15, 1980; 2012, ch. 152, § 13, effective July 12, 2012; 2017 ch. 158, § 62, effective June 29, 2017; 2018 ch. 46, § 25, effective March 30, 2018.

317A.145. Complaint procedure — Investigation — Action against violator — Inspections.

  1. The board shall receive complaints concerning any person licensed under this chapter relating to the licensee’s business or professional practices. The board may investigate all complaints concerning any person licensed under the provisions of this chapter. The board may on its own volition initiate such an investigation and shall promulgate administrative regulations necessary for the administration of the provisions of this section.
  2. If upon investigation there appears to be a violation of the provisions of this chapter, the board shall take such action as it deems necessary under the provisions of KRS 317A.140 .
  3. For the purpose of enforcing the provisions of this chapter, officers, agents, and inspectors of the board may enter upon premises of all facilities issued a permit or license by the board, at all reasonable times and during periods when those premises are otherwise open to the public, and make inspections to determine compliance with this chapter and the administrative regulations promulgated by the board, and inspect books, papers, or records pertaining to the licensed activity, a copy of which may be obtained by the board officer, agent, or inspector.

History. Enact. Acts 1980, ch. 202, § 6, effective July 15, 1980; 2012, ch. 152, § 14, effective July 12, 2012; 2018 ch. 46, § 26, effective March 30, 2018.

317A.150. Fee exemptions.

Nothing in this chapter shall supersede KRS 156.010 nor shall any fee be required for any student enrolling in a program operated by the Kentucky Department of Education.

History. Enact. Acts 1974, ch. 354, § 15; 1978, ch. 155, § 83, effective June 17, 1978; 1980, ch. 188, § 260, effective July 15, 1980; 2018 ch. 46, § 27, effective March 30, 2018.

317A.155. Cosmetologists, estheticians, and nail technicians must practice in licensed establishments — Services to hospice patients and to deceased persons in the care of funeral establishments.

  1. As used in this section, “funeral establishment” means funeral establishment as defined in KRS 316.010 .
  2. Every person practicing as a cosmetologist, esthetician, or nail technician, with the exception of a nail technician or cosmetologist exclusively practicing manicuring in a licensed barber shop, shall practice in an establishment licensed by the board.
  3. Notwithstanding subsection (2) of this section, persons holding an active license from the board as a cosmetologist, esthetician, or nail technician and who practice in salons licensed by the board shall be permitted to render services for pay, free, or otherwise, to:
    1. A person suffering from a terminal illness and who is receiving the services of a hospice program either at home or at a hospice inpatient unit; or
    2. A person who is deceased and in the care of a funeral establishment.
  4. Cosmetologists, estheticians, and nail technicians who render services authorized in subsection (3) of this section shall have the permission of the owner or administrator of the establishment where the services are rendered.

History. Enact. Acts 2002, ch. 178, § 1, effective July 15, 2002; 2012, ch. 152, § 15, effective July 12, 2012; 2013, ch. 53, § 1, effective June 25, 2013; 2018 ch. 46, § 28, effective March 30, 2018.

317A.160. Cosmetologist and nail technician lessees as independent contractors — Limitation of salon operator’s liability. [Repealed]

History. Enact. Acts 2004, ch. 9, § 2, effective July 13, 2004; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317A.990. Penalties.

  1. Any person who violates any provision of this chapter shall be fined not less than fifty dollars ($50) nor more than one thousand five hundred dollars ($1,500).
  2. Any person who violates any administrative regulation lawfully promulgated by the board under the authority contained in this chapter shall be fined not less than twenty-five dollars ($25) nor more than seven hundred fifty dollars ($750).

History. Enact. Acts 1974, ch. 354, § 24; 2012, ch. 152, § 16, effective July 12, 2012; 2018 ch. 46, § 29, effective March 30, 2018.

CHAPTER 317B Estheticians

317B.010. Definitions for chapter. [Repealed]

History. Enact. Acts 2003, ch. 137, § 1, effective June 24, 2003; 2012, ch. 152, § 17, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.015. Prohibited activities — Applicability of KRS Chapter 317B. [Repealed]

History. Enact. Acts 2003, ch. 137, § 2, effective June 24, 2003; 2012, ch. 152, § 18, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.020. Kentucky Board of Hairdressers and Cosmetologists to administer KRS Chapter 317B — Powers and duties. [Repealed]

History. Enact. Acts 2003, ch. 137, § 3, effective June 24, 2003; 2012, ch. 152, § 19, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.025. Qualifications and fees for esthetician, esthetic salon, and esthetics instructor licenses — Dual licenses. [Repealed]

History. Enact. Acts 2003, ch. 137, § 4, effective June 24, 2003; 2012, ch. 152, § 20, effective July 12, 2012; 2017 ch. 63, § 32, effective June 29, 2017; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.030. License renewal — Expiration and restoration — Administrative regulations. [Repealed]

History. Enact. Acts 2003, ch. 137, § 5, effective June 24, 2003; 2012, ch. 152, § 21, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.035. Examinations required by chapter. [Repealed]

History. Enact. Acts 2003, ch. 137, § 6, effective June 24, 2003; 2012, ch. 152, § 22, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.040. Reciprocal licensing. [Repealed]

History. Enact. Acts 2003, ch. 137, § 7, effective June 24, 2003; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.045. Denial, suspension, probation, or revocation of license — Grounds — Administrative fine — Hearing — Mediation. [Repealed]

History. Enact. Acts 2003, ch. 137, § 8, effective June 24, 2003; 2012, ch. 152, § 23, effective July 12, 2012; 2017 ch. 158, § 63, effective June 29, 2017; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.050. Investigation of complaints concerning licenses under this chapter. [Repealed]

History. Enact. Acts 2003, ch. 137, § 9, effective June 24, 2003; 2012, ch. 152, § 24, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.055. Hearings — Appeals. [Repealed]

History. Enact. Acts 2003, ch. 137, § 10, effective June 24, 2003; 2012, ch. 152, § 25, effective July 12, 2012; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

317B.060. Penalties. [Repealed]

History. Enact. Acts 2003, ch. 137, § 11, effective June 24, 2003; Repealed Acts 2018, ch. 46, § 34, effective March 30, 2018.

CHAPTER 318 Plumbers and Plumbing

318.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Department” means Department of Housing, Buildings and Construction;
  2. “Journeyman plumber” means a person who engages or offers to engage, either as an occupation or otherwise, in the construction, installation, alteration, maintenance, repair, remodeling or removal, and replacement of plumbing under the supervision, direction, and responsibility of a master plumber;
  3. “Master plumber” means a person who assumes responsible charge, supervision, or direction of journeyman plumbers, plumbers’ apprentices, and other persons in the construction, installation, or alteration of plumbing or who engages in, offers to engage in, or advertises or otherwise represents that he is permitted or qualified to engage in the design, planning, superintending, contracting for, or responsible charge of plumbing;
  4. “Plumbing” means the art of installing in buildings the pipes for distributing the water supply, the fixtures for using water and drainage pipes for removing waste water and sewage, together with fittings, appurtenances, and appliances of various kinds, all within or adjacent to the building. It shall not include the installation of on-site sewage disposal systems, except for the piping, fixtures, or other appurtenances needed within the building. It shall include:
    1. The water service pipe which forms the connection between the property line and the building, other than piping serving firefighting equipment;
    2. Private water supply systems;
    3. House sewers which convey the waste water and sewage from the building to the property line or other points of disposal, but not including sewers located between manholes and sewers extending five (5) feet from a main or manhole on private property;
    4. Storm sewers and rain water piping located within a building to a point two (2) feet outside of the building; and
    5. Medical gas piping;
  5. “Public building” means any building intended for public use or built with public funds and includes but is not limited to the following: schools, industrial establishments, housing projects, restaurants, food-handling establishments, private clubs, theaters including drive-ins, trailer coach parks, camping areas, hospitals, nursing homes, hotels, motels, tourist courts, rooming houses, boarding houses, and other establishments furnishing public sleeping accommodations;
  6. “Maintenance man” means a person employed to maintain and keep plumbing in good repair;
  7. “Apprentice” means a person in the process of learning the plumbing trade who assists and is under the personal supervision of a licensed master or licensed journeyman plumber;
  8. “Farmstead” means a farm dwelling together with other farm buildings and structures incident to the operation and maintenance of the farm situated on ten (10) acres or more of land which is located outside the corporate limits of a municipality;
  9. “Person” means any individual, public or private corporation, political subdivision, government agency, municipality, copartnership, association, firm, trust, estate, or other entity whatsoever;
  10. “Commissioner” means the commissioner of the Department of Housing, Buildings and Construction; and
  11. “Code” means the Kentucky State Plumbing Code.

History. 3009b: amend. Acts 1960, ch. 222, § 1; 1970, ch. 162, § 1; 1974, ch. 74, Art. VI, § 91; 1976, ch. 193, § 1; 1976, ch. 299, § 60; 1978, ch. 117, § 49, effective July 1, 1978; 1978, ch. 155, § 149, effective June 17, 1978; 1982, ch. 392, § 6, effective July 15, 1982; 1986, ch. 354, § 5, effective July 15, 1986; 1996, ch. 157, § 1, effective July 15, 1996; 2010, ch. 24, § 1670, effective July 15, 2010.

NOTES TO DECISIONS

1.Constitutionality.

Laws prescribing reasonable regulations for plumbing business in centers of population are within legislative power on ground that defective plumbing endangers public health. Louisville v. Coulter, 177 Ky. 242 , 197 S.W. 819, 1917 Ky. LEXIS 592 ( Ky. 1917 ) ( Ky. 1917 ) (decided under prior law).

2.Plumbing.

Installation of water heater in building necessitating making connections with hot and cold water pipes and gas lines was plumbing, requiring worker to meet state plumbing law. Pittsburgh Water Heater Sales Co. v. State Board of Health, 259 Ky. 436 , 82 S.W.2d 478, 1935 Ky. LEXIS 328 ( Ky. 1935 ).

3.Injunction.

Plumbing inspector appointed by state Board of Health for county containing a city of the second class had legal capacity to bring action to enjoin individual from further engaging in plumbing in county without license to so do. Martin v. Thompson, 253 S.W.2d 15, 1952 Ky. LEXIS 1057 ( Ky. 1952 ).

Cited:

Shuey v. Shoemaker, 265 Ky. 473 , 97 S.W.2d 19, 1936 Ky. LEXIS 514 ( Ky. 1936 ).

Opinions of Attorney General.

Water mains and storm and sanitary sewers within property lines are “plumbing” which must be installed by and under the supervision of duly licensed plumbers. OAG 67-38 .

A trailer may be considered a dwelling house subject to the plumbing code where: (a) it is the stated intent of the owner to use it as such, coupled with specific acts of immobilization; (b) the owner “dismounts” the wheel assembly and uses the trailer as a dwelling on a lot for a sufficient length of time to indicate its use as a vehicle is abandoned; or (c) the trailer is used as a dwelling for a sufficient length of time to indicate its use as a vehicle is abandoned and the owner seeks to make any connection to a water supply or sewage system. OAG 67-105 .

The amendment to subsection (4)(a) of this section excluded from the control of the Department of Health (now Department of Housing, Buildings and Construction) only the water service piping which services fire-fighting equipment exclusively and does not also carry the potable water supply to the building. OAG 71-97 .

The penalty provision of KRS 318.990 applies to whomever or whatever violates KRS 318.165 so long as the violator comes within the definition of “person” and is not excluded by some other statute; the Department of Housing, Buildings and Construction is authorized by KRS 318.180 to enforce the provisions of KRS Chapter 318, however, while KRS 318.180 does not limit enforcement to the Department, the identity of other persons or agencies with such enforcement authority would need to be derived from other provisions of KRS. OAG 80-135 .

Only licensed master plumbers and homeowners working on their own residence can legally install plumbing or alter existing plumbing without supervision; anyone employed or acting as a maintenance man can repair plumbing, but a licensed journeyman plumber cannot do any work on plumbing unless he is being supervised and directed by a licensed master plumber, and apprentices can only assist journeyman plumbers and master plumbers. OAG 99-3 .

318.015. Application of chapter and of state plumbing code.

  1. This chapter shall apply to and shall be in full force and effect in all counties of the Commonwealth.
  2. The state plumbing code promulgated by the department under the provisions of this chapter shall apply to and shall be in full force and effect for all public buildings regardless of location in the Commonwealth.
  3. This chapter shall not apply to farmsteads.

HISTORY: Enact. Acts 1960, ch. 222, § 2; 1968, ch. 194, § 1; 1974, ch. 126, § 1; 1976, ch. 299, § 61; 2010, ch. 24, § 1671, effective July 15, 2010; 2017 ch. 169, § 102, effective June 29, 2017.

NOTES TO DECISIONS

1.Fifth-Class City.

A fifth-class city had the authority under its general powers to enact a city ordinance adopting the state plumbing code. Horse Cave v. Pierce, 437 S.W.2d 185, 1969 Ky. LEXIS 427 ( Ky. 1969 ).

2.Farmstead.

Where the department of housing, building and construction was, or should have been aware of the fact that the plaintiff’s property was not serviced by any city water system, was not located within a municipality and appeared to be a farm which would have been exempt as a “farmstead” from the State Plumbing Law (KRS Chapter 318), the department officials who issued a stop work order on the building of the plaintiff’s house for failing to comply with the State Plumbing Law violated their duty of care, creating an actionable negligence resulting in injury to the plaintiff. Commonwealth, Dep't of Housing, Bldgs. & Constr. v. Collins, 654 S.W.2d 608, 1983 Ky. App. LEXIS 301 (Ky. Ct. App. 1983).

The State Plumbing Code expressly excludes applicability to farmsteads and no public purpose or government function was being advanced when the department of housing, buildings and construction erroneously applied the code to the plaintiff’s farm; thus, the department was not immune from liability for damages caused by the improper application of the code. Commonwealth, Dep't of Housing, Bldgs. & Constr. v. Collins, 654 S.W.2d 608, 1983 Ky. App. LEXIS 301 (Ky. Ct. App. 1983).

Opinions of Attorney General.

Where a county board of health has adopted a plumbing code which is applicable county-wide, any city located within that county is subject to the jurisdiction of that code. OAG 66-248 .

To qualify as a farmstead a property must have a present bona fide use for farm purposes; farming must be the chief, though not necessarily the only, use of the tract; and while a minimum size cannot be dictated per se to constitute a farming operation, yet the tillage or agricultural pursuits must provide a substantial portion of income of the operator or owner, either when viewed alone or when reasonably considered in combination with other farm properties presently in operation. In the absence of additional legislative or regulatory provisions, each factual situation will have to be examined separately. OAG 67-208 .

The office of the State Fire Marshal and not the Division of Plumbing is the regulatory agency for the installation of plumbing systems in mobile homes because the statutory authority of the Fire Marshal is more specific and more recent than that of the Division of Plumbing. OAG 76-105 .

Farmsteads are not exempt from minimum standards of percolation for installation of private sewage disposal systems, but no particular method may be required for attainment of those standards. OAG 78-667 .

The farmstead exemption in subsection (3) of this section has no application to the reenacted sewage disposal statutes in KRS 211.350 et seq. OAG 84-191 .

318.020. Apprentices, maintenance men, water company or district employees exempt.

  1. Nothing contained in this chapter shall be construed as prohibiting the employment of an apprentice to assist a journeyman plumber in his duties.
  2. This chapter shall not apply to anyone who is employed or acts as a maintenance man.
  3. This chapter shall not apply to persons employed by any water company, water district or sanitation district, in the laying, maintenance, and operation of its mains and other appurtenances in the conduct of its business.
  4. The provisions of this chapter relating to the licensure of plumbers shall apply to all persons engaged in the practice of plumbing.

History. 3909b: amend. Acts 1960, ch. 222, § 3; 1968, ch. 194, § 2; 1974, ch. 126, § 2.

Opinions of Attorney General.

Employees of an independent contractor, constructing new plumbing installations under a contract with a city-owned water company, are not persons employed by “any water company” within the meaning of subsection (3) of this section and are, therefore, not exempt from the provisions of KRS 318.030 and the remaining portions of KRS Chapter 318. OAG 62-757 .

The legislature did not intend to require homeowners to have a license to install plumbing in their own homes; therefore, 815 KAR 20:050, Section 1(3), authorizing the issuance of permits to homeowners who desire to install plumbing in homes occupied by them, is consistent with the intent of the legislature on the issue of licensure. OAG 82-391 .

Only licensed master plumbers and homeowners working on their own residence can legally install plumbing or alter existing plumbing without supervision; anyone employed or acting as a maintenance man can repair plumbing, but a licensed journeyman plumber cannot do any work on plumbing unless he is being supervised and directed by a licensed master plumber, and apprentices can only assist journeyman plumbers and master plumbers. OAG 99-3 .

318.030. License and general liability insurance required.

  1. No person shall engage in plumbing or engage in or work at the trade of plumbing:
    1. Unless he or she is the holder of a valid and effective active master plumber’s license duly issued by the department in accordance with the provisions of this chapter; or
    2. Unless he or she is the holder of a valid and effective journeyman plumber’s license duly issued by the department in accordance with the provisions of this chapter.
    1. No person, firm, or corporation shall engage in plumbing or engage in or work at the trade of plumbing unless the person, firm, or corporation maintains general liability insurance in an amount not less than two hundred fifty thousand dollars ($250,000) and submits proof of compliance with workers’ compensation and unemployment insurance laws of the Commonwealth. (2) (a) No person, firm, or corporation shall engage in plumbing or engage in or work at the trade of plumbing unless the person, firm, or corporation maintains general liability insurance in an amount not less than two hundred fifty thousand dollars ($250,000) and submits proof of compliance with workers’ compensation and unemployment insurance laws of the Commonwealth.
    2. Proof of insurance required in this subsection shall be submitted to the department prior to issuance or renewal of the active master plumber license required under this chapter.
    3. No license shall be valid without insurance as required in this subsection, and insurance carriers shall notify the department upon cancellation of the insurance of any licensee required to maintain insurance.
    4. The insurance required in this subsection shall not apply to an employee of a person, firm, or corporation engaged in plumbing as defined in this chapter.

History. 3909b: amend. Acts 1960, ch. 222, § 4; 1968, ch. 194, § 3; 1974, ch. 126, § 3; 2004, ch. 40, § 1, effective July 13, 2004; 2010, ch. 24, § 1672, effective July 15, 2010.

NOTES TO DECISIONS

1.Installation by Nonplumber.

Accused, who installed or caused installation of plumbing in building without permit from county plumbing inspector, did not violate this section, if he was not master or journeyman plumber, and did not assume responsibility for others engaged in installing plumbing. Shuey v. Shoemaker, 265 Ky. 473 , 97 S.W.2d 19, 1936 Ky. LEXIS 514 ( Ky. 1936 ).

2.— Clarity of Regulations Required.

Individual charged with plumbing without a license in violation of this section and KRS 318.130 and 318.134 , and in violation of certain regulations promulgated thereto, was relieved of any liability with regard to these alleged violations, as the regulations in question were not clear and concise, as required by law. McGregor v. Commonwealth, 784 S.W.2d 785, 1990 Ky. App. LEXIS 25 (Ky. Ct. App. 1990).

3.Nonresident Vendor.

Although distributor of water heaters in Ohio contracted to sell heater to, and install it for, customer in Kentucky, transaction was not protected by Interstate Commerce Clause of federal Constitution, so as to permit distributor’s employee to make installation requiring plumbing work without complying with plumbing act as to obtaining license. Pittsburgh Water Heater Sales Co. v. State Board of Health, 259 Ky. 436 , 82 S.W.2d 478, 1935 Ky. LEXIS 328 ( Ky. 1935 ).

Cited:

Martin v. Thompson, 253 S.W.2d 15, 1952 Ky. LEXIS 1057 ( Ky. 1952 ).

Opinions of Attorney General.

Water mains and storm and sanitary sewers within property lines are “plumbing” which must be installed by and under the supervision of duly licensed plumbers. OAG 67-38 .

When the installation of piping which supplies water to fire-fighting equipment does not constitute a threat to the public health, a person other than a licensed plumber could safely perform the installation, but if the installation supplies water for human consumption as well as for fire-fighting equipment, such pipes must be installed by a licensed plumber. OAG 75-486 .

The legislature did not intend to require homeowners to have a license to install plumbing in their own homes; therefore, 815 KAR 20:050, Section 1(3), authorizing the issuance of permits to homeowners who desire to install plumbing in homes occupied by them, is consistent with the intent of the legislature on the issue of licensure. OAG 82-391 .

Only licensed master plumbers and homeowners working on their own residence can legally install plumbing or alter existing plumbing without supervision; anyone employed or acting as a maintenance man can repair plumbing, but a licensed journeyman plumber cannot do any work on plumbing unless he is being supervised and directed by a licensed master plumber, and apprentices can only assist journeyman plumbers and master plumbers. OAG 99-3 .

318.040. Qualifications — Examinations — Reciprocity.

  1. An applicant for a master or journeyman plumber’s license shall:
    1. Be at least eighteen (18) years of age;
    2. Be of good moral character;
    3. Be a citizen of the United States or be a resident alien who is authorized to work in the United States; and
    4. Possess all the other qualifications that may be prescribed by administrative regulations of the commissioner.
  2. Except as otherwise provided in this chapter, no master or journeyman plumber’s license shall be issued except upon a successful passage of an examination as prescribed by the department.
  3. Examinations for a license as a master plumber or journeyman plumber shall be conducted at times and places fixed by the regulations of the commissioner. Applicants for an examination shall furnish the information required by the commissioner and shall receive from the department due notice of the time and place of the examination.
  4. The department shall prepare or cause to be prepared under its supervision examinations consisting of written and practical tests with such questions and tests by which the department will determine:
    1. With respect to master plumber’s license applicants, that applicants are qualified in view of the definitions, provisions, and purposes of this chapter to carry on responsibly, reasonably, and competently, the activities which a licensed master plumber is authorized to engage in by this chapter; and
    2. With respect to journeyman plumber’s license applicants, their knowledge and competency to carry on the activities which a licensed journeyman plumber is authorized to engage in by this chapter.
  5. The examination papers shall be preserved by the department for a period of one (1) year.
  6. The department may issue a license to any person who holds a valid license in another state if that state has a statewide plumbing code, the other state’s examination is at least equal to that of Kentucky, and the other state agrees to reciprocate with Kentucky.

HISTORY: 3909b-4: amend. Acts 1960, ch. 222, § 5; 1974, ch. 74, Art. VI, § 107(22); 1978, ch. 117, § 50, effective July 1, 1978; 1990, ch. 45, § 1, effective July 13, 1990; 1994, ch. 202, § 1, effective July 15, 1994; 2010, ch. 24, § 1673, effective July 15, 2010; 2017 ch. 169, § 103, effective June 29, 2017.

318.050. Fees.

Each application for a license as a master or journeyman plumber shall be accompanied by a reasonable fee as established by the department in an administrative regulation promulgated in accordance with KRS Chapter 13A.

HISTORY: 3909b-1: amend. Acts 1960, ch. 222, § 6; 1976, ch. 193, § 2; 2010, ch. 24, § 1674, effective July 15, 2010; 2017 ch. 169, § 104, effective June 29, 2017.

318.054. License expiration — Notice — Renewal and revival fees — Evidence of completion of continuing education — Interim period for use of recently deceased owner’s or employee’s master plumber’s license.

  1. The initial license for a master or journeyman plumber shall expire on the last day of the licensee’s birth month in the following year. The department may reduce the license fee on a pro rata basis for initial licenses issued for less than twelve (12) months. Renewed licenses shall expire on the last day of the licensee’s birth month of each year after the date of issuance of the renewed license.
  2. The department shall require an applicant for renewal of a license to show evidence of completing the continuing education requirements established by the department in administrative regulations promulgated under KRS 318.130 .
  3. The department shall send each licensed master and journeyman plumber a notice advising them that the annual license renewal fee is due. The notice shall be sent to the licensee’s last known address no later than thirty (30) days prior to the expiration of the license. The annual license renewal fee shall be a reasonable fee set by regulation of the department. The fee for the renewal of a master plumber’s license shall exceed the fee charged for a journeyman plumber’s license.
  4. A master or journeyman plumber who fails to renew a license prior to expiration may have the license renewed upon payment of the required renewal fee, a revival fee, and upon showing the completion of continuing education requirements. The revival fee for a master plumber shall be five dollars ($5) and for a journeyman plumber three dollars ($3). If the renewal and revival fees are not paid within one hundred eighty (180) days after the license expires, the license shall be automatically canceled by operation of law for nonpayment. A license may be reinstated upon payment of all delinquent renewal fees plus a revival fee of ten dollars ($10) for a master plumber and six dollars ($6) for a journeyman plumber. Upon presentation of proper evidence, the department may waive payment of any renewal or revival fee for a person serving on active duty in the Armed Forces of the United States.
    1. The department shall grant an interim period of up to one hundred eighty (180) continuous calendar days to allow a company to utilize the master plumber’s license of a recently deceased owner or deceased employee who procured plumbing permits for that company, provided that the company: (5) (a) The department shall grant an interim period of up to one hundred eighty (180) continuous calendar days to allow a company to utilize the master plumber’s license of a recently deceased owner or deceased employee who procured plumbing permits for that company, provided that the company:
      1. Effectuates and documents all necessary bonding and insurance policies required in this chapter; and
      2. Ensures that the bonding and insurance policies remain in effect for the entirety of the interim time period extended by the department.
    2. The license of a deceased master plumber shall be terminated by the department at the end of the interim period.
    3. Upon termination of the deceased master plumber’s license, a company shall have an employee with a current and valid Kentucky master plumber’s license in order to procure permits and perform plumbing work governed by this chapter.

History. Enact. Acts 1960, ch. 222, § 7; 1976, ch. 299, § 62; 2005, ch. 182, § 3, effective June 20, 2005; 2006, ch. 167, § 2, effective July 1, 2007; 2010, ch. 24, § 1675, effective July 15, 2010; 2017 ch. 169, § 105, effective June 29, 2017; 2018 ch. 22, § 5, effective July 14, 2018.

318.056. Qualification for license without examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 222, § 8) was repealed by Acts 1966, ch. 255, § 283.

318.057. License without examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 194, § 4; 1974, ch. 126, § 4) was repealed by Acts 1986, ch. 331, § 63, effective July 15, 1986.

318.060. Reexamination.

An applicant who fails an examination shall be eligible to take the next regular examination upon submitting a new application and paying an additional application fee. Applications shall be canceled one (1) year after receipt thereof if the applicant fails to appear for examination.

HISTORY: 3909b-1: amend. Acts 1960, ch. 222, § 9; 2017 ch. 169, § 106, effective June 29, 2017.

318.064. Revocation or suspension of license.

The department may revoke or suspend any plumber’s license upon proof that the licensee:

  1. Has knowingly violated this chapter, the Kentucky State Plumbing Code, or the rules and regulations of the department;
  2. Has practiced fraud or deception in applying for or obtaining a license;
  3. Is incompetent to perform services as a licensed master plumber or a licensed journeyman plumber;
  4. Has permitted his or her license to be used directly or indirectly by another to obtain or perform plumbing work or services; or
  5. Is guilty of other unprofessional or dishonorable conduct of a character likely to deceive or defraud the public.

HISTORY: Enact. Acts 1960, ch. 222, § 10; 1976, ch. 299, § 63; 2010, ch. 24, § 1676, effective July 15, 2010; 2017 ch. 169, § 107, effective June 29, 2017.

318.066. Hearing — Appeal.

  1. A license shall not be suspended or revoked by the department unless a hearing has been conducted or an opportunity afforded therefor in accordance with KRS Chapter 13B.
  2. A licensee aggrieved by a final order of the department suspending or revoking a license may appeal to the Circuit Court of the county in which the appellant’s principal office is located in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 1960, ch. 222, § 11; 1966, ch. 255, § 249; 1974, ch. 315, § 56; 1976, ch. 299, § 64; 1978, ch. 117, § 51, effective July 1, 1978; 1980, ch. 114, § 77, effective July 15, 1980; 1996, ch. 318, § 274, effective July 15, 1996; 2010, ch. 24, § 1677, effective July 15, 2010; 2017 ch. 169, § 108, effective June 29, 2017.

318.070. Board to administer chapter, issue and revoke licenses. [Repealed.]

Compiler’s Notes.

This section (3909b-1) was repealed by Acts 1960, ch. 222, § 26.

318.071. State Plumbing Code Committee — Members — Compensation — Terms — Vacancies. [Repealed]

History. Enact. Acts 1966, ch. 79, §§ 2, 4, 5; 1976, ch. 299, § 65; 1978, ch. 117, § 52, effective July 1, 1978; 1978, ch. 154, § 32, effective June 17, 1978; 1978, ch. 155, § 150, effective June 17, 1978; 2010, ch. 24, § 1678, effective July 15, 2010; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler's Notes.

This section (Enact. Acts 1966, ch. 79, §§ 2, 4, 5; 1976, ch. 299, § 65; 1978, ch. 117, § 52, effective July 1, 1978; 1978, ch. 154, § 32, effective June 17, 1978; 1978, ch. 155, § 150, effective June 17, 1978; 2010, ch. 24, § 1678, effective July 15, 2010.) was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

318.074. Officers of committee — Meetings. [Repealed]

History. Enact. Acts 1966, ch. 79, § 3; 1976, ch. 193, § 3; 1976, ch. 299, § 66; 1978, ch. 117, § 53, effective July 1, 1978; 1978, ch. 155, § 151, effective June 17, 1978; 2010, ch. 24, § 1679, effective July 15, 2010; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler's Notes.

This section (Enact. Acts 1966, ch. 79, § 3; 1976, ch. 193, § 3; 1976, ch. 299, § 66; 1978, ch. 117, § 53, effective July 1, 1978; 1978, ch. 155, § 151, effective June 17, 1978; 2010, ch. 24, § 1679, effective July 15, 2010) was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

318.077. Review and comment on amendments to code — Appeals.

  1. No amendment of the code or any other related administrative regulation shall be promulgated by the department without the prior review and comment of the Housing, Buildings and Construction Advisory Committee under the requirements of KRS 198B.030(8).
  2. Any person aggrieved by any administrative regulation or amendment thereto promulgated by the department, within thirty (30) days after the action has become final, may appeal to the Circuit Court. For the purposes of this subsection, “persons aggrieved” shall include any person directly or indirectly injured or threatened with injury on account of any administrative regulation or amendment thereto promulgated by the department, whether or not that person was a party to the proceedings out of which the order administrative regulation, or amendment arose.

HISTORY: Enact. Acts 1966, ch. 79, § 6; 1976, ch. 193, § 4; 1976, ch. 299, § 67; 1978, ch. 117, § 54, effective July 1, 1978; 1978, ch. 155, § 152, effective June 17, 1978; 2006, ch. 256, § 9, effective July 12, 2006; 2010, ch. 24, § 1680, effective July 15, 2010; 2011, ch. 100, § 20, effective June 8, 2011; 2017 ch. 169, § 109, effective June 29, 2017.

318.080. State Plumbers Examining Committee.

  1. In order to conduct examinations for persons to qualify as licensed master plumbers or journeyman plumbers, the department shall appoint as examiners the following persons to a State Plumbers Examining Committee: An employee of the department and three (3) other persons who shall be licensed either as master or journeyman plumbers. The commissioner shall be an ex officio examiner and permanent commissioner of the examining committee. With the exception of the issuance of any order involving the revocation, suspension or cancellation of a master or journeyman plumber’s license, the commissioner may delegate to a subordinate employee in the department the power to be present and participate, including the right to vote, as his or her representative at any meeting, hearing or other proceeding of the State Plumbers Examining Committee. Plumber examiners shall serve at the pleasure of the department.
  2. The department shall appoint assistant plumber examiners who are qualified licensed master or journeyman plumbers, who shall serve at the pleasure of the department. Assistant plumber examiners shall perform duties as are delegated to them by the State Plumbers Examining Committee.
  3. Plumber examiners and assistant plumber examiners shall receive no compensation for their services, but shall be reimbursed for their necessary traveling expenses.

HISTORY: 3909b-1: amend. Acts 1960, ch. 222, § 12; 1970, ch. 92, § 87; 1974, ch. 74, Art. VI, § 92; 1976, ch. 299, § 68; 1978, ch. 117, § 55, effective July 1, 1978; 1978, ch. 155, § 153, effective June 17, 1978; 2010, ch. 24, § 1681, effective July 15, 2010; 2017 ch. 169, § 110, effective June 29, 2017.

318.090. Inspectors — Appointment — Qualifications.

  1. The department shall appoint and assign plumbing inspectors to each county subject to the provisions of this chapter.
  2. Each plumbing inspector shall have at least eight (8) years experience as a journeyman or master plumber. At the time of his or her appointment he or she shall be licensed in accordance with the provisions of this chapter.

History. 3909b-9: amend. Acts 1960, ch. 222, § 13; 1968, ch. 194, § 5; 1974, ch. 126, § 5; 2010, ch. 24, § 1682, effective July 15, 2010.

NOTES TO DECISIONS

Cited:

Martin v. Thompson, 253 S.W.2d 15, 1952 Ky. LEXIS 1057 ( Ky. 1952 ).

318.100. Advertising by licensee.

No person shall advertise as or claim to be a licensed master or licensed journeyman plumber within the Commonwealth of Kentucky unless that person holds a master or journeyman plumber license from the department in accordance with this chapter.

HISTORY: 3909b-5: amend. Acts 1960, ch. 222, § 14; 1974, ch. 126, § 6; 1976, ch. 299, § 69; 2010, ch. 24, § 1683, effective July 15, 2010; 2017 ch. 169, § 111, effective June 29, 2017.

318.110. Company or individual connected with licensed plumber may engage in plumbing business — Notice of connection.

A company or individual principal may engage in the business of plumbing within any county of the Commonwealth if a person connected with that company or individual principal in responsible charge of the plumbing work is a licensed master plumber. Any master plumber, in responsible charge of plumbing work for a company or individual engaged in the plumbing business, shall notify the department at any time he or she commences or severs his or her connection with the company or individual principal.

HISTORY: 3909b-7: amend. Acts 1960, ch. 222, § 15; 1968, ch. 194, § 6; 1978, ch. 384, § 106, effective June 17, 1978; 2010, ch. 24, § 1684, effective July 15, 2010; 2017 ch. 169, § 112, effective June 29, 2017.

NOTES TO DECISIONS

1.Responsibility for Compliance.

The owner of the property is responsible for compliance with the statutes requiring a plumbing permit and that the work be done or supervised by a licensed master plumber. Rietze v. Williams, 458 S.W.2d 613, 1970 Ky. LEXIS 179 ( Ky. 1970 ), overruled in part, Ctr. College v. Trzop, 127 S.W.3d 562, 2003 Ky. LEXIS 263 ( Ky. 2003 ), overruled in part, Dutton v. McFarland, 199 S.W.3d 771, 2006 Ky. App. LEXIS 82 (Ky. Ct. App. 2006).

318.120. Employment of unlicensed plumber prohibited.

No person or corporation who assumes responsible charge and direction of other persons in the installation of plumbing shall employ or engage any person not licensed under this chapter to perform and install plumbing. Provided, however, that this section shall not be deemed to prohibit the employment or use of an apprentice as defined in this chapter.

History. 3909b: amend. Acts 1960, ch. 222, § 16; 1968, ch. 194, § 7; 1974, ch. 126, § 7.

318.130. Kentucky State Plumbing Code — Administrative regulations.

In order to administer this chapter, the department shall promulgate and thereafter from time to time may amend a code to be known as the Kentucky State Plumbing Code, regulating the construction, installation, and alteration of plumbing and plumbing fixtures and appliances, house sewers and private water supplies, and methods and materials to be used therein within this state, using as a minimum standard the basic principles of the National Plumbing Code Coordinating Committee, as evidenced by that committee’s final report of 1951 with variations thereof or additions thereto as the committee considers are warranted by local, climatic, or other conditions. The code may also designate the number of plumbing fixtures for public buildings. The department may adopt any other reasonable administrative regulation to administer this chapter if the administrative regulation has been subject to review and comment by the Housing, Buildings and Construction Advisory Committee under the requirements of KRS 198B.030(8). No rules or regulations so approved by the Housing, Buildings and Construction Advisory Committee shall become effective except upon adoption by the department, in satisfaction of the requirements of KRS Chapter 13A. The department shall furnish to the Housing, Buildings and Construction Advisory Committee proposed amendments to the code for the committee’s review and comment prior to their adoption by the department. The department shall not promulgate any administrative regulations related to this chapter without granting the Housing, Buildings and Construction Advisory Committee the opportunity to comment on the administrative regulation.

HISTORY: 3909b-2: amend. Acts 1960, ch. 222, § 17; 1966, ch. 79, § 1; 1968, ch. 152, § 147; 1976, ch. 193, § 5; 1976, ch. 299, § 70; 1982, ch. 392, § 7, effective July 15, 1982; 2006, ch. 256, § 10, effective July 12, 2006; 2010, ch. 24, § 1685, effective July 15, 2010; 2011, ch. 100, § 21, effective June 8, 2011; 2017 ch. 169, § 113, effective June 29, 2017.

Legislative Research Commission Note.

(10/5/90). Pursuant to KRS 7.136(1), KRS Chapter 13A has been substituted for the prior reference to KRS Chapter 13 in this statute. The sections in KRS Chapter 13 were repealed by 1984 Ky. Acts ch. 417, § 36 and KRS Chapter 13A was created in that same chapter of the 1984 Ky. Acts.

NOTES TO DECISIONS

1.Clarity of Regulations Required.

Individual charged with plumbing without a license in violation of this section and KRS 318.030 and 318.134 , and in violation of certain regulations promulgated thereto, was relieved of any liability with regard to these alleged violations, as the regulations in question were not clear and concise, as required by law. McGregor v. Commonwealth, 784 S.W.2d 785, 1990 Ky. App. LEXIS 25 (Ky. Ct. App. 1990).

Cited:

Louisville v. Thompson, 339 S.W.2d 869, 1960 Ky. LEXIS 487 ( Ky. 1960 ).

Opinions of Attorney General.

Where owners of trailers use them as dwelling houses, more or less permanently affixed to the land, on private property outside trailer coach parks and list such trailers as real estate or improvements on real estate for tax purposes, such listing as real estate under these conditions in areas where this section applies would bring the structure within the purview of the state Plumbing Code. OAG 67-110 .

A biological decomposition toilet which is not connected with the water supply system or drainage system does not require a plumbing construction permit. OAG 77-409 .

Research References and Practice Aids

Cross-References.

Administrative regulations adoption and effective date, KRS 13A.331 .

318.134. Installation permits — Requisites — Fees.

  1. No person, firm, or corporation shall:
    1. Construct, install, or alter, or cause to be constructed, installed, or altered, any plumbing without first having procured a plumbing installation permit therefor from the department;
    2. Use or continue to use, or permit the use or continued use of, any plumbing constructed, installed, or altered under a plumbing installation permit issued therefor where the department through a duly authorized inspector, employee, or agent, finds that the plumbing was not constructed, installed, or altered in accordance with such permit and the Kentucky State Plumbing Code.
  2. All applications for plumbing installation permits shall be accompanied by plans and specifications of the proposed plumbing installation, location, and construction of the water supply system to be used. If an on-site sewage disposal system that does not have a surface discharge is proposed, a valid on-site sewage disposal permit issued by the Cabinet for Health and Family Services or its designated agent shall accompany the application.
  3. The department shall fix a reasonable schedule of fees and charges to be paid for plumbing installation permits and the necessary inspections incident thereto. The department shall also fix a reasonable schedule of fees and charges to be paid for necessary inspections of the construction, installation, or alteration of plumbing in public buildings.

History. Enact. Acts 1960, ch. 222, § 18; 1968, ch. 194, § 8; 1974, ch. 126, § 8; 1976, ch. 299, § 71; 1978, ch. 244, § 2, effective June 17, 1978; 1982, ch. 392, § 8, effective July 15, 1982; 1998, ch. 426, § 551, effective July 15, 1998; 2005, ch. 99, § 600, effective June 20, 2005; 2010, ch. 24, § 1686, effective July 15, 2010.

NOTES TO DECISIONS

1.Fifth-Class City.

A fifth-class city had the authority under its general powers to enact a city ordinance adopting the state Plumbing Code. Horse Cave v. Pierce, 437 S.W.2d 185, 1969 Ky. LEXIS 427 ( Ky. 1969 ).

2.— Clarity of Regulations Required.

Individual charged with plumbing without a license in violation of this section and KRS 318.030 and 318.130 , and in violation of certain regulations promulgated thereto, was relieved of any liability with regard to these alleged violations, as the regulations in question were not clear and concise, as required by law. McGregor v. Commonwealth, 784 S.W.2d 785, 1990 Ky. App. LEXIS 25 (Ky. Ct. App. 1990).

3.Responsibility for Compliance.

The owner of the property is responsible for compliance with the statutes requiring a plumbing permit and that the work be done or supervised by a licensed master plumber. Rietze v. Williams, 458 S.W.2d 613, 1970 Ky. LEXIS 179 ( Ky. 1970 ), overruled in part, Ctr. College v. Trzop, 127 S.W.3d 562, 2003 Ky. LEXIS 263 ( Ky. 2003 ), overruled in part, Dutton v. McFarland, 199 S.W.3d 771, 2006 Ky. App. LEXIS 82 (Ky. Ct. App. 2006).

Opinions of Attorney General.

The approval or rejection of individual installations does not involve the formulation of the state Plumbing Code, but rather involves solely the administration of the Code as adopted. Therefore the state plumbing code committee does not have authority to approve individual applications for plumbing permits on an experimental basis. OAG 68-188 .

This section contains no exemption for nonpublic buildings from percolation tests, so that any interpretation or regulation construing this section not requiring the results of an approved percolation test to be submitted with the plan of sewage disposal for nonpublic buildings is void as contrary to unambiguous wording of this section. OAG 74-910 .

This section does not prohibit all subsoil sewage drainage systems other than septic tank and lateral field systems, and thus is not limited to such systems. OAG 75-289 .

This section must be read in pari materia with KRS 318.160 , and the approved percolation test mentioned in both sections is one that is approved because it is conducted according to certain established procedures and not because the test results meet a predetermined standard. OAG 75-289 .

Neither this section nor the standards adopted by the Department specifically prohibit installation of a septic tank in an area containing a soil depth of less than six feet, but specify only that in such an area there must be a determination that the soil condition will safely accommodate the proposed sewage disposal system, and the imposition of an absolute six foot standard, without taking into account other relevant factors, would be an arbitrary, unlawful exercise of the police power. OAG 75-289 .

A sanitarian who performs a percolation test as a private business should not take any part in the decision on a permit for a subsurface disposal system that relies on the percolation test he performed. Additionally, the sanitarian should not perform the inspection of the installation of that same subsurface disposal system because of the appearance of conflicting loyalties presented. OAG 82-338 .

318.136. Trust and agency fund.

All license fees, permit and inspection fees and charges, and other moneys collected by the department, under the provisions of this chapter and the rules and regulations of the department adopted hereunder, shall be paid into the State Treasury and credited to a trust and agency fund to be used by the department in carrying out the provisions of this chapter. No part of this fund shall revert to the general fund of the Commonwealth. All moneys held in a trust and agency fund or other fund to the credit of the department for the administration and enforcement of this chapter on June 16, 1960, are hereby transferred to the trust and agency fund herein created.

History. Enact. Acts 1960, ch. 222, § 19; 1976, ch. 299, § 72; 2010, ch. 24, § 1687, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Trust and agency fund, KRS 45.253 , KRS ch. 47.

318.140. Adoption and enforcement of State Plumbing Code by local governments — Local inspectors — Qualifications.

  1. Any local government may, by ordinance, enact the Kentucky State Plumbing Code, regulating the construction, installation, or alteration of plumbing within such local government, providing for the issuance of plumbing installation permits and fixing permit and inspection fees. Two (2) or more local governments may, by ordinance of each local government, enact the plumbing code as described in this section which shall be jointly enforced and administered by said local governments within their boundaries. Agreements for joint enforcement shall conform to the provisions of KRS Chapter 65. The department may authorize any such local government or combination of local governments to administer, carry out, and enforce the Kentucky State Plumbing Code and the rules and regulations of the department relating thereto and to issue permits and make inspections thereunder within such local government, in which event a permit issued under the provisions of the local government plumbing code ordinance shall be deemed a permit issued by the department; provided, however, that inspectors of the department shall have concurrent jurisdiction with local government plumbing inspectors in the enforcement in such local governments of the Kentucky State Plumbing Code.
  2. Any local government enacting a plumbing code ordinance may appoint and fix the compensation of local government plumbing inspectors. No person shall be eligible for appointment as a local government plumbing inspector unless he or she has at least eight (8) years’ experience as a master or journeyman plumber. At the time of his or her appointment, he or she shall be licensed in accordance with the provisions of this chapter.
  3. Nothing contained in this chapter shall be construed as prohibiting a local government from collecting occupational license fees from persons, firms, or corporations engaged in the plumbing business.

History. 3909b-8: amend. Acts 1960, ch. 222, § 20; 1976, ch. 299, § 73; 1978, ch. 117, § 56, effective July 1, 1978; 2010, ch. 24, § 1688, effective July 15, 2010.

NOTES TO DECISIONS

1.Fifth-Class City.

A fifth-class city has the authority under its general powers to enact a city ordinance adopting the state Plumbing Code. Horse Cave v. Pierce, 437 S.W.2d 185, 1969 Ky. LEXIS 427 ( Ky. 1969 ).

318.150. Materials and methods to be used.

No person shall use unsafe or defective material in the work of plumbing or drainage. Only the best known methods of installing materials, fixtures, appurtenances and appliances, including water supply piping, waste, ventilating and soil piping, and sewage piping shall be employed.

History. 3909b-3: amend. Acts 1960, ch. 222, § 21.

NOTES TO DECISIONS

1.Appropriate Standard.

Trial court properly denied appellant company’s petition for a writ of mandamus and related motion for summary judgment because even if appellant’s plumbing device were evaluated under the “equal to or better than” standard under 815 Ky. Admin. Regs. 20:020, rather than the “best known method” standard under KRS 318.150 , the state agencies still properly exercised their discretion in declining to amend the plumbing code to allow for use of appellant’s plumbing device in Kentucky or to otherwise approve the product. Studor, Inc. v. Commonwealth, 390 S.W.3d 145, 2012 Ky. App. LEXIS 70 (Ky. Ct. App. 2012).

Cited:

Sanderson v. Saxon, 834 S.W.2d 676, 1992 Ky. LEXIS 101 ( Ky. 1992 ).

Opinions of Attorney General.

When there has been a violation of this section by the installation of defective plumbing facilities, it is the duty of the county attorney under KRS 318.180 to represent the Department of Health (now Department of Housing, Buildings and Construction) by prosecuting a complaint or filing an injunction suit to restrain and enjoin the violation and to require the removal of the illegal facilities. OAG 73-97 .

318.160. Installation plans and specifications.

Except as otherwise provided by law or by regulation of the department, no person shall construct, install, or extensively alter any plumbing, sewerage, or water supply system of any public building or establishment without having first obtained the approval of the department in writing. Detailed plans and specifications of the proposed facility showing the plumbing system, sewage disposal system, and water supply system shall be submitted to the department prior to the construction or alteration of the facility. In the event no public sewer is available, the plan shall include the proposed type of sewage disposal system. In the event a sewage subsoil drainage system is used, or some other type of on-site sewage disposal system that does not have a surface discharge, the application for construction, installation, or alteration of such system shall be submitted to the Cabinet for Health and Family Services or its designated agent. All other plans and specifications shall be submitted in triplicate to the department. The department shall notify the applicant in writing of the approval or disapproval of the plans. The construction, installation, or alteration shall be done in accordance with the approved plans.

History. Enact. Acts 1960, ch. 222, § 22; 1976, ch. 299, § 74; 1978, ch. 244, § 3, effective June 17, 1978; 1982, ch. 392, § 9, effective July 15, 1982; 1998, ch. 426, § 552, effective July 15, 1998; 2005, ch. 99, § 601, effective June 20, 2005; 2010, ch. 24, § 1689, effective July 15, 2010.

Opinions of Attorney General.

Neither KRS 318.134 nor this section prohibit all subsoil sewage drainage systems other than septic tank and lateral field systems, and thus are not limited to such systems. OAG 75-289 .

KRS 318.134 must be read in pari materia with this section, and the approved percolation test specified in both sections is one that is approved because it is conducted according to certain established procedures and not because the test results meet a predetermined standard. OAG 75-289 .

Neither this section, KRS 318.134 , nor the standards adopted by the department specifically prohibit installation of a septic tank in an area containing a soil depth of less than six (6) feet, but specify only that in such an area there must be a determination that the soil conditions will safely accommodate the proposed sewage disposal system, and the imposition of an absolute six (6) foot standard, without taking into consideration other relevant factors, would be an arbitrary, unlawful exercise of the police power. OAG 75-289 .

318.165. Requisites for providing permanent water supply.

No permanent water supply shall be provided to any building by any public utility or water district where the interior plumbing system has not been installed and approved in accordance with the provisions of KRS Chapter 318 and the State Plumbing Code.

History. Enact. Acts 1974, ch. 126, § 9.

Opinions of Attorney General.

The penalty provision of KRS 318.990 applies to whomever or whatever violates this section so long as the violator comes within the definition of “person” in KRS 318.010 and is not excluded by some other statute; the Department of Housing, Buildings and Construction is authorized by KRS 318.180 to enforce the provisions of KRS Chapter 318, however, while KRS 318.180 does not limit enforcement to the Department, the identity of other persons or agencies with such enforcement authority would need to be derived from other provisions of KRS. OAG 80-135 .

318.170. Authority of agents of department.

For the purpose of enforcing the provisions of this chapter and the State Plumbing Code, officers, agents, and inspectors of the department shall have the power and authority to enter upon premises at all reasonable times for the purpose of making inspections, to interrogate all persons and to require the production of plumbing installation permits and other evidence. Officers, agents, and inspectors of the department are empowered to issue a stop order to any owner, agent, or occupant of real property whenever the plumbing thereon is found by the officer, agent or inspector of the department to be in violation of this chapter or the State Plumbing Code.

History. Enact. Acts 1960, ch. 222, § 23; 2010, ch. 24, § 1690, effective July 15, 2010.

318.180. Enforcement of plumbing laws.

  1. Notwithstanding the existence or pursuit of any other remedy (civil or criminal) the department, or its officers, agents, or inspectors, are hereby authorized to institute and maintain actions to restrain and enjoin any violation of this chapter, the State Plumbing Code, or the rules and regulations of the department relating thereto.
  2. City, county and Commonwealth’s attorneys, and the Attorney General, shall within their respective jurisdictions represent the department, its officers, agents, and inspectors, in the enforcement of the provisions of this chapter, the State Plumbing Code, and the rules and regulations of the department relating thereto, but when the department deems it necessary, it may employ, at its discretion, special attorneys to assist the department, or its officers, agents, or inspectors, and may pay reasonable compensation, fees and other costs from any unexpended plumbing funds.

History. Enact. Acts 1960, ch. 222, § 24; 1976, ch. 299, § 75; 2010, ch. 24, § 1691, effective July 15, 2010.

Opinions of Attorney General.

When there has been a violation of KRS 318.150 by the installation of defective plumbing facilities, it is the duty of the county attorney to represent the Department of Health (now Department of Housing, Buildings and Construction) by prosecuting a complaint or filing an injunction suit to restrain and enjoin the violation and to require the removal of the illegal facilities. OAG 73-97 .

The penalty provision of KRS 318.990 applies to whomever or whatever violates KRS 318.165 so long as the violator comes within the definition of “person” in KRS 318.010 and is not excluded by some other statute; the Department of Housing, Buildings and Construction is authorized to enforce the provisions of KRS Chapter 318, however, while this section does not limit enforcement to the Department, the identity of other persons or agencies with such enforcement authority would need to be derived from other provisions of KRS. OAG 80-135 .

318.190. Jurisdiction for enforcement actions.

  1. The Circuit Court where the violation occurs shall have jurisdiction and venue in all civil and injunctive actions instituted by the department for the enforcement of the provisions of KRS Chapter 318 and the State Plumbing Code and the orders issued thereunder.
  2. The Franklin Circuit Court shall hold concurrent jurisdiction and venue in all civil and injunctive actions instituted by the department, or upon the secretary’s request by the Attorney General, for the enforcement of the provisions of KRS Chapter 318, the State Plumbing Code and the orders issued thereunder and other rules and regulations of the department.
  3. The District Court where the violation occurs shall have jurisdiction and venue in all criminal actions for the enforcement of the provisions of KRS Chapter 318 and the State Plumbing Code and the orders issued thereunder. The Franklin Circuit Court shall hold concurrent jurisdiction and venue on all appeals of criminal actions for the enforcement of the provisions of KRS Chapter 318 and the State Plumbing Code and the orders issued thereunder.

History. Enact. Acts 1974, ch. 126, § 10; 1976, ch. 193, § 6; 1976, ch. 299, § 76; 1984, ch. 45, § 1, effective July 13, 1984; 2010, ch. 24, § 1692, effective July 15, 2010.

Opinions of Attorney General.

Although a new complaint could be filed every day as long as an offending facility remains in operation, a civil action in the form of an injunction suit would be a preferable way to deal with an offending condition since the power of the court to punish for contempt seems to provide a more effective method of forcing the correction of an offending condition. OAG 73-97 .

The Circuit Court shall have exclusive jurisdiction for the enforcement of the provisions of KRS Chapter 318, the state Plumbing Code and other rules and regulations of the Department for Natural Resources and Environmental Protection (now Department of Housing, Buildings and Construction). OAG 78-171 .

The only reading of this section, KRS 23A.010 and 24A.110 which gives effect to all three statutes is that the misdemeanor penalty established by KRS 318.990 must be prosecuted in District Court. OAG 78-742 (This OAG modifies OAG 76-401 and, in effect, replaces it.).

318.200. Water heating devices — Serial numbers.

  1. No water heating device shall be sold or offered for sale in the Commonwealth of Kentucky unless it contains a serial number on it. As used in this section, “water heating device” means any pressure vessel which heats, stores, and supplies potable water for domestic or commercial purposes other than for space heating.
  2. All retailers, wholesalers, and installers selling or offering for sale a water heating device shall, within thirty (30) days of the date of sale, forward a list of names and addresses of purchasers along with the serial numbers of the devices purchased to the department or to the appropriate agency of county or city government having jurisdiction.

History. Enact. Acts 1984, ch. 272, § 1, effective July 13, 1984; 1992, ch. 5, § 1, effective July 14, 1992; 2010, ch. 24, § 1693, effective July 15, 2010.

On-Site Sewage Disposal Systems

318.310. Issuance of plumbing installation permits for on-site sewage disposal systems — Local board of health as agent for department. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1976 (Ex. Sess.), ch. 13, § 30; 1978, ch. 155, § 154, effective June 17, 1978; 1978, ch. 244, § 1, effective June 17, 1978) was repealed, reenacted and amended as KRS 211.370 by Acts 1982, ch. 392, § 10, effective July 15, 1982.

318.320. Permit for approved on-site sewage disposal system other than a septic tank — State plumbing code listing. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1976 (Ex. Sess.), ch. 13, § 31) was repealed, reenacted and amended as KRS 211.380 by Acts 1982, ch. 392, § 12, effective July 15, 1982.

318.330. Manuals of information concerning on-site sewage disposal — Field personnel training and continuing education programs. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 148, § 1, effective July 15, 1980) was repealed and reenacted as KRS 211.375 by Acts 1982, ch. 392, § 11, effective July 15, 1982.

Penalties

318.990. Penalties.

Any person who violates any provision of this chapter or any regulation adopted hereunder or any provision of the State Plumbing Code shall be fined not less than ten dollars ($10) nor more than one hundred dollars ($100) or imprisoned for not more than ninety (90) days or both for each offense. Each day the violation continues shall constitute a separate offense.

History. 3909b-10: amend. Acts 1960, ch. 222, § 25.

NOTES TO DECISIONS

1.Relief from Liability Where Regulations Unclear.

Individual charged with plumbing without a license in violation of KRS 318.030 , 318.130 and 318.134 , and in violation of certain regulations promulgated thereto, was relieved of any liability with regard to these alleged violations, as the regulations in question were not clear and concise, as required by law. McGregor v. Commonwealth, 784 S.W.2d 785, 1990 Ky. App. LEXIS 25 (Ky. Ct. App. 1990).

Cited:

Martin v. Thompson, 253 S.W.2d 15, 1952 Ky. LEXIS 1057 ( Ky. 1952 ).

Opinions of Attorney General.

The Circuit Court shall have exclusive jurisdiction for the enforcement of the provisions of KRS Chapter 318, the State Plumbing Code and other rules and regulations of the Department for Natural Resources and Environmental Protection. OAG 78-171 .

The penalty provision applies to whomever or whatever violates KRS 318.165 so long as the violator comes within the definition of “person” in KRS 318.010 and is not excluded by some other statute; the Department of Housing, Buildings and Construction is authorized by KRS 318.180 to enforce the provisions of KRS Chapter 318, however, while KRS 318.180 does not limit enforcement to the Department, the identity of other persons or agencies with such enforcement authority would need to be derived from other provisions of KRS. OAG 80-135 .

CHAPTER 319 Psychologists

319.005. Practice of psychology and use of title by persons not licensed or certified prohibited — Voluntary health practitioners.

  1. No person shall engage in the practice of psychology as defined in KRS 319.010 or hold himself or herself out by any title or description of services which incorporates the words “psychological,” “psychologist,” or “psychology”, unless licensed by the board. No person shall engage in the practice of psychology in a manner that implies or would reasonably be deemed to imply that he or she is licensed, unless he or she holds a valid license issued by the board.
  2. The provisions of subsection (1) of this section shall not apply to volunteer health practitioners providing services under KRS 39A.350 to 39A.366 .

History. Enact. Acts 1964, ch. 154, § 14; 1986, ch. 128, § 1, effective July 15, 1986; 1992, ch. 104, § 1, effective July 14, 1992; 2001, ch. 80, § 1, effective June 21, 2001; 2007, ch. 96, § 16, effective June 26, 2007.

NOTES TO DECISIONS

1.Qualifications.

KRS 210.450 , rather than KRS 319.005 , controls with regard to the qualifications of persons who may provide psychological services at community mental health centers; accordingly, a professional equivalent providing counseling services as an employee of a community mental health center is not governed by KRS Ch. 319, i.e., the authority of the Board of Examiners of Psychology, but is governed by the regulations promulgated by the Cabinet for Health Services, per the authority of KRS 210.450 . Commonwealth v. Funk, 84 S.W.3d 92, 2002 Ky. App. LEXIS 1340 (Ky. Ct. App. 2002).

2.Constitutionality.

Where state regulators sought to prohibit publishing of advice column and author's description of himself as family psychologist when he was not licensed in state, although he was in another state, Kentucky's Psychology Practice Act was unconstitutional restriction as applied to author's First Amendment free speech. Rosemond v. Markham, 135 F. Supp. 3d 574, 2015 U.S. Dist. LEXIS 134214 (E.D. Ky. 2015 ).

Opinions of Attorney General.

The public schools may not participate, institute or collaborate in a counseling program where ministers volunteer to counsel students and school personnel on various personal problems, as such ministers are not licensed psychologists or certified counselors. OAG 73-868 .

The superintendent of public education has adopted 704 KAR 3:175 which defines the criteria which a person filling the position of school psychologist must meet if the position is to be funded by money from the foundation program which criteria do not include the requirement that the “school psychiatrist” be licensed by the Board of Psychological Examiners; rather this regulation does not permit any person who is not licensed by the Board to hold himself out as a psychologist or to practice psychology in violation of this section and KRS 319.010 , but merely establishes the criteria which an otherwise qualified psychologist must meet if his position is to be funded with money from the foundation program, and any person holding himself out as a “school psychologist” or engaging in the practice of psychology without a license issued by the Board violates KRS Chapter 319 and is subject to the penalties contained in KRS 319.990 . OAG 79-108 .

A psychotherapist who holds himself out to the public by any title or description of services which is misleading or deceptive regardless of the words used is in violation of the Consumer Protection Act, KRS 367.110 to 367.390 ; the public must not be deceived as to the educational background of a psychotherapist or the services which he is qualified to perform. OAG 80-326 .

Strictly speaking, a psychotherapist who carefully avoids incorporating the statutory words of this section in his overtures to the public is not in violation of this section. OAG 80-326 .

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

319.010. Definitions.

As used in this chapter unless the context requires otherwise:

  1. “Association” means the Kentucky Psychological Association;
  2. “Board” means the Kentucky Board of Examiners of Psychology;
  3. “Credential holder” means any person who is regulated by the board;
  4. “EPPP” means the Examination for Professional Practice in Psychology developed by the Association of State and Provincial Psychology Boards;
  5. “IPC” means the Interjurisdictional Practice Certificate developed by the Association of State and Provincial Psychology Boards;
  6. “License” means the credential issued by the board to a licensed psychologist, licensed psychological practitioner, certified psychologist with autonomous functioning, certified psychologist, or a licensed psychological associate;
  7. “Practice of psychology” means rendering to individuals, groups, organizations, or the public any psychological service involving the application of principles, methods, and procedures of understanding, predicting, and influencing behavior, such as the principles pertaining to learning, perception, motivation, thinking, emotions, and interpersonal relationships; the methods and procedures of interviewing, counseling, and psychotherapy; and psychological testing in constructing, administering, and interpreting tests of mental abilities, aptitudes, interests, attitudes, personality characteristics, emotion, and motivation. The application of said principles in testing, evaluation, treatment, use of psychotherapeutic techniques, and other methods includes, but is not limited to: diagnosis, prevention, and amelioration of adjustment problems and emotional, mental, nervous, and addictive disorders and mental health conditions of individuals and groups; educational and vocational counseling; the evaluation and planning for effective work and learning situations; and the resolution of interpersonal and social conflicts;
  8. “Psychotherapy” means the use of learning, conditioning methods, and emotional reactions, in a professional relationship, to assist a person or persons to modify feelings, attitudes, and behavior which are intellectually, socially, or emotionally maladjustive or ineffectual; and
  9. “Psychologist” means any person who holds himself or herself out by any title or description of services incorporating the words “psychologic,” “psychological,” “psychologist,” “psychology,” “psychopractice,” or any other term or terms that imply he or she is trained, experienced, or an expert in the field of psychology.

History. Enact. Acts 1948, ch. 169, § 1; 1964, ch. 154, § 1; 1986, ch. 128, § 2, effective July 15, 1986; 2001, ch. 80, § 2, effective June 21, 2001; 2010, ch. 50, § 1, effective July 15, 2010.

NOTES TO DECISIONS

1.Practice of Psychology.

Kentucky State Board of Examiners of Psychology had subject matter jurisdiction over administrative complaint alleging that a psychologist violated KRS 319.082(1)(c), (d), and (f) by rendering a formal, professional opinion about a child without direct and substantial professional contact with, or a formal assessment of, the child because while the evaluation of the child was in the context of a judicial proceeding, the conduct still constituted the practice of psychology under KRS 319.010(6) (now (7)). Maggard v. Commonwealth, 282 S.W.3d 301, 2008 Ky. LEXIS 237 ( Ky. 2008 ).

Cited:

Mosley v. Commonwealth, 420 S.W.2d 679, 1967 Ky. LEXIS 130 ( Ky. 1967 ).

Opinions of Attorney General.

This section exempts from the definition of psychology and, therefore, from the licensing requirements of KRS Chapter 319, “the teaching of principles of psychology for accredited educational institutions,” a fortiori, the teaching of the principles of psychotherapy for accredited educational institutions is similarly exempted and no further licensing would be required. OAG 80-326 .

A practitioner of “thanatology,” which is described as the counseling and helping of families to cope with the news that a loved one is terminally ill and to help said families after the death of the loved one, should either be a licensed physician or a licensed social worker. A licensed psychologist is also probably legally qualified to practice “thanatology.” OAG 83-402 .

319.015. Activities not included in practice of psychology.

Nothing in this chapter shall be construed to limit:

  1. The activities, services, and use of title on the part of a person in the employ of the federal government;
  2. Persons from engaging in the teaching of psychology, the conduct of psychological research, the provision of consultation services to organizations or institutions, or the provision of expert testimony, provided that such activities do not involve the delivery or supervision of direct psychological services to individuals or groups;
  3. Persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes from rendering services consistent with the laws regulating their professional practice and the ethics of their profession. The use of written or computerized interpretations of any psychological testing or the administration and use of symptomatic and behavioral assessments by a practitioner of the healing arts as defined in KRS 311.271(2), clinical social worker, marriage and family therapist, professional art therapist, advanced practice registered nurse, physician, physical therapist, or occupational therapist who uses these interpretations or administers and uses these assessments shall not be limited. They shall not represent themselves to be psychologists or use the term “psychological” in describing their services;
  4. The activities of a student, intern, or resident in psychology, pursuing a course of study approved by the department of psychology of an educational institution rated acceptable by the board for qualifying training and experience, provided such activities are recognized by transcript as a part of his or her supervised course of study;
  5. The recognized educational activities of teachers in accredited public and private schools, the authorized duties of guidance counselors who are certified by the Education Professional Standards Board, or the activities of persons using psychological techniques in business and industrial organizations for employment placement, promotion, or job adjustment of their own officers and employees;
  6. Persons who are credentialed as school psychologists by the Education Professional Standards Board from using the title “school psychologist” and practicing psychology as defined in KRS 319.010 , if their practice is restricted to regular employment within a setting under the purview of the Education Professional Standards Board. These individuals shall be employees of the educational institution and not independent contractors providing psychological services to educational institutions;
  7. A duly ordained minister, priest, rabbi, Christian Science practitioner, or other clergyman from carrying out his or her responsibilities while functioning in a ministerial capacity within a recognized religious organization serving the spiritual needs of its constituency, if he or she does not hold himself or herself out as a psychologist; or
  8. Any nonresident temporarily employed in this state from rendering psychological services for not more than thirty (30) days every two (2) years, if he or she holds a valid current license or certificate as a psychologist in his or her home state or country and registers with the board prior to commencing practice in the Commonwealth or if he or she holds a valid current IPC.

History. Enact. Acts 1964, ch. 154, § 15; 1986, ch. 128, § 3, effective July 15, 1986; 1992, ch. 104, § 2, effective July 14, 1992; 1996, ch. 362, § 6, effective July 15, 1996; 2001, ch. 80, § 3, effective June 21, 2001; 2002, ch. 79, § 10, effective July 15, 2002; 2010, ch. 50, § 2, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). 2010 Ky. Acts ch. 85, sec. 52, changed the designation of “advanced registered nurse practitioner” to “advanced practice registered nurse” in KRS 314.011 , the definitions section for KRS Chapter 314 relating to nursing. A change has been made in the text of this statute to conform.

Opinions of Attorney General.

A person employed as a school psychologist is not within the group of school personnel excluded from the provisions of this chapter by subsection (4) (now (5)) of this section and must be licensed under this chapter in order to be employed as a school psychologist. OAG 67-180 .

The members of the staff of the Reading Research Institute of Berea College are not required to be licensed as psychologists under KRS Chapter 319 in order to be authorized to administer tests to students to carry on the work of the institute, since such work is not against the public interest and constitutes the conduct of research in problems of human behavior and subsection (1) of this section exempts from licensure the activities of a person in the employ of an accredited institution of higher education to the extent that such activities are a part of such person’s official duties. OAG 68-209 .

Unless the Board of Examiners of Psychologists grants an exception or the statute is amended, a school psychologist must have both a psychologist’s license and a state Department of Education certificate. OAG 74-5 .

319.020. Board of Examiners of Psychology.

  1. The board shall consist of nine (9) members appointed by the Governor. Six (6) members shall be licensed psychologists. Two (2) members shall be credentialed by the board as certified psychologists, licensed psychological practitioners, or licensed psychological associates. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated.
  2. Licensed psychologist members shall be appointed by the Governor from a group consisting of the three (3) nominees receiving the most votes for each position to be filled, the nominees to be selected by all licensed psychologists credentialed under this chapter from a list of eligible candidates prepared by the Kentucky Psychological Association. Candidates shall be solicited from all licensed psychologists credentialed according to the provisions of this chapter and each nominee shall be a licensed psychologist credentialed according to the provisions of this chapter. Each licensed psychologist member shall be a resident of this state and shall have engaged in the practice or teaching of psychology as a licensed psychologist for at least three (3) years in this state.
  3. Certified psychologist, licensed psychological practitioner, or licensed psychological associate members shall be appointed by the Governor from a group consisting of the three (3) nominees receiving the most votes for each position to be filled, the nominees to be selected by all certified psychologists, licensed psychological practitioners, and licensed psychological associates credentialed under this chapter from a list of eligible candidates prepared by the Kentucky Psychological Association. Candidates shall be solicited from all certified psychologists, licensed psychological practitioners, and licensed psychological associates credentialed according to the provisions of this chapter. Each nominee shall be a resident of this state, licensed according to the provisions of this chapter, and shall have engaged in the practice or teaching of psychology as a certified psychologist, licensed psychological practitioner, or licensed psychological associate for at least three (3) years in this state.
  4. The term of each board member shall be four (4) years and until a successor is appointed and qualified. No member shall serve more than two (2) consecutive full terms. The Governor shall fill any vacancy occurring in the board in the manner prescribed in subsection (2) of this section. Upon recommendation by a majority of the board members and after notice and a hearing, the Governor shall remove any member for incompetence, neglect of duty, or malfeasance in office.
  5. Five (5) members of the board shall constitute a quorum. Each member shall receive one hundred dollars ($100) per day for attending each meeting and shall receive his necessary expenses incurred in the performance of the duties required by this chapter. Annually the board shall elect one (1) of its licensed members as chairperson for a term of one (1) year. No person shall serve more than two (2) consecutive full terms as chairperson. The board shall meet at least twice annually and at other times as it determines necessary. Special meetings may be called by the chairperson and shall be called upon the written request of two (2) members.

History. Enact. Acts 1948, ch. 169, § 2; 1964, ch. 154, § 2; 1976, ch. 206, § 13; 1978, ch. 154, § 33, effective June 17, 1978; 1986, ch. 128, § 4, effective July 15, 1986; 1988, ch. 291, § 1, effective July 15, 1988; 1992, ch. 104, § 3, effective July 14, 1992; 2001, ch. 80, § 4, effective June 21, 2001.

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Research References and Practice Aids

Cross-References.

Appointments to boards and commissions, KRS 12.070 .

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

319.030. Annual report of board — Principal office — Register.

  1. On June 30 of each year the board shall submit to the Governor a written report including the names of all persons to whom licenses have been granted as provided in this chapter and any cases heard and decisions rendered.
  2. The board may locate its principal office, meet, or conduct any of its business at any place in this state.
  3. The board shall keep a record of its proceedings and a register of licensed and certified psychologists, licensed psychological practitioners, and licensed psychological associates. The books and records of the board shall be prima facie evidence of the matters therein contained.

History. Enact. Acts 1948, ch. 169, § 3; 1964, ch. 154, § 3; 1986, ch. 128, § 5, effective July 15, 1986; 1988, ch. 291, § 2, effective July 15, 1988; 2001, ch. 80, § 5, effective June 21, 2001.

319.032. Authority for administrative regulations.

  1. The board shall promulgate administrative regulations:
    1. Establishing requirements, standards, and tests to determine the moral, intellectual, educational, scientific, technical, and professional qualifications of applicants for licensure; and preparing or selecting and administering examinations on general psychological knowledge. Neither certified psychologists, licensed psychological practitioners, nor licensed psychological associates may participate in the examination of applicants for licensure as licensed psychologists;
    2. Establishing and defining the scope of practice within the field of psychology;
    3. Setting the requirements for issuing, denying, suspending, restricting, and revoking licenses, and placing credential holders on probation;
    4. Developing specific guidelines to follow upon receipt of an allegation of sexual misconduct by a person credentialed by the board. The guidelines shall include investigation, hearing officer, and hearing procedures which ensure that the process does not revictimize the alleged victim or cause harm if a credential holder is falsely accused;
    5. Requiring training for the board and investigators hired by the board on the dynamics of sexual misconduct of professionals, including the nature of this abuse of authority, characteristics of the offender, the impact on the victim, the possibility and the impact of false accusations, investigative procedure in sex offense cases, and effective intervention with victims and offenders;
    6. Establishing requirements for continuing education not to exceed thirty-nine (39) contact hours per three (3) year renewal period as a condition for renewal of licenses, the increased requirement to be a condition for renewal of licenses beginning with renewals occurring after June 30, 2013;
    7. Establishing and collecting reasonable fees for directories, transcribing, transferring of records, and other services;
    8. Conducting hearings or appointing hearing officers to conduct hearings on any matter under the jurisdiction of the board, in accordance with KRS Chapter 13B;
    9. Entering into reciprocal agreements with boards of examiners of psychology of other states having qualifications and standards at least as high as those of this state providing for reciprocal licensure;
    10. Employing personnel, including hearing officers which it considers necessary for the performance of its functions, determining the duties of personnel, and compensating them within the limits of funds available to the board;
    11. Investigating complaints or suspected violations of this chapter and notifying proper law enforcement authorities. For the purpose of enforcing the provisions of this chapter, the board shall have the authority to administer oaths, receive evidence, interview persons, issue subpoenas, and require the productions of books, papers, documents, or other evidence;
    12. Governing the supervision of certified psychologists and the supervision and employment of licensed psychological associates and candidates for licensure;
    13. Developing specific guidelines to allow school psychologists who are dually credentialed by the Education Professional Standards Board and the board to obtain supervision acceptable to the board from a licensed psychologist who is neither an employee nor contractor of the school system that employs the school psychologist being supervised; and
    14. Notwithstanding the fee schedules specified in this chapter, increasing or decreasing fees as it deems appropriate.
  2. The board shall have the authority to promulgate other administrative regulations as it deems necessary for the proper administration of this chapter.
  3. The board, at its discretion, may use funds as necessary to purchase liability insurance for members and executive officers of the board, inspectors, examiners, investigators, and staff members exempt from classified service of the state by KRS 18A.115 .

History. Enact. Acts 1986, ch. 128, § 6, effective July 15, 1986; 1988, ch. 291, § 3, effective July 15, 1988; 1992, ch. 104, § 4, effective July 14, 1992; 1994, ch. 265, § 8, effective July 15, 1994; 1994, ch. 470, § 8, effective July 15, 1994; 1996, ch. 318, § 275, effective July 15, 1996; 2001, ch. 80, § 6, effective June 21, 2001; 2010, ch. 50, § 3, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). 2010 Ky. Acts ch. 50, sec. 3, subsec. (1)(f), replaced “thirty (30) contact hours” with “thirty-nine (39) contact hours,” and inserted the clause that provides, “the increased requirement to be a condition for renewal of licenses beginning with renewals occurring after June 30, 2013.”

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

(11/19/91, amended 7/15/94). Pursuant to KRS 7.136(1), the Reviser of Statutes has replaced the word “suspended” in subsection (9) of this statute (1986 Acts ch. 128, sec. 6) with “suspected” to correct a manifest clerical or typographical error. (1992 Acts ch. 104, sec. 4 renumbered the former subsection (9) of this statute as subsection (1)(i); 1994 Acts ch. 470, sec. 8 renumbered subsection (1)(i) as subsection (1)(k).)

319.040. Acceptance of ratings by other agencies and institutions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 4; 1964, ch. 154, § 4) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.050. Examination for license — Fee — Supervision and temporary licensure — Designation as “health service provider.”

  1. Before granting a license to practice psychology and to use the title “licensed psychologist” the board shall require the applicant to pass an examination in psychology and to fulfill all requirements for supervised experience.
  2. The applicant shall:
    1. Pay a fee not to exceed three hundred dollars ($300);
    2. Have received a doctoral degree in psychology that is acceptable to the board from a regionally accredited educational institution; provided, however, the board may grant a license to an individual otherwise qualified under this chapter who has received a doctoral degree in psychology that is acceptable to the board from an educational institution outside the United States, if the educational institution would otherwise be accredited by a regional accrediting body if located in the United States;
    3. Have passed the national EPPP examination at the doctoral level; and
    4. Have had at least two (2) years of supervised professional experience satisfactory to the board, one (1) year of which shall be an internship.
  3. Upon acceptance of the application to sit for the examination in psychology, the applicant may practice psychology under the supervision of a licensed psychologist under conditions of supervision and temporary licensure established by the board. The board shall establish a grace period not to exceed sixty (60) days to allow for the employment and supervision of the applicant by an agency from the time the applicant’s degree requirements are completed to the submission of the complete application. During this period of supervision, the applicant for licensure may not supervise certified psychologists, licensed psychological associates, other applicants for licensure, or temporarily licensed persons, nor shall he engage in an independent practice, except under the employment of his supervising psychologist. Upon certification to the board of completion of the two (2) years of supervision satisfactory to the board, the applicant shall be examined on psychological practice, ethical principles, and the law.
  4. The board shall grade and keep the examinations and results on file for one (1) year. Upon written request to the board, an applicant may arrange to discuss his or her performance on the examination.
  5. Upon successful completion of the examination process, the board shall issue a license to practice psychology and the applicant may use the title “licensed psychologist.”
  6. Licensed psychologists may function independently without supervision. Licensed psychologists who have the designation “health service provider” may retain that designation and may employ and supervise certified psychologists and licensed psychological associates. Licensed psychologists who have the designation “health service provider” may supervise no more than a total of six (6) certified psychologists, licensed psychological associates, or applicants for licensure at one (1) time.
    1. From July 15, 2010, until July 1, 2013, the designation “health service provider” shall be made on the license of those licensed psychologists who have completed one (1) year of supervised experience under conditions of temporary licensure approved by the board or who have completed one (1) year of supervised experience acceptable to the board after achieving licensure status as a licensed psychologist. (7) (a) From July 15, 2010, until July 1, 2013, the designation “health service provider” shall be made on the license of those licensed psychologists who have completed one (1) year of supervised experience under conditions of temporary licensure approved by the board or who have completed one (1) year of supervised experience acceptable to the board after achieving licensure status as a licensed psychologist.
    2. Beginning July 1, 2013, the designation “health service provider” shall be made on the license of those licensed psychologists who have completed one (1) additional year of supervised experience satisfactory to the board in health care service delivery. This year of supervised experience shall be in addition to the supervised experience requirement for licensure as a licensed psychologist. Health service providers may provide supervision of direct health care services by applicants for licensure, certified psychologists, and licensed psychological associates. Health service providers may supervise no more than a total of six (6) certified psychologists, licensed psychological associates, or applicants for licensure at one (1) time.

History. Enact. Acts 1948, ch. 169, § 5; 1964, ch. 154, § 5; 1970, ch. 120, § 11; 1970, ch. 290, § 1; 1986, ch. 128, § 7, effective July 15, 1986; 1988, ch. 291, § 4, effective July 15, 1988; 1992, ch. 104, § 5, effective July 14, 1992; 2001, ch. 80, § 7, effective June 21, 2001; 2010, ch. 50, § 4, effective July 15, 2010.

319.053. “Licensed psychological practitioner.”

  1. A person holding a credential as a certified psychologist or as a licensed psychological associate may apply for a license to perform certain functions within the practice of psychology without supervision and to use the title of “licensed psychological practitioner” when all of the following conditions are met:
    1. Submission of three (3) letters of endorsement to the board to sit for the examination;
      1. One (1) of the letters shall be from the applicant’s current board-approved supervisor of record and shall include a statement describing the scope of practice demonstrated in the clinical experience of the applicant; and
      2. Two (2) letters shall be from licensed mental health professionals who are acceptable to the board and who are familiar with the clinical work of the applicant;
    2. Payment of a fee not to exceed two hundred dollars ($200);
    3. Documentation of at least sixty (60) semester hours of graduate study in psychology or a related field or its equivalent acceptable to the board; and
    4. Completion, after credentialing by the board as a certified psychologist, psychological associate, or licensed psychological associate, of the equivalent of five (5) full-time years of professional experience under the supervision of a board-approved licensed psychologist.
  2. An applicant for licensure under this section shall not have been subject to disciplinary action by the board. An applicant who has been the subject of disciplinary action may appeal to the board for an exception.
  3. An applicant for licensure under this section shall be required by the board to pass the national objective examination known as the EPPP, with a score equal to or exceeding the score required for passage for a licensed psychologist candidate at the doctoral level at the time the examination is taken. The board shall accept the applicant’s previous examination results for the objective EPPP examination if the original test score satisfied the licensure requirement at the doctoral level in effect at the time of that test administration. If the applicant’s previous score does not meet this criterion, the applicant may retake the examination until the score obtained equals or exceeds the score required for independent practice at the doctoral level at the time the examination is taken.
  4. The board shall require an applicant for licensure under this section to pass an examination on psychological practice, ethical principles, and the law. The examination shall be conducted in accordance with procedures established in administrative regulations promulgated by the board in accordance with KRS Chapter 13A. The examination shall be evaluated using the same criteria as the examination for licensed psychologist candidates.
  5. The applicant may continue to function under the supervision of a board-approved licensed psychologist until the applicant successfully completes the requirements for licensure as a licensed psychological practitioner.
  6. The board shall grade and keep the examinations and results on file for one (1) year. Upon written request to the board, an applicant may arrange to discuss his or her performance on the examinations.
  7. Upon successful completion of all requirements, the board shall issue to the applicant a license to perform certain functions within the practice of psychology without supervision and to use the title “licensed psychological practitioner.”
  8. The licensee under this section shall not supervise certified psychologists, licensed psychological practitioners, or licensed psychological associates.

History. Enact. Acts 2001, ch. 80, § 8, effective June 21, 2001; 2010, ch. 50, § 5, effective July 15, 2010.

319.054. Psychology Interjurisdictional Compact.

ARTICLE I

PURPOSE

Whereas, states license psychologists, in order to protect the public through verification of education, training and experience and ensure accountability for professional practice;

Whereas, this Compact is intended to regulate the day to day practice of telepsychology (i.e. the provision of psychological services using telecommunication technologies) by psychologists across state boundaries in the performance of their psychological practice as assigned by an appropriate authority;

Whereas, this Compact is intended to regulate the temporary in-person, face-to-face practice of psychology by psychologists across state boundaries for thirty (30) days within a calendar year in the performance of their psychological practice as assigned by an appropriate authority;

Whereas, this Compact is intended to authorize State Psychology Regulatory Authorities to afford legal recognition, in a manner consistent with the terms of the Compact, to psychologists licensed in another state;

Whereas, this Compact recognizes that states have a vested interest in protecting the public’s health and safety through their licensing and regulation of psychologists and that such state regulation will best protect public health and safety;

Whereas, this Compact does not apply when a psychologist is licensed in both the Home and Receiving States; and

Whereas, this Compact does not apply to permanent in-person, face-to-face practice, and it does allow for authorization of temporary psychological practice;

Consistent with these principles, this Compact is designed to achieve the following purposes and objectives:

  1. Increase public access to professional psychological services by allowing for telepsychological practice across state lines as well as temporary in-person, face-to-face services into a state in which the psychologist is not licensed to practice psychology;
  2. Enhance the states’ ability to protect the public’s health and safety, especially client/patient safety;
  3. Encourage the cooperation of Compact States in the areas of psychology licensure and regulation;
  4. Facilitate the exchange of information between Compact States regarding psychologist licensure, adverse actions and disciplinary history;
  5. Promote compliance with the laws governing psychological practice in each Compact State; and
  6. Invest all Compact States with the authority to hold licensed psychologists accountable through the mutual recognition of Compact State licenses.

ARTICLE II

DEFINITIONS

  1. “Adverse Action” means: any action taken by a State Psychology Regulatory Authority which finds a violation of a statute or regulation that is identified by the State Psychology Regulatory Authority as discipline and is a matter of public record.
  2. “Association of State and Provincial Psychology Boards (ASPPB)” means: the recognized membership organization composed of State and Provincial Psychology Regulatory Authorities responsible for the licensure and registration of psychologists throughout the United States and Canada.
  3. “Authority to Practice Interjurisdictional Telepsychology” means: a licensed psychologist’s authority to practice telepsychology, within the limits authorized under this Compact, in another Compact State.
  4. “Bylaws” means: those Bylaws established by the Psychology Interjurisdictional Compact Commission pursuant to Article X for its governance, or for directing and controlling its actions and conduct.
  5. “Client/Patient” means: the recipient of psychological services, whether psychological services are delivered in the context of healthcare, corporate, supervision, and/or consulting services.
  6. “Commissioner” means: the voting representative appointed by each State Psychology Regulatory Authority pursuant to Article X.
  7. “Compact State” means: a state, the District of Columbia, or United States territory that has enacted this Compact legislation and which has not withdrawn pursuant to Article XIII, Section C or been terminated pursuant to Article XII, Section B.
  8. “Coordinated Licensure Information System” also referred to as “Coordinated Database” means: an integrated process for collecting, storing, and sharing information on psychologists’ licensure and enforcement activities related to psychology licensure laws, which is administered by the recognized membership organization composed of State and Provincial Psychology Regulatory Authorities.
  9. “Confidentiality” means: the principle that data or information is not made available or disclosed to unauthorized persons and/or processes.
  10. “Day” means: any part of a day in which psychological work is performed.
  11. “Distant State” means: the Compact State where a psychologist is physically present (not through the use of telecommunications technologies), to provide temporary in-person, face-to-face psychological services.
  12. “E.Passport” means: a certificate issued by the Association of State and Provincial Psychology Boards (ASPPB) that promotes the standardization in the criteria of interjurisdictional telepsychology practice and facilitates the process for licensed psychologists to provide telepsychological services across state lines.
  13. “Executive Board” means: a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the Commission.
  14. “Home State” means: a Compact State where a psychologist is licensed to practice psychology. If the psychologist is licensed in more than one Compact State and is practicing under the Authorization to Practice Interjurisdictional Telepsychology, the Home State is the Compact State where the psychologist is physically present when the telepsychological services are delivered. If the psychologist is licensed in more than one Compact State and is practicing under the Temporary Authorization to Practice, the Home State is any Compact State where the psychologist is licensed.
  15. “Identity History Summary” means: a summary of information retained by the Federal Bureau of Investigation, or other designee with similar authority, in connection with arrests and, in some instances, federal employment, naturalization, or military service.
  16. “In-Person, Face-to-Face” means: interactions in which the psychologist and the client/patient are in the same physical space and which does not include interactions that may occur through the use of telecommunication technologies.
  17. “Interjurisdictional Practice Certificate (IPC)” means: a certificate issued by the Association of State and Provincial Psychology Boards (ASPPB) that grants temporary authority to practice based on notification to the State Psychology Regulatory Authority of intention to practice temporarily, and verification of one’s qualifications for such practice.
  18. “License” means: authorization by a State Psychology Regulatory Authority to engage in the independent practice of psychology, which would be unlawful without the authorization.
  19. “Non-Compact State” means: any State which is not at the time a Compact State.
  20. “Psychologist” means: an individual licensed for the independent practice of psychology.
  21. “Psychology Interjurisdictional Compact Commission” also referred to as “Commission” means: the national administration of which all Compact States are members.
  22. “Receiving State” means: a Compact State where the client/patient is physically located when the telepsychological services are delivered.
  23. “Rule” means: a written statement by the Psychology Interjurisdictional Compact Commission promulgated pursuant to Article XI of the Compact that is of general applicability, implements, interprets, or prescribes a policy or provision of the Compact, or an organizational, procedural, or practice requirement of the Commission and has the force and effect of statutory law in a Compact State, and includes the amendment, repeal or suspension of an existing rule.
  24. “Significant Investigatory Information” means:
    1. Investigative information that a State Psychology Regulatory Authority, after a preliminary inquiry that includes notification and an opportunity to respond if required by state law, has reason to believe, if proven true, would indicate more than a violation of state statute or ethics code that would be considered more substantial than minor infraction; or
    2. Investigative information that indicates that the psychologist represents an immediate threat to public health and safety regardless of whether the psychologist has been notified and/or had an opportunity to respond.
  25. “State” means: a state, commonwealth, territory, or possession of the United States, and the District of Columbia.
  26. “State Psychology Regulatory Authority” means: the Board, office or other agency with the legislative mandate to license and regulate the practice of psychology.

    AA. “Telepsychology” means: the provision of psychological services using telecommunication technologies.

    BB. “Temporary Authorization to Practice” means: a licensed psychologist’s authority to conduct temporary in-person, face-to-face practice, within the limits authorized under this Compact, in another Compact State.

    CC. “Temporary In-Person, Face-to-Face Practice” means: where a psychologist is physically present (not through the use of telecommunications technologies), in the Distant State to provide for the practice of psychology for thirty (30) days within a calendar year and based on notification to the Distant State.

ARTICLE III

HOME STATE LICENSURE

  1. The Home State shall be a Compact State where a psychologist is licensed to practice psychology.
  2. A psychologist may hold one or more Compact State licenses at a time. If the psychologist is licensed in more than one Compact State, the Home State is the Compact State where the psychologist is physically present when the services are delivered as authorized by the Authority to Practice Interjurisdictional Telepsychology under the terms of this Compact.
  3. Any Compact State may require a psychologist not previously licensed in a Compact State to obtain and retain a license to be authorized to practice in the Compact State under circumstances not authorized by the Authority to Practice Interjurisdictional Telepsychology under the terms of this Compact.
  4. Any Compact State may require a psychologist to obtain and retain a license to be authorized to practice in a Compact State under circumstances not authorized by Temporary Authorization to Practice under the terms of this Compact.
  5. A Home State’s license authorizes a psychologist to practice in a Receiving State under the Authority to Practice Interjurisdictional Telepsychology only if the Compact State:
    1. Currently requires the psychologist to hold an active E.Passport;
    2. Has a mechanism in place for receiving and investigating complaints about licensed individuals;
    3. Notifies the Commission, in compliance with the terms herein, of any adverse action or significant investigatory information regarding a licensed individual;
    4. Requires an Identity History Summary of all applicants at initial licensure, including the use of the results of fingerprints or other biometric data checks compliant with the requirements of the Federal Bureau of Investigation, or other designee with similar authority, no later than ten (10) years after activation of the Compact; and
    5. Complies with the Bylaws and Rules of the Commission.
  6. A Home State’s license grants Temporary Authorization to Practice to a psychologist in a Distant State only if the Compact State:
    1. Currently requires the psychologist to hold an active IPC;
    2. Has a mechanism in place for receiving and investigating complaints about licensed individuals;
    3. Notifies the Commission, in compliance with the terms herein, of any adverse action or significant investigatory information regarding a licensed individual;
    4. Requires an Identity History Summary of all applicants at initial licensure, including the use of the results of fingerprints or other biometric data checks compliant with the requirements of the Federal Bureau of Investigation, or other designee with similar authority, no later than ten (10) years after activation of the Compact; and
    5. Complies with the Bylaws and Rules of the Commission.

ARTICLE IV

COMPACT PRIVILEGE TO PRACTICE TELEPSYCHOLOGY

  1. Compact States shall recognize the right of a psychologist, licensed in a Compact State in conformance with Article III, to practice telepsychology in other Compact States (Receiving States) in which the psychologist is not licensed, under the Authority to Practice Interjurisdictional Telepsychology as provided in the Compact.
  2. To exercise the Authority to Practice Interjurisdictional Telepsychology under the terms and provisions of this Compact, a psychologist licensed to practice in a Compact State must:
    1. Hold a graduate degree in psychology from an institute of higher education that was, at the time the degree was awarded:
      1. Regionally accredited by an accrediting body recognized by the United States Department of Education to grant graduate degrees, OR authorized by Provincial Statute or Royal Charter to grant doctoral degrees; OR
      2. A foreign college or university deemed to be equivalent to 1.a. above by a foreign credential evaluation service that is a member of the National Association of Credential Evaluation Services (NACES) or by a recognized foreign credential evaluation service; AND
    2. Hold a graduate degree in psychology that meets the following criteria:
      1. The program, wherever it may be administratively housed, must be clearly identified and labeled as a psychology program. Such a program must specify in pertinent institutional catalogues and brochures its intent to educate and train professional psychologists;
      2. The psychology program must stand as a recognizable, coherent, organizational entity within the institution;
      3. There must be a clear authority and primary responsibility for the core and specialty areas whether or not the program cuts across administrative lines;
      4. The program must consist of an integrated, organized sequence of study;
      5. There must be an identifiable psychology faculty sufficient in size and breadth to carry out its responsibilities;
      6. The designated director of the program must be a psychologist and a member of the core faculty;
      7. The program must have an identifiable body of students who are matriculated in that program for a degree;
      8. The program must include supervised practicum, internship, or field training appropriate to the practice of psychology;
      9. The curriculum shall encompass a minimum of three (3) academic years of full-time graduate study for doctoral degree and a minimum of one (1) academic year of full-time graduate study for master’s degree; and
      10. The program includes an acceptable residency as defined by the Rules of the Commission;
    3. Possess a current, full and unrestricted license to practice psychology in a Home State which is a Compact State;
    4. Have no history of adverse action that violates the Rules of the Commission;
    5. Have no criminal record history reported on an Identity History Summary that violates the Rules of the Commission;
    6. Possess a current, active E.Passport;
    7. Provide attestations in regard to areas of intended practice, conformity with standards of practice, competence in telepsychology technology; criminal background; and knowledge and adherence to legal requirements in the home and receiving states, and provide a release of information to allow for primary source verification in a manner specified by the Commission; and
    8. Meet other criteria as defined by the Rules of the Commission.
  3. The Home State maintains authority over the license of any psychologist practicing into a Receiving State under the Authority to Practice Interjurisdictional Telepsychology.
  4. A psychologist practicing into a Receiving State under the Authority to Practice Interjurisdictional Telepsychology will be subject to the Receiving State’s scope of practice. A Receiving State may, in accordance with that state’s due process law, limit or revoke a psychologist’s Authority to Practice Interjurisdictional Telepsychology in the Receiving State and may take any other necessary actions under the Receiving State’s applicable law to protect the health and safety of the Receiving State’s citizens. If a Receiving State takes action, the state shall promptly notify the Home State and the Commission.
  5. If a psychologist’s license in any Home State, another Compact State, or any Authority to Practice Interjurisdictional Telepsychology in any Receiving State, is restricted, suspended or otherwise limited, the E.Passport shall be revoked and therefore the psychologist shall not be eligible to practice telepsychology in a Compact State under the Authority to Practice Interjurisdictional Telepsychology.

ARTICLE V

COMPACT TEMPORARY AUTHORIZATION TO PRACTICE

  1. Compact States shall also recognize the right of a psychologist, licensed in a Compact State in conformance with Article III, to practice temporarily in other Compact States (Distant States) in which the psychologist is not licensed, as provided in the Compact.
  2. To exercise the Temporary Authorization to Practice under the terms and provisions of this Compact, a psychologist licensed to practice in a Compact State must:
    1. Hold a graduate degree in psychology from an institute of higher education that was, at the time the degree was awarded:
      1. Regionally accredited by an accrediting body recognized by the United States Department of Education to grant graduate degrees, OR authorized by Provincial Statute or Royal Charter to grant doctoral degrees; OR
      2. A foreign college or university deemed to be equivalent to 1.a. above by a foreign credential evaluation service that is a member of the National Association of Credential Evaluation Services (NACES) or by a recognized foreign credential evaluation service; AND
    2. Hold a graduate degree in psychology that meets the following criteria:
      1. The program, wherever it may be administratively housed, must be clearly identified and labeled as a psychology program. Such a program must specify in pertinent institutional catalogues and brochures its intent to educate and train professional psychologists;
      2. The psychology program must stand as a recognizable, coherent, organizational entity within the institution;
      3. There must be a clear authority and primary responsibility for the core and specialty areas whether or not the program cuts across administrative lines;
      4. The program must consist of an integrated, organized sequence of study;
      5. There must be an identifiable psychology faculty sufficient in size and breadth to carry out its responsibilities;
      6. The designated director of the program must be a psychologist and a member of the core faculty;
      7. The program must have an identifiable body of students who are matriculated in that program for a degree;
      8. The program must include supervised practicum, internship, or field training appropriate to the practice of psychology;
      9. The curriculum shall encompass a minimum of three (3) academic years of full-time graduate study for doctoral degrees and a minimum of one (1) academic year of full-time graduate study for master’s degree;
      10. The program includes an acceptable residency as defined by the Rules of the Commission;
    3. Possess a current, full and unrestricted license to practice psychology in a Home State which is a Compact State;
    4. Have no history of adverse action that violate the Rules of the Commission;
    5. Have no criminal record history that violates the Rules of the Commission;
    6. Possess a current, active IPC;
    7. Provide attestations in regard to areas of intended practice and work experience and provide a release of information to allow for primary source verification in a manner specified by the Commission; and
    8. Meet other criteria as defined by the Rules of the Commission.
  3. A psychologist practicing into a Distant State under the Temporary Authorization to Practice shall practice within the scope of practice authorized by the Distant State.
  4. A psychologist practicing into a Distant State under the Temporary Authorization to Practice will be subject to the Distant State’s authority and law. A Distant State may, in accordance with that state’s due process law, limit or revoke a psychologist’s Temporary Authorization to Practice in the Distant State and may take any other necessary actions under the Distant State’s applicable law to protect the health and safety of the Distant State’s citizens. If a Distant State takes action, the state shall promptly notify the Home State and the Commission.
  5. If a psychologist’s license in any Home State, another Compact State, or any Temporary Authorization to Practice in any Distant State, is restricted, suspended or otherwise limited, the IPC shall be revoked and therefore the psychologist shall not be eligible to practice in a Compact State under the Temporary Authorization to Practice.

ARTICLE VI

CONDITIONS OF TELEPSYCHOLOGY PRACTICE IN A RECEIVING STATE

  1. A psychologist may practice in a Receiving State under the Authority to Practice Interjurisdictional Telepsychology only in the performance of the scope of practice for psychology as assigned by an appropriate State Psychology Regulatory Authority, as defined in the Rules of the Commission, and under the following circumstances:
    1. The psychologist initiates a client/patient contact in a Home State via telecommunications technologies with a client/patient in a Receiving State;
    2. Other conditions regarding telepsychology as determined by Rules promulgated by the Commission.

ARTICLE VII

ADVERSE ACTIONS

  1. A Home State shall have the power to impose adverse action against a psychologist’s license issued by the Home State. A Distant State shall have the power to take adverse action on a psychologist’s Temporary Authorization to Practice within that Distant State.
  2. A Receiving State may take adverse action on a psychologist’s Authority to Practice Interjurisdictional Telepsychology within that Receiving State. A Home State may take adverse action against a psychologist based on an adverse action taken by a Distant State regarding temporary in-person, face-to-face practice.
  3. If a Home State takes adverse action against a psychologist’s license, that psychologist’s Authority to Practice Interjurisdictional Telepsychology is terminated and the E.Passport is revoked. Furthermore, that psychologist’s Temporary Authorization to Practice is terminated and the IPC is revoked.
    1. All Home State disciplinary orders which impose adverse action shall be reported to the Commission in accordance with the Rules promulgated by the Commission. A Compact State shall report adverse actions in accordance with the Rules of the Commission.
    2. In the event discipline is reported on a psychologist, the psychologist will not be eligible for telepsychology or temporary in-person, face-to-face practice in accordance with the Rules of the Commission.
    3. Other actions may be imposed as determined by the Rules promulgated by the Commission.
  4. A Home State’s Psychology Regulatory Authority shall investigate and take appropriate action with respect to reported inappropriate conduct engaged in by a licensee which occurred in a Receiving State as it would if such conduct had occurred by a licensee within the Home State. In such cases, the Home State’s law shall control in determining any adverse action against a psychologist’s license.
  5. A Distant State’s Psychology Regulatory Authority shall investigate and take appropriate action with respect to reported inappropriate conduct engaged in by a psychologist practicing under Temporary Authorization Practice which occurred in that Distant State as it would if such conduct had occurred by a licensee within the Home State. In such cases, Distant State’s law shall control in determining any adverse action against a psychologist’s Temporary Authorization to Practice.
  6. Nothing in this Compact shall override a Compact State’s decision that a psychologist’s participation in an alternative program may be used in lieu of adverse action and that such participation shall remain non-public if required by the Compact State’s law. Compact States must require psychologists who enter any alternative programs to not provide telepsychology services under the Authority to Practice Interjurisdictional Telepsychology or provide temporary psychological services under the Temporary Authorization to Practice in any other Compact State during the term of the alternative program.
  7. No other judicial or administrative remedies shall be available to a psychologist in the event a Compact State imposes an adverse action pursuant to subsection C, above.

ARTICLE VIII

ADDITIONAL AUTHORITIES INVESTED IN A COMPACT STATE’S PSYCHOLOGY REGULATORY AUTHORITY

  1. In addition to any other powers granted under state law, a Compact State’s Psychology Regulatory Authority shall have the authority under this Compact to:
    1. Issue subpoenas, for both hearings and investigations, which require the attendance and testimony of witnesses and the production of evidence. Subpoenas issued by a Compact State’s Psychology Regulatory Authority for the attendance and testimony of witnesses, and/or the production of evidence from another Compact State shall be enforced in the latter state by any court of competent jurisdiction, according to that court’s practice and procedure in considering subpoenas issued in its own proceedings. The issuing State Psychology Regulatory Authority shall pay any witness fees, travel expenses, mileage and other fees required by the service statutes of the state where the witnesses and/or evidence are located; and
    2. Issue cease and desist and/or injunctive relief orders to revoke a psychologist’s Authority to Practice Interjurisdictional Telepsychology and/or Temporary Authorization to Practice.
    3. During the course of any investigation, a psychologist may not change his/her Home State licensure. A Home State Psychology Regulatory Authority is authorized to complete any pending investigations of a psychologist and to take any actions appropriate under its law. The Home State Psychology Regulatory Authority shall promptly report the conclusions of such investigations to the Commission. Once an investigation has been completed, and pending the outcome of said investigation, the psychologist may change his/her Home State licensure. The Commission shall promptly notify the new Home State of any such decisions as provided in the Rules of the Commission. All information provided to the Commission or distributed by Compact States pursuant to the psychologist shall be confidential, filed under seal and used for investigatory or disciplinary matters. The Commission may create additional rules for mandated or discretionary sharing of information by Compact States.

ARTICLE IX

COORDINATED LICENSURE INFORMATION SYSTEM

  1. The Commission shall provide for the development and maintenance of a Coordinated Licensure Information System (Coordinated Database) and reporting system containing licensure and disciplinary action information on all psychologists individuals to whom this Compact is applicable in all Compact States as defined by the Rules of the Commission.
  2. Notwithstanding any other provision of state law to the contrary, a Compact State shall submit a uniform data set to the Coordinated Database on all licensees as required by the Rules of the Commission, including:
    1. Identifying information;
    2. Licensure data;
    3. Significant investigatory information;
    4. Adverse actions against a psychologist’s license;
    5. An indicator that a psychologist’s Authority to Practice Interjurisdictional Telepsychology and/or Temporary Authorization to Practice is revoked;
    6. Non-confidential information related to alternative program participation information;
    7. Any denial of application for licensure, and the reasons for such denial; and
    8. Other information which may facilitate the administration of this Compact, as determined by the Rules of the Commission.
  3. The Coordinated Database administrator shall promptly notify all Compact States of any adverse action taken against, or significant investigative information on, any licensee in a Compact State.
  4. Compact States reporting information to the Coordinated Database may designate information that may not be shared with the public without the express permission of the Compact State reporting the information.
  5. Any information submitted to the Coordinated Database that is subsequently required to be expunged by the law of the Compact State reporting the information shall be removed from the Coordinated Database.

ARTICLE X

ESTABLISHMENT OF THE PSYCHOLOGY INTERJURISDICTIONAL COMPACT COMMISSION

  1. The Compact States hereby create and establish a joint public agency known as the Psychology Interjurisdictional Compact Commission.
    1. The Commission is a body politic and an instrumentality of the Compact States.
    2. Venue is proper and judicial proceedings by or against the Commission shall be brought solely and exclusively in a court of competent jurisdiction where the principal office of the Commission is located. The Commission may waive venue and jurisdictional defenses to the extent it adopts or consents to participate in alternative dispute resolution proceedings.
    3. Nothing in this Compact shall be construed to be a waiver of sovereign immunity.
  2. Membership, Voting, and Meetings
    1. The Commission shall consist of one voting representative appointed by each Compact State who shall serve as that state’s Commissioner. The State Psychology Regulatory Authority shall appoint its delegate. This delegate shall be empowered to act on behalf of the Compact State. This delegate shall be limited to:
      1. Executive Director, Executive Secretary or similar executive;
      2. Current member of the State Psychology Regulatory Authority of a Compact State; OR
      3. Designee empowered with the appropriate delegate authority to act on behalf of the Compact State.
    2. Any Commissioner may be removed or suspended from office as provided by the law of the state from which the Commissioner is appointed. Any vacancy occurring in the Commission shall be filled in accordance with the laws of the Compact State in which the vacancy exists.
    3. Each Commissioner shall be entitled to one (1) vote with regard to the promulgation of Rules and creation of Bylaws and shall otherwise have an opportunity to participate in the business and affairs of the Commission. A Commissioner shall vote in person or by such other means as provided in the Bylaws. The Bylaws may provide for Commissioners’ participation in meetings by telephone or other means of communication.
    4. The Commission shall meet at least once during each calendar year. Additional meetings shall be held as set forth in the Bylaws.
    5. All meetings shall be open to the public, and public notice of meetings shall be given in the same manner as required under the rulemaking provisions in Article XI.
    6. The Commission may convene in a closed, non-public meeting if the Commission must discuss:
      1. Non-compliance of a Compact State with its obligations under the Compact;
      2. The employment, compensation, discipline or other personnel matters, practices or procedures related to specific employees or other matters related to the Commission’s internal personnel practices and procedures;
      3. Current, threatened, or reasonably anticipated litigation against the Commission;
      4. Negotiation of contracts for the purchase or sale of goods, services or real estate;
      5. Accusation against any person of a crime or formally censuring any person;
      6. Disclosure of trade secrets or commercial or financial information which is privileged or confidential;
      7. Disclosure of information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
      8. Disclosure of investigatory records compiled for law enforcement purposes;
      9. Disclosure of information related to any investigatory reports prepared by or on behalf of or for use of the Commission or other committee charged with responsibility for investigation or determination of compliance issues pursuant to the Compact; or
      10. Matters specifically exempted from disclosure by federal and state statute.
    7. If a meeting, or portion of a meeting, is closed pursuant to this provision, the Commission’s legal counsel or designee shall certify that the meeting may be closed and shall reference each relevant exempting provision. The Commission shall keep minutes which fully and clearly describe all matters discussed in a meeting and shall provide a full and accurate summary of actions taken, of any person participating in the meeting, and the reasons therefor, including a description of the views expressed. All documents considered in connection with an action shall be identified in such minutes. All minutes and documents of a closed meeting shall remain under seal, subject to release only by a majority vote of the Commission or order of a court of competent jurisdiction.
  3. The Commission shall, by a majority vote of the Commissioners, prescribe Bylaws and/or Rules to govern its conduct as may be necessary or appropriate to carry out the purposes and exercise the powers of the Compact, including but not limited to:
    1. Establishing the fiscal year of the Commission;
    2. Providing reasonable standards and procedures:
      1. For the establishment and meetings of other committees; and
      2. Governing any general or specific delegation of any authority or function of the Commission;
    3. Providing reasonable procedures for calling and conducting meetings of the Commission, ensuring reasonable advance notice of all meetings and providing an opportunity for attendance of such meetings by interested parties, with enumerated exceptions designed to protect the public’s interest, the privacy of individuals of such proceedings, and proprietary information, including trade secrets. The Commission may meet in closed session only after a majority of the Commissioners vote to close a meeting to the public in whole or in part. As soon as practicable, the Commission must make public a copy of the vote to close the meeting revealing the vote of each Commissioner with no proxy votes allowed;
    4. Establishing the titles, duties and authority and reasonable procedures for the election of the officers of the Commission;
    5. Providing reasonable standards and procedures for the establishment of the personnel policies and programs of the Commission. Notwithstanding any civil service or other similar law of any Compact State, the Bylaws shall exclusively govern the personnel policies and programs of the Commission;
    6. Promulgating a Code of Ethics to address permissible and prohibited activities of Commission members and employees;
    7. Providing a mechanism for concluding the operations of the Commission and the equitable disposition of any surplus funds that may exist after the termination of the Compact after the payment and/or reserving of all of its debts and obligations;
    8. The Commission shall publish its Bylaws in a convenient form and file a copy thereof and a copy of any amendment thereto, with the appropriate agency or officer in each of the Compact States;
    9. The Commission shall maintain its financial records in accordance with the Bylaws; and
    10. The Commission shall meet and take such actions as are consistent with the provisions of this Compact and the Bylaws.
  4. The Commission shall have the following powers:
    1. The authority to promulgate uniform rules to facilitate and coordinate implementation and administration of this Compact. The rule shall have the force and effect of law and shall be binding in all Compact States;
    2. To bring and prosecute legal proceedings or actions in the name of the Commission, provided that the standing of any State Psychology Regulatory Authority or other regulatory body responsible for psychology licensure to sue or be sued under applicable law shall not be affected;
    3. To purchase and maintain insurance and bonds;
    4. To borrow, accept or contract for services of personnel, including but not limited to employees of a Compact State;
    5. To hire employees, elect or appoint officers, fix compensation, define duties, grant such individuals appropriate authority to carry out the purposes of the Compact, and to establish the Commission’s personnel policies and programs relating to conflicts of interest, qualifications of personnel, and other related personnel matters;
    6. To accept any and all appropriate donations and grants of money, equipment, supplies, materials and services, and to receive, utilize and dispose of the same; provided that at all times the Commission shall strive to avoid any appearance of impropriety and/or conflict of interest;
    7. To lease, purchase, accept appropriate gifts or donations of, or otherwise to own, hold, improve or use, any property, real, personal or mixed; provided that at all times the Commission shall strive to avoid any appearance of impropriety;
    8. To sell, convey, mortgage, pledge, lease, exchange, abandon or otherwise dispose of any property real, personal or mixed;
    9. To establish a budget and make expenditures;
    10. To borrow money;
    11. To appoint committees, including advisory committees composed of Members, State regulators, State legislators or their representatives, and consumer representatives, and such other interested persons as may be designated in this Compact and the Bylaws;
    12. To provide and receive information from, and to cooperate with, law enforcement agencies;
    13. To adopt and use an official seal; and
    14. To perform such other functions as may be necessary or appropriate to achieve the purposes of this Compact consistent with the state regulation of psychology licensure, temporary in-person, face-to-face practice and telepsychology practice.
  5. The Executive Board

    The elected officers shall serve as the Executive Board, which shall have the power to act on behalf of the Commission according to the terms of this Compact.

    1. The Executive Board shall be composed of six (6) members:
      1. Five (5) voting members who are elected from the current membership of the Commission by the Commission;
      2. One ex officio, nonvoting member from the recognized membership organization composed of State and Provincial Psychology Regulatory Authorities.
    2. The ex officio member must have served as staff or member on a State Psychology Regulatory Authority and will be selected by its respective organization.
    3. The Commission may remove any member of the Executive Board as provided in Bylaws.
    4. The Executive Board shall meet at least annually.
    5. The Executive Board shall have the following duties and responsibilities:
      1. Recommend to the entire Commission changes to the Rules or Bylaws, changes to this Compact legislation, fees paid by Compact States such as annual dues, and any other applicable fees;
      2. Ensure Compact administration services are appropriately provided, contractual or otherwise;
      3. Prepare and recommend the budget;
      4. Maintain financial records on behalf of the Commission;
      5. Monitor Compact compliance of member states and provide compliance reports to the Commission;
      6. Establish additional committees as necessary; and
      7. Other duties as provided in Rules or Bylaws.
  6. Financing of the Commission
    1. The Commission shall pay, or provide for the payment of the reasonable expenses of its establishment, organization and ongoing activities.
    2. The Commission may accept any and all appropriate revenue sources, donations and grants of money, equipment, supplies, materials and services.
    3. The Commission may levy on and collect an annual assessment from each Compact State or impose fees on other parties to cover the cost of the operations and activities of the Commission and its staff which must be in a total amount sufficient to cover its annual budget as approved each year for which revenue is not provided by other sources. The aggregate annual assessment amount shall be allocated based upon a formula to be determined by the Commission which shall promulgate a rule binding upon all Compact States.
    4. The Commission shall not incur obligations of any kind prior to securing the funds adequate to meet the same; nor shall the Commission pledge the credit of any of the Compact States, except by and with the authority of the Compact State.
    5. The Commission shall keep accurate accounts of all receipts and disbursements. The receipts and disbursements of the Commission shall be subject to the audit and accounting procedures established under its Bylaws. However, all receipts and disbursements of funds handled by the Commission shall be audited yearly by a certified or licensed public accountant and the report of the audit shall be included in and become part of the annual report of the Commission.
  7. Qualified Immunity, Defense, and Indemnification
    1. The members, officers, Executive Director, employees and representatives of the Commission shall be immune from suit and liability, either personally or in their official capacity, for any claim for damage to or loss of property or personal injury or other civil liability caused by or arising out of any actual or alleged act, error or omission that occurred, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities; provided that nothing in this paragraph shall be construed to protect any such person from suit and/or liability for any damage, loss, injury or liability caused by the intentional or willful or wanton misconduct of that person.
    2. The Commission shall defend any member, officer, Executive Director, employee or representative of the Commission in any civil action seeking to impose liability arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties or responsibilities, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities; provided that nothing herein shall be construed to prohibit that person from retaining his or her own counsel; and provided further, that the actual or alleged act, error or omission did not result from that person’s intentional or willful or wanton misconduct.
    3. The Commission shall indemnify and hold harmless any member, officer, Executive Director, employee or representative of the Commission for the amount of any settlement or judgment obtained against that person arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties or responsibilities, or that such person had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities, provided that the actual or alleged act, error or omission did not result from the intentional or willful or wanton misconduct of that person.

ARTICLE XI

RULEMAKING

  1. The Commission shall exercise its rulemaking powers pursuant to the criteria set forth in this Article and the Rules adopted thereunder. Rules and amendments shall become binding as of the date specified in each rule or amendment.
  2. If a majority of the legislatures of the Compact States rejects a rule, by enactment of a statute or resolution in the same manner used to adopt the Compact, then such rule shall have no further force and effect in any Compact State.
  3. Rules or amendments to the rules shall be adopted at a regular or special meeting of the Commission.
  4. Prior to promulgation and adoption of a final rule or Rules by the Commission, and at least sixty (60) days in advance of the meeting at which the rule will be considered and voted upon, the Commission shall file a Notice of Proposed Rulemaking:
    1. On the website of the Commission; and
    2. On the website of each Compact States’ Psychology Regulatory Authority or the publication in which each state would otherwise publish proposed rules.
  5. The Notice of Proposed Rulemaking shall include:
    1. The proposed time, date, and location of the meeting in which the rule will be considered and voted upon;
    2. The text of the proposed rule or amendment and the reason for the proposed rule;
    3. A request for comments on the proposed rule from any interested person; and
    4. The manner in which interested persons may submit notice to the Commission of their intention to attend the public hearing and any written comments.
  6. Prior to adoption of a proposed rule, the Commission shall allow persons to submit written data, facts, opinions and arguments, which shall be made available to the public.
  7. The Commission shall grant an opportunity for a public hearing before it adopts a rule or amendment if a hearing is requested by:
    1. At least twenty-five (25) persons who submit comments independently of each other;
    2. A governmental subdivision or agency; or
    3. A duly appointed person in an association that has at least twenty-five (25) members.
  8. If a hearing is held on the proposed rule or amendment, the Commission shall publish the place, time, and date of the scheduled public hearing.
    1. All persons wishing to be heard at the hearing shall notify the Executive Director of the Commission or other designated member in writing of their desire to appear and testify at the hearing not less than five (5) business days before the scheduled date of the hearing.
    2. Hearings shall be conducted in a manner providing each person who wishes to comment a fair and reasonable opportunity to comment orally or in writing.
    3. No transcript of the hearing is required, unless a written request for a transcript is made, in which case the person requesting the transcript shall bear the cost of producing the transcript. A recording may be made in lieu of a transcript under the same terms and conditions as a transcript. This subsection shall not preclude the Commission from making a transcript or recording of the hearing if it so chooses.
    4. Nothing in this section shall be construed as requiring a separate hearing on each rule. Rules may be grouped for the convenience of the Commission at hearings required by this section.
  9. Following the scheduled hearing date, or by the close of business on the scheduled hearing date if the hearing was not held, the Commission shall consider all written and oral comments received.
  10. The Commission shall, by majority vote of all members, take final action on the proposed rule and shall determine the effective date of the rule, if any, based on the rulemaking record and the full text of the rule.
  11. If no written notice of intent to attend the public hearing by interested parties is received, the Commission may proceed with promulgation of the proposed rule without a public hearing.
  12. Upon determination that an emergency exists, the Commission may consider and adopt an emergency rule without prior notice, opportunity for comment, or hearing, provided that the usual rulemaking procedures provided in the Compact and in this section shall be retroactively applied to the rule as soon as reasonably possible, in no event later than ninety (90) days after the effective date of the rule. For the purposes of this provision, an emergency rule is one that must be adopted immediately in order to:
    1. Meet an imminent threat to public health, safety, or welfare;
    2. Prevent a loss of Commission or Compact State funds;
    3. Meet a deadline for the promulgation of an administrative rule that is established by federal law or rule; or
    4. Protect public health and safety.
  13. The Commission or an authorized committee of the Commission may direct revisions to a previously adopted rule or amendment for purposes of correcting typographical errors, errors in format, errors in consistency, or grammatical errors. Public notice of any revisions shall be posted on the website of the Commission. The revision shall be subject to challenge by any person for a period of thirty (30) days after posting. The revision may be challenged only on grounds that the revision results in a material change to a rule. A challenge shall be made in writing, and delivered to the Chair of the Commission prior to the end of the notice period. If no challenge is made, the revision will take effect without further action. If the revision is challenged, the revision may not take effect without the approval of the Commission.

ARTICLE XII

OVERSIGHT, DISPUTE RESOLUTION AND ENFORCEMENT

  1. Oversight
    1. The Executive, Legislative and Judicial branches of state government in each Compact State shall enforce this Compact and take all actions necessary and appropriate to effectuate the Compact’s purposes and intent. The provisions of this Compact and the rules promulgated hereunder shall have standing as statutory law.
    2. All courts shall take judicial notice of the Compact and the rules in any judicial or administrative proceeding in a Compact State pertaining to the subject matter of this Compact which may affect the powers, responsibilities or actions of the Commission.
    3. The Commission shall be entitled to receive service of process in any such proceeding, and shall have standing to intervene in such a proceeding for all purposes. Failure to provide service of process to the Commission shall render a judgment or order void as to the Commission, this Compact or promulgated rules.
  2. Default, Technical Assistance, and Termination
    1. If the Commission determines that a Compact State has defaulted in the performance of its obligations or responsibilities under this Compact or the promulgated rules, the Commission shall:
      1. Provide written notice to the defaulting state and other Compact States of the nature of the default, the proposed means of remedying the default and/or any other action to be taken by the Commission; and
      2. Provide remedial training and specific technical assistance regarding the default.
    2. If a state in default fails to remedy the default, the defaulting state may be terminated from the Compact upon an affirmative vote of a majority of the Compact States, and all rights, privileges and benefits conferred by this Compact shall be terminated on the effective date of termination. A remedy of the default does not relieve the offending state of obligations or liabilities incurred during the period of default.
    3. Termination of membership in the Compact shall be imposed only after all other means of securing compliance have been exhausted. Notice of intent to suspend or terminate shall be submitted by the Commission to the Governor, the majority and minority leaders of the defaulting state’s legislature, and each of the Compact States.
    4. A Compact State which has been terminated is responsible for all assessments, obligations and liabilities incurred through the effective date of termination, including obligations which extend beyond the effective date of termination.
    5. The Commission shall not bear any costs incurred by the state which is found to be in default or which has been terminated from the Compact, unless agreed upon in writing between the Commission and the defaulting state.
    6. The defaulting state may appeal the action of the Commission by petitioning the United States District Court for the state of Georgia or the federal district where the Compact has its principal offices. The prevailing member shall be awarded all costs of such litigation, including reasonable attorney’s fees.
  3. Dispute Resolution
    1. Upon request by a Compact State, the Commission shall attempt to resolve disputes related to the Compact which arise among Compact States and between Compact and Non-Compact States.
    2. The Commission shall promulgate a rule providing for both mediation and binding dispute resolution for disputes that arise before the commission.
  4. Enforcement
    1. The Commission, in the reasonable exercise of its discretion, shall enforce the provisions and Rules of this Compact.
    2. By majority vote, the Commission may initiate legal action in the United States District Court for the State of Georgia or the federal district where the Compact has its principal offices against a Compact State in default to enforce compliance with the provisions of the Compact and its promulgated Rules and Bylaws. The relief sought may include both injunctive relief and damages. In the event judicial enforcement is necessary, the prevailing member shall be awarded all costs of such litigation, including reasonable attorney’s fees.
    3. The remedies herein shall not be the exclusive remedies of the Commission. The Commission may pursue any other remedies available under federal or state law.

ARTICLE XIII

DATE OF IMPLEMENTATION OF THE PSYCHOLOGY INTERJURISDICTIONAL COMPACT COMMISSION AND ASSOCIATED RULES, WITHDRAWAL, AND AMENDMENTS

  1. The Compact shall come into effect on the date on which the Compact is enacted into law in the seventh Compact State. The provisions which become effective at that time shall be limited to the powers granted to the Commission relating to assembly and the promulgation of rules. Thereafter, the Commission shall meet and exercise rulemaking powers necessary to the implementation and administration of the Compact.
  2. Any state which joins the Compact subsequent to the Commission’s initial adoption of the rules shall be subject to the rules as they exist on the date on which the Compact becomes law in that state. Any rule which has been previously adopted by the Commission shall have the full force and effect of law on the day the Compact becomes law in that state.
  3. Any Compact State may withdraw from this Compact by enacting a statute repealing the same.
    1. A Compact State’s withdrawal shall not take effect until six (6) months after enactment of the repealing statute.
    2. Withdrawal shall not affect the continuing requirement of the withdrawing State’s Psychology Regulatory Authority to comply with the investigative and adverse action reporting requirements of this act prior to the effective date of withdrawal.
  4. Nothing contained in this Compact shall be construed to invalidate or prevent any psychology licensure agreement or other cooperative arrangement between a Compact State and a Non-Compact State which does not conflict with the provisions of this Compact.
  5. This Compact may be amended by the Compact States. No amendment to this Compact shall become effective and binding upon any Compact State until it is enacted into the law of all Compact States.

ARTICLE XIV

CONSTRUCTION AND SEVERABILITY

This Compact shall be liberally construed so as to effectuate the purposes thereof. If this Compact shall be held contrary to the constitution of any state member thereto, the Compact shall remain in full force and effect as to the remaining Compact States.

ARTICLE XV

APPLICABILITY OF KENTUCKY STATE GOVERNMENT

In order to clarify the effect of certain provisions of this Compact and to ensure that the rights and responsibilities of the various branches of government are maintained, the following shall be in effect in this state:

  1. By entering into this Compact, this state authorizes the licensing board as defined in Article II. Z. of this Compact and as created by KRS Chapter 319 to implement the provisions of this Compact.
  2. Notwithstanding any provision of this Compact to the contrary:
    1. When a rule is adopted pursuant to Article XI of this Compact, the licensing board of this state as defined by Article II. Z. of this Compact shall have sixty (60) days to review the rule 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, following the requirements of KRS Chapter 13A. Failure by the licensing board of this state as defined by Article II. Z. of this Compact to promulgate a rule adopted by the Psychology Interjurisdictional Compact Commission as an administrative regulation pursuant to KRS Chapter 13A shall result in withdrawal as set forth in Article XIII of this Compact. Nothing in these provisions shall negate the applicability of a Commission rule or Article XI of this Compact to this state.
    2. If the proposed administrative regulation is found deficient and the deficiency is not resolved pursuant to KRS 13A.330 or 13A.335 , the provisions of Article XII of this Compact shall apply. If the deficiency is resolved in a manner determined by the Commission to be inconsistent with this Compact or its rules, or if the procedures under Article XII of this Compact fail to resolve an issue, the withdrawal provisions of Article XIII of this Compact shall apply.
    3. If a court of competent jurisdiction determines that the Psychology Interjurisdictional Compact Commission created by Article X of this Compact exercises its rulemaking authority in a manner that is beyond the scope of the purposes of this Compact, or the powers granted under this Compact, then such an action by the commission shall be invalid and have no force or effect.
  3. Article X. F. of this Compact pertaining to the financing of the commission shall not be interpreted to obligate the general fund of this state. Any funds used to finance this Compact shall be from money collected pursuant to KRS 319.131 .
  4. This Compact shall apply only to those psychologists who practice or work under a compact privilege.

HISTORY: 2021 ch. 46, § 1, effective June 29, 2021.

319.055. Certificates of qualification — Issuance — Effect — Fee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 6) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.056. “Certified psychologist with autonomous functioning” — “Certified psychologist” — Practice and title authorization.

  1. A person currently authorized to use the title “certified psychologist with autonomous functioning” may continue to function with that title or may choose to permanently change this title to “licensed psychological practitioner” and notify the board of this choice. The board shall issue a license at the time of renewal to the credential holder with the title of choice.
  2. A certified psychologist with autonomous functioning or a licensed psychological practitioner may continue to function without supervision unless the board revokes his or her license pursuant to KRS 319.082 . He or she shall not supervise certified psychologists, licensed psychological practitioners, or licensed psychological associates.
  3. A person currently authorized to use the title “certified psychologist” may continue to function with that title or may choose to permanently change this title to “licensed psychological associate” and notify the board of this choice. The board shall issue a license at the time of renewal to the credential holder with the title of choice.
  4. A certified psychologist or a licensed psychological associate may continue to function under the supervision of a licensed psychologist unless the board revokes his certificate pursuant to KRS 319.082 .
  5. A certified psychologist, whether functioning under that title or as a licensed psychological associate, may perform certain functions within the practice of psychology only under the supervision of a licensed psychologist approved by the board, and shall not employ or supervise other certified psychologists, licensed psychological practitioners, or licensed psychological associates.

History. Enact. Acts 1986, ch. 128, § 8, effective July 15, 1986; 1992, ch. 104, § 6, effective July 14, 1992; 2001, ch. 80, § 9, effective June 21, 2001.

319.058. Issuance of “certified psychologist” certificate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 128, § 9, effective July 15, 1986; 1988, ch. 291, § 5, effective July 15, 1988) was repealed by Acts 1992, ch. 104, § 12, effective July 14, 1992.

319.060. Waiver of requirements for existing practitioners and persons licensed in another state. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 6) was repealed by Acts 1964, ch. 154, § 18.

319.061. License issued without examination — When. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 7) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.062. “Certified psychologist with autonomous functioning.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 128, § 10, effective July 15, 1986; 1988, ch. 291, § 6, effective July 15, 1988) was repealed by Acts 1992, ch. 104, § 12, effective July 14, 1992.

319.064. Psychological associate.

  1. An individual credentialed as a psychological associate shall use the title “licensed psychological associate” and the board shall issue a license with that title at the time of renewal.
  2. For an individual with a master’s degree in psychology, the board shall issue a license to perform certain functions within the practice of psychology and to use the title “licensed psychological associate” to any applicant who:
    1. Pays a fee not to exceed three hundred dollars ($300);
    2. Has received a master’s degree in psychology acceptable to the board from a regionally accredited educational institution or from an educational institution outside the United States, if such educational institution would otherwise be accredited by a regional accrediting body if located in the United States; and
    3. Has passed an examination procedure in psychology.
  3. Upon acceptance of the application to sit for the examination in psychology, the applicant may practice psychology under the supervision of a licensed psychologist under conditions of temporary licensure established by the board. The board shall establish a grace period not to exceed sixty (60) days to allow for the employment and supervision of the applicant by an agency from the time the applicant’s degree requirements are completed to the submission of the complete application.
  4. The board shall grade and keep the examinations and results for one (1) year. Upon written request to the board, an applicant may arrange to discuss his or her performance on the examination.
  5. Any psychological associate licensed pursuant to this section may perform certain functions within the practice of psychology only under the supervision of a licensed psychologist approved by the board. The licensed psychological associate shall not practice independently, except under the employment and supervision of the board-approved licensed psychologist. A licensed psychological associate shall not represent himself or herself as a licensed or certified psychologist or as a licensed psychological practitioner. A licensed psychological associate shall not employ or supervise certified psychologists, licensed psychological practitioners, or licensed psychological associates.

History. Enact. Acts 1986, ch. 128, § 11, effective July 15, 1986; 1988, ch. 291, § 7, effective July 15, 1988; 1992, ch. 104, § 7, effective July 14, 1992; 2001, ch. 80, § 10, effective June 21, 2001.

319.065. Temporary permits — Fee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 8) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.070. Renewal of certificates. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 7) was repealed by Acts 1964, ch. 154, § 18.

319.071. Renewal of licenses and certification — Fee — Cancellation — Restoration — Inactive status.

  1. Licenses must be renewed every three (3) years on or before the anniversary date of issue or renewal. Credential holders shall pay to the board a renewal fee not to exceed one hundred dollars ($100) and shall receive a renewal license. The board shall cancel a license not renewed within three (3) months of the renewal date, but the board may reinstate any canceled license upon payment of the renewal fee and a penalty not to exceed the amount of the renewal fee within three (3) years after cancellation. A credential holder whose license has been canceled shall not practice psychology until the license has been restored.
  2. Any credential holder who has failed to renew his or her license or has been inactive for three (3) or more years may renew his or her license only upon passing an examination procedure and paying the renewal and penalty fees.
  3. Upon petition to the board, credential holders may be granted inactive status for a period of time not to exceed three (3) consecutive years. Credential holders shall not practice psychology while under inactive status and certified psychologists and licensed psychological associates need not be supervised by a licensed psychologist. Inactive credential holders may apply for active licenses as provided for by regulation of the board.

History. Enact. Acts 1964, ch. 154, § 9; 1970, ch. 290, § 2; 1986, ch. 128, § 12, effective July 15, 1986; 2001, ch. 80, § 11, effective June 21, 2001.

319.080. Suspension, revocation, or refusal to issue or renew certificate — Grounds — Reinstatement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 8) was repealed by Acts 1964, ch. 154, § 18.

319.081. Suspension and revocation of license or certificate — Grounds — Reinstatement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 10) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.082. Disciplinary actions against license and credential holders.

  1. The board may suspend, revoke, or refuse to issue or renew a license; may accept an assurance of voluntary compliance; restrict, or place a credential holder on probation; or issue an administrative reprimand or private admonishment upon proof that the credential holder has:
    1. Committed any act involving moral turpitude, dishonesty, or corruption, relating to the practice of psychology, whether the act constitutes a crime or not, if in accordance with KRS Chapter 335B. If the act constitutes a crime, conviction in a criminal proceeding is not a condition precedent to disciplinary action. Upon conviction of such a crime, the judgment and sentence is presumptive evidence at the ensuing disciplinary hearing of the guilt of the licensee or applicant of the crime described in the indictment or information and of the person’s violation of the statute on which it is based. For the purpose of this subsection, conviction includes all instances in which a plea of guilty or nolo contendere is the basis for the conviction and all proceedings in which the sentence has been deferred or suspended;
    2. Misrepresented or concealed a material fact in obtaining a license, or in reinstatement thereof;
    3. Committed any unfair, false, misleading, or deceptive act or practice;
    4. Been incompetent or negligent in the practice of psychology;
    5. Practiced psychology while under the suspension, revocation, or restriction of the individual’s license to practice by competent authority in any state, federal, or foreign jurisdiction;
    6. Violated any state statute or administrative regulation governing the practice of psychology, which shall include violation of KRS 304.39-215 and conduct that is subject to the penalties under KRS 304.99-060 (4) or (5);
    7. Unlawfully failed to cooperate with the board by:
      1. Not furnishing any papers or documents requested by the board;
      2. Not furnishing in writing a complete explanation covering the matter contained in the complaint filed with the board;
      3. Not appearing before the board at the time and place designated; or
      4. Not properly responding to subpoenas issued by the board;
    8. Failed to comply with an order issued by the board or an assurance of voluntary compliance;
    9. Aided or abetted an unlicensed person to practice when a license or certificate is required;
    10. Grossly overcharged for professional services;
    11. Practiced beyond the scope demonstrated by an appropriate combination of knowledge, skill, experience, training, and education;
    12. Failed to provide adequate supervision for certified psychologists, licensed psychological associates, applicants for licensure, or other staff;
    13. Been convicted of any misdemeanor or felony relating to the practice of psychology, if in accordance with KRS Chapter 335B. For the purposes of this subsection, conviction includes all instances in which a plea of guilty or nolo contendere is the basis for conviction and all proceedings in which the sentence has been deferred or suspended;
    14. Physically abused or had sexual contact with a patient, client, student, or supervisee;
    15. Been convicted of a misdemeanor offense under KRS Chapter 510 involving a client, patient, or student, or a felony offense under KRS Chapter 510, 530.064(1)(a), or 531.310 , or been found by the board to have had sexual contact as defined in KRS 510.010 with a client, patient, student, or supervisee;
    16. Improperly divulged confidential information;
    17. Exercised undue influence in such a manner as to exploit the client, patient, student, or supervisee for financial or other personal advantage to the practitioner or a third party;
    18. Showed an inability to practice psychology with reasonable skill and safety to patients or clients by reason of illness, misuse of drugs, narcotics, alcohol, chemicals, or any other substance, or as a result of any mental or physical condition; or
    19. Failed to comply with the requirements of the board for continuing education.
  2. 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.
  3. No unlawful act or violation of any provision of this chapter by any credential holder employed or supervised by a licensed psychologist shall be cause for the revocation of the supervisor’s license, unless the board finds that the licensed psychologist had knowledge of it.
  4. Three (3) years from the date of a revocation, any person whose license has been revoked may petition the board for reinstatement. The board shall investigate his or her petition and may reinstate his or her license upon finding that the former licensee has complied with the provisions of this chapter and administrative regulations promulgated by the board and is again able to engage in the practice of psychology with reasonable skill, competency, and safety to the public.
  5. The board may, at its own discretion, reconsider, modify, or reverse its probations, suspensions, revocations, restrictions, or refusals to issue or renew licenses at any time.

History. Enact. Acts 1986, ch. 128, § 13, effective July 15, 1986; 1988, ch. 291, § 8, effective July 15, 1988; 1992, ch. 104, § 8, effective July 14, 1992; 1994, ch. 265, § 9, effective July 15, 1994; 1994, ch. 470, § 9, effective July 15, 1994; 2001, ch. 80, § 12, effective June 21, 2001; 2005, ch. 45, § 8, effective June 20, 2005; 2005, ch. 93, § 5, effective March 16, 2005; 2006, ch. 182, § 61, effective July 12, 2006; 2017 ch. 158, § 64, effective June 29, 2017; 2019 ch. 143, § 15, effective June 27, 2019.

Legislative Research Commission Note.

(3/16/2005). Although KRS 319.082 was included in 2005 Ky. Acts ch. 45, sec. 8, and ch. 93, sec. 5, as having been amended, the amendment relettering paragraphs of this section in those acts became unnecessary when the Office of the Kentucky Attorney General requested that other changes be made to the rearrangement of the paragraphs of KRS 61.878 , which was also amended in 2005 Ky. Acts chs. 45 and 93. The Statute Reviser made these changes under the authority of KRS 7.136 .

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

NOTES TO DECISIONS

1.Generally.

Where a psychologist prepared a written summary of clinical assessment in which he opined that a young girl suffered a permanent psychological injury as a result of the treatment she received from a dentist after only a brief visit with the girl and two (2) visits with her parents, the Kentucky State Board of Examiners of Psychology properly suspended his license for violating KRS 319.082(1)(f), (c), (d) and 201 KAR 26:145, § 3(5). Maggard v. Commonwealth, 2005 Ky. App. LEXIS 245 (Ky. Ct. App. Nov. 18, 2005).

2.Subject Matter Jurisdiction.

Kentucky State Board of Examiners of Psychology had subject matter jurisdiction over administrative complaint alleging that a psychologist violated KRS 319.082(1)(c), (d), and (f) by rendering a formal, professional opinion about a child without direct and substantial professional contact with, or a formal assessment of, the child, because while the evaluation of the child was in the context of a judicial proceeding, the conduct still constituted the practice of psychology under KRS 319.010(6). Maggard v. Commonwealth, 282 S.W.3d 301, 2008 Ky. LEXIS 237 ( Ky. 2008 ).

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

319.090. Hearing on suspension, revocation, or refusal to issue or renew certificate — Witnesses and evidence. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 9) was repealed by Acts 1964, ch. 154, § 18.

319.091. Notice and hearing on refusal, revocation or suspension. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 11) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.092. Administrative hearing — Sanctions — Appeal.

  1. In every proceeding for probation, suspension, or revocation of a license, an administrative hearing shall be conducted in accordance with KRS Chapter 13B. The board or a hearing officer appointed by the board shall conduct the hearing.
  2. All decisions revoking or suspending a license or placing a credential holder on probation shall be made by the board.
  3. If, after a hearing, a majority of the board finds that a credential holder has violated any provision of this chapter, the board may:
    1. Revoke or suspend the license;
    2. Impose a monetary penalty not to exceed two thousand dollars ($2,000) per violation;
    3. Revoke or suspend the license or impose a monetary penalty, but suspend enforcement thereof by placing the credential holder on probation, which shall be revocable if the board finds the conditions of the probation order are not being followed by the credential holder;
    4. Require the credential holder, as a condition of probation, to submit to care, counseling, or treatment by a professional designated by the board, or require the credential holder to be supervised by a licensed psychologist designated by the board. The expense of this action shall be borne by the credential holder on probation;
    5. Modify the conditions of the probation, with good cause, and may include among them any reasonable condition for the purpose of the protection of the public, or for the purpose of the rehabilitation of the probationer, or both;
    6. Require restitution; and
    7. Assess the costs of the disciplinary proceeding.
  4. If the board substantiates that sexual contact occurred between a credential holder and a patient while the patient was under the care or in a professional relationship with the credential holder, the credential holder’s license may be revoked or suspended with mandatory treatment of that individual as prescribed by the board. The board may require the credential holder to pay a specified amount for mental health services for the patient which are needed as a result of the sexual contact.
  5. Final orders of the board suspending or revoking a license or placing a credential holder on probation shall become effective immediately after written notice is served on the credential holder and the credential holder shall not, after notice of same, engage or continue to engage in the practice of psychology unless the board’s final order is revoked or modified by the court after judicial review.
  6. The board shall make public its final order in all disciplinary actions.
  7. Any person aggrieved by a final order of the board may appeal to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1986, ch. 128, § 14, effective July 15, 1986; 1992, ch. 104, § 9, effective July 14, 1992; 1994, ch. 265, § 10, effective July 15, 1994; 1994, ch. 470, § 10, effective July 15, 1994; 1996, ch. 318, § 277, effective July 15, 1996; 2001, ch. 80, § 13, effective June 21, 2001.

Legislative Research Commission Note.

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

319.100. Appeal from suspension or revocation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 10) was repealed by Acts 1964, ch. 154, § 18.

319.101. Judicial review of refusal to issue, revocation or suspension. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 12) was repealed by Acts 1986, ch. 128, § 18, effective July 15, 1986.

319.110. Privileged communications. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 10) was repealed by Acts 1964, ch. 154, § 18.

319.111. Communications privileged. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 154, § 13; 1986, ch. 128, § 15, effective July 15, 1986) was repealed by § 92 of Acts 1990, ch. 88 to contingently become effective as provided by § 93 of Acts 1990, ch. 88. However, § 93 of Acts 1990, ch. 88 was repealed by § 30 of Acts 1992, ch. 324, effective July 1, 1992. Therefore the repeal of this section by § 92 of Acts 1990, ch. 88, became effective July 1, 1992. For present law see Kentucky Rules of Evidence, Rule 507.

319.118. Immunity of board members from liability — Standing to institute and maintain legal actions — Effect of surrender of license or certificate — Representation of board by public officers.

  1. Members of the board, its agents, and employees shall be immune from personal liability in any action, civil or criminal, which is based upon any official act or acts performed by them in good faith.
  2. Notwithstanding the existence or pursuit of any other remedy, civil or criminal, the board may institute and maintain actions to restrain or enjoin any violation of this chapter, rules and administrative regulations, or order of the board.
  3. The surrender of a license shall not serve to deprive the board of jurisdiction to proceed with disciplinary actions pursuant to this chapter.
  4. The city, county, Commonwealth’s attorney, and the Attorney General shall, within their respective jurisdictions and within their legal discretion, represent the board, its agents, and employees, in the enforcement of the provisions of this chapter and the rules and administrative regulations of the board.

History. Enact. Acts 1986, ch. 128, § 16, effective July 15, 1986; 1992, ch. 104, § 10, effective July 14, 1992; 2001, ch. 80, § 14, effective June 21, 2001.

319.120. Use of title “certified clinical psychologist.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 12) was repealed by Acts 1964, ch. 154, § 18.

319.130. Revolving fund for administration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 169, § 14) was repealed by Acts 1964, ch. 154, § 18.

319.131. Fees credited to fund for board use.

All fees received by the board of examiners under this chapter shall be placed in the State Treasury to the credit of a trust and agency fund for the use of the board in carrying out its functions.

History. Enact. Acts 1964, ch. 154, § 16.

319.140. Duty of treating psychologist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating psychologist or psychological associate who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of psychological services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 16, effective July 14, 2000.

319.990. Penalties.

  1. Any person who violates KRS 319.005 shall be guilty of a misdemeanor and, upon conviction, shall be punished by imprisonment for not more than six (6) months, or by a fine of not more than five hundred dollars ($500), or by both fine and imprisonment, and each violation shall be deemed a separate offense.
  2. Either the Attorney General or the appropriate Commonwealth’s or county attorney shall have the authority to prosecute violations of KRS 319.005 .
  3. The board may recover the costs of investigative expenses including reasonable attorney fees relating to the prosecution of those found guilty of violating KRS 319.005 .

History. Enact. Acts 1948, ch. 169, § 13; 1964, ch. 154, § 17; 1986, ch. 128, § 17, effective July 15, 1986; 1992, ch. 104, § 11, effective July 14, 1992; 2001, ch. 80, § 15, effective June 21, 2001.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 319A Occupational Therapists

319A.010. Definitions for chapter.

As used in this chapter:

  1. “Board” means the Kentucky Board of Licensure for Occupational Therapy appointed by the Governor;
  2. “Practice of occupational therapy” means the therapeutic use of purposeful and meaningful occupations (goal-directed activities) to evaluate and treat individuals who have a disease or disorder, impairment, activity limitation, or participation restriction that interferes with their ability to function independently in daily life roles, and to promote health and wellness. Occupational therapy intervention may include:
    1. Remediation or restoration, through goal-directed activities, of those performance abilities that are limited due to impairment in biological, physiological, or neurological processes;
    2. Adaptation of task, process, or the environment or the teaching of compensatory techniques to enhance performance;
    3. Disability prevention methods and techniques that facilitate the development or safe application of performance skills; and
    4. Health promotion strategies and practices that enhance performance abilities;
  3. “Occupational therapist” means a person licensed to practice occupational therapy under this chapter;
  4. “Occupational therapy assistant” means a person licensed to assist in the practice of occupational therapy under this chapter, who works under the supervision of an occupational therapist;
  5. “Aide” means a person who is not licensed by the board who provides supportive services to occupational therapists and occupational therapy assistants. An aide shall function under the guidance and responsibility of a licensed occupational therapist and is supervised by an occupational therapist or an occupational therapy assistant for specifically selected routine tasks for which the aide has been trained and has demonstrated competence. The aide shall comply with supervision requirements developed by the board that are consistent with prevailing professional standards;
  6. “Occupational therapy services” include but are not limited to:
    1. Evaluating, developing, improving, sustaining, or restoring skills in basic and instrumental activities of daily living (BADLs and IADLs), work or productive activities, and play and leisure activities;
    2. Evaluating, developing, remediating, or restoring components of performance as they relate to sensorimotor, cognitive, or psychosocial aspects;
    3. Designing, fabricating, applying, and training in the use of assistive technology or orthotic devices and training in the use of prosthetic devices for functional mobility and activities of daily living;
    4. Adapting environments and processes, including the application of ergonomic principles, to enhance performance and safety in daily life roles;
    5. Applying superficial physical agent modalities as an adjunct to or in preparation for engagement in occupations;
    6. Applying deep physical agent modalities as an adjunct to or in preparation for engagement in occupations, in accordance with KRS 319A.080 ;
    7. Evaluating and providing intervention in collaboration with the client, family, caregiver, or others;
    8. Educating the client, family, caregiver, or others in carrying out appropriate nonskilled interventions; and
    9. Consulting with groups, programs, organizations, or communities to provide population-based services;
  7. “Person” means any individual, partnership, or unincorporated organization, or corporation;
  8. “Deep physical agent modalities” means any device that uses sound waves or agents which supply or induce an electric current through the body, which make the body a part of the circuit, including iontophoresis units with a physician’s prescription, ultrasound, transcutaneous electrical nerve stimulation units and functional electrical stimulation, or microcurrent devices; and
  9. “Superficial physical agent modalities” means hot packs, cold packs, ice, fluidotherapy, paraffin, water, and other commercially available superficial heating and cooling devices.

History. Enact. Acts 1986, ch. 78, § 1, effective July 15, 1986; 1988, ch. 311, § 1, effective July 15, 1988; 1994, ch. 405, § 84, effective July 15, 1994; 2002, ch. 14, § 1, effective July 15, 2002.

Opinions of Attorney General.

KRS 319A.090 must be read in conjunction with the definition of occupational therapy aide contained in this section. Read together, these sections allow nonlicensed aides to assist licensed individuals in the practice of occupational therapy. Therefore, in determining the status of occupational therapy aides, the definition in this section should be followed and aides be allowed to assist in occupational therapy under the direct supervision of licensed occupational therapists and assistants. OAG 92-159 , overruling 92-60.

An occupational therapy aide, by statute, may “assist” in the practice of occupational therapy if the aide is under the “direct supervision” of a licensed occupational therapist or occupational therapy assistant. OAG 92-159 , overruling 92-60.

319A.020. Board of Licensure for Occupational Therapy — Appointment.

  1. There is hereby created the Kentucky Board of Licensure for Occupational Therapy which shall consist of seven (7) members to be appointed by the Governor. Four (4) members shall be licensed occupational therapists with at least five (5) years’ experience; one (1) member shall be a licensed occupational therapy assistant with at least five (5) years’ experience in the practice of occupational therapy; and two (2) members shall be members of the public with an interest in the rights of consumers of health services.
  2. Appointments for the occupational therapists and occupational therapy assistant positions may be made from recommendations submitted to the Governor by the Kentucky Occupational Therapy Association.

History. Enact. Acts 1986, ch. 78, § 2, effective July 15, 1986; 1988, ch. 311, § 2, effective July 15, 1988; 1998, ch. 325, § 2, effective July 15, 1998; 2002, ch. 14, § 2, effective July 15, 2002.

319A.030. Terms — Vacancies — Removal — Reimbursement for expenses.

The terms of the members shall be for three (3) years and until their successors are appointed and qualified, except of those first appointed one (1) shall serve for one (1) year, two (2) shall serve for two (2) years and two (2) shall serve for three (3) years. Vacancies shall be filled in the manner of the original appointment for the unexpired portion of the term only. The Governor, after notice and opportunity for a hearing, may remove any member of the board for malfeasance, neglect of duty, incompetency, or revocation or suspension of a license. Members of the board shall receive no salary but shall be allowed usual mileage, subsistence and per diem as provided by law for members of state boards, commissions, and committees. No member shall serve more than two (2) consecutive terms.

History. Enact. Acts 1986, ch. 78, § 3, effective July 15, 1986.

319A.040. Meetings — Quorum — Officers.

The board shall meet at least annually and may meet at such other times as necessary to complete the business required. A majority of the members of the board shall constitute a quorum for the transaction of business. Annually the board shall elect from its membership a chairman, a vice chairman, and a secretary to serve for one (1) year terms.

History. Enact. Acts 1986, ch. 78, § 4, effective July 15, 1986; 2002, ch. 14, § 3, effective July 15, 2002.

319A.050. Executive secretary and assistants — Expenditure of funds.

The board may employ an executive secretary and such clerical or other assistants as are necessary for the proper performance of its work and may make expenditures of its funds for any purpose which in the opinion of the board is necessary for proper performance of its duties, including compensation of the executive secretary and the premium on his bond.

History. Enact. Acts 1986, ch. 78, § 5, effective July 15, 1986.

319A.060. Duties of executive secretary — Bond.

The executive secretary or any other person so designated by the board shall give bond to the state in such sum as determined by the board to be approved by the State Treasurer for the faithful performance of his duties. The secretary shall receive and account for all moneys derived under the provisions of this chapter and shall pay such moneys to the State Treasurer who shall keep them in the manner provided for other such agencies and boards of the Commonwealth.

History. Enact. Acts 1986, ch. 78, § 6, effective July 15, 1986.

319A.070. Powers and duties of board.

  1. The board shall administer and enforce the provisions of this chapter and shall have the responsibility of evaluating the qualifications of applicants for licensure.
  2. The board may issue subpoenas, examine witnesses, administer oaths, and investigate allegations of practices violating the provisions of this chapter.
  3. The board may:
    1. Promulgate administrative regulations, pursuant to KRS Chapter 13A, relating to professional conduct to carry out the provisions of this chapter, including but not limited to administrative regulations relating to professional licensure and holding a license to practice occupational therapy or assist in the practice of occupational therapy in the Commonwealth;
    2. Conduct administrative hearings in accordance with KRS Chapter 13B;
    3. Evaluate the qualifications and authorize the issuance of licenses to qualified occupational therapists and occupational therapy assistants;
    4. Issue and renew licenses based on evidence of initial and continued competence of persons subject to this chapter;
    5. Suspend or revoke licenses;
    6. Require the continuing professional education of persons subject to this chapter;
    7. Keep a record of its proceedings and a register of all persons licensed as occupational therapists or occupational therapy assistants. The register shall show the name of every licensee, the licensee’s last known place of business and last known place of residence, and the date and number of the license of each licensed occupational therapist or occupational therapy assistant. The board shall, during the month of January of every year, compile and make available a list of licensed occupational therapists and occupational therapy assistants authorized to practice in the Commonwealth. Any citizen of the Commonwealth may obtain a copy of the list upon application to the board and payment of an amount to be fixed by the board, which shall not exceed its cost;
    8. Make an annual report to the Governor and the General Assembly which shall contain an account of duties performed, actions taken, and appropriate recommendations;
    9. Institute and maintain actions to restrain or enjoin any violation of this chapter and administrative regulations notwithstanding the existence or pursuit of other civil or criminal penalties;
    10. Approve an examination for occupational therapists and occupational therapy assistants and establish standards for acceptable performance;
    11. Seek an injunction in Franklin Circuit Court against any individual who practices occupational therapy in the Commonwealth without a license; and
    12. Promulgate administrative regulations to define appropriate supervision of assistants, aides, and unlicensed personnel that are delivering occupational therapy services.

History. Enact. Acts 1986, ch. 78, § 7, effective July 15, 1986; 1996, ch. 318, § 278, effective July 15, 1996; 2002, ch. 14, § 4, effective July 15, 2002.

319A.080. License required for practice of occupational therapy or use of title “occupational therapist” — Training requirements for use of deep physical agent modalities.

  1. It shall be unlawful for any person to practice occupational therapy, assist in the practice of occupational therapy, or render services designated as occupational therapy in the Commonwealth of Kentucky, unless licensed under the provisions of this chapter.
  2. The licensure of occupational therapists and occupational therapy assistants shall extend only to individuals. A license shall not be issued to a partnership, unincorporated association, corporation, or similar business organization.
  3. It shall be unlawful for a person to act or represent himself or herself as an occupational therapist or occupational therapy assistant, use the title “occupational therapist” or “occupational therapy assistant,” or use the letters OT or OTA or any abbreviation or acronym that would imply licensing under this chapter, unless the person is licensed and is in good standing in accordance with the requirements of this chapter. A person, health care institution, health care service, health plan, or other entity holding itself out to the public as providing occupational therapy services shall not use the title unless the occupational therapy services are provided by a person licensed under this chapter.
    1. It shall be unlawful for a person licensed under this chapter to utilize occupational therapy interventions involving deep physical agent modalities, unless the following requirements are met: (4) (a) It shall be unlawful for a person licensed under this chapter to utilize occupational therapy interventions involving deep physical agent modalities, unless the following requirements are met:
      1. The person is an occupational therapist licensed under this chapter who has successfully completed a minimum of thirty-six (36) hours of training or instruction that meets the requirements specified in administrative regulations promulgated by the board, as well as five (5) treatments under supervision;
      2. The person is an occupational therapist licensed under this chapter who has successfully completed the certified hand therapist examination approved by the Hand Therapy Certification Commission, and who has successfully completed a minimum of twelve (12) hours of training or instruction that meets the requirements specified in administrative regulations promulgated by the board, as well as five (5) treatments under supervision; or
      3. The person is an occupational therapy assistant licensed under this chapter who has successfully completed a minimum of seventy-two (72) hours of training or instruction that meets the requirements specified in administrative regulations promulgated by the board, as well as five (5) treatments under supervision.
    2. The board shall promulgate administrative regulations setting forth content guidelines for the training and instruction required in this subsection. Guidelines shall be based on policies and positions adopted by the American Occupational Therapy Association.

History. Enact. Acts 1986, ch. 78, § 8, effective July 15, 1986; 2002, ch. 14, § 5, effective July 15, 2002.

Opinions of Attorney General.

KRS 319A.090 must be read in conjunction with the definition of occupational therapy aide contained in KRS 319A.010 . Read together, these sections allow nonlicensed aides to assist licensed individuals in the practice of occupational therapy. Therefore, in determining the status of occupational therapy aides, the definitional section of KRS 319A.010 should be followed and aides be allowed to assist in occupational therapy under the direct supervision of licensed occupational therapists and assistants. OAG 92-159 , overruling 92-60.

An occupational therapy aide, by statute, may “assist” in the practice of occupational therapy if the aide is under the “direct supervision” of a licensed occupational therapist or occupational therapy assistant. OAG 92-159 , overruling 92-60.

319A.090. Construction of chapter.

  1. The provisions of this chapter shall not be construed as preventing or restricting the practices, services, or activities of:
    1. A person licensed in accordance with the provisions of another law of the Commonwealth from engaging in the profession or occupation for which licensed;
    2. A person employed as an occupational therapist or an occupational therapy assistant by the United States government, provided that person provides occupational therapy solely under the direction or control of the organization by which the person is employed;
    3. A person pursuing a course of study leading to a degree or certificate in occupational therapy at an accredited or approved educational program, provided the activities and services are part of a supervised course of study and the person is designated by a title which clearly indicates the status of student or trainee and not licensed occupational therapist or occupational therapy assistant;
    4. A person fulfilling the supervised fieldwork experience requirements of this chapter, provided such activities and services constitute a part of the experience necessary to meet the requirements of that program;
    5. Any person performing occupational therapy services in the Commonwealth, if these services are performed for no more than sixty (60) days in a calendar year in association with an occupational therapist licensed under this chapter, provided that:
      1. The person is licensed under the law of another state which has licensure requirements at least as stringent as the requirements of this chapter; or
      2. The person meets the requirements for current certification as an occupational therapist or an occupational therapy assistant, as established by the National Board for Certification in Occupational Therapy or its equivalent; or
    6. Any person employed as an occupational therapy aide.
  2. Occupational therapy services shall not include gait training, spinal or pelvic adjustment or manipulation, and the use of deep physical agent modalities, except as provided in KRS 319A.080 .
  3. Occupational therapy services shall also not include independent diagnostic evaluation for the determination of visually related rehabilitative treatment plans or the testing and prescription of optical, electronic, or assistive technology low-vision devices. Occupational therapists may only provide low-vision or visual therapy services, as defined in administrative regulation, under the direct supervision of an optometrist, ophthalmologist, or physician, or by written prescription from an optometrist, ophthalmologist, or physician. These services shall be provided in accordance with a written evaluation and clinical treatment plan from an optometrist, ophthalmologist, or physician. The board shall promulgate administrative regulations pursuant to this subsection in collaboration with the Kentucky Board of Optometric Examiners.

History. Enact. Acts 1986, ch. 78, § 9, effective July 15, 1986; 2002, ch. 14, § 6, effective July 15, 2002.

Opinions of Attorney General.

This section must be read in conjunction with the definition of occupational therapy aide contained in KRS 319A.010 . Read together, these sections allow nonlicensed aides to assist licensed individuals in the practice of occupational therapy. Therefore, in determining the status of occupational therapy aides, the definitional section of KRS 319A.010 should be followed and aides be allowed to assist in occupational therapy under the direct supervision of licensed occupational therapists and assistants. OAG 92-159 , overruling 92-60.

An occupational therapy aide, by statute, may “assist” in the practice of occupational therapy if the aide is under the “direct supervision” of a licensed occupational therapist or occupational therapy assistant. OAG 92-159 , overruling 92-60.

319A.100. Temporary permit.

A temporary permit to practice as an occupational therapist or occupational therapy assistant may be granted to a person who has completed the education and experience requirements of this chapter and has applied for licensure under the provisions of this chapter. The temporary permit shall allow the applicant for licensure to practice occupational therapy under the supervision of a licensed occupational therapist. The temporary permit shall be valid until the applicant for licensure is issued or denied a license under the provisions of this chapter, but in no instance shall the temporary permit extend for more than sixty (60) days following the second examination offered after the applicant has applied to take the examination required for licensure or certification. Not more than one (1) temporary permit shall be granted per applicant.

History. Enact. Acts 1986, ch. 78, § 10, effective July 15, 1986; 1988, ch. 311, § 3, effective July 15, 1988; 1998, ch. 325, § 1, effective July 15, 1998.

319A.110. Application for license.

  1. An applicant for licensure as an occupational therapist or as an occupational therapy assistant shall file a written application on a form provided by the board, showing to the satisfaction of the board that the person:
    1. Is of good moral character; and
    2. Has successfully completed the academic requirements of an educational program in occupational therapy or for occupational therapy assistants accredited by the American Occupational Therapy Association’s Accreditation Council for Occupational Therapy Education or its equivalent.
  2. An applicant shall submit to the board evidence of successful completion of a period of supervised fieldwork experience arranged by the recognized educational institution where the applicant met the academic requirements. To be considered for licensure, the following minimum amount of supervised fieldwork experience shall have been completed:
    1. The equivalent of twenty-four (24) weeks for an occupational therapist; and
    2. The equivalent of sixteen (16) weeks for an occupational therapy assistant.
  3. An applicant for licensure as an occupational therapist or as an occupational therapy assistant shall pass an examination as provided for in KRS 319A.120 .

History. Enact. Acts 1986, ch. 78, § 11, effective July 15, 1986; 1988, ch. 311, § 4, effective July 15, 1988; 2002, ch. 14, § 7, effective July 15, 2002.

319A.120. Written or computer-based examination.

Individuals applying for licensure shall be required to pass a written or computer-based examination approved by the board, which is designed to test the knowledge and experience necessary to the safe, effective, and professional practice of occupational therapy in Kentucky. The examination shall test the applicant’s knowledge of the basic and clinical sciences related to the occupational therapy theory, research, practice, ethics, and professional behavior, and such other subjects as the board may require to determine the applicant’s fitness to practice.

History. Enact. Acts 1986, ch. 78, § 12, effective July 15, 1986; 2002, ch. 14, § 8, effective July 15, 2002.

319A.130. Requirements for licensure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 78, § 13, effective July 15, 1986) was repealed by Acts 2002, ch. 14, § 15, effective July 15, 2002.

319A.140. Issuance of license.

On the payment to the board of fees required by this chapter and on submission of a written application on forms provided by the board, the board shall issue a license to:

  1. A person who presents evidence satisfactory to the board of being a registered occupational therapist or a certified occupational therapy assistant through the National Board for Certification in Occupational Therapy or its equivalent, and who has met the academic and fieldwork requirements of KRS 319A.110 and the examination requirement of KRS 319A.120 ; or
  2. A person who presents evidence satisfactory to the board of being currently licensed, certified, or registered as an occupational therapist or occupational therapy assistant by another state, territory of the United States, or the District of Columbia, where the requirements for licensure, registration, or certification are equal to or greater than the requirements set forth in this chapter.

History. Enact. Acts 1986, ch. 78, § 14, effective July 15, 1986; 2002, ch. 14, § 9, effective July 15, 2002.

319A.150. License fee — Use of title.

The board shall issue a license to an individual who has met the requirements of this chapter upon the payment of the applicable license fee. An individual who is issued a license as an occupational therapist under the provisions of this chapter may use the title “occupational therapist licensed,” or use the letters “O.T.R./L.” in connection with the title or place of business to denote his licensure. A person who is issued a license as an occupational therapy assistant may use the words “certified occupational therapy assistant licensed” or may use the letters “C.O.T.A./L.” in connection with the person’s name or place of business to denote licensure.

History. Enact. Acts 1986, ch. 78, § 15, effective July 15, 1986; 1988, ch. 311, § 5, effective July 15, 1988.

319A.160. License renewal, reinstatement, restoration, and reissuance — Inactive license status — Change of licensee’s name, address, or employment.

  1. Licenses issued under this chapter shall be subject to annual renewal and shall expire unless renewed upon the payment of a renewal fee in the manner prescribed by the rules of the board.
  2. The board may set a required number of continuing education units for license renewal.
  3. At least thirty (30) days before the renewal date, the board shall mail an application for renewal to every person to whom a license was issued during the current licensure period.
  4. A sixty (60) day grace period shall be allowed during which time licenses may be renewed on payment of a late renewal fee as set forth in administrative regulations promulgated by the board.
  5. The board may provide for the late renewal of a license upon the payment of a late fee in accordance with its rules, but no such renewal of a license may be granted more than five (5) years after its expiration.
  6. Licenses not renewed in a timely manner or by the end of the grace period shall be considered expired. Expired licenses may be restored in accordance with the requirements set forth by the board in administrative regulation. A person who fails to restore his license within five (5) years after its expiration may not restore it, and it shall not be restored, reissued, or reinstated thereafter. The person may apply for and obtain a new license if current requirements of this chapter are met.
  7. Any person practicing occupational therapy after the license has expired shall be considered an illegal practitioner and shall be subject to the penalties provided for violations of the provisions of this chapter.
  8. A suspended license is subject to expiration and may be restored as provided in this section, but restoration shall not entitle the licensee, while the license remains suspended and until it is reinstated, to engage in the licensed activity, or in any other conduct or activity in violation of the order or judgment by which the license was suspended.
  9. A license revoked on disciplinary grounds is subject to expiration and may not be renewed. If the license is subsequently reinstated, the licensee, as a condition of reinstatement shall pay a reinstatement fee, the renewal fee, and any late fee that may be applicable.
  10. Upon petition to the board, licensees may be granted inactive license status for a period of time not to exceed three (3) years. Licensees shall not practice occupational therapy or assist in the practice of occupational therapy while under inactive status. Inactive licensees may apply for an active license after paying a fee provided for by administrative regulation of the board.
  11. Each occupational therapist and occupational therapy assistant licensed under this chapter shall notify the board in writing of any change in the person’s name, home or office address, or employment within thirty (30) days after the change has taken place.

History. Enact. Acts 1986, ch. 78, § 16, effective July 15, 1986; 2002, ch. 14, § 10, effective July 15, 2002.

319A.170. Fees.

Fees shall be collected and determined by the board for the following:

  1. Initial license fee (nonrefundable):
    1. Registered occupational therapist, not to exceed fifty dollars ($50);
    2. Certified occupational therapy assistant, not to exceed thirty-five dollars ($35); and
    3. Certification for use of deep physical agent modalities, not to exceed twenty-five dollars ($25);
  2. Renewal of license fees, not to exceed fifty dollars ($50); and
  3. Late renewal fees, not to exceed seventy-five dollars ($75).

History. Enact. Acts 1986, ch. 78, § 17, effective July 15, 1986; 2002, ch. 14, § 11, effective July 15, 2002.

319A.180. Licensing of foreign-trained therapists.

Foreign-trained occupational therapists who apply to be licensed by the board shall furnish proof of good moral character and shall present proof indicating the completion of educational requirements equal to or greater than those contained in KRS 319A.110 and examination requirements of KRS 319A.120 .

History. Enact. Acts 1986, ch. 78, § 18, effective July 15, 1986; 1996, ch. 199, § 1, effective July 15, 1996; 2002, ch. 14, § 12, effective July 15, 2002.

319A.190. Unprofessional conduct — Denial, refusal to renew, suspension, revocation, or imposition of probationary conditions upon a license.

  1. The board may deny or refuse to renew a license, may suspend or revoke a license, or may impose probationary conditions where the licensee or applicant for licensure has engaged in unprofessional conduct which has endangered or is likely to endanger the health, welfare, or safety of the public. Unprofessional conduct shall include:
    1. Obtaining a license by means of fraud, misrepresentation, or concealment of material facts;
    2. Unprofessional conduct as defined by administrative regulations promulgated by the board, or violating the code of ethics promulgated by the board;
    3. Being convicted of a felony in any court if the act or acts for which he was convicted are found by the board to have a direct bearing on whether he should be entrusted to serve the public in the capacity of a licensed occupational therapist or licensed occupational therapy assistant, if in accordance with KRS Chapter 335B;
    4. Violating any lawful order or administrative regulation rendered or promulgated by the board;
    5. Violating any provision of this chapter;
    6. Violating KRS 304.39-215 ; or
    7. Engaging in conduct that is subject to the penalties KRS 304.99-060 (4) or (5).
  2. A denial, refusal to renew, suspension, revocation, or imposition of probationary conditions upon a license may be ordered by the board in a decision made after an administrative hearing conducted in accordance with KRS Chapter 13B and administrative regulations promulgated by the board. The board shall have discretion to accept or reject an application for reinstatement following an administrative hearing conducted in accordance with KRS Chapter 13B.
  3. The surrender of a license shall not serve to deprive the board of jurisdiction to proceed with disciplinary actions under this chapter.

History. Enact. Acts 1986, ch. 78, § 19, effective July 15, 1986; 1996, ch. 318, § 279, effective July 15, 1996; 2002, ch. 14, § 13, effective July 15, 2002; 2017 ch. 158, § 65, effective June 29, 2017; 2019 ch. 143, § 16, effective June 27, 2019.

319A.200. Appeals from orders of the board.

Any person aggrieved by an order of the board denying, suspending or revoking his license may appeal to the Franklin Circuit Court within thirty (30) days after entry of said order, for appropriate relief. On such appeal the scope of review shall be limited to an examination of the record of the board’s action for the purpose of determining whether the board abused its discretion. The appellant shall furnish the court with a properly certified transcript of any evidence heard by the board, and the court may refuse to review any findings of fact made by the board unless such a transcript is filed within sixty (60) days after the filing of the appeal.

History. Enact. Acts 1986, ch. 78, § 20, effective July 15, 1986.

319A.210. Short title.

KRS 319A.010 to 319A.200 may be cited as the “Kentucky Occupational Therapy Practice Act.”

History. Enact. Acts 1986, ch. 78, § 21, effective July 15, 1986.

319A.300. Duty of treating occupational therapist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating occupational therapist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of occupational therapy services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 17, effective July 14, 2000.

319A.990. Penalty.

Any person violating any provision of this chapter shall be fined not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000), or imprisoned for not more than six (6) months, or both.

History. Enact. Acts 1986, ch. 78, § 22, effective July 15, 1986; 2002, ch. 14, § 14, effective July 15, 2002.

CHAPTER 319B Prosthetists, Orthotists, and Pedorthists

319B.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Prosthetics, Orthotics, and Pedorthics;
  2. “CAAHEP” means the Commission on Accreditation of Allied Health Education Programs;
  3. “Custom fabricated and fitted device” means an orthosis, prosthesis, or pedorthic device that is fabricated to original measurements, or to a mold for use by a patient in accordance with a prescription from a health care practitioner or provider authorized by law to write such prescriptions, and that requires substantial clinical and technical judgment in its design and fitting;
  4. “Custom fitted device” means a prefabricated orthosis, prosthesis, or pedorthic device sized or modified for use by the patient in accordance with a prescription from a health care practitioner or provider authorized by law to write such prescriptions that requires substantial clinical judgment and substantive alteration for appropriate use;
  5. “Facility” means the business location where orthotic, prosthetic, or pedorthic care is provided. The orthotic/prosthetic/pedorthic facility has the appropriate clinical and laboratory space and equipment to provide comprehensive orthotic, prosthetic, and pedorthic care. Licensed orthotists, prosthetists, and pedorthists shall be available to either provide care or to supervise the provision of care by nonlicensed staff;
  6. “Licensed orthotic fitter” means a person who receives a license under this chapter to fit the following noncustom orthotic devices:
    1. Cervical orthoses, except those requiring more than minor modification or those used to treat an unstable cervical condition;
    2. Pressure gradient hose;
    3. Trusses;
    4. Prefabricated spinal orthoses, except those used in the treatment of scoliosis or unstable spinal conditions, rigid body jackets made of thermoformable materials, and “halo” devices; and
    5. Prefabricated orthoses of upper and lower extremities, except those used in the treatment of bone fractures and dislocations, therapeutic (diabetic) shoes or inserts, and functional electrical stimulation orthoses, such as myo-orthosis or neuroprosthesis;
  7. “Licensed orthotist” means a person who is licensed under this chapter to practice orthotics and who represents the person to the public by title or description of services that includes the term “orthotic,” “orthotist,” “brace,” or a similar title or description of services;
  8. “Licensed pedorthist” means a person who is licensed under this chapter to practice pedorthics and who represents the person to the public by the title or description of services that includes the term “pedorthic,” “pedorthist,” or a similar title or description of services;
  9. “Licensed prosthetist” means a person who is licensed under this chapter to practice prosthetics and who represents the person to the public by title or description of services that includes the term “prosthetic,” “prosthetist,” “artificial limb,” or a similar title or description of services;
  10. “NCOPE” means the National Commission on Orthotic and Prosthetic Education;
  11. “Orthosis” means a custom-designed, fabricated, fitted, or modified device to correct, support, or compensate for a neuro-musculoskeletal disorder or acquired condition. “Orthosis” does not include fabric or elastic supports, corsets, arch supports, low-temperature plastic splints, trusses, elastic hoses, canes, crutches, soft cervical collars, dental appliances, or other similar devices that are carried in stock and sold without modification as “over-the-counter” items by a pharmacy, department store, corset shop, or surgical supply facility;
  12. “Orthotic and prosthetic education program” means a course of instruction accredited by CAAHEP, consisting of:
    1. An adequate curriculum of college level training and instruction in math, physics, biology, chemistry, and psychology; and
    2. A specific curriculum in orthotic or prosthetic courses, including:
      1. Lectures covering pertinent anatomy, biomechanics, pathomechanics, prosthetic-orthotic components and materials, training and functional capabilities, prosthetic or orthotic performance evaluation, prescription considerations, etiology of amputations and disease processes necessitating prosthetic or orthotic use, and medical management;
      2. Subject matter related to pediatric and geriatric problems;
      3. Instruction in acute care techniques, such as immediate and early postsurgical prosthetics and fracture-bracing techniques; and
      4. Lectures, demonstrations, and laboratory experiences related to the entire process of measuring, casting, fitting, fabricating, aligning, and completing prostheses or orthoses;
  13. “Orthotics” means the science and practice of evaluating, measuring, designing, fabricating, assembling, fitting, adjusting, or servicing an orthosis, under an order from a licensed health care practitioner or provider authorized by law to issue such an order, for the correction or alleviation of neuromuscular or musculoskeletal dysfunction, disease, injury, or deformity;
  14. “Orthotist” means a person who is specifically trained and educated to provide or manage the provision of a custom-designed, fabricated, modified, and fitted external orthosis to an orthotic patient, based on a clinical assessment and a prescription from a health care practitioner or provider authorized by law to write such prescriptions, to restore physiological function or cosmesis;
  15. “Over-the-counter device” means a prefabricated, mass-produced device that is prepackaged and requires no professional advice or judgment in either size selection or use, including fabric or elastic supports, corsets, generic arch supports, and elastic hoses;
  16. “Pedorthic device” means therapeutic footwear, foot orthoses, or orthotics for use at the ankle or below, below the ankle partial foot prostheses, and modified footwear made for therapeutic purposes, as prescribed by a licensed health care practitioner or provider authorized by law to issue such a prescription. “Pedorthic device” does not include nontherapeutic accommodative inlays or nontherapeutic accommodative footwear, regardless of method of manufacture; shoe modifications made for nontherapeutic purposes; unmodified over-the-counter shoes; or prefabricated foot care products;
  17. “Pedorthic education program” means a course of instruction accredited by NCOPE, consisting of:
    1. A basic curriculum of instruction in foot-related pathology of diseases, anatomy, and biomechanics;
    2. A specific curriculum in pedorthic courses, including lectures covering shoes, foot orthoses, and shoe modifications, pedorthic components and materials, training and functional capabilities, pedorthic performance evaluation, prescription considerations, etiology of disease processes necessitating use of pedorthic devices, medical management, and subject matter related to pediatric and geriatric problems; and
    3. Lectures, demonstrations, and laboratory experiences related to the entire process of measuring and casting, fitting, fabricating, aligning, and completing pedorthic devices;
  18. “Pedorthics” means the science and practice of evaluating, measuring, designing, fabricating, assembling, fitting, adjusting, or servicing a pedorthic device, under an order from a licensed health care practitioner or provider authorized by law to issue such an order for the correction or alleviation of neuromuscular or musculoskeletal dysfunction, disease, injury, or deformity;
  19. “Pedorthist” means a person who measures, designs, fabricates, fits, or services pedorthic devices and assists in the formulation of the order of pedorthic devices, as ordered by a licensed health care practitioner or provider authorized by law to issue such an order for the support or correction of disabilities caused by neuromuscular or musculoskeletal dysfunction, disease, injury, or deformity;
  20. “Person” means a natural person;
  21. “Prosthesis” means a custom designed, fabricated, fitted, or modified device to replace an absent external limb, for the purpose of restoring physiological function or cosmesis. “Prosthesis” does not include artificial eyes or ears, dental appliances, artificial breasts, cosmetic devices such as artificial eyelashes or wigs, or other devices that do not have a significant impact on the musculoskeletal functions of the body;
  22. “Prosthetics” means the science and practice of evaluating, measuring, designing, fabricating, assembling, fitting, adjusting, or servicing a prosthesis, under an order from a licensed health care practitioner or provider authorized by law to issue such an order;
  23. “Prosthetist” means a person who is specifically trained and educated to provide or manage the provision of a custom designed, fabricated, modified, and fitted external limb prosthesis to a prosthetic patient, based on a clinical assessment and a prescription from a health care practitioner or provider authorized to write such prescriptions, to restore physiological function or cosmesis;
  24. “Prosthetist/Orthotist” means a person who practices both disciplines of prosthetics and orthotics and who represents the person to the public by title or by description of services;
  25. “Resident” means a person who has completed a CAAHEP accredited education program in orthotics, prosthetics, or both and is obtaining his or her clinical training in a residency accredited by NCOPE;
  26. “Residency” means a minimum of a one-year NCOPE accredited program to acquire practical clinical training in orthotics, prosthetics, or both, in a patient care setting; and
  27. “Supervision” means the act of critical observing and directing the work or tasks of another who may lack full knowledge of the concept at hand.

History. Enact. Acts 2010, ch. 109, § 2, effective July 15, 2010.

Compiler’s Notes.

The Legislative Research Commission Note appears to incorporate a correction from the Reviser of Statutes in the note.

Legislative Research Commission Notes.

(7/15/2010) 2010 Ky. Acts ch. 109, sec. 18, provides: “Sections 2 to 18 of this Act shall be known and may be cited as the ‘Henry Brown Prosthetics, Orthotics, and Pedorthics Act.’”

319B.020. Kentucky Board of Prosthetics, Orthotics, and Pedorthics — Membership — Appointment — Terms — Meetings and quorum — Limitation of liability — Expenses.

The Kentucky Board of Prosthetics, Orthotics, and Pedorthics is hereby established. The board shall consist of five (5) members who shall be appointed by the Governor.

  1. One (1) member shall be a citizen at large who is a consumer of orthotic, prosthetic, or pedorthic professional services and is not affiliated with and does not have more than five percent (5%) financial interest in any one (1) health care profession or business.
  2. Four (4) members shall be practicing, licensed orthotists, licensed prosthetists, or licensed pedorthists. These members may be licensed in more than one (1) discipline and at least one (1) board member shall be a licensed pedorthist. Membership of the board shall reasonably reflect representation from the geographic areas in the Commonwealth.
  3. Each member of the board shall serve a term of three (3) years, except that of the initial appointments to the board, two (2) members shall be appointed for two (2) years, two (2) members shall be appointed for three (3) years, and one (1) member shall be appointed for one (1) year. No member of the board shall serve more than the greater of eight (8) consecutive years or two (2) full terms. The Governor may remove any member of the board for misconduct, incompetence, or neglect of duty.
  4. The board shall meet at least annually and may meet at other times if necessary to complete required business. A quorum of the board shall consist of a majority of board members currently appointed. The board shall annually elect a chairperson and vice chairperson who shall be licensed under this chapter.
  5. There shall be no liability on the part of, and no action for damages against, any current or former board member, representative, agent, or employee of the board, when the person is acting with ordinary care, is functioning within the scope of board duties, is acting without malice, and has the reasonable belief that the actions taken by him or her are warranted by law.
  6. Members of the board shall receive a per diem reimbursement of reasonable expenses incurred as determined by the board in consultation with the Department of Professional Licensing for each day actually engaged in the duties of the office.

History. Enact. Acts 2010, ch. 109, § 3, effective July 15, 2010; 2017 ch. 178, § 23, effective April 11, 2017.

Legislative Research Commission Note.

(7/15/2010). A reference to the “Division of Occupations and Professions” in subsection (6) of this section, as created by 2010 Ky. Acts ch. 109, sec. 3, has been changed in codification to the “Office of Occupations and Professions” to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

319B.030. Powers and duties of board — Administrative regulations — Licensure and exemptions from licensure — Examinations — Fees — Continuing education — Enforcement — Evaluation of applicants.

The board shall:

  1. Promulgate administrative regulations to:
    1. Establish licensure categories and issue licenses for orthotists, prosthetists, pedorthists, and orthotic fitters;
    2. Establish the qualifications, educational courses, curriculum, hours, and standards that are prerequisite to issuance of all levels and types of licensure established pursuant to paragraph (a) of this subsection. Any qualifications established by the board shall include the following:
      1. To qualify for a license to practice orthotics or prosthetics, a person shall:
        1. Possess a minimum of a baccalaureate degree from an accredited college or university;
        2. Complete a CAAHEP accredited education program in orthotics, prosthetics, or both;
        3. Complete a residency as defined in this chapter in the discipline for which a license is sought;
        4. Pass all written and practical examinations in any combination that is required and approved by the board; and
        5. Be qualified to practice in accordance with internationally accepted standards of orthotic and prosthetic care;
      2. To qualify for a license to practice pedorthics, a person shall:
        1. Possess a minimum of a high school diploma or comparable credential approved by the board;
        2. Complete an NCOPE-approved pedorthic education program;
        3. Pass all written and practical examinations that are required and approved by the board;
        4. Have a minimum of one thousand (1,000) hours of pedorthic patient care experience as approved by the board;
        5. Be qualified to practice in accordance with nationally accepted standards of pedorthic care;
      3. To qualify for a license to practice as an orthotic fitter, a person shall:
        1. Possess a minimum of a high school diploma or comparable credential approved by the board;
        2. Complete an NCOPE-approved orthotic fitter course;
        3. Pass all examinations that are required and approved by the board;
        4. Complete a minimum of one thousand (1,000) hours of experience in orthotic fitting as approved by the board;
        5. Be qualified to practice in accordance with nationally accepted standards of care acceptable to the board;
      4. Provisions that a person may be licensed in more than one (1) discipline;
    3. Establish the circumstances or conditions, if any, under which persons may be exempt from licensure after completion of training, while waiting to take or receive the results of any required examination, or upon meeting specified minimum educational and clinical qualifications;
    4. Select the examination or examinations to be utilized as the board’s licensure examination or examinations and the prerequisites for admission to the examination or examinations. The board may enter into a contract or agreement with the chosen examination service or services, or select an intermediary between the board and the examination service or services, to process applicants for the examination or examinations;
    5. Establish any other criteria for licensure that are reasonably related to the safe and competent performance of prosthetics, orthotics, and pedorthics;
      1. Establish the fees to be paid for each of the following: (f) 1. Establish the fees to be paid for each of the following:
        1. Application for licensure;
        2. Renewal or reinstatement of licensure;
        3. Late renewal of licensure;
        4. Application for continuing education course approval; and
        5. Duplicate or replacement license.
      2. The fees shall be set at a level that is adequate to pay all of the expenses of implementing and administering licensure under this chapter;
    6. Establish the continuing education requirements for licensees, which shall include the frequency of reporting, number of hours, types of courses, approval of courses, methods of proving compliance, penalties for violation, and all fees necessary for implementing the continuing education process; and
    7. Delineate the standards of practice for persons licensed under this chapter; and
  2. Administer and enforce the provisions of this chapter and evaluate the qualifications of applicants for licensure.

History. Enact. Acts 2010, ch. 109, § 4, effective July 15, 2010.

319B.040. Powers permitted to board — Administrative regulations and services — Disciplinary powers and procedures — Retired or inactive licensure status — Private letter rulings.

The board may:

  1. Employ needed personnel and contract with the Department of Professional Licensing within the Public Protection Cabinet for the provision of administrative services;
  2. Issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provisions of this chapter;
  3. Seek injunctive relief in the Circuit Court of the county where the violation occurred to stop the unlawful practice of prosthetics, orthotics, and pedorthics by unlicensed persons;
  4. Conduct hearings pursuant to KRS Chapter 13B and keep records and minutes necessary to carry out the functions of this chapter;
  5. Suspend or revoke licenses, impose supervisory or probationary conditions upon licensees, impose administrative disciplinary fines, issue written reprimands or admonishments, or impose any combination of these penalties;
  6. Grant retired or inactive licensure status under conditions set forth by the board by the promulgation of administrative regulations; and
  7. Issue advisory private letter rulings to any affected licensee who makes such a request regarding any matters within the board’s primary jurisdiction. Any private letter ruling shall affect only the person making the inquiry and shall have no precedential value for any other inquiry or future contested case that might come before the board. Any dispute regarding a private letter ruling may, if the board chooses to do so, be resolved pursuant to KRS Chapter 13B.

History. Enact. Acts 2010, ch. 109, § 5, effective July 15, 2010; 2017 ch. 178, § 24, effective April 11, 2017.

Legislative Research Commission Note.

(7/15/2010). A reference to the “Division of Occupations and Professions” in subsection (1) of this section, as created by 2010 Ky. Acts ch. 109, sec. 5, has been changed in codification to the “Office of Occupations and Professions” to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

319B.050. Contents of license — Display — Application for replacement — Name change.

  1. Any license issued by the board shall contain the name of the person to whom it is issued, the address of the person, the date and number of the license, and other information the board deems necessary. The address contained on the license shall be the address where all correspondence and renewal forms from the board shall be sent. Any person whose address changes shall, within thirty (30) days after the address change, notify the board of the address change. The most recent address contained in the board’s records for each licensee shall be the address deemed sufficient for purposes of service of process.
  2. Every licensee shall either keep his or her license prominently displayed in the office or place in which the licensee practices or have it stored in a place from which it can be immediately produced upon request of a patient or a representative of the board.
  3. Any person whose license has been lost or destroyed may apply to the board for a replacement. This application shall be accompanied by an affidavit setting out the facts concerning the loss or destruction of the original license and the payment of a reasonable replacement fee as established by the board in KRS 319B.030(1)(f).
  4. Any person whose name is changed by marriage or court order or who changes employment, home address, or telephone shall notify the board in writing within thirty (30) days of the change.

History. Enact. Acts 2010, ch. 109, § 6, effective July 15, 2010.

319B.060. Licensure for practice of professions governed by KRS Chapter 319B — “Grandfather” provisions for licensure.

  1. On and after January 1, 2013, no person shall practice any profession governed by this chapter, or hold himself or herself out as being able to practice any such profession, or dispense a custom orthosis, prosthesis, or pedorthic device, unless that person is licensed by the board.
    1. Until January 1, 2013, a person certified by the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), with the title of Certified Orthotist (CO), Certified Prosthetist (CP), or Certified Prosthetist/Orthotist (CPO), or by the Board of Certification/Accreditation, International (BOC) with the title of Board of Certification-Orthotist (BOCO), Board of Certification-Prosthetist (BOCP), or Board of Certification-Prosthetist/Orthotist (BOCPO), or holding similar certifications from other accrediting bodies with equivalent educational requirements and examination standards, may apply for and may be granted orthotic or prosthetic licensure by the board, upon payment of the required fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice. (2) (a) Until January 1, 2013, a person certified by the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), with the title of Certified Orthotist (CO), Certified Prosthetist (CP), or Certified Prosthetist/Orthotist (CPO), or by the Board of Certification/Accreditation, International (BOC) with the title of Board of Certification-Orthotist (BOCO), Board of Certification-Prosthetist (BOCP), or Board of Certification-Prosthetist/Orthotist (BOCPO), or holding similar certifications from other accrediting bodies with equivalent educational requirements and examination standards, may apply for and may be granted orthotic or prosthetic licensure by the board, upon payment of the required fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice.
    2. Until January 1, 2013, an orthotist or prosthetist certified by either the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or the Board of Certification/Accreditation, International (BOC), shall be held to the standards of practice enforced by the board that has certified the orthotist or prosthetist. For these purposes, certification by either board shall be considered equally valid and enforceable regarding pedorthist certification and standards of practice.
    3. After December 31, 2012, any applicant for licensure as an orthotist or a prosthetist shall meet the requirements of this chapter regarding the applicable license.
    1. Until January 1, 2013, a person certified as a Certified Pedorthist (C.Ped) by the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or certified as a Board of Certification-Pedorthist (BOCPD) by the Board of Certification/Accreditation, International (BOC), or holding similar certifications from other accrediting bodies with equivalent educational requirements and examination standards, may apply for and may be granted pedorthic licensure under this chapter, upon payment of the required fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice. (3) (a) Until January 1, 2013, a person certified as a Certified Pedorthist (C.Ped) by the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or certified as a Board of Certification-Pedorthist (BOCPD) by the Board of Certification/Accreditation, International (BOC), or holding similar certifications from other accrediting bodies with equivalent educational requirements and examination standards, may apply for and may be granted pedorthic licensure under this chapter, upon payment of the required fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice.
    2. Until January 1, 2013, a pedorthist certified by either the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or the Board of Certification/Accreditation, International (BOC), shall be held to the standards of practice enforced by the board that has certified the pedorthist. For these purposes, certification by either board shall be considered equally valid and enforceable regarding pedorthist certification and standards of practice.
    3. After December 31, 2012, any applicant for licensure as a pedorthist shall meet the requirements of the board regarding licensure.
  2. Notwithstanding any other provision of this chapter to the contrary, as an alternative mechanism for those in practice who are not currently certified, a person who has practiced full-time for a minimum of the past four (4) years in a prosthetic/orthotic/pedorthic facility as an orthotist, prosthetist, or pedorthist, may file an application with the board before January 1, 2013, in order to continue to practice orthotics, prosthetics, or pedorthics, and may be issued a license to practice orthotics, prosthetics, or pedorthics by the board without examination, upon the board’s receipt of payment of the required licensing fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice.
    1. Until January 1, 2013, a person certified as a Certified Fitter-orthotics (CFo) by the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or certified as a Certified Orthotic Fitter (COF) by the Board of Certification/Accreditation, International (BOC), or holding similar certifications from other accrediting bodies with equivalent educational requirements and examination standards, may apply for and may be granted licensure as an orthotic fitter under this chapter, upon payment of the required fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice. (5) (a) Until January 1, 2013, a person certified as a Certified Fitter-orthotics (CFo) by the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or certified as a Certified Orthotic Fitter (COF) by the Board of Certification/Accreditation, International (BOC), or holding similar certifications from other accrediting bodies with equivalent educational requirements and examination standards, may apply for and may be granted licensure as an orthotic fitter under this chapter, upon payment of the required fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice.
    2. Until January 1, 2013, an orthotic fitter certified by either the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC), or the Board of Certification/Accreditation, International (BOC), shall be held to the standards of practice enforced by the board that has certified the orthotic fitter. For these purposes, certification by either board shall be considered equally valid and enforceable regarding orthotic fitter certification and standards of practice.
    3. After December 31, 2012, any applicant for licensure as an orthotic fitter shall meet the requirements of the board regarding licensure.
  3. Notwithstanding any other provision of this chapter to the contrary, a person who has practiced full-time for a minimum of the past four (4) years in a prosthetic/orthotic facility as an orthotic fitter, may file an application with the board before January 1, 2013, in order to continue to practice as an orthotic fitter, and shall be issued a license to practice as an orthotic fitter by the board without examination, upon the board’s receipt of payment of the required licensing fee and after the board has completed a review of the applicant’s work history. The board shall complete its review for the purposes of this section within six (6) months of the date of application. The review may include but is not limited to completion by the applicant of a questionnaire regarding the applicant’s work history and scope of practice.

History. Enact. Acts 2010, ch. 109, § 7, effective July 15, 2010.

319B.070. Licensee to provide care or services only upon order from licensed health care practitioner, physician, or advanced practice registered nurse.

A licensee may provide care or services only if the care or services are provided pursuant to an order from:

  1. A licensed health care practitioner authorized to issue such an order; or
  2. A physician licensed under KRS Chapter 311 or an advanced practice registered nurse licensed under KRS Chapter 314, if the care or services are eligible for reimbursement from Medicare, Medicaid, or health insurance.

History. Enact. Acts 2010, ch. 109, § 8, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). A reference to “advanced registered nurse practitioner” in 2010 Ky. Acts ch. 109, sec. 8, has been changed in codification to “advanced practice registered nurse” to conform with 2010 Ky. Acts ch. 85, sec. 52’s renaming of that title in KRS 314.011(7).

319B.080. Licensee’s scope of practice — Written prescription required.

  1. The scope of practice of a licensee shall not include the right to diagnose a medical problem or condition or the right to give medical advice as to the nature, cause, or treatment for the problem or condition for which the orthotic, prosthetic, or pedorthic device is being dispensed. However, the scope of practice of a licensee shall include the right to provide information or demonstration regarding the proper use and care of the device and to make adjustments to the device as needed.
  2. No person shall dispense or sell a custom or custom-fit device, based upon an image of the customer’s limb captured by the person through a mold, cast, scanning device, digital appliance, or pressure sensitive device, unless the customer has first presented to that person a written prescription for that device from a health care practitioner or provider authorized by law to write such a prescription.

History. Enact. Acts 2010, ch. 109, § 9, effective July 15, 2010.

319B.090. Licensed health care practitioners and other professions not to be limited or restricted by KRS Chapter 319B.

Nothing in this chapter or in the administrative regulations promulgated by the board pursuant to this chapter shall be interpreted to limit or restrict:

  1. A licensed health care practitioner or provider from engaging in the full scope of practice authorized by the license for that person’s profession, training, or services;
  2. A person licensed as a physical therapist under KRS Chapter 327 or as an occupational therapist under KRS Chapter 319A from engaging in that person’s profession pursuant to his or her education and training;
  3. A person licensed as an athletic trainer under KRS Chapter 311 from engaging in that person’s profession pursuant to his or her education and training;
  4. A person licensed as a physician under KRS Chapter 311 from engaging in that person’s profession pursuant to his or her education and training;
  5. A person licensed as a chiropractor under KRS Chapter 312 from engaging in that person’s profession pursuant to his or her education and training;
  6. A person licensed as a pharmacist under KRS Chapter 315 from engaging in that person’s profession pursuant to his or her education and training;
  7. A person certified as a therapeutic shoe fitter by a nationally recognized board from engaging in that person’s profession pursuant to his or her education and training and within that person’s scope of practice as defined by the certifying board;
  8. Individuals acting under the supervision and control of a licensed pharmacist or pharmacy from measuring, fitting, or adjusting any noncustom fabricated and fitted device including but not limited to over-the-counter devices, so long as such individual does not create a cast, mold, or scan of a part of the human body for the purpose of constructing a medical device to treat a patient’s medical condition, and so long as such individual meets one (1) of the following criteria for the device:
    1. Documented training from a manufacturer or training from a licensed or certified orthotist, prosthetist, or pedorthist;
    2. Certification or registration as a fitter of orthotic, prosthetic, or pedorthic devices from a nationally recognized board or association such as the Board of Certification/Accreditation, International (BOC), the National Community Pharmacists Association (NCPA), or the American Board for Certification in Orthotics, Prosthetics and Pedorthics, Inc. (ABC); or
    3. Direct supervision by a trained and experienced, or certified, or registered, fitter of orthotic, prosthetic, or pedorthic devices; or
  9. Individuals acting under the supervision and control of a licensed pharmacist or pharmacy from measuring, fitting, or adjusting any noncustom fabricated and fitted pedorthic devices including but not limited to diabetic shoes, so long as the individual meets the criteria of either subsection (8)(a) or (8)(b) of this section, and so long as the individual does not create a cast, mold, or scan of a part of the human body for the purpose of constructing a medical device to treat a patient’s medical problem.

History. Enact. Acts 2010, ch. 109, § 10, effective July 15, 2010; 2013, ch. 30, § 9, effective June 25, 2013.

319B.100. Persons to whom KRS Chapter 319B does not apply.

This chapter shall not apply to:

  1. The practice of orthotics, prosthetics, or pedorthics by a person who is employed by the federal government or any bureau, division, or agency of the federal government while in the discharge of the employee’s official duties;
  2. The practice of orthotics, prosthetics, or pedorthics by:
    1. A student enrolled in a school of orthotics, prosthetics, or pedorthics;
    2. A resident continuing his or her clinical education in a residency accredited by CAAHEP or NCOPE;
    3. A student in a qualified work experience program or internship in pedorthics; or
    4. A physician licensed under KRS Chapter 311; or
  3. The measuring, fitting, or adjusting of an orthotic device by an employee or authorized representative of an orthosis manufacturer registered with the federal food and drug administration, when the employee or representative is directly supervised by a licensed health care professional authorized by law to prescribe, measure, or fit the device, and the measuring, fitting, or adjusting of the device occurs in the office of the licensed health care professional or in a health care facility.

History. Enact. Acts 2010, ch. 109, § 11, effective July 15, 2010.

319B.110. License required.

No person shall profess to be a licensee, or practice or assume the duties incident to a license issued under this chapter, or use the title “orthotist,” “prosthetist,” “pedorthist,” “orthotic fitter,” or any words or letters which designate or tend to designate to the public that the person is an orthotist, prosthetist, pedorthist, or orthotic fitter, unless he or she holds a valid, current license from the board.

History. Enact. Acts 2010, ch. 109, § 12, effective July 15, 2010.

319B.120. Renewal, expiration, suspension, and revocation of licenses — Fees and penalties — Trust and agency fund.

  1. Every license issued under this chapter shall expire on June 30 following the date of issuance unless sooner revoked and canceled.
  2. On or before June 1 of each year, the board shall send notices to all licensees, at their last known addresses, advising them that the annual renewal fee is due on July 1 of each year. Every licensee shall renew his or her license on or before July 1 of each year by the payment to the board of an annual renewal fee which shall be a reasonable fee set by administrative regulation of the board and upon submission of a statement of compliance with the continuing education regulations of the board. If this renewal fee is not paid or the statement of compliance is not submitted on or before July 1, the board shall notify the delinquent licensee by mail at his or her last known address that the fee and statement are past due and that a delinquent penalty fee is assessed, in addition to the renewal fee, and that the renewal fee and penalty must be paid and the statement of compliance submitted on or before January 1. If these fees, penalties, and statement are not submitted by January 1, it shall be the duty of the board to suspend or revoke the license for nonpayment of the annual renewal and delinquent fees or for failure to submit the statement of compliance for the current year.
  3. All fees collected under the provisions of this chapter, or the administrative regulations adopted pursuant to this chapter, shall be paid into the State Treasury, and credited to a trust and agency fund to be used in defraying the costs and expenses in the administration of this chapter, including but not limited to salaries and necessary travel expenses.

History. Enact. Acts 2010, ch. 109, § 13, effective July 15, 2010.

319B.130. Reciprocal licensure.

The board is authorized in its sound discretion to:

  1. Enter into reciprocal agreements with corresponding boards of other states having qualifications and standards at least as high as those of this state, providing for reciprocal licensure without further examination of persons who have been duly licensed upon written examination. Approval of such agreements by the Governor, or any other officer or agency of this state, shall not be required; and
  2. Issue licenses by reciprocity or endorsement, and without further examination, to persons who have been duly licensed upon written examination in another state having qualifications and standards at least as high as those of this state, or who have successfully passed the appropriate national examination.

History. Enact. Acts 2010, ch. 109, § 14, effective July 15, 2010.

319B.140. Penalty for unprofessional conduct.

  1. The board may deny or refuse to renew a license, may suspend or revoke a license, or may impose probationary conditions where the licensee or applicant for licensure has engaged in unprofessional conduct which has endangered or is likely to endanger the health, welfare, or safety of the public. Unprofessional conduct shall include:
    1. Obtaining a license by means of fraud, misrepresentation, or concealment of material facts;
    2. Unprofessional conduct as defined by administrative regulations promulgated by the board or violation of the code of ethics promulgated by the board through administrative regulations;
    3. Being convicted of a felony in any court if the act or acts for which the applicant or licensee was convicted are found by the board to have a direct bearing on whether he or she should be entrusted to serve the public in the capacity of the licensed profession, if in accordance with KRS Chapter 335B;
    4. Violating any lawful order or administrative regulation rendered or promulgated by the board;
    5. Violating any provision of this chapter;
    6. Violating KRS 304.39-215 ; or
    7. Engaging in conduct that is subject to the penalties under KRS 304.99-060 (4) or (5).
  2. A denial, refusal to renew, suspension, revocation, or imposition of probationary conditions upon an applicant or licensee may be ordered by the board in a decision made after an administrative hearing conducted in accordance with KRS Chapter 13B and administrative regulations promulgated by the board. The board may accept or reject an application for reinstatement following an administrative hearing conducted in accordance with KRS Chapter 13B.
  3. The surrender of a license shall not serve to deprive the board of jurisdiction to proceed with disciplinary actions under this chapter.

History. Enact. Acts 2010, ch. 109, § 15, effective July 15, 2010; 2017 ch. 158, § 66, effective June 29, 2017; 2019 ch. 143, § 17, effective June 27, 2019.

319B.150. Penalties for practice in violation of KRS Chapter 319B.

  1. Until January 1, 2013, any person who practices as an orthotic fitter, orthotist, prosthetist, or pedorthist in violation of this chapter shall be subject to only a warning for the first offense. The person shall be granted thirty (30) days to comply with the provisions of this chapter. Any subsequent offenses committed at any time shall be subject to the relevant penalties in subsection (2) of this section.
  2. Except as otherwise indicated in subsection (1) of this section, any person who violates any provision of this chapter shall be guilty of a Class A misdemeanor and shall pay a fine not to exceed five thousand dollars ($5,000) per violation.

History. Enact. Acts 2010, ch. 109, § 16, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

CHAPTER 319C Applied Behavior Analysts

319C.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Applied behavior analysis” means the design, implementation, and evaluation of environmental modifications, using behavioral stimuli and consequences, to produce socially significant improvement in human behavior, including the use of direct observation, measurement, and functional analysis of the relationship between environment and behavior;
  2. “Applied behavior analysis interventions” means interventions that are based on scientific research and the direct observation and measurement of behavior and environment which utilize contextual factors, establishing operations, antecedent stimuli, positive reinforcement, and other consequences to help people develop new behaviors, increase or decrease existing behaviors, and elicit behaviors under specific environmental conditions;
  3. “Board” means the Kentucky Applied Behavior Analysis Licensing Board;
  4. “Certification board” means the Behavior Analyst Certification Board® or its successor;
  5. “Certified” means a practitioner who has met the certification criteria of the certification board;
  6. “Licensed behavior analyst” means an individual who is licensed by the board and meets the requirements of KRS 319C.080 ;
  7. “Licensed assistant behavior analyst” means an individual who:
    1. Is licensed by the board as an assistant behavior analyst and meets the requirements of KRS 319C.080 ; and
    2. Works under the supervision of a certified behavior analyst;
  8. “Practice of applied behavior analysis” means the application of the principles, methods, and procedures of the experimental analysis of behavior and applied behavior analysis, including but not limited to applications of those principles, methods, and procedures to:
    1. Design, implement, evaluate, and modify treatment programs to change the behavior of individuals diagnosed with an autism spectrum disorder;
    2. Design, implement, evaluate, and modify treatment programs to change the behavior of individuals;
    3. Design, implement, evaluate, and modify treatment programs to change the behavior of groups; and
    4. Consult with individuals and organizations.

      The practice of applied behavior analysis shall not include diagnosis, counseling, psychological testing, neuropsychology, psychotherapy, cognitive therapy, sex therapy, psychoanalysis, or hypnotherapy as treatment modalities;

  9. “Supervised experience” means services rendered as a part of the certification requirements of a behavior analyst or assistant behavior analyst under the supervision of a licensed behavior analyst;
  10. “Supervisee” means a person who is not licensed but acts under the extended authority and direction of a licensed behavior analyst or a licensed assistant behavior analyst to provide applied behavior analysis services; and
  11. “Temporary licensee” means a person who is obtaining supervised experience and has obtained a temporary license.

History. Enact. Acts 2010, ch. 150, § 1, effective July 15, 2010.

319C.020. Use of titles “licensed behavior analyst” or “licensed assistant behavior analyst” — Performance of services by person not licensed — Persons not subject to chapter.

  1. No person shall:
    1. Engage in the practice of applied behavior analysis, assist in the practice of applied behavior analysis, render services designated as applied behavior analysis, or hold himself or herself out as a practitioner of applied behavior analysis in this state, unless licensed under the provisions of this chapter; or
    2. Use the title “licensed behavior analyst” or “licensed assistant behavior analyst” or any title which is substantially the same unless licensed by the board. Any person who violates this subsection shall be subject to the penalties contained in KRS 319C.990 .
  2. The provisions of this chapter shall not apply to any person who is:
    1. Providing applied behavior analysis services to an individual in a public school setting;
    2. Implementing applied behavior analysis intervention services to an immediate family member or as a supervisee;
    3. Licensed, certified, or registered as a health or allied health professional under any other provisions of the Kentucky Revised Statutes, including but not limited to physicians, psychologists, social workers, nurses, counselors, therapists, including occupational therapists, physical therapists and speech therapists, or students within accredited training programs of these professions. Nothing in this chapter shall be construed to limit, interfere with, or restrict the practice, descriptions of services, or manner in which the health or allied health professional listed in this subsection hold themselves out to the public; or
    4. Providing applicable Medicaid waiver services.

History. Enact. Acts 2010, ch. 150, § 2, effective July 15, 2010.

319C.030. Kentucky Applied Behavior Analysis Licensing Board — Members — Terms — Reimbursement — Limitation of liability.

    1. There is hereby created the Kentucky Applied Behavior Analysis Licensing Board. The board shall consist of seven (7) members appointed by the Governor. (1) (a) There is hereby created the Kentucky Applied Behavior Analysis Licensing Board. The board shall consist of seven (7) members appointed by the Governor.
    2. The initial board members shall be appointed as follows:
      1. Four (4) members shall be credentialed behavior analysts nominated by a credentialed behavior analyst practicing in the state;
      2. One (1) member shall be a psychologist licensed in the state, the majority of whose practice is related to the treatment of behavior disorders, including but not limited to autism spectrum disorders. The psychologist member shall be nominated by a credentialed behavior analyst practicing in the state; and
      3. Two (2) members shall be the parent of a child diagnosed with and treated for a behavior disorder, including but not limited to an autism spectrum disorder, selected from the state at large.
    3. Subsequent board members shall be appointed by the Governor as follows:
      1. Four (4) members shall be licensed behavior analysts nominated by a licensed behavior analyst practicing in the state;
      2. One (1) member shall be a psychologist licensed in the state, the majority of whose practice is related to the treatment of behavior disorders, including but not limited to autism spectrum disorders. The psychologist member shall be nominated by a licensed behavior analyst practicing in the state; and
      3. Two (2) members shall be the parent of a child diagnosed with and treated for a behavior` disorder, including but not limited to an autism spectrum disorder, selected from the state at large.
  1. The terms of the board members shall be as follows:
    1. The initial board members shall be appointed as determined by the Governor for the following terms:
      1. Two (2) behavior analysts shall serve for one (1) year;
      2. Two (2) behavior analysts shall serve for three (3) years;
      3. A psychologist shall serve for two (2) years;
      4. One (1) parent shall serve for one (1) year; and
      5. One (1) parent shall serve for two (2) years;
    2. The terms of subsequent board members shall be for three (3) years; and
    3. A vacancy of any board member shall be filled in the manner of the original appointment for the unexpired portion of the term only or as provided by KRS 12.070 . The Governor, after notice and opportunity for a hearing, may remove any member of the board for malfeasance, neglect of duty, incompetency, or revocation or suspension of a license.
  2. Members of the board shall not receive a salary but shall be allowed the usual mileage, subsistence, and per diem as provided for members of state boards, commissions, and committees. No member shall serve more than two (2) consecutive terms.
  3. The board may request the removal of a board member by the Governor.
  4. The board shall annually elect a chair, vice chair, and secretary.
  5. There shall be no liability on the part of, and no action for damages against, any current or former board member, representative, agent, or employee of the board, when the person is functioning within the scope of board duties, acting without malice and with the reasonable belief that the actions taken by him or her are warranted by law.

History. Enact. Acts 2010, ch. 150, § 3, effective July 15, 2010.

319C.040. Meetings of board — Quorum — Employees — Executive secretary to give bond and manage moneys.

  1. The board shall meet at least twice annually and may meet at such other times as necessary to complete the business required. A majority of the members of the board shall constitute a quorum for the transaction of business.
  2. The board may employ an executive secretary and such clerical or other assistants as are necessary for the performance of its work and may make expenditures of its funds for any purpose which in the opinion of the board is necessary for proper performance of its duties, including compensation of the executive secretary and the premium on his or her bond.
  3. The executive secretary or any other person so designated by the board shall give bond to the state in such sum as determined by the board, to be approved by the State Treasurer for the faithful performance of his or her duties. The executive secretary shall receive and account for all moneys derived under this chapter and shall pay such moneys to the State Treasurer who shall maintain them in the manner provided for other such agencies and boards of the Commonwealth.

History. Enact. Acts 2010, ch. 150, § 4, effective July 15, 2010.

319C.050. Powers and duties of board.

  1. It shall be the duty of the board to establish requirements for licensure to practice applied behavior analysis in the state in accordance with KRS 319C.060 , to receive applications for licensure from persons desiring to become a behavior analyst, an assistant behavior analyst, or a temporary licensee from persons seeking to obtain supervised experience in the state, and to determine whether those applicants meet the qualifications and standards required by this chapter of all behavior analysts, assistant behavior analysts, or temporary licensees.
  2. The board is an agency of state government with the power to institute criminal proceedings in the name of the Commonwealth against violators of this chapter, and to institute civil proceedings to enjoin any violation of this chapter. The board shall investigate every alleged violation of this chapter brought to the board’s notice and shall take action as it may deem appropriate. It shall be the duty of the Attorney General, the Commonwealth’s attorneys, and the county attorneys to assist the board in prosecuting all violations of this chapter.
  3. All meetings shall be held at the call of the chair or at a call of a majority of members upon not less than ten (10) days’ written notice, unless notice shall be waived. The presence of any member at any meeting of the board shall constitute a waiver of notice thereof by the member.
  4. The board may conduct investigations and schedule and conduct administrative hearings in accordance with KRS Chapter 13B to enforce the provisions of this chapter or administrative regulations promulgated pursuant to this chapter. The board shall have the authority to administer oaths, receive evidence, interview persons, issue subpoenas, and require the production of books, papers, documents, or other evidence. In case of disobedience to a subpoena, the board may invoke the aid of the Franklin Circuit Court. Any order or subpoena of the court requiring the attendance or testimony of witnesses or the production of documentary evidence may be enforced and shall be valid anywhere in the Commonwealth.
  5. The board shall keep a minute book containing a record of all meetings of the board.
  6. The board shall maintain a register of all persons licensed under this chapter. This register shall show the name of every licensee in this state, his or her current business and residence address and telephone numbers, and the date and number of his or her license. A licensee shall notify the board of a change of name, address, or telephone number, within thirty (30) days of the change.
  7. The board’s records shall be updated annually.
  8. The board shall publish annually and make available a current directory of all licensed behavior analysts, licensed assistant behavior analysts, and temporary licensees obtaining supervised experience.
  9. The board shall adopt a seal which shall be affixed to every license and certificate granted by it.

History. Enact. Acts 2010, ch. 150, § 5, effective July 15, 2010.

319C.060. Board’s powers to regulate practice of applied behavior analysis — Administrative regulations — Fees.

  1. The board shall have the right to regulate the practice of applied behavior analysis in the state including behavior analysts, assistant behavior analysts, and temporary licensees, including licensure, limitations of activities, supervision, and educational qualifications and continuing education requirements for behavior analysts, assistant behavior analysts, temporary licensees and supervisees. The board shall administer and enforce the provisions of this chapter and shall have the responsibility of evaluating the qualifications of applicants for licensure.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A relating to the licensure and regulation of behavior analysts, assistant behavior analysts, and temporary licensees including:
    1. Establishing standards for licensure, temporary licensure, limitations of activities, supervision, and compliance with the educational qualifications as required by KRS 319C.080 for behavior analysts, assistant behavior analysts, and temporary licensees;
    2. Establishing the number of persons a licensed behavior analyst may supervise at one (1) time, including temporary licensees and supervisees;
    3. Adopting a code of ethical standards and standards of practice for all licensed behavior analysts, assistant behavior analysts, and temporary licensees;
    4. Establishing a measure of continued competency as a condition of license renewal and standards for suspension, revocation, or refusal to issue or renew a license of a behavior analyst, assistant behavior analyst, or temporary licensee;
    5. Governing the physical and mental examination of behavior analysts, assistant behavior analysts, and temporary licensees who may be impaired by reason of a mental, physical, or other condition that impedes their ability to practice competently. For purposes of enforcing this section, the board shall have the power to order an immediate temporary suspension in accordance with KRS 13B.125 if there is a reasonable cause to believe that a behavior analyst, assistant behavior analyst, temporary licensee, or applicant may be impaired by reason of a mental, physical, or other condition that impedes his or her ability to practice competently; and
    6. Establishing reasonable fees for the licensure and license renewal of behavior analysts, assistant behavior analysts, and temporary licensees.

History. Enact. Acts 2010, ch. 150, § 6, effective July 15, 2010.

319C.070. Probation, suspension, limitation, restriction, revocation, or nonissuance of license by board — Reasons for.

The board may deny an application or reregistration for a license, place a licensee on probation for a period not to exceed five (5) years, suspend a license for a period not to exceed five (5) years, limit or restrict a license for an indefinite period, or revoke any license issued by the board, upon proof that the licensee has:

  1. Knowingly made or presented, or caused to be made or presented, any false, fraudulent, or forged statement, writing, certificate, diploma, or other thing, in connection with an application for a license or permit;
  2. Practiced, or aided or abetted in the practice of, fraud, forgery, deception, collusion, or conspiracy in connection with an examination for a license;
  3. Entered a guilty or nolo contendere plea, or been convicted, of a crime as defined in KRS 335B.010 , if in accordance with KRS Chapter 335B;
  4. Been convicted of a misdemeanor offense under KRS Chapter 510 involving a patient, or a felony offense under KRS Chapter 510, or KRS 530.064(1)(a) or 531.310 , or been found by the board to have had sexual contact as defined in KRS 510.010(7) with a patient while the patient was under the care of the licensee;
  5. Become addicted to a controlled substance;
  6. Become a chronic or persistent alcoholic;
  7. Been unable or is unable to practice applied behavior analysis according to acceptable and prevailing standards of care by reason of mental or physical illness or other condition, including but not limited to physical deterioration that adversely affects cognitive, motor, or perceptive skills, or by reason of an extended absence from the active practice of applied behavior analysis;
  8. Engaged in dishonorable, unethical, or unprofessional conduct of a character likely to deceive, defraud, or harm the public or any member thereof; or
  9. Knowingly made, or caused to be made, or aided or abetted in the making of, a false statement in any document executed in connection with the practice of his profession.

HISTORY: Enact. Acts 2010, ch. 150, § 7, effective July 15, 2010; 2017 ch. 158, § 67, effective June 29, 2017.

319C.080. Application for license as licensed behavior analyst or licensed assistant behavior analyst — Temporary license — Duties of certification board.

  1. A person applying for a license as a licensed behavior analyst shall apply to the board upon such form and in such manner as the board shall prescribe and shall furnish evidence to the board that such person:
    1. Has met the education requirements of the Board Certified Behavior Analyst (BCBA)® standards, has passed the Board Certified Behavior Analyst (BCBA)® examination, and is credentialed as a behavior analyst by the certification board;
    2. Maintains active status and fulfills all requirements for renewal and recertification with the certification board as a Board Certified Behavior Analyst (BCBA)®;
    3. Conducts his or her professional activities in accordance with accepted standards as required by administrative regulations promulgated by the board in accordance with KRS 319C.050(1); and
    4. Complies with all applicable administrative regulations promulgated by the board.
  2. A person applying for a license as a licensed assistant behavior analyst shall make application to the board upon such form and in such manner as the board shall prescribe by administrative regulation and shall furnish evidence to the board that such person:
    1. Has met the education requirements of the Board Certified Assistant Behavior Analyst (BCaBA)® standards, has passed the BCaBA® examination, and is credentialed as an assistant behavior analyst by the certification board;
    2. Maintains active status and fulfills all requirements for renewal and recertification with the certification board as a Board Certified Assistant Behavior Analyst®;
    3. Conducts his or her professional activities in accordance with accepted standards as required by administrative regulations promulgated by the board in accordance with KRS 319C.050(1);
    4. Complies with all applicable administrative regulations promulgated by the board; and
    5. Is supervised by a certified behavior analyst in a manner consistent with the certification board requirements for supervision of Board Certified Assistant Behavior Analysts®.
  3. A person applying for a temporary license to complete his or her experience requirement shall make application to the board upon such form and in such manner as the board shall prescribe by administrative regulation and shall furnish evidence to the board that he or she:
    1. Has met the coursework requirements for a Board Certified Behavior Analyst® or Board Certified Assistant Behavior Analyst® and will begin accumulating experience as required by the certification board; and
    2. Will comply with the provisions of this chapter and the requirements of the certification board during the period of temporary licensure.
  4. If the certification board ceases certification of practitioners of applied behavior analysis, the board shall:
    1. Approve a successor entity to the certification board; or
    2. Establish a certification process by administrative regulation and approve an examination for behavior analysts and assistant behavior analysts and establish standards for acceptable performance.

History. Enact. Acts 2010, ch. 150, § 8, effective July 15, 2010.

319C.090. Persons credentialed in other jurisdictions.

The board shall issue a license to a person who holds a valid license or certificate from another state, who meets the requirements specified in KRS 319C.080 , any licensing requirements contained in administrative regulation promulgated by the board, and who has no imposed or pending disciplinary actions.

History. Enact. Acts 2010, ch. 150, § 9, effective July 15, 2010.

319C.100. Duty to report felony conviction or suspicion of fraud or deceit.

Any licensee or employer of a licensee having actual or direct knowledge of facts shall report to the board a behavior analyst or assistant behavior analyst who:

  1. Has been convicted of a felony that involved any act that bears directly on the qualifications or ability of the applicant or licensee to practice behavior analysis;
  2. Is suspected of fraud or deceit in procuring or attempting to procure a license to practice behavior analysis or of negligently performing actions that justify action against a behavior analyst’s or assistant behavior analyst’s license as identified in KRS 319C.110(2);
  3. Has had a license to practice as a behavior analyst or assistant behavior analyst denied, limited, suspended, probated, or revoked in another jurisdiction on grounds sufficient to cause a license or certificate to be denied, limited, suspended, probated, or revoked in this Commonwealth; or
  4. Is practicing behavior analysis without a current active license issued by the board.

History. Enact. Acts 2010, ch. 150, § 10, effective July 15, 2010.

319C.110. Sanctions against licensee or applicant after opportunity for administrative hearing — Causes for disciplinary action — Private admonishment not subject to disclosure.

  1. The board, after due notice and an opportunity for an administrative hearing conducted in accordance with KRS Chapter 13B, may take any one (1) or a combination of the following actions against any applied behavior analyst or applied assistant behavior analyst licensee or applicant:
    1. Refuse to license or certify any applicant;
    2. Refuse to renew the license or certificate of any person;
    3. Suspend or revoke or place on probation the license or certificate of any person;
    4. Impose restrictions on the scope of practice of any person;
    5. Issue an administrative reprimand to any person;
    6. Issue a private admonishment to any person; and
    7. Impose fines for violations of this chapter, not to exceed two thousand five hundred dollars ($2,500).
  2. The following acts by a licensee may be considered cause for disciplinary action:
    1. Indulgence in excessive use of alcoholic beverages or abusive use of controlled substances that impairs the licensee’s ability to practice applied behavior analysis;
    2. Engaging in, permitting, or attempting to engage in or permit the performance of substandard patient care by himself or herself or by persons working under his or her supervision due to a deliberate or negligent act or failure to act, regardless of whether actual injury to the patient is established;
    3. Having engaged in or attempted to engage in a course of lewd or immoral conduct with any person while that person is a patient or client of the behavior analyst or assistant behavior analyst;
    4. Having sexual contact, as defined by KRS 510.010(7), without the consent of both parties, with an employee or coworker of the licensee;
    5. Sexually harassing an employee or coworker of the licensee;
    6. Conviction of a felony or misdemeanor in the courts of this state or any other state, territory, or country which affects his or her ability to continue to practice competently and safely on the public. “Conviction,” as used in this paragraph, shall include a finding or verdict of guilt, an admission of guilt, or a plea of nolo contendere;
    7. Obtaining or attempting to obtain a license by fraud or material misrepresentation or making any other false statement to the board;
    8. Engaging in fraud or material deception in the delivery of professional services, including reimbursement, or in advertising services in a false or misleading manner;
    9. Evidence of gross negligence or gross incompetence in his or her practice of behavior analysis;
    10. Documentation of being declared mentally disabled by a court of competent jurisdiction and not thereafter having had his or her rights restored;
    11. Failing or refusing to obey any lawful order or administrative regulation of the board;
    12. Promoting for personal gain an unnecessary device, treatment, procedure, or service, or directing or requiring a patient to purchase a device, treatment, procedure, or service from a facility or business in which he or she has a financial interest; and
    13. Being impaired by reason of a mental, physical, or other condition that impedes his or her ability to practice competently.
  3. A private admonishment shall not be subject to disclosure to the public under KRS 61.878(1)(l). A private admonishment shall not constitute disciplinary action but may be used by the board for statistical purposes or in subsequent disciplinary action against the same licensee or applicant.

History. Enact. Acts 2010, ch. 150, § 11, effective July 15, 2010.

319C.120. Reinstatement of lapsed, suspended, or revoked license — Appeal to Franklin Circuit Court.

  1. The board may, within three (3) years, reinstate a license which has lapsed, upon payment of the prescribed renewal fee and, in addition, the payment of a reinstatement fee to be established by the board by administrative regulation.
  2. The board may reinstate a license which has been lapsed for more than three (3) years, upon showing that the applicant is certified and upon payment of a reinstatement fee.
  3. The board may reinstate a license which has been suspended or revoked under KRS 319C.110 if, after a hearing conducted in accordance with KRS Chapter 13B, the board determines that the applicant is able to practice his or her profession with reasonable competency and is able to maintain the ethical code and standards of practice promulgated by administrative regulation. As a condition of reinstatement, the board may impose reasonable restrictions under which the licensee shall practice.
  4. Any person aggrieved by a final order of the board denying, suspending, or revoking his or her license may appeal to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 2010, ch. 150, § 12, effective July 15, 2010.

319C.130. Disposition of fees collected and penalties assessed — Board’s power to employ personnel and purchase materials and supplies.

  1. All fees received by the board and collected under KRS 319C.060 and 319C.090 , the administrative regulations promulgated in accordance with KRS 319C.080 , and all penalties assessed in accordance with KRS 319C.110 or 319C.990 shall be deposited in the State Treasury and credited to a trust and agency fund to be used by the board in defraying the costs and expenses of the board’s administration of this chapter. Notwithstanding KRS 45.229 , no part of this fund shall revert to the general fund of the Commonwealth.
  2. The board may employ personnel and may purchase such materials and supplies as it may deem necessary for the proper discharge of its duties.

History. Enact. Acts 2010, ch. 150, § 13, effective July 15, 2010.

319C.140. Patient’s informed consent — Confidentiality of medical information — Administrative regulations governing telehealth services.

  1. A treating behavior analyst or assistant behavior analyst who provides or facilitates the use of telehealth, shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health-care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of applied behavior analysis and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2010, ch. 150, § 14, effective July 15, 2010.

319C.990. Fine for violation of KRS 319C.020(1).

Any person who violates KRS 319C.020(1) shall be fined not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) for each violation.

History. Enact. Acts 2010, ch. 150, § 15, effective July 15, 2010.

CHAPTER 320 Optometrists

320.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 1) was repealed by Acts 1954, ch. 183, § 21.

320.020. Prohibited practices. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 2) was repealed by Acts 1954, ch. 183, § 21.

320.030. Qualifications of applicant for license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 3) was repealed by Acts 1954, ch. 183, § 21.

320.040. Applications — Examinations — License certificates. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 4) was repealed by Acts 1954, ch. 183, § 21.

320.050. Fee for examination and license — Renewal of license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 5) was repealed by Acts 1954, ch. 183, § 21.

320.060. Validity of licenses under former law. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 23) was repealed by Acts 1954, ch. 183, § 21.

320.070. Registration of license with county clerk. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 6) was repealed by Acts 1954, ch. 183, § 21.

320.080. Grounds for suspension, revocation or refusal to issue license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 7) was repealed by Acts 1954, ch. 183, § 21.

320.090. Initiation of proceedings for suspension or revocation of license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 8) was repealed by Acts 1954, ch. 183, § 21.

320.100. Hearing — Determination of suspension, or revocation proceedings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 9) was repealed by Acts 1954, ch. 183, § 21.

320.110. Record of revocation or suspension. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 10) was repealed by Acts 1954, ch. 183, § 21.

320.120. Appeal from revocation order. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 11) was repealed by Acts 1954, ch. 183, § 21.

320.130. Reissuance of revoked license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 12) was repealed by Acts 1954, ch. 183, § 21.

320.140. Kentucky Board of Optometric Examiners — Appointment — Membership — Terms — Qualifications — Vacancies — Expenses — Salary of secretary-treasurer. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 13) was repealed by Acts 1954, ch. 183, § 21.

320.150. Officers of board — Meetings — Quorum — Record books. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 14) was repealed by Acts 1954, ch. 183, § 21.

320.160. Powers of board — Attorney — Rules and regulations — Annual report. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 15) was repealed by Acts 1954, ch. 183, § 21.

320.170. Practice under name of another prohibited — Exceptions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 16) was repealed by Acts 1954, ch. 183, § 21.

320.180. Agency fund for administration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 17) was repealed by Acts 1954, ch. 183, § 21.

320.190. Injunction against unauthorized practice — Denial of compensation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 86, § 18) was repealed by Acts 1954, ch. 183, § 21.

320.200. Declaration of legislative policy concerning practice of optometry.

The practice of optometry in the Commonwealth of Kentucky is hereby declared to affect the public health and safety and is subject to regulation and control in the public interest. Optometry is hereby declared to be a learned profession and it is further declared to be a matter of public interest and concern that the practice of optometry as defined in this chapter and the optometric profession merit and receive the confidence of the public and that only qualified persons be admitted to the practice of optometry and be permitted to so practice in the Commonwealth of Kentucky. This chapter shall be liberally construed to carry out these objects and purposes in accordance with this declaration of policy.

History. Enact. Acts 1954, ch. 183, § 1.

NOTES TO DECISIONS

1.Construction.

KRS 320.200 to 320.370 , providing for the regulation of the practice of optometry, and KRS 326.010 to 326.990 , providing for the regulation of the practice of ophthalmic dispensing, may be construed as dealing with the public health insofar as the human eye is concerned and, as such, are pari materia. Economy Optical Co. v. Kentucky Board of Optometric Examiners, 310 S.W.2d 783, 1958 Ky. LEXIS 408 ( Ky. 1958 ).

Cited:

Economy Optical Co. v. Kentucky Board of Optometric Examiners, 310 S.W.2d 783, 1958 Ky. LEXIS 408 ( Ky. 1958 ).

Research References and Practice Aids

Cross-References.

Administrative organization, KRS Chapter 12.

Administrative regulations, KRS Chapter 13A.

Communicable diseases, KRS Chapter 214.

Hospitals, KRS Chapter 216.

Legal notices, KRS Chapter 424.

Ophthalmic dispensers, KRS Chapter 326.

Vital statistics, KRS Chapter 213.

Workers’ compensation act, fees of physicians thereunder regulated, KRS 342.320 .

320.210. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Optometric Examiners;
  2. “Practice of optometry” means:
    1. The evaluation, diagnosis, prevention, or surgical, nonsurgical, or related treatment of diseases, disorders, or conditions of the eye and its appendages and their impact on the human body provided by an optometrist within the scope of his or her education, training, and experience and in accordance with this chapter, the ethics of the profession, and applicable law. The practice of optometry includes the examination, diagnosis, and treatment of the human eye and its appendages to correct and relieve ocular abnormalities and to determine eye health, the visual efficiency of the human eye, or the powers or defects of vision in any authorized manner, including but not limited to:
      1. Prescribing and adapting lenses, contact lenses, spectacles, eyeglasses, prisms, ocular devices, and all routes of administration of pharmaceutical agents, as authorized by KRS 320.240 ; or
      2. Employing vision therapy or orthoptics, low vision rehabilitation, and laser surgery procedures, excluding retina, LASIK, and PRK. The practice of optometry includes the correction and relief of ocular abnormalities by surgical procedures not excluded in paragraph (b) of this subsection;
    2. The following procedures are excluded from the scope of practice of optometry, except for the preoperative and postoperative care of these procedures:
      1. Retina laser procedures, LASIK, and PRK;
      2. Nonlaser surgery related to removal of the eye from a living human being;
      3. Nonlaser surgery requiring full thickness incision or excision of the cornea or sclera other than paracentesis in an emergency situation requiring immediate reduction of the pressure inside the eye;
      4. Penetrating keratoplasty (corneal transplant), or lamellar keratoplasty;
      5. Nonlaser surgery requiring incision of the iris and ciliary body, including iris diathermy or cryotherapy;
      6. Nonlaser surgery requiring incision of the vitreous;
      7. Nonlaser surgery requiring incision of the retina;
      8. Nonlaser surgical extraction of the crystalline lens;
      9. Nonlaser surgical intraocular implants;
      10. Incisional or excisional nonlaser surgery of the extraocular muscles;
      11. Nonlaser surgery of the eyelid for eyelid malignancies or for incisional cosmetic or mechanical repair of blepharochalasis, ptosis, and tarsorrhaphy;
      12. Nonlaser surgery of the bony orbit, including orbital implants;
      13. Incisional or excisional nonlaser surgery of the lacrimal system other than lacrimal probing or related procedures;
      14. Nonlaser surgery requiring full thickness conjunctivoplasty with graft or flap;
      15. Any nonlaser surgical procedure that does not provide for the correction and relief of ocular abnormalities;
      16. Laser or nonlaser injection into the posterior chamber of the eye to treat any macular or retinal disease; and
      17. The administration of general anesthesia;
    3. Any person shall be regarded as practicing optometry if he or she:
      1. Performs or advertises to perform optometric operations of any kind, including diagnosing or treating diseases of the eye or visual system or deficiencies of the eye and its appendages, or attempts to correct the vision thereof;
      2. Prescribes, provides, furnishes, adapts, uses, or employs lenses, prisms, contact lenses, visual therapy, orthoptics, ocular exercise, autofractometry, or any other means or device for the aid, relief, or correction of the human eye and its appendages, except upon the written prescription of a licensed optometrist; or
      3. Uses the words “optometrist,” “doctor of optometry,” the letters “O.D,” or other letters or title in connection with his or her name, which in any way represents him or her as being engaged in the practice of optometry; and
    4. Low vision rehabilitation;
  3. “Appendages” means the eyelids, the eyebrows, the conjunctiva, and the lacrimal apparatus;
  4. “Visual aid glasses” means eyeglasses, spectacles, or lenses designed or used to correct visual defects; provided, however, that nothing in the provisions of this chapter relating to the practice of optometry shall be construed to limit or restrict, in any respect, the sale of sunglasses designed and used solely to filter out light; and further provided that nothing in this chapter relating to the practice of optometry shall be construed to limit or restrict, in any respect, the sale of completely assembled eyeglasses or spectacles designed and used solely to magnify;
  5. “Orthoptic technician” means a person who trains and directs individuals to engage in ocular exercises designed to correct visual defects, and shall not be required to be licensed under the provisions of this chapter if such training and directions are done pursuant to and under the instructions of a duly-licensed physician, osteopath, or optometrist and consists solely of visual training, orthoptics, or ocular exercises; and
  6. “Low vision rehabilitation” means the evaluation, diagnosis, and management of the low vision patient, including but not limited to, prescription, low vision rehabilitation therapy, education, and interdisciplinary consultation when indicated. Any person who prescribes or provides comprehensive low vision care for the rehabilitation and treatment of the visually impaired or legally blind patient; prescribes corrective eyeglasses, contact lenses, prisms, or filters; employs any means for the adaptation of lenses, low vision devices, prisms, or filters; evaluates the need for, recommends, or prescribes optical, electronic, or other low vision devices; or recommends or provides low vision rehabilitation services independent of a clinical treatment plan prescribed by an optometrist, physician, or osteopath is engaged in the practice of optometry.

History. Enact. Acts 1954, ch. 183, § 2; 1978, ch. 179, § 1, effective June 17, 1978; 1986, ch. 12, § 1, effective July 15, 1986; 1996, ch. 376, § 1, effective July 15, 1996; 2000, ch. 361, § 1, effective July 14, 2000; 2011, ch. 1, § 1, effective June 8, 2011; 2016 ch. 135, § 7, effective April 27, 2016.

Legislative Research Commission Notes.

(6/8/2011). 2011 Ky. Acts ch. 1, sec. 4, provides that this section and KRS 320.240 shall be known and may be cited as the “Better Access to Quality Eye Care Act.”

NOTES TO DECISIONS

1.Practice of Optometry.

Providing and fitting of contact lenses without a license to practice optometry violates KRS 320.220 unless it is authorized by KRS 326.060 , which requires the licensed ophthalmic dispenser to fit contact lenses only under supervision of a physician, osteopath or optometrist. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

Where ophthalmic dispenser fitted contact lenses for which prescription was given by optometrist, but where such dispenser was not under supervision of the prescribing optometrist or other osteopath or physician as required by KRS 326.060 , the ophthalmic dispenser was engaged in the unlawful practice of optometry. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

Prescription by optometrist beforehand and inspection afterwards, after fitting of contact lenses by ophthalmic dispenser, did not under any reasonable definition of the word amount to “supervising” by physician, osteopath, or optometrist as required by KRS 326.060 , of the process of fitting contact lenses. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

320.220. Licensure requirement — Exemptions.

  1. No person shall practice optometry in this Commonwealth or hold himself or herself out as being able to do so unless he or she is the holder of a license duly issued to him or her by the board and registered in the manner provided by KRS 320.290 .
  2. A license to practice optometry shall not be required by physicians or osteopaths currently licensed to practice medicine or osteopathy at any place in the Commonwealth of Kentucky.
  3. Nothing in this chapter shall be construed to prohibit persons from fitting, adjusting, or dispensing visual aid glasses or other lenses or appurtenances if the fitting, adjusting, or dispensing is done upon the written prescription of a currently licensed optometrist, physician, or osteopath, nor shall this chapter be construed as requiring these persons to be licensed under this chapter.
  4. Nothing in this chapter or in the administrative regulations promulgated by the board pursuant to this chapter shall be interpreted to limit or restrict a licensed health care practitioner or provider from engaging in the full scope of practice authorized by the license for that person’s profession, training, or services.

History. Enact. Acts 1954, ch. 183, § 3; 2000, ch. 361, § 2, effective July 14, 2000; 2011, ch. 1, § 3, effective June 8, 2011.

NOTES TO DECISIONS

1.Practice of Optometry.

Providing and fitting of contact lenses without a license to practice optometry violates this section unless it is authorized by KRS 326.060 , which requires the licensed ophthalmic dispenser to fit contact lenses only under supervision of a physician, osteopath or optometrist. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

2.Corporation.

A corporation, opening an office and announcing a readiness to render the services of an optometrist, was practicing optometry, even though the optometrist in charge had exclusive control of the department and his professional judgments and acts were not interfered with. Kendall v. Beiling, 295 Ky. 782 , 175 S.W.2d 489, 1943 Ky. LEXIS 337 ( Ky. 1943 ) (decided under prior law).

320.230. Kentucky Board of Optometric Examiners — Appointment — Qualifications — Vacancies — Quorum — Compensation.

  1. The Kentucky Board of Optometric Examiners shall consist of five (5) members appointed by the Governor. Four (4) members shall be Kentucky licensed practicing optometrists whose licenses are in good standing and who are appointed by the Governor from a list containing three (3) names for each appointment recommended by the Kentucky Optometric Association. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. The members shall serve for a term of four (4) years and until their successors are appointed and qualified. They shall receive per diem compensation to be determined by administrative regulations promulgated by the board, not to exceed one hundred twenty-five dollars ($125) per day for attending board meetings. Members shall be reimbursed for actual expenses incurred in the performance of their duties under this chapter.
  2. Each optometrist member shall be a Kentucky licensed practicing optometrist in good standing for not less than five (5) years immediately preceding his or her appointment to the board. The member shall not be in any way connected with or interested in any optometric school, college, or institution of learning or optometric supply business.
  3. Any vacancy occurring on the board as the result of a member not completing the term for which he or she was appointed shall be filled, for the unexpired term, in the same manner as is provided in subsection (1) of this section for the appointment of members.
  4. A majority of the members of the board shall constitute a quorum for the transaction of business.

History. Enact. Acts 1954, ch. 183, § 4; 1966, ch. 255, § 250; 1976, ch. 206, § 14; 1978, ch. 154, § 34, effective June 17, 1978; 1990, ch. 256, § 7, effective July 13, 1990; 2000, ch. 361, § 3, effective July 14, 2000.

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

320.240. Board’s meetings, officers, powers, and duties — Licensure and classification of optometrists — Board to have sole authority over practice of optometry — Authorization to administer and prescribe pharmaceutical agents and certain oral medications.

  1. The board shall meet at least once each year, at which time it shall choose from among its members the president, vice president, and secretary-treasurer. In addition, the board, upon call of its officers, may hold meetings at any time as it deems necessary. A full record of the board’s proceedings shall be kept in the office of the board and shall be open to inspection at all reasonable times.
  2. The board shall keep a register containing the name, address, and license number of every person licensed to practice optometry in this state.
  3. The Attorney General shall render to the board legal services as it may require in carrying out and enforcing the provisions of this chapter.
  4. Subject to and consistent with the provisions of this chapter, the board shall promulgate reasonable administrative regulations and do any and all things that it may deem necessary or proper for the effective enforcement of this chapter and for the full and efficient performance of its duties hereunder and the reasonable regulation of the profession of optometry and the practice thereof by licensed optometrists. The administrative regulations shall include the classification and licensure of optometrists by examination or credentials, retirement of a license, and reinstatement of a license.
  5. An optometrist shall not administer drugs, prescribe drugs, or perform laser or nonlaser surgery procedures until he or she is licensed by the board. Any therapeutically licensed optometrist authorized to practice under this section shall meet the educational and competence criteria set forth by the board in order to perform expanded therapeutic procedures. Evidence of proof of continuing competency shall be determined by the board.
  6. Nothing in this chapter shall be construed as allowing any agency, board, or other entity of this state other than the Kentucky Board of Optometric Examiners to determine what constitutes the practice of optometry.
  7. The board shall have the sole authority to determine what constitutes the practice of optometry and sole jurisdiction to exercise any other powers and duties under this chapter. The board may issue advisory opinions and declaratory rulings related to this chapter and the administrative regulations promulgated under this chapter.
  8. The board shall have:
    1. A common seal;
    2. The right to determine what acts on the part of any person licensed as an optometrist in this state shall constitute unprofessional conduct under this chapter; and
    3. Other powers and duties as authorized by this chapter.
  9. The board may administer oaths and require the attendance of witnesses, the production of books, records, and papers pertinent to any matters coming before the board by the issuance of process that shall be served and returned in the same manner as in civil actions and for the disobedience of which the board shall have the power to invoke the same rights as are provided for disobedience of a subpoena or subpoena duces tecum in a civil action.
  10. The board may assist in the prosecution of any violation of this chapter and in the enforcement of any of the provisions of this chapter.
  11. The board shall report its proceedings to the Governor on or about January 1 of each year, including an accounting of all moneys received and disbursed.
  12. The board may permit persons engaging in the practice of optometry under the provisions of this chapter to administer diagnostic pharmaceutical agents limited to miotics for emergency use only, mydriatics, cycloplegics, and anesthetics applied topically only, but excluding any drug classified as a controlled substance pursuant to KRS Chapter 218A. These pharmaceutical agents shall be applied in diagnostic procedures only as part of an eye examination. The application of the diagnostic pharmaceutical agents shall be limited to those persons who have sufficient education and professional competence as determined by the board and who have earned transcript credits of at least six (6) semester hours in a course or courses in general and ocular pharmacology, with particular emphasis on diagnostic pharmaceutical agents applied topically to the eye, from a college or university accredited by a regional or professional accreditation organization which is recognized or approved by the council on postsecondary accreditation or by the United States Department of Education.
  13. The board may authorize only those persons who have qualified for use of diagnostic pharmaceutical agents as set out in subsection (12) of this section to utilize and prescribe therapeutic pharmaceutical agents in the examination or treatment of any condition of the eye or its appendages. Any therapeutically certified optometrist licensed under the provisions of this subsection shall be authorized to prescribe oral medications, except any controlled substances classified in Schedule I and any controlled substances classified in Schedule II other than hydrocodone combination products as defined in KRS 218A.010 , for any condition which an optometrist is authorized to treat under the provisions of this chapter. The use of injections for other than treatment of the human eye and its appendages shall be limited to the administration of benadryl, epinephrine, or equivalent medication to counteract anaphylaxis or anaphylactic reaction. In a public health emergency, the commissioner of health may authorize therapeutically licensed optometrists to administer inoculation for systemic health reasons. The authority to prescribe a Schedule II hydrocodone combination product as defined in KRS 218A.010 and a Schedule III, IV, or V controlled substance shall be limited to prescriptions for a quantity sufficient to provide treatment for up to seventy-two (72) hours. No refills of prescriptions for controlled substances shall be allowed. The utilization or prescribing of therapeutic pharmaceutical agents shall be limited to those persons who have sufficient education and professional competence as determined by the board and who have earned transcript credits of at least six (6) semester hours in a course or courses in general and ocular pathology and therapy, with particular emphasis on utilization of therapeutic pharmaceutical agents from a college or university accredited by a regional or professional accreditation organization which is recognized or approved by the council on postsecondary accreditation or by the United States Department of Education. These six (6) semester hours are in addition to the six (6) semester hours required by subsection (12) of this section, making a total of twelve (12) semester hours.
  14. Any optometrist authorized by the board to utilize diagnostic pharmaceutical agents shall be permitted to purchase for use in the practice of optometry diagnostic pharmaceutical agents limited to miotics for emergency use only, mydriatics, cycloplegics, and anesthetics. Any optometrist authorized by the board to utilize therapeutic pharmaceutical agents shall be permitted to prescribe in the practice of optometry therapeutic pharmaceutical agents. Optometrists so authorized by the board to purchase pharmaceutical agents shall obtain them from licensed drug suppliers or pharmacists on written orders placed in the same or similar manner as any physician or other practitioner authorized by KRS Chapter 217. Purchases shall be limited to those pharmaceutical agents specified in this subsection and in subsection (12) of this section, based upon the authority conferred upon the optometrist by the board consistent with the educational qualifications of the optometrist as set out herein.

History. Enact. Acts 1954, ch. 183, § 5; 1978, ch. 179, § 2, effective June 17, 1978; 1986, ch. 12, § 2, effective July 15, 1986; 1990, ch. 256, § 8, effective July 13, 1990; 1996, ch. 376, § 2, effective July 15, 1996; 2000, ch. 361, § 4, effective July 14, 2000; 2011, ch. 1, § 2, effective June 8, 2011; 2016 ch. 135, § 8, effective April 27, 2016.

Legislative Research Commission Notes.

(6/8/2011). 2011 Ky. Acts ch. 1, sec. 4, provides that this section and KRS 320.210 shall be known and may be cited as the “Better Access to Quality Eye Care Act.”

Opinions of Attorney General.

Subsection (3) of this section does not prohibit the Board of Optometric Examiners from employing an attorney of its own, but merely reiterates the duty of the Attorney General under KRS 15.020 to render legal services to any state board or commission. OAG 69-696 .

The Board of Optometric Examiners may, with the concurrence of the Departments of Personnel and Finance (now Finance and Administration Cabinet) and with the approval of the Governor, employ an attorney to fill the position of attorney for the Board. OAG 69-696 .

Any optometrist whom the Board of Optometric Examiners has certified under subsections (13) and (14) of this section to use topical therapeutic pharmaceutical agents may collect specimens from the eye and use the analysis of a medical laboratory in the treatment of their patient. OAG 88-70 .

320.242. Immunity from liability of board members and employees.

There shall be no monetary liability on the part of, and no cause of action for damages shall arise against, any current or former member, officer, administrator, agent, or employee of the board, either as a part of the board’s operation or as an individual, as the result of any act, omission, proceeding, conduct, or decision relating to official duties undertaken or performed within the scope of the function of the board, except where actual malice or willful misconduct is shown. A person bringing an action under this section shall prove its elements by clear and convincing evidence.

History. Enact. Acts 1990, ch. 256, § 5, effective July 13, 1990.

320.250. Eligibility for license — Examinations — Applications for license.

  1. Licenses to engage in the practice of optometry shall be issued only to those who qualify under the provisions of KRS 320.260 or 320.270 , or who successfully pass examinations conducted or approved by the board at a time and place fixed by the board. Each license certificate shall be signed by the president and secretary-treasurer and authenticated by the seal of the board.
  2. The examinations may consist of written, clinical, or practical examinations and shall relate to the skills needed for the practice of optometry in this Commonwealth at the time of the examination and shall seek to determine the applicant’s preparedness to exercise these skills. The examining board may:
    1. Prepare, administer, and grade the examination;
    2. Accept the scores of the applicant from an examination prepared, administered, and graded by the National Board of Examiners in Optometry or any other organization approved by the board as qualified to administer the examination; and
    3. Require passage of an examination on Kentucky optometric law.
  3. Any person seeking a license to practice optometry under the provisions of this section shall submit an application to the board on forms furnished by the board. The applicant shall show proof of the following:
    1. The applicant is not less than eighteen (18) years of age and is of good moral character;
    2. The applicant is a graduate of a school or college of optometry that is accredited by a regional or professional accreditation organization that is recognized or approved by the council on postsecondary accreditation, or by the United States Department of Education, and is in good standing, as approved by the board. All applicants shall have transcript credit of at least six (6) semester hours in a course or courses from a school or college as described in this subsection in general and ocular pharmacology with particular emphasis on diagnostic pharmaceutical agents applied topically to the eye and six (6) semester hours in ocular pathology and therapy with emphasis on utilization of therapeutic pharmaceutical agents. All hours shall be from a school or college as described in this subsection;
    3. All other information requested by the board as is set out on the application.
  4. The nonrefundable fee for each license application shall not exceed six hundred dollars ($600).
  5. No application shall be considered by the board after one (1) year from the date in which the board received the application has lapsed. After the lapse of the one (1) year period, an applicant shall submit a new application and another nonrefundable fee for further consideration by the board.

HISTORY: Enact. Acts 1954, ch. 183, § 6; 1970, ch. 120, § 12; 1982, ch. 337, § 1, effective July 15, 1982; 1990, ch. 256, § 9, effective July 13, 1990; 1990, ch. 443, § 24, effective July 13, 1990; 2000, ch. 361, § 5, effective July 14, 2000; 2015 ch. 113, § 19, effective June 24, 2015.

320.255. Inactive status for license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 256, § 6, effective July 13, 1990) was repealed by Acts 2000, ch. 361, § 18, effective July 14, 2000.

320.260. Holder of existing license exempt from examination.

Any person, who, on June 17, 1954, was the holder of a valid, unrevoked license to practice optometry issued to him under the laws of this state, shall not be required to take an examination under this chapter, but shall secure an annual renewal of his license, and in every other respect shall be subject to this chapter.

History. Enact. Acts 1954, ch. 183, § 7.

320.270. Licensing by endorsement of persons from other states.

The board may license by endorsement an optometrist who holds a valid license that was obtained by examination from another state or territory of the United States if the applicant for licensure by endorsement:

  1. Has engaged in the active practice of optometry for at least five (5) years immediately preceding his or her application for licensure;
  2. Has not committed any act that would constitute a violation of this chapter and the administrative regulations promulgated under this chapter and is not the subject of any pending or unresolved board action or malpractice suit in this or any other state or territory;
  3. Meets all of the qualifications for regular state licensure as set forth by the board; and
  4. Has completed and submitted an application for licensure by endorsement to the board, submitted a nonrefundable fee to be determined by the board in administrative regulations of no more than seven hundred dollars ($700), and has authorized any state in which the applicant is licensed to submit information to the board indicating whether or not the applicant is in good standing with the respective state’s licensing board.

History. Enact. Acts 1954, ch. 183, § 8; 1982, ch. 337, § 2, effective July 15, 1982; 1990, ch. 256, § 10, effective July 13, 1990; 2000, ch. 361, § 6, effective July 14, 2000.

320.280. Renewal certificates — Administrative regulations.

  1. All optometrists desiring to continue practice shall annually, prior to March 1, secure from the secretary-treasurer of the board a renewal certificate upon the payment of a fee which shall be established by administrative regulation promulgated by the board. Not later than February 15 of each year, the board shall notify by mail all optometrists of the renewal date and fee. Application for a renewal shall be upon a form prescribed by the board and the optometrist shall furnish the information required by the form.
  2. As a prerequisite for license renewal, all optometrists now or hereafter licensed in the Commonwealth of Kentucky are and shall be required to take annual courses of study in subjects relating to the practice of optometry to the end that the utilization and application of new techniques, scientific and clinical advances, and the achievement of research will assure expansive and comprehensive care to the public. The length and content of study shall be prescribed by the board but shall not exceed eight (8) hours in any calendar year, with the exception of those optometrists who are authorized to prescribe therapeutic agents who shall be required to have additional credit hours of continuing education in ocular therapy and pharmacology, the amount of required credit hours to be determined by the board, but not to exceed an additional seventeen (17) credit hours, for a total not to exceed twenty-five (25) credit hours per year. Attendance shall be at a course or by a sponsor approved by the board. Attendance at any course or courses of study is to be certified to the board upon a form provided by the board and shall be submitted by each licensed optometrist at the time he makes application to the board for the renewal of his license and payment of his renewal fee. The board may waive the continuing education requirement in cases of illness or undue hardship.
  3. Failure of any optometrist to secure his renewal certificate within sixty (60) days after March 1, shall constitute sufficient cause for the board to revoke his license.

HISTORY: Enact. Acts 1954, ch. 183, § 9; 1958, ch. 133; 1974, ch. 37, § 1; 1978, ch. 313, § 5, effective June 17, 1978; 1986, ch. 12, § 3, effective July 15, 1986; 1990, ch. 256, § 11, effective July 13, 1990; 1990, ch. 443, § 11, effective June 13, 1990; 2000, ch. 361, § 7, effective July 14, 2000; 2001, ch. 61, § 12, effective June 21, 2001; 2015 ch. 113, § 20, effective June 24, 2015; 2017 ch. 20, § 1, effective June 29, 2017.

Opinions of Attorney General.

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 .

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

320.290. Display of licenses.

Every practicing optometrist shall display in a conspicuous place at the entrance to his office the true full name of the person practicing therein and shall keep his license certificate conspicuously displayed in his place of practice so that it can easily be seen and read.

History. Enact. Acts 1954, ch. 183, § 10; 1978, ch. 84, § 10, effective June 17, 1978; 1990, ch. 256, § 12, effective July 13, 1990; 2000, ch. 361, § 8, effective July 14, 2000.

Opinions of Attorney General.

Renewed, as well as original, professional licenses must be registered with the county clerk. OAG 83-73 .

320.295. Prohibition against false, misleading, or deceptive advertising.

No optometrist shall engage in advertising of any form that is false, misleading, or deceptive.

History. Enact. Acts 1990, ch. 256, § 4, effective July 13, 1990; 2000, ch. 361, § 9, effective July 14, 2000.

320.300. Unlawful practices.

It shall be unlawful and a violation of the provisions of this chapter for any person:

  1. To sell, fit, or dispense visual aids except upon the written prescription of an optometrist, physician, or osteopath regularly licensed to practice optometry, medicine, or osteopathy;
  2. To practice optometry, directly or indirectly, or to hold oneself out as being able so to do without first having obtained a license from the board;
  3. Who writes a prescription for visual aid glasses, to receive any part of the price paid to a third person for filling the prescription or for the third person to pay to the person writing the prescription any part of the price paid for filling the prescription;
  4. To practice optometry under any name other than his own, except as permitted by the board in its regulations.

History. Enact. Acts 1954, ch. 183, § 11; 1990, ch. 256, § 13, effective July 13, 1990; 2000, ch. 361, § 10, effective July 14, 2000.

NOTES TO DECISIONS

1.Constitutionality.

Former subsection (3) of this section which prohibited the advertising of the cost or price of visual aid glasses was valid as a reasonable and proper exercise of the police power in the interest of public health. Economy Optical Co. v. Kentucky Board of Optometric Examiners, 310 S.W.2d 783, 1958 Ky. LEXIS 408 ( Ky. 1958 ).

2.Any Person Construed.

The phrase “any person” in this section is not restrictive and includes the conduct of all persons advertising the cost or sale price of visual aid glasses, regardless of whether the person is an optometrist, ophthalmic dispenser, or whatever his occupation or profession, if any, may be. Economy Optical Co. v. Kentucky Board of Optometric Examiners, 310 S.W.2d 783, 1958 Ky. LEXIS 408 ( Ky. 1958 ).

3.Practice of Optometry.

Where ophthalmic dispenser fitted contact lenses for which prescription was given by optometrist, but where such dispenser was not under supervision of the prescribing optometrist or other osteopath or physician as required by KRS 326.060 , the ophthalmic dispenser was engaged in the unlawful practice of optometry. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

Prescription by optometrist beforehand and inspection afterwards, after fitting of contact lenses by ophthalmic dispenser, did not under any reasonable definition of the word amount to “supervising” by physician, osteopath, or optometrist as required by KRS 326.060 , of the process of fitting contact lenses. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

Cited:

Gambrel v. Kentucky Bd. of Dentistry, 689 F.2d 612, 1982 U.S. App. LEXIS 25348 (6th Cir. 1982), cert. denied, 459 U.S. 1208, 103 S. Ct. 1198, 75 L. Ed. 2d 441, 1983 U.S. LEXIS 3430 (1983); Landis v. Pinnacle Eye Care, LLC, — F. Supp. 2d —, 2007 U.S. Dist. LEXIS 66118 (W.D. Ky. 2007 ).

Opinions of Attorney General.

An advertisement which indicates that the optical company which placed it is engaging in the practice of writing prescriptions for their customers, basing same either upon a testing of the customer’s eyesight or upon analysis of the makeup of the lens of the customer’s present eyeglasses is in violation of subsection (1) of this section and is clearly illegal. OAG 61-709 .

The use of the words “our usual sensible prices” in the ad in question constitutes a reference to the price of visual aid glasses which the statute was designed to prevent, while the words “easy budget terms” are clearly prohibited by the statute as constituting an advertisement of the terms of credit for payment for visual aid glasses. OAG 62-382 .

Where an ad stated that “special consideration” was shown to union members but did not say that glasses were offered at a discount, the ad did not violate this section. OAG 64-435 .

Research References and Practice Aids

Cross-References.

Advertising or soliciting by practitioner of healing arts, criminal penalties and exceptions, KRS 438.065 .

320.310. Causes for refusal, limitation, revocation, or suspension of licenses — Restitution or fines — Branch offices — Expungement.

  1. The board may refuse to issue, refuse to renew, limit or restrict, revoke, or suspend a license, may place on probation, or reprimand a licensee, may order restitution, may impose a fine not to exceed one thousand dollars ($1,000) for each violation of this chapter or the corresponding administrative regulations, or may impose any combination of these penalties if it finds that an applicant or a licensee has:
    1. Engaged in any practice of fraud or deceit in obtaining or attempting to obtain a license;
    2. Been convicted of any felony or has been convicted of a misdemeanor involving sexual misconduct, if in accordance with KRS Chapter 335B. A record of the conviction or a certified copy of the record shall be conclusive evidence of the conviction;
    3. Chronic or persistent inebriety or addiction to a drug habit to an extent that continued practice is dangerous to patients or to the public safety;
    4. Been granted a license upon a mistake of material fact;
    5. Engaged in incompetence, as determined by the board;
    6. Practiced as an itinerant, peddled from door to door, established a temporary office, or practiced optometry outside of or away from his or her regular office or place of practice, except that the board may promulgate administrative regulations to authorize the practice of optometry outside of the licensee’s regular office for a charitable purpose as defined by the board;
    7. Employed, procured, induced, aided, or abetted any person, not holding a Kentucky license, to practice optometry or in practicing optometry;
    8. Used the title “doctor” or its abbreviation without further qualifying this title or abbreviation with the word “optometrist” or suitable words or letters designating an optometry degree;
    9. Engaged in any conduct likely to deceive or defraud the public;
    10. Violated any order issued by the board;
    11. Had his or her license to practice optometry in any other jurisdiction revoked, suspended, limited, placed on conditions of probation, or subjected to any other disciplinary action by that jurisdiction’s licensing authority;
    12. Prescribed any therapeutic agent in an amount that the optometrist knows, or should know, is excessive under accepted and prevailing standards, or which the optometrist knows, or has reason to know, will be used or is likely to be used other than for an accepted therapeutic purpose;
    13. Developed a physical or mental disability, or other condition, which renders the continued practice by the optometrist dangerous to patients or the public;
    14. Violated any statute under this chapter or administrative regulation promulgated under those statutes;
    15. Violated KRS 304.39-215 ; or
    16. Engaged in conduct that is subject to the penalties KRS 304.99-060 (4) or (5).
  2. Nothing in this section shall prevent an optometrist from establishing branch offices if each office contains minimum equipment as required by administrative regulation of the board, ensures patient care as necessary, and has a Kentucky licensed optometrist in charge of the office.
  3. Any licensee, permit holder, or certificate holder who is disciplined under this chapter for a minor violation may request in writing that the board expunge the minor violation from the licensee’s, permit holder’s, or certificate holder’s permanent record.
    1. The request for expungement may be filed no sooner than three (3) years after the date on which the licensee, permit holder, or certificate holder has completed disciplinary sanctions imposed and if the licensee, permit holder, or certificate holder has not been disciplined for any subsequent violation of the same nature within this period of time.
    2. No person may have his or her record expunged under this chapter more than once.

The board shall promulgate administrative regulations under KRS Chapter 13A to establish violations which are minor violations under this subsection. A violation shall be deemed a minor violation if it does not demonstrate a serious inability to practice the profession; adversely affect the public health, safety or welfare; or result in economic or physical harm to a person, or create a significant threat of such harm.

History. Enact. Acts 1954, ch. 183, § 12; 1990, ch. 256, § 14, effective July 13, 1990; 2000, ch. 361, § 11, effective July 14, 2000; 2002, ch. 335, § 2, effective July 15, 2002; 2009, ch. 5, § 1, effective March 11, 2009; 2017 ch. 158, § 68, effective June 29, 2017; 2019 ch. 143, § 18, effective June 27, 2019.

Legislative Research Commission Note.

(7/15/2002). A manifest clerical or typographical error has been corrected in codification in subsection (3)(a) of this statute as amended by 2002 Ky. Acts ch. 335, sec. 2, under the authority of KRS 7.136(1)(h), by removing the duplicated words “completed disciplinary sanctions imposed and if the licensee, permit holder, or certificate holder has.”

NOTES TO DECISIONS

1.Generally.

An optometrist, acting as an agent of a corporation by being in exclusive control of its optometry department, was subject to the revocation of his license for aiding and abetting the corporation to practice optometry without a license, even though his professional judgment and acts were not interfered with. Kendall v. Beiling, 295 Ky. 782 , 175 S.W.2d 489, 1943 Ky. LEXIS 337 ( Ky. 1943 ) (decided under prior law).

Opinions of Attorney General.

Whenever a license is “surrendered” and, by such action, intended to be nullified and rendered inactive, the Board should make the nullification official by entering an order of revocation. OAG 63-12 .

The advertising prohibitions that were contained in former subdivisions (1)(m) and (1)(t) of this section were unconstitutional and violative of the first amendment because there was nothing inherently false, misleading, or deceptive about the prohibited activities (Opinion prior to 1990 amendment). OAG 84-129 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

320.312. Physical or mental examination of an optometrist — Limited license.

  1. When the board has reason to believe, based upon its own information or a complaint or inquiry directed to the board, that an optometrist is suffering from a physical or mental condition that might impede his ability to practice competently, the board may order the optometrist to undergo a physical or mental examination by persons designated by the board, at the expense of the optometrist.
  2. Failure of an optometrist to submit to an examination when directed shall constitute an admission that the concerned optometrist has developed a physical or mental disability, or other conditions, that continued practice is dangerous to patients or to the public and the board may act accordingly pursuant to KRS 320.310 .
  3. The board may limit the optometrist’s license privileges pursuant to this section in addition to the other alternatives set forth in KRS 320.310 .
  4. An optometrist whose license has been suspended, limited, or revoked under this section shall, at reasonable intervals, be afforded an opportunity to demonstrate that he is able to resume the competent practice of optometry with reasonable skill and safety to patients.

History. Enact. Acts 1990, ch. 256, § 3, effective July 13, 1990; 2000, ch. 361, § 12, effective July 14, 2000.

320.320. Proceedings for revocation or suspension of licenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 183, § 13) was repealed by Acts 1990, ch. 256, § 15, effective July 13, 1990.

320.321. Grievances — Disciplinary proceedings.

  1. Grievances may be submitted by an individual, organization, or entity, including the board based upon information within the board’s knowledge. The board may investigate any licensee or unlicensed individual or entity engaged in the practice of optometry suspected of conduct which would be grounds for disciplinary or court action and may hire or appoint persons who are knowledgeable in the practice of optometry to investigate on its behalf. The board shall have the power to issue investigatory subpoenas for the appearance before the board of any person within the jurisdiction of the Commonwealth of Kentucky and to require production of any record, document, or other item. The board may seek enforcement of investigatory subpoenas in the courts of the Commonwealth as may be necessary. A copy of the grievance shall be mailed to the licensee or unlicensed individual or entity engaged in the practice of optometry at the last address that the board has on record or has been able to determine. If the licensee or unlicensed individual or entity engaged in the practice of optometry chooses to respond to the grievance, he or she shall submit a response within ten (10) days after the date on which the grievance was mailed.
  2. Notwithstanding any other provision of law, the board may initiate disciplinary proceedings or court actions based upon information within its knowledge or received from other persons. A majority of the board members may direct the issuance of a complaint; in these instances, the board shall prepare a written complaint, in accordance with KRS Chapter 13B, that shall be signed by the chairman of the board and shall contain sufficient information to apprise the named optometrist or unlicensed individual or entity engaged in the practice of optometry of the nature of the charges. A copy of the complaint shall be delivered to the charged optometrist or unlicensed individual or entity engaged in the practice of optometry by personal delivery or sent by certified mail to the optometrist’s last address that the board has on record or to a site found for an unlicensed individual or entity engaged in the practice of optometry. The optometrist or unlicensed individual or entity engaged in the practice of optometry shall file a response within twenty (20) days after the complaint was sent or personally served upon the optometrist or unlicensed individual or entity engaged in the practice of optometry. Failure to submit a timely response or avoidance of service may be taken by the board or the court as an admission of the charges contained in the complaint. The board may then review the grievance, information obtained by the board, and the optometrist’s response or the response of the unlicensed individual or entity engaged in the practice of optometry, and dismiss the grievance, issue a complaint and notice of hearing, investigate further, or bring an action in a court of competent jurisdiction to enforce the provisions of this chapter.
  3. The hearing shall be conducted in accordance with KRS Chapter 13B.
  4. The board may impose discipline upon the licensee under KRS 320.310 if the board finds a violation of this chapter or administrative regulations promulgated under this chapter, after a hearing.
  5. All costs of the proceeding may be assessed against the charged optometrist or unlicensed individual or entity engaged in the practice of optometry if a finding of guilt is made by the board or by the court.

History. Enact. Acts 1990, ch. 256, § 1, effective July 13, 1990; 1996, ch. 318, § 280, effective July 15, 1996; 2000, ch. 361, § 13, effective July 14, 2000; 2003, ch. 25, § 1, effective June 24, 2003.

320.330. Appeal from order revoking license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 183, § 14) was repealed by Acts 1990, ch. 256, § 15, effective July 13, 1990.

320.331. Appeal to Circuit Court.

An optometrist who, by final order of the board has been subjected to any disciplinary action may file an appeal. The action on appeal shall be filed with the Circuit Court of the county in which the violation occurred in accordance with KRS Chapter 13B. The commencement of proceedings under this section shall not operate as a stay on the board’s order, unless specifically ordered otherwise by the court.

History. Enact. Acts 1990, ch. 256, § 2, effective July 13, 1990; 1996, ch. 318, § 281, effective July 15, 1996; 2000, ch. 361, § 14, effective July 14, 2000.

320.340. Reissuance of revoked license.

Upon application the board may reissue a license to practice optometry that has been revoked. No such application shall be made prior to one (1) year after revocation. The board may prescribe the manner and form of application.

History. Enact. Acts 1954, ch. 183, § 15.

Opinions of Attorney General.

Where a former licensee surrendered his license voluntarily, the Board could reissue the license if in its discretion it chose to do so, but it could not be compelled to do so. OAG 63-12 .

Where the Board determines that a former licensee must take an examination to qualify for a new license, then the applicant must take the examination. OAG 63-12 .

320.350. Places where optometry not to be practiced.

No person shall practice optometry on premises not separate from premises whereon eyeglasses, lenses, eyeglass frames or any other merchandise or products are sold by any other person. For the purposes of this section, any room or suite of rooms in which optometry is practiced shall be considered separate premises if it has a separate and direct entrance from a street or public hallway or corridor within a building, which corridor is partitioned off by partitions from floor to ceiling.

History. Enact. Acts 1954, ch. 183, § 16.

320.360. Agency fund for administration.

All fees imposed and collected under the provisions of this chapter shall be paid to the board for the use of the board, and shall be deposited in the State Treasury to the credit of an agency fund for the use of the board. The board may make such expenditures from the fund as may, in the opinion of the board, serve to further the purposes of this chapter, including payment for professional services.

History. Enact. Acts 1954, ch. 183, § 17; 1958, ch. 134; 2000, ch. 361, § 15, effective July 14, 2000.

Opinions of Attorney General.

The Board of Optometric Examiners may, with the concurrence of the Departments of Personnel and Finance (now Finance and Administration Cabinet), and with the approval of the Governor, employ an attorney to fill the position of attorney for the Board. OAG 69-696 .

320.370. Injunctions.

The board may institute in its own name an action to enjoin, temporarily or permanently, a violation of any of the provisions of this chapter, or a violation of any rule or regulation promulgated pursuant to this chapter.

History. Enact. Acts 1954, ch. 183, § 18.

320.372. Injunction to restrain practice of optometry — Petition by board.

  1. The board may institute, in its own name, proceedings to temporarily or permanently restrain and enjoin the practice of optometry by the following:
    1. An individual who is not licensed to practice optometry pursuant to this chapter, or who is involved in conduct not specifically exempted from the requirements of this chapter by KRS 320.220 ; or
    2. An individual who was previously licensed by the board to practice optometry but is currently practicing optometry in violation of this chapter, regardless of whether the respondent has been convicted of violating the penal provisions thereof.
  2. A petition for injunction filed under subsection (1) of this section may be filed in Franklin Circuit Court, and the board shall not be required to pay any costs or filing fees or furnish any bond in connection therewith.
    1. In the petition, it shall be sufficient to charge that the respondent on a day certain in a named county engaged in the practice of optometry in violation of this chapter. No showing of damage or injury shall be required.
    2. Issuance of an injunction shall enjoin any act specified under this chapter and shall remain in place as long as necessary to prevent the unlawful practice of optometry.
    3. Issuance of an injunction shall not relieve the respondent from being subject to any other proceeding under law provided by this chapter or otherwise.
    4. Violation of an injunction or restraining order shall be punished as a contempt without the intervention of a jury.

History. Enact. Acts 2003, ch. 25, § 2, effective June 24, 2003.

320.380. Optometrist qualified as competent witness in optometry.

  1. The testimony of an optometrist duly licensed under the laws of the Commonwealth of Kentucky shall be received by any official, board, commission or other agency of the Commonwealth or any of its subdivisions or municipalities as qualified evidence with respect to any matter defined in the law as constituting the practice of optometry.
  2. Every such official, board, commission or other agency shall accept the services of duly licensed optometrists without discrimination between optometrists and any other persons authorized by law to render the same professional services, when such services are desired, and shall pay for such services in the same manner as other professions may be paid for the same services.

History. Enact. Acts 1960, ch. 202.

320.390. Duty of treating optometrist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth.”

  1. A treating optometrist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of optometric services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 18, effective July 14, 2000.

320.400. Statutory construction.

Nothing in this chapter shall interfere with the professional activities of any optometrist licensed by the Kentucky Board of Optometric Examiners, or prevent him from keeping any pharmaceutical agent that he may need and is authorized to use in his practice.

History. Enact. Acts 1978, ch. 179, § 3, effective June 17, 1978.

320.410. Fitting and dispensing ocular devices containing or delivering pharmaceutical agents.

  1. Ocular devices approved by the federal Food and Drug Administration as a drug, including but not limited to contact lenses, that contain and deliver pharmaceutical agents pursuant to a prescription from a physician or osteopath licensed under KRS Chapter 311 or a licensed optometrist as authorized in KRS 320.240 shall be fitted by an ophthalmologist licensed under KRS Chapter 311 or an optometrist licensed under this chapter.
  2. Ocular devices containing or delivering pharmaceutical agents may be dispensed by a licensed optometrist as authorized in KRS 320.240 or an ophthalmologist licensed under KRS Chapter 311.
  3. Nothing in this section shall be construed to:
    1. Expand the prescriptive authority of an optometrist licensed under this chapter; or
    2. Prohibit, limit, or restrict a pharmacist licensed under KRS Chapter 315 from dispensing a prescription for an ocular device that contains a pharmaceutical agent.

History. Enact. Acts 2008, ch. 99, § 6, effective July 15, 2008.

320.990. Penalties.

Any person who violates any of the provisions of this chapter shall be guilty of a Class A misdemeanor and shall pay a fine not to exceed five thousand dollars ($5,000) per violation.

History. Enact. Acts 1950, ch. 86, § 19; 1954, ch. 183, § 21; 2000, ch. 361, § 16, effective July 14, 2000; 2003, ch. 25, § 3, effective June 24, 2003.

Compiler’s Notes.

A former section KRS 320.990 (Enact. Acts 1950, ch. 86, § 19) was repealed by Acts 1954, ch. 183, § 21.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

CHAPTER 321 Veterinarians

321.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (63b-14) was repealed by Acts 1948, ch. 181, § 28.

321.020. Practice without license and registration prohibited. [Repealed.]

Compiler’s Notes.

This section (63b-10, 63b-11) was repealed by Acts 1948, ch. 181, § 28.

321.030. Persons exempt from KRS 321.020. [Repealed.]

Compiler’s Notes.

This section (63b-14, 63b-15, 63b-16) was repealed by Acts 1948, ch. 181, § 28.

321.040. License to practice — Fee — Issuance of license — Reexamination. [Repealed.]

Compiler’s Notes.

This section (63b-4) was repealed by Acts 1948, ch. 181, § 28.

321.050. Nature of examination. [Repealed.]

Compiler’s Notes.

This section (63b-5) was repealed by Acts 1948, ch. 181, § 28.

321.060. Time and place of examination — Notice. [Repealed.]

Compiler’s Notes.

This section (63b-2) was repealed by Acts 1948, ch. 181, § 28.

321.070. Renewal of license. [Repealed.]

Compiler’s Notes.

This section (63b-9) was repealed by Acts 1948, ch. 181, § 28.

321.080. Causes for refusal, suspension, revocation of license. [Repealed.]

Compiler’s Notes.

This section (63b-13) was repealed by Acts 1948, ch. 181, § 28.

321.090. Hearing on suspension, revocation of license — Appeal to Governor. [Repealed.]

Compiler’s Notes.

This section (63b-13) was repealed by Acts 1948, ch. 181, § 28.

321.100. County clerk to be notified of suspension or revocation — Practice prohibited. [Repealed.]

Compiler’s Notes.

This section (63b-13) was repealed by Acts 1948, ch. 181, § 28.

321.110. State Board of Veterinary Examiners — Members — Terms — Qualifications — Officers — Compensation. [Repealed.]

Compiler’s Notes.

This section (63b-1, 63b-2, 63b-5) was repealed by Acts 1948, ch. 181, § 28.

321.120. Functions of board. [Repealed.]

Compiler’s Notes.

This section (63b-2, 63b-12) was repealed by Acts 1948, ch. 181, § 28.

321.130. President may issue subpoenas, administer oaths. [Repealed.]

Compiler’s Notes.

This section (63b-2) was repealed by Acts 1948, ch. 181, § 28.

321.140. Record of board’s proceedings — Notice of refusal to issue license. [Repealed.]

Compiler’s Notes.

This section (63b-6) was repealed by Acts 1948, ch. 181, § 28.

321.150. Secretary to report to commissioner. [Repealed.]

Compiler’s Notes.

This section (63b-9) was repealed by Acts 1948, ch. 181, § 28.

321.160. License to be recorded with county clerk — Practice prohibited before recording — Fee. [Repealed.]

Compiler’s Notes.

This section (63b-7) was repealed by Acts 1948, ch. 181, § 28.

321.170. County clerk to keep list of licenses, report to board. [Repealed.]

Compiler’s Notes.

This section (63b-8) was repealed by Acts 1948, ch. 181, § 28.

321.175. Purpose of chapter.

It is hereby declared that the practice of veterinary medicine is a privilege which is granted by legislative authority in the interest of public health, safety, and welfare. To protect the public from being misled by incompetent, unscrupulous, and unauthorized practitioners, and from unprofessional or illegal practices by persons licensed to practice veterinary medicine, this chapter is enacted in the interest of the health, safety, and welfare of the animal population and the citizens of Kentucky.

History. Enact. Acts 1992, ch. 299, § 1, effective July 14, 1992; 1996, ch. 318, § 282, effective July 15, 1996; 2016 ch. 116, § 1, effective July 15, 2016.

Legislative Research Commission Note.

(7/14/92). This statute was created in 1992 Ky. Acts ch. 299, which contains the enrolled text of Senate Bill 250. A committee substitute for this bill was adopted by the House with a floor amendment, and the Senate subsequently concurred in this action by the House; this amended substitute thus became the enrolled version of the bill. In drafting the House Committee Substitute, the original Section 10 of the bill was deleted in its entirety, but internal section references within the bill were not renumbered to reflect this deletion. Therefore, in codifying this statute, the internal section reference within Acts ch. 299, sec. 1, has been changed pursuant to KRS 7.136(1).

321.180. Definitions — What constitutes practice of veterinary medicine. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 1) was repealed by Acts 1992, ch. 299, § 23, effective July 14, 1992.

321.181. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Veterinary Examiners;
  2. “Animal” means any animal, except human beings;
  3. “Compensation” includes any gift, bonus, fee, money, credit, or other thing of value;
  4. “Veterinarian” means a practitioner of veterinary medicine who is duly licensed in the Commonwealth of Kentucky;
  5. “Practice of veterinary medicine” means:
    1. To diagnose, treat, correct, change, relieve, or prevent: animal disease, deformity, defect, injury, or other physical or mental conditions, including the prescription or administration of any drug, medicine, biologic, apparatus, application, anesthetic, or other therapeutic or diagnostic substance or technique, and the use of any manual or mechanical procedure for testing for pregnancy, or for correcting sterility or infertility, or to render advice or recommendation with regard to any of the above;
    2. To engage in veterinary surgery, obstetrics, embryo transfer, dentistry, acupuncture, laser therapy, manipulation, and all other branches or specialties of veterinary medicine and the prescribing, administering, or dispensing of drugs and medications for veterinary purposes, in accordance with the applicable federal statutes and regulations governing controlled prescription and legend drugs; and
    3. To use the words “veterinarian,” or “veterinary,” or any title, words, abbreviation, or letters in a manner or under circumstances which may induce the belief that the person using them is qualified to do any act described in paragraphs (a) and (b) of this subsection;
  6. “Embryo transfer” means to remove any embryo from any animal for the purpose of transplanting the embryo into another female animal or for the purpose of cryopreserving the embryo, or to implant the embryo into any animal, including food and companion animals;
  7. “Chemical restraint” means the use of any prescription or legend drug that restrains or tranquilizes the animal;
  8. “Direct supervision” means the veterinarian is on the premises, and is quickly and easily available, and the animal has been examined by a veterinarian at the times acceptable veterinary medical practice requires, consistent with the particular delegated animal health care tasks;
  9. “Indirect supervision” means the veterinarian does not have to be on the premises as long as a valid veterinary/client/patient relationship has been established and the veterinary technician or veterinary assistant has been instructed on the applicable animal health care tasks in accordance with KRS 321.441 and 321.443 ;
  10. “Emergency” means the animal has been placed in a life threatening condition and immediate treatment is necessary to sustain life;
  11. “Veterinary wellness program” means the board-sponsored program for the identification, intervention, and monitoring of credential holders or applicants who may be impaired as a result of alcohol abuse, chemical dependence, drug abuse, or any physical or mental condition;
  12. “Veterinary wellness committee” means a committee appointed by the board that shall be composed of individuals who have expertise in the areas of alcohol abuse, chemical dependence, drug abuse, or physical or mental condition designated by the board to perform activities related to the veterinary wellness program;
  13. “Veterinary technician” means a person who has completed an associate or bachelor’s degree level accredited program of veterinary technology approved by the board, and who is licensed in accordance with KRS 321.441 ;
  14. “Veterinary assistant” means a lay person employed by a licensed veterinarian in accordance with KRS 321.443 ;
  15. “Certified animal control agency” means a county or municipal animal shelter or animal control agency; private humane society; state, county, or municipal law enforcement agency; or any combination of those entities that temporarily houses stray, unwanted, or injured animals and that is certified under the provisions of KRS 321.207 ;
  16. “Certified animal euthanasia specialist” means a person employed by a certified animal control agency who is authorized by the board, under KRS 321.207 , to humanely euthanize animals by administering drugs designated by the board for euthanasia; and
  17. “Student” means:
    1. A person enrolled in any veterinary school or college approved by the American Veterinary Medical Association while pursuing a degree in veterinary medicine; or
    2. A person in a post-Doctor of Veterinary Medicine temporary private internship, residency, or veterinary hospital-based program, not to exceed thirty (30) days in a calendar year.

History. Enact. Acts 1992, ch. 299, § 2, effective July 14, 1992; 1998, ch. 126, § 1, effective July 15, 1998; 2004, ch. 189, § 28, effective July 13, 2004; 2016 ch. 116, § 2, effective July 15, 2016.

NOTES TO DECISIONS

1.Practice of Veterinary Medicine.

Trial court incorrectly found that an advisor’s use of heart scans for a thoroughbred horse owner constituted the practice of veterinary medicine under Kentucky law, KRS 321.181(5)(a), because the heart scans the advisor conducted for the owner were in no way utilized to diagnose or treat any horses, and no one relied on such diagnosis or the results thereof for treatment. Ramsey v. Lambert, 2009 Ky. App. LEXIS 125 (Ky. Ct. App. Aug. 7, 2009).

Opinions of Attorney General.

The administration of rabies vaccines is the practice of veterinary medicine pursuant to subsection (5)(a) of this section. However, the legislature in its power to regulate the health and safety of its citizens has authorized in KRS 258.015 and 258.005(4) two limited exceptions granting certain individuals temporary permits to administer rabies shots to dogs. OAG 92-155 .

321.185. Veterinarian-client-patient relationship.

  1. In order for a veterinarian to practice veterinary medicine, a relationship among the veterinarian, the client, and the patient shall be established and maintained. “Veterinarian-client-patient relationship” means that:
    1. The veterinarian has assumed the responsibility for making judgments regarding the health of the animal and the need for veterinary treatment, and the client, whether owner or other caretaker, has agreed to follow the instructions of the veterinarian;
    2. There is sufficient knowledge of the animal by the veterinarian to initiate at least a general or preliminary diagnosis of the medical condition of the animal. This means that the veterinarian has recently seen and is personally acquainted with the keeping and care of the animal by virtue of an examination of the animal or by medically appropriate and timely visits to the premises where the animal is kept; and
    3. The practicing veterinarian is readily available or shall provide medical service for follow-up in case of adverse reactions or failure of the regimen of therapy. A new regimen of therapy shall be contingent only upon cooperation of the client and availability of the subject animal.
  2. The veterinarian shall maintain records which document patient visits, diagnosis, treatment, and other relevant information.
    1. A veterinarian shall not violate the confidential relationship between the veterinarian and the veterinarian’s client. (3) (a) A veterinarian shall not violate the confidential relationship between the veterinarian and the veterinarian’s client.
    2. A veterinarian shall not release information concerning a client or care of a client’s animal, except:
      1. On the veterinarian’s receipt of:
        1. A written authorization or other form of waiver executed by the client; or
        2. An appropriate court order or subpoena; or
      2. In cases of animal abuse, pursuant to KRS 321.188 .
    3. A veterinarian who releases information under paragraph (b) of this subsection shall not be liable to any person, including the client, for an action resulting from the disclosure.
    4. The privilege provided by this subsection is waived by the client or the owner of an animal treated by the veterinarian to the extent the client or owner places at issue in a civil or criminal proceeding:
      1. The nature and extent of the animal’s injuries; or
      2. The care and treatment of the animal provided by the veterinarian.
    5. This subsection shall not apply to:
      1. An inspection or investigation conducted by the board or an agent of the board; or
      2. The veterinary reporting requirements and regulatory authority of the Kentucky Horse Racing Commission to inspect, investigate, and supervise horses and other participants in horse racing as provided by KRS Chapter 230 and the administrative regulations promulgated under Chapter 230, or any other law applicable to the regulation of horse racing in the Commonwealth.
  3. Veterinarians providing copies of records under this section may charge no more than the actual cost of copying, including reasonable staff time.

History. Enact. Acts 1992, ch. 299, § 3, effective July 14, 1992; 2009, ch. 39, § 1, effective June 25, 2009; 2016 ch. 116, § 3, effective July 15, 2016; 2020 ch. 117, § 2, effective July 15, 2020.

321.188. Reporting of animal abuse.

If a veterinarian finds that an animal with which he or she has a veterinarian-client-patient relationship has been abused in violation of KRS 525.125 , 525.130 , 525.135 , or 525.137 , the veterinarian may make a report to:

  1. The Office of the State Veterinarian for any animal for which an on-farm livestock or poultry care standard has been promulgated under KRS 257.196 ; or
  2. Law enforcement for any other animal.

HISTORY: 2020 ch. 117, § 1, effective July 15, 2020.

321.190. License required to practice veterinary medicine.

Except as provided in KRS 321.200 , no person shall practice veterinary medicine or perform any of the duties usually performed by a veterinarian unless the person at the time holds a certificate of license to practice veterinary medicine issued and validly existing under the laws of this Commonwealth, as provided in this chapter.

History. Enact. Acts 1948, ch. 181, § 15; 1992, ch. 299, § 15, effective July 14, 1992; 2016 ch. 116, § 4, effective July 15, 2016.

NOTES TO DECISIONS

1.Statute of Limitations.

Trial court did not err in holding that the discovery rule was inapplicable to a thoroughbred horse owner’s counterclaim for fees paid to an advisor because there is no statute authorizing the use of the discovery rule in a cause of action involving a violation of KRS 321.190 or the five year statute of limitations in KRS 413.120(2); each time the general assembly has intended for the discovery rule to apply in a specific context, it has enacted an applicable statute. Ramsey v. Lambert, 2009 Ky. App. LEXIS 125 (Ky. Ct. App. Aug. 7, 2009).

Opinions of Attorney General.

Where an individual is permitted to practice veterinary medicine under the exemption statute, KRS 321.200 , and under the exception referred to in this section without obtaining a license, no reason appears why he cannot use one of the titles referred to, provided he has earned the right to use such a title from an accredited school. OAG 65-20 .

321.193. Veterinarian’s license — Requirements.

The board shall issue a license as a “veterinarian” to an applicant who meets the following requirements:

  1. Has paid the application fee and the appropriate examination fee;
  2. Is a person of good moral character;
  3. Has received a degree from a veterinary college approved by the board;
  4. Has achieved a passing score, as set by the board by administrative regulation, on examinations required by administrative regulation promulgated by the board; and
  5. Has complied with any other requirement of the board by administrative regulation.

History. Enact. Acts 1992, ch. 299, § 11, effective July 14, 1992; 2000, ch. 240, § 1, effective July 14, 2000; 2016 ch. 116, § 5, effective July 15, 2016.

321.195. Retirement and reactivation of license. [Repealed]

HISTORY: Enact. Acts 1992, ch. 299, § 6, effective July 14, 1992; repealed by 2016 ch. 116, § 19, effective July 15, 2016.

321.200. Exemptions from application of chapter.

  1. No provision of this chapter shall be construed to prohibit any of the following:
    1. Any persons from gratuitously treating animals in cases of emergency, provided they do not use the word “veterinarian,” “veterinary,” or any title, words, abbreviation, or letters in a manner or under circumstances which may induce the belief that the person using them is qualified to practice veterinary medicine as described in KRS 321.181 (5);
    2. The owner of any animal or animals and the owner’s full-time, or part-time, regular employees from caring for and treating, including administering drugs to, any animals belonging to the owner. Transfer of ownership or a temporary contract shall not be used for the purpose of circumventing this provision;
    3. Any person from castrating food animals and dehorning cattle, as long as any drugs or medications are obtained and used in accordance with applicable federal statutes and regulations governing controlled and legend drugs;
    4. Any student as defined in KRS 321.181 from working under the direct supervision of a veterinarian who is duly licensed under the laws of this Commonwealth;
    5. Nonlicensed graduate veterinarians in the United States Armed Services or employees of the Animal and Plant Health Inspection Service of the United States Department of Agriculture or the Kentucky Department of Agriculture, Division of Animal Health while engaged in the performance of their official duties, or other lawfully qualified veterinarians residing in other states, from meeting licensed veterinarians of this Commonwealth in consultation;
    6. A trainer, sales agent, or herdsman from caring for animals, upon instruction from a Kentucky-licensed veterinarian, provided there is a veterinary-client-patient relationship, as defined in KRS 321.185 ;
    7. A university faculty member from teaching veterinary science or related courses, or a faculty member or staff member from engaging in veterinary research, including drug and drug testing research, provided that research is conducted in accordance with applicable federal statutes and regulations governing controlled and legend drugs;
    8. Any person who holds a postgraduate degree in reproductive physiology or a related field, and who has performed embryo transfers in Kentucky during the five (5) years immediately preceding July 14, 1992, from performing embryo transfers;
    9. Volunteer health practitioners providing services under KRS 39A.350 to 39A.366 ; or
    10. A retailer or its agent from providing information and suggestions regarding the over-the-counter products it sells to treat animals so long as the information and suggestions are consistent with the product label.
    1. A nonresident of the United States may be employed in this state to practice veterinary medicine for not more than thirty (30) days of each year, provided he or she: (2) (a) A nonresident of the United States may be employed in this state to practice veterinary medicine for not more than thirty (30) days of each year, provided he or she:
      1. Holds a valid, current license as a veterinarian in his or her home country;
      2. Practices under the direct supervision of a veterinarian licensed in Kentucky;
      3. Registers with the board prior to commencing practice in the state; and
      4. Agrees to practice and follow all the rules and administrative regulations of this chapter and be subject to discipline for violations of those rules and administrative regulations by the Kentucky Board of Veterinary Examiners.
    2. This subsection shall not apply to a nonresident of the United States who is otherwise eligible for a Kentucky license under this chapter.
  2. Nothing in this chapter shall interfere with the professional activities of any licensed pharmacist.

History. Enact. Acts 1948, ch. 181, § 16; 1992, ch. 299, § 16, effective July 14, 1992; 2007, ch. 96, § 19, effective June 26, 2007; 2016 ch. 116, § 6, effective July 15, 2016.

Opinions of Attorney General.

Even though animal control shelter has legal possession and control over strays and abandoned animals while they are at the shelter, such relationship does not constitute ownership of the animals pursuant to subsection (1)(b) of this section, for while the county animal control shelter may be in possession of the animals they must follow specific statutes regarding the length of time an animal must be detained before it may be humanely destroyed and an owner is under no similar restrictions regarding his animals. OAG 92-155 .

Since the law requires that all dogs over four months old be given a rabies vaccine administered by a veterinarian or a qualified person pursuant to KRS 258.005 and KRS 258.015 and after the initial rabies vaccine, a dog must be re-vaccinated at the expiration of the immunization period as certified by the veterinarian, a dog owner is not exempted by virtue of subsection (1)(b) of this section from the requirement that the dog must have a current rabies vaccination administered by either a veterinarian or other qualified person. OAG 92-155 .

321.201. Special permits — Duration.

  1. The board may issue a special permit to practice veterinary medicine to a nonlicensed veterinarian who is a qualified applicant to become a licensed veterinarian by examination, and who is employed by and under the direct supervision of a Kentucky licensed veterinarian. The special permit shall be issued after the application has been made to take the next examination given by the board and the required fees paid. A letter of recommendation from the supervising licensed veterinarian shall be submitted with the application. The special permit shall expire the day after the notice of results of the first examination given after the permit was issued.
  2. A special permit may be subject to the disciplinary procedures as set forth in KRS 321.351 .

History. Enact. Acts 1992, ch. 299, § 5, effective July 14, 1992; 2016 ch. 116, § 7, effective July 15, 2016.

Legislative Research Commission Note.

(7/14/92). This statute was created in 1992 Ky. Acts ch. 299, which contains the enrolled text of Senate Bill 250. A committee substitute for this bill was adopted by the House with a floor amendment, and the Senate subsequently concurred in this action by the House; this amended substitute thus became the enrolled version of the bill. In drafting the House Committee Substitute, the original Section 10 of the bill was deleted in its entirety, but internal section references within the bill were not renumbered to reflect this deletion. Therefore, in codifying this statute, the internal section reference within Acts ch. 299, sec. 5, has been changed pursuant to KRS 7.136(1).

321.205. Mobile facilities — Authorized incidental activities.

A veterinarian may:

  1. Make farm or house calls in a motor vehicle or utilize a motor vehicle equipped with special medical or surgical equipment if the veterinarian has a permanent base of operations with a published address and telephone number recorded with the board where the veterinarian may be contacted.
  2. Apply the principles of environmental sanitation, food inspection, animal nutrition, artificial insemination, environmental pollution control, zoonotic disease control, and disaster medicine in the promotion and protection of public health; and
  3. Engage in the collection of hazardous biological specimens and the use of vaccine which may be injurious to humans, in accordance with applicable federal statutes and regulations.

History. Enact. Acts 1992, ch. 299, § 9, effective July 14, 1992.

321.207. Certification of animal control agencies and animal euthanasia specialists.

  1. The Board of Veterinary Examiners, upon submission of a complete application and payment of a fee established by the board, shall issue to any animal control agency that it determines to be qualified, authorization to apply to the federal Drug Enforcement Agency, including any successor entity, for a restricted controlled substance registration certificate for the purchase, possession, and use of sodium pentobarbital or other drugs as authorized by the board for administration by a certified animal euthanasia specialist to euthanize injured, sick, or abandoned animals.
  2. To satisfy the board’s authorization, the applicant shall comply with administrative regulations promulgated by the board which contain standards for proper storage and handling of the drugs the board has authorized for use, and any other provisions as may be necessary to ensure that the drugs are used safely and solely for the purpose set forth in this section.
  3. Upon submission of a complete application, payment of a fee established by the board, and successful completion of a board-approved animal euthanasia specialist training course by the applicant, the Board of Veterinary Examiners shall issue to any person whom it determines to be qualified, a certificate for the person to function as a certified animal euthanasia specialist.
  4. Euthanasia of animals in a certified animal control agency shall be performed by a licensed veterinarian, including a licensed veterinary technician employed by and functioning under the direct supervision of a licensed veterinarian, or a certified animal euthanasia specialist as provided for in subsection (3) of this section. A certified animal control agency that employs a certified animal euthanasia specialist may purchase, possess, and administer sodium pentobarbital or other drugs that the board approves for the euthanasia of animals. Sodium pentobarbital and other drugs approved by the board shall be the only drugs used for the euthanasia of animals in a certified animal control agency.
  5. Certified animal control agencies and certified animal euthanasia specialists shall be required to renew their certificates at intervals, upon conditions, and upon the payment of fees established by the board.

History. Enact. Acts 1998, ch. 126, § 2, effective July 15, 1998; 2016 ch. 116, § 8, effective July 15, 2016.

321.210. Status of existing licenses — Renewal of licenses — Licensing of persons who practiced prior to 1916. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 5; 1978, ch. 384, § 479, effective June 17, 1978) was repealed by Acts 1992, ch. 299, § 23, effective July 14, 1992.

321.211. Renewal of license — Fees — Expiration and termination of license — Reinstatement — Continuing education — Retired or inactive licensure status.

  1. Each person licensed as a veterinarian shall, on or before September 30 of each even-numbered year, pay to the board a renewal fee to be promulgated by administrative regulation of the board for the renewal of his license. All licenses not renewed by September 30 of each even-numbered year shall expire based on the failure of the individual to renew in a timely manner.
  2. A sixty (60) day grace period shall be allowed after September 30, as required for renewal in subsection (1) of this section, during which time individuals may renew their licenses upon payment of the renewal fee plus a late renewal fee as promulgated by administrative regulation of the board. All licenses not renewed by November 30 shall terminate based on the failure of the individual to renew in a timely manner. Upon termination, the licensee is no longer eligible to practice in the Commonwealth.
  3. After the sixty (60) day grace period, individuals with a terminated license may have their licenses reinstated upon payment of the renewal fee plus a reinstatement fee as promulgated by administrative regulation of the board. No person who applies for reinstatement after termination of his license shall be required to submit to any examination as a condition for reinstatement, if reinstatement application is made within five (5) years from the date of termination.
  4. A suspended license is subject to expiration and termination and shall be renewed as provided in this chapter. Renewal shall not entitle the licensee to engage in the practice until the suspension has ended, or is otherwise removed by the board and the right to practice is restored by the board.
  5. A revoked license is subject to expiration or termination but may not be renewed. If it is reinstated, the licensee shall pay the reinstatement fee as set forth in subsection (3) of this section and the renewal fee as set forth in subsection (1) of this section.
  6. A person who fails to reinstate his license within five (5) years after its termination may not have it renewed, restored, reissued, or reinstated. A person may apply for and obtain a new license by meeting the current requirements of this chapter.
  7. The board may require that a person applying for renewal or reinstatement of licensure show evidence of completion of continuing education as prescribed by the board by administrative regulation.
  8. The board may grant retired or inactive licensure status and may establish conditions under which retired or inactive licenses may be renewed as set forth by administrative regulations promulgated by the board.

History. Enact. Acts 1992, ch. 299, § 12, effective July 14, 1992; 2004, ch. 96, § 1, effective July 13, 2004; 2004, ch. 189, § 33, effective July 13, 2004; 2016 ch. 116, § 9, effective July 15, 2016.

321.220. Licensing of person holding license from another state or country — Reciprocity. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 7) was repealed by Acts 1992, ch. 299, § 23, effective July 14, 1992.

321.221. Licensure by endorsement for veterinarians licensed in other jurisdictions.

  1. The board may issue a license by endorsement to any applicant who, upon applying to the board and remitting a fee set by the board, demonstrates to the board that he has met the following requirements:
    1. The applicant is a graduate of a veterinary college approved by the board;
    2. The applicant is of good moral character;
    3. The applicant holds a valid license to practice veterinary medicine and has practiced veterinary medicine in another state of the United States, the District of Columbia, or a territory of the United States for at least one (1) year immediately preceding application, if the requirements for licensure in the issuing state are equal to or higher than the standards required for the issuance of a new license under the provisions of this chapter; and
    4. The applicant has passed an examination given by the board on the laws and administrative regulations of the Commonwealth of Kentucky governing the practice of veterinary medicine.
  2. The board shall not issue a license by endorsement to any applicant who is under investigation in another state, territory, or the District of Columbia for an act which could result in disciplinary action in that jurisdiction until the investigation and disciplinary proceedings have been completed.

History. Enact. Acts 1992, ch. 299, § 4, effective July 14, 1992.

321.230. Board of Veterinary Examiners — Membership — Qualifications — Appointment — Terms — Vacancies — Compensation.

There hereby is created a board to be known as the “Kentucky Board of Veterinary Examiners.” The board shall consist of nine (9) members appointed by the Governor, and the Commissioner of Agriculture or the Commissioner’s designee. Seven (7) members shall be citizens of the Commonwealth of Kentucky and shall each have been lawfully engaged in the practice of veterinary medicine in this Commonwealth for at least two (2) years next preceding the date of the member’s appointment. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. One (1) member shall be a citizen of the Commonwealth and a licensed veterinary technician who has been employed in the veterinary field in the Commonwealth for at least two (2) years preceding the date of his or her appointment. All appointed members shall be appointed for a term of four (4) years and shall serve until the member is reappointed or a successor is appointed. Any vacancy in the appointed membership of the board shall be filled for the unexpired term by appointment by the Governor. Each member of the board shall receive one hundred dollars ($100) per day for each day of service actually given in carrying out his duties under this chapter, in addition to his necessary traveling, hotel, and contingent expenses incurred in attending the meetings of the board and in the performance of his duties.

History. Enact. Acts 1948, ch. 181, § 2; 1976, ch. 206, § 15; 1992, ch. 299, § 17, effective July 14, 1992; 2016 ch. 116, § 10, effective July 15, 2016.

321.235. Powers and duties of board — Personal immunity.

  1. The board shall administer and enforce the provisions of this chapter and shall have the responsibility of evaluating the qualifications of applicants for licensure and certification.
  2. The board may issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provisions of this chapter.
  3. The board may promulgate administrative regulations in accordance with KRS Chapter 13A and this chapter to carry out the provisions of this chapter.
  4. The board may conduct hearings and keep records and minutes necessary to carry out the function of this chapter.
  5. The board may evaluate the qualifications and authorize the issuance of licenses, registration, or certification to qualified candidates.
  6. The board may renew licenses, registrations, and certifications, require continuing education as a condition for renewal, and promulgate administrative regulations regarding the issuance and renewal of retired and inactive licenses.
  7. The board may suspend, or revoke licenses or certifications, or impose supervisory or probationary conditions upon licensees or certificate holders, or impose administrative disciplinary fines, issue written reprimands, or any combination thereof.
  8. The board may seek injunctive relief in Franklin Circuit Court to stop the unlawful practice of veterinary medicine by unlicensed persons.
  9. Members of the board, its agents, and employees shall be immune from personal liability in any action, civil or criminal, which is based upon any official act or acts performed by them in good faith.

History. Enact. Acts 1992, ch. 299, § 14, effective July 14, 1992; 1998, ch. 126, § 3, effective July 15, 1998; 2016 ch. 116, § 11, effective July 15, 2016.

321.237. Veterinary wellness committee.

  1. The board shall have the authority to establish a veterinary wellness committee to undertake the functions and responsibilities of a veterinary wellness program. The functions and responsibilities may include any of the following:
    1. Receiving and evaluating reports of suspected impairment from any source;
    2. Intervening in cases of verified impairment; or
    3. Referring impaired veterinarians to treatment programs.
  2. Other provisions of law notwithstanding, all board and committee records pertaining to the veterinary wellness program shall be kept confidential. No person in attendance at any meeting of the committee shall be required to testify as to any committee discussions or proceedings.
  3. Other provisions of law notwithstanding, no member of the board or the veterinary wellness committee shall be liable for damages to any person for any acts, omissions, or recommendations made by the member in good faith while acting within the scope of the member’s responsibilities in accordance with this section.

History. Enact. Acts 1992, ch. 299, § 10, effective July 14, 1992; 2016 ch. 116, § 13, effective July 15, 2016.

321.240. Board officers — Meetings — Notice of examinations — Seal — Administrative regulations.

  1. The board shall annually elect a chair and a vice chair from the appointed members of the board.
  2. The board shall hold at least two (2) meetings annually and additional meetings as the board may deem necessary. The additional meetings may be held upon call of the chair or upon written request of three (3) members of the board. Five (5) members of the board shall constitute a quorum to conduct business.
  3. The board may employ or contract with any other persons it deems necessary to carry on the work of the board and shall define their duties and fix their compensation.
  4. Upon recommendation of the board, the Governor may remove any member of the board for a poor attendance record, neglect of duty, or malfeasance in office.
  5. The board shall promulgate administrative regulations as it may deem necessary and proper to effectively carry out and enforce the provisions of this chapter, including regulations to establish authorized fees. Fees may not exceed amounts necessary to generate sufficient funds to effectively carry out and enforce the provisions of this chapter.
  6. The board shall promulgate a code of conduct governing the practice of veterinary medicine which shall be based upon generally recognized principles of professional ethical conduct.

History. Enact. Acts 1948, ch. 181, § 3; 1962, ch. 279, § 1; 1992, ch. 299, § 18, effective July 14, 1992; 2016 ch. 116, § 14, effective July 15, 2016.

Research References and Practice Aids

Cross-References.

Administrative regulations, when adopted and effective, KRS 13A.330 .

321.250. Compensation and bond of secretary-treasurer — Employees — Facilities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 4) was repealed by Acts 1992, ch. 299, § 23.

321.260. Examination for license — Qualifications of applicants — Form of application — Fee — Issuing and recording of licenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 8; 1970, ch. 120, § 13; 1976, ch. 110, § 1) was repealed by Acts 1992, ch. 299, § 23.

321.270. Examination subjects — Written and practical examinations — Reexaminations — Conduct of examinations — Grades. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 9) was repealed by Acts 1992, ch. 299, § 23.

321.280. Records of proceedings of board — Notice of denial of license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 10) was repealed by Acts 1992, ch. 299, § 23.

321.290. Recording of license with county clerk. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 11; 1978, ch. 84, § 11; 1978, ch. 384, § 480) was repealed by Acts 1992, ch. 299, § 23.

321.300. Listing and report of licenses filed with county clerk. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 12; 1978, ch. 384, § 481) was repealed by Acts 1992, ch. 299, § 23.

321.310. Collecting and accounting for fees — Records of licensees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 6) was repealed by Acts 1992, ch. 299, § 23.

321.320. Revolving fund for administration.

All fees and other moneys received by the board pursuant to the provisions of this chapter shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board. No part of this revolving fund shall revert to the general funds of this Commonwealth. The compensation of members of the board and all of the employees of the board and all expenses incurred by the board shall be paid from this revolving fund.

History. Enact. Acts 1948, ch. 181, § 13; 1966, ch. 255, § 251; 1992, ch. 299, § 19, effective July 14, 1992.

Research References and Practice Aids

Cross-References.

Revolving funds, KRS 45.253 .

321.330. Annual renewal of licenses — Continuing education required — Revocation on failure to renew — Exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 14; 1976, ch. 110, § 2) was repealed by Acts 1992, ch. 299, § 23.

321.340. Grounds for refusing to issue license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 17) was repealed by Acts 1992, ch. 299, § 23.

321.350. Grounds for suspension or revocation of license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 18; 1962, ch. 279, § 2) was repealed by Acts 1992, ch. 299, § 23.

321.351. Disciplinary action — Offenses subject to disciplinary action — Private admonishment.

  1. The board may refuse to issue a license, or may suspend, revoke, impose probationary or supervisory conditions upon, impose an administrative fine not to exceed five thousand dollars ($5,000) per violation, issue a written reprimand, issue a private admonishment, or any combination of actions regarding any licensee upon proof that the licensee has:
    1. Committed any act of dishonesty or corruption, if in accordance with KRS Chapter 335B. If the act constitutes a crime, conviction in a criminal proceeding is not a condition precedent to disciplinary action. Upon conviction of the crime, the judgment and sentence are presumptive evidence at the ensuing disciplinary hearing of the guilt of the licensee or applicant. “Conviction,” as used in this paragraph, shall include a finding or verdict of guilt, an admission of guilt, or a plea of nolo contendere;
    2. Misrepresented or concealed a material fact in obtaining a license, or in reinstatement of a license;
    3. Committed any unfair, false, misleading, or deceptive act or practice;
    4. Been incompetent or negligent in the practice of veterinary medicine;
    5. Violated any state statute or administrative regulation governing the practice of veterinary medicine or any activities undertaken by a veterinarian;
    6. Failed to comply with an order issued by the board or an assurance of voluntary compliance;
    7. Violated the code of ethical conduct as set forth by the board by administrative regulation; or
    8. Violated any applicable provision of any federal or state law or regulation regarding the dispensing of controlled or legend drugs, if in accordance with KRS Chapter 335B.
  2. Five (5) years from the date of a revocation, any person whose license has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the license upon a finding that the individual has complied with any terms prescribed by the board and is again able to competently engage in the practice of veterinary medicine.
  3. When 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 licensee to respond, provides a clear indication that the alleged violation did in fact occur, the board may issue a written reprimand to the licensee. A copy of the reprimand shall be placed in the permanent file of the licensee. The licensee shall have the right to file a response to the reprimand within thirty (30) days of its receipt and to have the response placed in the permanent licensure file. The licensee may alternatively, within thirty (30) days of the receipt, file a request for hearing with the board. Upon receipt of this request the board shall set aside the written reprimand and set the matter for hearing.
  4. At any time during the investigative or hearing processes, the board may enter into an agreed order or accept an assurance of voluntary compliance with the licensee which effectively deals with the complaint.
  5. The board may reconsider, modify, or reverse its probation, suspensions, or other disciplinary action.
  6. Private admonishment shall not be subject to disclosure to the public under KRS 61.878 and shall not constitute disciplinary action, but may be used by the board for statistical purposes or in a subsequent disciplinary action against the licensee or applicant.

HISTORY: Enact. Acts 1992, ch. 299, § 13, effective July 14, 1992; 2016 ch. 116, § 15, effective July 15, 2016; 2017 ch. 158, § 69, effective June 29, 2017.

321.353. Emergency order for immediate, temporary suspension of license when disciplinary action, investigation, or initiating complaint is pending if the order is necessary to protect the public.

  1. The board may, by a majority vote, issue an emergency order for the immediate, temporary suspension of a license against which disciplinary action, an investigation, or initiating complaint is pending if the order is necessary to protect 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 that there is substantial evidence of immediate danger to the health, welfare, and safety of the licensee’s clients or animals, or the general public.
  3. A licensee may appeal the emergency order by filing 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.
  4. The appeal of an emergency order shall address only the necessity for the action and shall not constitute an appeal of the merits of the underlying complaint or charge.
  5. The emergency order shall remain in effect until modified or vacated by the board or hearing officer or superseded by final disciplinary action of the board or hearing officer on the underlying complaint or charge.
  6. The board shall expedite disciplinary hearings in which a licensee has been suspended under subsection (1) of this section.
  7. Any party aggrieved by a final order of the board may appeal to the Franklin Circuit Court after a written decision is issued by the board in accordance with KRS Chapter 13B.

HISTORY: 2016 ch. 116, § 12, effective July 15, 2016.

321.360. Hearings by board — Appeal.

  1. Except as provided in KRS 321.353 , the board, before suspending, revoking, imposing probationary or supervisory conditions upon, imposing an administrative fine, or any combination of actions regarding any license under the provisions of this chapter, shall set the matter for hearing in accordance with KRS Chapter 13B. After denying an application under the provisions of this chapter, or issuing a written reprimand, the board shall grant a hearing in accordance with KRS Chapter 13B to the denied applicant only upon written request of the applicant made within thirty (30) days of the date of the letter advising of the denial or the reprimand.
  2. Any party aggrieved by a final order of the board may appeal to Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1948, ch. 181, § 19; 1974, ch. 315, § 57; 1980, ch. 114, § 78, effective July 15, 1980; 1992, ch. 299, § 20, effective July 14, 1992; 1996, ch. 318, § 284, effective July 15, 1996; 2016 ch. 116, § 16, effective July 15, 2016.

321.370. Witnesses and evidence at hearings — Coercion of witnesses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 20) was repealed by Acts 1992, ch. 299, § 23.

321.380. Fees of witnesses and officers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 21) was repealed by Acts 1992, ch. 299, § 23.

321.390. Decision as to refusal, suspension or revocation of license — Findings of fact — Notice to county clerk. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 22) was repealed by Acts 1992, ch. 299, § 23.

321.400. Commencement of action to review disciplinary action. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 23; 1992, ch. 299, § 21, effective July 14, 1992) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

321.410. Procedure in action — Judgment — Appeal to Court of Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 24; Acts 1976, ch. 62, § 115) was repealed by Acts 1992, ch. 299, § 23.

321.420. No license for five years after revocation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 25) was repealed by Acts 1992, ch. 299, § 23.

321.430. Injunction against unauthorized practice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 181, § 27) was repealed by Acts 1992, ch. 299, § 23.

321.440. Animal technician — Qualifications. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 110, § 3) was repealed by Acts 1992, ch. 299, § 23.

321.441. Veterinary technician’s license — Qualifications — Scope of practice — Annual fee — Exception.

  1. The board shall issue a license as a veterinary technician to an applicant who:
    1. Is a graduate of an accredited program of veterinary technology or its equivalent as approved by the board, with an associate or bachelor’s degree related to veterinary technology;
    2. Obtains a passing score on an examination as determined by the board to assess the qualifications and fitness of an applicant to engage in the practice; and
    3. Has met all the requirements of the board as established by administrative regulation of the board.
  2. The board shall promulgate administrative regulations defining the scope of practice of the veterinary technician as well as the delegable duties from a licensed veterinarian.
  3. Each veterinary technician licensed by the board shall pay an annual fee as prescribed by the board. Each veterinary technician licensed by the board shall attend annual continuing education hours as required by the board to renew the license. Failure to renew shall result in the termination of the license. If a hearing is requested upon the rejection of an application, or upon the termination of a license, a hearing shall be conducted in accordance with the KRS 321.360 .
  4. The services of a licensed veterinary technician shall be limited to the performance of duties under the direct supervision of a licensed veterinarian, except for the routine administration of drugs, vaccines, parasite control agents, and growth stimulating implants for food animals prescribed by a veterinarian and under the indirect supervision of a veterinarian where a veterinarian-client-patient relationship exists. A licensed veterinary technician shall receive no fee or compensation for services other than salary or compensation paid by the establishment by which the licensed veterinary technician is employed. A licensed veterinary technician shall not participate in the operation of a branch office, clinic, or allied establishment unless a licensed veterinarian is on the premises. A licensed veterinary technician shall not diagnose, prescribe medication or treatment, or perform surgical procedures other than castrating and dehorning of food animals. A licensed veterinary technician may assist a veterinarian in all duties of veterinary medicine and surgery.
  5. A veterinarian shall utilize the services of a licensed veterinary technician in accordance with the terms and provisions of this chapter. Unauthorized utilization of licensed veterinary technicians by veterinarians shall be considered as aiding and abetting any unlicensed person to practice veterinary medicine as described in KRS 321.351 .
  6. Nothing in this section shall prohibit volunteer health practitioners from providing services under KRS 39A.350 to 39A.366 .

History. Enact. Acts 1992, ch. 299, § 7, effective July 14, 1992; 2007, ch. 96, § 20, effective June 26, 2007; 2016 ch. 116, § 17, effective July 15, 2016.

Legislative Research Commission Notes.

(7/14/92). This statute was created in 1992 Ky. Acts ch. 299, which contains the enrolled text of Senate Bill 250. A committee substitute for this bill was adopted by the House with a floor amendment, and the Senate subsequently concurred in this action by the House; this amended substitute thus became the enrolled version of the bill. In drafting the House Committee Substitute, the original Section 10 of the bill was deleted in its entirety, but internal section references within the bill were not renumbered to reflect this deletion. Therefore, in codifying this statute, the internal section references within Acts ch. 299, sec. 7, have been changed pursuant to KRS 7.136(1).

321.443. Veterinary assistants.

  1. A veterinary assistant may work only under the direct supervision of a veterinarian except for the routine administration of drugs, vaccines, parasite control agents, and growth stimulating implants for food animals prescribed by a veterinarian and under the indirect supervision of a veterinarian where a veterinarian-client-patient relationship exists.
  2. Duties of a veterinary assistant shall exclude diagnosing, prescribing medication or treatment, and performance of surgical procedures other than castrating and dehorning of food animals.
  3. A veterinarian shall utilize the service of a veterinary assistant in accordance with the terms and provisions of this chapter. Unauthorized utilization of veterinary assistants shall be considered as aiding and abetting an unlicensed person to practice veterinary medicine as described in KRS 321.351 .

History. Enact. Acts 1992, ch. 299, § 8, effective July 14, 1992.

Legislative Research Commission Note.

(7/14/92). This statute was created in 1992 Ky. Acts ch. 299, which contains the enrolled text of Senate Bill 250. A committee substitute for this bill was adopted by the House with a floor amendment, and the Senate subsequently concurred in this action by the House; this amended substitute thus became the enrolled version of the bill. In drafting the House Committee Substitute, the original Section 10 of the bill was deleted in its entirety, but internal section references within the bill were not renumbered to reflect this deletion. Therefore, in codifying this statute, the internal section reference within Acts ch. 299, sec. 8, has been changed pursuant to KRS 7.136(1).

321.450. Permit for use of animal technician — Annual fee — Veterinarian’s responsibility — Limitation of services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 110, § 4) was repealed by Acts 1992, ch. 299, § 23, effective July 14, 1992.

321.990. Penalty for violation of KRS 321.190.

Any person who shall violate or aid in the violation of KRS 321.190 shall be guilty of a misdemeanor and upon conviction shall be fined not less than ten dollars ($10) nor more than five hundred dollars ($500), or sentenced to jail for not less than ten (10) nor more than ninety (90) days, or both so fined and imprisoned in the discretion of the jury.

History. Enact. Acts 1948, ch. 181, § 26; 1992, ch. 299, § 22, effective July 14, 1992; 1996, ch. 318, § 283, effective July 15, 1996; 1998, ch. 126, § 4, effective July 15, 1998; 2016 ch. 116, § 18, effective July 15, 2016.

Compiler’s Notes.

A former section KRS 321.990 (63b-11, 63b-13) was repealed by Acts 1948, ch. 181, § 28.

Legislative Research Commission Note.

(7/14/92). This statute was created in 1992 Ky. Acts ch. 299, which contains the enrolled text of Senate Bill 250. A committee substitute for this bill was adopted by the House with a floor amendment, and the Senate subsequently concurred in this action by the House; this amended substitute thus became the enrolled version of the bill. In drafting the House Committee Substitute, the original Section 10 of the bill was deleted in its entirety, but internal section references within the bill were not renumbered to reflect this deletion. Therefore, in codifying this statute, the internal section reference within Acts ch. 299, sec. 22, has been changed pursuant to KRS 7.136(1).

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

Imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 322 Professional Engineers and Land Surveyors

Engineers and Surveyors

322.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the State Board of Licensure for Professional Engineers and Land Surveyors;
  2. “Engineer” means a person who is qualified to engage in the practice of professional engineering by reason of special knowledge and use of:
    1. The mathematical, physical, and engineering sciences; and
    2. The principles and methods of engineering analysis and design, acquired by engineering education and practical engineering experience;
  3. “Professional engineer” means a person who is licensed as a professional engineer by the board;
  4. “Engineering” means any professional service or creative work, the adequate performance of which requires engineering education, training, and experience as an engineer.
    1. “Engineering” shall include:
      1. Consultation, investigation, evaluation, planning, certification, and design of engineering works and systems;
        1. Engineering design and engineering work associated with design/build projects;
        2. Engineering works and systems which involve earth materials, water or other liquids, and gases;
        3. Planning the use of land, air, and waters; and
        4. Performing engineering surveys and studies;
      2. The review of construction for the purpose of assuring compliance with drawings and specifications; any of which embraces this service or work, either public or private, in connection with any utilities, structures, certain buildings, building systems, machines, equipment, processes, work systems, or projects with which the public welfare or the safeguarding of life, health, or property is concerned, when that professional service or work requires the application of engineering principles and data;
      3. The teaching of engineering design courses in any program accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology or any engineering program deemed equivalent by the board;
      4. The negotiation or solicitation of engineering services on any project in this state, regardless of whether the persons engaged in the practice of engineering:
        1. Are residents of this state;
        2. Have their principal place of business in this state; or
        3. Are in responsible charge of the engineering services performed; and
      5. The services of a professional engineer who engages in the practice of land surveying incident to the practice of engineering that does not relate to the location or determination of land boundaries.
    2. “Engineering” shall not include the professional services performed by persons who:
      1. Develop or administer construction project safety programs, construction safety compliance, construction safety rules or regulations, or related administrative regulations; or
      2. Only operate or maintain machinery or equipment;
  5. “Practice of engineering” means the performance of any professional service included in subsection (4)(a) of this section;
  6. “Engineer in training” means a person who has passed the Fundamentals of Engineering Examination and is otherwise qualified to earn experience toward licensure as a professional engineer;
  7. “Responsible charge of engineering” means direct control and personal supervision of engineering, or teaching experience with the rank equivalent to assistant professor or higher in a board-approved engineering program;
  8. “Land surveyor” means a person who is qualified to engage in the practice of land surveying by reason of special knowledge and use of mathematics, the physical and applied sciences, and the principles and methods of land surveying, acquired by education and practical experience in land surveying;
  9. “Professional land surveyor” means a person who is licensed as a professional land surveyor by the board;
  10. “Land surveying” means any professional service or work, the adequate performance of which requires the education, training, and experience as a land surveyor.
    1. “Land surveying” shall include but not be limited to the following:
      1. Measuring and locating, establishing, or reestablishing lines, angles, elevations, natural and man-made features in the air, on the surface and immediate subsurface of the earth, within underground workings, and on the beds or surfaces of bodies of water involving the:
        1. Determination or establishment of the facts of size, shape, topography, and acreage;
        2. Establishment of photogrammetric and geodetic control that is published and used for the determination, monumentation, or description of property boundaries;
        3. Subdivision, division, and consolidation of lands;
        4. Measurement of existing improvements, including condominiums, after construction and the preparation of plans depicting existing improvements, if the improvements are shown in relation to property boundaries;
        5. Layout of proposed improvements, if those improvements are to be referenced to property boundaries;
        6. Preparation of subdivision record plats;
        7. Determination of existing grades and elevations of roads and land;
        8. Creation and perpetuation of alignments related to maps, record plats, field note records, reports, property descriptions, and plans and drawings that represent them; and
        9. Certification of documents;
      2. The negotiation or solicitation of land surveying services on any project in this state, regardless of whether the persons engaged in the practice of land surveying:
        1. Are residents of this state;
        2. Have their principal office or place of business in this state; or
        3. Are in responsible charge of the land surveying services or work performed; and
      3. The preparation of survey descriptions for use in legal instruments affecting real property or property rights. “Land surveying” does not include the preparation of a physical description that identifies and describes the tract, parcel, or lot by reference to the tract, parcel, lot, block, or unit number of any subdivision, or other summary identifier appearing on a properly recorded plat of record, or by reference to a deed of record.
    2. “Land surveying” shall not include:
      1. The measurement of crops or agricultural land area under any agricultural program sponsored by an agency of the federal government or the state of Kentucky;
      2. The services of a professional engineer who engages in the practice of land surveying incident to the practice of engineering, if the land surveying work does not relate to the location or determination of land boundaries; or
      3. The design of grades and elevations of roads and land;
  11. “Practice of land surveying” means the performance of any professional service included in subsection (10)(a) of this section;
  12. “Land surveyor in training” means a person who has passed the Fundamentals of Land Surveying Examination and is otherwise qualified to earn experience toward licensure as a professional land surveyor;
  13. “Responsible charge of land surveying” means direct control and personal supervision of land surveying, or teaching experience with the rank equivalent to assistant professor or higher in a board-approved land surveying program;
  14. “Business entity” means a corporation, partnership, limited liability company, limited partnership, or firm;
  15. “Offer to practice” means:
    1. A promise or commitment to engage in any act directly related to engineering or land surveying;
    2. Undertaking to engage in the practice of engineering or land surveying; or
    3. Any claim, express or implied, by any person representing himself or herself to be a professional engineer or professional land surveyor;
  16. “Certification” means affixing a seal or stamp, signature, and date by a professional engineer or professional land surveyor to represent that the services or work addressed therein was performed by that professional engineer or professional land surveyor according to his or her knowledge, information, and belief, and that it was completed in accordance with applicable standards of practice. “Certification” shall not mean a guaranty or warranty, either express or implied;
  17. The “Fundamentals of Engineering Examination” means the examination with that name developed by the National Council of Examiners for Engineering and Surveying;
  18. The “Fundamentals of Land Surveying Examination” means the examination with that name developed by the National Council of Examiners for Engineering and Surveying;
  19. The “Principles and Practice of Engineering Examination” means the examination with that name developed by the National Council of Examiners for Engineering and Surveying; and
  20. The “Principles and Practice of Land Surveying Examination” means the examination with that name developed by the National Council of Examiners for Engineering and Surveying.

History. 1599e-2: amend. Acts 1966, ch. 68, § 1; 1972, ch. 148, § 1; 1974, ch. 308, § 55; 1974, ch. 350, § 1; 1980, ch. 332, § 1, effective July 15, 1980; 1982, ch. 273, § 1, effective July 15, 1982; 1986, ch. 291, § 1, effective July 15, 1986; 1992, ch. 96, § 1, effective July 14, 1992; 1998, ch. 214, § 1, effective January 1, 1999; 2007, ch. 137, § 140, effective June 26, 2007; 2008, ch. 149, § 1, effective July 15, 2008; repealed and reenact., Acts 2010, ch. 51, § 140, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). 2010 Ky. Acts ch. 51, sec. 183, provides, “The specific textual provisions of Sections 1 to 178 of this Act which reflect amendments made to those sections by 2007 Ky. Acts ch. 137 shall be deemed effective as of June 26, 2007, and those provisions are hereby made expressly retroactive to that date, with the remainder of the text of those sections being unaffected by the provisions of this section.”

NOTES TO DECISIONS

1.Purpose.

This chapter, KRS Chapter 322, is designed to control and regulate the licensing and practice of professional engineering and to prescribe certain times and conditions when the services of a licensed engineer are required; the legislature never intended that every contractor be, or employ, a licensed engineer or architect for every type of design and construction project; the legislation was primarily intended to prevent individuals from holding themselves out as professional engineers without a license. Thomas v. Surf Pools, Inc., 602 S.W.2d 437, 1980 Ky. App. LEXIS 343 (Ky. Ct. App. 1980).

2.Practice of Engineering.

A professional engineer was not performing services “incident to the practice of engineering”, within the meaning of KRS 322.370 , in drawing the preliminary plans and specifications for a nursing home and such act constituted practicing architecture without a license. Dahlem Constr. Co. v. State Board of Examiners & Registration of Architects, 459 S.W.2d 169, 1970 Ky. LEXIS 130 ( Ky. 1970 ).

Cited:

Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors v. Performance Engineering, Inc., 758 S.W.2d 48, 1988 Ky. App. LEXIS 141 (Ky. Ct. App. 1988).

Opinions of Attorney General.

The legislature, in defining land surveying and its practice, is speaking of the actual surveying of land by metes and bounds through the taking of linear and angular measurements, in applying the principles of geometry and trigonometry, by means of engineering or surveying equipment designed to enable a surveyor to make such calculations. OAG 66-575 .

A land surveyor can legally prepare a map showing contours and elevations for planning and facilities. OAG 67-385 .

A land surveyor cannot make original and final cross sections for pay quantities in earthwork excavation. OAG 67-385 .

A land surveyor or any other person would be prohibited from acting as an advisor to a planning commission on matters involving planning of subdivision streets and construction if the advice required the application of engineering principles and data as outlined in the statute unless such person was licensed as a professional engineer. OAG 67-385 .

Land surveying includes the location of boundary lines, acreage and the inevitable and concomitant plats depicting on paper just precisely what the surveyor did on the ground in locating boundaries and land boundary corners and includes maps showing roads, streets and rights of way. OAG 67-385 .

It is not a violation of KRS 322.020 for a person or a corporation performing engineering services of the type described and defined in subdivisions (4) and (5) (now subdivisions (3) and (4)) of this section to use a business name which includes the phrase “engineering company” where the owner is engaged in the business, although not licensed as a professional engineer, and has licensed engineer associates or employees who are also engaged in the business on a substantially full-time basis; there is no violation if at least some members are licensed professional engineers and if the engineering services are performed by licensed professional engineers in their own names. OAG 81-356 .

The preparation of sprinkler plans involves the practice of engineering and such plans should have the seal of a registered professional engineer. OAG 82-3 .

Research References and Practice Aids

Cross-References.

Liens for services performed, KRS 376.075 .

Kentucky Law Journal.

Rutledge, The 2007 Amendments to the Kentucky Business Entity Statutes, 97 Ky. L.J. 229 (2008).

322.015. Effect of changes on existing registered engineers and registered land surveyors. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 214, § 2, effective January 1, 1999) was repealed by Acts 2010, ch. 163, § 16, effective July 15, 2010.

322.020. Practice of engineering or land surveying without license prohibited.

  1. Unless licensed as a professional engineer, no person shall:
    1. Engage in the practice of engineering;
    2. Offer to practice engineering; or
    3. Use, assume, or advertise in any way any title or description tending to convey the impression that he or she is a professional engineer.
  2. Unless licensed as a professional land surveyor, no person shall:
    1. Engage in the practice of land surveying;
    2. Offer to practice land surveying; or
    3. Use, assume, or advertise in any way any title or description tending to convey the impression that he or she is a professional land surveyor.

History. 1599e-1, 1599e-12, 1599e-21: amend. Acts 1972, ch. 148, § 2; 1986, ch. 291, § 2, effective July 15, 1986; 1998, ch. 214, § 3, effective January 1, 1999.

NOTES TO DECISIONS

1.Purpose.

This section is designed to protect the public from being imposed upon by persons not qualified to render a professional service. Kennoy v. Graves, 300 S.W.2d 568, 1957 Ky. LEXIS 462 ( Ky. 1957 ).

This chapter, KRS Chapter 322, is designed to control and regulate the licensing and practice of professional engineering and to prescribe certain times and conditions when the services of a licensed engineer are required; the legislature never intended that every contractor be, or employ, a licensed engineer or architect for every type of design and construction project; the legislation was primarily intended to prevent individuals from holding themselves out as professional engineers without a license. Thomas v. Surf Pools, Inc., 602 S.W.2d 437, 1980 Ky. App. LEXIS 343 (Ky. Ct. App. 1980).

2.Contract.

The technical requirements of this section play no part in the determination of just claims between persons in the same business field who have contracted with knowledge of each other’s respective professional qualifications. Kennoy v. Graves, 300 S.W.2d 568, 1957 Ky. LEXIS 462 ( Ky. 1957 ).

When a statute requires a license to practice a particular profession, a contract for those professional services entered into with one not licensed is void and unenforceable. Kennoy v. Graves, 300 S.W.2d 568, 1957 Ky. LEXIS 462 ( Ky. 1957 ).

3.Use of Term “Engineering.”

The automotive machine shop’s use of the term “engineering” in its corporate name did not violate this section, where there was no evidence that anyone had been given the impression that the shop was engaged in the profession of engineering, and there was no proof that anyone had come to the business seeking engineering services or that any complaints had been asserted by consumers. Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors v. Performance Engineering, Inc., 758 S.W.2d 48, 1988 Ky. App. LEXIS 141 (Ky. Ct. App. 1988).

4.Limitations.

Factual issues as to whether any licensed engineer oversaw or delegated the allegedly negligent work of a non-engineer under KRS 322.020(1), 322.030 and whether the company held itself out as an engineering firm precluded summary judgment on the professional services statute of limitations under KRS 413.243 , 413.245 . ISP Chems. LLC v. Dutchland, Inc., 2011 U.S. Dist. LEXIS 7675 (W.D. Ky. Jan. 25, 2011).

Opinions of Attorney General.

A county surveyor need not be licensed as a land surveyor pursuant to this chapter, as it is a constitutionally created office and licensing requirements applicable to other land surveyors are not applicable to the county surveyor in the absence of a constitutional provision to that effect and, as a license is not required, the legislature cannot impose such a requirement. OAG 73-763 .

If a county surveyor engages in a private surveying project and he is not a licensed surveyor under this chapter, and he does not fall within any of the exceptions to this law under KRS 322.450 , then he would be proceeding illegally. OAG 74-284 .

This section is violated when a person or corporation which is performing engineering services described or defined in subdivisions (4) and (5) (now subdivisions (3) and (4)) of KRS 322.010 under a name which includes the term “engineering company” where neither the owner nor any other person connected with that particular business is licensed as a professional engineer. OAG 81-356 .

It is not a violation of this section for a person or a corporation performing engineering services of the type described and defined in subdivisions (4) and (5) (now subdivisions (3) and (4)) of KRS 322.010 to use a business name which includes the phrase “engineering company” where the owner is engaged in the business, although not licensed as a professional engineer, and has licensed engineer associates or employees who are also engaged in the business on a substantially full-time basis; there is no violation if at least some members are licensed professional engineers and if the engineering services are performed by licensed professional engineers in their own names. OAG 81-356 .

Research References and Practice Aids

Cross-References.

Architects, KRS Chapter 323.

322.030. Exceptions to KRS 322.020.

KRS 322.020 shall not apply to:

  1. The work of an employee or subordinate of:
    1. A professional engineer if the work is done under the direct supervision of and verified by the professional engineer; or
    2. A professional land surveyor if the work is done under the direct supervision of and verified by the professional land surveyor;
  2. The practice of engineering or land surveying by officers and employees of the United States government while engaged in engineering or land surveying for the government;
  3. The practice of engineering or land surveying by a person on property he or she leases or owns unless:
    1. The practice involves the public safety, health, or welfare; or
    2. The land surveying relates to the location or determination of any existing or proposed land boundaries;
  4. An engineer or land surveyor engaged solely as an officer or employee of a privately owned public utility or of a business entity engaged in interstate commerce as defined in the Interstate Commerce Act (24 Stat. 379) as amended;
  5. A licensed architect who engages in the practice of engineering incident to the practice of architecture; or
  6. The practice of engineering related solely to the design or fabrication of manufactured products. This exemption does not extend to site-specific engineering work for Kentucky locations.

History. 1599e-18, 1599e-22: amend. Acts 1986, ch. 291, § 3, effective July 15, 1986; 1998, ch. 214, § 4, effective January 1, 1999; 2010, ch. 163, § 4, effective July 15, 2010.

NOTES TO DECISIONS

1.Limitations.

Factual issues as to whether any licensed engineer oversaw or delegated the allegedly negligent work of a non-engineer under KRS 322.020(1), 322.030 and whether the company held itself out as an engineering firm precluded summary judgment on the professional services statute of limitations under KRS 413.243 , 413.245 . ISP Chems. LLC v. Dutchland, Inc., 2011 U.S. Dist. LEXIS 7675 (W.D. Ky. Jan. 25, 2011).

Opinions of Attorney General.

To qualify as a board member under KRS 322.240 , it is possible for an engineer to have been exempted from the necessity of having a Kentucky license by this section for part or all of his engineering career. OAG 71-271 .

A county surveyor need not be licensed as a land surveyor pursuant to this chapter, as it is a constitutionally created office and licensing requirements applicable to other land surveyors are not applicable to the county surveyor in the absence of a constitutional provision to that effect and, as a license is not required, the legislature cannot impose such a requirement. OAG 73-763 .

The preparation of sprinkler plans involves the practice of engineering and such plans should have the seal of a registered professional engineer. OAG 82-3 .

A county clerk, or other public authority, is not permitted to record a subdivision plat which was prepared by a land owner who is not a registered professional land surveyor. OAG 94-24 .

322.040. Requirements for licensure as a professional engineer — Education, experience.

  1. A person shall qualify for licensure as a professional engineer by meeting the requirements set forth in paragraph (a) or (b) of this subsection.
    1. A person shall qualify if he or she has:
      1. Graduated from an engineering program of four (4) years or more accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology or any engineering program deemed equivalent by the board;
      2. Four (4) or more additional years of progressive experience in engineering or teaching of a grade and character which indicates to the board that the applicant is competent to practice engineering; and
      3. A passing score on:
        1. The Principles and Practice of Engineering Examination; and
        2. The Fundamentals of Engineering Examination. The board may allow students enrolled in the final year of an undergraduate engineering program to take this examination. Upon passing the examination, the applicant shall be designated an engineer in training.
    2. If an instructor in an engineering program accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology or an engineering program deemed equivalent by the board is not eligible for the exemption under subsection (2) of this section, the instructor shall have four (4) years from the date of hire to qualify for licensure by showing that he or she has:
      1. Graduated from an engineering program of four (4) years or more accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology, or an engineering program deemed equivalent by the board;
      2. Four (4) or more additional years of progressive experience in engineering or teaching of a grade and character which indicates to the board that the applicant is competent to practice engineering;
      3. Passed the Principles and Practice of Engineering Examination; and
      4. Either passed the Fundamentals of Engineering Examination or graduated from a board-approved doctoral engineering degree program.
  2. For the purpose of teaching engineering design courses only, an instructor who, on January 1, 1999, holds a tenured or tenure-track position in an engineering program defined in KRS 322.010(4)(a)3. shall be exempt from the licensure requirements of KRS 322.020 for the period that instructor is continuously employed by the institution offering that program. However, an instructor may apply and shall qualify for licensure as a professional engineer during this exempt period if he or she:
    1. Has graduated from an engineering program of four (4) years or more accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology or an engineering program deemed equivalent by the board;
    2. Has graduated from a board-approved doctoral engineering degree program, with an additional three (3) years or more of progressive experience in engineering or teaching of a grade and character which indicate to the board that the applicant is competent to practice engineering; and
    3. Has passed the Principles and Practice of Engineering Examination.
  3. Any person having the necessary qualifications prescribed in subsection (1) or (2) of this section shall be eligible to apply for licensure, even if the applicant is not practicing the profession at the time of application.
  4. The board shall promulgate administrative regulations to establish requirements for consideration of experience gained prior to graduation from an engineering program as described in subsection (1)(a)1. of this section.

History. 1599e-12: amend. Acts 1972, ch. 148, § 3; 1978, ch. 275, § 2, effective June 17, 1978; 1982, ch. 273, § 2, effective July 15, 1982; 1986, ch. 291, § 4, effective July 15, 1986; 1998, ch. 214, § 5, effective January 1, 1999; 2005, ch. 20, § 1, effective June 20, 2005.

322.045. Requirements for licensure as a professional land surveyor — Education, experience.

  1. A person shall qualify for licensure as a professional land surveyor if he or she has:
    1. Passed the Fundamentals of Land Surveying Examination and is thereby designated a land surveyor in training according to the conditions set forth in either paragraph (c) of this subsection or KRS 322.047(1)(a);
    2. Passed the Principles and Practice of Land Surveying Examination; and
    3. Met one (1) of the following requirements set out in this paragraph:
      1. Graduation from a board-approved program of four (4) years or more in land surveying from a college or university and not less than three (3) years of progressive experience in land surveying under the direct supervision of a practicing professional land surveyor. The experience shall be of a grade and character to indicate to the board that the applicant is competent to practice land surveying. Applicants shall be eligible to take the Fundamentals of Land Surveying Examination during the final year of the program;
      2. Graduation from a program of four (4) years or more in other than land surveying from a college or university of recognized standing, completion of a twenty-four (24) semester credit hour core curriculum in land surveying, and not less than four (4) years of progressive experience in land surveying under the direct supervision of a practicing professional land surveyor. The experience shall be of a grade and character to indicate to the board that the applicant is competent to practice land surveying;
        1. The core curriculum in land surveying may be completed as part of the four (4) year program or may be taken in addition to that program; and
        2. Applicants shall be eligible to take the Fundamentals of Land Surveying Examination upon completion of the core curriculum in land surveying or during the final year in the program if twelve (12) hours or more of the core curriculum in land surveying have been completed; or
      3. Graduation from a civil, mining, or agricultural engineering program of four (4) years or more accredited by the Engineering Accreditation Commission of the Accreditation Board for Engineering and Technology or any engineering program deemed equivalent by the board, completion of twelve (12) semester credit hours of the core curriculum in land surveying referenced in subparagraph 2. of this paragraph, and not less than four (4) years of progressive experience in land surveying under the direct supervision of a practicing professional land surveyor. The experience shall be of a grade and character to indicate to the board that the applicant is competent to practice land surveying;
        1. The twelve (12) hours of the core curriculum in land surveying may be completed as part of the engineering program or may be taken in addition to that program; and
        2. Applicants shall be eligible to take the Fundamentals of Land Surveying Examination upon graduation from the engineering program or during the final year in the program if twelve (12) hours of the core curriculum in land surveying have been completed.
  2. Any person having the necessary qualifications prescribed in subsection (1) of this section or any applicable qualifications prescribed in KRS 322.047(1)(a) shall be eligible to apply for licensure, even if the applicant is not practicing the profession at the time of application.
  3. The board shall promulgate administrative regulations to establish requirements for consideration of experience gained prior to graduation from programs as described in subsection (1)(c)1., 2., and 3. of this section, and for the surveying core curriculum described in subsection (1)(c)2. and 3. of this section.

History. Enact. Acts 2005, ch. 20, § 2, effective June 20, 2005.

322.047. Alternate requirements for licensure as a professional land surveyor until June 30, 2011 — Education, experience.

  1. Until June 30, 2011, the following shall apply to licensure as a professional land surveyor:
    1. In addition to the requirements listed in KRS 322.045(1)(c), a person may qualify for licensure as a professional land surveyor by meeting one of the following alternate requirements:
      1. Graduation from a program of four (4) years or more in an area other than land surveying accredited by one of the Commissions of the Accreditation Board for Engineering and Technology and not less than six (6) years of progressive experience in land surveying under the direct supervision of a practicing professional land surveyor. The experience shall be of a grade and character to indicate to the board that the applicant is competent to practice land surveying. Applicants shall be eligible to take the Fundamentals of Land Surveying Examination upon completion of two (2) years of progressive experience in land surveying. Applicants possessing education credentials of this subparagraph may pursue licensure under KRS 322.045(1)(c)2., providing the core curriculum in land surveying requirement is satisfied;
      2. Graduation from a two (2) year board-approved program in land surveying and not less than six (6) years of progressive experience in land surveying under the direct supervision of a practicing professional land surveyor. The experience shall be of a grade and character to indicate to the board that the applicant is competent to practice land surveying. Applicants shall be eligible to take the Fundamentals of Land Surveying Examination upon completion of two (2) years of progressive experience in land surveying; or
      3. Graduation from high school, or the equivalent, and not less than ten (10) years of progressive experience in land surveying under the direct supervision of a practicing professional land surveyor. The experience shall be of a grade and character to indicate to the board that the applicant is competent to practice land surveying. Applicants shall be eligible to take the Fundamentals of Land Surveying Examination upon completion of four (4) years of progressive experience in land surveying.
    2. As it may apply to the experience qualifications for land surveyors:
      1. The satisfactory completion of each year as a full-time student of a board-approved program in civil engineering or land surveying without graduation may be considered as equivalent to one (1) year of experience required by subsection (1)(a)2. and 3. of this section;
      2. Graduation from a program other than as provided in KRS 322.045(1)(c) or subsection (1)(a)1. and 2. of this section from a college or university of recognized standing may be considered as equivalent to two (2) years of experience required by subsection (1)(a)2. and 3. of this section;
      3. No applicant shall receive credit for more than four (4) years of experience based on undergraduate educational qualifications.
  2. The board shall promulgate administrative regulations to establish requirements for consideration of experience gained prior to graduation from programs as described in subsection (1)(a)1. and 2. of this section.
  3. The board may promulgate administrative regulations to provide an exemption to the licensure requirements contained in subsection (1)(a) of this section based on a finding of hardship or medical necessity.

History. Enact. Acts 2005, ch. 20, § 3, effective June 20, 2005.

322.050. Requirements for applicants.

  1. To be eligible for licensure, an applicant shall be:
    1. Of good character and reputation; and
    2. Able to competently communicate in the English language.
  2. An applicant shall not be eligible for licensure if he or she:
    1. Has been convicted of any felony within the past ten (10) years involving violence, sexual misconduct, fraud, or deceit;
    2. Engages in conduct likely to deceive or defraud the public; or
    3. Is adjudged mentally disabled by a court of competent jurisdiction.

History. 1599e-12: amend. Acts 1972, ch. 148, § 4; 1982, ch. 141, § 87, effective July 1, 1982; 1984, ch. 111, § 140, effective July 13, 1984; 1986, ch. 291, § 5, effective July 15, 1986; 1998, ch. 214, § 6, effective January 1, 1999; 2010, ch. 163, § 5, effective July 15, 2010.

Compiler’s Notes.

1980 Ky. Acts ch. 396 would have amended this section effective July 1, 1982. However, 1980 Ky. Acts ch. 396 was repealed by 1982 Ky. Acts ch. 141, sec. 146, also effective July 1, 1982.

Opinions of Attorney General.

A felony conviction disqualifies a person from receiving an original engineer’s license or a license on renewal. OAG 70-695 .

The conditions imposed by this section must apply to a renewal of license as well as to the original issue of license. OAG 70-695 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

322.060. Prerequisites for practice of engineering by a business entity — Permit — Responsibility for conduct — Disciplinary action — Requirement of board certificate or letter for incorporation or for registration as a foreign corporation.

    1. A business entity shall not engage in the practice of engineering in this state unless: (1) (a) A business entity shall not engage in the practice of engineering in this state unless:
      1. At least one (1) of its principals or officers, or a designated employee, is a professional engineer who is in responsible charge of the engineering work;
      2. The professional engineer in responsible charge is located at the Kentucky office, if one is maintained; and
      3. The board has issued a permit to the business entity.
    2. To apply for a permit, a business entity offering engineering services in this state shall file with the board, on a form prescribed by the board:
      1. The names and addresses of all principals and officers;
      2. The license number of principals, officers, and employees who are professional engineers in responsible charge of the business entity’s practice of engineering in this state; and
      3. A list of locations of all offices in this state at which the business entity offers professional engineering services.
    3. If more than one (1) place of business is maintained in this state, a professional engineer shall be in responsible charge of the engineering work for each office.
    4. A professional engineer who renders occasional, part-time, or consulting engineering services to or for a business entity required to hold a permit from the board under this section shall not be designated as the person in responsible charge of the engineering work unless the professional engineer is an officer or owner of the business entity.
    5. A business entity holding a permit shall advise the board in writing within thirty (30) days of any change of status in those items listed in paragraph (b) of this subsection.
    6. An individual professional engineer providing engineering services as a sole proprietor in the name listed on his or her individual license, or architectural firms offering engineering services incident to their practice, shall be excluded from the provisions of this subsection.
    1. A business entity shall not engage in the practice of land surveying in this state unless: (2) (a) A business entity shall not engage in the practice of land surveying in this state unless:
      1. At least one (1) of its principals or officers, or a designated employee, is a professional land surveyor in direct responsible charge of the land surveying work;
      2. The professional land surveyor in responsible charge is located at the Kentucky office, if one is maintained; and
      3. The board has issued a permit to the business entity.
    2. To apply for a permit, a business entity offering land surveying services in this state shall file with the board, on a form prescribed by the board:
      1. The names and addresses of all principals and officers;
      2. The license numbers of the principals, officers, and employees who are professional land surveyors in responsible charge of the practice of land surveying in this state; and
      3. A list of locations of all offices in this state at which the business entity offers professional land surveying services.
    3. If more than one (1) place of business is maintained in this state, a professional land surveyor shall be in responsible charge of the land surveying work for each office.
    4. A professional land surveyor who renders occasional, part-time, or consulting services to or for a business entity required to hold a permit from the board under this section shall not be designated as the person in responsible charge of the land surveying work unless the professional land surveyor is an officer or owner of the business entity.
    5. A business entity holding a permit shall advise the board in writing within thirty (30) days of any change of status.
    6. An individual professional land surveyor providing land surveying services as a sole proprietor in the name listed on his or her individual license shall be excluded from the provisions of this subsection.
    1. After a business entity applies for a professional engineering or professional land surveying permit and pays the proper fees, the board shall review the application and, upon approval, shall issue a permit. (3) (a) After a business entity applies for a professional engineering or professional land surveying permit and pays the proper fees, the board shall review the application and, upon approval, shall issue a permit.
    2. The board may suspend, revoke, or refuse to issue a permit for violation of the code of professional practice and conduct.
    3. The expiration date and renewal period for each permit and renewal procedures shall be established by administrative regulations promulgated by the board.
    1. No business entity shall be relieved of responsibility for the conduct or acts of its agent, employees, or officers by reason of its compliance with this section. (4) (a) No business entity shall be relieved of responsibility for the conduct or acts of its agent, employees, or officers by reason of its compliance with this section.
    2. No individual practicing professional engineering or professional land surveying shall be relieved of the responsibility for professional services performed by reason of the individual’s employment or relationship with a business entity holding a permit under this section.
  1. Disciplinary action against a business entity holding a permit under this section shall be administered in the same manner and on the same grounds as disciplinary action against an individual professional engineer or professional land surveyor.
  2. The Secretary of State shall not accept articles of incorporation, articles of organization, statement of qualification or certificate of limited partnership or an application for a certificate of authority to transact business as a foreign corporation, limited liability company or limited partnership or a statement of foreign qualification from a business entity which includes in its name or, among objects for which it is established, any of the words, “engineer,” “engineering,” “surveyor,” “surveying,” “land surveying,” or any modification or derivation thereof, unless the filing with the Secretary of State includes a certificate or letter from the board.

History. 1599e-12: amend. Acts 1986, ch. 291, § 6, effective July 15, 1986; 1992, ch. 96, § 2, effective July 14, 1992; 1998, ch. 214, § 7, effective January 1, 1999; 2007, ch. 137, § 141, effective June 26, 2007; repealed and reenact., Acts 2010, ch. 51, § 141, effective July 15, 2010; 2010, ch. 163, § 6, effective July 15, 2010.

Legislative Research Commission Note.

(7/15/2010). This section was amended by 2010 Ky. Acts ch. 163, and repealed and reenacted by 2010 Ky Acts ch. 51. Pursuant to Section 184 of Acts ch. 51, it was the intent of the General Assembly that the repeal and reenactment not serve to void the amendment, and these Acts do not appear to be in conflict; therefore, they have been codified together.

Research References and Practice Aids

Kentucky Law Journal.

Rutledge, The 2007 Amendments to the Kentucky Business Entity Statutes, 97 Ky. L.J. 229 (2008).

322.070. Application for licenses.

Applications for professional engineer or professional land surveyor licenses shall be on forms prescribed and furnished by the board and shall contain:

  1. Statements made under oath, showing the applicant’s education and a detailed summary of the applicant’s technical experience;
  2. Not less than five (5) references, of which at least three (3) shall be from professional engineers or professional land surveyors, as may be appropriate, having personal knowledge of the applicant’s engineering or land surveying experience; and
  3. Any other information as the board may require by administrative regulation.

References and employment verifications submitted under this section shall remain confidential records of the board.

History. 1599e-13: amend. Acts 1986, ch. 291, § 7, effective July 15, 1986; 1998, ch. 214, § 8, effective January 1, 1999; 2010, ch. 163, § 7, effective July 15, 2010.

322.080. Time, place, scope of examination.

  1. Examinations shall be held at times and places determined by the board by promulgation of administrative regulations.
  2. The scope of the examination and the methods of procedure shall be prescribed by the board with special reference to the applicant’s ability to design and supervise engineering or land surveying works so as to insure the safety of life, health, and property.

History. 1599e-14: amend. Acts 1972, ch. 148, § 5; 1986, ch. 291, § 8, effective July 15, 1986; 1998, ch. 214, § 9, effective January 1, 1999.

322.090. Reexamination.

  1. An applicant failing an examination up to two (2) times may apply for reexamination.
  2. After July 12, 2006, an applicant failing an examination three (3) or more times, regardless of the jurisdiction where each examination is administered, may be approved for reexamination upon submitting a new application. The new application shall include evidence that the applicant has acquired additional knowledge. The board shall promulgate administrative regulations specifying the type and extent of additional knowledge and qualifications required to apply for reexamination under this subsection.
  3. Reexaminations under this section shall be granted upon payment of a fee to be determined by administrative regulations promulgated by the board.

History. 1599e-14: amend. Acts 1972, ch. 148, § 6; 1982, ch. 273, § 3, effective July 15, 1982; 1998, ch. 214, § 10, effective January 1, 1999; 2006, ch. 67, § 1, effective July 12, 2006.

322.100. License fees.

The license fees for professional engineers and professional land surveyors shall be established by administrative regulation promulgated by the board. If the board refuses to issue a license to any applicant, the initial fee deposited shall be retained as an application fee.

History. 1599e-13: amend. Acts 1972, ch. 148, § 7; 1978, ch. 313, § 8, effective June 17, 1978; 1986, ch. 291, § 9, effective July 15, 1986; 1998, ch. 214, § 11, effective January 1, 1999.

322.110. Licensure — Designations — Rights associated with license.

  1. The board shall issue a license authorizing the practice of engineering or land surveying to any applicant who has met the respective requirements set forth in this chapter.
  2. All licenses issued under this subsection shall be signed by the chairman and the secretary of the board, under the seal of the board. Each license shall bear the full name of the licensee, the license number, and one (1) of the following designations:
    1. “Professional Engineer”;
    2. “Professional Land Surveyor”;
    3. “Professional Engineer, Inactive”;
    4. “Professional Engineer, Retired”;
    5. “Professional Land Surveyor, Inactive”; or
    6. “Professional Land Surveyor, Retired.”
  3. The designations in paragraphs (c), (d), (e), and (f) of subsection (2) of this section shall be defined in administrative regulations promulgated by the board.
    1. A valid professional engineer or professional land surveyor license shall be prima facie evidence that the licensee is entitled to all rights, privileges, and responsibilities of a professional engineer or a professional land surveyor. (4) (a) A valid professional engineer or professional land surveyor license shall be prima facie evidence that the licensee is entitled to all rights, privileges, and responsibilities of a professional engineer or a professional land surveyor.
    2. A valid license bearing the designation “inactive” or “retired” shall be prima facie evidence that the licensee is entitled to all rights, privileges, and responsibilities of a professional engineer or professional land surveyor, except the right to practice.

History. 1599e-15: amend. Acts 1972, ch. 148, § 8; 1986, ch. 291, § 10, effective July 15, 1986; 1998, ch. 214, § 12, effective January 1, 1999.

322.120. Licensure by endorsement.

The board may, by promulgation of administrative regulations, establish requirements and fees for licensure by endorsement for those applicants who:

  1. Hold a current license or certificate of registration to engage in the practice of engineering or land surveying issued by any state, territory, or possession of the United States, the District of Columbia, or any foreign country; and
  2. Submit proof that the requirements and qualifications supporting that license or certificate:
    1. Are not in conflict with the provisions of this chapter; and
    2. Equal or exceed this state’s requirements in effect on the date of issuance. However, the land surveyor applicant may be required to take examinations, as the board deems necessary, to determine the competency to engage in the practice of land surveying in this state. The examination shall include questions on laws, procedures, and practices pertaining to land surveying in this state.

History. 1599e-19: amend. Acts 1972, ch. 148, § 9; 1978, ch. 313, § 9, effective June 17, 1978; 1986, ch. 291, § 11, effective July 15, 1986; 1998, ch. 214, § 13, effective January 1, 1999; 2010, ch. 163, § 8, effective July 15, 2010.

Opinions of Attorney General.

This section does not necessarily require that an out-of-state applicant, who has previously been licensed by another state or country, must have taken a written and/or oral examination to be licensed in this state. OAG 73-569 .

322.130. Form of registration. [Repealed.]

Compiler’s Notes.

This section (1599e-15: amend. Acts 1972, ch. 148, § 10; 1986, ch. 291, § 12, effective July 15, 1986) was repealed by Acts 1998, ch. 214, § 46, effective January 1, 1999.

322.140. Registration prima facie evidence of right to practice. [Repealed.]

Compiler’s Notes.

This section (1599e-15: amend. Acts 1972, ch. 148, § 11; 1986, ch. 291, § 13, effective July 15, 1986) was repealed by Acts 1998, ch. 214, § 46, effective January 1, 1999.

322.150. Expiration date of registration. [Repealed.]

Compiler’s Notes.

This section (1599e-16: amend. Acts 1986, ch. 291, § 14, effective July 15, 1986) was repealed by Acts 1998, ch. 214, § 46, effective January 1, 1999.

322.160. Renewal of license or permit — Duty of executive director — No renewal fee for years spent in Armed Forces.

  1. Licenses for individuals and permits for business entities shall be valid for not more than two (2) years from the date of issuance, unless renewed.
  2. The executive director shall notify every licensee and permit holder at least one (1) month in advance of the pending expiration date.
    1. All license renewals shall be completed on or before June 30 of the year of expiration.
    2. All permit renewals shall be completed on or before December 31 of the year of expiration.
    3. Each licensee or permit holder is responsible for notifying the board of any address change.
    4. The responsibility for the timely renewal of a license or permit rests with the licensee or permit holder.
  3. The failure to renew shall not deprive a licensee or permit holder of the right of renewal, but the fee to be paid for the renewal shall be increased ten percent (10%) for each month or fraction of a month that payment of renewal is delayed. Any licensee or permit holder who fails to renew within one (1) year after expiration shall furnish the board with:
    1. Satisfactory evidence of qualification of continued practice. However, the board may require reexamination; and
    2. Evidence of completion of continuing education hours as required by KRS 322.290 .
  4. No licensee shall be required to pay renewal fees to the board during the time the licensee is on active duty in the Armed Forces of the United States.
    1. Any licensee who has previously paid any renewal fee covering a period of time spent on active duty shall, upon filing with the board a copy of his or her discharge, be granted a license renewal without the payment of any fee.
    2. The free renewal shall be for as many license years as the licensee was on active duty and which were covered in whole or in part by the previous payment of a renewal fee.
    3. The continuing education requirement under KRS 322.290 shall be waived for those years the licensee was on active duty.

History. 1599e-16: amend. Acts 1946, ch. 65; 1978, ch. 313, § 10, effective June 17, 1978; 1982, ch. 273, § 4, effective July 15, 1982; 1986, ch. 291, § 15, effective July 15, 1986; 1998, ch. 214, § 14, effective January 1, 1999; 2004, ch. 134, § 1, effective July 13, 2004; 2007, ch. 16, § 1, effective June 26, 2007; 2010, ch. 163, § 9, effective July 15, 2010.

Opinions of Attorney General.

A felony conviction disqualifies a person from receiving an original engineer’s license or a license on renewal. OAG 70-695 .

The conditions imposed by KRS 322.050 must apply to a renewal of license as well as to the original issue of license. OAG 70-695 .

322.170. Replacement and reissuance of certain licenses and permits.

  1. A new license or permit may be issued to replace any license or permit that was lost, destroyed, or mutilated, subject to the administrative regulations promulgated by the board.
  2. A license or permit may be reissued to replace any license or permit that was previously revoked, subject to KRS 322.220 .

History. 1599e-20: amend. Acts 1972, ch. 148, § 12; 1986, ch. 291, § 16, effective July 15, 1986; 1998, ch. 214, § 15, effective January 1, 1999.

322.180. Grounds for denial of licensure and for disciplinary action.

The board may refuse to issue, refuse to renew, suspend, or revoke a license, may reprimand, place on probation, or admonish a licensee, may impose a fine on a licensee not to exceed one thousand dollars ($1,000), or may impose any combination of these penalties when it finds that an applicant or licensee:

  1. Engaged in any practice of fraud or deceit in obtaining a license;
  2. Engaged in gross negligence, incompetence, or misconduct in the practice of engineering or land surveying;
  3. Violated any provision of this chapter, the administrative regulations promulgated by the board, or the code of professional practice and conduct adopted by the board and incorporated in administrative regulations;
  4. Employed, procured, or induced a person not licensed to practice engineering or land surveying in this state;
  5. Aided or abetted a person not licensed to practice engineering or land surveying in this state;
  6. Been granted a license upon a mistake of material fact;
  7. Been convicted by a court of law of a felony, if in accordance with KRS Chapter 335B;
  8. Become a chronic or persistent alcoholic or has become drug-addicted so that continued practice is dangerous to clients or to the public safety;
  9. Developed a physical or mental disability or other condition so that continued practice is dangerous to clients or to the public safety;
  10. Violated any order of suspension or the terms or conditions of any order of probation issued by the board;
  11. Had a license or registration certificate to practice as an engineer or land surveyor denied, limited, suspended, probated, or revoked in another jurisdiction on grounds sufficient to cause licensure to be denied, limited, suspended, probated, or revoked in this state;
  12. Engaged in conduct likely to deceive or defraud the public;
  13. Presented or attempted to use as his or her own the license, seal, or stamp of another;
  14. Falsely impersonated any other licensee;
  15. Attempted to use an expired, suspended, or revoked license;
  16. Provided certification for any plan, specification, plat, report, or physical description not prepared by him or her or under his or her direct supervision; or
  17. Applied the seal, stamp, signature, or title block of another professional engineer or professional land surveyor to a plan, specification, plat, report, or physical description that was not prepared by the other professional engineer or land surveyor.

HISTORY: 1599e-20: amend. Acts 1972, ch. 148, § 13; 1982, ch. 273, § 5, effective July 15, 1982; 1986, ch. 291, § 17, effective July 15, 1986; 1998, ch. 214, § 16, effective January 1, 1999; 2010, ch. 163, § 10, effective July 15, 2010; 2017 ch. 158, § 70, effective June 29, 2017.

NOTES TO DECISIONS

1.Notice.

Surveyors should have been given notice, as required by regulation, that any violations of the code of professional practice and conduct may have occurred and failure to do so was grounds for overturning conclusions of law by board with regard to complaint alleging gross negligence and incompetence. Kerr v. Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors, 797 S.W.2d 714, 1990 Ky. App. LEXIS 155 (Ky. Ct. App. 1990).

NOTES TO UNPUBLISHED DECISIONS

1.Vagueness.

Unpublished decision: Land surveyor could reasonably have expected to understand that giving testimony other than that which was honest would expose him to professional discipline; the statutory and regulatory requirements that experts testify truthfully and competently were specific and not vague, KRS 322.180 , 201 Ky. Admin. Regs. 18:142. Ky. State Bd. of Licensure for Prof'l Eng'rs & Land Surveyors v. Curd, 2012 Ky. App. Unpub. LEXIS 1026 (Ky. Ct. App. Feb. 17, 2012).

322.190. Investigation and resolution of complaints — Appeals.

Any person or organization, including the board upon its own volition, may file with the executive director of the board a written complaint alleging violation of any provision of this chapter. The executive director shall cause the complaint to be investigated.

  1. If the investigation reveals that the alleged violation did occur but was not of a serious nature, the board may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the permanent file of the licensee. The licensee shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have the response placed in the permanent licensure file. The licensee may alternatively, within thirty (30) days of the receipt, file 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 in accordance with the provisions of KRS Chapter 13B.
  2. If the investigation reveals evidence supporting the complaint, the executive director shall set the matter for hearing in accordance with the provisions of KRS Chapter 13B before refusing to renew, suspending, revoking, reprimanding, imposing probation or an administrative fine, or any combination of actions regarding any license under the provisions of this chapter.
    1. At any time during the investigation or hearing process, the board may accept a written assurance of voluntary compliance from the licensee which effectively deals with the complaint.
    2. When the board issues a written reprimand to the licensee, a copy of the reprimand shall be placed in the permanent file of the licensee. The licensee shall have the right to submit a response within thirty (30) days of its receipt and to have that response filed in the permanent file.
  3. After denying an application under the provisions of this chapter, the board may grant a hearing to the denied applicant in accordance with the provisions of KRS Chapter 13B.
  4. The board may reconsider, modify, or reverse its decision on any disciplinary action.
  5. Any party aggrieved by a disciplinary action of the board may bring an action in Franklin Circuit Court in accordance with the provisions of KRS Chapter 13B.

History. 1599e-20: amend. Acts 1972, ch. 148, § 14; 1982, ch. 273, § 6, effective July 15, 1982; 1986, ch. 291, § 18, effective July 15, 1986; 1998, ch. 214, § 17, effective January 1, 1999.

322.200. Hearing on charges. [Repealed.]

Compiler’s Notes.

This section (1599e-20: amend. Acts 1966, ch. 68, § 2; 1972, ch. 148, § 15; 1986, ch. 291, § 19, effective July 15, 1986; 1996, ch. 318, § 285, effective July 15, 1996; 1998, ch. 214, § 18, effective January 1, 1999) was repealed by Acts 2010, ch. 163, § 16, effective July 15, 2010.

322.210. Appeal from order of refusal or revocation. [Repealed.]

Compiler’s Notes.

This section (1599e-20: amend. Acts 1982, ch. 273, § 7, effective July 15, 1982; 1986, ch. 291, § 20, effective July 15, 1986) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

322.220. Petition for reissuance of license after revocation.

A person whose license has been revoked may petition the board to reissue. The board shall investigate the petition and may reissue the license upon a finding that the person has complied with any terms prescribed by the board and is again able to competently practice.

History. 1599e-20: amend. Acts 1986, ch. 291, § 21, effective July 15, 1986; 1998, ch. 214, § 19, effective January 1, 1999.

322.230. State Board of Licensure for Professional Engineers and Land Surveyors — Membership — Terms — Oath.

  1. The State Board of Licensure for Professional Engineers and Land Surveyors shall consist of nine (9) members appointed by the Governor and two (2) ex officio members each with full voting rights. The ex officio members shall be the dean of the College of Engineering of the University of Kentucky and the dean of the J.B. Speed School of Engineering of the University of Louisville.
  2. The term of each member of the board shall be four (4) years. Each member shall hold office until the expiration of the term or until a successor has been appointed and has qualified.
  3. Before beginning a term of office, every member shall file with the Secretary of State a written oath for the faithful discharge of official duties.
  4. No member of the board shall serve as an employee of the board.

History. 1599e-3: amend. Acts 1966, ch. 68, § 3; 1972, ch. 148, § 16; 1976, ch. 206, § 16; 1998, ch. 214, § 20, effective January 1, 1999; 2008, ch. 173, § 1, effective July 15, 2008.

Legislative Research Commission Notes.

(7/15/2010). 2010 Ky. Acts ch. 163, sec. 17, provides: “One professional land surveyor who is appointed under KRS 322.230 to fill a position on the State Board of Licensure for Professional Engineers and Land Surveyors after the previous term for that position has expired on December 31, 2010, shall serve a term of three years, after which appointments to this board position shall be for a term of four years.”

Opinions of Attorney General.

The only oath that need be sworn by members of the state board of registration for professional engineers and land surveyors is that required by subsection (3) of this section, which is that found in Const., § 228, and since a newly appointed member of the board is required to file his written oath with the Secretary of State before beginning his term of office, such member cannot act in his capacity as a member at a meeting until this provision has been complied with. OAG 73-189 .

In the absence of legislative action the term of a board member may extend a reasonable time beyond his four years until his successor has been appointed and qualified. OAG 73-236 .

The four-year term provided by this section may not be cut short by the premature appointment and qualification of a successor. OAG 73-236 .

The qualifications set forth in KRS 322.240 apply only to the appointed members of the board and do not apply to the ex officio members. OAG 82-358 .

Unless there is a separate university requirement that the dean of the University of Kentucky College of Engineering be a licensed professional engineer, he need not be a licensed professional engineer to take an ex officio seat on the board. OAG 82-358 .

Unless there is a university policy or regulation which dilutes or restricts the power of the acting dean of the University of Kentucky College of Engineering, he has the same power and authority of the permanent dean, and as such, there is nothing to prevent him from assuming membership on the board. OAG 82-358 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

Compiler’s Notes.

The Legislative Research Commission Note appears to incorporate a correction from the Reviser of Statutes in the note.

322.240. Qualifications of board members.

  1. Each appointed member of the board shall:
    1. Be a citizen of the United States;
    2. Have been a resident of this state for at least five (5) years; and
    3. Be a resident of this state at the time of appointment and for the term of the appointment.
  2. One (1) member of the board shall be a citizen at large who is not associated with or financially interested in the practice of engineering or land surveying.
  3. Eight (8) members of the board shall be a professional engineer or a professional land surveyor engaged in the respective practice for at least twelve (12) years and shall have been in responsible charge of important engineering or land surveying work for at least five (5) years.
    1. At least five (5) members of the board shall be professional engineers licensed in Kentucky for at least four (4) years prior to the date of their appointment;
    2. At least three (3) members of the board shall be professional land surveyors licensed in Kentucky for at least four (4) years prior to the date of their appointment; and
    3. The eight (8) members shall remain professional engineers or professional land surveyors licensed in Kentucky during the term of their appointments. If a member’s license is surrendered, suspended, revoked, or placed in inactive or retired status, that member shall automatically be removed from the board and the vacancy filled under KRS 322.250(5).

History. 1599e-3, 1599e-4: amend. Acts 1966, ch. 68, § 4; 1972, ch. 148, § 17; 1976, ch. 206, § 17; 1986, ch. 291, § 22, effective July 15, 1986; 1998, ch. 214, § 21, effective January 1, 1999; 2008, ch. 173, § 2, effective July 15, 2008.

Opinions of Attorney General.

In order to qualify for membership on the board, one must be a citizen of the United States, a resident of Kentucky and have either been in “responsible charge of important engineering work or responsible charge of engineering teaching” for at least five years, and all board members must be licensed engineers. OAG 71-271 .

To qualify as a board member under this section, it is possible for an engineer to have been exempted from the necessity of having a Kentucky license by KRS 322.030 for part or all of his engineering career. OAG 71-271 .

The qualifications set forth in this section apply only to the appointed members of the board and do not apply to the ex officio members. OAG 82-358 .

322.250. Appointment of board members — Vacancies.

  1. Except as provided for in subsection (5) of this section, each land surveyor appointment to the board shall be made from a list of not less than three (3) nominees to be submitted to the Governor jointly by the Kentucky Society of Professional Engineers and the Kentucky Association of Professional Surveyors, with input from other professional societies. All other appointments to the board shall be made from a list of not less than three (3) nominees to be submitted to the Governor by the Kentucky Society of Professional Engineers with input from other professional societies.
  2. The nominations shall be submitted to the Governor at least sixty (60) days prior to the appointment date.
  3. The term of office for all full-term appointments shall begin January 1.
  4. Board members shall be allowed to succeed themselves but shall be limited to not more than two (2) consecutive terms. A former member may be reappointed to the board if the member has not served in the preceding four (4) years.
  5. If a vacancy on the board occurs for any reason resulting in an unexpired term, if not filled within three (3) months by official action of the Governor, the board may appoint a provisional member to serve in the interim until the Governor acts.
  6. Every unexpired term shall be filled only for the remainder of that term.

History. 1599e-3, 1599e-6: amend. Acts 1966, ch. 68, § 5; 1972, ch. 148, § 18; 1998, ch. 214, § 22, effective January 1, 1999.

Compiler’s Notes.

Acts 1998, ch. 214, § 47 provided: “By January 1, 1999, the Governor shall appoint two (2) members of the State Board of Licensure for Professional Engineers and Professional Land Surveyors in a manner consistent with the requirements of KRS 322.250 .”

Opinions of Attorney General.

The 1972 amendment by section 18 of Chapter 148 is valid as the General Assembly has the authority to change or cut short the terms of office where such office was created by the General Assembly. OAG 72-372 .

The appointment of a full-term board member made shortly after January 1 as provided in subsection (6) of this section would relate back to that date. OAG 73-236 .

322.260. Officers of board.

Every year the board shall elect a chair, a vice chair, and a secretary-treasurer.

History. 1599e-7, 1599e-9: amend. Acts 1946, ch. 27, § 9; 1972, ch. 148, § 19; 1998, ch. 214, § 23, effective January 1, 1999; 2010, ch. 163, § 11, effective July 15, 2010.

322.270. Compensation of board members.

Each member shall receive compensation as promulgated by administrative regulation of the board and approved by the appropriate legislative body. Official duties include meetings of committees of the board and time spent in necessary travel. Further, members shall be reimbursed for costs for all actual and necessary expenses incurred in carrying out their official duties as board members.

History. 1599e-5, 1599e-9: amend. Acts 1972, ch. 148, § 20; 1986, ch. 291, § 23, effective July 15, 1986; 1998, ch. 214, § 24, effective January 1, 1999.

Opinions of Attorney General.

The secretary-treasurer of the board must be compensated solely in the method prescribed in this section. OAG 72-742 .

322.280. Meetings of board.

  1. The board shall hold at least four (4) regular meetings each year. Special meetings shall be held if the bylaws provide. Notice of all meetings shall be given in the manner provided by the bylaws.
  2. Six (6) members shall constitute a quorum.

History. 1599e-7: amend. Acts 1972, ch. 148, § 21; 1986, ch. 291, § 24, effective July 15, 1986; 1998, ch. 214, § 25, effective January 1, 1999.

322.290. Functions of board.

The board shall:

  1. Administer this chapter;
  2. Adopt an official seal;
  3. Provide suitable office quarters at its own expense;
  4. Adopt and amend all bylaws and rules of procedure, and promulgate administrative regulations, consistent with the Constitution and laws of the state and reasonably necessary for the proper performance of its duties and the regulation and fair conduct of the proceedings before it;
  5. Appoint an executive director and assistant executive directors and fix their compensation;
  6. Employ any clerk or other assistants necessary for the proper performance of its work;
  7. Appoint a general counsel and any assistant general counsel as it deems necessary and fix their compensation;
  8. Appoint investigatory personnel, as it deems necessary, and fix their compensation;
  9. Appoint committees of licensees, as it deems necessary, to review issues before the board and make recommendations to the board;
  10. Make expenditures, as it deems necessary, for any purpose that it considers reasonably necessary for the proper performance of its duties, including paying the expenses of the board’s delegates to national conventions of and membership dues to the National Council of Examiners for Engineering and Surveying or other affiliated national boards or societies;
  11. Adopt and promulgate by administrative regulation a code of professional practice and conduct, which shall be based upon generally recognized principles of professional ethical conduct and binding upon persons licensed under this chapter. A code of professional practice and conduct shall be made known to all licensees and applicants and shall include but not be limited to the following objectives:
    1. The protection of the public health, safety, and welfare;
    2. The maintenance of standards of objectivity, truthfulness, and reliability in public statements;
    3. The avoidance of conflicts of interest;
    4. The prohibition of solicitation or acceptance of engineering or land surveying work on any basis other than qualifications for the work offered;
    5. The prohibition of association with any person engaging in illegal or dishonest activities; and
    6. The limitation of professional service to the area of competence of the licensee;
  12. Adopt appropriate standards of practice;
  13. Promulgate administrative regulations in accordance with KRS Chapter 13A to establish rules for the use of stamps, seals, and signatures in electronic transactions;
  14. Bring, in its name, injunctive proceedings in the Franklin Circuit Court to enjoin any person, business entity, or combination thereof in violation of KRS 322.020 or KRS 322.060 ;
  15. Adopt a program for continuing education for its individual land surveyor licensees. No individual land surveyor licensee shall be permitted to renew his or her license unless the minimum annual continuing education requirements are met, in addition to any other requirement for renewal. The program for continuing education shall not exceed a total of eight (8) credit clock hours per year and shall not include testing or examination of the licensee in any manner; and
  16. Adopt a program for continuing education for its individual engineer licensees.
    1. The program for continuing education shall not exceed a total of fifteen (15) credit clock hours per year and shall not include testing or examination of the licensee in any manner.
    2. No individual engineer licensee shall be permitted to renew his or her license unless the minimum annual continuing education requirements are met, except as provided in paragraph (c) of this subsection, in addition to any other requirement for renewal.
    3. Any person licensed under this chapter as a professional engineer prior to January 1, 1972, who has maintained his or her license in good standing since becoming licensed shall not be subject to any continuing education requirements.

History. 1599e-3, 1599e-8, 1599e-9, 1599e-21, 1599e-23: amend. Acts 1972, ch. 148, § 22; 1982, ch. 273, § 8, effective July 15, 1982; 1986, ch. 291, § 25, effective July 15, 1986; 1992, ch. 82, § 1, effective July 14, 1992; 1998, ch. 214, § 26, effective January 1, 1999; 2000, ch. 238, § 1, effective July 14, 2000; 2007, ch. 16, § 2, effective June 26, 2007.

Legislative Research Commission Note.

(6/26/2007). Under the authority of KRS 7.136(1), the Reviser of Statutes has changed the internal numbering system and rearranged some text of subsection (16) of this statute. No words were changed in the process.

NOTES TO DECISIONS

1.Purpose.

This was simply a statute designed to enable the board to establish rules of procedure, not to publish regulations; therefore, minimum standards of practice adopted internally were not authorized by statute and could not be used as a basis to suspend surveyor. Kerr v. Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors, 797 S.W.2d 714, 1990 Ky. App. LEXIS 155 (Ky. Ct. App. 1990).

2.Agency Powers.

Regulatory agencies are creatures of statute, and have no powers of their own; internally adopted policies with regard to minimum standards of practice are null and void, and of no effect whatsoever. Kerr v. Kentucky State Bd. of Registration for Professional Engineers & Land Surveyors, 797 S.W.2d 714, 1990 Ky. App. LEXIS 155 (Ky. Ct. App. 1990).

Opinions of Attorney General.

The Kentucky state Board of Registration for Professional Engineers and Land Surveyors has no statutory authority to adopt a standard type of monument for use by all licensed land surveyors in the state. OAG 67-112 .

Where the Board of Registration for Professional Engineers and Land Surveyors leased office facilities for 35 years and was required to prepay all $135,000 of rent for that time, but could get a refund of the bulk of that amount if it decided to terminate the lease sooner, the expenditure was valid and constitutional since the Board got what it bargained for, i.e., an estate for years. OAG 78-724 .

Research References and Practice Aids

Cross-References.

Attorneys for state agencies, employment of, KRS 12.210 .

322.300. Board to keep record of proceedings and register of applications.

The board shall keep a record of its proceedings and a register of all applications for licensure. The register shall state the following:

  1. Name, age, and residence of each applicant;
  2. Date of the application;
  3. Place of business of the applicant;
  4. Education and other qualifications of the applicant;
  5. Whether an examination was required;
  6. Whether the applicant was rejected;
  7. Whether a license was granted;
  8. Date of the action of the board; and
  9. Any other information that the board considers necessary.

History. 1599e-10: amend. Acts 1986, ch. 291, § 26, effective July 15, 1986; 1998, ch. 214, § 27, effective January 1, 1999.

322.310. Board to report annually to Governor. [Repealed.]

Compiler’s Notes.

This section (11599e-10) was repealed by Acts 2010, ch. 163, § 16, effective July 15, 2010.

322.320. Board may require attendance of witnesses, production of documents.

  1. In carrying this chapter into effect, the board, under the hand of its chairman or executive director and under its seal, may, during the investigation or an administrative hearing procedure, in cases involving the revocation of a license or practicing or offering to practice without a license, subpoena witnesses and compel their attendance and require the production of books, papers, and documents. Any member may administer oaths to witnesses appearing before the board.
  2. If any person refuses to obey any subpoena so issued or refuses to testify or produce any books, papers, or documents, the board may present its petition to any authority having jurisdiction, setting forth the facts. That authority shall, in a proper case, issue its subpoena to the person, requiring him to attend and testify or produce books, papers and documents considered necessary and pertinent by the board.
  3. Board members and agents and staff of the board shall be held free of any personal liability as a result of board actions.

History. 1599e-8: amend. Acts 1972, ch. 148, § 23; 1986, ch. 291, § 27, effective July 15, 1986; 1998, ch. 214, § 28, effective January 1, 1999.

Opinions of Attorney General.

Subsection (3) of this section is directed to the actions of the Board generally and is not confined to those actions of the Board which are set out specifically in the preceding subsections. OAG 72-742 .

322.330. Duties of secretary-treasurer.

The secretary-treasurer, or any other officer or designee properly authorized by the board, shall:

  1. Receive and account for all money collected under this chapter and pay it into the State Treasury; and
  2. Provide in an electronic format on the board’s Web site a roster showing the names and addresses of all professional engineers, professional land surveyors, and business entities holding permits to practice engineering or land surveying in this state.

History. 1599e-9, 1599e-11: amend. Acts 1972, ch. 148, § 24; 1986, ch. 291, § 28, effective July 15, 1986; 1998, ch. 214, § 29, effective January 1, 1999; 2010, ch. 163, § 12, effective July 15, 2010.

Research References and Practice Aids

Cross-References.

Cash receipts to be paid into state treasury, KRS 41.070 .

322.340. Licensee to obtain seal or stamp — Use of seal or stamp.

  1. Each professional engineer or professional land surveyor shall, upon licensure, obtain a seal or stamp of the design authorized by the board, bearing his or her name, license number, and the words “Licensed Professional Engineer” or “Licensed Professional Land Surveyor.”
  2. Use of the stamp, seal, or signature in an electronic transaction shall be conducted in accordance with administrative regulations promulgated by the board under KRS 322.290(13).
  3. The seal or stamp, signature, and the date shall be used to provide certification for all reports, specifications, drawings, and plans, if presented to a client or any public or governmental agency. Reproduction of original signatures shall be adequate to meet the requirements of this subsection.
  4. The seal or stamp and signature shall be used by licensees only if the work being stamped was under the licensee’s complete direction and control.
  5. Every survey plat and physical description prepared by a professional land surveyor and submitted to a client or any public or governmental agency shall display the certification by the professional land surveyor under whose supervision the plat or description was prepared.
  6. It shall be unlawful for a licensee to affix, or permit to be affixed, his or her seal, stamp, or signature to any document described in subsection (3) or (5) of this section:
    1. After the expiration of a license; or
    2. For the purpose of aiding or abetting any other person to evade or attempt to evade any provisions of this chapter.
  7. A professional engineer shall check and have complete dominion and control of the design and engineering work of any engineer not licensed to practice in this state. Complete dominion and control shall include possession of the sealed and signed reproducible construction documents with all supporting design calculations, indicating all changes in the design.

History. 1599e-15: amend. Acts 1972, ch. 148, § 25; 1986, ch. 291, § 29, effective July 15, 1986; 1998, ch. 214, § 30, effective January 1, 1999; 2000, ch. 238, § 2, effective July 14, 2000.

Opinions of Attorney General.

A land surveyor is not prohibited from forming a corporation and being an officer or employee thereof as long as he renders services in his own name as prescribed by this section and KRS 322.440 (now repealed). OAG 75-450 .

322.350. Prohibited practices — Board to prefer charges. [Repealed.]

Compiler’s Notes.

This section (1599e-21: amend. Acts 1972, ch. 148, § 26; 1986, ch. 291, § 30, effective July 15, 1986) was repealed by Acts 1998, ch. 214, § 46, effective January 1, 1999.

322.360. Public work required to be done under professional engineer or licensed architect.

  1. Neither the state nor any of its political subdivisions shall engage in the construction of any public work involving engineering, unless the plans, specifications, and estimates have been prepared and the construction executed under the direct supervision of a professional engineer or a licensed architect.
  2. Subsection (1) of this section shall not apply to any public work, including a highway or capital project under KRS 56.491 , that involves only maintenance or repair of the facility. Maintenance or repair shall not include any work which alters, modifies, or changes the original characteristics of the design.

History. 1599e-18: amend. Acts 1972, ch. 247, § 2; 1974, ch. 74, Art. II, § 9(1); 1986, ch. 291, § 31, effective July 15, 1986; 1998, ch. 214, § 31, effective January 1, 1999.

NOTES TO DECISIONS

1.Municipal Swimming Pool.

Under this section, if there is a requirement of an on-site engineer or architect during the construction of a municipal swimming pool, it is the duty of the city, not the swimming pool builder, to provide one. Thomas v. Surf Pools, Inc., 602 S.W.2d 437, 1980 Ky. App. LEXIS 343 (Ky. Ct. App. 1980).

322.370. Incidental architectural practice permitted.

This chapter shall not prevent a professional engineer from carrying on any architectural practice incident to the practice of engineering.

History. 1599e-18: amend. Acts 1986, ch. 291, § 32, effective July 15, 1986; 1998, ch. 214, § 32, effective January 1, 1999.

NOTES TO DECISIONS

1.Unlawful Practice of Architecture.

A professional engineer was not performing services “incident to the practice of engineering” in drawing the preliminary plans and specifications for a nursing home and such act constituted practicing architecture without a license. Dahlem Constr. Co. v. State Board of Examiners & Registration of Architects, 459 S.W.2d 169, 1970 Ky. LEXIS 130 ( Ky. 1970 ).

322.380. Seeking business through another to avoid chapter prohibited.

  1. No person without a license under this chapter shall avoid or attempt to avoid this chapter by having a representative or employee seek engineering or land surveying work in his or her behalf.
  2. No person shall act as a representative or employee in the type of activity prohibited by subsection (1) of this section.

History. 1599e-12: amend. Acts 1972, ch. 148, § 27; 1986, ch. 291, § 33, effective July 15, 1986; 1998, ch. 214, § 33, effective January 1, 1999.

Land Surveyors

322.400. Plats or surveys not to be recorded unless certified by a professional land surveyor.

No county clerk of any county, or any other public authority, shall accept for filing, file, or record any map, plat, survey, or other document related to the practice of land surveying, unless it evidences certification by a professional land surveyor by whom, or under whose personal supervision and direction, the map, plat, survey, or other document was prepared.

History. Enact. Acts 1966, ch. 68, § 9; 1978, ch. 384, § 482, effective June 17, 1978; 1986, ch. 291, § 34, effective July 15, 1986; 1998, ch. 214, § 34, effective January 1, 1999.

Opinions of Attorney General.

An attorney for compensation, or a party for no compensation, can create new description in a deed without complying with the provisions of this section, provided that no actual, new land survey is involved. OAG 66-428 .

In a situation in which no new land survey is conducted, a deed merely containing new or changed description can be recorded by the county clerk and this section has no application. OAG 66-428 .

Where the parties to a deed do not use the usual equipment or devices in making accurate determinations of linear distances and bearings, this section does not apply. If, however, the parties survey one boundary line or locate one corner by standard surveying equipment, such act would bring them within the operation of this section. This section would also apply to any mapping or platting arising out of a land survey. However, where a deed contains a description evolved from a land survey but makes no express reference to such land survey and the plat is not attached to the deed, this section does not apply. OAG 66-575 .

This section relates only to land surveys conducted after the effective date of the act. OAG 67-112 .

This section refers to the usual documents involved in land surveys and conveyance of title. This would include any map, plat, survey and deed, provided the deed contains an explicit reference to such land survey. This section would not apply where the deed description evolved from a land survey but such deed makes no express reference to such land survey and the plat is not attached to the deed. OAG 67-112 .

While the term “survey” means a metes and bounds property description, this does not mean that all deeds or other instruments of conveyance containing such descriptions must, prior to being placed of record, be certified by a licensed land surveyor. This section does not mention a certification as such. This section requires the seal and signature of a licensed land surveyor by whom or under whose supervision such surveying documents, including deeds, were prepared. OAG 67-112 .

If easements cannot be adequately described in the instruments of conveyance so that they can be readily located on the ground, actual surveys would become necessary with the requirements of this section being applicable. OAG 69-105 .

Where a deed contains a description evolved from a land survey but such deed makes no express reference to such land survey and the plat is not attached to the deed, this section does not apply. OAG 69-383 ; 70-81.

The phrase “other document” relates to a pictorial or graphic representation of boundary lines such as to be consistent with the concept of map, plat, or survey. OAG 72-457 .

The county court clerk may not accept for filing a plat, map, or survey prepared by a landowner who is not a surveyor if that landowner’s plat is prepared for the purpose of complying with a city’s subdivision regulations. OAG 72-457 ; 72-511.

This section and KRS 322.440 (now repealed) do not apply where a deed does not have appended to it a survey, map, or plat. OAG 72-511 .

A county land surveyor, not licensed under KRS Chapter 322, who engages in surveying work in a private and unofficial capacity would be proceeding illegally if he did not fall within any of the exceptions of KRS 322.450 , and his work would not be entitled to be filed with and recorded by the county clerk pursuant to this section. OAG 74-317 .

Plats or surveys may be placed on record in book form or in looseleaf form under an adequate filing system, and the fact that the looseleaf system is not a book does not make it invalid. OAG 75-205 .

Where a city had a planning and zoning regulation which provides for acceptance of a “minor plat” consisting of 5 lots or less fronting on an established road sketched by the individual subdivider, the county clerk erroneously refused to record such instruments on the basis of this section since no new land surveying actually took place. OAG 75-589 .

Under this section a deed is unrecordable and does not give constructive notice if the accompanying new land survey has no affixed seal and signature of a licensed land surveyor. OAG 76-668 .

Because of the narrow range of this section, a new plat or survey or other document relating to the practice of land surveying which complies with the requirement of that section in terms of the personal seal and signature of a licensed land surveyor, etc., must be accepted for filing and recording; the county clerk cannot refuse to file and record such document, where it meets the requirements of this section, for the reason that the county health department has not given approval. OAG 79-540 .

A county clerk, or other public authority, is not permitted to record a subdivision plat which was prepared by a land owner who is not a registered professional land surveyor. OAG 94-24 .

322.410. Eligibility for license as land surveyor. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 68, § 6) was repealed by Acts 1972, ch. 148, § 31.

322.420. Disposition of fees paid to the board.

All fees paid to and collected by the board under this chapter shall be deposited in a depository designated by the board and disbursed only at the direction of the board.

History. Enact. Acts 1966, ch. 68, § 7; 1972, ch. 148, § 28; 1978, ch. 313, § 11, effective June 17, 1978; 1986, ch. 291, § 35, effective July 15, 1986; 1998, ch. 214, § 35, effective January 1, 1999; 2010, ch. 163, § 13, effective July 15, 2010.

322.430. Revocation or suspension of license, grounds, procedure. [Repealed.]

Compiler’s Notes.

This section (Acts 1966, ch. 68, § 10; 1978, ch. 384, § 483, effective June 17, 1978) was repealed by Acts 1986, ch. 291, § 39.

322.440. Land surveyor to have personal seal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 68, § 8; 1978, ch. 384, § 483) was repealed by Acts 1986, ch. 291, § 39.

322.450. Persons exempt from law.

The provisions of this chapter relating to the necessity of licensure to engage in the practice of land surveying shall not apply to any employee or employees of the Kentucky Transportation Cabinet, or any other subdivision of the government of the Commonwealth of Kentucky, working under the direct supervision and control of a professional engineer or professional land surveyor.

History. Enact. Acts 1966, ch. 68, § 11; 1972, ch. 148, § 29; 1974, ch. 74, Art. IV, § 20(1); 1986, ch. 291, § 36, effective July 15, 1986; 1998, ch. 214, § 36, effective January 1, 1999; 2010, ch. 163, § 14, effective July 15, 2010.

322.460. Officers to enforce law — Employment of attorneys.

The Attorney General of Kentucky or his or her designee shall act as legal adviser to the board and render legal assistance as the board may from time to time require. In addition, the Attorney General of Kentucky, all Commonwealth’s attorneys, and the county attorney of each county shall, upon request of the board, and without additional compensation, lend their assistance to the enforcement of the provisions of this chapter and the prosecution of any violations thereof. The board shall employ additional counsel as necessary to effectively enforce the provisions of this chapter, the cost of which shall be paid exclusively from funds of the board.

History. Enact. Acts 1966, ch. 68, § 12; 1972, ch. 148, § 30; 1998, ch. 214, § 37, effective January 1, 1999.

322.470. Right of entry on land of others by land surveyor — Notification of landowner — Liability of landowner.

As used in this section, “professional land surveyor” shall include the agents, the employees, and any personnel under the supervision of a professional land surveyor.

  1. A professional land surveyor may go on, over, and upon the lands of others if necessary to perform surveys for the location of property corners, boundary lines, rights-of-way, and easements, and may carry with them their customary equipment and vehicles.
    1. Entry under the right hereby granted shall not constitute trespass; and
    2. A professional land surveyor shall not be liable to arrest or a civil action by reason of this entry.
  2. Nothing in this section shall be construed as giving authority to a professional land surveyor to destroy, injure, damage, or move anything on the lands of another without the written permission of the landowner; and nothing in this section shall be construed as removing civil liability for these damages.
  3. A professional land surveyor shall make reasonable effort to notify adjoining landowners upon whose land it is necessary to enter.
  4. No owner or occupant of the land shall be liable for any injury or damage sustained by any person entering upon his or her land under the provisions of this section.

History. Enact. Acts 1982, ch. 115, § 1, effective July 15, 1982; 1986, ch. 291, § 37, effective July 15, 1986; 1998, ch. 214, § 38, effective January 1, 1999.

Services of Engineer or Architect

322.550. Buildings or additions to existing buildings requiring services of an architect or of either a professional engineer or an architect.

  1. Except as otherwise provided in this section, the following buildings, or additions to existing buildings, classified by use group shall require the services of an architect licensed in the Commonwealth of Kentucky:
    1. Assembly use group having a capacity of one hundred (100) persons or more, except church buildings having a capacity of four hundred (400) persons or less or six thousand (6,000) square feet or less;
    2. Business use group having a capacity of one hundred (100) persons or more;
    3. Institutional use group, regardless of capacity;
    4. Mercantile use group having a capacity of one hundred (100) persons or more;
    5. Residential use group of more than twelve (12) dwelling units or having a capacity of fifty (50) persons or more;
    6. Educational use groups, regardless of capacity; and
    7. Mixed use group containing one (1) or more of the use group classifications and capacities listed under paragraphs (a) to (f) of this subsection.
  2. Alterations or new construction requiring compliance with the Kentucky Building Code for any building containing one (1) or more of the use group classifications and capacities listed under subsection (1) of this section shall require the services of an architect licensed in the Commonwealth of Kentucky, but if alterations or new construction predominately involve primarily structural components or mechanical or electrical systems, then services may be performed by one (1) or more licensed professional engineers.
  3. Buildings or additions to existing buildings, which contain one (1) or more of the use group classifications and capacities listed under subsection (1) of this section, shall require, in addition to the services of an architect, the services of one (1) or more licensed engineers.
  4. The following buildings and additions to existing buildings, classified by use group, shall require the services of either a professional engineer or architect licensed in the Commonwealth of Kentucky:
    1. Factory and industrial use group having a capacity of one hundred (100) persons or more;
    2. High hazard use group, regardless of capacity;
    3. Storage use group having a capacity of one hundred (100) persons or more; and
    4. Utility and miscellaneous use groups having a capacity of one hundred (100) persons or more.
  5. The services required in subsections (1) to (4) of this section shall include the administration of construction contracts.

History. Enact. Acts 1980, ch. 332, § 2, effective July 15, 1980; 1998, ch. 214, § 39, effective January 1, 1999; 2010, ch. 163, § 15, effective July 15, 2010.

Penalties

322.990. Penalties.

Any person who violates any provision of this chapter shall be fined not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000), or be imprisoned not more than three (3) months, or both.

History. 1599e-21: amend. Acts 1986, ch. 291, § 38, effective July 15, 1986; 1998, ch. 214, § 40, effective January 1, 1999.

CHAPTER 322A Professional Geologists

322A.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Geology” means the science which treats the earth as a whole; the investigation, analysis, classification, and location of the rocks and other materials which compose the earth’s crust; the study of minerals, gases, and liquids composing and contained within the earth’s crust; and the study of geologic materials and processes;
  2. “Geologist” means a person who is qualified by reason of his or her knowledge of the principles of geology, acquired by professional education and practical experience, to engage in the public practice of geology;
  3. “Public practice of geology” means the performance of service to the public in connection with the geological description, location, or evaluation of earth materials, liquids, and gases and the natural processes acting upon them. The “public practice of geology” does not include:
    1. The practice of engineering or land surveying as defined in KRS Chapter 322; or
    2. Design recommendations, design, or plans related to the practice of engineering or land surveying as defined in KRS Chapter 322;
  4. “Registered geologist” means a person who is registered as a geologist under the provisions of this chapter;
  5. “Board” means the Kentucky Board of Registration for Professional Geologists; and
  6. “Geologist-in-training” means an individual who has met the academic qualifications established by the board, who has successfully passed a written examination approved by the board demonstrating knowledge of the fundamentals of geology, and who has been enrolled by the board as a geologist-in-training.

History. Enact. Acts 1992, ch. 64, § 1, effective July 14, 1992; 2005, ch. 159, § 1, effective June 20, 2005; 2012, ch. 140, § 1, effective July 12, 2012.

322A.020. Board of Registration for Professional Geologists — Membership — Removal and filling of vacancies — Officers — Compensation of members.

  1. There is created and established the Board of Registration for Professional Geologists, which shall administer the provisions of this chapter. All board members shall be residents of Kentucky and be appointed by the Governor. The board shall consist of five (5) members, including four (4) registered geologists, one (1) of whom shall be the state geologist or his or her designee, and one (1) member representing the public at large. Except for the state geologist or his or her designee, the term of the members of the board shall always be for four (4) years and until their successors are appointed and qualified.
  2. Board members may succeed themselves. The Governor may remove any member from the board for misconduct, incompetence, neglect of duty, or for any good and sufficient cause, in the manner prescribed by law. Vacancies in the membership of the board shall be filled for the unexpired term by appointment by the Governor.
  3. Three (3) members of the board shall constitute a quorum.
  4. There shall be no liability on the part of and no cause of action of any nature shall arise against the board, or its agents, for any action taken in the performance of the board’s powers and duties under this chapter.
  5. The board shall elect from its members a chair and secretary each year.
  6. At least thirty (30) days prior to the appointment date each year, the Governor shall receive a list of not more than three (3) nominations for board members from a joint committee of the Geological Society of Kentucky and the Kentucky Section of the American Institute of Professional Geologists. The appointed members on the board shall be selected from the list submitted to the Governor by the joint committee.
  7. While discharging duties associated with the board, including meetings of the board and its committees and necessary travel, each member shall receive compensation as established by administrative regulation of the board promulgated in accordance with KRS Chapter 13A. Members of the board shall be reimbursed for costs for actual travel and for incidental, clerical, and all other actual and necessary expenses incurred in the discharge of official duties associated with the board.

History. Enact. Acts 1992, ch. 64, § 2, effective July 14, 1992; 2012, ch. 140, § 2, effective July 12, 2012.

322A.030. Board — Meetings — Duties and powers — Order and appeals — Roster of registered professional geologists — Code of professional conduct.

  1. The board shall meet at least once each calendar year and at other times deemed necessary by the chair or a quorum of the board upon being given ten (10) days’ notice.
  2. A roster showing the names and places of business of all registered professional geologists shall be published by the secretary of the board each year. Copies of this roster shall be made available to each person registered, placed on file with the secretary of the board, and furnished to the public upon request.
  3. The board shall pass upon the qualifications of applicants for registration.
  4. The board shall require from applicants for registration evidence of their qualifications and shall judge each applicant on evidence of the applicant’s professional competency and integrity in accordance with administrative regulations promulgated by the board.
  5. The board may promulgate administrative regulations consistent with the provisions of this chapter appropriate and necessary to the conduct of its responsibilities and duties.
  6. The board shall promulgate by administrative regulation a code of professional conduct, a copy of which shall be distributed to every registered geologist. Mailing of a copy of this code to persons listed in the roster maintained under subsection (2) of this section shall constitute due notice to all registrants. The board may revise and amend the code of ethics from time to time, subject to the consent of the majority of the registrants, and shall notify each registrant in writing of any revisions or amendments.
  7. The board may take appropriate disciplinary action as provided for in KRS 322A.100 , but only after written notice has been given the person concerned and the person is afforded an opportunity for a hearing to be conducted in accordance with KRS Chapter 13B.
  8. Any person or organization may prefer charges of fraud, deceit, gross negligence, or misconduct against any registrant. The charges shall be in writing, shall be sworn to by the person or officer of the organization making them, and shall then be filed with the board.
  9. Any Kentucky resident who feels aggrieved by any final order of the board may appeal to the Circuit Court of the county where the person resides or where the person has his or her principal office in accordance with KRS Chapter 13B. Any out-of-state resident who feels aggrieved by any final order of the board may appeal to the Franklin Circuit Court in accordance with KRS Chapter 13B.
  10. The Attorney General or any assistants designated by him or her shall act as legal advisers to the board and render legal assistance as the board may from time to time require. The board may employ private counsel at its discretion. The cost of private counsel shall be paid exclusively from funds of the board.
  11. The board shall establish and maintain necessary offices within this Commonwealth, employ personnel as necessary, and prescribe their duties and compensation.
  12. For the purposes of enforcing the provisions of this chapter, investigating complaints or suspected violations of this chapter, and notifying proper law enforcement authorities, the board may:
    1. Administer oaths;
    2. Receive evidence;
    3. Interview persons;
    4. Issue subpoenas; and
    5. Require production of books, papers, documents, or other evidence.

History. Enact. Acts 1992, ch. 64, § 3, effective July 14, 1992; 1996, ch. 318, § 286, effective July 15, 1996; 2012, ch. 140, § 3, effective July 12, 2012.

322A.040. Requirements for registration.

  1. In order to qualify for registration, an applicant shall meet all of the following requirements:
    1. Successful completion of a minimum of thirty (30) semester hours or forty-five (45) quarter hours of course work in geology, culminating in a baccalaureate or advanced degree in geology, geophysics, geochemistry, or geological/geotechnical engineering from an accredited college or university. At the discretion of the board, courses dealing with applied geological science that are given under the auspices of an academic department other than geology may be considered toward the fulfillment of this requirement.
    2. Five (5) years of experience in professional geologic work. Professional geologic work may include the instruction of geology at the college or university level, the geological research of persons at the college or university level, and geological work performed while in the employment of the United States, state, or local governments. In counting years of experience, the board may give one (1) year of credit each for a master’s degree or doctoral degree in geology, geophysics, geochemistry, or geological/geotechnical engineering.
    3. A passing score on an examination required by the board that has been designed to demonstrate that the applicant has the necessary knowledge and skill to exercise the responsibilities of the public practice of geology.
    4. Enrollment by the board as a geologist-in-training.
  2. Until July 31, 2015, any individual who serves in a geologic position or performs geologic work for a local or state government in this state may become a registered geologist under this chapter if the individual submits the proper application to the board and meets the requirements of subsection (1)(a), (b), and (c) of this section.
  3. Credit toward the experience and education requirements shall be subject to evaluation and approval by the board.
  4. Documentation of competency and integrity may be required by the board.
  5. Upon application, registration may be provided to those registered or certified as geologists in another state having standards at least equal to those provided in this section.

History. Enact. Acts 1992, ch. 64, § 4, effective July 14, 1992; 2005, ch. 159, § 2, effective June 20, 2005; 2012, ch. 140, § 4, effective July 12, 2012.

322A.045. Qualifications for geologist-in-training.

The applicant for certification as a geologist-in-training shall demonstrate the following as evidence that he or she is qualified:

  1. Successful completion of a minimum of thirty (30) semester hours or forty-five (45) quarter hours of course work in geology culminating in a baccalaureate or advanced degree in geology, geophysics, geochemistry, or geological or geotechnical engineering from an accredited college or university. At the discretion of the board, courses dealing with applied geological science given under the auspices of an academic department other than geology may be considered toward fulfillment of this requirement.
  2. A passing score on the board’s examination in the fundamentals of geology. The board may allow students enrolled in the final year of an approved undergraduate program to take this examination. Upon passing the examination, the applicant may apply to the board to be enrolled and receive a certificate as a geologist-in-training.

History. Enact. Acts 2005, ch. 159, § 4, effective June 20, 2005.

322A.050. Application fees — Disposition — Surety bond.

An applicant for registration shall pay a nonrefundable fee established by regulation of the board. If the board declines to issue registration to any applicant, the initial fee paid by the applicant shall be retained as an application fee. All fees paid to and collected by the board under the provisions of this section and KRS 322A.070 shall be deposited in a revolving trust and agency account under the jurisdiction of the board. The officers or employees of the board who shall be designated to collect and disburse funds represented by these fees shall be required to execute a bond, with corporate surety, in an amount to be determined by the board.

History. Enact. Acts 1992, ch. 64, § 5, effective July 14, 1992.

322A.060. Renewal of certificates — Suspension and revocation for nonpayment of renewal fees.

  1. All certificates of registration shall expire biennially at a time and date designated by the board. The board shall notify every person registered under this chapter of the date of expiration of his or her certificate and the amount of the renewal fee which shall be fixed by the board.
  2. When the renewal fee is not paid within ninety (90) days after the expiration date, that individual’s certificate of registration shall be suspended and the name shall be deleted from the roster of the board until the renewal fee is paid.
  3. When the renewal fee is not paid for one (1) biennial period, that individual’s certificate of registration shall be revoked and shall not be renewed. In the event that an individual whose registration has been revoked desires to be again registered, an application shall be submitted to the board and the individual shall be considered as a new applicant.

History. Enact. Acts 1992, ch. 64, § 6, effective July 14, 1992; 2012, ch. 140, § 5, effective July 12, 2012.

322A.070. Certificates of registration — Use of seal or stamp by registrant.

  1. The board shall issue a certificate of registration, upon payment of the registration fee, to any applicant who, in the opinion of the board, has satisfactorily met all the requirements for registration under KRS 322A.040 . Certificates of registration shall show the full name of the board. The issuance of a certificate of registration by the board shall be prima facie evidence that the person named thereon is entitled to all the rights and privileges of a registered geologist while the certificate of registration remains in force.
  2. Each registrant may, upon registration, obtain and use a seal or stamp of registration of the design authorized by the board, containing the registrant’s name and number and the legend “Registered Professional Geologist.”
  3. A replacement certificate of registration may be issued, subject to the administrative regulations of the board, to replace any certificate lost, destroyed or mutilated.
  4. No person shall affix his signature or stamp, seal, or certify any reports or other documents after the certificate of registration of the registrant named thereon has been suspended or revoked, unless the certificate of registration has been renewed or reissued.
  5. The board shall issue a certificate of certification as a geologist-in-training to an applicant who pays the registration fee and who, in the opinion of the board, has satisfactorily met the requirements of KRS 322A.045 . Certificates of certification shall show the full name of the applicant and the full name of the board. The issuance of a certificate of certification by the board shall be prima facie evidence that the person named thereon has enrolled and is entitled to the rights and privileges of a geologist-in-training while the certificate remains in effect. The board shall determine the initial and expiration dates for the certificate.

History. Enact. Acts 1992, ch. 64, § 7, effective July 14, 1992; 2005, ch. 159, § 3, effective June 20, 2005.

322A.080. Exemptions from registration requirements.

The following persons shall be exempt from the requirements of registration under this chapter:

    1. Officers and employees of the United States government while engaged in providing geological services for their employment; and (1) (a) Officers and employees of the United States government while engaged in providing geological services for their employment; and
    2. Until July 31, 2015, officers and employees of state or local governments while engaged in providing geological services for their employment;
  1. Persons engaged solely in geologic research or the instruction of geology;
  2. Professional engineers registered in this Commonwealth under KRS Chapter 322 who apply geology to the practice of engineering; or
  3. Persons not engaged in the public practice of geology.

History. Enact. Acts 1992, ch. 64, § 8, effective July 14, 1992; 2012, ch. 140, § 6, effective July 12, 2012.

322A.090. Prohibitions relating to practice of geology by person who is not a registered geologist.

  1. With the exception of persons exempted under KRS 322A.080 , it shall be unlawful for any person other than a registered geologist or a subordinate under the direction of a registered geologist to prepare any geologic reports or documents that are required by statute or administrative regulation.
  2. No person shall engage in the public practice of geology, or offer to publicly practice geology, in this Commonwealth, as defined in KRS 322A.010 , or to use or otherwise assume, or advertise in any way any title or description tending to convey the impression that the person is a registered geologist, unless the person has been duly registered under the provisions of this chapter.

History. Enact. Acts 1992, ch. 64, § 9, effective July 14, 1992.

322A.100. Grounds for suspension or other action by the board.

The board may suspend any registrant, refuse to renew or revoke the certificate of any registrant, reprimand any registrant, place any registrant on probation, or impose an administrative fine of up to one thousand dollars ($1,000) per violation when the registrant is found guilty by the board of:

  1. Fraud or deceit in obtaining a license;
  2. Gross negligence, incompetence, or misconduct in the practice of geology;
  3. Conviction by a court of law of any felony, a felony involving sexual misconduct, or a crime where dishonesty is a necessary element;
  4. Violation of the code of ethics promulgated by the board; or
  5. The commission of any unlawful act as set forth in KRS 322A.990 .

History. Enact. Acts 1992, ch. 64, § 10, effective July 14, 1992; 2012, ch. 140, § 7, effective July 12, 2012.

322A.990. Penalties.

Any person who commits any of the following acts shall be guilty of a Class B misdemeanor:

  1. Publicly practicing, or offering to publicly practice geology for others in this Commonwealth without being registered in accordance with the provisions of this chapter;
  2. Presenting or attempting to use as his own the certificate of registration or the seal of another;
  3. Giving any false or forged evidence of any kind to the board or to any member thereof in obtaining a certificate of registration;
  4. Falsely impersonating any other registrant of like or different name; or
  5. Attempting to use an expired or revoked certificate of registration to practice at any time during a period the board has suspended or revoked the certificate of registration.

History. Enact. Acts 1992, ch. 64, § 11, effective July 14, 1992.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 323 Architects

323.010. Definitions.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Architects;
  2. An “architect” is any person who engages in the practice of architecture as hereinafter defined;
  3. The “practice of architecture” is the rendering or offering to render certain services, hereinafter described, in connection with the design and construction of a structure or group of structures which have as their principal purpose human habitation or use, and the utilization of space within and surrounding such structures. The services referred to in the previous sentence include planning, providing preliminary studies, designs, drawings and specifications, and administration of construction contracts;
  4. A “building” is a structure which has as its principal purpose human habitation or use;
  5. “Use group” is the classification of a building or structure based on the purpose for which it is used, as set forth in the Kentucky Building Code;
  6. “Consultant” is an individual, partnership, or firm acting subordinately and in a position of service to an architect engaged in the practice of architecture as defined; and
  7. “Administration of construction contracts” means:
    1. Conducting periodic site visits;
    2. Reviewing shop drawings and reviewing other submittals required of the contractor by the terms of the construction contract documents;
    3. Reporting to the owner any violations of applicable building codes and any substantial deviations from the contract documents that the architect observes; or
    4. Reporting to the building official any violations of applicable building codes that the architect observes.

History. Enact. Acts 1960, ch. 218, § 1; 1980, ch. 332, § 3, effective July 15, 1980; 2002, ch. 111, § 1, effective July 15, 2002.

NOTES TO DECISIONS

Cited:

Board of Education v. Elliott, 276 Ky. 790 , 125 S.W.2d 733, 1939 Ky. LEXIS 598 ( Ky. 1939 ); Baker v. Commonwealth, 272 S.W.2d 803, 1954 Ky. LEXIS 1130 ( Ky. 1954 ); Old Mason’s Home v. Mitchell, 892 S.W.2d 304, 1995 Ky. App. LEXIS 15 (Ky. Ct. App. 1995).

Research References and Practice Aids

Cross-References.

Architect may perform engineering work incidentally, KRS 322.030 .

323.020. License required.

Except as otherwise provided hereinafter, no person shall practice architecture in the Commonwealth of Kentucky without first obtaining a license under the provisions of this chapter, it being the purpose of this chapter to safeguard the life, health, property and welfare of the public.

History. 73-1: amend. Acts 1960, ch. 218, § 2.

NOTES TO DECISIONS

1.Purpose.

The purpose of this chapter is to safeguard life, health and property and to promote public welfare, and for that reason an unlicensed architect cannot enforce a contract for services as an architect. Board of Education v. Elliott, 276 Ky. 790 , 125 S.W.2d 733, 1939 Ky. LEXIS 598 ( Ky. 1939 ).

2.Contracts.

Where an act requiring a license to engage in an occupation is intended as a police measure, a contract without a license is void, but where the license is for revenue purposes, the contract is usually not void. Board of Education v. Elliott, 276 Ky. 790 , 125 S.W.2d 733, 1939 Ky. LEXIS 598 ( Ky. 1939 ).

Cited:

Old Mason’s Home v. Mitchell, 892 S.W.2d 304, 1995 Ky. App. LEXIS 15 (Ky. Ct. App. 1995).

323.030. Persons and buildings to which chapter does not apply. [Repealed.]

Compiler’s Notes.

This section (73-6: amend. Acts 1960, ch. 218, § 3; 1980, ch. 327, § 1, effective July 15, 1980; 1982, ch. 440, § 2, effective July 15, 1982) was repealed by Acts 1990, ch. 190, § 15, effective July 13, 1990.

323.031. Applicability of chapter.

  1. If the drawings and specifications are signed by the author thereof with the true titles of their occupations as may be required by law, this chapter does not apply to:
    1. Any building which is to be used for farm purposes only;
    2. Any residential structure that does not require the services or seal of an architect or engineer either under the Uniform State Building Code pursuant to KRS 198B.050 or under KRS 323.033 ;
    3. Any building classified by use group other than those listed under KRS 323.033 so long as the services or seal of an architect or engineer as applicable is not required for such other use group under the Uniform State Building Code pursuant to KRS 198B.050 or;
    4. Any structure not classified as a building by KRS 323.010(4).
  2. Provisions of this chapter shall not apply to:
    1. Any individual, partnership, or firm acting solely as a consultant to an architect licensed in the Commonwealth;
    2. An architect or other person acting solely as an officer or employee of the United States government.
  3. A licensed professional engineer may prepare plans and specifications for and supervise the construction of structures as an incident to the practice of his own profession.

History. Enact. Acts 1980, ch. 332, § 5, effective July 15, 1980; 1990, ch. 190, § 1, effective July 13, 1990; 2006, ch. 53, § 1, effective July 12, 2006.

323.033. Buildings requiring services of licensed architect — Exemptions.

  1. Except as otherwise provided in this section, the following buildings, or additions to existing buildings, classified by use group shall require the services of an architect licensed in the Commonwealth of Kentucky;
    1. Assembly use group having a capacity of one hundred (100) persons or more, except church buildings having a capacity of four hundred (400) persons or less or six thousand (6,000) square feet or less;
    2. Business use group having a capacity of one hundred (100) persons or more;
    3. Institutional use group, regardless of capacity;
    4. Mercantile use group having a capacity of one hundred (100) persons or more;
    5. Residential use group of more than twelve (12) dwelling units or having a capacity of fifty (50) persons or more;
    6. Educational use groups regardless of capacity; and
    7. Mixed use group containing one (1) or more of the use group classifications and capacities listed under paragraphs (a) to (f) of this subsection.
  2. Alterations or new construction requiring compliance with the Kentucky Building Code for any building containing one (1) or more of the use group classifications and capacities listed under subsection (1) of this section shall require the services of an architect licensed in the Commonwealth of Kentucky; except that, when such alterations or new construction predominantly involve primarily structural components or mechanical or electrical systems, services may be performed by one (1) or more licensed professional engineers.
  3. Buildings, or additions to existing buildings, containing one (1) or more of the use group classifications and capacities listed under subsection (1) of this section shall require, in addition to the services of an architect, the services of one (1) or more licensed engineers.
  4. The following buildings and additions to existing buildings, classified by use group, shall require the services of either an architect or a professional engineer registered in the Commonwealth of Kentucky:
    1. Factory and industrial use group having a capacity of one hundred (100) persons or more;
    2. High hazard use group, regardless of capacity;
    3. Storage use group having a capacity of one hundred (100) persons or more; and
    4. Utility and miscellaneous use groups having a capacity of one hundred (100) persons or more.
  5. Neither the state nor any of its political subdivisions shall engage in the construction of any public work involving the practice of architecture or engineering unless the plans, specifications, and estimates have been prepared and the administration of construction contracts executed under the direct supervision of a licensed architect or a professional engineer. This subsection shall not apply to:
    1. Any public work, including a building or capital project under KRS 56.491 , that involves only maintenance or repair of the facility. Maintenance or repair shall not include any work which alters, modifies, or changes the original characteristics of the design;
    2. Any residential dwelling that falls under the Kentucky Residential Code; or
    3. Facilities used in the furtherance of security or defense contracts, grants, or agreements with the United States of America located on property owned by the Commonwealth that are industrial or storage areas measuring twenty thousand (20,000) square feet or less or a business area measuring ten thousand (10,000) square feet or less, provided work is in compliance with the United States Department of Defense Building Code.
  6. The services required in subsections (1) to (5) of this section shall include the administration of construction contracts.

History. Enact. Acts 1980, ch. 332, § 4, effective July 15, 1980; 1990, ch. 190, § 2, effective July 13, 1990; 2002, ch. 111, § 8, effective July 15, 2002; 2008, ch. 59, § 8, effective July 15, 2008; 2021 ch. 183, § 1, effective June 29, 2021.

Opinions of Attorney General.

Under this section, an expenditure for architectural design plans is a necessary, proper and legitimate expenditure of public moneys. OAG 84-378 .

323.040. Preparing plans and specifications, when permitted by others than architects. [Repealed.]

Compiler’s Notes.

This section (73-7) was repealed by Acts 1960, ch. 218, § 23.

323.050. Qualifications for license — Examinations.

  1. Except as otherwise provided in this chapter, an applicant seeking to obtain a license to practice architecture in Kentucky shall satisfactorily pass the examination that is prescribed by the board.
  2. Every applicant for examination shall:
    1. Be of good moral character; and
    2. Hold a professional degree in architecture accredited by the National Architectural Accrediting Board (NAAB), or its equivalent as determined by administrative regulations promulgated by the board, with such additional experience as the board may prescribe and approve.
  3. Examinations shall be available on a regular basis at a place identified by the testing service and shall be given in accordance with the terms and conditions agreed upon by the board and the testing service. Procedures concerning the examination shall be set out in administrative regulations promulgated by the board.

History. 73-5: amend. Acts 1960, ch. 218, § 4; 1972, ch. 201, § 1; 1990, ch. 190, § 3, effective July 13, 1990; 1996, ch. 23, § 1, effective July 15, 1996; 2002, ch. 111, § 2, effective July 15, 2002.

323.060. Persons who may be licensed without examination.

Any person who is a licensed architect in another state or country where the qualifications prescribed at the time of licensing were, in the opinion of the board, equal to those prescribed in the Commonwealth at the date of application, and where reciprocal licensing privileges satisfactory to the board are granted to licensees of the Commonwealth, may be granted a license without an examination.

History. 73-5: amend. Acts 1960, ch. 218, § 5.

NOTES TO DECISIONS

1.Construction.

This section means that the board shall form an opinion as to the applicant’s qualifications on the basis of the data submitted with the application and such independent investigation as the board may consider necessary to establish the truth of the facts stated in the application concerning the extent, nature, and quality of the work the applicant has performed. Baker v. Commonwealth, 272 S.W.2d 803, 1954 Ky. LEXIS 1130 ( Ky. 1954 ).

323.070. Persons for whom examination required. [Repealed.]

Compiler’s Notes.

This section (73-5) was repealed by Acts 1960, ch. 218, § 23.

323.080. Fees.

  1. The board shall promulgate administrative regulations that establish fees for the following services. These fees shall not exceed the following:
    1. For processing the application for the examination  . . . . .  $200
    2. For a license certificate upon satisfactorily passing the examination  . . . . .  50
    3. For the restoration of a voluntarily surrendered license  . . . . .  300
    4. For a license to an architect satisfactorily licensed in another state or country  . . . . .  250
    5. For reinstatement of a license revoked for failure to pay the

      annual renewal fee or suspended by the board, in addition to application and arrears as determined by the board . . . . . 300

    6. Renewal certificate  . . . . .  250
  2. The proper fee as prescribed above shall be paid to the board, and shall not be refunded in whole or in part.
  3. The cost of taking the examination shall be borne by the applicant.

History. 73-11, 73-13: amend. Acts 1960, ch. 218, § 6; 1972, ch. 201, § 2; 1990, ch. 190, § 4, effective July 13, 1990; 1996, ch. 23, § 2, effective July 15, 1996; 2006, ch. 53, § 2, effective July 12, 2006.

323.090. Reexamination.

Any applicant who fails a section of the examination may retake that section if at least six (6) months has elapsed since the applicant took the examination in which he or she failed the section and upon registering with the testing service and paying the testing service’s required fee. An applicant shall take the examination within three (3) years of the date the applicant receives the board’s approval to begin the examination process. During this three (3) year period, the applicant shall be excused from paying to the board any additional fees for processing the application for the examination. An applicant who does not take the examination within the applicable three (3) year period shall reapply with the board. All examination fees shall be paid to the testing service.

History. 73-11: amend. Acts 1960, ch. 218, § 7; 1996, ch. 23, § 3, effective July 15, 1996; 2002, ch. 111, § 3, effective July 15, 2002.

323.095. Seal required — Use.

  1. Each architect licensed for practice within the Commonwealth shall obtain a seal of the design prescribed in administrative regulations promulgated by the board.
  2. Use of the seal in an electronic transaction shall be conducted in accordance with administrative regulations promulgated by the board under KRS 323.210(5).
  3. All working drawings, specifications, and reports prepared by, or under the supervision of the individual, partnership, or firm, shall be imprinted with this seal.
  4. No architect shall sign, affix, or imprint his seal to any drawings, specifications, or reports which have not been prepared by him personally or under his immediate supervision.

History. Enact. Acts 1960, ch. 218, § 8; 1990, ch. 190, § 5, effective July 13, 1990; 1996, ch. 23, § 4, effective July 15, 1996; 2006, ch. 53, § 3, effective July 12, 2006.

323.100. Form of license certificate.

A license certificate shall be signed by the president and the secretary of the board and bear its seal.

History. 73-4.

323.110. Renewal certificate — Automatic revocation — Voluntary surrender of license.

    1. All architects desiring to continue practice shall secure from the board a renewal certificate at the expiration of their licenses, upon the payment of the prescribed fee. The board shall promulgate administrative regulations establishing the terms of the licenses, and may renew licenses on an annual or biannual basis. The board may stagger the terms of the licenses, if needed, and may double the annual renewal fee as established pursuant to KRS 323.080 for any license issued for a two (2) year period. Not later than June 15 of each year the board shall notify by mail all architects of the renewal date and fee. Application for a renewal shall be upon a form prescribed by the board and the architect shall furnish the information required by the form. (1) (a) All architects desiring to continue practice shall secure from the board a renewal certificate at the expiration of their licenses, upon the payment of the prescribed fee. The board shall promulgate administrative regulations establishing the terms of the licenses, and may renew licenses on an annual or biannual basis. The board may stagger the terms of the licenses, if needed, and may double the annual renewal fee as established pursuant to KRS 323.080 for any license issued for a two (2) year period. Not later than June 15 of each year the board shall notify by mail all architects of the renewal date and fee. Application for a renewal shall be upon a form prescribed by the board and the architect shall furnish the information required by the form.
    2. Failure of any architect to secure his or her renewal certificate within sixty (60) days after July 1 shall result in the automatic revocation of his or her license if the architect fails to submit a properly completed renewal application to the board with the corresponding renewal fee and proof of having completed the continuing education requirement.
    3. The board may reissue a license that has been revoked for failure to pay the renewal fee or meet continuing education requirements established by the board, upon proper application to the board and the payment of all delinquent fees.
  1. A licensed architect may voluntarily surrender his or her license to the board and thereby be relieved of paying the annual renewal fee. After surrendering his or her license, that person shall not be known as a licensed architect and shall desist from the practice of architecture. Within five (5) years from the time of surrender of the license, the person may again qualify for a license without examination by the payment of the required fee and current renewal fee. If five (5) years thereafter have elapsed, he or she shall return to the status of a new applicant.

History. 73-13: amend. Acts 1960, ch. 218, § 9; 1972, ch. 210, § 3; 1990, ch. 190, § 6, effective July 13, 1990; 1996, ch. 23, § 5, effective July 15, 1996; 2002, ch. 111, § 4, effective July 15, 2002.

323.120. Grounds for denial, revocation, or suspension — Civil penalty.

  1. The board may refuse to issue, reissue, or renew a license, or may issue a private or public reprimand or may probate, suspend, or revoke the license of any architect to practice architecture in the Commonwealth of Kentucky, or may impose any combination of these sanctions for any of the following reasons:
    1. Gross incompetence or gross negligence in the planning or construction of buildings, as determined by the board;
    2. Unprofessional conduct, or conduct tending to bring the profession into disrepute, as determined by the board;
    3. Conviction of a felony, if in accordance with KRS Chapter 335B;
    4. Fraudulent or dishonest architectural practice;
    5. Use of false evidence or misrepresentations in an application for licensing or an application for a renewal certificate;
    6. Signing or affixing his seal to any plans, prints, specifications of buildings, or reports, which have not been prepared by him personally or by his employees under his supervision;
    7. Violating any provision of this chapter or administrative regulations promulgated under the chapter;
    8. Failing to comply with an order issued by the board;
    9. Aiding or abetting someone in the unlicensed practice of architecture; or
    10. Having a license or registration certificate to practice as an architect denied, limited, suspended, probated, or revoked in another jurisdiction on grounds sufficient to cause licensure to be denied, limited, suspended, probated, or revoked in this state.
  2. The board shall revoke the license of an architect who practices architecture while his license is suspended.
  3. The board may, in lieu of or in addition to other penalties, impose a civil penalty not to exceed ten thousand dollars ($10,000), which shall be paid to the benefit of the board’s trust and agency account.

HISTORY: 73-12: amend. Acts 1960, ch. 218, § 10; 1990, ch. 190, § 7, effective July 13, 1990; 1996, ch. 23, § 6, effective July 15, 1996; 2002, ch. 111, § 5, effective July 15, 2002; 2006, ch. 53, § 4, effective July 12, 2006; 2008, ch. 59, § 1, effective July 15, 2008; 2017 ch. 158, § 71, effective June 29, 2017.

Opinions of Attorney General.

The state Board of Examiners and Registration of Architects has no authority to revoke the license of an architect solely upon the ground that such licensee is no longer actively engaged in the practice of architecture. So long as the architect continues to pay his renewal fee and thereby secures his annual renewal certificate, the Board cannot take action against him for lack of annual practice. OAG 62-1042 .

The Kentucky Board of Examination and Registration of Architects did not violate the Open Records Act in denying the request for a copy of the private reprimand; if a licensee receives a private reprimand, it is private and confidential and may be properly withheld from disclosure under authority of KRS 323.120(1) and KRS 61.878(1)(l). OAG 01-ORD-139.

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

323.130. Hearing in disciplinary action — Appeal.

  1. In any action taken pursuant to KRS 323.120 , the board shall conduct a hearing in accordance with the provisions of this chapter and KRS Chapter 13B. The hearing may be conducted by the full board or at its designation, a member thereof, a panel of the board, a hearing officer, or a combination of the foregoing;
  2. If the hearing is conducted by less than a majority of the full board, or by a hearing officer, the board members or hearing officer, as the case may be, may only issue a recommended order, and the recommended order shall be subject to review by a majority of the full board, which shall issue a final order; and
  3. The board may proceed against a licensee on its own initiative, on the basis of either information contained in its own records or information obtained through its informal investigation. If a formal complaint verified by affidavit is filed with the board by a responsible citizen or organization, containing allegations that if true would warrant action pursuant to KRS 323.120 , the board may proceed against the licensee.
  4. Any final order of the board may be appealed to Franklin Circuit Court in accordance with KRS Chapter 13B.

History. 73-12: amend. Acts 1960, ch. 218, § 11; 1974, ch. 315, § 58; 1980, ch. 114, § 79, effective July 15, 1980; 1990, ch. 190, § 8, effective July 13, 1990; 1996, ch. 318, § 287, effective July 15, 1996.

323.140. Production of evidence — Rights of respondent. [Repealed.]

Compiler’s Notes.

This section (73-12: amend. Acts 1960, ch. 218, § 12; 1974, ch. 315, § 59; 1980, ch. 114, § 80, effective July 15, 1980; 1990, ch. 190, § 9, effective July 13, 1990) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

323.145. Appeal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 218, § 13, effective June 16, 1960; 1990, ch. 190, § 10, effective July 13, 1990) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

323.150. Membership of board.

The board shall consist of eight (8) members, seven (7) of whom shall be appointed by the Governor. The eighth member of the board shall be the chief executive officer of any NAAB accredited architectural curriculum established in the Commonwealth of Kentucky, who shall be an ex officio member with voting rights.

History. 73-2: amend. Acts 1960, ch. 218, § 14; 1990, ch. 190, § 11, effective July 13, 1990; Acts 2002, ch. 55, § 11, effective July 15, 2003.

323.160. Board members — Appointment — Terms.

The Governor shall appoint one (1) member of the board each year. Each member shall serve for a term of four (4) years, and until his successor is appointed and qualified.

History. 73-2.

Research References and Practice Aids

Cross-References.

Resignations, removals and vacancies, KRS Chapter 63.

323.170. Qualifications of board members.

Five (5) members of the board appointed by the Governor shall be architects registered in the Commonwealth of Kentucky and shall have been in the active practice of architecture for at least ten (10) years immediately preceding their appointment, and shall have been residents of this Commonwealth for at least five (5) years immediately preceding their appointment. One (1) member shall be a certified interior designer in the Commonwealth of Kentucky, shall have been providing interior design services for at least ten (10) years, and shall have been a resident of the Commonwealth for at least five (5) years immediately preceding the appointment. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated.

History. 73-4: amend. Acts 1960, ch. 218, § 18; 1996, ch. 23, § 8, effective July 15, 1996; Acts 2002, ch. 55, § 12, effective July 15, 2003.

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

323.180. Election of officers.

The board, at the first meeting of each fiscal year, shall elect a president, secretary and treasurer. The offices of secretary and treasurer may be held by the same person.

History. 73-3: amend. Acts 1960, ch. 218, § 16.

323.190. Compensation of board members.

Each member of the board shall receive an amount not to exceed one hundred dollars ($100) for each day or part of the day spent in the performance of his official duties, including time spent in necessary travel, and in addition, shall be reimbursed for all proper traveling and incidental expenses incurred in connection with those duties.

History. 73-12: amend. Acts 1960, ch. 218, § 17; 1990, ch. 190, § 13, effective July 13, 1990; 1996, ch. 23, § 7, effective July 15, 1996.

323.200. Quorum.

A quorum of the board shall consist of at least five (5) members.

History. 73-4: amend. Acts 1960, ch. 218, § 18; 1996, ch. 23, § 8, effective July 15, 1996; Acts 2002, ch. 55, § 13, effective July 15, 2003; 2006, ch. 53, § 5, effective July 12, 2006.

323.210. Functions of board — Authority for administrative regulations — Continuing education requirement may be established.

  1. The board shall:
    1. Adopt and provide itself with a seal with a band inscribed, “Kentucky Board of Architects” with the coat of arms of the state in the center;
    2. Promulgate all necessary administrative regulations concerning the contents and conduct of examinations, the method and time for filing applications for examinations, and the time within which an applicant shall be examined after his application has been filed;
    3. Keep a complete record of its proceedings and an accurate list of all applications made, licenses issued, and licenses revoked; and
    4. Make a general report including finances to the governor annually.
  2. The board may promulgate all reasonable administrative regulations not inconsistent with this chapter that are necessary to carry into effect the purposes of this chapter.
    1. The board may promulgate appropriate administrative regulations requiring mandatory continuing education for architects licensed to practice within the Commonwealth as a condition for obtaining their annual renewal certificates. The board shall establish the minimal requirement for obtaining and reporting continuing education, the means by which any requirements shall be enforced, and the criteria for the accreditation of course sponsors, programs, and other activities. (3) (a) The board may promulgate appropriate administrative regulations requiring mandatory continuing education for architects licensed to practice within the Commonwealth as a condition for obtaining their annual renewal certificates. The board shall establish the minimal requirement for obtaining and reporting continuing education, the means by which any requirements shall be enforced, and the criteria for the accreditation of course sponsors, programs, and other activities.
    2. The board may promulgate appropriate administrative regulations to create the licensing category of architect emeritus and may promulgate continuing education requirements and renewal fees for the architect emeritus license.
  3. The board may administer oaths, receive evidence, interview persons, issue subpoenas, and require the production of books, papers, documents, or other evidence for the purpose of enforcing this chapter and investigating complaints or suspected violations of this chapter.
  4. The board may promulgate administrative regulations in accordance with KRS Chapter 13A to establish rules for the use of seals and signatures in electronic transactions.
    1. The board may employ staff, obtain office space, and acquire furniture, supplies, and services reasonably necessary to effectuate the purposes of this chapter. (6) (a) The board may employ staff, obtain office space, and acquire furniture, supplies, and services reasonably necessary to effectuate the purposes of this chapter.
    2. The board shall outline the duties of all personnel and fix their compensation in accordance with KRS Chapter 18A.
    3. The board may retain its own legal counsel for advice and assistance, in addition to such advice and assistance provided by the Attorney General.
  5. The board may assess reasonable administrative fees for copies of documents, mailing lists, duplicate forms, and other media consistent with KRS 61.870 to 61.884 .

History. 73-4: amend. Acts 1960, ch. 218, § 19; 1996, ch. 23, § 9, effective July 15, 1996; 2002, ch. 111, § 6, effective July 15, 2002; 2006, ch. 53, § 6, effective July 12, 2006; 2008, ch. 59, § 2, effective July 15, 2008.

Research References and Practice Aids

Cross-References.

Administrative regulations, date of adoption and effect, KRS 13A.331 .

323.215. Membership in National Organization of Architectural Registration Boards.

The board may maintain membership in the National Organization of Architectural Registration Boards and affiliated groups and may actively participate in their deliberations, studies and decisions. It may make such expenditures for this purpose as it deems appropriate and within its financial means, for the performance of its duties, including membership dues, expenses of delegates and other reasonable costs.

History. Enact. Acts 1972, ch. 210, § 4.

323.220. Unlicensed person may work under architect. [Repealed.]

Compiler’s Notes.

This section (73-7) was repealed by Acts 1960, ch. 218, § 23.

323.230. Who may be styled as architects.

Only persons licensed under this chapter may be styled or known as architects in Kentucky, or use any words or letters or assume any titles or description tending to convey the impression that they are architects.

History. 73-8: amend. Acts 1960, ch. 218, § 20.

323.240. Chapter not to apply to certain building in rural districts. [Repealed.]

Compiler’s Notes.

This section (73-7) was repealed by Acts 1960, ch. 218, § 23.

323.250. Injunction.

Whenever in the judgment of the board any person has engaged, or is about to engage, in any acts or practices that constitute, or will constitute, a violation of KRS 323.020 or KRS 323.230 , the board may inform the Attorney General, who may make application to the Franklin Circuit Court for an order enjoining such acts or practices, or the board may inform the Commonwealth’s attorney of the county in which the acts or practices are occurring or will occur who may make application to the Circuit Court of that county for an order enjoining such acts or practices. Upon a showing by the board that such person has engaged, or is about to engage, in any such acts or practices, an injunction, restraining order, or such other order as may be appropriate shall be granted by such court. Any order of the Franklin Circuit Court shall be enforceable and shall be valid anywhere in this state and the order of either court shall be reviewable as provided in the Rules of Civil Procedure in the case of other injunctions and restraining orders.

History. Enact. Acts 1960, ch. 218, § 21; 2002, ch. 111, § 7, effective July 15, 2002.

Research References and Practice Aids

Cross-References.

Injunction, KRS 454.065 .

Certified Interior Designers

323.400. Definitions for KRS 323.400 to 323.416 and 323.992.

As used in KRS 323.400 to 323.416 and 323.992 , unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Architects;
  2. “Certified interior designer” means a person who is certified to use the title “certified interior designer” in accordance with KRS 323.400 to 323.416 and 323.992 by meeting the criteria of education, experience, and examination as determined by the board; and
  3. “NCIDQ” means the National Council for Interior Design Qualification.

History. Enact. Acts 2002, ch. 55, § 1, effective July 15, 2002; 2008, ch. 59, § 3, effective July 15, 2008.

323.402. Use of title indicating certification — Performance of services by person not certified.

  1. No person shall use the title “certified interior designer,” the letters CID, or any acronym, abbreviation, or title that would imply certification under this chapter unless the person at the time holds a valid certificate to use the title “certified interior designer” in the Commonwealth of Kentucky as established under KRS 323.400 to 323.416 and 323.992 .
  2. Nothing in KRS 323.400 to 323.416 or 323.992 prohibits a person who is not certified as a certified interior designer from providing interior design services or from using any title, sign, card, or device indicating that the person provides interior design services.

History. Enact. Acts 2002, ch. 55, § 2, effective July 15, 2002; 2008, ch. 59, § 4, effective July 15, 2008.

323.404. Construction of KRS 323.400 to 323.416 and 323.992.

  1. The provisions of KRS 323.400 to 323.416 and 323.992 shall not apply to persons licensed under any other provisions of the Kentucky Revised Statutes, including but not limited to architects, landscape architects, professional engineers, and land surveyors, or students within accredited training programs of these professions. Nothing in KRS 323.400 to 323.416 or 323.992 shall be construed to limit, interfere, or restrict the practice, descriptions of services, or manner in which these persons practice.
  2. Nothing in KRS 323.400 to 323.416 or 323.992 shall be construed to prohibit or interfere with the ability of a licensed architect, landscape architect, professional engineer, or land surveyor to perform those activities that are associated with their practices, respectively, as provided under any provisions of the Kentucky Revised Statutes.
  3. Nothing in KRS 323.400 to 323.416 or 323.992 shall be construed to prohibit or interfere with the rendering of interior design services by students enrolled in a school approved by the board, if the students only perform services in accordance with a course of instruction or an assignment from an instructor.
  4. Nothing in KRS 323.400 to 323.416 or 323.992 shall be construed to prohibit any architect licensed under the provisions of KRS Chapter 323 from using the title “certified interior designer.”
  5. Nothing in KRS 323.400 to 323.416 or 323.992 shall be construed to limit, interfere, or restrict the manner in which home builders, home designers, retailers of consumer products or their employees, certified kitchen designers, certified bath designers, or certified master kitchen and bath designers offer or provide their services.

History. Enact. Acts 2002, ch. 55, § 3, effective July 15, 2002.

323.406. Administrative regulations.

The board may promulgate administrative regulations in accordance with KRS Chapter 13A, 323.400 to 323.416 , and 323.992 that:

  1. Establish criteria of education, experience, and testing for those persons seeking certification as a certified interior designer that are reasonable and necessary;
  2. Establish an initial certification fee and a renewal fee for the certification of certified interior designers that may not in aggregate exceed amounts necessary to generate sufficient funds to effectively carry out and enforce the provisions of KRS 323.400 to 323.416 and 323.992 ;
  3. Establish a renewal process for certifications that have expired; and
  4. Establish a process regarding the use of a certified interior designer’s signature and certificate number on documents, plans, reports, drawings, or specifications that do not require the seal of a licensed architect or professional engineer.

History. Enact. Acts 2002, ch. 55, § 4, effective July 15, 2002.

323.408. Duties of board.

The board shall:

  1. Administer and enforce the provisions of KRS 323.400 to 323.416 and 323.992 ;
  2. Maintain an official roster of all certified interior designers;
  3. Require a certified interior designer to include the certified interior designer’s certificate number on all business and advertising documents;
  4. Review all applications of persons applying for certification under KRS 323.400 to 323.416 and 323.992 and approve the certification of those persons who meet the requirements of a certified interior designer.

History. Enact. Acts 2002, ch. 55, § 5, effective July 15, 2002.

323.410. Issuance of certificate — Limitation on filing application — Persons credentialed in other jurisdictions.

  1. The board shall issue a certificate as a certified interior designer and a certificate number to any person who:
    1. Files an application with the board on a form prescribed by the board;
    2. Submits written proof that the person has successfully passed the NCIDQ examination and therefore has met the education and internship requirements established by NCIDQ;
    3. Meets the standards of education, experience, and testing established by the board under KRS 323.406(1); and
    4. Submits the required certification fee to the board.
  2. No person who has violated KRS 323.402 shall file an application with the board for a period of five (5) years.
  3. The board, upon proper application under this section, shall issue a certificate as a certified interior designer and a certificate number to a person credentialed as an interior designer under the laws of any other country or state or territory of the United States, provided that at the time the license or certificate was issued the applicant met the requirements of subsection (1) of this section.

History. Enact. Acts 2002, ch. 55, § 6, effective July 15, 2002; 2004, ch. 23, § 1, effective July 13, 2004; 2008, ch. 59, § 5, effective July 15, 2008.

323.412. Suspension, revocation, and nonissuance of certificate — Appeal of board’s finding.

  1. The board may suspend, revoke, or refuse to issue or renew the certificate of any person upon a finding of any of the following:
    1. The certification was fraudulently obtained;
    2. A judgment has been issued against the person for gross incompetence, neglect, or misconduct within the last five (5) years; or
    3. A judgment has been issued against the person or the person has pleaded guilty to or been found guilty of fraud or deceit in the person’s professional duties within the last five (5) years, if in accordance with KRS Chapter 335B.
  2. Any person may appeal a finding of the board within thirty (30) days of the date of notification of action. Upon appeal, the board shall schedule an administrative hearing in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 2002, ch. 55, § 7, effective July 15, 2002; 2017 ch. 158, § 72, effective June 29, 2017.

323.414. Unauthorized use of certificate number and signature — Surrender of revoked or suspended certificate.

  1. No certified interior designer shall knowingly:
    1. Affix, or permit to be affixed, the certified interior designer’s certificate number and signature to any document, plan, report, drawing, or specification that depicts work that requires the seal of a registered architect or professional engineer;
    2. Affix, or permit to be affixed, the certified interior designer’s certificate number and signature to any document, plan, report, drawing, or specification that depicts work that the certified interior designer is not competent or qualified to perform; or
    3. Affix the certified interior designer’s signature and certificate number to any document, plan, report, drawing, or specification that was not prepared:
      1. By the certified interior designer; or
      2. Under the certified interior designer’s supervision.
  2. When the certificate of a certified interior designer has been revoked or suspended, the certified interior designer shall surrender his or her certificate to the board within thirty (30) days after the revocation or suspension has become effective. If the certificate of the interior designer has been suspended or revoked, the certificate shall be returned to the certified interior designer upon the expiration of the period of suspension or reinstatement of the certificate.

History. Enact. Acts 2002, ch. 55, § 8, effective July 15, 2002.

323.416. Continuing education.

  1. Every person who wishes to renew a certificate as a certified interior designer shall successfully complete at least twelve (12) hours of continuing education within the broad range of subjects pertinent to interior design during the twelve (12) month period immediately preceding the expiration date of the person’s certificate and include proof of completion of such education, on forms prescribed by the board, with the person’s renewal application and renewal fee.
  2. A minimum of eight (8) of the twelve (12) hours of continuing education required under subsection (1) of this section shall be composed of one (1) or more of the following topics: life safety codes, barrier-free codes, building structural systems, lighting, electrical systems, and heating, ventilation, and air conditioning systems.

History. Enact. Acts 2002, ch. 55, § 9, effective July 15, 2002.

Penalties

323.990. Penalties.

  1. Whoever violates KRS 323.020 or 323.230 is guilty of a Class A misdemeanor.
  2. Whoever violates KRS 323.050(2)(b) or 323.120(1) by falsifying an application for certification or renewal as an architect is guilty of a Class A misdemeanor, and the architect’s license shall be revoked for two (2) years.
  3. In addition to the sanctions provided in this chapter, the board may direct any licensee found guilty of violating any provision of this chapter to pay to the board a sum not to exceed the actual and reasonable costs of investigation and prosecution of the case, which shall be paid to the board’s trust and agency account.

History. 73-14: amend. Acts 1960, ch. 218, § 22; 1990, ch. 190, § 14, effective July 13, 1990; 2006, ch. 53, § 7, effective July 12, 2006; 2008, ch. 59, § 6, effective July 15, 2008.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

Sentence of imprisonment for misdemeanors, see KRS 532.090 .

323.992. Penalties for violation of KRS 323.402 and 323.412.

  1. Whoever violates KRS 323.402(1) is guilty of a Class A misdemeanor.
  2. Whoever violates KRS 323.412(1)(a) by falsifying an application for certification or renewal as a certified interior designer is guilty of a Class A misdemeanor, and the interior designer’s certificate shall be revoked for two (2) years.

History. Enact. Acts 2002, ch. 55, § 10, effective July 15, 2002.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

Sentence of imprisonment for misdemeanors, see KRS 532.090 .

CHAPTER 323A Landscape Architecture

323A.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Landscape Architects;
  2. “Landscape architect” means a person who engages in the practice of landscape architecture as defined in subsection (3) of this section;
  3. The “practice of landscape architecture” means to render or offer to render any professional service in connection with the planning of outdoor space involving the relationships of people, flora and fauna, and facilities, with emphasis on the function, preservation, conservation, restoration, and enhancement of the physical environment, by arranging land and water and the elements thereon, including the alignment of roadways and the location of buildings, service areas, parking areas, walkways, steps, ramps, pools, and other structures, and the grading of the land, surface and sub-soil drainage, erosion control, planting, reforestation, and the preservation of the natural landscape ecology and environment, in accordance with the accepted professional standard of public health, welfare, and safety. The practice of landscape architecture shall include the location and arrangement of such tangible objects and features as are incidental and necessary to the purposes outlined in this subsection. The practice of landscape architecture shall not include the design of structures of facilities with separate and self-contained purposes for habitation or industry, public streets or streets intended for public dedication, highways, utilities, storm and sanitary sewers, or sewage treatment facilities, if ordinarily included in the practice of engineering or architecture. Nothing contained in this subsection shall preclude a duly licensed landscape architect from performing any of the services described in the first sentence of this subsection in connection with the setting, approaches, or environment for buildings, structures, or facilities; and
  4. “Professional services” means the providing of professional landscape architectural services for compensation. “Professional services” may include consultation, investigation, reconnaissance, research, planning, design, or responsible supervision.

History. Enact. Acts 1972, ch. 287, § 1; 1994, ch. 291, § 2, effective July 15, 1994; 2014, ch. 90, § 2, effective July 15, 2014.

323A.020. License required.

Except as otherwise provided hereinafter, no person shall practice landscape architecture in the Commonwealth of Kentucky or use the title of landscape architect or any title, sign, card or device indicating, or tending to indicate, or represent in any manner that he is a landscape architect without first obtaining a license under the provisions of this chapter; it being the purpose of this chapter to safeguard the life, health, property and welfare of the public.

History. Enact. Acts 1972, ch. 287, § 2.

323A.025. Effect of expired, suspended, revoked, or inactive license — Restoration or reactivation of license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 291, § 1, effective July 15, 1994) was repealed by Acts 2014, ch. 90, § 18, effective July 15, 2014.

323A.030. Persons to whom chapter does not apply.

  1. A landscape architect acting solely as an officer or employee of the United States Government is not required to be licensed in the Commonwealth.
  2. A licensed professional engineer may prepare plans and specifications for and supervise construction in connection with any of the professional services described in this chapter.
  3. A licensed professional architect may prepare plans and specifications for and supervise construction in connection with any of the professional services described in this chapter.
  4. Nothing in this chapter shall be construed as restricting or otherwise affecting the right of any individual to engage in the occupation of growing and marketing nursery stock or to use the title nurseryman, landscape nurseryman, or gardener, or the right of any individual to plan or plant his own property.
  5. Nothing in this chapter shall be construed to restrict nurserymen or gardeners from preparing and executing planting plans.
  6. Nothing in this chapter shall be construed as restricting or otherwise affecting the right of any individual certified by the American Society of Golf Course Architects to engage in the occupation of golf course design, specifically, the designing and preparation of all required working drawings.
  7. Nothing in this chapter shall be construed as restricting or otherwise limiting the practice of planning as customarily performed by community, regional or state planners.
  8. Nothing in this chapter shall be construed as restricting or otherwise affecting the right of any person from performing grading, earthmoving, or other construction operations which are normal to his occupation.

History. Enact. Acts 1972, ch. 287, § 3; 1994, ch. 291, § 3, effective July 15, 1994.

323A.040. Qualifications for license.

Every applicant for licensure as a landscape architect shall:

  1. Be at least twenty-one (21) years of age;
  2. Be a graduate of an accredited landscape architecture curriculum approved by the board;
  3. Pass a national examination as prescribed by the board;
  4. Submit a completed application as provided by the board through the promulgation of administrative regulations;
  5. Pay the required fees; and
  6. Document at least two (2) years of experience related to the practice of professional landscape architecture under the supervision of a licensed landscape architect, engineer, or architect, within five (5) years prior to submitting the application for licensure.

History. Enact. Acts 1972, ch. 287, § 4; 1982, ch. 64, § 1, effective July 15, 1982; 1984, ch. 111, § 194, effective July 13, 1984; 1990, ch. 146, § 1, effective July 13, 1990; 1994, ch. 291, § 4, effective July 15, 1994; repealed and reenact., Acts 2014, ch. 90, § 3, effective July 15, 2014.

323A.050. Persons who may be licensed.

Any person who is a licensed landscape architect in the United States or 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 at the date of application, may be granted a license.

History. Enact. Acts 1972, ch. 287, § 5; 1990, ch. 146, § 2, effective July 13, 1990; 2014, ch. 90, § 4, effective July 15, 2014.

323A.060. Fees established by administrative regulation.

  1. The board shall promulgate administrative regulations to establish the following fees:
    1. Application fee;
    2. Reinstatement fee;
    3. Reactivation fee;
    4. Renewal fees for active, inactive, and retired licensees; and
    5. Duplicate license fee.
  2. The fees as established by administrative regulation shall be paid to the board, and shall not be refunded in whole or in part.

History. Enact. Acts 1972, ch. 287, § 6; 1982, ch. 64, § 2, effective July 15, 1982; 1988, ch. 296, § 1, effective July 15, 1988; 1994, ch. 291, § 5, effective July 15, 1994; repealed and reenact., Acts 2014, ch. 90, § 5, effective July 15, 2014.

323A.070. Reexamination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 287, § 7; 1982, ch. 64, § 3, effective July 15, 1982; 1988, ch. 296, § 2, effective July 15, 1988; 1990, ch. 146, § 3, effective July 13, 1990; 1994, ch. 291, § 6, effective July 15, 1994) was repealed by Acts 2014, ch. 90, § 18, effective July 15, 2014.

323A.080. Seal required — Use.

  1. Each landscape architect licensed to practice within the Commonwealth shall secure a seal of the design prescribed by the administrative regulation of the board.
  2. Each landscape architect shall sign and seal all working drawings, specifications, and reports prepared by the landscape architect or under his or her supervision.

History. Enact. Acts 1972, ch. 287, § 8; 1994, ch. 291, § 7, effective July 15, 1994; 2014, ch. 90, § 6, effective July 15, 2014.

323A.090. Form of license certificate. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 287, § 9) was repealed by Acts 2014, ch. 90, § 18, effective July 15, 2014.

323A.100. License renewal — Notice of address change — Expiration of licenses — Restoration of expired licenses.

  1. All landscape architects desiring to continue practice shall annually, prior to July 1, renew their licenses upon the payment of a fee and completion of approved continuing education as established by the board through the promulgation of administrative regulations. Each landscape architect shall furnish the information required by the board.
  2. Each landscape architect shall give the board written notice of any change of address within thirty (30) days.
  3. Licenses expire on July 1. Thereafter, individuals whose licenses have expired as a result of nonrenewal may not hold themselves out to be landscape architects or engage in the practice of landscape architecture.
  4. The board may restore a license within five (5) years of last expiration, upon receipt of payment of all applicable fees, including a reinstatement fee, and completion of approved continuing education as established by the board through the promulgation of administrative regulations.
  5. Beginning on January 1, 2015, any landscape architect who fails to maintain an active license for five (5) or more consecutive years or who does not hold a valid license described in KRS 323A.050 may restore his or her license only upon retaking and passing the current examination required by the board for licensure, and paying the reinstatement fee.

History. Enact. Acts 1972, ch. 287, § 10; 1988, ch. 296, § 3, effective April 9, 1988; 1994, ch. 291, § 8, effective July 15, 1994; repealed and reenact., Acts 2014, ch. 90, § 7, effective July 15, 2014.

323A.105. Inactive or retired license.

An individual may be granted an inactive or retired license annually under the following conditions:

  1. An application for renewal of inactive status shall be upon a form and for a fee to be set by the board through the promulgation of administrative regulations. Each applicant shall furnish all information required by the board;
  2. A licensee is exempt from continuing education requirements while on inactive or retired status;
  3. An inactive or retired licensee may use and maintain the title of landscape architect but shall not engage in the practice of landscape architecture;
  4. Inactive or retired licensees may apply for an active license after:
    1. Paying a fee and obtaining continuing education pursuant to administrative regulations promulgated by the board; and
    2. Meeting the requirements of KRS 323A.100(5); and
  5. An inactive or retired licensee shall give the board written notice of any change of address within thirty (30) days.

History. Enact. Acts 2014, ch. 90, § 1, effective July 15, 2014.

323A.110. Grounds for placement on probation, reprimand, refusal to issue or renew, revocation, or suspension of license.

The board may refuse to issue or renew a license, or may place on probation, reprimand, suspend, or revoke the license of any landscape architect to practice landscape architecture in the Commonwealth of Kentucky, and may impose a fine of not less than one hundred dollars ($100) nor more than ten thousand dollars ($10,000) per violation, for any of the following reasons:

  1. Incompetence or negligence in the practice of landscape architecture, as determined by the board;
  2. Unprofessional conduct, or conduct tending to bring the profession into disrepute, as determined by the board;
  3. Conviction of a felony, including all instances in which a plea of nolo contendere or no contest is the basis of the conviction, if in accordance with KRS Chapter 335B;
  4. Fraudulent or dishonest landscape architectural practice;
  5. Use of false evidence or misrepresentations in an application for license;
  6. Signing or affixing his or her seal to any plans, prints, specifications, or reports which have not been prepared by the landscape architect personally or under his or her immediate supervision;
  7. Failure to meet the continuing education requirements established by administrative regulation of the board;
  8. Impairment due to drugs, alcohol, or mental disability to an extent that continued practice may be dangerous to clients or to public safety;
  9. Failure to comply with an order issued by the board; and
  10. Violation of any state statute or administrative regulation governing the practice of landscape architecture.

History. Enact. Acts 1972, ch. 287, § 11; 1990, ch. 146, § 4, effective July 13, 1990; 1994, ch. 291, § 9, effective July 15, 1994; 2014, ch. 90, § 8, effective July 15, 2014; 2017 ch. 158, § 73, effective June 29, 2017.

323A.120. Hearings in disciplinary proceedings — Appeal.

  1. No licensee shall be disciplined without an opportunity for a hearing. Hearings of the board shall be conducted in accordance with KRS Chapter 13B.
  2. Any disciplined licensee may appeal the final order to Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1972, ch. 287, § 12; 1974, ch. 308, § 56; 1974, ch. 315, § 60; 1980, ch. 114, § 81, effective July 15, 1980; 1994, ch. 291, § 10, effective July 15, 1994; 1996, ch. 318, § 288, effective July 15, 1996; 2014, ch. 90, § 9, effective July 15, 2014.

323A.130. Production of evidence — Rights of accused. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 287, § 13; 1974, ch. 315, § 61; 1980, ch. 114, § 82, effective July 15, 1980) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

323A.140. Appeal — Franklin Circuit Court — Court of Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 287, § 14; 1974, ch. 308, § 57; 1976, ch. 62, § 116) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

323A.150. Membership of board.

The board shall consist of five (5) members, to be appointed by the Governor.

History. Enact. Acts 1972, ch. 287, § 15; 1976, ch. 206, § 19.

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

323A.160. Board members — Appointment — Terms. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 287, § 16) was repealed by Acts 1990, ch. 146, § 7, effective July 13, 1990.

323A.170. Qualifications of board members.

Four (4) members of the board appointed by the Governor shall be landscape architects licensed in the Commonwealth of Kentucky, and shall have been residents of this Commonwealth for at least five (5) years immediately preceding their appointment. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. Each member shall serve for a term of three (3) years, and until a successor is appointed and qualified.

History. Enact. Acts 1972, ch. 287, § 17; 1976, ch. 206, § 20; 1990, ch. 146, § 5, effective July 13, 1990; 1998, ch. 194, § 9, effective July 15, 1998; 2014, ch. 90, § 10, effective July 15, 2014.

323A.180. Election of officers.

The board shall elect a chairperson, secretary, and treasurer annually, or more frequently if required by the circumstances. The offices of secretary and treasurer may be held by the same person.

History. Enact. Acts 1972, ch. 287, § 18; 2014, ch. 90, § 11, effective July 15, 2014.

323A.190. Compensation of board members.

Each member of the board shall receive an amount not to exceed two hundred dollars ($200) for each day or part thereof spent in the performance of official duties, including time spent in necessary travel. In addition, each member of the board shall be reimbursed for all necessary and proper traveling and incidental expenses incurred in connection with these duties.

History. Enact. Acts 1972, ch. 287, § 19; 1994, ch. 291, § 11, effective July 15, 1994; 2014, ch. 90, § 12, effective July 15, 2014.

323A.200. Quorum.

A quorum of the board shall consist of at least three (3) members. The concurring votes of three (3) members shall be considered as the action of the board.

History. Enact. Acts 1972, ch. 287, § 20; 1988, ch. 296, § 4, effective April 9, 1988; 2014, ch. 90, § 13, effective July 15, 2014.

323A.210. Functions of board — Authority to promulgate administrative regulations.

  1. The board shall:
    1. Adopt and provide itself with a seal with a band inscribed, “Kentucky Board of Landscape Architects” with the coat of arms of the state in the center;
    2. Keep a complete record of its proceedings and an accurate list of all applications made, licenses issued, inactive and retired licenses, and licenses disciplined;
    3. Make a general report including finances to the Governor annually; and
    4. Employ legal counsel or contract for legal services it considers necessary.
  2. The board may:
    1. Promulgate administrative regulations necessary to maintain a program of continuing education for licensees. Continuing education requirements shall be determined by administrative regulation of the board. No requirement for continuing education shall exceed fifteen (15) hours per year; and
    2. Adopt all reasonable administrative regulations consistent with this chapter that are necessary to carry into effect the purposes of this chapter.

History. Enact. Acts 1972, ch. 287, § 21; 1990, ch. 146, § 6, effective July 13, 1990; 1994, ch. 291, § 12, effective July 15, 1994; 2014, ch. 90, § 14, effective July 15, 2014.

323A.220. Who may be styled as landscape architects.

Only persons licensed under this chapter may be styled or known as landscape architects in Kentucky; or use any words or letters or assume any titles or descriptions tending to convey the impression that they are landscape architects.

History. Enact. Acts 1972, ch. 287, § 22.

323A.230. Injunction.

Whenever in the judgment of the board any person has engaged, or is about to engage, in any acts or practices that constitute, or will constitute, a violation of KRS 323A.020 , the board may make application to the Franklin Circuit Court for an order enjoining such acts or practices, or the board may inform the prosecuting attorney of the county in which the acts or practices are occurring or will occur who may make application to the Circuit Court of that county for an order enjoining such acts or practices. Upon a showing by the board that such person has engaged, or is about to engage, in any such acts or practices, an injunction, restraining order, or such other order as may be appropriate shall be granted by such court. Any order of the Franklin Circuit Court shall be enforceable and shall be valid anywhere in this Commonwealth and the order of either court shall be reviewable as provided in the Rules of Civil Procedure, in the case of other injunctions and restraining orders.

History. Enact. Acts 1972, ch. 287, § 23; 2014, ch. 90, § 15, effective July 15, 2014.

323A.990. Penalties.

Any person who violates any provision of this chapter shall be guilty of a Class A misdemeanor.

History. Enact. Acts 1972, ch. 287, § 24; 1994, ch. 291, § 13, effective July 15, 1994; 2014, ch. 90, § 16, effective July 15, 2014.

CHAPTER 324 Real Estate Brokers and Salesmen

324.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Real estate brokerage” means a single, multiple, or continuing act of dealing in time shares or options, selling or offering for sale, buying or offering to buy, negotiating the purchase, sale, or exchange of real estate, engaging in property management, leasing or offering to lease, renting or offering for rent, or referring or offering to refer for the purpose of securing prospects, any real estate or the improvements thereon for others for a fee, compensation, or other valuable consideration;
  2. “Commission” means the Kentucky Real Estate Commission;
  3. “Net listing” means a listing agreement that provides for a stipulated net price to the owner and the excess over the stipulated net price to be received by the licensee as the fee compensation or other valuable consideration;
  4. “Principal broker” means a person licensed as a broker under KRS 324.046 who, in addition to performing acts of real estate brokerage or transactions comprehended by that definition, is the single broker responsible for the operation of the company with which he or she is associated;
  5. “Real estate” means real estate in its ordinary meaning and includes timeshares, options, leaseholds, and other interests less than leaseholds;
  6. “Sales associate” means any person licensed in accordance with KRS 324.046(2) that is affiliated with a Kentucky-licensed principal broker and who, when engaging in real estate brokerage, does so under the supervision of the principal broker;
  7. “Approved real estate school” means:
    1. A school that has been given a certificate of approval by the Kentucky Commission on Proprietary Education or other regulatory bodies that exercise jurisdiction over accreditation and approval and the Kentucky Real Estate Commission. The school shall also be currently in good standing with both the Kentucky Commission on Proprietary Education or other regulatory bodies that exercise jurisdiction over accreditation and approval and the commission; or
    2. A National Association of Realtors recognized program which has been reviewed by the Kentucky Real Estate Commission and deemed an approved real estate school;
  8. “Accredited institution” means a college or university accredited by appropriately recognized educational associations or chartered and licensed in Kentucky that grants credits toward a program for either an associate, baccalaureate, graduate, or professional degree;
  9. “Property management” means the overall management of real property for others for a fee, compensation, or other valuable consideration, and may include the marketing of property, the leasing of property, collecting rental payments on the property, payment of notes, mortgages, and other debts on the property, coordinating maintenance for the property, remitting funds and accounting statements to the owner, and other activities that the commission may determine by administrative regulation;
  10. “Broker” means any person who is licensed under KRS 324.046(1) and performs acts of real estate brokerage;
  11. “Designated manager” means a licensed sales associate or broker who manages a main or branch office for the principal broker, at the principal broker’s direction, and has managing authority over the activities of the sales associates at that office;
  12. “Regular employee” means an employee who works for an employer, whose total compensation is subject to withholding of federal and state taxes and FICA payments, and who receives from the employer a fixed salary governed by federal wage guidelines that is not affected by specific real estate transactions;
  13. “Referral fee” means consideration of any kind paid or demanded for the referral of a potential or actual buyer, seller, lessor, or lessee of real estate;
  14. “Designated agency” means a form of agency relationship that exists when a principal broker, in accordance with KRS 324.121 , identifies different licensees in the same real estate brokerage firm to separately represent more than one (1) party in the same real estate transaction;
  15. “Affiliation” means the relationship agreed upon between a licensee and a principal broker and reported to the commission, where the licensee places his or her license with the principal broker for supervision of the licensee’s real estate brokerage activity;
  16. “Canceled” means the status of a license when a licensee fails to renew a license, writes the commission a check for fees that is not honored, fails to re-affiliate with a principal broker, or fails to complete requirements for continuing or post-license education;
  17. “Suspended” means the status of a license when disciplinary action has been ordered against a licensee that prohibits the brokerage of real estate for a specific period of time;
  18. “Revoked” means the status of a license when disciplinary action has been ordered that removes the licensee’s legal authority to broker real estate for a minimum of five (5) years; and
  19. “Post-license education” means the forty-eight (48) hours of commission-approved education required within two (2) years of receiving or activating an initial sales associate license.

HISTORY: 3990e-2: amend. Acts 1942, ch. 184, §§ 9, 12A; 1952, ch. 4, § 1; 1972, ch. 264, § 1; 1976, ch. 100, § 7; 1978, ch. 172, § 1, effective June 17, 1978; 1982, ch. 196, § 9, effective July 15, 1982; 1984, ch. 352, § 1, effective July 13, 1984; 1986, ch. 345, § 1, effective July 15, 1986; 1992, ch. 448, § 2, effective July 14, 1992; 1998, ch. 313, § 2, effective July 15, 1998; 2000, ch. 488, § 3, effective July 14, 2000; 2009, ch. 58, § 13, effective June 25, 2009; 2012, ch. 76, § 25, effective July 15, 2012; 2015 ch. 97, § 1, effective January 1, 2016.

NOTES TO DECISIONS

1.Constitutionality.

Occupation of real estate broker or agent so affects public welfare that constitutionally it may be regulated by exercise of the state police power. Shelton v. McCarroll, 308 Ky. 288 , 214 S.W.2d 396, 1948 Ky. LEXIS 928 ( Ky. 1948 ).

2.Construction.

To the extent KRS 324.010(1), defining real estate brokerage, conflicts with KRS 324.020(3), which extends the controls of KRS ch. 324 to a licensee who is an owner or a builder-developer, the latter is controlling. Ky. Real Estate Comm'n v. Milgrom, 197 S.W.3d 552, 2005 Ky. App. LEXIS 219 (Ky. Ct. App. 2005).

3.Purpose.

A major purpose of this act is to keep within the bounds of good business ethics those engaged in the real estate business, and to protect the public from unscrupulous real estate brokers and agents. Shelton v. McCarroll, 308 Ky. 288 , 214 S.W.2d 396, 1948 Ky. LEXIS 928 ( Ky. 1948 ). See Sims v. Reeves, 261 S.W.2d 812, 1953 Ky. LEXIS 1063 ( Ky. 1953 ).

One purpose of this act is to guard the public against incompetence. Sims v. Reeves, 261 S.W.2d 812, 1953 Ky. LEXIS 1063 ( Ky. 1953 ).

The occupation of real estate broker affects public welfare and may be regulated by a valid exercise of state police power; the major purposes of the law are to protect the public from unscrupulous brokers, to provide good business ethics, and to protect the public against incompetence. Ledford v. Faulkner, 661 S.W.2d 475, 1983 Ky. LEXIS 320 ( Ky. 1983 ).

4.Broker.

Read together, former subdivision (1)(a) and subsection (2) of this section mean that “one act” constitutes an offense but only if done by a person engaged in selling property or offering property for sale “as a whole or partial vocation.” Ledford v. Faulkner, 661 S.W.2d 475, 1983 Ky. LEXIS 320 ( Ky. 1983 ).

An unlicensed business broker cannot recover a commission on the sale of a business when the transaction includes the transfer of an interest in real property. Kirkpatrick v. Lawrence, 908 S.W.2d 125, 1995 Ky. App. LEXIS 172 (Ky. Ct. App. 1995).

Where unlicensed brokers involved in a sale of a business transaction contended that negotiations to close the deal involved only the principals and not either of them, and attempted to draw a distinction between a “finder” and a “broker,” indicating that one serving as a mere “finder” should be exempted from the brokers licensing act, the court refused exemption. Kirkpatrick v. Lawrence, 908 S.W.2d 125, 1995 Ky. App. LEXIS 172 (Ky. Ct. App. 1995).

5.Mineral Interest.

Where plaintiff’s attempt to negotiate a sale of oil and gas leases was a single transaction and plaintiff was not engaged in the brokerage business and had never before acted in a similar transaction for the purchase or sale of property for another, plaintiff was not acting as a “broker” within the meaning of this section. Ledford v. Faulkner, 661 S.W.2d 475, 1983 Ky. LEXIS 320 ( Ky. 1983 ).

Generally, a person who engages in other businesses but who acts as a broker on a single transaction but not in a regular capacity is not required to obtain a broker’s license to entitle him to recover any possible commission. Ledford v. Faulkner, 661 S.W.2d 475, 1983 Ky. LEXIS 320 ( Ky. 1983 ).

An unlicensed individual, who negotiated for the sale of a farm, was acting as a “broker” even though he claimed the farm was an ongoing business and not merely real estate. Lockridge v. Hale, 764 S.W.2d 84, 1989 Ky. App. LEXIS 3 (Ky. Ct. App. 1989).

Where an agreement which provided for a finders fee for presenting property to be mined came within the mineral interest exception of subsection (a), defendants were legally entitled to recover a finder’s fee as provided for in the agreement. Hunt v. Dark Hill Enters., 867 S.W.2d 497, 1993 Ky. App. LEXIS 173 (Ky. Ct. App. 1993).

6.Lease.

The ultimate transaction between owner and business sold did not have to include the sale of real property in order to be governed by Kentucky’s real estate brokers licensing act, because the act defines the term “real estate” specifically to include leaseholds, and the lease of the real property associated with the business was an essential element of the transaction. Kirkpatrick v. Lawrence, 908 S.W.2d 125, 1995 Ky. App. LEXIS 172 (Ky. Ct. App. 1995).

Cited:

Edmonds v. Fehler & Feinauer Constr. Co., 149 F. Supp. 396, 1957 U.S. Dist. LEXIS 3870 (D. Ky. 1957 ), set aside, 252 F.2d 639, 1958 U.S. App. LEXIS 3744 (6th Cir. 1958); Miller v. Kentucky State Real Estate Com., 251 S.W.2d 845, 1952 Ky. LEXIS 933 ( Ky. 1952 ); Adkins v. Cornett, 684 S.W.2d 853, 1985 Ky. App. LEXIS 517 (Ky. Ct. App. 1985).

Opinions of Attorney General.

It would be a violation of this section or KRS 324.020 for a limited partnership to sell or offer for sale in Kentucky an interest in real estate for another partnership, person or corporation without first obtaining a real estate broker’s license issued by the Kentucky Real Estate Commission. OAG 73-831 .

Regardless of nature of the instrument under consideration, if if transfers an interest in coal that has not been severed, it would be covered by the provisions of KRS Chapter 324 whether it is a lease or sale of the minerals involved. OAG 76-422 .

Since a mobile home or recreational vehicle permanently fixed to the land is considered part of the real estate, it follows that one which is not permanently fixed to the land, or has been or will be severed from the land, is no longer considered real estate but personal property. OAG 80-513 .

Compensation in any form, for the performance of acts as defined in former subdivision (1)(f) or subsection (2) of this section, must be paid through the principal broker in order to avoid violation of former KRS 324.160(1)(f); and where the management of property includes acts as defined in such statutes, (such as offering to rent or lease, referring prospects, negotiating leases, sales or purchases), then payment for such acts must also be made through the salesman’s broker to avoid violation of KRS 324.160(1)(f). OAG 82-307 .

When performing any of the acts defined in former subdivision (1)(f) or subsection (2) of this section, for a fee, commission or other valuable consideration, a salesman must be associated with a broker directly or indirectly. OAG 82-307 .

An individual who, though licensed as a broker, is acting for himself as an owner of real estate is not subject to the disciplinary provisions of this chapter. OAG 83-183 .

A broker who acts for a corporation in transactions pertaining to real estate is therefore acting in his capacity as a broker by representing a third party, (i.e., the corporation). Therefore, the Kentucky Real Estate Commission may, consistently with the provisions of KRS Chapter 324, hold a broker who is an owner of a corporation responsible for his real estate activities pertaining to real estate which is owned by that corporation. OAG 83-183 .

The printing of a tabloid or newspaper entitled “Homes By Owners” or “For Sale By Owners” wherein owners of real estate could list an advertisement to sell or lease real estate would not in and of itself violate KRS Chapter 324.010 et seq. OAG 83-430 .

The manifest statutory intent of former subdivisions (1)(f) and (g) of this section appears to be to create two separate and distinct categories of schools with one category being subject to regulation by the Kentucky Real Estate Commission and the other being exempt from such regulation; having met the statutory requirements for being considered an “approved real estate school” under former subdivision (1)(f), the Owensboro Junior College of Business is, by plain legislative intent, subject to such regulation. OAG 83-473 .

Research References and Practice Aids

Kentucky Law Journal.

Lawrence, The New Real Estate License Law, The Situation Prior to the 1952 Amendment, 41 Ky. L.J. 36 (1952).

324.020. Requirement of licensing — Application of chapter to owner or builder-developer — Prohibition against fee splitting — Exceptions — Supervision of sales associate — Authority to seek injunctive relief.

  1. It shall be unlawful for any person who is not licensed as a real estate broker or sales associate to hold himself or herself out to the public as a real estate broker or sales associate or use any terms, titles, or abbreviations which express, infer, or imply that the person is licensed as a real estate broker or sales associate.
  2. No person shall practice real estate brokerage with respect to real estate located in this state unless:
    1. The person holds a license to practice real estate brokerage under this chapter; or
    2. The person has complied with KRS 324.235 to 324.238 .
  3. A licensee who is an owner or a builder-developer shall comply with the provisions of this chapter and the administrative regulations applying to real estate brokers and sales associates.
  4. No broker shall split fees with or compensate any person who is not licensed to perform any of the acts regulated by this chapter, except that a broker may:
    1. Pay a referral fee to a broker licensed outside of Kentucky for referring a client to the Kentucky broker;
    2. Pay a commission or other compensation to a broker licensed outside of Kentucky in compliance with KRS 324.235 to 324.238 ; or
    3. Pay a licensed auctioneer for services rendered in cases where an auctioneer and real estate broker collaborate in the conduct of a sale of real estate at auction.
  5. Except as authorized in KRS 324.112(1) and 324.425 , no sales associate shall supervise another licensed sales associate or manage a real estate brokerage office.
  6. The Kentucky Real Estate Commission may seek and obtain injunctive relief against any individual acting in violation of this chapter by filing a civil action in the Circuit Court where the commission is located or where the unlawful activity took place.

HISTORY: 3990e-1: amend. Acts 1942, ch. 184, §§ 1, 8; 1956, ch. 18, § 1; 1976, ch. 100, § 8; 1982, ch. 196, § 10, effective July 15, 1982; 1984, ch. 352, § 2, effective July 13, 1984; 1992, ch. 448, § 3, effective July 14, 1992; 1998, ch. 313, § 3, effective July 15, 1998; 2000, ch. 488, § 4, effective July 14, 2000; 2004, ch. 45, § 1, effective July 13, 2004; 2008, ch. 156, § 5, effective July 15, 2008; 2015 ch. 14, § 2, effective June 24, 2015.

NOTES TO DECISIONS

1.Construction.

To the extent KRS 324.010(1), defining real estate brokerage, conflicts with KRS 324.020(3), which extends the controls of KRS ch. 324 to a licensee who is an owner or a builder-developer, the latter is controlling. Ky. Real Estate Comm'n v. Milgrom, 197 S.W.3d 552, 2005 Ky. App. LEXIS 219 (Ky. Ct. App. 2005).

2.Application.

Subsection (2) of this section was adopted in 1982 to specifically apply the provisions of KRS Chapter 324 to a licensee acting in the capacity of an owner or builder/developer; therefore, the real estate commission had jurisdiction over broker/developer’s conduct. Allard v. Kentucky Real Estate Com., 824 S.W.2d 884, 1992 Ky. App. LEXIS 28 (Ky. Ct. App. 1992).

When a real estate broker agreed to establish an escrow account as part of a purchase of property for himself, executed an agency disclosure form specifically stating that he was acting as the agent of the buyer, and received a 3 percent commission, and then failed to establish the account, the Kentucky Real Estate Commission had jurisdiction to discipline the broker. Ky. Real Estate Comm'n v. Milgrom, 197 S.W.3d 552, 2005 Ky. App. LEXIS 219 (Ky. Ct. App. 2005).

KRS 324.020(4) is a constitutional statute that does not violate the Commerce Clause of the United States Constitution; however, an interpretation used by the Kentucky Real Estate Commission to interpret KRS 324.020(4) to deny commissions to out-of-state brokers was unconstitutional. Marcus & Millichap Real Estate Inv. Brokerage Co. v. Skeeters, 395 F. Supp. 2d 541, 2005 U.S. Dist. LEXIS 24358 (W.D. Ky. 2005 ).

Because the earning of a real estate commission and its assignment to a company were supported by discrete and valuable consideration, the company did not violate either KRS 324.020(4) or KRS 324.160(4), which prohibited fee splitting and receiving consideration for the performance of acts specified in the Real Estate Code. Ky. Real Estate Comm'n v. Hilliard Fin., LLC, 246 S.W.3d 910, 2008 Ky. App. LEXIS 38 (Ky. Ct. App. 2008).

3.Regular Employee.

One hired by corporation to sell its real estate was regular employee and was not barred from suing corporation on the employment contract because he lacked a real estate salesman’s license. Edmonds v. Fehler & Feinauer Constr. Co., 252 F.2d 639, 1958 U.S. App. LEXIS 3744 (6th Cir. Ky. 1958 ).

To be a regular employee of a corporation, it is not necessary that an individual be authorized and be able to do everything which the corporation is authorized to do. Edmonds v. Fehler & Feinauer Constr. Co., 252 F.2d 639, 1958 U.S. App. LEXIS 3744 (6th Cir. Ky. 1958 ).

A regular employee of a corporation who sells or leases its real estate is not subject to this section. Edmonds v. Fehler & Feinauer Constr. Co., 252 F.2d 639, 1958 U.S. App. LEXIS 3744 (6th Cir. Ky. 1958 ).

4.Attorney.

Attempt of attorney to obtain a commission from the sale of real estate without being licensed as a real estate agent, as required by statute, was unethical and punishable by a public reprimand and requirement to pay the costs of the action. Kentucky Bar Asso. v. Burbank, 539 S.W.2d 312, 1976 Ky. LEXIS 58 ( Ky. 1976 ).

5.Unlicensed Broker.

An unlicensed broker who negotiated for the sale of both personalty and realty was not allowed to receive a commission for the portion of the sale attributable to the personalty. Lockridge v. Hale, 764 S.W.2d 84, 1989 Ky. App. LEXIS 3 (Ky. Ct. App. 1989).

Cited:

Adkins v. Cornett, 684 S.W.2d 853, 1985 Ky. App. LEXIS 517 (Ky. Ct. App. 1985).

Opinions of Attorney General.

Two men, one licensed as a real estate broker and one licensed as an auctioneer, may combine their talents and licensed authority to represent an owner in an auction sale. OAG 64-201 .

A licensed auctioneer may not sell real estate at auction without a real estate broker’s license. A licensed real estate broker may not sell real estate at auction without an auctioneer’s license. However, a real estate broker and an auctioneer may collaborate in the sale of real estate at auction. OAG 65-759 .

The maintenance of a “housing available” register for the convenience of students and faculty by the university in which private owners and real estate brokers alike are permitted to list, free of charge, properties available for sale or rent does not violate this section, since the register is analogous to other forms of advertising such as newspaper ads or public bulletin boards. OAG 69-365 .

A firm which operates as a rental exchange providing a finder’s service for people seeking rental property violates this section if it operates without obtaining a real estate broker’s license. OAG 72-641 .

It would be a violation of this section or KRS 324.010 for a limited partnership to sell or offer for sale in Kentucky an interest in real estate for another partnership, person or corporation without first obtaining a real estate broker’s license. OAG 73-831 .

An exception to this section is KRS 324.030(1). OAG 75-684 .

There is no requirement that an applicant must be a citizen or a naturalized citizen in order to apply for the real estate examination. OAG 77-749 .

A real estate broker or salesman who sells a mobile home or recreational vehicle not permanently affixed to real property is subject to licensure by either the mobile home certification and licensure board or the recreational vehicle certification and licensure board, provided he sells or offers to sell three or more such mobile homes or recreational vehicles within a 12-month period. OAG 80-513 .

The license granted a broker or salesman by the Kentucky real estate commission does not extend to sales of personal property and the broker or salesman selling a mobile home or recreational vehicle as “personal property,” i.e., not permanently affixed to the land, is acting outside the scope of his real estate license and would therefore be subject to licensure by the appropriate regulatory agency. OAG 80-513 .

Compensation in any form, for the performance of acts as defined in former KRS 324.010(2) or former 324.010(1)(f), must be paid through the principal broker in order to avoid violation of former KRS 324.160(1)(f); and where the management of property includes acts as defined in such statutes, (such as offering to rent or lease, referring prospects, negotiation leases, sale or purchases), then payment for such acts must also be made through the salesman’s broker to avoid violation of KRS 324.160(1)(f). OAG 82-307 .

When performing any of the acts defined in former KRS 324.010(2) or former 324.010(1)(f), for a fee, commission or other valuable consideration, a salesman must be associated with a broker directly or indirectly. OAG 82-307 .

324.030. Exceptions to KRS 324.020.

KRS 324.020(1) and (2) shall not apply to:

  1. Any person who as owner or lessor performs any of the acts defined in KRS 324.010 with reference to property owned or leased by him or to his regular employees, with respect to the property so owned or leased, if the acts are performed in the regular course of, or as an incident to, the management of the property and the investment in it;
  2. Any person acting as attorney in fact under a duly executed power of attorney from the owner authorizing the final consummation by performance of any contract for the sale, leasing, or exchange of real estate;
  3. Any attorney-at-law who is performing his duties as attorney-at-law;
  4. Any receiver, trustee in bankruptcy, administrator, or executor, person selling real estate under order of any court, or a trustee acting under a trust agreement, deed of trust, or will or the regular salaried employees thereof;
  5. A person engaged in property management, if the person:
    1. Is a regular employee of the owner or principal broker of the company engaged in property management; or
    2. Receives as his primary compensation the use of a rental unit; or
  6. A nonlicensed person under the supervision of a licensed real estate broker who contacts the public for the purpose of setting an appointment for the broker to meet with them regarding buying or selling property and giving out general public information specifically authorized by the broker.

History. 3990e-2: amend. Acts 1986, ch. 345, § 2, effective July 15, 1986; 1988, ch. 304, § 1, effective July 15, 1988; 1992, ch. 448, § 4, effective July 14, 1992; 2000, ch. 488, § 5, effective July 14, 2000.

NOTES TO DECISIONS

1.Regular Employee Exempt.

Under this section the owner who performs such acts as selling or leasing real estate, owned or leased by him, is not subject to KRS 324.020 ; and a regular employee who carries out these acts or performs such services for the owner is not subject to KRS 324.020 where such acts are performed in the regular course of, or as an incident to the management of such property and the investment in it. Edmonds v. Fehler & Feinauer Constr. Co., 252 F.2d 639, 1958 U.S. App. LEXIS 3744 (6th Cir. Ky. 1958 ).

Opinions of Attorney General.

An owner or anyone who can qualify under one of the exceptions in this section can sell or offer for sale real estate without a license, but the owner, or anyone else, may not employ a person to sell real estate at auction unless that person is properly licensed. OAG 72-123 .

Where an attorney, acting to purchase real property for himself, contacts a realtors association for information on the property and ultimately signs a contract for the purchase of the real property, the attorney may not claim a commission on the real estate sale for himself, though he is entitled to a reasonable fee for any legal services rendered in connection with the transaction. OAG 75-294 .

Where an attorney, acting under a power of attorney for the present owner of real property, handles all negotiations for the sale of the property, the attorney would not be entitled to a commission on the ultimate sale of the real property but would be entitled to a reasonable fee for any legal services rendered in connection with the negotiations. OAG 75-294 .

Where an attorney serves as the agent for his client in purchasing real property, the attorney is entitled to a reasonable fee for any legal services rendered in connection with the real estate sale, but he cannot, unless he has the proper real estate license, accept a commission on the sale. OAG 75-294 .

In order to qualify for an exemption under the employee exception under subsection (1) of this section, he must be a regular employee and perform the acts defined in KRS 324.010 “in the regular course of, or as an incident to the management of such property and the investment in it.” OAG 75-684 .

A real estate broker when acting in the capacity of an executrix is expressly excluded from the jurisdiction of the Real Estate Commission by subdivision (4) of this section, and need not advertise estate property under the name of her designated broker as required by subsection (5) (now subsection (4)) of KRS 324.117 ; accordingly, where a licensed broker is appointed executrix by a will which directs her to sell the real property, she may acquiesce with the wishes of the heirs and sell the property privately without violating KRS 324.117 . OAG 82-36 .

324.040. Application for license as broker or sales associate.

  1. Every applicant for a license, whether as broker or sales associate, shall state whether the applicant has ever had any broker’s or sales associate’s license revoked or suspended. Every applicant for a license shall furnish a sworn statement setting forth his business and residence address.
  2. Every applicant for a broker’s or sales associate’s license shall apply in writing upon forms prepared or furnished by the commission. The applicant shall state the name of the person or company with which he will be associated in the business of real estate and the location of the place for which the license is desired. The applicant also shall set forth the period of time, if any, during which he has been engaged in the real estate business.
  3. Every applicant for a license shall be at least eighteen (18) years of age and shall have attained a high school diploma or its equivalent. After an applicant passes the required examination, the commission shall issue a license to him.

History. 3990e-4: amend. Acts 1972, ch. 264, § 2; 1976, ch. 100, § 9; 1978, ch. 172, § 2, effective June 17, 1978; 1982, ch. 196, § 11, effective July 15, 1982; 1992, ch. 448, § 5, effective July 14, 1992.

Opinions of Attorney General.

Where an applicant’s husband was from India, the name taken by the applicant in accordance with Indian custom as to a married woman’s name would satisfy the Commission’s requirement as to the correct legal married name. OAG 77-334 .

324.045. Qualifications for license — Examination — Fee — Criminal record check.

  1. Licenses shall be granted only to persons who are trustworthy and competent to transact the business of a broker or sales associate in a manner to safeguard the interest of the public, and only after satisfactory proof of qualifications has been presented to the commission.
  2. In addition to proof of honesty, truthfulness, and good reputation of any applicant for a license, each applicant shall pass a written examination conducted by the commission, or its authorized representative. The examination shall be of the scope and wording sufficient in the judgment of the commission to establish the competency of the applicant to act as a broker or sales associate in a manner to protect the interests of the public. However, an examination shall not be required for the renewal of any present or future license, unless the license has been revoked, suspended, or is allowed to expire without renewal for a period of more than one (1) year.
  3. The commission shall hold examinations at the times and places it determines, and an examination fee shall be collected from each applicant to defray the expenses of holding the examinations.
  4. The commission may, by the promulgation of administrative regulations, require all licensure applicants to submit to a criminal record check for which the applicant shall be responsible for the payment of any fees incurred.
  5. Applicants shall be subject to a national criminal history check through the Federal Bureau of Investigation. The applicant shall request the criminal history check and shall provide the applicant’s fingerprints to either the Federal Bureau of Investigation or the Kentucky State Police for submission to the Federal Bureau of Investigation to search for information regarding the applicant in the National Crime Information Center or its successor entity. The results of the criminal history check shall be sent to the commission, and shall be sent to the applicant at the applicant’s request. The applicant shall:
    1. Authorize release of the results of the criminal history check to the commission;
    2. Pay the actual cost of the fingerprinting and criminal history check, if any;
    3. Complete the criminal history check within the ninety (90) calendar days prior to the date the license application is received by the commission; and
    4. Complete and return to the commission within one hundred twenty (120) days a signed affidavit verifying that there is nothing on record to prohibit the applicant from licensure.

History. Enact. Acts 1952, ch. 4, §§ 2, 3; 1956, ch. 18, § 2; 1960, ch. 215, § 1; 1968, ch. 187, § 1; 1970, ch. 120, § 14; 1976, ch. 100, § 10; 1982, ch. 196, § 12, effective July 15, 1982; 1992, ch. 448, § 6, effective July 14, 1992; 1998, ch. 313, § 4, effective July 15, 1998; 2000, ch. 488, § 6, effective July 14, 2000; 2009, ch. 58, § 1, effective June 25, 2009.

NOTES TO DECISIONS

1.Standards.

The standards of trustworthiness and competency, set up by the legislature, are adequate standards, where the state Real Estate Commission is merely given the power to prescribe the details of an examination by which the two qualifications may be tested. Sims v. Reeves, 261 S.W.2d 812, 1953 Ky. LEXIS 1063 ( Ky. 1953 ).

Opinions of Attorney General.

Since there is no statute requiring that the list of applicants for the real estate examination must be kept confidential, there is no reason why the Real Estate Commission cannot prepare such a list and furnish it to anyone requesting it although there is no requirement that such a list be prepared. OAG 78-132 .

The name and address of the person who applies to take the real estate examination becomes a matter of public record when he applies. OAG 78-132 .

There is no constitutional or statutory provision prohibiting an individual from holding a real estate license and the office of county judge/executive at the same time, although a common law incompatibility might exist. OAG 80-478 .

324.046. Requirements for initial licensure.

  1. Every applicant for initial licensure as a broker shall have:
    1. Successfully completed not less than twenty-one (21) academic credit hours or the equivalent from an accredited institution or approved real estate school. Twelve (12) hours shall be in real estate courses, three (3) hours of which shall be a course in broker management skills. The commission shall, by promulgation of administrative regulations, determine the required course content of broker management skills courses; and
    2. Been engaged in the real estate business as a sales associate averaging at least twenty (20) hours per week for a period of twenty-four (24) months prior to application.
  2. Every applicant for initial licensure as a sales associate shall have successfully completed six (6) academic credit hours or their equivalent in real estate courses from an accredited institution or approved real estate school.
  3. Proof of the academic credit hours shall be an official transcript from the attended university or other documentation satisfactory to the commission. Proof of the requisite experience as a sales associate shall be either a sworn notarized statement signed by the principal broker or principal brokers or other documentation satisfactory to the commission. The applicant may file a complaint with the commission if the principal broker unjustly refuses to sign the statement.
  4. The commission may reduce the two (2) year experience requirement for applicants for a broker’s license to one (1) year, if the applicant has an associate degree in real estate or a baccalaureate degree with a major or minor in real estate.
  5. Persons licensed under the real estate laws of this state prior to June 19, 1976 shall not be subject to any educational changes in this chapter or subject to any continuing education requirements.

History. Enact. Acts 1976, ch. 100, § 2; 1982, ch. 196, § 13, effective July 15, 1982; 1984, ch. 352, § 3, effective July 13, 1984; 1992, ch. 448, § 7, effective July 14, 1992; 1998, ch. 313, § 5, effective July 15, 1998; 2000, ch. 488, § 7, effective July 14, 2000; 2004, ch. 45, § 2, effective July 13, 2004.

324.047. Implementation of licensing requirements by regulation — Schedule. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 100, § 3) was repealed by Acts 1982, ch. 196, § 34.

324.048. License required. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 100, § 4) was repealed by Acts 1982, ch. 196, § 34.

324.050. Application of nonresident for license. [Repealed.]

Compiler’s Notes.

This section (3990e-8: amend. Acts 1942, ch. 184, §§ 5, 13; 1972, ch. 51, § 4) was repealed by Acts 1982, ch. 196, § 34.

324.060. Bond to accompany application. [Repealed.]

Compiler’s Notes.

This section (3990e-4: amend. Acts 1952, ch. 4, § 5; 1960, ch. 215, § 2) was repealed by Acts 1972, ch. 51, § 9.

324.070. License fees. [Repealed.]

Compiler’s Notes.

This section (3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1960, ch. 215, § 3; 1976, ch. 100, § 11; 1982, ch. 196, § 14, effective July 15, 1982; 1992, ch. 448, § 8, effective July 14, 1992) was repealed by Acts 2000, ch. 488, § 34, effective July 14, 2000.

324.080. Form of license certificate — Delivery.

The commission shall issue to each licensee a license in the form and size prescribed by administrative regulation promulgated by the commission. This license shall show the name and address of the licensee and, in case of a sales associate’s license, shall show the name and business address of the principal broker. Each license shall have imprinted thereon the seal of the commission and other matter prescribed by administrative regulation promulgated by the commission. The license of each sales associate shall be delivered or mailed to the principal broker with whom the licensee is affiliated.

History. 3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1976, ch. 100, § 12; 1978, ch. 172, § 3, effective June 17, 1978; 1982, ch. 196, § 15, effective July 15, 1982; 1992, ch. 448, § 9, effective July 14, 1992.

324.085. Continuing education requirements — Post-licensure education requirements — Qualifications of instructors — Administrative regulations.

    1. All actively licensed agents, except those licensees exempt under KRS 324.046(5) and those licensees satisfying the educational requirement in subsection (2) of this section, shall successfully complete twelve (12) classroom or online hours of continuing education for the biennial license period. Six (6) of the twelve (12) hours shall be completed in the first year of the biennial license period or the license shall be automatically cancelled. (1) (a) All actively licensed agents, except those licensees exempt under KRS 324.046(5) and those licensees satisfying the educational requirement in subsection (2) of this section, shall successfully complete twelve (12) classroom or online hours of continuing education for the biennial license period. Six (6) of the twelve (12) hours shall be completed in the first year of the biennial license period or the license shall be automatically cancelled.
    2. Six (6) of the twelve (12) hours of continuing education shall be in real estate law.
    3. A licensee may accumulate additional continuing education hours for the biennial period in the first year of the biennial term.
    4. Six (6) of the twelve (12) hours of continuing education may be in real estate-related courses approved by the commission and other real property boards pursuant to KRS Chapters 324A and 330 and KRS 198B.700 to 198B.738 .
  1. A licensee who is issued an initial sales associate license after January 1, 2016, shall complete forty-eight (48) classroom or online hours of commission-approved post-license education:
    1. Provided by one (1) or a combination of the following:
      1. An accredited institution; or
      2. A commission-approved:
        1. Real estate school; or
        2. Broker-affiliated training program; and
    2. Within two (2) years of receiving or activating his or her license unless extended by the commission for good cause shown.
  2. The license held by any licensee failing to complete his or her sales associate post-license education requirements in accordance with subsection (2) of this section shall be automatically canceled, in accordance with administrative regulations establishing compliance and delinquency procedures.
  3. The commission shall promulgate administrative regulations to establish procedures for implementing the requirements in this section.
  4. In order to qualify to teach continuing education or post-license courses, all continuing education and post-license instructors shall maintain a minimum rating as prescribed by the commission by the promulgation of administrative regulations.

HISTORY: Enact. Acts 2000, ch. 488, § 1, effective July 14, 2000; 2015 ch. 97, § 2, effective January 1, 2016; 2019 ch. 135, § 1, effective January 1, 2020.

324.090. Expiration of license — Fine for failure to renew on time — Expired status.

  1. Licenses shall expire biennially and shall be renewed every two (2) years on the date determined by the commission by administrative regulation. The commission shall renew a license for two (2) years, in the absence of any reason or condition which might warrant the refusal of the granting of the license, upon receipt of the written request of the applicant and payment of the biennial fees required.   A new license shall be mailed only if the licensee’s name, address, status, or affiliation changes.
  2. A fine not to exceed two hundred dollars ($200) shall be assessed for failure to renew on time before a new license is issued. Failure to receive a renewal form shall not constitute an adequate excuse for failure to renew on time nor shall failure of the mail.
  3. Any license not renewed at the end of the biennial license period as prescribed by the commission shall automatically revert to expired status. An expired license may be reactivated before a lapse of one (1) year, if delinquent fees are paid by the licensee.

HISTORY: 3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1972, ch. 51, § 5; 1982, ch. 196, § 16, effective July 15, 1982; 1984, ch. 352, § 4, effective July 13, 1984; 1992, ch. 448, § 10, effective July 14, 1992; 1998, ch. 313, § 6, effective July 15, 1998; 2000, ch. 488, § 8, effective July 14, 2000; 2010, ch. 130, § 1, effective July 15, 2010; 2019 ch. 135, § 2, effective January 1, 2020.

324.092. Classroom instruction required for renewal of salesman’s license. [Repealed.]

Compiler’s Notes.

This section was repealed, effective July 1, 1980, by its own terms, as enacted by Acts 1976, ch. 100, § 5.

324.094. Applicant for broker’s license — Qualifications. [Repealed.]

Compiler’s Notes.

This section was repealed, effective July 1, 1977, by its own terms, as enacted by Acts 1976, ch. 100, § 6.

324.100. Commission to furnish pocket card to each licensee. [Repealed.]

Compiler’s Notes.

This section (3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1976, ch. 100, § 13; 1978, ch. 172, § 4) was repealed by Acts 1982, ch. 196, § 34.

324.105. Licensed salesman — Prohibited activities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 100, § 1) was repealed by Acts 1982, ch. 196, § 34.

324.110. Broker authorized to perform all acts contemplated by chapter. [Repealed.]

Compiler’s Notes.

This section (3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1972, ch. 51, § 6; 1976, ch. 100, § 14) was repealed by Acts 1982, ch. 196, § 34.

324.111. Escrow account of broker — Interest — Audit — Contract deposit release — Separate property management accounts.

  1. A principal broker shall maintain an escrow account or accounts, separate from the individual or office account, in which all contract deposits and money belonging to others shall be deposited without unreasonable delay. The escrow accounts shall be maintained within the State of Kentucky and shall be identified to the commission in writing. Each principal broker shall advise the commission, in writing, if any overdraft occurs in the escrow account for any reason other than service charges instituted by the bank, and which is not corrected within seventy-two (72) hours of the broker receiving notice.
  2. The broker may place the deposit in an interest-bearing account or instrument. The interest earned shall accrue to the person agreed to in writing by all parties.
  3. No checks shall be drawn against uncollected deposits in the escrow account.
  4. None of the contract deposits shall be withdrawn until the contract has been terminated by performance, by agreement in writing between all parties, or by order of a court of competent jurisdiction, except as permitted in subsection (6) of this section.
  5. Upon licensure and each renewal, the principal broker shall sign a permit giving the commission the permission to audit all his or her escrow accounts.
  6. Upon being notified that one (1) or more parties to a contract intends not to perform, the broker may initiate the release process. The release process shall require the broker to notify all parties at their last known address by certified mail that the contract deposit shall be distributed to the parties specified in the letter unless all parties enter into a written mutual release, or unless one (1) or more of the parties initiate litigation within sixty (60) days of the mailing date of the certified letter. If neither buyer nor seller initiates litigation or enters into a written release within sixty (60) days of the mailing date of the certified letter, the broker may release the deposit to the party identified in the certified letter without penalty under this section and without civil liability in the courts of the Commonwealth of Kentucky.
  7. All principal brokers whose companies engage in property management shall maintain property management accounts separate from all other accounts or specifically indicate in all escrow records if funds are property management funds.
  8. A broker or sales associate who owns rental property shall not be required to use the principal broker’s management account for the rental property, unless required by the principal broker.
  9. If any licensee is alleged to have committed an escrow account violation that warrants emergency action, the commission may conduct an emergency hearing as authorized by KRS 324.150(1)(b).

History. Enact. Acts 1982, ch. 196, § 3, effective July 15, 1982; 1988, ch. 304, § 2, effective July 15, 1988; 1992, ch. 448, § 11, effective July 14, 1992; 2000, ch. 488, § 9, effective July 14, 2000; 2009, ch. 58, § 2, effective June 25, 2009.

NOTES TO DECISIONS

Cited:

First Dev. Corp. v. Martin Marietta Corp., 959 F.2d 617, 1992 U.S. App. LEXIS 5407 (6th Cir. 1992), rehearing denied, First Dev. Corp. v. Martin-Marietta Corp., — F.2d —, 1992 U.S. App. LEXIS 9049 (6th Cir. 1992).

324.112. Broker to manage certain branch offices — Qualified sales associate may manage certain branch offices — Registration of branch offices — Filing of licenses — Temporary affiliation of one principal broker with another.

  1. No principal broker shall maintain a branch office outside a one hundred (100) mile radius of the main office without having a broker managing the branch office.
  2. A sales associate with two (2) years experience in the real estate business, averaging at least twenty (20) hours per week for a period of twenty-four (24) months prior, may manage a branch office inside a one hundred (100) mile radius of the main office.
  3. The principal broker shall register any branch office with the commission within ten (10) days of the creation of the branch office.
  4. The licenses of all licensees shall be kept on file in the office in which they are actively engaged and affiliated.
  5. A principal broker in the process of closing a real estate brokerage business may affiliate temporarily with another principal broker if:
    1. No other licensee is affiliated with the former principal broker;
    2. Both the former and the latter principal brokers represent to the commission that the affiliation is for the purpose of closing the former principal broker’s business; and
    3. Both the former and the latter principal brokers give assurances satisfactory to the commission that no consumer will be adversely affected by the affiliation or the closing of the former principal broker’s business.

History. Enact. Acts 1982, ch. 196, § 4, effective July 15, 1982; 1992, ch. 448, § 12, effective July 14, 1992; 2000, ch. 488, § 10, effective July 14, 2000; 2004, ch. 45, § 3, effective July 13, 2004; 2010, ch. 130, § 2, effective July 15, 2010.

324.115. Brokers required to maintain definite place of business — Exception for reciprocity agreements.

  1. Except as provided in subsection (2) of this section, every broker licensed under KRS 324.045 shall maintain a definite place of business in this state.
  2. A broker who is a nonresident shall not be required to maintain an active place of business in this state if:
    1. He or she maintains a business place in the state of original licensure;
    2. The state of original licensure, in accordance with its reciprocity agreement with the commission, does not require Kentucky licensees holding licenses in that state to maintain an office in that state; and
    3. Paragraphs (a) and (b) of this subsection do not conflict with the commission’s agreement of reciprocity with the state of original licensure.

History. Enact. Acts 1952, ch. 4, § 4; 1980, ch. 353, § 1, effective July 15, 1980; 1982, ch. 196, § 17, effective July 15, 1982; 1998, ch. 313, § 7, effective July 15, 1998; 2000, ch. 488, § 11, effective July 14, 2000.

NOTES TO DECISIONS

1.Regular Office.

The requirement of this section that each broker maintain a regular office with a sign near the door stating his name and the fact that he is a real estate broker is reasonable. Sims v. Reeves, 261 S.W.2d 812, 1953 Ky. LEXIS 1063 ( Ky. 1953 ) (decision prior to 1982 amendment).

324.116. Licensure provisions apply only to operations in or near cities of first three classes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 4, § 6) was repealed by Acts 1960, ch. 215, § 7.

324.117. Advertising — Affiliations to be listed — Administrative regulations of commission.

  1. No real estate advertising shall be intentionally false, misleading, or deceptive.
  2. The name of a deceased broker may remain a part of the firm name.
  3. A sales associate may have his or her name in the firm name after two (2) years’ experience with the firm, averaging at least twenty (20) hours per week for twenty-four (24) months.
  4. Whenever any real property is listed, a licensee shall include the name of the real estate company listed on the licensee’s real estate license or the name of the principal broker with whom the licensee is affiliated in all advertisements of the listed property, regardless of who places the advertisement, unless he or she is selling, renting, leasing, or otherwise dealing in his or her own property. If listed property is advertised by a customer or client of a listing licensee, the licensee shall, at a minimum, provide the customer or client with written notification of the requirements of this section. The licensee shall keep in his or her files a copy of the notification and any other documentation that is generated by the licensee as proof of his or her compliance with this section.
  5. The commission shall, by the promulgation of administrative regulations, define false, misleading, or deceptive advertising.
  6. The commission shall, by the promulgation of administrative regulations, define the manner in which licensees may utilize any Internet electronic communication for advertising or marketing.

History. Enact. Acts 1980, ch. 353, § 2, effective July 15, 1980; 1982, ch. 196, § 18, effective July 15, 1982; 1984, ch. 352, § 5, effective July 13, 1984; 1992, ch. 448, § 13, effective July 14, 1992; 1998, ch. 313, § 8, effective July 15, 1998; 2000, ch. 360, § 1, effective July 14, 2000; 2000, ch. 488, § 12, effective July 14, 2000; 2004, ch. 45, § 4, effective July 13, 2004; 2009, ch. 58, § 3, effective June 25, 2009.

Opinions of Attorney General.

A franchised real estate operation may advertise by electronic media and not indicate the name of any local real estate broker in the advertisement, since this section applies only to advertising by the local broker. OAG 81-31 .

A real estate broker when acting in the capacity of an executrix is expressly excluded from the jurisdiction of the Real Estate Commission by subdivision (4) or KRS 324.030 , and need not advertise estate property under the name of her designated broker as required by subsection (5) (now subsection (4)) of KRS 324.117 ; accordingly, where a licensed broker is appointed executrix by a will which directs her to sell the real property, she may acquiesce with the wishes of the heirs and sell the property privately without violating KRS 324.117 . OAG 82-36 .

A real estate commission regulation which requires a realtor to advertise property in her broker’s name would, when applied to a realtor acting as an executrix, be an unconstitutional restraint on the alienation of property under Const., §§ 1 and 2 and the Fourteenth Amendment to the United States Constitution, since it forces the heirs to list the testamentary real property with a particular broker contrary to their desire to sell it privately. OAG 82-36 .

324.120. Salesman to have only one license. [Repealed.]

Compiler’s Notes.

This section (3990e-5) was repealed by Acts 1942, ch. 184, § 11.

324.121. Designation of licensee as exclusive agent — Effect of designation — Availability of dual agency.

  1. A principal broker may designate one (1) or more affiliated licensees to act as agent for a seller or lessor, to the exclusion of all other licensees affiliated with the principal broker. A principal broker may designate one (1) or more affiliated licensees to act as agent for a buyer or lessee, or prospective buyer or lessee to the exclusion of all other licensees affiliated with the principal broker. The designation procedure shall be made in writing and communicated to all licensees affiliated with the principal broker. The designated agent shall inform and obtain the consent of the buyer or lessee, or prospective buyer or lessee to the designation. The designated agent shall inform and obtain the consent of the seller or lessor to the designation. The principal broker shall not designate himself or herself as a designated agent.
  2. If a principal broker designates one (1) or more licensees to represent the seller and one (1) or more other licensees to represent the buyer or the prospective buyer in the same transaction, only the principal broker or a designated manager working under the principal broker’s direction shall be deemed to be a dual agent representing the seller and buyer in a limited fiduciary capacity. As a dual agent, the principal broker or designated manager shall keep confidential information relating to either party in an individual file that shall be maintained and accessed by the principal broker or designated manager only. As a dual agent, the principal broker or designated manager shall not disclose to either party confidential information learned relative to the other party. Except as set forth in subsection (3) of this section, this designation shall not affect the principal broker’s or designated manager’s agency relationships in cooperative sales between consumers separately represented by nonaffiliated principal brokers or designated managers.
  3. No exchange of information or knowledge between or among consumers, whether the seller, buyer, lessor, or lessee, and the principal broker, the designated manager, the firm, or the licensees shall be imputed as a matter of law in any real estate transaction.
  4. Nothing in this section shall prevent a real estate brokerage firm or licensee from entering into a dual agency relationship with consumers in a real estate transaction.

History. Enact. Acts 1998, ch. 533, § 1, effective July 15, 1998; 2000, ch. 488, § 13, effective July 14, 2000; 2004, ch. 45, § 5, effective July 13, 2004; 2009, ch. 58, § 14, effective June 25, 2009.

Research References and Practice Aids

Northern Kentucky Law Review.

Article: Real Estate Broker Liability, 36 N. Ky. L. Rev. 409 (2009).

324.130. Salesman’s certificate to be delivered — Broker to display his certificate. [Repealed.]

Compiler’s Notes.

This section (3990e-5) was repealed by Acts 1942, ch. 184, § 11.

324.140. Nonresident to consent to service on secretary of commission — Duplicate copies to be served. [Repealed.]

Compiler’s Notes.

This section (3990e-8: amend. Acts 1942, ch. 184, §§ 5, 13; 1974, ch. 315, § 62; 1976, ch. 100, § 15; 1980, ch. 114, § 83, effective July 15, 1980) was repealed by Acts 1982, ch. 196, § 34, effective July 15, 1982.

324.141. Reciprocal licensing between states — Consent to service of process by nonresident applicant.

    1. An individual who holds an active real estate license issued by another jurisdiction within the United States may apply for a Kentucky license by first: (1) (a) An individual who holds an active real estate license issued by another jurisdiction within the United States may apply for a Kentucky license by first:
      1. Completing the application forms;
      2. Passing the state law portion of the licensing examination; and
      3. Fulfilling all other pre-license qualifications as outlined in this chapter.
    2. The commission shall promulgate administrative regulations in accordance with KRS Chapter 13A to establish the procedures for implementing paragraph (a) of this subsection.
  1. All individuals who have held a real estate license in another jurisdiction, whether the license is currently active or canceled, shall be required to furnish, as part of his or her application for a Kentucky license, a certification of good standing, issued by the jurisdiction. The document shall include the individual’s license history and any disciplinary information available from that jurisdiction.
  2. Every nonresident applicant shall file an irrevocable consent stating that legal actions may be commenced against the applicant in the proper court of any county of this state in which a cause of action may arise in which the plaintiff may reside, by the service of any process or pleading authorized by the laws of this state on the commission, the consent stipulating and agreeing that service of process or pleadings on the commission shall be taken and held in all courts to be as valid and binding as if service had been made upon the applicant in the State of Kentucky. Any process or pleadings served upon the commission shall be by duplicate copies, one (1) of which shall be filed in the office of the commission and the other immediately forwarded by certified mail, return receipt requested, to the main office of the applicant against which the process or pleadings are directed.

History. Enact. Acts 1982, ch. 196, § 2, effective July 15, 1982; 1984, ch. 111, § 141, effective July 13, 1984; 1988, ch. 304, § 3, effective July 15, 1988; 1992, ch. 448, § 14, effective July 14, 1992; 2009, ch. 58, § 4, effective June 25, 2009.

324.142. Promotion of sales in Kentucky of property located outside state.

Any licensee who engages in promotional activities in this Commonwealth for property located outside of this Commonwealth shall first apply to the commission for its approval before so doing, and shall comply with administrative regulations, restrictions, and conditions the commission may impose as well as those provisions set forth in this chapter.

History. Enact. Acts 1984, ch. 352, § 10, effective July 13, 1984; 1992, ch. 448, § 15, effective July 14, 1992; 2000, ch. 488, § 14, effective July 14, 2000.

324.150. Investigation of licensee — Disciplinary action against licensee — Investigative powers of commission — Emergency hearings.

    1. The commission or its staff may on its own initiative investigate the actions of any licensee or any person who acts in that capacity. On the verified written complaint of any person, the commission shall investigate the actions of any person who assumes to act in that capacity, if the complaint, together with any evidence presented in connection with it, alleges a prima facie case that a violation set out in KRS 324.160 has been committed. After the investigation, the commission may order a hearing and, in appropriate cases, take disciplinary action against any licensee who is found in violation of KRS 324.160 . (1) (a) The commission or its staff may on its own initiative investigate the actions of any licensee or any person who acts in that capacity. On the verified written complaint of any person, the commission shall investigate the actions of any person who assumes to act in that capacity, if the complaint, together with any evidence presented in connection with it, alleges a prima facie case that a violation set out in KRS 324.160 has been committed. After the investigation, the commission may order a hearing and, in appropriate cases, take disciplinary action against any licensee who is found in violation of KRS 324.160.
    2. The commission may conduct an emergency hearing when alleged escrow account violations warrant emergency action. The commission shall promulgate administrative regulations to describe the specific circumstances and allegations that authorize emergency action. The emergency hearing shall be conducted in accordance with KRS Chapter 13B, as it relates to emergency orders and emergency hearings.
  1. To investigate allegations of practices violating the provisions of this chapter, the commission may:
    1. Issue subpoenas to compel attendance of witnesses and the production of books, papers, documents, or other evidence;
    2. Administer oaths;
    3. Review evidence;
    4. Enter the office or branch office of any principal broker for the purpose of inspecting all documents required by the commission to be maintained in the principal broker’s office or branch office which relate to the allegations of practices violating the provisions of this chapter;
    5. Examine witnesses; and
    6. Pay appropriate witness fees.

History. 3990e-6: amend. Acts 1976, ch. 100, § 16; 1982, ch. 196, § 19, effective July 15, 1982; 1998, ch. 313, § 9, effective July 15, 1998; 2000, ch. 488, § 15, effective July 14, 2000; 2004, ch. 45, § 6, effective July 13, 2004; 2009, ch. 58, § 5, effective June 25, 2009.

324.151. Complaints — Answers.

  1. All complaints against licensees shall be submitted to the commission on forms furnished by the commission. The complaint shall state facts which, if true, would constitute a prima facie case that the licensee has violated the provisions of KRS 324.160 . If the complaint does not constitute a prima facie case, the commission shall allow the complainant ten (10) days to revise and supplement the complaint in order to cure any defect. If the complainant fails to respond within ten (10) days or if the revised and supplemented complaint does not constitute a prima facie case that the licensee has violated the provisions of KRS 324.160 , the commission shall dismiss the matter without requiring the licensee to file or serve a response.
  2. If the complaint constitutes a prima facie case that a licensee has violated the provisions of KRS 324.160 , a copy of the complaint, exhibits attached thereto, and any subsequent pleadings, shall be served on the licensee, by the commission, at the licensee’s last known address and shall show certification that there has been service by writing to the last known address.
  3. If the commission serves the complaint upon the licensee, the licensee shall file with the commission an answer to the complaint, properly notarized, on forms secured from commission offices. The answer shall be returned to the commission within twenty (20) days. The licensee shall deliver to the complainant at his or her last known address a copy of the answer, exhibits attached thereto, and any subsequent pleadings. All further pleadings in the matter filed with the commission by either party shall show that a copy has been furnished to the opposing party or parties.
  4. If any licensee is alleged to have committed an escrow account violation that warrants emergency action, the commission may conduct an emergency hearing as authorized by KRS 324.150(1)(b).

History. Enact. Acts 1982, ch. 196, § 5, effective July 15, 1982; 1984, ch. 352, § 6, effective July 13, 1984; 1992, ch. 448, § 16, effective July 14, 1992; 1996, ch. 318, § 289, effective July 15, 1996; 2000, ch. 488, § 16, effective July 14, 2000; 2009, ch. 58, § 6, effective June 25, 2009.

324.160. Sanctions — Grounds for sanctions.

  1. The commission may order any or all of the following sanctions for violation of subsections (4) to (7) of this section:
    1. Suspension of any license;
    2. Revocation of any license;
    3. Levy of fines not to exceed one thousand dollars ($1,000);
    4. Placing of any licensee on probation for a period of up to twelve (12) months;
    5. Requiring successful completion of academic credit hours or additional credit hours in real estate courses from an accredited institution or approved real estate school; or
    6. Issuing a formal or informal reprimand.
  2. A canceled license may be renewed if the licensee pays all necessary fees and meets all other active licensure requirements within one (1) year of the cancellation date. No licensee whose license is canceled shall engage in real estate brokerage during the period of cancellation or receive any compensation for real estate brokerage unless the compensation was earned prior to the effective date of the cancellation.
  3. No licensee whose license is suspended shall engage in real estate brokerage or receive any compensation for real estate brokerage unless the compensation was earned prior to the suspension period.
  4. The commission shall impose sanctions set out in subsection (1) of this section against a licensee for:
    1. Obtaining a license through false or fraudulent representation;
    2. Making any substantial misrepresentation or failing to disclose known defects which substantially affect the value of the property;
    3. Making any false promises of a character likely to influence, persuade, or induce;
    4. Pursuing a continued and flagrant course of misrepresentation or making false promises through agents or advertising or otherwise;
    5. Acting for more than one (1) party in a transaction without the knowledge of all parties for whom the licensee acts;
      1. A real estate licensee shall not directly or indirectly buy property listed with him or her or with the broker with whom the licensee is affiliated, nor acquire an interest therein, without first indicating in writing on the offer to purchase his or her status as a licensee;
      2. Before a licensee becomes a party to a contract to purchase real property, the licensee shall disclose his or her status as a licensee to all parties to the transaction, in writing, on the sales contract or on the offer to purchase;
      3. Before a licensee sells, or receives compensation for property in which the licensee owns an interest, the licensee shall disclose, in writing, any interest in the property to all parties to the transaction;
    6. Accepting valuable consideration for the performance of any of the acts specified in this chapter, from any person, except from his or her principal broker in accordance with a compensation agreement between them. When acting as an agent in the management of property, a real estate licensee shall not accept any commission, rebate, or profit on expenditures made for a client without the full knowledge and consent of the client;
    7. Representing or attempting to represent a broker other than a principal broker, without the express knowledge and consent of the principal broker with whom the licensee is affiliated;
    8. Failing to account for or remit, within a reasonable time, any money belonging to others that comes into the licensee’s possession. When acting as a property manager, the licensee shall render an accounting and remit all moneys to his or her client strictly in accordance with the contract of employment;
    9. Paying valuable consideration to any person for services performed in violation of this chapter;
    10. Entering a plea of guilty or an “Alford” plea to, or having been found guilty of, or having been convicted of, a felony or of a misdemeanor involving sexual misconduct 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 the imposition of sentence;
    11. Failing to report a conviction, plea of guilty, or an “Alford” plea to a felony or a misdemeanor involving sexual misconduct to the commission;
    12. Soliciting, selling, or offering for sale real property under a scheme or program that constitutes a lottery, contest, or deceptive practice;
    13. Acting in the dual capacity of licensee and undisclosed principal in any real estate transaction;
    14. Guaranteeing, authorizing, or permitting a person to guarantee that future profits shall result from a resale of real property;
    15. Negotiating or attempting to negotiate the sale, exchange, lease, or rental of real property, or attempting to obtain a brokerage agreement with a consumer knowing that the consumer had a written outstanding contract granting exclusive agency with another real estate broker;
    16. Publishing or circulating an unjustified or unwarranted threat of legal proceedings or other action;
    17. Failing or refusing on demand to furnish copies of a document pertaining to a transaction dealing with real estate to a person whose signature is affixed to the document;
    18. Failing, within a reasonable time, to provide information requested by the commission as a result of a formal or informal complaint to the commission which may indicate a violation of this chapter;
    19. Paying valuable consideration to any person for the name of potential sellers or buyers, except as otherwise provided in KRS 324.020(4);
    20. Violating any of the provisions in this chapter or any lawful order, rule, or administrative regulation made or issued under the provisions of this chapter;
    21. Any other conduct that constitutes improper, fraudulent, or dishonest dealing; or
    22. Gross negligence.
  5. Any conduct constituting a violation of the Federal Fair Housing Act, including use of scare tactics or blockbusting, shall be considered improper conduct as referred to in subsection (4)(u) of this section.
  6. No unlawful act or violation of any provision of this chapter by any affiliated licensee of the principal broker shall be cause for holding the principal broker primarily liable, unless the broker has knowledge of the unlawful violation and did not prevent it. The principal broker and his or her designated manager, if any, shall exercise adequate supervision over the activities of licensed affiliates and all company employees to ensure that violations of this chapter do not occur. The failure of a broker or his or her designated manager to exercise adequate supervision of the licensed affiliates shall constitute a violation of this chapter.
  7. The practice of obtaining, negotiating, or attempting to negotiate “net listings” shall be considered improper dealing.

History. 3990e-6, 3990e-7: amend. Acts 1942, ch. 184, § 12; 1976, ch. 100, § 17; 1978, ch. 172, § 5, effective June 17, 1978; 1982, ch. 196, § 20, effective July 15, 1982; 1984, ch. 111, § 142, effective July 13, 1984; 1984, ch. 352, § 7, effective July 13, 1984; 1988, ch. 304, § 4, effective July 15, 1988; 1992, ch. 448, § 17, effective July 14, 1992; 1998, ch. 313, § 10, effective July 15, 1998; 2000, ch. 488, § 17, effective July 14, 2000; 2004, ch. 45, § 7, effective July 13, 2004; 2009, ch. 58, § 7, effective June 25, 2009.

Legislative Research Commission Note.

(9/22/92). In codifying 1992 Ky. Acts ch. 448, sec. 17, a technical error in unaffected text in subsection (1), paragraphs (a) and (b) of this statute has been corrected to make the language of these two paragraphs accurately reflect the way in which they were created by 1988 Ky. Acts ch. 304, sec. 4. See KRS 446.270 and 446.280 .

NOTES TO DECISIONS

1.Constitutionality.

Defendant real estate broker failed to bring into issue the validity of this section before the judgment was entered; therefore, the belated effort at raising the constitutional issue must fail and, the trial court did not need to put its judgment on hold pending compliance with KRS 418.075 . Allard v. Kentucky Real Estate Com., 824 S.W.2d 884, 1992 Ky. App. LEXIS 28 (Ky. Ct. App. 1992).

2.Fraudulent Representation.

Where real estate broker used names of two persons on application for license without their knowledge, such action was sufficient to cause suspension of license on grounds of fraud. Miller v. Kentucky State Real Estate Com., 251 S.W.2d 845, 1952 Ky. LEXIS 933 ( Ky. 1952 ).

3.Intentional Wrongdoing.

In order to be found guilty of violating this section, there must be some intentional acts of wrongdoing by the licensee, as distinguished from mere negligence or incompetence. Helm v. Warner, 597 S.W.2d 159, 1980 Ky. App. LEXIS 306 (Ky. Ct. App. 1980).

4.Not Acting in Capacity of Broker or Salesman.

There is no recovery under this section where defendant broker was not acting in the capacity of a broker or salesman when the violation occurred and the court rejected a literal reading of this section since that would subject the Real Estate Education, Research and Recovery Fund created under KRS 324.400 to 324.420 to potential liability for any substantial misrepresentation or any other improper, fraudulent or dishonest conduct of a licensee whether or not such conduct was in his capacity as a broker or salesman and where the fund might find itself liable to reimburse the payee of a “cold” check written by a licensee or to reimburse the owner of property stolen by a licensee. Leishman v. Goodlett, 608 S.W.2d 377, 1980 Ky. App. LEXIS 388 (Ky. Ct. App. 1980).

Where defendant defaulted on a loan which was used to complete improvements upon real estate in which he fraudulently represented that he had an interest, this section could not be invoked to compensate plaintiff from the fund created by KRS 324.400 to 324.420 for fraudulent conduct and misrepresentation, since defendant was at most a builder-developer of real estate and was not acting in the capacity of real estate broker or salesman. Leishman v. Goodlett, 608 S.W.2d 377, 1980 Ky. App. LEXIS 388 (Ky. Ct. App. 1980).

Because the earning of a real estate commission and its assignment to a company were supported by discrete and valuable consideration, the company did not violate either KRS 324.020(4) or KRS 324.160(4), which prohibited fee splitting and receiving consideration for the performance of acts specified in the Real Estate Code. Ky. Real Estate Comm'n v. Hilliard Fin., LLC, 246 S.W.3d 910, 2008 Ky. App. LEXIS 38 (Ky. Ct. App. 2008).

5.Penalty.

Where the penalty imposed upon the broker by the Commonwealth Real Estate Commission (KREC) was commensurate with its conclusions that the broker had violated three provisions of this section, and the Court of Appeals affirmed the trial court’s reversal of the violation of one of those three provisions, the proceeding was remanded to the KREC for it to reconsider imposition of a lesser penalty against the broker. Swinebroad-Denton, Inc. v. Hornback, 744 S.W.2d 429, 1987 Ky. App. LEXIS 568 (Ky. Ct. App. 1987).

6.Exclusive Agency.

An auction sale contract is not the exclusive agency mentioned in subdivision (1)(l) (now (4)(o)) of this section. Swinebroad-Denton, Inc. v. Hornback, 744 S.W.2d 429, 1987 Ky. App. LEXIS 568 (Ky. Ct. App. 1987).

The defendant did not violate subdivision (1)(l) (now (4)(o)) of this section where the first contract between the sellers and the other broker was an exclusive right to sell contract, which by its own term expired long before the defendant arrived on the scene. Swinebroad-Denton, Inc. v. Hornback, 744 S.W.2d 429, 1987 Ky. App. LEXIS 568 (Ky. Ct. App. 1987).

7.Gross Negligence.

Gross negligence establishes sufficient cause for suspension of real estate broker’s license under this section. Allard v. Kentucky Real Estate Com., 824 S.W.2d 884, 1992 Ky. App. LEXIS 28 (Ky. Ct. App. 1992).

Cited:

Kentucky Real Estate Com. v. Kachler, 819 S.W.2d 41, 1991 Ky. App. LEXIS 138 (Ky. Ct. App. 1991); Louisville Peterbilt, Inc. v. Cox, 132 S.W.3d 850, 2004 Ky. LEXIS 91 ( Ky. 2004 ).

Opinions of Attorney General.

Although under KRS 324.282 a real estate broker may charge whatever commission he desires, an arrangement whereby the broker pays homeowners a listing fee to list their property for sale with him and returns at the closing a portion of the agreed upon commission amounts to fee splitting and “improper dealing” as prohibited by this section. OAG 73-544 .

The sharing of a commission by a licensee who is a corporate officer with a nonlicensee of a corporation is a violation of subsection (1)(i) of this section and KSREC-15-20 (Vol. V, KARS), which provides no licensee may split a commission with anyone who is not a licensee. OAG 74-563 .

The giving of money, fixtures, appliances, etc., by a builder who is also a real estate broker or a builder cooperating with a real estate broker to someone who finds a purchaser but does not hold a real estate license, as an inducement to obtain a purchaser for the sale of real estate, is a violation of this section. OAG 75-407 .

A real estate agent may, by advertisement, offer a discount, rebate, prizes at open house or other inducement to induce purchase of a particular property so long as the inducement goes to the purchaser of the property, since an inducement given to someone other than the purchaser himself would violate subsection (1)(i) of this section. OAG 81-30 .

A real estate broker may allow his name and the name of his firm to be used in a builder or developer’s advertisement which includes a discount or other inducement to prospective purchasers from the builder or developer, so long as the inducement goes to the purchaser of the property. OAG 81-30 .

Compensation in any form, for the performance of acts as defined in former KRS 324.010(2) or former 324.010(1)(f), must be paid through the principal broker in order to avoid violation of subdivision (1)(f) (now (4)(f)) of this section; where the management of property includes acts as defined in such statutes, (such as offering to rent or lease, referring prospects, negotiating leases, sales or purchases), then payment for such acts must also be made through the salesman’s broker to avoid violation of subdivision (1)(f) (now (4)(f)) of this section. OAG 82-307 .

When performing any of the acts defined in KRS 324.010(2) or former 324.010(1)(f), for a fee, commission or other valuable consideration, a salesman must be associated with a broker directly or indirectly. OAG 82-307 .

An individual who, though licensed as a broker, is acting for himself as an owner of real estate is not subject to the disciplinary provisions of KRS Chapter 324. OAG 83-183 .

A broker who acts for a corporation in transactions pertaining to real estate is therefore acting in his capacity as a broker by representing a third party, (i.e., the corporation). Therefore, the Kentucky Real Estate Commission may, consistently with the provisions of KRS Chapter 324, hold a broker who is an owner of a corporation responsible for his real estate activities pertaining to real estate which is owned by that corporation. OAG 83-183 .

Research References and Practice Aids

Northern Kentucky Law Review.

Yzenbaard, “Kentucky Real Property Law in Review”, see pgs. 407-417 for an analysis of recent cases, 25 N. Ky. L. Rev. 2 (1998).

Article: Real Estate Broker Liability, 36 N. Ky. L. Rev. 409 (2009).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Auctions and Auctioneers, § 334.00.

324.162. Agent’s duty to disclose.

An agent licensed under this chapter representing a party in the sale, leasing, or exchange of real property shall have no affirmative duty to disclose to any person who acquires, by voluntary or involuntary transfer, a legal or equitable interest in real property, including any leasehold or security interest for an obligation, information not required by this chapter or applicable federal law.

History. Enact. Acts 2003, ch. 99, § 1, effective June 24, 2003.

324.165. Prohibited business practices — Penalties.

  1. No person shall:
    1. Solicit or request a referral fee from a real estate licensee unless that person introduced the business to the real estate licensee from whom the referral fee is sought and a contractual referral fee relationship exists between the person and the real estate licensee; or
    2. Threaten to reduce or withhold employee relocation benefits or to take other action adverse to the interests of a client of a real estate licensee because of an agency relationship.
  2. No real estate licensee, relocation firm, or firm with a corporate relocation policy or benefits, or anyone on behalf of any licensee or firm, shall counsel a client of another real estate licensee regarding the manner in which the client may terminate or amend an existing listing contract, buyer agency agreement, or other agency relationship. Communicating corporate relocation policy or benefits to a transferring employee shall not be considered a violation of this section, as long as the communication does not involve advice or encouragement regarding the manner in which the client may terminate or amend an existing agency relationship.
  3. Violation of this section by a broker or sales associate shall be considered improper conduct as referred to in KRS 324.160(4)(u). Violation of this section by unlicensed persons shall be subject to the penalties in KRS 324.990 .

History. Enact. Acts 2000, ch. 488, § 2, effective July 14, 2000; 2009, ch. 58, § 8, effective June 25, 2009.

324.170. Hearing to precede any disciplinary action — Notice — Conduct of hearing.

  1. The commission shall, before denying an application for license or before ordering any disciplinary action against a licensee, order a hearing. The hearing shall be conducted in accordance with the provisions of KRS Chapter 13B. If the applicant or licensee is a sales associate, the commission shall also notify the principal broker of the hearing by mailing notice by certified mail, return receipt requested, to the broker’s last known business address. The commission shall order the presence of the principal broker or his or her designated representative at the hearing.
  2. All hearings shall be conducted by a quorum of the commission or by a hearing officer appointed by the commission. Hearing officers shall not order any disciplinary action against a licensee. The function of hearing officers appointed to conduct hearings shall be to preside at the hearing and to prepare a recommended order to be submitted to the commission.
  3. If any licensee is alleged to have committed an escrow account violation that warrants emergency action, the commission may conduct an emergency hearing as authorized by KRS 324.150(1)(b).

History. 3990e-7: amend. Acts 1942, ch. 184, §§ 4, 12; 1974, ch. 315, § 63; 1976, ch. 100, § 18; 1978, ch. 172, § 6, effective June 17, 1978; 1980, ch. 114, § 84, effective July 15, 1980; 1982, ch. 196, § 21, effective July 15, 1982; 1984, ch. 352, § 8, effective July 13, 1984; 1992, ch. 448, § 18, effective July 14, 1992; 1996, ch. 318, § 290, effective July 15, 1996; 2000, ch. 488, § 18, effective July 14, 2000; 2009, ch. 58, § 9, effective June 25, 2009.

NOTES TO DECISIONS

1.Sufficiency of Notice.

Notice to real estate licensee setting forth time and place for hearing regarding suspension and stating clearly that defendant was charged with false and fraudulent procurement of license satisfied this section. Miller v. Kentucky State Real Estate Com., 251 S.W.2d 845, 1952 Ky. LEXIS 933 ( Ky. 1952 ).

324.180. Notice of hearing. [Repealed.]

Compiler’s Notes.

This section (3990e-7) was repealed by Acts 1942, ch. 184, § 12.

324.190. Production of evidence in hearing. [Repealed.]

Compiler’s Notes.

This section (3990e-7: amend. Acts 1942, ch. 184, §§ 4, 12; 1982, ch. 196, § 22, effective July 15, 1982) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

324.200. Hearing — Denial of license or any other disciplinary action — Appeal — Stay of judgment pending appeal.

  1. If the commission determines after a hearing that any applicant is not entitled to receive a license, a license shall not be granted to the applicant, and if the commission determines after a hearing that any licensee has violated any of the provisions of this chapter, the disciplinary measures in KRS 324.160(1) may be ordered.
  2. Pursuant to KRS 13B.120(7), the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing shall hear and issue a final order regarding a decision of the commission.
  3. An aggrieved party may appeal a final order of the executive director pursuant to KRS Chapter 13B within thirty (30) days after the issuance of the order to the Circuit Court of the county where the licensee has his or her principal place of business or where the license applicant resides. Disciplinary action imposed by the executive director shall be automatically stayed during the pendency of an appeal to a circuit or appellate court, unless otherwise indicated in the final order of the executive director.

History. 3990e-7: amend. Acts 1942, ch. 184, §§ 4, 12; 1988, ch. 304, § 5, effective July 15, 1988; 1996, ch. 318, § 291, effective July 15, 1996; 2000, ch. 488, § 19, effective July 14, 2000; 2017 ch. 178, § 25, effective April 11, 2017.

324.210. Appeal from decision of commission. [Repealed.]

Compiler’s Notes.

This section (3990e-7: amend. Acts 1942, ch. 184, §§ 4, 12; 1976, ch. 62, § 117; 1978, ch. 172, § 7, effective June 17, 1978; 1982, ch. 196, § 23, effective July 15, 1982; 1986, ch. 345, § 3, effective July 15, 1986) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

324.220. No other license to be issued for five years after revocation.

No person who has had a broker’s or sales associate’s license revoked shall be issued another license for five (5) years from the date of revocation. All persons seeking issuance of another license after the five (5) year period of revocation may do so only at the discretion of the commission and shall retake the appropriate examination and meet all of the contemporary licensing requirements.

History. 3990e-6: amend. Acts 1982, ch. 196, § 24, effective July 15, 1982; 1992, ch. 448, § 19, effective July 14, 1992; 2000, ch. 488, § 20, effective July 14, 2000.

324.230. Revocation or suspension of principal broker’s license renders inactive the license of person associated with broker.

The revocation or suspension of a principal broker’s license shall automatically render inactive every license granted to any person by virtue of association with the principal broker whose license has been revoked or suspended, pending a change of principal broker and the issuance of a new license. Such new license shall be issued without charge, if granted during the same year in which the original license was granted.

History. 3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1976, ch. 100, § 19; 1978, ch. 172, § 8, effective June 17, 1978; 1982, ch. 196, § 25, effective July 15, 1982; 2000, ch. 488, § 21, effective July 14, 2000.

Commercial Real Estate Brokerage

324.235. Definitions for KRS 324.235 to 324.238.

As used in KRS 324.235 to 324.238 , unless the context requires otherwise:

    1. “Commercial real estate” means any parcel of real estate located in this state that is: (1) (a) “Commercial real estate” means any parcel of real estate located in this state that is:
      1. Lawfully used primarily for sales, retail, wholesale, office, research, institutional, warehouse, manufacturing, or industrial purposes;
      2. Lawfully used primarily for multifamily residential purposes involving five (5) or more dwelling units; or
      3. Zoned for a business or commercial use by a planning unit acting pursuant to KRS Chapter 100.
    2. “Commercial real estate” does not include single-family residential units such as condominiums, townhouses, manufactured homes, or homes or lots in a subdivision when sold, or residential units otherwise conveyed on a unit-by-unit basis, even if those units are a part of a larger building or parcel of real estate containing more than four (4) residential units;
  1. “Cooperation agreement” means a written co-brokerage, referral, affiliation, or other agreement or arrangement between an out-of-state principal broker and a Kentucky cooperating broker;
  2. “Kentucky cooperating broker” means a principal broker licensed under this chapter who has entered into a written cooperation agreement with an out-of-state principal broker;
  3. “Out-of-state principal broker” means an individual who is licensed as a real estate broker in a jurisdiction other than Kentucky, and who is the designated broker with whom one (1) or more out-of-state licensees are affiliated or associated; and
  4. “Out-of-state licensee” means an individual who is licensed as a real estate broker or real estate sales associate in a jurisdiction other than Kentucky, and who is affiliated or associated with an out-of-state principal broker.

History. Enact. Acts 2008, ch. 156, § 1, effective July 15, 2008.

324.236. Engaging in commercial real estate brokerage by out-of-state principal broker and out-of-state licensee.

An out-of-state principal broker and his or her out-of-state licensee, for or in the expectation of a fee, commission, compensation, or other valuable consideration, may engage in real estate brokerage with respect to commercial real estate if the requirements of this section are satisfied:

  1. The out-of-state licensee shall be licensed with and work under the direct supervision of the out-of-state principal broker;
  2. The out-of-state principal broker shall enter into a written cooperation agreement with the Kentucky cooperating broker that shall include but not be limited to the following:
    1. The terms of cooperation and compensation between the out-of-state principal broker and the Kentucky cooperating broker;
    2. A description of the parties, the commercial real estate, or other information sufficient to identify the specific transactions governed by the cooperation agreement; and
    3. The effective date and a definite termination date of the cooperation agreement; and
  3. Regarding transactions that fall within the scope of the cooperation agreement specified in subsection (2) of this section, the out-of-state principal broker and the out-of-state licensee shall:
    1. Work in cooperation with a Kentucky cooperating broker;
    2. Furnish the Kentucky cooperating broker with a copy of the out-of-state principal broker’s and out-of-state licensee’s current real estate license from the jurisdiction of his or her primary place of business;
    3. Limit acts of real estate brokerage to commercial real estate transactions referenced in the cooperation agreement;
    4. Only list commercial real estate located in this state for sale, lease, or exchange if the real estate is co-listed with the Kentucky cooperating broker;
    5. Be prohibited from holding escrow funds, security deposits, or other moneys in escrow or other accounts located outside this state;
    6. Promptly provide the Kentucky cooperating broker with relevant documentation relating to the specific transaction or transactions governed by the cooperation agreement;
    7. Keep the Kentucky cooperating broker fully informed of all activities through prompt communications;
    8. Perform all actions under the direct supervision and control of the Kentucky cooperating broker;
    9. List his or her individual name, firm name, or both in advertising for commercial real estate transactions only if the advertising:
      1. Includes with equal prominence the same identifying information for the Kentucky cooperating broker and his or her relevant licensees, except that, with respect to multistate portfolio listings, only the name or firm of the Kentucky cooperating broker printed in legible type shall be mandatory, with no requirement concerning prominence; and
      2. Otherwise complies with the requirements of this chapter;
    10. Comply with and be bound by and subject to Kentucky law and the regulations of the commission, including but not limited to KRS 324.235 to 324.238 ;
    11. Not engage in improper conduct as set out in KRS 324.160(4); and
    12. File with the Kentucky cooperating broker a true and complete notice of affiliation in compliance with KRS 324.327.

History. Enact. Acts 2008, ch. 156, § 2, effective July 15, 2008.

324.237. Notice of affiliation with Kentucky cooperating broker required.

  1. A notice of affiliation required under KRS 324.236(3)(l) shall be filed with the Kentucky cooperating broker and shall include the following:
    1. The name, firm name, firm address, firm telephone number, and real estate license number of the Kentucky cooperating broker;
    2. The name, firm name, firm address, firm telephone number, address for service of process, and current real estate license numbers and jurisdictions of licensure of both the out-of-state principal broker and out-of-state licensee;
    3. The effective date and a definite termination date of the corresponding cooperation agreement between the Kentucky cooperating broker and the out-of-state principal broker;
    4. An agreement that the out-of-state principal broker and out-of-state licensee shall:
      1. Each comply with and be subject to KRS 324.235 to 324.238 , Kentucky law, and administrative regulations promulgated by the commission;
      2. Not engage in improper conduct as set out in KRS 324.160(4); and
      3. Ensure that all documentation pertaining to transactions falling within the scope of the cooperation agreement complies with Kentucky law;
    5. The irrevocable consent of the out-of-state principal broker and out-of-state licensee that legal actions may be commenced against them in the proper court of any county in this state in which a cause of action may arise or in which the plaintiff may reside, by the service of process on the Kentucky Secretary of State pursuant to KRS 454.210 , and stipulating and agreeing that service of process on the Kentucky Secretary of State shall be taken and held in all courts to be as valid and binding as if service had been made upon the out-of-state principal broker and out-of-state licensee in this state;
    6. A statement that the out-of-state principal broker and out-of-state licensee are trustworthy and competent to transact business in a manner to safeguard the interests of the public, and that during the five (5) year period prior to the filing of the notice of affiliation:
      1. No state has revoked the real estate license of the out-of-state principal broker or out-of-state licensee pursuant to a disciplinary action; and
      2. Neither the out-of-state principal broker nor the out-of-state licensee has been convicted of a felony in any jurisdiction; and
    7. A statement that the out-of-state principal broker and out-of-state licensee each consent to any criminal records check undertaken by the commission in connection with any investigation pursuant to KRS 324.150 .
  2. A notice of affiliation shall be true and complete and shall be signed or otherwise authenticated under penalty of perjury by both the out-of-state principal broker and out-of-state licensee.
  3. An out-of-state principal broker and out-of-state licensee may enter into cooperation agreements and notices of affiliation with respect to more than one (1) Kentucky cooperating broker.

History. Enact. Acts 2008, ch. 156, § 3, effective July 15, 2008.

324.238. Compliance with KRS 324.160(4) and 324.235 to 324.238 — Sanctions and penalties.

For purposes of KRS 324.235 to 324.238 :

  1. A person licensed in a jurisdiction where there is not a legal distinction between a real estate principal broker and a real estate broker or salesperson shall satisfy the requirements of an out-of-state principal broker;
  2. Preliminary exchanges of information and materials, discussions, and investment or other advice pertaining to commercial real estate shall not constitute acts of real estate brokerage by out-of-state principal brokers or out-of-state licensees;
  3. If any change in circumstances prevents compliance by the out-of-state principal broker or out-of-state licensee, that person shall immediately cease and desist from performing acts of real estate brokerage with respect to commercial real estate; and
  4. The commission may impose one (1) or more of the following sanctions or penalties against an out-of-state principal broker or an out-of-state licensee for failure to substantially comply with KRS 324.235 to 324.238 or for engaging in improper conduct as set out in KRS 324.160(4):
    1. Levy fines not to exceed one thousand dollars ($1,000);
    2. Issue a formal or informal reprimand;
    3. Report misconduct to the licensing authority of any state;
    4. Revoke or suspend the authority of the out-of-state principal broker or out-of-state licensee to perform acts of real estate brokerage with respect to commercial real estate;
    5. Publish and maintain a public registry of any sanctions or penalties imposed pursuant to this subsection; and
    6. Report suspected violations of KRS Chapter 523 to the Commonwealth’s attorney of the county in which the office of the commission is located.

History. Enact. Acts 2008, ch. 156, § 4, effective July 15, 2008.

324.240. State Real Estate Commission — Members — Terms — Vacancies. [Repealed.]

Compiler’s Notes.

This section (3990e-3) was repealed by Acts 1942, ch. 184, § 10.

324.250. Qualifications of commission members. [Repealed.]

Compiler’s Notes.

This section (3990e-3) was repealed by Acts 1942, ch. 184, § 10.

324.260. Election of chairman. [Repealed.]

Compiler’s Notes.

This section (3990e-3) was repealed by Acts 1942, ch. 184, § 10.

324.270. Compensation of commission members. [Repealed.]

Compiler’s Notes.

This section (3990e-3) was repealed by Acts 1942, ch. 184, § 10.

324.280. Functions of commission. [Repealed.]

Compiler’s Notes.

This section (3990e-3, 3990e-4: amend. Acts 1942, ch. 184, § 10) was repealed by Acts 1966, ch. 255, § 283.

Kentucky Real Estate Commission

324.281. Kentucky Real Estate Commission — Members — Terms — Vacancies — Duties — Mandatory continuing education — Compensation of members.

  1. There is hereby created the Kentucky Real Estate Commission. The Governor shall appoint seven (7) persons, at least six (6) of whom, immediately prior to the date of their appointment have been residents of the state for ten (10) years and whose vocation for a period of at least ten (10) years shall have been that of an active real estate licensee. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. The term of the members of the commission shall be for three (3) years and until their successors are appointed and qualify, except as provided in subsections (2) and (3) of this section. A majority of the commission shall constitute a quorum for the transaction of business.
  2. All appointments shall be for the specified three (3) year term. No person appointed after July 14, 2000, shall serve more than two (2) consecutive terms.
  3. For each appointment or vacancy, the Kentucky Association of Realtors shall within sixty (60) days supply a list of not less than three (3) names of licensees to the Governor each year from which the broker or sales associate appointments shall be made. The Governor may reject the list of three (3) names and request that the Kentucky Association of Realtors submit a new list of three (3) names within sixty (60) days of the Governor’s request. If the Kentucky Association of Realtors fails to timely submit this list to the Governor, the Governor may immediately appoint a qualified person to fill this vacancy. The Governor may otherwise fill vacancies arising in the middle of the year from those remaining on the list or from a new list supplied by the association.
  4. There shall not be more than four (4) members of any one (1) political party serving on the commission at the same time. No member of the commission shall reside in the same county as another member. Appointees to fill vacancies shall be appointed for the unexpired term.
  5. It shall be the duty of the commission to:
    1. Promulgate administrative regulations, with the approval of the executive director of the Kentucky Real Estate Authority;
    2. Hold disciplinary hearings concerning matters in controversy as provided by this chapter;
    3. Conduct examinations for applicants eligible under this chapter or alternatively to contract with an entity to conduct examinations;
    4. Conduct necessary educational seminars and courses directed toward continuing education within the real estate field;
    5. Investigate or cause to be investigated any irregularities in violation of this chapter or the promulgated and authorized administrative regulations of the commission; and
    6. Participate with any other agency of the Commonwealth or the authorized agency of another state for the betterment or improvement of the administration of the statutes or administrative regulations governing this commission.

      Any action taken by the commission under this subsection shall be appealable as are other actions of the commission under this chapter.

  6. The commission, at its discretion, may use the funds necessary to purchase liability insurance for members and executive officers of the commission, inspectors, and for members of the staff exempted from classified service of the state by KRS 18A.115 .
  7. The commission shall require all actively licensed agents, except for those agents who were licensed prior to June 19, 1976, to successfully complete mandatory continuing education as a condition of license renewal.
  8. The commission shall, by the promulgation of administrative regulations, develop a review process by which continuing education courses may be approved for credit. An applicant may seek the commission’s approval for credit for courses not previously approved by the commission by submitting sufficient information describing the course to the commission for review.
  9. The Governor shall set the compensation of the members of the commission, but voting members of the commission shall be compensated no less than three hundred dollars ($300) per day for official business, subject to an annual maximum of six thousand dollars ($6,000). Members shall be reimbursed for all expenses paid and incurred in the discharge of official business consistent with the reimbursement policy for state employees. With the approval of the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing, commission members and commission staff may attend and travel to and from meetings and events relevant to the commission or to the industry the commission represents.

History. Enact. Acts 1942, ch. 184, § 2; 1972, ch. 264, § 3; 1976, ch. 11, § 1; 1976, ch. 100, § 20; 1982, ch. 196, § 26, effective July 15, 1982; 1984, ch. 111, § 143, effective July 13, 1984; 1984, ch. 352, § 9, effective July 13, 1984; 1992, ch. 448, § 20, effective July 14, 1992; 2000, ch. 488, § 22, effective July 14, 2000; 2017 ch. 178, § 26, effective April 11, 2017; 2019 ch. 135, § 3, effective June 27, 2019.

NOTES TO DECISIONS

1.Separation of Powers.

This section gives the General Assembly no voice in the selection of committee members; its reach extends solely to providing a method of selection with reasonable criteria to generate commission/members qualified for the position through participation of an organization, the Kentucky Association of Realtors, which is independent of legislative control; therefore, it does not transgress the mandate in Ky. Const., § 27 providing for separation of powers between the branches of government. Kentucky Ass'n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Opinions of Attorney General.

It is a violation of KRS 61.096 (amended and reenacted as KRS 45A.340 ) and Ky. Const., §§ 27 and 28 for a person to serve as a member of the General Assembly and the Kentucky Real Estate Board at the same time. OAG 68-43 .

Where an unexpired term or other vacancy exists on the Real Estate Commission, the appointment must be carried out in accordance with the procedure set forth in subsection (1) of this section, although the Governor may either consider names remaining on the list of nominees submitted for the year in which the vacancy occurred or wait for the new list to be submitted the following year. OAG 81-310 .

A broker who acts for a corporation in transactions pertaining to real estate is therefore acting in his capacity as a broker by representing a third party, (i.e., the corporation). Therefore, the Kentucky Real Estate Commission may, consistently with the provisions of KRS Chapter 324, hold a broker who is an owner of a corporation responsible for his real estate activities pertaining to real estate which is owned by that corporation. OAG 83-183 .

Upon review of this section and KRS 324.282 , as well as of KRS 18A.350 , 18A.355 , and 18A.360 (now repealed), the incumbents of the Real Estate Commission are included under the language of KRS 18A.350 which defines employee as any officer or employee of the executive branch of government; therefore, it would appear that the members of the Real Estate Commission are eligible for annual increments, although it is entirely possible that this was not the intent of the legislature. OAG 90-25 .

324.2811. Automatic removal of member from commission.

A member shall be automatically removed from the commission and a vacancy shall be created if:

  1. A licensee of the commission ceases to be a broker or sales associate;
  2. A consumer member of the commission acquires a license or financial interest in the practice of real estate;
  3. A member enters a plea of guilty to, or has been found guilty of, a felony in which fraud is an essential element or to any crime involving moral turpitude and the time for appeal has lapsed or the judgment or conviction has been affirmed on appeal;
  4. A member ceases to be a bona fide resident of this Commonwealth;
  5. A member displays incompetence, neglect of duty, or unprofessional conduct;
  6. A member fails to adhere to a duly adopted code of ethics of the commission. Failure to adhere to this code shall be determined by official action of the commission; or
  7. A member misses three (3) consecutive meetings or misses more than twenty-five percent (25%) of the meetings held over the previous twelve (12) month period.

History. Enact. Acts 1982, ch. 196, § 6, effective July 15, 1982; 1992, ch. 448, § 21, effective July 14, 1992; 2000, ch. 488, § 23, effective July 14, 2000; 2017 ch. 178, § 38, effective April 11, 2017.

Legislative Research Commission Notes.

(4/11/2017). In codifying the amendments made to this statute in 2017 Ky. Acts ch. 178, sec. 38, the Reviser of Statutes has changed the word “board” to “commission” in two places in new subsection (6) to correct a manifest clerical or typographical error under the authority of KRS 7.136(1)(h).

324.2812. Limitation of commission’s jurisdiction.

Nothing in this chapter or the administrative regulations promulgated under the authority of this chapter shall extend the jurisdiction of the Kentucky Real Estate Commission to community association managers and the management or business activities of not-for-profit community associations, which includes townhouse, condominium, homeowner, or neighborhood associations.

History. Enact. Acts 2009, ch. 58, § 15, effective June 25, 2009.

324.282. Election of chairperson — Rules and regulations.

The commission, immediately upon qualification of the member appointed in each year, shall organize by selecting from its members a chairperson. The commission shall promulgate administrative regulations in accordance with KRS Chapter 13A and this chapter to effectively carry out and enforce the provisions of this chapter, but the commission shall not promulgate any administrative regulation which in any way fixes prices, establishes fees, or sets the rate at which licensees are compensated.

History. Enact. Acts 1942, ch. 184, § 2; 1982, ch. 196, § 27, effective July 15, 1982; 1992, ch. 448, § 22, effective July 14, 1992; 2000, ch. 488, § 24, effective July 14, 2000.

Opinions of Attorney General.

Although under this section a real estate broker may charge whatever commission he desires, an arrangement whereby the broker pays to prospective homeowners who list their property for sale with him a listing fee and agrees upon closing to return a portion of the agreed upon commission would under KRS 324.160 amount to fee splitting and “improper dealing” which is prohibited by that section. OAG 73-544 .

Research References and Practice Aids

Cross-References.

Administrative regulations, adoption and effective dates, KRS 13A.330 .

324.283. Compensation of commission members. [Repealed]

History. Enact. Acts 1942, ch. 184, § 2; 1960, ch. 215, § 4; 1972, ch. 264, § 4; 1978, ch. 172, § 9, effective June 17, 1978; 1982, ch. 196, § 28, effective July 15, 1982; 1986, ch. 345, § 4, effective July 15, 1986; 1988, ch. 304, § 6, effective July 15, 1988; 1992, ch. 448, § 23, effective July 14, 1992; repealed by 2017 ch. 178, § 40, effective April 11, 2017.

324.284. Employees — Office — Equipment and supplies.

The commission shall employ, and at its pleasure discharge, a secretary, and such clerks and assistants as shall be deemed necessary to discharge the duties imposed by the provisions of this chapter, and shall outline their duties and fix their compensation subject to the general laws of the state. The commission shall obtain such office space, furniture, stationery, fuel, light, and other proper conveniences as shall be reasonably necessary for carrying out the provisions of this chapter.

History. Enact. Acts 1942, ch. 184, § 2.

324.285. Seal — Records.

The commission shall adopt a seal with the design the commission prescribes engraved thereon, by which it shall authenticate its proceedings. All records kept in the office of the commission under the authority of this chapter shall be open to public inspection under the administrative regulations as shall be prescribed by the commission.

History. Enact. Acts 1942, ch. 184, § 2; 1990, ch. 88, §§ 84, 93, effective July 1, 1992; 1992, ch. 448, § 24, effective July 14, 1992.

Compiler’s Notes.

This section was amended by § 84 of Acts 1990, ch. 88 to contingently become effective as provided by § 93 of Acts 1990, ch. 88. However, § 93 of Acts 1990, ch. 88 was repealed by § 30 of Acts 1992, ch. 324, effective July 1, 1992. Therefore amendment of this section by § 84 of Acts 1990, ch. 88 became effective July 1, 1992.

324.286. Disposition of fees — Payment of expenses.

Except for the fees and charges paid by the licensees to the commission and deposited in the real estate education, research, and recovery fund, all fees and charges collected by the commission under the provisions of this chapter shall be paid into the general fund in the State Treasury. All expenses incurred by the commission under the provisions of this chapter, including compensations to members, secretaries, clerks, and assistants, except those expenses designated for payment out of the real estate education, research, and recovery fund, shall be paid out of the general fund in the State Treasury upon warrants of the secretary for finance and administration as warrants generally are required to be drawn by the statutes governing such respective offices from time to time, when vouchers therefor are exhibited and approved by the commission; provided, that the total expense for every purpose incurred shall not exceed the total fees, charges, fines, and penalties imposed under the provisions of this chapter and paid into the State Treasury. All expenses incurred by the commission and designated for payment out of the real estate education, research, and recovery fund, including payments to aggrieved parties and the expenses of carrying on the educational and research requirements of KRS 324.410 , shall be paid out of the real estate education, research, and recovery fund in the same manner as required in this section for payments out of the general fund; provided, that the total expenses and payments for every purpose incurred and designated for payment out of the real estate education, research, and recovery fund shall not exceed the total fees, charges, and interest received by the commission and paid into the real estate education, research, and recovery fund of the State Treasury.

History. Enact. Acts 1942, ch. 184, § 2; 1972, ch. 51, § 7.

324.287. Fees.

The commission shall set, charge, and collect the following fees:

  1. Examination fee, not to exceed one hundred dollars ($100);
  2. Broker’s and sales associate’s original biennial license fee, not to exceed sixty dollars ($60);
  3. Broker’s and sales associate’s biennial renewal fee, not to exceed sixty dollars ($60);
    1. Transfer from one (1) principal broker to another, not to exceed ten dollars ($10). (4) (a) Transfer from one (1) principal broker to another, not to exceed ten dollars ($10).
    2. If the transfer is initiated by the principal broker for twenty (20) or more licensees, the transfer fee shall not exceed two hundred dollars ($200);
  4. Reactivation fee, not to exceed ten dollars ($10);
  5. Certification of status with the commission, ten dollars ($10);
  6. Request for any change, not to exceed ten dollars ($10);
  7. Biennial recovery fund fee, not to exceed sixty dollars ($60);
  8. Prelicensing education course review fee, not to exceed two hundred dollars ($200);
  9. Continuing and postlicensing education course review fee, not to exceed fifty dollars ($50); and
  10. Distance education course review fee, not to exceed seventy-five dollars ($75).

HISTORY: Enact. Acts 1982, ch. 196, § 7, effective July 15, 1982; 1992, ch. 448, § 25, effective July 14, 1992; 2000, ch. 488, § 25, effective July 14, 2000; 2019 ch. 135, § 4, effective January 1, 2020.

324.288. Affiliation fee.

No affiliation fee shall be charged in any year to a licensee. As used in this section, “affiliation fee” means any fee or compensation paid by a licensee, to any person, for the privilege of listing his license with a particular principal broker, in records submitted to the commission.

History. Enact. Acts 1982, ch. 196, § 8, effective July 15, 1982; 2000, ch. 488, § 26, effective July 14, 2000.

324.290. List of licensees to be published and recorded. [Repealed.]

Compiler’s Notes.

This section (3990e-9: amend. Acts 1942, ch. 184, §§ 6, 14; 1976, ch. 100, § 21) was repealed by Acts 1982, ch. 196, § 34, effective July 15, 1982.

324.300. Members, officers and salesmen of company to be licensed. [Repealed.]

Compiler’s Notes.

This section (3990e-1: amend. Acts 1942, ch. 184, §§ 1, 8) was repealed by Acts 1976, ch. 100, § 23.

324.310. Delivery of sales associate’s license to commission when association terminated — Placing license in with commission — Reactivating license inactive status.

  1. If any sales associate is discharged or terminates his or her association with the principal broker, it shall be the duty of the broker to immediately deliver or mail to the commission the sales associate’s license in a manner that complies with KRS 324.312 , along with the release statement signed by the principal broker. The broker shall, at the time of mailing the sales associate’s license to the commission, address a communication to the last known residence address of the sales associate, which shall advise the sales associate that his or her license has been delivered or mailed to the commission. A copy of the communication to the sales associate shall accompany the license when mailed or delivered to the commission. It shall be unlawful for any sales associate to perform any of the acts contemplated by this chapter either directly or indirectly under authority of the sales associate’s license from and after the date of receipt of the license from the broker by the commission.
  2. A licensee may place his or her license in inactive status with the commission provided that:
    1. The licensee does not engage in any real estate activity for others during the term of inactive status of the license;
    2. The licensee pays the biennial license renewal fees for each biennial renewal period the license is in inactive status; and
    3. The licensee obtains extended reporting period coverage insurance for one (1) year at the current minimum requirements then in effect prior to entering inactive status.
  3. At the request of the licensee, after complying with subsection (4) of this section and upon the meeting of requirements applicable to active licensees, the commission shall reactivate a license placed in inactive status, in the absence of any reason or condition which might warrant the refusal of the granting of a license.
  4. To reactivate a license, a licensee shall:
    1. Submit an acceptable criminal record check consistent with KRS 324.045(4);
    2. Complete all continuing education requirements required by the commission; and
    3. Pay the applicable reactivation fees.

History. 3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1974, ch. 315, § 64; 1976, ch. 100, § 22; 1978, ch. 172, § 10, effective June 17, 1978; 1982, ch. 196, § 29, effective July 15, 1982; 1984, ch. 352, § 11, effective July 13, 1984; 1992, ch. 448, § 26, effective July 14, 1992; 2000, ch. 488, § 27, effective July 14, 2000; 2009, ch. 58, § 10, effective June 25, 2009; 2019 ch. 135, § 5, effective June 27, 2019.

324.312. Commission’s right to return of associate’s license — Sanction for failure to return.

  1. A principal broker shall return an associate’s license to the commission immediately:
    1. Upon the written termination of the association between the broker and the associate; or
    2. At any time upon the commission’s request.
  2. If a principal broker fails to return a license to the commission as required by subsection (1) of this section within five (5) business days, the commission shall consider the license as released, and the principal broker shall be in violation of KRS 324.160(4)(u).

History. Enact. Acts 1998, ch. 313, § 1, effective July 15, 1998; 2000, ch. 488, § 28, effective July 14, 2000; 2009, ch. 58, § 11, effective June 25, 2009.

324.320. Broker, salesman not to sue for compensation without being licensed. [Repealed.]

Compiler’s Notes.

This section (3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1972, ch. 51, § 8) was repealed by Acts 1976, ch. 100, § 23.

324.330. Notice of change of location, firm name, surname, or associate — New license.

  1. Notice in writing shall be given to the commission by each licensee of any change of principal business location, a change of firm name, sales associate’s transfer from one (1) principal broker to another, or a change of surname. The commission shall issue a new license for the unexpired period and shall charge the fee as provided in KRS 324.287(7) for effecting the change on its records. This section shall apply to both brokers and sales associates.
  2. The commission shall be notified in writing of a change of a residence address within ten (10) days.
  3. A fee shall be assessed for certification of a licensee’s status with the commission.
  4. The commission shall, by the promulgation of administrative regulations, require all licensees to file with the commission, at biennial renewal, their telephone numbers and, if applicable, their electronic mail addresses.

History. 3990e-5: amend. Acts 1942, ch. 184, §§ 3, 11; 1960, ch. 215, § 5; 1982, ch. 196, § 30, effective July 15, 1982; 1992, ch. 448, § 27, effective July 14, 1992; 2004, ch. 45, § 8, effective July 13, 2004; 2010, ch. 130, § 3, effective July 15, 2010; 2019 ch. 135, § 6, effective June 27, 2019.

324.340. Power of cities to regulate brokers not affected. [Repealed.]

Compiler’s Notes.

This section (3990e-12: amend. Acts 1942, ch. 184, §§ 7, 15) was repealed by Acts 2000, ch. 488, § 34, effective July 14, 2000.

324.350. Exemption from provisions of 1976 Act. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 100, § 25) was repealed by Acts 1982, ch. 196, § 34, effective July 15, 1982.

324.360. Form for seller’s disclosure of conditions.

  1. This section shall apply to sales and purchases involving single-family residential real estate dwellings if any person licensed under this chapter receives compensation.
  2. The commission shall promulgate an administrative regulation authorizing a “seller’s disclosure of conditions form.”
  3. The form shall provide for disclosure by the seller of the following:
    1. Basement condition and whether it leaks;
    2. Roof condition and whether it leaks;
    3. Source and condition of water supply;
    4. Source and condition of sewage service;
    5. Working condition of component systems; and
    6. Other matters the commission deems appropriate.
  4. The seller of the property shall complete and sign the form at the time he or she executes any listing agreement or similar agreement by which a licensee intends to market the property. A copy of the form shall be provided by the listing agent to any prospective buyer or a buyer’s authorized representative upon request. A copy of the form shall be delivered by the listing agent to any prospective purchaser or his representative within seventy-two (72) hours of the listing agent’s receipt of a written and signed offer to purchase. The listing agent shall solicit the signature of the buyer on a copy of the form which the listing agent shall retain in the principal broker’s records. The signature shall evidence the listing agent’s compliance with the provisions of this section. Should the buyer refuse to sign the form, the licensee shall record the buyer’s refusal to sign on the form and retain a copy in his principal broker’s records.
  5. If the subject property is offered for sale by the property’s owner without a listing agreement, any licensee involved in the transaction shall provide a blank form to the property’s owner and shall request that the property’s owner complete and sign the form. If the property’s owner completes and signs the form, the licensee shall deliver the form to the buyer or potential buyer not later than one hundred twenty (120) hours after the creation of any executory contract for sale of the property. The licensee shall solicit the signature of the buyer on a copy of the form as delivered to the buyer or prospective buyer and shall retain the copy in his or her principal broker’s records. The signature of the buyer or prospective buyer shall evidence the listing agent’s compliance with the provisions of this section. Should the buyer refuse to sign the form, the licensee shall record the buyer’s refusal to sign on the form and retain a copy in his or her principal broker’s records.
  6. The original of the form shall be retained by the listing broker or by the broker of any licensee who presents an offer on a property not subject to a listing agreement.
  7. The form shall not be required for residential purchases of new homes if a warranty is offered, for a sale of real estate at an auction, or for a court supervised foreclosure.
  8. If the seller refuses to complete and sign the form, his refusal shall be communicated in writing by the broker or sales associate who is involved in the transaction to the purchaser or prospective purchaser, without unreasonable delay.
  9. It shall be a violation of this chapter for a licensee to complete any portion of the form unless the licensee is the owner of the property or has been requested by the owner to complete the form. The request shall be acknowledged in writing on the form and the licensee shall be held harmless for any representation that appears on the form.

History. Enact. Acts 1992, ch. 448, § 1, effective July 14, 1992; 2000, ch. 488, § 29, effective July 14, 2000.

NOTES TO DECISIONS

1.Warranties.

Although the sellers’ responses to a disclosure statement did not constitute warranties in themselves, they became actionable warranties when the parties’ contract explicitly incorporated them; summary judgment in the sellers’ favor was therefore improper, but summary judgment in the buyers’ favor would likewise have been improper, because there was a genuine issue of material fact as to whether the buyers lied in their disclosure statement. McLellan v. Yeager, 2003 Ky. App. LEXIS 38 (Ky. Ct. App. Feb. 14, 2003).

2.—Cause of action.

Arbitrator did not exceed the arbitrator’s power when the arbitrator found that a home buyer’s claim against the seller for statutory damages based upon the seller’s failure to deliver the seller’s disclosure document was unsupported as the buyer was aware through the buyer’s own inspections prior to closing of all the defects in the house which the buyer claimed in the arbitration. Don Booth of the Breland Grp. v. K&D Builders, Inc., 626 S.W.3d 601, 2021 Ky. LEXIS 159 ( Ky. 2021 ).

Opinions of Attorney General.

The General Assembly did not authorize the addition of any information to the seller disclosure form by any public or private entity, other than the Kentucky Real Estate Commission, no such additions may be placed on the form by any local board of realtors. A private association involved with the sale of real estate may adopt a seller disclosure form which could be used in conjunction with the Commission’s form; however, sellers could not be required by this section or 201 KAR 11:350 to complete the form. OAG 93-68 .

Research References and Practice Aids

Northern Kentucky Law Review.

Article: Real Estate Broker Liability, 36 N. Ky. L. Rev. 409 (2009).

Errors and Omissions Insurance

324.395. Errors and omissions insurance mandatory for all active status licensees — Extended reporting period coverage insurance for inactive licenses.

  1. All real estate licensees, except those whose licenses are in inactive status in accordance with KRS 324.310(2), shall carry errors and omissions insurance to cover all activities contemplated under this chapter. Inactive licensees shall obtain extended reporting period coverage insurance for one (1) year at the current minimum requirements then in effect prior to entering inactive status.
  2. The commission shall make the insurance mandated under this section available to all licensees by contracting with an insurance provider for a group policy, after competitive, sealed bidding in accordance with KRS Chapter 45A.
  3. Any policy obtained by the commission shall be available to all licensees with no right on the part of the insurance provider to cancel any licensee.
  4. Licensees shall have the option of obtaining the required insurance independently, if the coverage contained in the policy and the financial condition of the insurance company complies with the minimum requirements established by the commission.
  5. The commission shall determine the terms and conditions of coverage mandated under this section, including, but not limited to, the minimum limits of coverage, the permissible deductible, and permissible exemptions.
  6. Each licensee shall be notified of the required terms and conditions of coverage for the biennial policy at least thirty (30) days prior to the biennial license renewal date. A certificate of coverage, showing compliance with the required terms and conditions of coverage, shall be filed with the commission by the biennial license renewal date by each licensee who opts not to participate in the group insurance program administered by the commission.
  7. If the commission is unable to obtain the insurance coverage required by subsection (1) of this section to insure all licensees who choose to participate in the group insurance program at a reasonable annual premium, not to exceed two hundred dollars ($200) per year for required insurance coverage and not to exceed two hundred dollars ($200) per year for extended reporting period coverage, then the insurance requirement mandated by this section shall be void during the applicable contract year.

History. Enact. Acts 1986, ch. 49, § 1, effective July 15, 1986; 1992, ch. 448, § 28, effective July 14, 1992; 2000, ch. 488, § 30, effective July 14, 2000; 2004, ch. 45, § 9, effective July 13, 2004; 2019 ch. 135, § 7, effective June 27, 2019.

Real Estate Education, Research, and Recovery Fund

324.400. Real estate education, research, and recovery fund — Fees.

  1. There is hereby created and established in the State Treasury the real estate education, research, and recovery fund.
  2. In addition to the license fees provided for in KRS 324.287 , upon renewal of every broker’s and sales associate’s license, as well as any and all other types of licenses, if any, issued by the commission, as of June 30, 1972, and every regular biennial renewal date thereafter, the commission shall charge each of the aforesaid licensees an amount not to exceed sixty dollars ($60) per year to be included in the real estate education, research, and recovery fund. Each and every original applicant for a license after July 1, 1972, shall likewise submit to the commission an additional fee not to exceed sixty dollars ($60) to be deposited in the real estate education, research, and recovery fund and shall also be subjected thereafter to a biennial renewal fee as of the regular renewal period.

History. Enact. Acts 1972, ch. 51, § 1; 1982, ch. 196, § 31, effective July 15, 1982; 2000, ch. 488, § 31, effective July 14, 2000; 2019 ch. 135, § 8, effective June 27, 2019.

NOTES TO DECISIONS

1.Purpose.

The purpose of KRS 324.400 to 324.420 is to protect the public from unscrupulous brokers and salesmen and from unscrupulous acts committed by realtors in their capacity as brokers and salesmen, not in their private capacity. Leishman v. Goodlett, 608 S.W.2d 377, 1980 Ky. App. LEXIS 388 (Ky. Ct. App. 1980).

The reimbursement of members of the public who suffer loss because of dishonesty of real estate salesmen not connected with their capacity as salesmen from a fund derived from assessments against all real estate licensees bears no reasonable relationship to the purpose of KRS 324.400 to 324.420 . Leishman v. Goodlett, 608 S.W.2d 377, 1980 Ky. App. LEXIS 388 (Ky. Ct. App. 1980).

2.Not Acting in Capacity of Broker Salesman.

Where defendant defaulted on a loan which was used to complete improvements upon real estate in which he fraudulently represented that he had an interest, KRS 324.160 could not be invoked to compensate plaintiff from the fund created by KRS 324.400 to 324.420 for fraudulent conduct and misrepresentation, since defendant was at most a builder-developer of real estate and was not acting in the capacity of real estate broker or salesman. Leishman v. Goodlett, 608 S.W.2d 377, 1980 Ky. App. LEXIS 388 (Ky. Ct. App. 1980).

324.410. Purposes of fund.

The purposes of the real estate education, research, and recovery fund shall be as follows:

  1. If a licensee, acting in the capacity of a licensee, has been duly found guilty of fraud in the violation of one (1) or more of the provisions of KRS 324.160 , and upon the conclusion of a final order entered by the commission, or by the courts, if appealed, the commission may pay to the aggrieved person or persons an aggregate amount not to exceed twenty thousand dollars ($20,000) per claimant with combined payments to all claimants against any one (1) licensee not to exceed fifty thousand dollars ($50,000), if the licensee has refused to pay the claim within a period of twenty (20) days of entry of a final order and if the amount or amounts of money in question are certain and liquidated.
  2. The commission shall maintain a minimum level of four hundred thousand dollars ($400,000) for recovery and guaranty purposes. These funds may be invested and reinvested in the same manner as funds of the state employees’ retirement system and the interest from the investments shall be deposited to the credit of the real estate education, research, and recovery fund. Sufficient liquidity shall be maintained so that there shall be money available to satisfy any and all claims which may be processed through the commission through the means of formal administrative hearing as outlined in this chapter.
  3. The commission, in its discretion, may use any and all funds in excess of the four hundred thousand dollars ($400,000) level, regardless of whether it is from the real estate education, research, and recovery fund fees or accrued interest thereon, for the following purposes:
    1. To carry out the advancement of education and research in the field of real estate for the benefit of those seeking a real estate license, and those licensed under the provisions of this chapter and the improvement and making more efficient the real estate industry;
    2. To underwrite educational seminars, caravans, and other forms of educational projects for the use and benefit generally of real estate licensees;
    3. To establish a real estate chair or courses at Kentucky state institutions of higher learning for the purpose of making the courses available to licensees and the general public who may seek them on a college or university level;
    4. To contract for a particular research project in the field of real estate for the Commonwealth of Kentucky;
    5. To sponsor, contract for, and to underwrite other educational and research projects of a similar nature having to do with the advancement of the real estate field in Kentucky;
    6. To receive recommendations and to cooperate and work with the Kentucky Association of Realtors and other real estate groups for the enlightenment and advancement of the real estate licensees of Kentucky; and
    7. To augment the trust and agency account for purposes of addressing cash flow shortfalls, budget deficits, and for reimbursement of personnel, administrative, operational, and capital expenses incurred by the trust and agency account pursuant to the purposes of the education, research, and recovery fund as provided in this section, an amount not to exceed two hundred fifty thousand dollars ($250,000) annually.
  4. Within one hundred twenty (120) days after the end of each fiscal year, the commission shall make public, through its Web site or other public media, a statement of income and expenses of the real estate education, research, and recovery fund, the details of which are in accordance with state financial reporting requirements.

History. Enact. Acts 1972, ch. 51, § 2; 1978, ch. 172, § 11, effective June 17, 1978; 1982, ch. 196, § 32, effective July 15, 1982; 1992, ch. 448, § 29, effective July 14, 1992; 1998, ch. 313, § 11, effective July 15, 1998; 2010, ch. 130, § 4, effective July 15, 2010; 2012, ch. 98, § 1, effective July 12, 2012.

Opinions of Attorney General.

Where a single occurrence results in damages to one (1) or more persons, which damage resulted from the fraud of a single licensee, the maximum payment of $20,000 is divided among those injured. OAG 88-23 .

324.420. Collection by aggrieved party from recovery fund.

  1. An aggrieved party may commence an administrative action which may result in collection from the recovery fund by first filing a complaint with the commission on a form prepared by the commission. The complaint shall constitute a prima facie case that a licensee is in violation of KRS 324.160 and is subject to the same conditions set forth in KRS 324.150 . If the complaint constitutes a prima facie case and the matter is not settled, the commission shall hold a hearing pursuant to the requirements set forth in the provisions of this chapter and KRS Chapter 13B to determine if a violation of this chapter has in fact occurred. If a violation of fraud is so found, the commission shall determine if the violation resulted in damages to complainant and in what amount. If damages cannot be accurately determined, then the amount of damages shall be determined by a Circuit Court in the county where the violation took place. In the event the question of damages is referred to the Circuit Court, the decision of the commission will not be final and appealable until the question of damages is certifiable.
  2. Upon final order by the commission or upon certification to the commission by the Circuit Court on the issue of damages, and after the licensee has refused to pay the claim within a period of twenty (20) days of entry of a final order, the aggrieved party or parties shall be paid the amount or amounts by the commission from the recovery fund.
  3. The license of the licensee against whom the claim was made by the aggrieved party shall be suspended or may be permanently revoked until such time as the licensee has reimbursed the recovery fund in full for all amounts paid, plus interest at the rate of ten percent (10%) per annum.
  4. Any party aggrieved by a final order of the commission may appeal to the Circuit Court where the licensee has his principal place of business or where the applicant resides in accordance with KRS Chapter 13B.
  5. Upon the final order of the court, and after the commission has paid from the real estate education, research, and recovery fund any sum to the aggrieved party, the commission shall be subrogated to all of the rights of the aggrieved party to the extent of the payment. The aggrieved party shall to the extent of the payment assign his right, title and interest in the judgment to the commission. After such assignment, the commission may challenge in bankruptcy court any attempt by a former licensee to discharge the debt, if proper notice is given. Any funds recovered by the commission shall be deposited in the real estate education, research, and recovery fund.
  6. No aggrieved party shall be entitled to recover compensation from the real estate education, research, and recovery fund unless the action against the licensee is commenced within one (1) year from actual knowledge of the cause of action or from the time when circumstances should reasonably have put the aggrieved party on notice of the cause of action.
  7. An aggrieved party shall not be entitled to recover compensation from the real estate education, research, and recovery fund, unless the compensation is for the actual financial harm suffered by the aggrieved party, and this financial harm is specifically and directly related to the property.
  8. For purposes of this section, an “aggrieved party” shall mean either:
    1. A member of the consumer public who stands in a direct relationship to the licensee, i.e., one who demonstrates an interest in purchasing, leasing, renting, or otherwise securing an interest in real estate through a licensee and who believes that the licensee is in violation of the provisions of this chapter; or
    2. A member of the consumer public who directly engages the services of a licensee for purposes of selling, leasing, renting, or otherwise dealing in his or her own property.
  9. If at any time the money on deposit in the real estate education, research and recovery fund is insufficient to satisfy any duly-authorized claim or portion thereof, the commission shall, when sufficient money has been deposited in the real estate education, research, and recovery fund, satisfy such unpaid claim or portions thereof, in the order that such claims or portions were originally filed, plus accumulated interest at the rate of ten percent (10%) per annum.
  10. Any funds in excess of the four hundred thousand dollar ($400,000) level which are not being currently used, may be invested and reinvested as set forth in subsection (2) of KRS 324.410 .

History. Enact. Acts 1972, ch. 51, § 3; 1982, ch. 196, § 33, effective July 15, 1982; 1986, ch. 345, § 5, effective July 15, 1986; 1996, ch. 318, § 292, effective July 15, 1996; 2000, ch. 488, § 32, effective July 14, 2000; 2009, ch. 58, § 12, effective June 25, 2009; 2019 ch. 135, § 9, effective June 27, 2019.

NOTES TO DECISIONS

1.Res Judicata.

Res judicata was not applicable because the Kentucky Real Estate Commission’s decision dismissing the home buyers’ complaint against the real estate brokerage firm and its agent had no preclusive effect; there were no findings of fact or indicia of a judicial proceeding. Waldridge v. Homeservices of Ky., Inc., 384 S.W.3d 165, 2011 Ky. App. LEXIS 81 (Ky. Ct. App. 2011).

Cited:

Louisville Peterbilt, Inc. v. Cox, 132 S.W.3d 850, 2004 Ky. LEXIS 91 ( Ky. 2004 ).

Opinions of Attorney General.

Subsection (4) (now subsection (5)) of this section gives the Real Estate Commission the right, by way of subrogation and assignment, of having only to enforce the final judgment against a wrongdoer, which judgment was previously obtained by the aggrieved party against the wrongdoers, in order to recover moneys paid to aggrieved people by the Commission out of the Real Estate Education, Research and Recovery Fund. OAG 77-46 .

324.425. Closing existing business of deceased or incapacitated principal broker.

In case of death or other incapacity of a principal broker having a licensed sales associate or sales associates affiliated at the time of death or other incapacity, the commission reserves the right in its discretion, based upon the merits of each case, to permit one (1) of the sales associates to complete and close the then existing business of the deceased or incapacitated broker for a temporary period not to exceed six (6) months.

History. Enact. Acts 1982, ch. 196, § 1, effective July 15, 1982; 2000, ch. 488, § 33, effective July 14, 2000.

324.980. Persons to whom KRS Chapter 324 does not apply.

Nothing in KRS Chapter 324 shall be construed to apply to a person engaged solely in the business of compiling and categorizing information concerning the location and availability of real property which may be leased or rented and who furnishes such information to prospective tenants for a fee.

History. Enact. Acts 1976, ch. 100, § 24.

Penalties

324.990. Engaging in real estate brokerage without license — Penalties.

  1. Any person engaging in real estate brokerage without a license shall be guilty of a Class A misdemeanor for a first offense and a Class D felony for any subsequent offenses. A person who engages in real estate brokerage without a license due to failure to renew a previously valid Kentucky license shall not be subject to this penalty if the person is entitled to and does avail himself of the remedial provisions of KRS 324.090(3).
  2. In addition to the penalties set out in this chapter, a Circuit Court may impose an additional penalty on any person who violates any provision of this chapter by fining them not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) or imprisoning them for a term not to exceed six (6) months, or both. Upon conviction, in addition to the aforesaid fine, there shall be added to the fine the amount of any real estate brokerage commission paid or received as a result of the violation or violations in question. Each transaction shall be regarded as a separate offense and shall be punished as such.

History. 3990e-10: amend. Acts 1960, ch. 215, § 6; 1978, ch. 172, § 12, effective June 17, 1978; 1978, ch. 316, § 10, effective June 17, 1978; 2004, ch. 45, § 10, effective July 13, 2004.

Legislative Research Commission Note.

No change was made in this section by Acts 1978, ch. 316, § 10(1). Subsections (2) and (3) of section 10 of such act have been compiled as KRS 367.990(14). This section was also amended by Acts 1978, ch. 172, § 12, as printed above.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 324A Real Estate Appraisers

Voluntary Certification

324A.010. Definitions for KRS 324A.010 to 324A.090.

As used in KRS 324A.010 to 324A.090 , unless the context requires otherwise:

  1. “Appraisal” means an oral, written, or electronic communication of any type or nature which is independently and impartially prepared by a licensed or certified appraiser setting forth an analysis, opinion, or conclusion relating to the nature, quality, value, or utility of specified interests in, or aspects of, identified real estate, as of a specified date, for or in expectation of compensation;
  2. “Appraisal assignment” means an engagement for which an appraiser is employed or retained to act, or would be perceived by other parties or the public as acting, as a third party in rendering an unbiased real estate appraisal;
  3. “Appraisal report” means any communication, written, oral, or electronic conveying a real estate appraisal, and all other reports communicating an appraisal analysis, opinion, or conclusion;
  4. “Board” means the Real Estate Appraisers Board created under KRS 324A.015 ;
  5. “Certificate holder or licensee” means a person certified or licensed by the board under this chapter;
  6. “Real estate” or “real property” means real estate in its ordinary meaning and includes any leasehold or other estate or interest in, over, or under land, including leaseholds, all appurtenances and improvements thereto, and may include personal property which is integral to the use of the real property as appraised;
  7. “Uniform Standards of Professional Appraisal Practice” means the standards of practice promulgated by the Appraisal Standards Board of the Appraisal Foundation; and
  8. “Federally related transaction” means any real estate related financial transaction that:
    1. A federal financial institution’s regulatory agency engages in, contracts for, or regulates; and
    2. Requires the services of an appraiser.

History. Enact. Acts 1990, ch. 383, § 1, effective July 13, 1990; 1992, ch. 247, § 1, effective April 7, 1992; 1998, ch. 377, § 1, effective July 15, 1998; 2013, ch. 46, § 7, effective June 25, 2013.

324A.015. Real Estate Appraisers Board — Members — Removal — Seal — Compensation — Duty.

  1. There is created a Real Estate Appraisers Board consisting of five (5) members, two (2) of whom shall be certified real estate appraisers, one (1) of whom shall represent the public and shall not be associated with or financially interested in the practice of real estate appraisals, and two (2) of whom shall be employed in the lending industry. The board shall administer the provisions of this chapter and may promulgate administrative regulations necessary to effectuate the provisions of KRS 324A.010 to 324A.090 .
    1. The board members shall be appointed by the Governor. Not more than one (1) board member shall be from any one (1) county within Kentucky. Members shall be appointed by the Governor for staggered terms of three (3) years. No person shall serve more than two (2) full consecutive terms. (2) (a) The board members shall be appointed by the Governor. Not more than one (1) board member shall be from any one (1) county within Kentucky. Members shall be appointed by the Governor for staggered terms of three (3) years. No person shall serve more than two (2) full consecutive terms.
    2. Any member appointed to fill a vacancy occurring other than by expiration of a term shall be appointed for the remainder of the unexpired term.
    3. No more than three (3) members of the same political party shall serve on the board at the same time.
  2. The appraiser appointees to the board shall be certified and shall have engaged in the appraisal of real estate in Kentucky on a continuing basis for at least ten (10) years.
  3. A board member shall be automatically removed from the board and a vacancy shall occur when:
    1. An appraiser member of the board ceases to be certified;
    2. A consumer member of the board acquires a certification as an appraiser;
    3. A lending industry member ceases to be employed in the lending industry;
    4. A board member enters a plea of guilty to, or has been found guilty of, a felony and the time for appeal has passed or the judgment of conviction has been finally affirmed on appeal;
    5. A board member ceases to be a bona fide resident of the Commonwealth of Kentucky;
    6. A board member displays incompetence, neglect of duty, or unprofessional conduct;
    7. A board member fails to adhere to a duly adopted code of ethics of the board. Failure to adhere to this code shall be determined by official action of the board; or
    8. A board member misses three (3) consecutive meetings or misses more than twenty-five percent (25%) of the meetings held over the previous twelve (12) month period.
  4. The board shall adopt a seal with the design it prescribes, by which it shall authenticate its proceedings. Copies of all records and papers in the office of the board, duly certified and authenticated by the seal of the board, shall be received in evidence in all courts equally and with like effect as the original. All records kept in the office of the board under the authority of this chapter shall be open to public inspection in accordance with KRS 61.820 to 61.884 and consistent with regulations prescribed by the board.
  5. The Governor shall set the compensation of the members of the board, but voting members of the board shall be compensated no more than three hundred dollars ($300) per day for official business, subject to an annual maximum of six thousand dollars ($6,000). Members shall be reimbursed for all expenses paid and incurred in the discharge of official business consistent with the reimbursement policy for state employees. With the approval of the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing, board members and board staff may attend and travel to and from meetings and events relevant to the board or the industry the board represents.
  6. The board shall ensure that those employed to investigate grievances filed with the board are state-certified general appraisers with a minimum of five (5) years of experience.

History. Enact. Acts 1990, ch. 383, § 2, effective July 13, 1990; 1992, ch. 247, § 2, effective April 7, 1992; 2013, ch. 46, § 8, effective June 25, 2013; 2017 ch. 178, § 27, effective April 11, 2017; 2021 ch. 21, § 1, effective June 29, 2021.

324A.020. Powers and duties of board.

The board shall have authority to promulgate administrative regulations with the approval of the executive director of the Kentucky Real Estate Authority, have subpoena power, hold disciplinary hearings, conduct examinations, conduct educational seminars, investigate allegations of wrongdoing under this chapter, seek and obtain injunctive relief to enforce the provisions of KRS 324A.010 to 324A.090 , provide a list of certified appraisers to the Appraisal Subcommittee of the Federal Financial Institutions Examination Council, and perform such other functions and duties as may be necessary in carrying out the provisions of KRS 324A.010 to 324A.090 .

History. Enact. Acts 1990, ch. 383, § 3, effective July 13, 1990; 2017 ch. 178, § 39, effective April 11, 2017.

324A.025. Chairman of board — Meetings.

  1. The board shall elect a chairman each year at the first meeting called after appointment of new members. A majority of the board shall constitute a quorum and may exercise all powers and duties established by the provisions of KRS 324A.020 .
  2. The board shall meet at least once each calendar quarter.

History. Enact. Acts 1990, ch. 383, § 4, effective July 13, 1990; 2000, ch. 183, § 1, effective July 14, 2000; 2006, ch. 238, § 1, effective July 12, 2006; 2017 ch. 178, § 28, effective April 11, 2017.

324A.030. Assumption or use of title, designation, or abbreviation to create impression of certification or licensure prohibited — Powers of certified or licensed appraiser — Appraiser for Transportation Cabinet — Prohibition against certain activities by unlicensed persons.

  1. It shall be unlawful, unless certified or licensed by the board, for any person to:
    1. Assume or use any title, designation, or abbreviation likely to create the impression that he or she holds a license or certificate issued by the board;
    2. Describe or refer to any appraisal or evaluation of real estate by the term, “state certified,” “state licensed,” or words of substantially similar meaning; or
    3. Assume or use any title, designation, or abbreviation likely to create the impression of certification or licensure by the state as a real estate appraiser firm, partnership, or corporation.
  2. A certificate holder or licensee shall not assume or use any title, designation, or abbreviation likely to create the impression of certification or licensure by the board other than the correct type of certification or licensure.
  3. Each certificate holder or licensee who is a resident of Kentucky shall have and maintain a definite place of business in this state, a current e-mail address, and a current telephone number. A nonresident is not required to maintain an active place of business in this state if a definite place of business is maintained in the state where the nonresident resides. A nonresident shall maintain a current e-mail address and a current telephone number.
  4. Failure by a certificate holder or licensee to notify the board of any change of business address, change of company name, change of surname, change of phone number, or change of e-mail address within thirty (30) days of the change shall result in a penalty not to exceed two hundred dollars ($200).
  5. In the case of the death of a certificate holder or licensee, the board may, in its sound discretion, permit a suitable individual to complete the affairs and appraisal assignments of the deceased.
  6. For any employee of the Transportation Cabinet whose job description includes real estate appraisals which require certification, the Transportation Cabinet shall bear the costs of initial application, examination, continued education, and annual renewal.
    1. Those Transportation Cabinet employees serving as right-of-way agents or supervisors, who actually perform on-site appraisals as part of their job descriptions and who have obtained an appraiser certification under the provisions of KRS 324A.010 to 324A.090 , shall receive a five percent (5%) salary increase effective January 1 following certification. Those right-of-way agents or supervisors who received certification prior to January 1, 1991, shall receive the salary increase effective January 1, 1991. (7) (a) Those Transportation Cabinet employees serving as right-of-way agents or supervisors, who actually perform on-site appraisals as part of their job descriptions and who have obtained an appraiser certification under the provisions of KRS 324A.010 to 324A.090 , shall receive a five percent (5%) salary increase effective January 1 following certification. Those right-of-way agents or supervisors who received certification prior to January 1, 1991, shall receive the salary increase effective January 1, 1991.
    2. The salary increases provided for in subsection (a) of this section shall be made within existing Transportation Cabinet appropriations.
  7. A person shall not provide appraisal, appraisal review, or appraisal consulting assignments or perform any of the duties usually performed by a licensed or certified real property appraiser for a federally related transaction unless the person at the time holds a license or certification of real property appraiser issued and validly existing under the laws of the Commonwealth of Kentucky, as provided in this chapter.

History. Enact. Acts 1990, ch. 383, § 5, effective July 13, 1990; 1992, ch. 247, § 3, effective April 7, 1992; 1998, ch. 377, § 2, effective July 15, 1998; 2013, ch. 46, § 9, effective June 25, 2013.

324A.035. Administrative regulations to establish requirements for certification or licensure.

  1. The board shall promulgate administrative regulations pursuant to the provisions of this chapter and KRS Chapter 13A for certification or licensure of appraisers who perform appraisals of real property in federally related transactions. Requirements established by the board relating to appraisers of federally related transactions shall not exceed the minimum requirements established by federal law or regulation;
  2. The board shall promulgate administrative regulations pursuant to KRS Chapter 13A for certification or licensure of appraisers of real property in nonfederally related transactions. Appraisers who wish to be limited to appraisals of nonfederally related transactions, and who have engaged in the appraisal of real estate for at least ten (10) years prior to April 7, 1992, shall be certified or licensed as appraisers of nonfederally related transactions.
  3. The board shall establish by administrative regulations requirements for:
    1. Classifications of appraisers;
    2. Certification and licensure;
    3. Renewal, suspension, or revocation of certification or licensure;
    4. Standards of professional appraisal practice, including experience, education, and ethics;
    5. Examination of applicants for certification or licensure; and
    6. Continuing education of appraisers.

History. Enact. Acts 1990, ch. 383, § 6, effective July 13, 1990; 1992, ch. 247, § 4, effective April 7, 1992; 2013, ch. 46, § 10, effective June 25, 2013; 2021 ch. 21, § 2, effective June 29, 2021.

324A.040. Examination.

  1. All applications for certification or licensure shall be made in writing to the board and shall specify the classification of the certificate or license being applied for by the applicant, and shall contain all information required by the board.
  2. Applicants for certification or licensure shall:
    1. Successfully pass the examination required by the board; and
    2. Meet other requirements established by this chapter and administrative regulations of the board.
  3. The examination shall be given at times and places within the state as the board shall prescribe; provided, however, the examination shall be given at least two (2) times during each calendar year. Notice of passing or failing the examination shall be provided to each applicant.

History. Enact. Acts 1990, ch. 383, § 7, effective July 13, 1990; 1992, ch. 247, § 5, effective April 7, 1992.

324A.045. Issuance of certificate or license — Renewal.

  1. The board shall issue to each qualified applicant a certificate or license in form and size as shall be prescribed by the board.
  2. Every certificate and license shall be subject to annual renewal on the date or dates determined by the board by administrative regulation. Each certificate and license holder shall submit proof of compliance with the continuing education requirements when appropriate and the annual renewal fee to the board on or before the last day of the designated month. Failure to receive a renewal form shall not constitute an adequate excuse for failure to renew on time.
  3. If the certificate or license holder fails to renew in a timely manner, the certificate or license shall expire. Within six (6) months after the renewal date, the former certificate or license holder shall be reinstated by complying with all appropriate renewal requirements and paying a late fee not to exceed two hundred dollars ($200).
  4. If six (6) months or more elapse after the renewal date, the former certificate or license holder shall be required to meet all current requirements as if applying for initial certification or licensure.

History. Enact. Acts 1990, ch. 383, § 8, effective July 13, 1990; 1992, ch. 247, § 6, effective April 7, 1992; 2013, ch. 46, § 11, effective June 25, 2013.

324A.047. Inactive status for certificate or license — Effect — Reactivation.

    1. Upon written request, any certificate holder or licensee may request to place his or her certificate or license in inactive status for a period not to exceed three (3) years. (1) (a) Upon written request, any certificate holder or licensee may request to place his or her certificate or license in inactive status for a period not to exceed three (3) years.
    2. The written request shall be made by completing a signed and sworn affidavit on a form approved by the board.
    3. The board may require a fee of fifty dollars ($50) for each change in status of the certificate holder or licensee.
    4. A license issued to an individual as an associate real property appraiser shall not be eligible for inactive status.
  1. No inactive status certificate holder or licensee shall:
    1. Assume or use any title, designation, or abbreviation likely to create the impression that he or she holds a certificate or license issued by the board;
    2. Describe or refer to any appraisal or evaluation of real estate by the term, “state certified,” “state licensed,” or words of substantially similar meaning; or
    3. Prepare real estate appraisals for federally related transactions which, under Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989, require the services of a state-certified or state-licensed appraiser.
  2. To return to active status, a certificate holder or licensee shall:
    1. Petition the board for reactivation of the certificate or license;
    2. Pay the applicable renewal fee and roster fee required by this chapter; and
    3. Provide evidence of completion of the annually required continuing education hours, as established by the board and promulgated in administrative regulations, for each year of inactive status.
  3. A certificate holder or licensee who petitions to return to active status after an inactive period exceeding three (3) years shall be required to meet all the requirements for original issuance of a license or certificate under this chapter.
  4. Violation of subsection (2) of this section shall be grounds for disciplinary action under this chapter.

History. Enact. Acts 1998, ch. 377, § 3, effective July 15, 1998; 2021 ch. 21, § 3, effective June 29, 2021.

324A.050. Grounds for refusal to reissue or renew certificate or license or for other disciplinary action — Minimum standard of conduct and performance — Petition for reinstatement.

  1. The board may refuse to issue, refuse to renew, suspend, or revoke a certificate or license, reprimand, admonish, place on probation, or impose a fine up to two thousand dollars ($2000) per each violation determined by the board, not to exceed five thousand dollars ($5000), on a certificate holder or licensee, or any combination thereof, for any of the following reasons:
    1. Procuring or attempting to procure a certificate or license by knowingly making a false statement or submitting false information, or through any form of fraud or misrepresentation;
    2. Refusing to provide complete information in response to a question in an application to the board or failing to meet the minimum qualifications established by the board;
    3. Being convicted of a felony or misdemeanor, if in accordance with KRS Chapter 335B;
    4. Committing an act involving dishonesty, fraud, or misrepresentation;
    5. Violating any of the provisions of KRS 324A.010 to 324A.090 , the administrative regulations of the board, or any lawful order of the board;
    6. Violating the confidential nature of records to which the appraiser gained access through employment or engagement as an appraiser;
    7. Committing any other conduct which constitutes or demonstrates bad faith, untrustworthiness, impropriety, fraud, or dishonesty;
    8. Failing or refusing, without good cause, to exercise reasonable diligence in developing an appraisal, preparing an appraisal report, or communicating an appraisal;
    9. Being negligent or incompetent in developing an appraisal, in preparing an appraisal report, or in communicating an appraisal;
    10. Failing to observe one (1) or more of the Uniform Standards of Professional Appraisal Practice in effect at the time of the appraisal report transmittal letter date; or
    11. Having a license or registration certificate to practice as a licensed or certified real property appraiser denied, limited, suspended, probated, or revoked in another jurisdiction on grounds sufficient to cause licensure to be denied, limited, suspended, probated, or revoked in this state.
  2. Notwithstanding any other provision of this chapter to the contrary, the requirements of KRS Chapter 324A, the board’s administrative regulations, and the current edition of the Uniform Standards of Professional Appraisal Practice shall constitute the minimum standard of conduct and performance for a licensee or credential holder in any work or service performed that is addressed by those standards.
  3. In any proceeding in which a suspension of thirty (30) days or more, or revocation is imposed, the board may require the respondent to pay the actual costs of the investigation and all proceedings not to exceed ten thousand dollars ($10,000).
  4. Three (3) years from the date of a revocation, any certificate holder or licensee whose certificate or license has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate, upon a finding that the petitioner has complied with any and all terms prescribed by the board and is able to engage in the practice of real estate appraisal within the requirements of this chapter and the administrative regulations. The board may, in its discretion, require the petitioner to successfully pass the examination required for the applicable certificate or license.

History. Enact. Acts 1990, ch. 383, § 9, effective July 13, 1990; 1992, ch. 247, § 7, effective April 7, 1992; 1994, ch. 188, § 1, effective July 15, 1994; 1998, ch. 377, § 4, effective July 15, 1998; 2013, ch. 46, § 13, effective June 25, 2013; 2017 ch. 158, § 74, effective June 29, 2017; 2021 ch. 21, § 4, effective June 29, 2021.

324A.052. Investigation of complaints — Sanctions — Hearing — Final order — Appeal.

  1. Any person or organization, including the board upon its own volition, may file with the board a written complaint alleging a violation of any provision of this chapter. Complaints shall be filed with the board within at least
    1. Five (5) years after the date of transmittal of the appraisal report or appraisal review assignment; or
    2. Two (2) years after the final disposition of any judicial proceeding in which the appraiser provided testimony related to the assignment, whichever expires last.

      Paragraphs (a) and (b) of this subsection shall not apply to complaints involving the actions outlined in KRS 324A.050(1)(c), (d), (g), and (k). The board shall investigate each complaint.

  2. If the investigation reveals evidence supporting the complaint, the board shall set the matter for hearing in accordance with the provisions of KRS Chapter 13B before fining, reprimanding, suspending, revoking, refusing to renew, or any combination thereof.
  3. If the investigation reveals that the alleged violation did occur but was not of a serious nature, the board may issue a written admonishment to the certificate holder or licensee. A copy of the admonishment shall be placed in the recipient’s file with the board. The recipient shall have the right to file a response to the admonishment within thirty (30) days of its receipt and have the response placed in the file. The recipient may, alternatively, within thirty (30) days of the receipt, file 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 in accordance with the provisions of KRS Chapter 13B.
  4. After denying an application for a certificate or license or issuing an admonishment, the board shall grant an administrative hearing in accordance with KRS Chapter 13B only upon written request of the applicant made within thirty (30) days of the mailing of the letter of denial or admonishment.
  5. Pursuant to KRS 13B.120(7), the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing shall hear and issue a final order regarding a decision of the board. An aggrieved party may appeal a final order of the executive director pursuant to KRS Chapter 13B within thirty (30) days after the issuance of the order to the Circuit Court of the county where the licensee has his or her principal place of business or where the license applicant resides.

History. Enact. Acts 1996, ch. 318, § 293, effective July 15, 1996; 1998, ch. 377, § 5, effective July 15, 1998; 2017 ch. 178, § 29, effective April 11, 2017; 2021 ch. 21, § 5, effective June 29, 2021.

324A.055. Administrative support from Kentucky Real Estate Commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 383, § 10, effective July 13, 1990) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

324A.060. Goods and services — Administrative coordinator. [Repealed]

History. Enact. Acts 1990, ch. 383, § 11, effective July 13, 1990; 2002, ch. 364, § 1, effective July 15, 2002; 2017 ch. 178, § 30, effective April 11, 2017; repealed by 2019 ch. 135, § 11, effective June 27, 2019.

324A.065. Fees — Disposition of fee — Exceptions.

  1. The board shall establish by regulation and collect the following fees for certification or licensure as an appraiser for:
    1. Federally related transactions:
      1. Initial application fee in an amount not to exceed two hundred dollars ($200);
      2. Examination fee in an amount not to exceed two hundred dollars ($200);
        1. An annual certificate or licensure fee in an amount not to exceed two hundred dollars ($200); 3. a. An annual certificate or licensure fee in an amount not to exceed two hundred dollars ($200);
        2. Duplicate certificate fee in an amount not to exceed ten dollars ($10); and
        3. Certificate correction fee in an amount not to exceed ten dollars ($10);
      3. Roster fee not to exceed fifty dollars ($50); and
      4. Returned check fee not to exceed fifty dollars ($50); and
    2. Nonfederally related transactions:
      1. An annual certificate or licensure renewal fee in an amount not to exceed one hundred dollars ($100); and
      2. Certificate correction fee in an amount not to exceed five dollars ($5).
  2. The board shall, through the promulgation of an administrative regulation, establish and collect the following fees from education providers for review and approval of prelicensure and continuing education courses offered by education providers for licensure as an appraiser:
    1. For prelicensure education course review, a fee not to exceed one hundred dollars ($100); and
    2. For continuing education course review, a fee not to exceed fifty dollars ($50).
    1. All fees and charges collected by the board under the provisions of this chapter shall be paid into the Real Estate Appraisers Board’s trust and agency account in the State Treasury. (3) (a) All fees and charges collected by the board under the provisions of this chapter shall be paid into the Real Estate Appraisers Board’s trust and agency account in the State Treasury.
    2. All expenses incurred by the board under the provisions of this chapter, including compensation to the board members and staff, shall be paid out of this account, subject to approval of the board.
    3. The provisions of this subsection shall not apply to the fee charged pursuant to KRS 324A.155 , which is required to be included in the appraisal management company recovery fund and which shall be paid into that fund.

History. Enact. Acts 1990, ch. 383, § 12, effective July 13, 1990; 1992, ch. 247, § 8, effective April 7, 1992; 1998, ch. 377, § 6, effective July 15, 1998; 2013, ch. 46, § 14, effective June 25, 2013; 2021 ch. 21, § 6, effective June 29, 2021.

Legislative Research Commission Notes.

(6/25/2013). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering of this statute from the way it appeared in 2013 Ky. Acts ch. 46, sec. 14. The words in the text were not changed.

324A.070. Standards of professional appraisal practice — Continuing education. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 383, § 13, effective July 13, 1990) was repealed by Acts 1992, ch. 247, § 10, effective April 7, 1992.

324A.075. Reciprocity with other states.

If, in the determination by the board, another state is deemed to have substantially equivalent or greater certification or licensure requirements for real property appraisers, an applicant who is certified or licensed under the laws of another state seeking to practice in this state shall apply to obtain a certificate as a state certified or licensed real property appraiser in this state upon terms and conditions determined by the board.

History. Enact. Acts 1990, ch. 383, § 14, effective July 13, 1990; 2013, ch. 46, § 15, effective June 25, 2013.

324A.088. Short title.

KRS 324A.010 to 324A.090 may be cited as the Real Estate Appraisal Voluntary Certification Act.

History. Enact. Acts 1990, ch. 383, § 16, effective July 13, 1990.

324A.090. Penalty.

Any person who is not a licensed or certified real property appraiser who engages in an activity described in KRS 324A.030 , shall be guilty of a Class A misdemeanor. Each violation should be regarded as a separate offense.

History. Enact. Acts 1990, ch. 383, § 15, effective July 13, 1990; 1992, ch. 247, § 9, effective April 7, 1992; 2013, ch. 46, § 16, effective June 25, 2013.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

324A.100. Criminal background checks for initial applicants for licensure or certification as real property appraiser.

  1. The Kentucky Real Estate Appraisers Board shall require a national and state criminal background check for each initial application to be a licensed or certified real property appraiser under the following requirements:
    1. The applicant shall provide his or her fingerprints to the Department of Kentucky State Police for submission to the Federal Bureau of Investigation after a state criminal background check is conducted;
    2. The results of the national and state criminal background check shall be sent to the board; and
    3. Any fee charged by the Department of Kentucky State Police and the Federal Bureau of Investigation shall be an amount no greater than the actual cost of processing the request and conducting the check.
  2. The board shall issue a license or certification to an applicant authorizing the applicant to act or offer to act as a licensed or certified real property appraiser in this state upon:
    1. Receipt of a properly completed application;
    2. Successful completion of all applicable education, experience, and examination;
    3. Successful completion of all statutory and administrative regulation requirements for licensing and certification of a real property appraiser; and
    4. Payment of the required application fee.

History. Enact. Acts 2013, ch. 46, § 12, effective June 25, 2013.

Kentucky Appraisal Management Company Registration Act

324A.150. Definitions for KRS 324A.150 to 324A.164.

As used in KRS 324A.150 to 324A.164 , unless the context otherwise requires:

  1. “Appraisal management company” means a person who performs the actions necessary to administer a network of state-licensed appraisers to fulfill requests for appraisal management services on behalf of a client, whether directly or through the use of software products or online, including but not limited to any of the following actions:
    1. Recruiting appraisers;
    2. Contracting with appraisers to perform appraisal services;
    3. Collecting fees from clients;
    4. Negotiating fees with appraisers or reimbursing appraisers for appraisal services;
    5. Receiving appraisal orders and appraisal reports;
    6. Submitting appraisal reports received from appraisers to the company’s clients;
    7. Reviewing or verifying appraisal reports; or
    8. Managing the process of having an appraisal performed, including providing related administrative and clerical duties;
  2. “Appraisal management services” means conducting business by telephone, by electronic means, by mail, or in person, directly or indirectly for compensation or other pecuniary gain or in the expectation of compensation or other pecuniary gain to:
    1. Solicit, accept, or offer to accept a request for appraisal services; or
    2. Employ or contract with a licensed or certified appraiser to perform appraisal services;
  3. “Appraisal services” means the practice of developing an opinion of the value of real estate in conformity with the minimum USPAP standards;
  4. “Appraiser” means an individual licensed by the board who, for a fee or other consideration, develops and communicates a real estate appraisal or otherwise gives an opinion of the value of real estate or any interest in real estate in conformity with the minimum USPAP standards;
  5. “Appraiser panel” means a network, list, or roster of licensed or certified appraisers approved by an appraisal management company to perform appraisals as independent contractors for the appraisal management company;
  6. “Board” means the Kentucky Real Estate Appraisers Board established by KRS 324A.015 ;
  7. “Client” means a person that contracts with or otherwise enters into an agreement with an appraisal management company for the performance of appraisal services;
  8. “Controlling person” means an individual employed, appointed, or authorized by an appraisal management company to contract with clients or independent appraisers for the performance of appraisal services;
  9. “Managing principal” has the same meaning as “controlling person”;
  10. “Registrant” means an appraisal management company or person that is registered or seeking registration under KRS 324A.152 ; and
  11. “USPAP” means the Uniform Standards of Professional Appraisal Practice.

History. Enact. Acts 2011, ch. 58, § 1, effective June 8, 2011; 2013, ch. 46, § 3, effective June 25, 2013; 2021 ch. 21, § 7, effective June 29, 2021.

Legislative Research Commission Notes.

(6/8/2011). 2011 Ky. Acts ch. 58, sec. 9, provides that KRS 324A.150 to 324A.164 shall be known as the Kentucky Appraisal Management Company Registration Act.

324A.152. Requirement of registration — Application requirements — Criminal background checks — Annual renewal of registration — Administrative regulations.

  1. A person shall not act or offer to act as an appraisal management company or perform appraisal management services within the Commonwealth unless registered by the board.
  2. To be registered by the board, a person shall make written application to the board, submit to a criminal background check as provided in subsection (3) of this section, pay a filing fee established by the board, and pay the fee required to be included in the appraisal management company recovery fund created in KRS 324A.155 . The written application shall include the following information:
    1. The name, street address, and telephone contact information of the person seeking registration;
      1. If the registrant is a domestic organization, the designation of an agent for service of process; or (b) 1. If the registrant is a domestic organization, the designation of an agent for service of process; or
      2. If the registrant is a foreign organization, documentation that the foreign organization is authorized to transact business in the Commonwealth and has appointed an agent for service of process by submitting a copy of:
        1. The registrant’s filing with the Secretary of State appointing an agent for service of process; and
        2. A certificate of authority issued by the Secretary of State. A foreign organization’s failure to comply with this subparagraph may result in rejection of the application;
    2. The name, residential street address, and contact information of any person who owns ten percent (10%) or more of the appraisal management company for which registration is being requested;
    3. The name, residential street address, and contact information of a controlling person or managing principal;
    4. A certification that the registrant:
      1. Has a system and process in place to verify that any person being added to the appraiser panel of the appraisal management company, or who may be used by the appraisal management company to otherwise perform appraisals, holds a license in good standing in this state under this chapter;
      2. Has a system and process in place to review the work of all appraisers that are performing appraisal services for the appraisal management company on a periodic basis to ensure that the appraisal services are being conducted in accordance with the minimum USPAP standards; and
      3. Maintains a detailed record of each request for appraisal services that it receives and the appraiser that performs the appraisal services for the appraisal management company;
    5. A certification from the registrant and any partner, member, manager, officer, director, managing principal, controlling person, or person occupying a similar status or performing similar functions, or person directly or indirectly controlling the registrant that:
      1. The application for registration when filed or after filing contains no statement that, in light of the circumstances under which it was made, is false or misleading with respect to a material fact;
      2. The person certifying has not violated or failed to comply with KRS 324A.154 , 324A.156 , or 324A.158 ;
      3. The person certifying and each person who owns ten percent (10%) or more of the registrant has not pled guilty or nolo contendere to or been found guilty of:
        1. A felony; or
        2. Within the past ten (10) years, a misdemeanor involving mortgage lending or real estate appraising, or an offense involving breach of trust or fraudulent or dishonest dealing;
      4. The person certifying is not permanently or temporarily enjoined by a court of competent jurisdiction from engaging in or continuing any conduct or practice involving appraisal management services or operating an appraisal management company;
      5. The person certifying is not the subject of an order of the board or any other state’s appraisal management company regulatory agency denying, suspending, or revoking the person’s privilege to operate as an appraisal management company;
      6. The person certifying has not acted as an appraisal management company while not properly registered by the board; and
      7. The appraisal management company is not owned, in whole or in part, directly or indirectly, by any person who has had an appraiser license or certificate refused, denied, canceled, surrendered in lieu of revocation, or revoked in any state for a cause other than expiration, as determined by the relevant state appraiser regulatory program; and
    6. Any other information required by the board.
  3. The board shall require a national and state criminal background check on the person certifying under subsection (2)(f) of this section and each person who owns ten percent (10%) or more of the registrant under the following requirements:
    1. The person certifying and each person who owns ten percent (10%) or more of the registrant shall provide his or her fingerprints to the Department of Kentucky State Police for submission to the Federal Bureau of Investigation after a state criminal background check is conducted;
    2. The results of the national and state criminal background check shall be sent to the board; and
    3. Any fee charged by the Department of Kentucky State Police and the Federal Bureau of Investigation shall be an amount no greater than the actual cost of processing the request and conducting the check.
  4. The board shall issue a certificate of registration to a registrant authorizing the registrant to act or offer to act as an appraisal management company in this state upon:
    1. Receipt of a properly completed application;
    2. Payment of the required filing fee;
    3. Payment of the fee required to be included in the appraisal management company recovery fund; and
    4. A determination by the board that:
      1. The registrant has not had a previous registration suspended or revoked; and
      2. The activities of the applicant shall be directed and conducted by persons who:
        1. Have not had a previous registration suspended or revoked;
        2. Have not pled guilty or nolo contendere to or been found guilty of a felony; or
        3. Within the past ten (10) years have not pled guilty, pled nolo contendere to, or been found guilty of a misdemeanor involving mortgage lending or real estate appraising or an offense involving a breach of trust or fraudulent or dishonest dealing.
    1. If the board finds that there is substantial reason to deny the application for registration, the board shall notify the registrant that the application has been denied and shall afford the registrant an opportunity for a hearing before the board to show cause why the registration should not be denied. (5) (a) If the board finds that there is substantial reason to deny the application for registration, the board shall notify the registrant that the application has been denied and shall afford the registrant an opportunity for a hearing before the board to show cause why the registration should not be denied.
    2. All proceedings concerning the denial of a certificate of registration shall be conducted in accordance with KRS Chapter 13B.
    3. The acceptance by the board of an application for registration does not constitute the approval of its contents or waive the authority of the board to take disciplinary action under KRS 324A.162 .
    1. Registrations issued under this section shall be renewed annually. (6) (a) Registrations issued under this section shall be renewed annually.
    2. Renewal shall occur on October 31 of each year.
    3. If the initial registration occurs less than six (6) months before October 31, the renewal shall not be required until October 31 of the following year, and shall then be renewed on October 31 of each year thereafter.
    1. Failure to renew a registration in a timely manner shall result in a loss of authority to operate. (7) (a) Failure to renew a registration in a timely manner shall result in a loss of authority to operate.
    2. A request to reinstate a certificate of registration shall be accompanied by payment of a penalty of fifty dollars ($50) for each month of delinquency, up to six (6) months after expiration.
    3. After six (6) months’ delinquency, a new application for registration shall be required.
  5. The board shall promulgate administrative regulations to establish standards for the operation of appraisal management companies and for the implementation and enforcement of KRS 324A.150 to 324A.164 .

History. Enact. Acts 2011, ch. 58, § 2, effective June 8, 2011; 2013, ch. 46, § 4, effective June 25, 2013; 2021 ch. 21, § 8, effective June 29, 2021.

324A.154. Applicant filing fee for appraisal management company to be established by administrative regulations.

The board shall promulgate administrative regulations, with the approval of the executive director of the Kentucky Real Estate Authority, establishing a reasonable filing fee to be paid by each appraisal management company seeking registration under KRS 324A.152 . The filing fee shall include the annual fee for inclusion in the national registry maintained by the Appraisal Subcommittee of the Federal Financial Institutions Examination Council.

History. Enact. Acts 2011, ch. 58, § 3, effective June 8, 2011; 2013, ch. 46, § 5, effective June 25, 2013; 2021 ch. 21, § 9, effective June 29, 2021.

324A.155. Appraisal management company recovery fund — Purposes — Lapsing.

  1. There is hereby created and established in the State Treasury the appraisal management company recovery fund. The fund shall be administered by the board for the purposes set forth in KRS 324A.163 .
  2. In addition to the license fees provided for in KRS 324A.154 , upon issuance of every appraisal management company’s registration, and every regular annual renewal date thereafter, the board shall charge each registrant an amount not to exceed eight hundred dollars ($800) per year to be deposited in the appraisal management company recovery fund.
  3. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse, but shall be carried forward into the succeeding fiscal year. Any interest earnings of the fund shall become a part of the fund and shall not lapse.

History. Enact. Acts 2013, ch. 46, § 1, effective June 25, 2013.

324A.156. Duties of registrants — Recordkeeping.

  1. A registrant that is an organization shall:
    1. Maintain a registered agent for service of process; and
    2. Provide to the board the information required by the Secretary of State concerning the organization’s agent for service of process. If changes are made to the information required by the Secretary of State, the changes shall be provided to the board within five (5) business days.
  2. A registrant shall maintain, or cause to be maintained, complete records of requests for appraisal services referred to an appraiser licensed or certified by the board, including without limitation records pertaining to the acceptance of fees from clients and payments to appraisers. The board may inspect records, without prior notice, periodically, or if the board determines that the records are pertinent to an investigation of a complaint against a registrant.
  3. A registrant shall designate a controlling person or managing principal responsible for ensuring compliance with this section.
    1. The registrant shall file a form with the board: (4) (a) The registrant shall file a form with the board:
      1. Documenting the identity of the person designated as the controlling person or managing principal; and
      2. Certifying the individual’s acceptance of the responsibility of a controlling person or managing principal.
    2. The registrant shall submit a new form to the board within five (5) business days after a change in its controlling person or managing principal.
    3. An individual registrant who operates as a sole proprietorship is deemed the managing principal under this section.
  4. A registrant shall make and keep its accounts, correspondence, memoranda, papers, books, and other records in accordance with administrative regulations promulgated by the board. All records shall be retained for five (5) years unless the board establishes a different, longer retention period for particular types of records.
  5. The registrant shall disclose, on all invoices, purchase orders, or other documents establishing work to be performed for or compensation due from its clients, itemized actual fees paid to any third party for services performed, including appraisal services, for the client through contract with or arrangement through the registrant. The disclosure shall include:
    1. The name of the third party performing the service, including a licensed appraiser performing appraisal services;
    2. The nature of the service and itemized fees paid to the third party for appraisal services or any other services performed; and
    3. Itemized fees or charges received by the registrant for appraisal management services.

      If the disclosure made becomes inaccurate because of changes to services requested or performed, a revised or amended disclosure shall be provided by the end of the next business day after the change to services has been performed, and the revised or amended disclosure shall be clearly marked as revised or amended and contain sufficient information for the client to identify the original disclosure referenced.

  6. The provisions of this section do not exempt the registrant from any other reporting requirements contained within any federal or state law.

History. Enact. Acts 2011, ch. 58, § 4, effective June 8, 2011.

324A.158. Prohibitions against certain conduct by registrants.

  1. An employee, director, officer, or agent of an appraisal management company or any other third party acting as a joint venture partner with or as an independent contractor for an appraisal management company shall not improperly influence or attempt to improperly influence the development, reporting, result, or review of a real estate appraisal, including but not limited to the use of intimidation, coercion, extortion, bribery, blackmail, threat of nonpayment or withholding payment for appraisal services, or threat of exclusion from future appraisal work.
  2. The registrant shall not:
    1. Request, allow, or require an appraiser to collect any portion of the fee charged by the appraisal management company, including the appraisal fee, from a borrower, homeowner, or other third party;
    2. Require an appraiser to provide the registrant with the appraiser’s digital signature or seal;
    3. Alter, amend, or change an appraisal report submitted by a licensed or certified appraiser, by the following or any other actions:
      1. Removing the appraiser’s signature;
      2. Adding or removing information to or from the appraisal report; or
      3. Altering the final value opinion reported by an appraiser;
    4. Remove an appraiser from an appraiser panel without prior written notice to the appraiser. An appraiser may only be removed from an appraiser panel with written notice for:
      1. A violation of the minimum USPAP standards or other applicable statutes or administrative regulations resulting in a suspension or revocation of the appraiser’s license in Kentucky; or
      2. Other substandard or otherwise improper performance as may be determined by administrative regulations promulgated by the board;
    5. Enter into contracts or agreements with an appraiser for the performance of appraisal services unless the appraiser is licensed or certified in good standing with the board;
    6. Request that an appraiser provide an estimated, predetermined, or desired valuation in an appraisal report or provide estimated values or comparable sales at any time before the appraiser completes an appraisal report;
    7. Provide to an appraiser an anticipated, estimated, encouraged, or desired value for a property or a proposed or target amount to be loaned or borrowed, except that a copy of the sales contract for purchase transactions may be provided;
    8. Commit an act or practice that impairs or attempts to impair an appraiser’s independence, objectivity, or impartiality; or
    9. Have a direct or indirect interest, financial or otherwise, in the property or transaction involving the appraisal.
  3. Subsection (1) of this section shall not prohibit an appraisal management company from requesting that an appraiser:
    1. Provide additional information about the basis for a valuation;
    2. Correct objective factual errors in an appraisal report; or
    3. Provide further detail, substantiation, or explanation for the appraiser’s value conclusion.

History. Enact. Acts 2011, ch. 58, § 5, effective June 8, 2011.

324A.160. Register of applicants to be maintained.

  1. The executive director of the board shall keep a register of all applicants for registration which shall include:
    1. The date of the application;
    2. The applicant’s name;
    3. The applicant’s business address; and
    4. The current status of the registration.
  2. The register shall be prima facie evidence of all matters contained in the register.
  3. The register shall be kept on file in the office of the board and shall be open for public inspection in accordance with KRS 61.870 to 61.884 .

History. Enact. Acts 2011, ch. 58, § 6, effective June 8, 2011.

324A.162. Disciplinary action — Injunctive relief.

  1. The board may deny, suspend, revoke, or refuse to issue or renew the registration of an appraisal management company, or may restrict or limit the activities of an appraisal management company or of a person who owns an interest in or participates in the business of an appraisal management company if the board finds that any of the following circumstances apply to the applicant, a registrant, a person owning ten percent (10%) or more of the applicant or registrant, a partner, member, manager, officer, director, managing principal, controlling person, a person occupying a similar status or performing similar functions, or a person directly or indirectly controlling the applicant or registrant:
    1. The application for registration contained a statement that in light of the circumstances under which it was made is false or misleading with respect to a material fact;
    2. The person has violated or failed to comply with KRS 324A.152 , 324A.154 , 324A.156 , or 324A.158 or failed to comply with administrative regulations promulgated by the board for the implementation and enforcement of KRS 324A.150 to 324A.164 ;
    3. The person has pled guilty or nolo contendere to, or has been found guilty of, a felony or, within the past ten (10) years, a misdemeanor involving mortgage lending or real estate appraising or an offense involving a breach of trust or fraudulent or dishonest dealing;
    4. The person is permanently or temporarily enjoined by a court of competent jurisdiction from engaging in or continuing any conduct or practice involving appraisal management services or operating an appraisal management company;
    5. The person is the subject of an order of the board or any other state’s appraisal management company regulatory agency denying, suspending, or revoking the person’s privilege to operate as an appraisal management company;
    6. The person acted as an appraisal management company while not properly registered by the board; or
    7. The person failed to pay the proper filing or renewal fee as provided under KRS 324A.152 and 324A.154 .
  2. Upon its own motion or the written complaint of a person reporting a violation of subsection (1) of this section, and after notice and the opportunity for a hearing in accordance with KRS Chapter 13B, the board may:
    1. Suspend or revoke the registration of a registrant;
    2. Impose a fine not to exceed five thousand dollars ($5,000) per violation; or
    3. Take other appropriate disciplinary actions as established by the board through promulgation of administrative regulations.
  3. The board may appear in its own name in Franklin Circuit Court, or the Circuit Court of the county where the alleged violation occurred, to obtain injunctive relief to prevent a person from violating this section or KRS 324A.154 , 324A.156 , or 324A.158 . The Circuit Court may grant a temporary or permanent injunction regardless of whether:
    1. Criminal prosecution has been or may be instituted as a result of the violation; or
    2. The person is the holder of a registration issued by the board.

History. Enact. Acts 2011, ch. 58, § 7, effective June 8, 2011.

324A.163. Administration of appraisal management company recovery fund — Restitution to real property appraisers — Administrative regulations — Annual public statement of income and expenses.

  1. The board shall administer the appraisal management company recovery fund solely to provide restitution to each Kentucky licensed or certified real property appraiser who has suffered pecuniary loss:
    1. As a result of an appraisal management company ceasing to be registered with the board, either voluntarily or involuntarily;
    2. If an appraiser has received a final judgment from a court of competent jurisdiction within the Commonwealth; and
    3. If no viable alternative for full restitution is available, as determined by the board.
  2. Each fund distribution for restitution shall be made payable to the appropriate appraiser as determined by the board. The amount to be paid to the appraiser shall equal the actual amount of appraisal fees that are proven to be owed to the appraiser by the relevant appraisal management company and any reasonable and appropriate court costs associated with determining the final judgment in favor of the appraiser. If the amount of restitution to be paid to any one (1) or more appraisers at any one (1) time exceeds the balance in the fund, the board shall:
    1. Distribute as much of the restitution amount as possible, which shall be deemed to satisfy in full any claim the relevant appraisers have on payments from the recovery fund; and
    2. In the case of distributions to more than one (1) appraiser, provide for a pro rata distribution of the available fund balance, which shall be deemed to satisfy in full any claim the relevant appraisers have on payments from the recovery fund.
  3. Whenever restitution is paid by the fund, the fund shall be subrogated to the amount of the restitution.
  4. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to:
    1. Ensure that the balance of the fund established in KRS 324A.155 shall not fall below three hundred thousand dollars ($300,000); and
    2. Impose the fees assessed upon appraisal management companies under KRS 324A.155 whenever the balance of the fund is less than three hundred thousand dollars ($300,000). The board shall cease imposing the fees when the balance of the fund is three hundred thousand dollars ($300,000).
  5. Within one hundred twenty (120) days after the end of each fiscal year, the board shall make public, in accordance with KRS 424.180 and 424.190 , a statement of income and expenses of the appraisal management company recovery fund, the details of which are in accordance with generally accepted accounting principles.

History. Enact. Acts 2013, ch. 46, § 2, effective June 25, 2013.

324A.164. Exemptions from application of KRS 324A.150 to 324A.164.

Unless otherwise required to be registered as an appraisal management company by state or federal law, KRS 324A.150 to 324A.164 shall not apply to:

  1. The federal government, state government, any county or municipal government, or any agency or instrumentality thereof;
  2. A person authorized to engage in business as a bank, credit union, or savings and loan association under the laws of the United States, the Commonwealth of Kentucky, or any other state;
  3. A real estate broker or real estate agent properly licensed or otherwise authorized to do business in the Commonwealth of Kentucky listing or selling real estate;
  4. An officer or employee of any entity listed in subsection (1), (2), or (3) of this section when acting within the scope of his or her employment;
  5. An entity that is responsible for ensuring that the real estate appraisal activity being performed by an employee is performed in accordance with applicable appraisal standards;
  6. An individual who:
    1. Is an appraiser; and
    2. In the normal course of business enters into an agreement, whether written or otherwise, with another appraiser for the performance of a real estate appraisal activity that the individual cannot complete for any reason, including:
      1. Competency;
      2. Workload;
      3. Schedule; or
      4. Geographic location;
  7. An individual who:
    1. In the normal course of business enters into an agreement, whether written or otherwise, with an appraiser for the performance of real estate appraisal activity; and
    2. Under the agreement cosigns the report of the appraiser performing the real estate appraisal upon completion of the real estate appraisal activity;
  8. An appraisal management company that contracts with one (1) or more appraisers for the performance of fewer than ten (10) appraisals in this state in a calendar year; or
  9. A federally regulated appraisal management company as defined in 12 C.F.R. sec. 34.211(k).

History. Enact. Acts 2011, ch. 58, § 8, effective June 8, 2011; 2013, ch. 46, § 6, effective June 25, 2013; 2021 ch. 21, § 10, effective June 29, 2021.

CHAPTER 324B Department of Professional Licensing — Kentucky Real Estate Authority

324B.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Authority” means the Kentucky Real Estate Authority;
  2. “Cabinet” means the Public Protection Cabinet;
  3. “Commissioner” means the commissioner of the Department of Professional Licensing;
  4. “Department” means the Department of Professional Licensing;
  5. “Executive director” means the executive director of the Kentucky Real Estate Authority; and
    1. “Real property board” means: (6) (a) “Real property board” means:
      1. Kentucky Board of Home Inspectors, established under KRS 198B.700 to 198B.738 ;
      2. Kentucky Real Estate Commission, established under KRS Chapter 324;
      3. Real Estate Appraisers Board, established under KRS Chapter 324A; or
      4. Board of Auctioneers, established under KRS Chapter 330; and
    2. “Real property boards’ means a combination of all the boards listed in paragraph (a) of this subsection.

HISTORY: 2017 ch. 178, § 1, effective April 11, 2017.

324B.020. Department of Professional Licensing within Public Protection Cabinet.

The Department of Professional Licensing is hereby created within the Public Protection Cabinet. The department shall be managed by a commissioner, who shall be appointed by the Governor.

HISTORY: Enact. Acts 2017, ch. 178, § 2, effective April 11, 2017.

324B.030. Department of Professional Licensing — Services for boards and commissions — Charges — Complaints — Acceptance of personal checks in payment of license renewal fees.

  1. The Department of Professional Licensing in the Public Protection Cabinet shall provide administrative services, technical assistance, and advice to the following boards and commissions at the request of the individual boards or commissions, all of which maintain their identity and their full authority for making policy decisions in the fields that they regulate: the State Board of Accountancy, the Kentucky Board of Architects, the Kentucky Board of Barbering, the Kentucky Board of Cosmetology, the State Board of Podiatry, the Kentucky State Board of Chiropractic Examiners, the Kentucky Board of Dentistry, the State Board of Embalmers and Funeral Directors, the State Board of Registration for Professional Engineers and Land Surveyors, the Kentucky Board of Nursing, the Kentucky Board of Ophthalmic Dispensers, the Kentucky Board of Optometric Examiners, the Kentucky Board of Pharmacy, the State Board of Physical Therapy, the State Board of Examiners of Psychologists, the Kentucky Real Estate Commission, the Kentucky Board of Veterinary Examiners, the Board of Auctioneers, the Kentucky Board of Landscape Architects, the State Board of Medical Licensure, the Board of Speech-Language Pathology and Audiology, the Kentucky Board of Licensure for Nursing Home Administrators, the Kentucky Licensing Board for Specialists in Hearing Instruments, the Kentucky Board of Social Work, and any other boards and commissions that are created to license, certify, register, or otherwise regulate any occupational or professional category.
  2. The department may also provide administrative services to a board or commission that is created to license, certify, register, or otherwise regulate any occupational or professional category if these administrative services are deemed to be preferable or required after the review process conducted under KRS 324B.040 .
  3. To the extent that the department provides administrative services, the respective boards and commissions are relieved of the power and duty to provide the services for themselves. The department shall charge each board or commission a reasonable amount for administrative services provided pursuant to subsection (1) of this section. The department may employ persons previously employed by boards or commissions.
  4. The department may receive complaints against the conduct of licensees granted licensure by the boards and commissions assigned to the department for administrative purposes. The department shall cause these complaints to be reduced to writing and forwarded to the appropriate board or commission for investigation and a determination of the validity of the complaint. The department shall keep a record of all complaints received by it and forwarded to a board or commission.
  5. Any board or commission listed in subsection (1) of this section, shall accept personal checks in payment of license renewal fees.

HISTORY: Repealed, reenacted, renumbered, and amended by Acts 2017, ch. 178, § 5, effective April 11, 2017; 2018 ch. 46, § 33, effective March 30, 2018.

324B.040. Independent board or commission to use services of Department of Professional Licensing — Exemptions — Report.

  1. As used in this section, “independent board or commission” means an executive branch agency created by statute that serves the primary purpose of licensing, certifying, registering, or otherwise regulating any occupational or professional category. “Independent board or commission” does not include:
    1. An executive branch board or commission that is a part of another executive branch agency;
    2. Any board or commission that is under the authority or jurisdiction of the General Assembly or the judicial branch; or
    3. Any board or commission within any branch of state government if that board or commission is expressly designed to:
      1. Study, report, or make recommendations regarding a particular issue; or
      2. Expire within a time certain.
  2. Any independent board or commission that is created after July 15, 2010, shall use the administrative services of the Department of Professional Licensing as described under KRS 324B.030 unless that board or commission can reasonably demonstrate to the satisfaction of the department that it will license, certify, register, or otherwise regulate at least one hundred (100) persons. If the board or commission is able to initially demonstrate that it will reach the threshold established in this subsection and then fails to license, certify, register, or otherwise regulate at least one hundred (100) persons at the end of any two (2) consecutive fiscal years, that board or commission shall be subject to the process required in subsection (4) of this section.
  3. Any independent board or commission that was created before July 15, 2010, shall undergo the process required in subsection (4) of this section if that board or commission licenses, certifies, registers, or otherwise regulates less than one hundred (100) persons at the end of any two (2) consecutive fiscal years ending on or after June 30, 2010.
    1. If an independent board or commission fails to regulate one hundred (100) or more persons for two (2) consecutive fiscal years as described in subsections (2) and (3) of this section, that board or commission shall submit a report within ninety (90) days after the close of the second of the two (2) fiscal years to the Department of Professional Licensing and to the Interim Joint Committee on Licensing and Occupations of the Legislative Research Commission or to the corresponding standing committees of the General Assembly. The report shall contain, at a minimum: (4) (a) If an independent board or commission fails to regulate one hundred (100) or more persons for two (2) consecutive fiscal years as described in subsections (2) and (3) of this section, that board or commission shall submit a report within ninety (90) days after the close of the second of the two (2) fiscal years to the Department of Professional Licensing and to the Interim Joint Committee on Licensing and Occupations of the Legislative Research Commission or to the corresponding standing committees of the General Assembly. The report shall contain, at a minimum:
      1. The number of persons licensed, certified, registered, or otherwise regulated by the board or commission at the close of each of the two (2) fiscal years;
      2. A detailed accounting of the revenues, fees collected, board or commission member reimbursements or per diems, staff salaries, costs, expenses, and other financial activities of the board or commission for each of the two (2) fiscal years; and
      3. The board or commission’s plan to:
        1. Increase the number of persons it licenses, certifies, registers, or otherwise regulates to one hundred (100) or more persons;
        2. Merge with one (1) or more other boards, commissions, or other governmental entities, which will result in a merged entity that will license, certify, register, or otherwise regulate one hundred (100) or more persons; or
        3. Allow the Department of Professional Licensing to assume administrative duties for the board or commission as described in KRS 324B.030 .
    2. If, after implementation of its plan under paragraph (a)3.a. or b. of this subsection, an independent board or commission fails to license, certify, register, or otherwise regulate one hundred (100) or more persons for an additional three (3) consecutive fiscal years, for a total of five (5) consecutive fiscal years, that board or commission shall allow the Department of Professional Licensing to assume administrative duties for the board or commission as described in KRS 324B.030 within ninety (90) days after the end of the fifth fiscal year.

HISTORY: Enact. Acts 2010, ch. 15, § 1, effective July 15, 2010, repealed, reenact., renumbered, and amended from 224.10-053 , 2017, ch. 178, § 6, effective April 11, 2017.

324B.050. Kentucky Real Estate Authority — Executive director — Powers.

  1. The Kentucky Real Estate Authority is hereby created within the Department of Professional Licensing.
  2. The authority shall be managed by an executive director, who shall be appointed by the secretary of the Public Protection Cabinet with prior written approval from the Governor. The executive director shall be exempted from the classified service.
  3. The authority shall have the power and authority to:
    1. Provide appropriate personnel staffing and administrative support to the real property boards;
    2. Establish and maintain an office, meeting space, office supplies, furniture, storage space, and any other supplies that are necessary to carry out the duties of the authority and the real property boards;
    3. Make available for public inspection all decisions, opinions, and interpretations formulated or used by the authority and the real property boards in discharging their functions;
    4. Publicize the functions and purposes of the authority and the real property boards;
    5. Employ administrative coordinators who shall carry out the administrative functions and day-to-day operations of the real property boards. The maximum number of administrative coordinators shall be one (1) for each real property board. Administrative coordinators shall be exempted from the classified service;
    6. Enter into agreements with any state agency, political subdivision of the state, postsecondary education institution, or other person or entity to assist with implementation of the duties and responsibilities of the authority or, upon request, the real property boards; and
    7. Charge the real property boards a reasonable amount for the services of the authority and its employees.

HISTORY: 2017 ch. 178, § 3, effective April 11, 2017.

324B.060. Duties of executive director of Kentucky Real Estate Authority.

The executive director shall:

  1. Provide government oversight of the real property boards;
  2. Review and approve or disapprove any administrative regulation proposed by the real property boards prior to the promulgation of the administrative regulation;
  3. Review and approve or disapprove the budgets and expenditures of the real property boards;
  4. Pursuant to KRS 13B.120(7), automatically hear and issue a final order regarding any decision of a real property board that would otherwise be subject to appeal. An aggrieved party may appeal a final order of the executive director pursuant to KRS Chapter 13B within thirty (30) days after the issuance of the order to the Circuit Court of the county where the licensee has his or her principal place of business or where the license applicant resides;
  5. Make available for public inspection all decisions, opinions, and interpretations formulated or used by the executive director in discharging his or her functions;
  6. Carry out the policy and program directives of the department;
  7. Prepare annual reports on the executive director’s activities;
  8. Delegate any power to employees and contractors as needed;
  9. Have at least ten (10) years of experience in one (1) of the professions under the jurisdiction of a real property board; and
  10. Perform all other duties assigned by law.

HISTORY: 2017 ch. 178, § 4, effective April 11, 2017.

CHAPTER 325 Public Accountants

325.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (3941e-7) was repealed by Acts 1946, ch. 210, § 23.

325.020. Use of title certified public accountant without license prohibited. [Repealed.]

Compiler’s Notes.

This section (3941e-8, 3941e-14) was repealed by Acts 1946, ch. 210, § 23.

325.030. All members of partnership to be licensed — Corporations not to be licensed. [Repealed.]

Compiler’s Notes.

This section (3941e-8) was repealed by Acts 1946, ch. 210, § 23.

325.040. Company to keep list of members on file with board secretary. [Repealed.]

Compiler’s Notes.

This section (3941e-8) was repealed by Acts 1946, ch. 210, § 23.

325.050. Qualifications of applicant for license. [Repealed.]

Compiler’s Notes.

This section (3941e-4) was repealed by Acts 1946, ch. 210, § 23.

325.060. Examination — Time, place, subjects. [Repealed.]

Compiler’s Notes.

This section (3941e-3, 3941e-5) was repealed by Acts 1946, ch. 210, § 23.

325.070. Fees. [Repealed.]

Compiler’s Notes.

This section (3941e-9, 3941e-12) was repealed by Acts 1946, ch. 210, § 23.

325.080. Reexamination. [Repealed.]

Compiler’s Notes.

This section (3941e-9) was repealed by Acts 1946, ch. 210, § 23.

325.090. Reciprocity. [Repealed.]

Compiler’s Notes.

This section (3941e-6) was repealed by Acts 1946, ch. 210, § 23.

325.100. Voluntary surrender of license. [Repealed.]

Compiler’s Notes.

This section (3941e-12) was repealed by Acts 1946, ch. 210, § 23.

325.110. Grounds for revocation of license. [Repealed.]

Compiler’s Notes.

This section (3941e-11) was repealed by Acts 1946, ch. 210, § 23.

325.120. Notice of proposed revocation. [Repealed.]

Compiler’s Notes.

This section (3941e-11) was repealed by Acts 1946, ch. 210, § 23.

325.130. Hearing on revocation. [Repealed.]

Compiler’s Notes.

This section (3941e-11) was repealed by Acts 1946, ch. 210, § 23.

325.140. Revoked license certificate to be surrendered. [Repealed.]

Compiler’s Notes.

This section (3941e-11) was repealed by Acts 1946, ch. 210, § 23.

325.150. State Board of Accountancy — Members — Terms. [Repealed.]

Compiler’s Notes.

This section (3941e-1) was repealed by Acts 1946, ch. 210, § 23.

325.160. Qualifications of board members. [Repealed.]

Compiler’s Notes.

This section (3941e-1, 3941e-15) was repealed by Acts 1946, ch. 210, § 23.

325.170. Election of officers. [Repealed.]

Compiler’s Notes.

This section (3941e-2) was repealed by Acts 1946, ch. 210, § 23.

325.180. Compensation of board members. [Repealed.]

Compiler’s Notes.

This section (3941e-10) was repealed by Acts 1946, ch. 210, § 23.

325.190. Quorum of board. [Repealed.]

Compiler’s Notes.

This section (3941e-3) was repealed by Acts 1946, ch. 210, § 23.

325.200. Functions of board. [Repealed.]

Compiler’s Notes.

This section (3941e-3) was repealed by Acts 1946, ch. 210, § 23.

325.210. Board to keep record, report annually to Governor. [Repealed.]

Compiler’s Notes.

This section (3941e-3) was repealed by Acts 1946, ch. 210, § 23.

325.220. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Attest service” means providing the following services:
    1. Any audit or other engagement subject to and to be performed in accordance with the current versions of the American Institute of Certified Public Accountants (AICPA) Statements on Auditing Standards (SAS), and Government Auditing Standards issued by the United States Government Accountability Office;
    2. Any review of a financial statement subject to and to be performed in accordance with the current versions of the American Institute of Certified Public Accountants (AICPA) Statements on Standards for Accounting and Review Services (SSARS);
    3. Any examination of prospective financial information or other professional services to be performed in accordance with the current versions of the American Institute of Certified Public Accountants (AICPA) Statements on Standards for Attestation Engagements (SSAE);
    4. Any engagement to be performed in accordance with the Public Company Accounting Oversight Board Auditing Standards; and
    5. Any examination, review, or agreed-upon procedures engagement to be performed in accordance with the SSAE, other than an examination described in paragraph (c) of this subsection;
  2. “Board” means the State Board of Accountancy;
  3. “Firm” means a sole proprietorship, partnership, professional service corporation, or any other form of business organization that is authorized to operate under the laws of this Commonwealth, complies with the provisions of this chapter, and is issued a license to practice by the board or is exempt from having to obtain a license pursuant to KRS 325.301 ;
  4. “Firm manager” means a licensee of this state or another state designated by a firm to be responsible for the firm complying with the firm registration and firm licensing requirements contained in this chapter and administrative regulations promulgated thereunder;
  5. “License” means a license as a certified public accountant or a firm issued pursuant to this chapter;
  6. “Licensee” means a certified public accountant, firm, or public accountant, holding a license to practice issued under this chapter;
  7. “Peer review” means a practice monitoring process designed to promote quality in attest and compilation services, and protect the public interest. The process shall comply with standards that are equivalent to or more stringent than the current version of the Standards for Performing and Reporting on Peer Reviews issued by the American Institute of Certified Public Accountants (AICPA);
  8. “Public accountant” means a public accountant issued a license to practice by the Commonwealth of Kentucky under the Public Accounting Act of 1946 as amended;
    1. “Regulated activities” means the offering to perform or the performance for a client or potential client by a person or firm holding a license issued under this chapter of one (1) or more types of services involving the use of accounting, attest, or compilation services, including the issuance of reports on financial statements, or one (1) or more types of management advisory, financial advisory, or consulting services, or the preparation of tax returns or the furnishing of advice on tax matters. (9) (a) “Regulated activities” means the offering to perform or the performance for a client or potential client by a person or firm holding a license issued under this chapter of one (1) or more types of services involving the use of accounting, attest, or compilation services, including the issuance of reports on financial statements, or one (1) or more types of management advisory, financial advisory, or consulting services, or the preparation of tax returns or the furnishing of advice on tax matters.
    2. Notwithstanding paragraph (a) of this subsection, this definition shall not prohibit anyone who is not a certified public accountant from performing accounting and bookkeeping services, as well as the preparation of tax returns or financial statements, for which attestation by the preparer is not required. The board shall promulgate an administrative regulation defining terms, as necessary, that are not included in this chapter;
  9. “Report,” when used with reference to any attest or compilation service, means an opinion, report, or other form of language that states or implies assurance as to the reliability of the attested information on financial statements and that also includes or is accompanied by any statement or implication that the person or firm issuing it has special knowledge or competence in accounting or auditing. Such a statement or implication of special knowledge or competence may arise from use by the issuer of the report of names or titles indicating that the person or firm is an accountant or auditor, or from the language of the report itself. The term “report” includes any form of language which disclaims an opinion when such form of language is conventionally understood to imply any positive assurance as to the reliability of the attested information or compiled financial statements referred to or special competence on the part of the person or firm issuing such language; and it includes any other form of language that is conventionally understood to imply such assurance or such special knowledge or competence;
  10. “Sponsoring organization” means a board-approved professional society or other organization responsible for facilitating and administering a peer review program that is equivalent to or more stringent than a program as outlined in the American Institute of Certified Public Accountants (AICPA)’s current version of the Standards for Performing and Reporting on Peer Reviews, including provisions that provide guidance for administering peer reviews;
  11. “State” includes and means any state, territory, or insular possession of the United States, or the District of Columbia; and
  12. “Substantial equivalency” means a determination by the board or its designee that the education, examination, and experience requirements in the statutes and administrative regulations of another state for the licensing of a certified public accountant are comparable or better than those contained in the Uniform Accountancy Act issued by the American Institute of Certified Public Accountants (AICPA) and National Association of State Boards of Accountancy (NASBA), or that an individual certified public accountant’s education, examination, and experience qualifications are comparable or exceed these national standards.

History. Enact. Acts 1946, ch. 210, § 21; 1968, ch. 143, § 1; 1984, ch. 117, § 1, effective July 13, 1984; 1990, ch. 285, § 1, effective July 13, 1990; 1992, ch. 18, § 2, effective July 14, 1992; 1994, ch. 248, § 2, effective July 15, 1994; 2000, ch. 99, § 1, effective July 14, 2000; 2008, ch. 101, § 1, effective July 15, 2008; 2011, ch. 31, § 1, effective June 8, 2011; 2015 ch. 107, § 1, effective June 24, 2015; 2018 ch. 24, § 1, effective July 14, 2018.

Legislative Research Commission Notes.

(6/24/2015). Under the authority of KRS 7.136(1), the Reviser of Statutes has changed the internal numbering of this statute to place definitions in alphabetical order. No words were changed in this process.

Compiler’s Notes.

The Public Accounting Act of 1946, as amended, referred to in subdivision (3) of this section is compiled as this chapter.

Opinions of Attorney General.

Nothing contained in this chapter would preclude a corporation organized under the general business laws of the Commonwealth from engaging in the business of accounting. OAG 78-143 .

Research References and Practice Aids

Kentucky Law Journal.

Booth and Rutledge, The Limited Liability Company Act: Understanding Kentucky’s New Organizational Option, 83 Ky. L.J. 1 (1994-95).

Northern Kentucky Law Review.

Mellen, Myre and Lee, Limited Liability Companies and Registered Limited Liability Partnerships in Kentucky: A Practical Analysis, 22 N. Ky. L. Rev. 229 (1995).

325.230. State Board of Accountancy — Membership — Appointment, qualifications, term, vacancies, removal, compensation.

  1. There is hereby created a State Board of Accountancy. The board shall consist of seven (7) members, appointed by the Governor. Six (6) of the members shall be certified public accountants. One (1) of the members shall be a citizen at large who is not a certified public accountant. Members serving on the board as of July 15, 1994, shall retain their appointments until their terms expire. Whenever an appointment is to be made, the Kentucky Society of Certified Public Accountants shall submit to the Governor the names of three (3) persons for each vacancy to be filled. All persons recommended shall be qualified for membership on the board, and the Governor shall appoint one (1) of the three (3) recommended. Members of the board shall be citizens of the United States and residents of this state and the certified public accountant members shall hold licenses to practice issued under the provisions of this chapter. Of the new members appointed to the board, as provided by this section, one (1) member shall be appointed for a term of one (1) year and one (1) member shall be appointed for a term of four (4) years from June 19, 1976. Succeeding appointments to the board shall be for a term of four (4) years. Vacancies occurring during a term shall be filled by appointment for the unexpired term. Upon the expiration of his term of office, a member shall continue to serve until his successor shall have been appointed and shall have qualified. The Governor shall remove from the board any member whose license to practice is not renewed or which has become void, revoked, or suspended, and may, after hearing, remove any member of the board for neglect of duty or other just cause.
  2. Each member of the board shall be paid the amount established by an administrative regulation promulgated by the board, not to exceed two hundred dollars ($200) for each day spent in the discharge of his official duties, and shall be reimbursed for his actual and necessary expenses therein incurred.

History. Enact. Acts 1946, ch. 210, § 2(1), (3); 1968, ch. 143, § 2; 1976, ch. 116, § 1; 1976, ch. 206, § 21, effective June 19, 1976; 1984, ch. 117, § 2, effective July 13, 1984; 1994, ch. 248, § 3, effective July 15, 1994; 2000, ch. 99, § 2, effective July 14, 2000; 2006, ch. 95, § 1, effective July 12, 2006.

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Opinions of Attorney General.

KRS 44.060 , 45.180 (now repealed) and 45.300 (now repealed) when read together, in pari materia, establish that the State Board of Accountancy is a state agency for purposes of observing state agency travel regulations. OAG 82-69 .

The State Board of Accountancy created pursuant to this section is a state agency for purposes of state agency travel regulations and the members of the Board must observe the detailed requirements of Department of Finance (now Finance and Administration Cabinet) regulations pertaining to travel and food claims against the state treasury; subsection (2) of this section was in no way designed to constitute an exception to the state’s uniform system of accounting as it relates to food and travel expenses. OAG 82-69 .

Research References and Practice Aids

Cross-References.

Appointments to boards and commissions, KRS 12.070 .

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

325.240. Officers of the board — Administrative regulations — Rules of professional conduct — Quorum — Seal — Records — Employees — Expenditure of funds for primary or secondary educational programs — Professional liability insurance.

  1. The board shall elect annually a president and such other officers as it deems necessary.
  2. The board may promulgate, and amend from time to time, administrative regulations, in accordance with the provisions of KRS Chapter 13A, for the orderly conduct of its affairs, for the administration of this chapter, and to establish and maintain a high standard of integrity and dignity in the profession of public accounting.
  3. A majority of the board shall constitute a quorum for the transaction of business.
  4. The board shall have a seal which shall be judicially noticed. The board shall keep records of its proceedings, and in any proceeding in court, civil or criminal, arising out of or founded upon any provision of this chapter, copies of said records certified as correct under the seal of the board shall be admissible in evidence as tending to prove the content of said records.
  5. The board may employ an executive director and such other personnel as it deems necessary in its administration and enforcement of this chapter. It may appoint such committees or persons, to advise or assist it in the administration and enforcement, as it may see fit. It may retain its own counsel to advise and assist it, in addition to such advice and assistance as is provided by the Attorney General of this state.
  6. The board may join or participate in professional organizations and associations that promote improvement of the practice of accounting for the protection of the public or to facilitate the activities of the board.
  7. The board may expend funds from its account created by KRS 325.250 to assist with accounting educational programs proposed or offered in the primary and secondary schools in this state. The amount of the expenditure shall not interfere with the performance of the board’s other responsibilities.
  8. The board may purchase professional liability insurance for its members, staff, and investigators. The purchase of or failure to purchase insurance shall not be deemed a waiver of any immunity already conferred on the board, its members, staff, and investigators.

History. Enact. Acts 1946, ch. 210, § 2(2); 1968, ch. 143, § 3; 1976, ch. 116, § 2; 1984, ch. 117, § 3, effective July 13, 1984; 2000, ch. 99, § 3, effective July 14, 2000; 2007, ch. 50, § 2, effective June 26, 2007.

Opinions of Attorney General.

The Board of Accountancy has authority to promulgate a rule of professional conduct that a certified public accountant licensed by the board who bids on a project is, in effect, soliciting business and is subject to reprimand and loss of license. OAG 74-698 .

Research References and Practice Aids

Cross-References.

Administrative regulations, adoption and effective dates, KRS 13A.330 .

325.250. Revolving fund for board.

All fees and other moneys received by the board pursuant to the provisions of this chapter shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board in carrying out the provisions of this chapter. No part of this revolving fund shall revert to the general funds of this state. The compensation provided by this chapter and all expenses incurred under this chapter shall be paid from this revolving fund. No such compensation or expense shall be a charge against the general funds of this state.

History. Enact. Acts 1946, ch. 210, § 2(4); 1984, ch. 117, § 4, effective July 13, 1984; 2007, ch. 50, § 3, effective June 26, 2007.

325.260. Certified public accountants — Qualifications. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 210, § 3(1) to (4) was repealed by Acts 1968, ch. 143, § 11.

325.261. Qualifications for licensure as certified public accountant.

The license of “certified public accountant” shall be granted by the board to any person who satisfies the following requirements:

  1. Is no less than eighteen (18) years of age;
  2. Is of good moral character;
  3. Has a baccalaureate degree or master’s degree conferred by a college or university recognized by the board with a major or concentration in accounting or its equivalent, as defined in administrative regulations promulgated by the board;
  4. Passes a board-approved examination in accounting, auditing, and other related subjects as the board deems appropriate. To be eligible to apply for the examination, a person shall first satisfy the requirement of subsections (1) to (3) of this section;
  5. Completes one hundred fifty (150) college semester hours that include a baccalaureate or masters degree conferred by a college or university recognized by the board with a major or concentration in accounting or its equivalent, as defined in administrative regulations promulgated by the board;
  6. Obtains one (1) year of accounting or attest experience while employed in an accounting or auditing position in public practice, industry, or government that shall be verified by a certified public accountant who, during the time being verified, held an active license to practice from any state. The one (1) year of experience required under this subsection shall be obtained:
    1. After the completion of the education requirements established in subsection (3) of this section; and
    2. Within five (5) years from the date the candidate successfully completed the examination;
  7. At the time of applying for a license is a United States citizen, a citizen of a foreign country who is legally residing in the United States, or is an employee of a public accounting firm, company, or an institution of postsecondary education located outside the United States, but which has an office or campus located in the United States; and
  8. Submits a complete application for a license to practice as a certified public accountant in accordance with KRS 325.330 .

HISTORY: Enact. Acts 1968, ch. 143, § 4; 1970, ch. 120, § 15; 1976, ch. 116, § 3; 1978, ch. 155, § 156, effective June 17, 1978; 1984, ch. 117, § 5, effective July 13, 1984; 1990, ch. 285, § 2, effective July 13, 1990; 1994, ch. 248, § 4, effective July 15, 1994; 1996, ch. 24, § 1, effective July 15, 1996; 2000, ch. 99, § 4, effective July 14, 2000; 2002, ch. 62, § 1, effective July 15, 2002; 2006, ch. 33, § 1, effective July 12, 2006; 2010, ch. 163, § 1, effective July 15, 2010; 2015 ch. 107, § 2, effective June 24, 2015.

Opinions of Attorney General.

If former subdivisions (3)(h) and (3)(i) of this section are given the liberal construction mandated by KRS 446.080(1), it is immaterial when the experience in government service mandated by those subdivisions was acquired, so long as the Board of Accountancy withholds its consideration of that experience until after the effective date for those subdivisions and applies the experience requirements presently as of that date there will be no retroactive application contrary to KRS 446.080(3). OAG 79-122 .

If a person passes the certified public accountant examination with one (1) year (masters degree) or two (2) years (baccalaureate degree) of experience in state government, he can receive a certificate, provided such years are under the supervision of a certified public accountant and the experience includes application of the attest function using standards adopted by the AICPA; but if such experience was not under the supervision of a certified public accountant, but was similar to that found in former subdivision (3)(f) of this section dealing with the federal Internal Revenue Service, a person with four or five years’ experience (as the case applies) could be certified under the “equivalency” clause of former subdivisions (3)(a) and (b) of this section. OAG 79-651 .

The Quality Enhancement Program proposed by the Board of Accountancy meets both constitutional and statutory requirements and is within the purposes of the legislative mandate given to the Board by the General Assembly to ensure the competency and proper qualifications of those it licenses and to protect the citizens of this Commonwealth in carrying out its mandate. OAG 86-17 .

325.263. Submission of proof of educational requirements on and after April 1, 2007, by previously approved candidates.

Effective April 1, 2007, any candidate who was approved to sit for the examination prior to January 1, 2000, and has not yet passed the examination shall be required to submit to the board prior to his or her being licensed, proof that he or she meets the requirements of KRS 325.261(5).

History. Enact. Acts 2006, ch. 33, § 2, effective July 12, 2006.

325.265. Persons eligible for CPA examination — Experience requirements to be met. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts. 1968, ch. 143, § 5; 1976, ch. 116, § 4; 1984, ch. 117, § 6, effective July 13, 1984) was repealed by Acts 1990, ch. 285, § 14, effective July 13, 1990.

325.270. Examination for certified public accountant — Fees — Reciprocity — Cancellation of examination scores for failure to apply for license.

  1. Examinations provided for in this chapter shall be authorized by the board.
  2. The board may by administrative regulation adopt standards and fees governing the application and all examination policies and procedures.
  3. The board may accept examination results from other states if:
    1. It is established that the examination is the same or substantially similar to the one adopted by the board; and
    2. The candidate has met the prerequisite examination requirements of this chapter.
  4. An examination candidate who passes all sections of the examination shall apply for a license within five (5) years from the date the candidate successfully completed the examination. Failure to apply for a license prior to the expiration of the five (5) year period shall result in cancellation of the examination scores.

History. Enact. Acts 1946, ch. 210, § 3(5); 1960, ch. 224, § 1; 1968, ch. 143, § 6; 1976, ch. 116, § 5; 1984, ch. 117, § 7, effective July 13, 1984; 1990, ch. 285, § 3, effective July 13, 1990; 2002, ch. 62, § 2, effective July 15, 2002; 2010, ch. 163, § 2, effective July 15, 2010; 2015 ch. 107, § 3, effective June 24, 2015.

325.280. Qualifications for licensure as certified public accountant by reciprocity and for foreign accountants.

  1. The board may issue a license to practice by reciprocity, if the applicant submits an application for a license to practice any regulated activity, upon forms approved by the board, that includes all required fees, in the amounts as determined by administrative regulation promulgated by the board, and meets the following requirements:
    1. The applicant received a grade on the Uniform Certified Public Accountants Examination in another state that was equivalent to a passing grade at the time in this Commonwealth;
    2. The applicant holds a valid active license, and is in good standing as a certified public accountant, issued under the laws of any other state; and
      1. The applicant meets all current experience requirements in this Commonwealth at the time application is made; or (c) 1. The applicant meets all current experience requirements in this Commonwealth at the time application is made; or
      2. Within the ten (10) years immediately preceding the application, had four (4) years of experience in the practice of the regulated activities acceptable to the board upon which the license was based.
  2. The board may issue a license to practice the regulated activities without examination to an applicant who holds a valid license to engage in the practice of the regulated activities in good standing from a foreign country if:
    1. The applicant’s foreign country makes similar provisions to allow a person who holds a valid license to practice the regulated activities issued by this Commonwealth to obtain that foreign country’s comparable designation;
    2. The authority of the foreign country that issued the designation regulates the practice of the regulated activities, including the issuance of reports;
    3. The foreign designation was granted upon education and examination requirements which were established by the foreign authority or law and were substantially equivalent to those in effect in this Commonwealth at the time the foreign designation was granted;
    4. The applicant satisfies the applicable experience requirement contained in paragraph (c) of subsection (1) of this section;
    5. The applicant has successfully passed a uniform qualifying examination on United States national standards approved by the board; and
    6. The applicant submits an application for a license to practice the regulated activities, upon forms approved by the board, that includes all required fees, in the amounts as determined by administrative regulation promulgated by the board.

HISTORY: Enact. Acts 1946, ch. 210, §§ 3(7), (8), 4; 1968, ch. 143, § 7; 1984, ch. 117, § 8, effective July 13, 1984; 1990, ch. 285, § 4, effective July 13, 1990; 1994, ch. 248, § 5, effective July 15, 1994; 2000, ch. 99, § 5, effective July 14, 2000; 2004, ch. 34, § 1, effective July 13, 2004; 2008, ch. 101, § 2, effective July 15, 2008; 2015 ch. 107, § 4, effective June 24, 2015.

325.282. Privilege to practice granted to out-of-state licensee meeting substantially equivalent licensure requirements — Qualifications — Conditions agreed to — When coordination with in-state firm required.

  1. A person who:
    1. Does not have an office located in this state;
    2. Holds a valid and active license to practice as a certified public accountant from any state that the board has determined to have licensure requirements substantially equivalent to those found in this chapter and the accompanying administrative regulations promulgated thereunder; and
    3. Offers to perform or performs a regulated activity in person or by mail, telephone, or other electronic means in this state;

      shall have all the privileges granted to the holder of a license issued under this chapter without having to obtain a license from the board.

  2. Notwithstanding any other provision of this chapter, a person who satisfies the requirements of subsection (1) of this section:
    1. Is not required to provide notice of offering or providing such services to the board; and
    2. Is subject to the requirements listed in subsection (3) of this section.
  3. A person who offers to perform or performs a regulated activity in person or by mail, telephone, or other electronic means in this state pursuant to this section agrees to:
    1. Submit to the personal and subject matter jurisdiction and disciplinary authority of the board;
    2. Comply with the provisions of this chapter and the administrative regulations of the board;
    3. Cease exercising the privilege if the license issued by the board or agency located in the state of the person’s principal place of business expires or is no longer valid;
    4. The appointment of the state board or agency where the person’s principal place of business is located and which issued the person’s license as the agent upon whom process may be served in any action or proceeding by the Kentucky State Board of Accountancy against that person;
    5. Notify the board prior to opening any office in this state and immediately apply for a license under KRS 325.280 ; and
    6. Notify the board immediately if the person’s license in the state where his or her principal place of business is located becomes inactive, lapses, or is subjected to any disciplinary action.
  4. The board may take disciplinary action against a person granted a privilege under this section for an act committed by the person in another state if the act at the time of its commission is a violation of that state’s law or regulations and this chapter or administrative regulations promulgated pursuant to this chapter.
  5. A person who qualifies for the practice privilege under this section and offers to perform or performs one (1) or more of the following services for a client with its home office located in this state or for a person who is a resident of this state shall perform the service or services through a firm which has obtained a license issued under KRS 325.301 :
    1. Any financial statement audit or other engagement to be performed in accordance with the Statements on Auditing Standards;
    2. Any examination of prospective financial statements to be performed in accordance with the Statements on Standards for Attestation Engagements; or
    3. Any engagement to be performed in accordance with the Public Company Accounting Oversight Board Auditing Standards.

History. Enact. Acts 2008, ch. 101, § 3, effective July 15, 2008.

325.285. Consent to jurisdiction of the board by unlicensed persons and firms.

  1. A person or firm that enters this state in person or by mail, telephone, or other electronic means; represents himself, herself, or itself as a “certified public accountant,” “CPA,” or CPA firm; and performs or offers to perform a regulated activity for a client whose home office is located in this state or a person who is a resident of this state without first:
    1. Obtaining a license under this chapter;
    2. Complying with the practice privilege requirement in KRS 325.282 ; or
    3. Qualifying for the exemption from licensure under KRS 325.301 ; consents to the personal, subject matter, and disciplinary jurisdiction of the board.
  2. The board may conduct investigations and hearings and impose sanctions against the person or firm as if the person or firm held a license under this chapter.

History. Enact. Acts 2007, ch. 50, § 1, effective June 26, 2007; 2008, ch. 101, § 4, effective July 15, 2008.

325.290. Use of title “certified public accountant.”

  1. Only an individual who has received a license to practice or qualifies for a practice privilege shall be styled and known as a “certified public accountant.” A certified public accountant may also use the abbreviation “CPA” or “public accountant.”
  2. Licensees granted a waiver from continuing professional education based on retirement may use “certified public accountant,” “public accountant,” or “CPA,” but shall not engage in regulated activities.

History. Enact. Acts 1946, ch. 210, § 3 (6); 1990, ch. 285, § 5, effective July 13, 1990; 1994, ch. 248, § 6, effective July 15, 1994; 2000, ch. 99, § 6, effective July 14, 2000; 2008, ch. 101, § 5, effective July 15, 2008.

Research References and Practice Aids

Cross-References.

Use of title “certified public accountant” or “public accountant,” KRS 325.380 .

325.300. Partnership or corporation of certified public accountants — Registration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 210, § 5; 1976, ch. 116, § 6; 1990, ch. 285, § 6, effective July 13, 1990) was repealed by Acts 1994, ch. 248, § 12, effective July 15, 1994. For present law see KRS 325.301 .

325.301. Firms required to obtain license to practice in Kentucky — Firms exempted from licensure requirement — Criteria for license — Peer Review Oversight Committee — Administrative regulations.

  1. The following firms shall obtain a license to practice in this state:
    1. Any firm with an office located in this state performing attest services, as defined in KRS 325.220 ; and
    2. Any firm with an office in this state that uses the title “CPA” or other phrase or abbreviation in any manner described in KRS 325.410 to suggest it is a certified public accounting firm.
  2. A firm which does not have an office in this state that performs services described in KRS 325.220 for a client having its home office located in this state or a client who is a resident of this state shall not be required to obtain a license to practice in this state and may use the title “CPA” in the name of the firm if:
    1. The firm complies with the requirements contained in subsections (3)(a) and (10) of this section;
    2. All services provided by the firm are performed by an individual with a practice privilege granted under KRS 325.282 ; and
    3. The firm can legally provide the services in the state where the individual with a practice privilege has his or her principal place of business.
  3. All firms required to obtain a license to practice in this Commonwealth shall meet the following requirements:
    1. Certified public accountants shall hold fifty-one percent (51%) or more of the ownership of the firm in terms of financial interests and voting rights of all partners, officers, shareholders, members, or managers of the firm;
    2. All owners of the firm who are not certified public accountants shall be natural persons actively engaged in the firm’s operations and shall satisfy additional requirements established by the board through promulgation of an administrative regulation;
    3. The name of the firm shall comply with the requirements of KRS 325.380 ;
    4. All certified public accountants who are sole proprietors, partners, shareholders, members, officers, directors, or employees of a firm with an office located in this state, who regularly practice in this Commonwealth, shall maintain current licenses to practice issued by the board;
    5. Any individual licensee and any individual qualifying for a practice privilege under this chapter who is responsible for supervising attest services and signs or authorizes someone to sign the report on behalf of the firm shall meet the competency requirements established by the board through promulgation of an administrative regulation; and
    6. The firm shall comply with the provisions of this chapter, the administrative regulations promulgated by the board, and all other laws of this Commonwealth applicable to the firm’s particular form of business organization.
  4. Before a firm may practice in this Commonwealth, the firm manager shall:
    1. Submit an initial application which contains information required by the board through promulgation of an administrative regulation; and
    2. Pay a fee not to exceed two hundred dollars ($200) established by an administrative regulation promulgated by the board.
  5. The firm license shall be renewed on or before August 1 every two (2) years by the firm manager:
    1. Completing the renewal process according to the procedures as established in administrative regulation promulgated by the board; and
    2. Paying the renewal fee, which shall not exceed two hundred dollars ($200), as established by administrative regulation promulgated by the board.
  6. If a firm license has been expired for a period of less than one (1) month and the firm has not violated any other provision of this chapter or the accompanying administrative regulations promulgated thereunder, the firm manager may renew the license by:
    1. Satisfying all the requirements of this subsection, including any requirements established by the board through promulgation of an administrative regulation; and
    2. In addition to the renewal fee, paying a late fee not to exceed one hundred dollars ($100).
  7. A firm with a license expired for a period of longer than one (1) month after the date of expiration shall cease operating immediately. The firm shall not operate until the board approves the issuance of a new license to the firm.
  8. Sole proprietors shall comply with the licensing requirements for firms under this section.
  9. The firm manager shall notify the board in accordance with procedures established in an administrative regulation promulgated by the board, of any change in its licensing information within thirty (30) days. Any change in the name of a firm shall require the filing of an initial application.
    1. All firms that perform attest or compilation services shall enroll in, schedule, undergo, and complete its peer review in an approved peer review program with standards that are equivalent to or better than the peer review program administered by the American Institute of Certified Public Accountants as determined by administrative regulations promulgated by the board. (10) (a) All firms that perform attest or compilation services shall enroll in, schedule, undergo, and complete its peer review in an approved peer review program with standards that are equivalent to or better than the peer review program administered by the American Institute of Certified Public Accountants as determined by administrative regulations promulgated by the board.
    2. Every firm shall comply with any requirements or restrictions placed on its license as prescribed by the board in response to the results of peer reviews; and
    3. Every firm shall allow the sponsoring organization to provide the board access to the peer review documents via a secure Web site process, such as Facilitated State Board Access and its successor operated by the American Institute of Certified Public Accountants, or similar system operated by another equivalent sponsoring organization.
  10. Nothing contained in this chapter shall require a certified public accountant or firm of certified public accountants licensed by another state to obtain a license to practice in this Commonwealth if the certified public accountant or firm of certified public accountants enters this Commonwealth solely to:
    1. Conduct a peer review of a firm; or
    2. Perform attestation work, incidental to an engagement which was initiated with a client located outside of the Commonwealth and has extended into the Commonwealth due to common ownership or existence of a subsidiary, assets, or other operations located within the Commonwealth.
  11. A Peer Review Oversight Committee may be appointed by the board to monitor the board-approved peer review program, including sponsoring organizations. The purpose of the committee is to provide reasonable assurance that peer reviews are being conducted and reported in accordance with peer review standards. The board shall promulgate an administrative regulation setting forth the process and procedures of the committee.

History. Enact. Acts 1994, ch. 248, § 1, effective July 15, 1994; 1996, ch. 24, § 2, effective July 15, 1996; 2000, ch. 99, § 7, effective July 14, 2000; 2008, ch. 101, § 6, effective July 15, 2008; 2011, ch. 31, § 2, effective June 8, 2011; 2015 ch. 107, § 5, effective June 24, 2015; 2018 ch. 24, § 2, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering of subsection (10) of this statute from the way it appeared in 2018 Ky. Acts ch. 24, sec. 2. The words in the text were not changed.

(6/24/2015). Under the authority of KRS 7.136(1), the Reviser of Statutes has changed the internal numbering of this statute to place definitions in alphabetical order and changed references to that statute in subsections (1) and (2) of this statute to correspond. No words were changed in this process.

325.310. Registration of public accountants — Use of title “public accountant.” [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 210, § 6; 1984, ch. 117, § 9, effective July 13, 1984) was repealed by Acts 2000, ch. 99, § 16, effective July 14, 2000.

325.312. Designation as public accountant emeritus.

Persons registered with the board as “public accountants” by July 1, 1946, shall receive the designation of “Public Accountant Emeritus” and shall be exempt from the payment of licensing fees and the reporting of continuing education hours. No persons shall assume or use the title or designation “Public Accountant Emeritus” unless designated by the board under this section.

History. Enact. Acts 2000, ch. 99, § 15, effective July 14, 2000.

325.315. Qualification as public accountants of persons with experience in federal service. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 134) was repealed by Acts 1968, ch. 143, § 11.

325.320. Partnership or corporation of public accountants — Registration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 210, § 7; 1976, ch. 116, § 7) was repealed by Acts 2000, ch. 99, § 16, effective July 4, 2000.

325.321. Sole proprietorship — Registration — Firm permit — Application. [Repealed.]

Compiler’s Notes.

This section (Enact. acts 1976, ch. 116, § 8; 1990, ch. 285, § 7, effective July 13, 1990) was repealed by Acts 1994, ch. 248, § 12, effective July 15, 1994.

325.330. Application and issuance of license to practice — Renewal — Expiration — Continuing professional education — Reinstatement.

  1. An applicant for an initial license to practice shall:
    1. Satisfy all the requirements of KRS 325.261 and the administrative regulations promulgated by the board;
    2. Pay a fee not to exceed two hundred dollars ($200); and
    3. Complete the application process established in an administrative regulation promulgated by the board.
  2. Licenses shall be initially issued and renewed for a period of two (2) years, and shall expire on the first day of July in the year of expiration.
  3. When an initial license to practice is granted, the board shall issue a nonrenewable document that indicates that the licensee has satisfied all requirements to receive an initial license as a certified public accountant.
  4. An applicant for renewal of a license to practice who is in good standing shall complete the renewal procedure established in administrative regulations promulgated by the board that show that the applicant has:
    1. Fulfilled the requirement of continuing professional education as defined by the board by administrative regulation, but not to exceed eighty (80) hours during a two (2) year calendar period ending December 31 preceding the July 1 renewal date. Certified public accountants not employed by a firm licensed by the board shall be required to achieve continuing professional education not to exceed sixty (60) hours during the two (2) year calendar period ending December 31 preceding the July 1 renewal date. The board shall provide for lesser, prorated requirements for applicants whose initial permit was issued substantially less than two (2) years prior to the renewal date;
    2. Paid a fee not to exceed two hundred dollars ($200) biennially;
    3. Listed a permanent mailing address; and
    4. Designated as part of the renewal process whether the applicant is employed by a firm licensed by the board.
  5. Any license not renewed by the expiration date shall automatically expire and the holder of the expired license shall be prohibited from practicing public accounting or holding himself out as a certified public accountant.
    1. The holder of a license that from the date of renewal has been expired for a period shorter than six (6) months, and who has not violated any other provision of this chapter, may renew the license by meeting all of the requirements of this section and paying a late penalty fee not to exceed one hundred dollars ($100). (6) (a) The holder of a license that from the date of renewal has been expired for a period shorter than six (6) months, and who has not violated any other provision of this chapter, may renew the license by meeting all of the requirements of this section and paying a late penalty fee not to exceed one hundred dollars ($100).
    2. If the license has expired for a period longer than six (6) months, the applicant shall apply to the board for reinstatement. The board shall determine the eligibility for license reissuance, including a late penalty fee not to exceed two hundred dollars ($200) and additional continuing professional education hours.
    3. Failure to receive a renewal notice shall not constitute an adequate reason for failing to renew the license to practice in a timely manner.
    1. Effective January 1, 2011, licenses shall expire on August 1 of the year in which they are to be renewed. Odd-numbered licenses shall expire on August 1 of every odd-numbered year and even-numbered licenses shall expire on August 1 of every even-numbered year. (7) (a) Effective January 1, 2011, licenses shall expire on August 1 of the year in which they are to be renewed. Odd-numbered licenses shall expire on August 1 of every odd-numbered year and even-numbered licenses shall expire on August 1 of every even-numbered year.
    2. An applicant for renewal of a license to practice who is in good standing shall complete the renewal procedure, which shall be established by administrative regulation promulgated by the board and shall require the applicant to:
      1. Fulfill the continuing professional education requirements, as defined by the board by promulgation of administrative regulation, in accordance with the following:
        1. Certified public accountants employed by or operating a firm licensed by the board shall be required to complete no more than eighty (80) hours of continuing professional education during the two (2) year calendar period ending December 31 preceding the August 1 renewal date;
        2. Certified public accountants not employed by a firm licensed by the board shall be required to complete no more than sixty (60) hours during the two (2) year calendar period ending December 31 preceding the August 1 renewal date; and
        3. The board shall provide for lesser, prorated requirements for applicants whose initial license was issued substantially less than two (2) years prior to the renewal date;
      2. Pay a fee not to exceed two hundred dollars ($200) biennially;
      3. Provide a permanent mailing address; and
      4. Designate where the applicant is currently practicing.
    3. Any license not renewed by the expiration date shall automatically expire, and the holder of the expired license shall be prohibited from practicing public accounting or holding himself or herself out as a certified public accountant.
      1. The holder of a license that has been expired for a period of less than one (1) month, who has not violated any other provision of this chapter, may renew the license by meeting all of the requirements of this section and paying a late penalty fee not to exceed one hundred dollars ($100). (d) 1. The holder of a license that has been expired for a period of less than one (1) month, who has not violated any other provision of this chapter, may renew the license by meeting all of the requirements of this section and paying a late penalty fee not to exceed one hundred dollars ($100).
      2. If the license has expired for a period longer than one (1) month, the applicant shall apply to the board for reinstatement. The board shall determine the eligibility for license reissuance, including a late penalty fee not to exceed two hundred dollars ($200) and additional continuing professional education hours.
  6. The board may reduce or waive the license to practice renewal requirements upon written request of the licensee showing illness, extreme hardship, or age and complete retirement from practice as prescribed by the board by administrative regulation.
  7. A licensee shall notify the board in writing of a change in his or her mailing address within twenty (20) days following the effective date of the change in address.

History. Enact. Acts 1946, ch. 210, § 8; 1950, ch. 152, § 1; 1960, ch. 224, § 2; 1976, ch. 116, § 9; 1982, ch. 132, § 1, effective July 15, 1982; 1984, ch. 117, § 10, effective July 13, 1984; 1990, ch. 285, § 8, effective July 13, 1990; 2000, ch. 99, § 8, effective July 14, 2000; 2007, ch. 50, § 4, effective June 26, 2007; 2010, ch. 163, § 3, effective July 15, 2010.

Legislative Research Commission Note.

(6/26/2007). Under the authority of KRS 7.136(1), the Reviser of Statutes in codification has changed the internal numbering system of subsection (6) of this statute. No words in the text were changed in the process.

Opinions of Attorney General.

The Quality Enhancement Program proposed by the Board of Accountancy meets both constitutional and statutory requirements and is within the purposes of the legislative mandate given to the Board by the General Assembly to ensure the competency and proper qualifications of those it licenses and to protect the citizens of this Commonwealth in carrying out its mandate. OAG 86-17 .

325.340. Revocation, suspension, or refusal to renew or issue license — Private reprimand for minor violation — Administrative regulations.

  1. After notice and hearing as provided in KRS Chapter 13B, the board may revoke, suspend, impose a fine not to exceed one thousand dollars ($1,000) for each violation of a provision of this chapter or administrative regulations promulgated by the board under this chapter, refuse to issue or renew any license, censure, place on probation, or issue a private reprimand to any person or firm, all with or without terms, for any one (1) or any combination of the following causes:
    1. Fraud or deceit in obtaining a license issued under this chapter;
    2. Dishonesty, fraud, or negligence while performing any regulated activity, including fiscal dishonesty or an intentional breach of fiduciary responsibility of any kind, and also including but not limited to the following:
      1. Knowing preparation, publication, or dissemination of false, fraudulent, or materially misleading financial statements, reports, or information; and
      2. Embezzlement, theft, misappropriation of funds or property, or obtaining money, property, or other valuable consideration by fraudulent means or false pretenses;
    3. Violation of any of the provisions of this chapter or administrative regulations promulgated by the board under this chapter or violation of any order of the board;
    4. Violation of a rule of professional conduct promulgated by the board;
    5. Conviction of any felony, or of any crime in which dishonesty or fraud is an element, under the laws of any state or of the United States. Conviction includes, but is not limited to, pleading no contest, entering an Alford plea, or entry of a court order suspending the imposition of a criminal penalty to a crime, if in accordance with KRS Chapter 335B;
    6. Cancellation, revocation, suspension, or refusal to renew the authority to practice as a certified public accountant or a public accountant in any state;
    7. Suspension or revocation of the right to practice before any state or federal agency or the Public Company Accounting Oversight Board or its successor;
    8. Conduct discreditable to the accounting profession; or
    9. Failure to respond to a board inquiry regarding any licensing or complaint matter.
  2. In any proceeding in which a remedy provided by subsection (1) of this section is imposed, the board may also require the respondent to pay the costs of the investigation and all proceedings.
  3. A private reprimand shall not be subject to disclosure to the public under KRS 61.878(1)(l). A private reprimand shall not constitute disciplinary action, but may be used by the board for statistical purposes, or in subsequent disciplinary actions against the same licensee.
    1. Any licensee disciplined under this section for a minor violation may request in writing that the board expunge the minor violation from the licensee’s record. (4) (a) Any licensee disciplined under this section for a minor violation may request in writing that the board expunge the minor violation from the licensee’s record.
    2. A request for expungement may be filed no sooner than ten (10) years after the date on which the licensee completed the disciplinary sanctions imposed and may only be filed if the licensee has not been disciplined, within this same period of time, for any subsequent violation of the same nature.
    3. No licensee may have his, her, or its record expunged under this section more than once.
    4. A minor violation is one that does not:
      1. Demonstrate a serious inability to practice the profession;
      2. Result in economic harm to a person; or
      3. Create a significant threat of such harm.
  4. The board shall promulgate administrative regulations under KRS Chapter 13A to establish procedures to expunge a minor violation.

History. Enact. Acts 1946, ch. 210, § 9; 1950, ch. 152, § 2; 1960, ch. 223; 1968, ch. 143, § 8; 1976, ch. 116, § 10; 1984, ch. 117, § 11, effective July 13, 1984; 1990, ch. 285, § 9, effective July 13, 1990; 1994, ch. 248, § 7, effective July 15, 1994; 1996, ch. 318, § 294, effective July 15, 1996; 2000, ch. 99, § 9, effective July 14, 2000; 2007, ch. 50, § 5, effective June 26, 2007; 2017 ch. 158, § 75, effective June 29, 2017; 2018 ch. 24, § 3, effective July 14, 2018.

NOTES TO DECISIONS

Cited:

Smith v. State Board of Accountancy, 271 S.W.2d 875, 1954 Ky. LEXIS 1052 ( Ky. 1954 ).

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

325.350. Revocation or suspension of, or refusal to renew license of firm.

  1. After notice and hearing as provided in KRS Chapter 13B, the board shall revoke the license to practice of a firm if at any time it does not have all the qualifications prescribed by this chapter under which it qualified for licensing.
  2. After notice and hearing as provided in KRS Chapter 13B, the board may revoke, suspend, or refuse to renew the license to practice of a firm or may censure the licensee for any of the causes enumerated in KRS 325.340 , and for the following additional causes:
    1. The revocation, suspension, or refusal to renew the license to practice of any partner or shareholder, or any other person with an ownership interest; or
    2. The cancellation, revocation, suspension, or refusal to renew the authority of the firm or any partner or shareholder, or any other person with an ownership interest thereof to practice public accounting in any other state.

History. Enact. Acts 1946, ch. 210, § 10; 1976, ch. 116, § 11; 1978, ch. 384, § 107, effective June 17, 1978; 1984, ch. 117, § 12, effective July 13, 1984; 1994, ch. 248, § 8, effective July 15, 1994; 1996, ch. 318, § 295, effective July 15, 1996; 2000, ch. 99, § 10, effective July 14, 2000.

NOTES TO DECISIONS

Cited:

Christian Appalachian Project, Inc. v. Berry, 487 S.W.2d 951, 1972 Ky. LEXIS 102 , 94 A.L.R.3d 871 ( Ky. 1972 ).

325.360. Proceedings for violations of this chapter.

  1. The board may conduct investigations of suspected violations of this chapter or the administrative regulations promulgated by the board to determine whether there is probable cause to institute proceedings against any person or firm for any violation under this chapter, but an investigation under this section shall not be a prerequisite to proceedings. In aid of these investigations, the board or its designee may issue subpoenas to compel witnesses to testify and to produce evidence. Subpoenas may be served in person or by certified mail, return receipt requested.
  2. The board may designate a member, or any other person of appropriate competence, to serve as investigating officer to conduct an investigation. Upon completion of an investigation, the investigating officer shall report to the board. The board shall then find probable cause or lack of probable cause, or it shall request that the investigating officer investigate further. Until there has been a determination of probable cause, the findings of the investigating officer, the testimony and documents gathered in the investigation, and the fact of pendency of the investigation shall be treated as confidential information and shall not be disclosed to any person except law enforcement authorities and, to the extent deemed necessary in order to conduct the investigation, the subject of the investigation, persons whose complaints are being investigated, and witnesses questioned in the course of the investigation.
  3. Upon a finding of probable cause, the board shall direct that a complaint be issued pursuant to this section setting forth appropriate charges and a date for a hearing that shall be conducted in accordance with KRS Chapter 13B. Upon a finding of a lack of probable cause, the board shall dismiss the matter either with or without prejudice.
  4. In any case where probable cause has been determined pursuant to this section, the board may request the affected party to informally resolve the matter through mediation or otherwise.
  5. A person or firm, after having been served with the notice of hearing and complaint as provided for in subsection (3) of this section, shall file a written response within twenty (20) days from the date of service. If the respondent licensee fails to file a timely response or fails to appear at the hearing, the board may hear evidence against the respondent and may enter a final order as shall be justified by the evidence.
  6. In a hearing under this section, the respondent may appear in person or, in the case of a firm, through a partner, shareholder, or other person with an ownership interest.
  7. The evidence supporting the complaint shall be presented by the investigating officer, by a board member designated for that purpose, or by counsel. A board member who presents the evidence, or who has conducted the investigation of the matter under this section, shall not participate in the board’s decision of the matter.
  8. In a hearing under this section before the board or in acting upon the recommended order of a hearing officer, a vote of a majority of all members of the board then in office, other than a member disqualified by reason of subsection (7) of this section, shall be required to sustain any charge and to impose any penalty with respect thereto.
  9. Any person adversely affected by any order of the board may obtain a review thereof by filing a written petition for review with the Franklin Circuit Court in accordance with KRS Chapter 13B.
  10. On rendering a final order, the board shall examine its records to determine whether the respondent is authorized or licensed to practice as a certified public accountant in any other state. If the board determines that the respondent is authorized or licensed to practice in any other state, the board shall notify the board of accountancy of the other state of its action by mail within thirty (30) days of rendering the final order.
  11. The board may exchange information relating to proceedings resulting in disciplinary action against licensees with the boards of accountancy of other states and with other public authorities or private organizations having an interest in the information.

History. Enact. Acts 1946, ch. 210, § 11; 1974, ch. 315, § 65; 1976, ch. 116, § 12; 1980, ch. 114, § 85, effective July 15, 1980; 1984, ch. 117, § 13, effective July 13, 1984; 1990, ch. 285, § 10, effective July 13, 1990; 1994, ch. 248, § 9, effective July 15, 1994; 1996, ch. 318, § 296, effective July 15, 1996; 2000, ch. 99, § 11, effective July 14, 2000; 2007, ch. 50, § 6, effective June 26, 2007.

NOTES TO DECISIONS

1.Prehearing Investigation.

Board is not disqualified from conducting hearing by the fact of having conducted a prehearing investigation before presenting formal notice of misconduct. Smith v. State Board of Accountancy, 271 S.W.2d 875, 1954 Ky. LEXIS 1052 ( Ky. 1954 ).

The Board may make an investigation of complaints prior to presenting a formal charge of misconduct. Smith v. State Board of Accountancy, 271 S.W.2d 875, 1954 Ky. LEXIS 1052 ( Ky. 1954 ).

Opinions of Attorney General.

The Quality Enhancement Program proposed by the Board of Accountancy meets both constitutional and statutory requirements and is within the purposes of the legislative mandate given to the Board by the General Assembly to ensure the competency and proper qualifications of those it licenses and to protect the citizens of this Commonwealth in carrying out its mandate. OAG 86-17 .

325.370. Modification, suspension, or reissuance of license.

  1. In any case where the board has suspended, revoked, or refused to renew a license, the board may, upon application in writing by the person or firm affected and for good cause shown, modify the suspension or reissue the license.
  2. The board shall by administrative regulation, specify the manner in which:
    1. Applications shall be made;
    2. The times within which the applications shall be made, and the circumstances in which hearings, to be conducted in accordance with KRS Chapter 13B, shall be held thereon; and
    3. Any corrective or remedial education, training, or review requirement for reinstatement.

History. Enact. Acts 1946, ch. 210, § 12; 1984, ch. 117, § 14, effective July 13, 1984; 1990, ch. 285, § 11, effective July 13, 1990; 1996, ch. 318, § 297, effective July 15, 1996; 2000, ch. 99, § 12, effective July 14, 2000.

325.380. Restrictions on use of title.

  1. No person shall assume or use the title or designation “certified public accountant,” “public accountant,” or the abbreviation “CPA” or any other title, designation, words, letters, abbreviation, sign, card, or device tending to indicate that the person is a certified public accountant, unless the person holds a license issued under this chapter or qualifies for a practice privilege under KRS 325.282 .
  2. No firm shall assume or use the title or designation “certified public accountants,” “public accountants,” or the abbreviation “CPA’s” or any other title, designation, words, letters, abbreviation, sign, card, or device tending to indicate that the firm is composed of certified public accountants, unless the firm:
    1. Holds a license issued under this chapter which has not been revoked or suspended, and all offices of the firm in this state are maintained as required under this chapter; or
    2. Is authorized to do so as provided for in KRS 325.301 .
  3. No individuals or firm shall assume or use the title or designation “certified accountant,” “chartered accountant,” “enrolled accountant,” “licensed accountant,” “registered accountant,” “accredited auditor,” “accounting practitioner,” “accredited accountant,” “expert accountant,” “expert auditor,” “certified auditor,” or any other title or designation likely to be confused with “certified public accountant” and “public accountant” or any of the abbreviations “CA,” “AP,” “PA,” “RA,” “LA,” or “AA” or similar abbreviations likely to be confused with “CPA.”
  4. No person or firm shall sign or affix his name or a firm name to any document or prepare or issue any document which indicates that the person or firm performed attest services or that includes any language which indicates that the person or the firm has expert knowledge in performing attest services, unless the person or firm holds a license to practice issued under this chapter or is exempt from having to obtain a license pursuant to KRS 325.301 . This prohibition shall be applicable to issuance by any unlicensed person or firm of a report using any form of language conventionally used by licensees with respect to a compilation of financial statements or on any attest service. Nonlicensees may use safe harbor language provided in 201 KAR 1:180 in connection with a compilation of financial information. The provisions of this subsection shall not prohibit any officer, employee, partner, or principal of any organization from affixing his signature to any statement or report in reference to the financial affairs of the organization with any wording designating the position, title, or office which he holds in the organization, nor shall the provisions of this subsection prohibit any act of a public official or public employee in the performance of his duties.
  5. No person shall assume or use the title or designation “certified public accountant” or “public accountant” in conjunction with names indicating or implying that there is a firm, or in conjunction with the designation “and Company” or “and Associates” or a similar designation if there is in fact no bona fide firm licensed under this chapter or exempted from licensure under KRS 325.301 .
  6. No person or firm holding a license under this chapter shall use a professional or firm name or designation which contains the names of any nonlicensees, is misleading as to the legal form of the firm, or as to the persons who are partners, officers, shareholders, or any other owners of the firm, or as to any other matters. If more than one (1) certified public accountant has an ownership interest in the firm, the names of one (1) or more deceased, retired, or withdrawn partners, shareholders, or other certified public accountants with an ownership interest may be included in the name of a firm or its successor.
  7. If the death or retirement of a certified public accountant results in a firm having only one (1) certified public accountant with an ownership interest, the board may permit the firm to continue to use the firm name for no more than two (2) years from the certified public accountant’s respective death or retirement.

HISTORY: Enact. Acts 1946, ch. 210, § 13; 1968, ch. 143, § 9; 1976, ch. 116, § 13; 1984, ch. 117, § 15, effective July 13, 1984; 1990, ch. 285, § 12, effective July 13, 1990; 1994, ch. 248, § 10, effective July 15, 1994; 1996, ch. 24, § 3, effective July 15, 1996; 2000, ch. 99, § 13, effective July 14, 2000; 2002, ch. 62, § 3, effective July 15, 2002; 2008, ch. 101, § 7, effective July 15, 2008; 2015 ch. 107, § 6, effective June 24, 2015.

Opinions of Attorney General.

It is a violation of this section for persons not licensed as certified public accountants or registered with the State Board as Public Accountants to place upon their business stationery and otherwise represent and hold out to the public that they are members of the National Association of Enrolled Federal Tax Accountants. OAG 61-710 .

The seal of the Kentucky Institute for Accountancy contains the words “Kentucky Independent Accountant.” Such wording violates subsection (5) of this section since it designates the corporation as composed of persons entitled to style themselves as “independent accountants” which denotes a professional status likely to be confused by the public with “public accountant.” OAG 67-139 .

If a person holds himself out as an “accountant” and utilizes other language or practices which would confuse the public into believing he was a certified public accountant or public accountant, he would be in violation of this statute; however, if he uses the appellation, “accountant,” without any other qualifying language or practice which would not confuse the public into believing he was a licensed certified public accountant or public accountant, there would not be a violation of the statute. OAG 80-581 .

The Quality Enhancement Program proposed by the Board of Accountancy meets both constitutional and statutory requirements and is within the purposes of the legislative mandate given to the Board by the General Assembly to ensure the competency and proper qualifications of those it licenses and to protect the citizens of this Commonwealth in carrying out its mandate. OAG 86-17 .

325.390. Employment by registered accountants — Temporary permits. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 210, § 14; 1968, ch. 116, § 10; 1976, ch. 116, § 14; 1984, ch. 117, § 6, effective July 13, 1984; 1990, ch. 285, § 13, effective July 13, 1990) was repealed by Acts 1994, ch. 248, § 12, effective July 15, 1994.

325.400. Injunction against violations of KRS Chapter 325.

Whenever in the judgment of the board any person or firm has engaged, or is about to engage, in any acts or practices which constitute, or will constitute, a violation of this chapter, the board may make application to the Franklin Circuit Court for an order enjoining such acts or practices, and upon a showing by the board that such person or firm has engaged, or is about to engage, in any such acts or practices, an injunction, restraining order, or such other order as may be appropriate shall be granted by such court. The same shall be enforceable and shall be valid anywhere in this state and shall be reviewable as provided in the Rules of Civil Procedure in the case of other injunctions and restraining orders.

History. Enact. Acts 1946, ch. 210, § 15; 1976, ch. 116, § 15; 1984, ch. 117, § 17, effective July 13, 1984.

325.410. Evidence of unlawful holding out as licensed to practice.

The display or uttering by a person of a card, sign, advertisement, or other printed, engraved, or written instrument or device, bearing a person’s name in conjunction with the words “certified public accountant” or any abbreviation thereof, or “public accountant” shall be prima facie evidence in any action brought under KRS 325.400 or 325.990 that the person whose name is so displayed, caused or procured the display or uttering of such card, sign, advertisement, or other printed, engraved, or written instrument or device, and that such person is holding himself or itself out to be a certified public accountant licensed to practice under KRS 325.330 . In any such action evidence of the commission of a single act prohibited by this chapter shall be sufficient to justify an injunction or a conviction without evidence of a general course of conduct.

History. Enact. Acts 1946, ch. 210, § 17; 1984, ch. 117, § 18, effective July 13, 1984; 2000, ch. 99, § 14, effective July 14, 2000.

325.420. Materials required to be furnished to client — Ownership of accountant’s working papers.

  1. Upon request and reasonable notice, the licensee shall furnish to his client or former client any accounting or other records belonging to the client that were provided to the licensee by or on behalf of the client.
  2. Upon request, reasonable notice, and payment for services previously provided, a licensee shall furnish to his client or former client a copy of a tax return, report, or other document, any of which was previously issued to or for the client or a copy of the licensee’s working papers if the working papers include records that would ordinarily constitute part of the client’s records and are not otherwise available to the client. These working papers shall include, but are not limited to, adjusting, closing, combining, or consolidating journal entries and information normally contained in books of original entry and general ledgers.
  3. Except as provided in subsection (1) of this section or pursuant to an agreement entered into between a licensee and his client, all statements, records, schedules, working papers, and memoranda prepared by a licensee to or in the course of providing services to a client shall be the property of the licensee.

History. Enact. Acts 1946, ch. 210, § 18; 1994, ch. 248, § 11, effective July 15, 1994.

NOTES TO DECISIONS

Cited:

Commonwealth v. Shilladay, 311 Ky. 478 , 224 S.W.2d 685, 1949 Ky. LEXIS 1185 ( Ky. 1949 ).

325.430. Exemption from jury service. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 210, § 19) was repealed by Acts 1954, ch. 7, § 28.

325.431. Evidentiary privilege for sponsoring organization materials — Testimonial privilege — Exceptions.

  1. The proceedings, records, and workpapers of the sponsoring organization shall be privileged and not subject to discovery, subpoena, or other means of legal process, or introduction into evidence in any civil action, arbitration, administrative proceeding, or state accountancy board proceeding. No member of the sponsoring organization or person involved in the peer review process shall testify in any civil action, arbitration, administrative proceeding, or state accountancy board proceeding as to any matter produced, presented, disclosed, or discussed during or in connection with the peer review process, or as to any finding, recommendation, evaluation, opinion, or other action of the committee.
  2. Information, documents, or records that are publicly available shall not be immune from discovery or use in any civil action, arbitration, administrative proceeding, or state accountancy board proceeding merely because they were presented or considered in connection with the peer review process.
  3. The privilege created in subsection (1) of this section shall not apply to:
    1. Materials prepared in connection with a particular engagement merely because they happen to subsequently be presented or considered as part of the peer of review process.
    2. Disputes between the sponsoring organization and persons or firms subject to a peer review arising from the performance of the peer review.
    3. Correspondence and reports of the peer review program obtained by the board from a licensee seeking renewal or an individual or firm seeking to become licensed.
    4. A statement obtained by the board from sponsoring organization to determine if a licensee seeking renewal or an individual or firm seeking to become licensed is enrolled in or is not enrolled in a peer review program.

HISTORY: Enact. Acts 1992, ch. 18, § 1, effective July 14, 1992; 2004, ch. 34, § 2, effective July 13, 2004; 2011, ch. 31, § 3, effective June 8, 2011; 2018 ch. 24, § 4, effective July 14, 2018.

325.440. Confidentiality of information obtained in practice.

  1. A licensee shall not, without the consent of his client, disclose any confidential information pertaining to his client obtained in the course of performing professional services.
  2. This section does not:
    1. Relieve a licensee of any obligations under the rules of professional conduct;
    2. Affect in any way a licensee’s obligation to comply with a validly issued subpoena or summons enforceable by order of a court;
    3. Prohibit disclosures in the course of a peer review of a licensee’s professional services; or
    4. Preclude a licensee from responding to any inquiry made by the board or any investigative or disciplinary body established by law or formally recognized by the board.
  3. Members of the board and professional practice reviewers shall not disclose any confidential client information which comes to their attention from licensees in disciplinary proceedings or otherwise in carrying out their responsibilities, except that they may furnish such information to an investigative or disciplinary body of the kind referred to above.

HISTORY: Enact. Acts 1946, ch. 210, § 20; 1984, ch. 117, § 19, effective July 13, 1984; 2018 ch. 24, § 5, effective July 14, 2018.

NOTES TO DECISIONS

1.Exceptions to Privilege.

Kentucky’s accountant-client privilege did not preclude the Internal Revenue Service (IRS) from enforcing summonses issued to a business’s accountants, as the IRS’s summonsing authority was not limited by any such privilege under state law; also, the exception under KRS 325.440(2)(b) for a validly issued summons was applicable. 326 F.3d 785, 2003 U.S. App. LEXIS 7719.

Cited:

Phillips v. Commonwealth, 324 S.W.3d 741, 2010 Ky. App. LEXIS 199 (Ky. Ct. App. 2010).

NOTES TO UNPUBLISHED DECISIONS

1.Fiduciary Duty.

Public accounting firm had a fiduciary duty to disclose material facts relating to its tax advice to certain clients when it was alleged that the firm made fraudulent omissions regarding a tax shelter strategy which it provided to the clients. Grant Thornton, LLP v. Yung, 2016 Ky. App. Unpub. LEXIS 890 (Ky. Ct. App. Sept. 16, 2016).

Research References and Practice Aids

Cross-References.

Use of title “certified public accountant,” KRS 325.290 .

Kentucky Law Journal.

Comments, Couch v. United States: The Supreme Court Takes a Fresh Look at the Attorney-Client Privilege — Or Does It?, 62 Ky. L.J. 263 (1973-1974).

325.445. Accountant or attorney may act as agent of client for specified activities.

A certified public accountant licensed in the Commonwealth under the provisions of this chapter, or an attorney licensed to practice law in the Commonwealth of Kentucky, with express authorization of a client may act as an agent of that client to:

  1. Complete, sign, and file an application for a seller’s permit to do business as provided in KRS 139.240 ;
  2. Complete, sign, and file an application for a seller’s permit for any out-of-state retailer who is not required to file for the collection of use tax under KRS 139.340 but is seeking to do so on a voluntary basis as provided by KRS 139.700 ;
  3. Complete, sign, and file an application for a certificate of registration to sever or process coal in this state as required by KRS 143.030 ; and
  4. Complete, sign, and file an application for an employer’s withholding, corporation income, and corporation license tax registration numbers as may be required by KRS 131.130 .

History. Enact. Acts 2002, ch. 44, § 1, effective July 15, 2002; 2003, ch. 124, § 33, effective July 1, 2004.

325.990. Penalty — Prosecution by Attorney General.

Any person who violates any provision of KRS 325.380 , shall be guilty of a misdemeanor, and upon conviction thereof, shall be subject to a fine of not more than five hundred dollars ($500) or to imprisonment for not more than one (1) year, or both such fine and imprisonment. Whenever the board has reason to believe that any person is liable to punishment under this section it may certify the facts to the Attorney General of this state, who may, in his discretion, cause appropriate proceedings to be brought.

History. Enact. Acts 1946, ch. 210, § 16.

Compiler’s Notes.

Former KRS 325.990 (3941e-13) was repealed by Acts 1946, ch. 210, § 23.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 326 Ophthalmic Dispensers

326.010. Definitions for chapter — When prescriptions required.

As used in this chapter:

  1. “Board” means the “Kentucky Board of Ophthalmic Dispensers”;
  2. “Ophthalmic dispensing” means that a person prepares and dispenses lenses, spectacles, eyeglasses, or appurtenances thereto to the intended wearers on written prescriptions from licensed physicians, osteopaths, or optometrists, and in accordance with these prescriptions, interprets, measures, adapts, fits, and adjusts the lenses, spectacles, eyeglasses, or appurtenances thereto to the human face for the aid or correction of visual or ocular anomalies of the human eyes. The services and appliances relating to ophthalmic dispensing shall be dispensed, furnished, or supplied to the intended wearer or user only upon a written prescription issued by a physician, osteopath, or optometrist. Duplications, replacements, reproductions, or repetitions may be provided without prescriptions, but shall be construed to be ophthalmic dispensing the same as if performed on the basis of an original written prescription; and
  3. “Optical establishment” means any establishment where ophthalmic dispensing services for the general public are offered, advertised, or performed. “Optical establishment” shall not include any establishment that comes under the practice of medicine by a duly licensed physician, the practice of osteopathy by a duly licensed osteopath, or the practice of optometry by a duly licensed optometrist.

History. Enact. Acts 1954, ch. 27, § 1; 2007, ch. 105, § 1, effective June 26, 2007.

NOTES TO DECISIONS

1.Construction.

KRS 320.200 to 320.370 , providing for the regulation of the practice of optometry, and KRS 326.010 to 326.990 , providing for the regulation of the practice of ophthalmic dispensing, may be construed as dealing with the public health insofar as the human eye is concerned and, as such, are pari materia. Economy Optical Co. v. Kentucky Board of Optometric Examiners, 310 S.W.2d 783, 1958 Ky. LEXIS 408 ( Ky. 1958 ).

Opinions of Attorney General.

Under this section licensed ophthalmic dispensers may duplicate or reproduce, without prescription, visual aid glasses possessed by a customer. OAG 62-920 .

326.020. Kentucky Board of Ophthalmic Dispensers — Membership — Appointment — Qualifications — Terms — Powers.

  1. There is hereby created a board of ophthalmic dispensers to be known as the “Kentucky Board of Ophthalmic Dispensers.” It shall consist of five (5) members to be appointed by the Governor, one (1) member of which shall be a licensed medical physician or osteopath experienced in the treatment and examination of eyes and one (1) member of which shall be a licensed optometrist. Two (2) members shall be licensed ophthalmic dispensers. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. They shall not pass upon their own qualifications. The board shall elect one (1) of its members chairman and one (1) member secretary-treasurer. These officers shall serve at the pleasure of the board.
  2. Members shall serve for a period of four (4) years from the date of their appointment and qualification. At the expiration of the term of office of any member, the Governor shall appoint a successor for a term of four (4) years.
    1. The board may promulgate administrative regulations to carry out the purposes and provisions of this chapter, including the licensing of apprentice ophthalmic dispensers and the adoption of a program for continuing education for all licensees. (3) (a) The board may promulgate administrative regulations to carry out the purposes and provisions of this chapter, including the licensing of apprentice ophthalmic dispensers and the adoption of a program for continuing education for all licensees.
    2. No licensee shall be permitted to renew his or her license, unless the minimum annual continuing education requirements have been completed. No program for continuing education shall contain, as a prerequisite for license renewal, a requirement for more than a total of six (6) credit hours per year for ophthalmic dispenser licensees, or four (4) credit hours per year for apprentice ophthalmic dispenser licensees.
  3. Board members shall receive fifty dollars ($50) per day for attending board meetings. Board members shall also be reimbursed for reasonable and necessary expenses incurred in the performance of their duties.
  4. The board may:
    1. Revoke, suspend, or refuse to issue or renew licenses; impose probationary or supervisory conditions upon licensee; or issue written reprimands to licensees, in accordance with KRS 326.090 ;
    2. Impose administrative fines in accordance with KRS 326.100 ; or
    3. Take any other action or combination of actions regarding licenses, licensees, or apprenticeships authorized by this chapter.
  5. For the purpose of enforcing the provisions of this chapter, the board may administer oaths, receive evidence, interview persons, issue subpoenas, and require the production of books, papers, documents, or other evidence.
  6. The board may seek injunctive relief in Franklin Circuit Court to enjoin violation of KRS 326.030 .

History. Enact. Acts 1954, ch. 27, § 11; 1976, ch. 206, § 22; 1978, ch. 154, § 35, effective June 17, 1978; 1994, ch. 183, § 2, effective July 15, 1994; 2000, ch. 65, § 1, effective July 14, 2000.

Research References and Practice Aids

Cross-References.

Administrative regulations, adoption and effective dates, KRS 13A.330 .

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

326.030. Licenses required.

No person shall engage in the practice of ophthalmic dispensing unless he or she is duly licensed to practice medicine, osteopathy, or optometry in this Commonwealth or unless he or she is the holder of a license as an ophthalmic dispenser; provided, this section shall not be so construed as to prohibit a firm or corporation from operating a business which comes within the meaning of ophthalmic dispensing, if each of its employees either (1) coming in contact with the public and performing for the public any service or services included within the meaning of ophthalmic dispensing, or (2) otherwise performing any work or service required by this chapter to be performed by an ophthalmic dispenser, is the holder of a license as an ophthalmic dispenser.

History. Enact. Acts 1954, ch. 27, § 2; 2000, ch. 65, § 2, effective July 14, 2000.

326.035. Apprentice license and temporary apprentice permit.

  1. The board shall, upon payment of a fee not to exceed fifty dollars ($50), issue an apprentice license to any person in training for the vocation of ophthalmic dispenser, under the supervision of a licensed ophthalmic dispenser, and otherwise qualified pursuant to the administrative regulations promulgated by the board. The apprentice license shall be valid for not more than one (1) year and shall expire on December 31 of the year in which it was issued.
  2. Applications for renewal apprentice licenses shall be made with the board prior to expiration of the current license, in accordance with administrative regulations promulgated by the board. Renewal apprentice licenses may be issued by the board upon payment of a fee not to exceed fifty dollars ($50).
  3. As a prerequisite for apprentice license renewal, licensees shall provide adequate proof that they have obtained at least four (4) hours of continuing education credits, approved by the board, during the previous twelve (12) months.
  4. The chairman of the board may issue a temporary apprentice permit to any person duly qualified under subsection (1) of this section. The temporary apprentice license, unless approved by the board, shall expire upon adjournment of the next regular meeting of the board.
  5. A sponsor of an apprentice shall file with the board an outline of the training schedule he proposes to follow in training the apprentice, and an overview of the facilities located at his establishment. These facilities shall be sufficient to provide adequate training of an apprentice.
  6. An apprentice shall notify the board, within seven (7) days if his employment with his sponsor is terminated, or the supervisory relationship with his sponsor no longer exists.
  7. The board shall limit the number of apprentices to no more than two (2) apprentices per licensed ophthalmic dispenser in each establishment.

History. Enact. Acts 1994, ch. 183, § 1, effective July 15, 1994.

326.040. Issuance of license — Fee — Examinations.

A license as an ophthalmic dispenser shall be issued by the board to any person who pays a fee of fifty dollars ($50) and submits evidence under oath satisfactory to the board:

  1. That he or she is more than eighteen (18) years of age and of good moral character;
  2. That he or she possesses a high school diploma or a High School Equivalency Diploma;
  3. That he or she has at least two (2) years of satisfactory training and experience in ophthalmic dispensing under the supervision of an ophthalmic dispenser, physician, osteopath, or optometrist, or is a graduate of an accepted school of ophthalmic dispensing;
  4. That he or she has passed a satisfactory examination in ophthalmic dispensing approved by the board.

HISTORY: Enact. Acts 1954, ch. 27, § 3; 1970, ch. 120, § 16; 2000, ch. 65, § 3, effective July 14, 2000; 2017 ch. 63, § 33, effective June 29, 2017.

326.050. Issuance of license to persons in business prior to January 1, 1955 or in Armed Forces. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 27, § 4) was repealed by Acts 2000, ch. 65, § 7, effective July 14, 2000.

326.060. Dispenser not to examine or treat eyes — Fitting of contact lenses.

Nothing in this chapter shall be construed to authorize or permit any ophthalmic dispenser to hold himself out as being able to, or to either offer, undertake or attempt, by any means or method, to examine or exercise eyes, to fit contact lenses, or to diagnose, treat, correct, relieve, operate or prescribe for any human ailment, deficiency, deformity, disease, injury, pain or physical condition except that an ophthalmic dispenser holding a license as such issued hereunder may fit contact lenses under the supervision of a physician, osteopath or optometrist.

History. Enact. Acts 1954, ch. 27, § 5.

NOTES TO DECISIONS

1.Unlawful Practice.

Providing and fitting contact lenses without a license to practice optometry constitutes unlawful practice of optometry under KRS 320.210(2) unless it is authorized by this section. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

Where ophthalmic dispenser fitted contact lenses for which prescription was given by an optometrist but where dispenser was not under supervision of the prescribing optometrist or other osteopath or physician as required by this section, ophthalmic dispenser was engaged in unlawful practice of optometry. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

2.Supervision.

Prescription by optometrist beforehand and inspection afterwards, after fitting of contact lenses by ophthalmic dispenser, did not amount to supervision by physician, osteopath, or optometrist of the process of fitting contact lenses. Commonwealth ex rel. Kentucky Board of Optometric Examiners v. Economy Optical Co., 522 S.W.2d 444, 1975 Ky. LEXIS 133 ( Ky. 1975 ).

326.070. Exemptions from chapter.

  1. Nothing in the provisions of this chapter relating to ophthalmic dispensing shall be construed to limit or restrict, in any respect, the practice of medicine by duly licensed physicians, the practice of osteopathy by duly licensed osteopaths, or the practice of optometry by duly licensed optometrists. A licensed physician, osteopath, or optometrist shall have all the rights and privileges of ophthalmic dispensers licensed under this chapter.
  2. This chapter shall not be construed to prohibit an unlicensed person from performing mechanical work upon inert matter in an optical office, laboratory, or shop.
  3. Persons, firms, and corporations that sell completely assembled eyeglasses or spectacles without advice or aid as to their selection, as merchandise, from permanently located or established places of business shall not be subject to this chapter.
  4. Physicians, osteopaths, optometrists, and their employees while working under their regulation and supervision shall have the right to practice ophthalmic dispensing without qualifying under this chapter and shall not be subject to any of the provisions of this chapter.

History. Enact. Acts 1954, ch. 27, §§ 6 to 9; 2007, ch. 105, § 2, effective June 26, 2007.

326.080. Renewal of licenses.

  1. A license to practice ophthalmic dispensing shall be renewed each year by the payment of a fee not to exceed seventy-five dollars ($75), unless the license has been suspended or revoked by the board.
  2. Effective January 1, 1996, as a prerequisite for license renewal, licensees shall provide adequate proof that they have obtained at least six (6) hours of continuing education credits, approved by the board, during the previous twelve (12) months.

History. Enact. Acts 1954, ch. 27, § 10; 1994, ch. 183, § 3, effective July 15, 1994.

326.090. Causes for revocation or suspension of licenses — Fines — Reprimand.

  1. The board may refuse to issue a license, or may suspend, revoke, impose probationary conditions upon, impose an administrative fine upon, or issue a written reprimand against the holder of a license to practice ophthalmic dispensing or an apprentice license if the applicant or licensee has:
    1. Committed a dishonest or corrupt act, if in accordance with KRS Chapter 335B. If the act is a crime, conviction in a criminal proceeding shall not be a condition precedent to disciplinary action. Upon conviction of the crime, the judgment and sentence are presumptive evidence of guilt at the ensuing disciplinary hearing of the licensee. Conviction includes all instances in which a plea of no contest is the basis of the conviction;
    2. Committed any unfair, false, misleading, or deceptive act or practice;
    3. Been incompetent or negligent in the practice of ophthalmic dispensing;
    4. Failed to comply with a lawful order of the board;
    5. Aided or abetted another person in falsely procuring or attempting to procure a license;
    6. Aided or abetted an unlicensed person in activities which violate KRS 326.030 and which are not otherwise exempted from the provisions of this chapter;
    7. Exhibited chronic or persistent inebriety or addiction to a drug habit, to an extent that disqualifies the applicant or the licensee from practicing with safety to the public;
    8. Committed fraud or deception in the application or in the examination for the license; or
    9. Violated any provisions of this chapter or administrative regulations promulgated in accordance with this chapter.
  2. The board may impose a fine against any person who:
    1. Operates an optical establishment without the supervision of a Kentucky-licensed ophthalmic dispenser;
    2. Allows, aids, or abets an unlicensed person to perform activities that violate KRS 326.030 and are not otherwise exempted from the provisions of this chapter; or
    3. Allows a Kentucky licensed ophthalmic dispenser to supervise more than one (1) optical establishment at the same time.
  3. After investigating an alleged violation and offering the licensee the opportunity to respond to the allegation, the board may issue a written reprimand to the licensee if the board determines that a violation that is not of a serious nature has occurred. A copy of the reprimand shall be placed in the permanent file of the licensee. The licensee may file a written response to the reprimand within thirty (30) days of receiving the reprimand or may request a hearing with the board. If the licensee responds to the reprimand, his or her response shall be placed in the licensee’s permanent file. If the licensee requests a hearing, the board shall set aside the written reprimand, pending the outcome of a hearing by the board under the provisions of KRS Chapter 13B.

HISTORY: Enact. Acts 1954, ch. 27, § 12; 2000, ch. 65, § 4, effective July 14, 2000; 2007, ch. 105, § 3, effective June 26, 2007; 2017 ch. 158, § 76, effective June 29, 2017.

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

326.100. Hearings — Appeals.

  1. The board, before suspending, revoking, imposing probationary, or supervisory conditions upon, imposing an administrative fine, issuing a written reprimand, or taking any combination of these actions regarding any person under this chapter, shall conduct a hearing under the provisions of KRS Chapter 13B, upon the request of that person.
  2. After denying an application under the provisions of this chapter, the board shall grant a hearing to the denied applicant under the provisions of KRS Chapter 13B.
  3. Any applicant aggrieved by a disciplinary action of the board may appeal the final order of the board to the Circuit Court in the county in which the licensee is practicing in accordance with KRS Chapter 13B.

History. Enact. Acts 1954, ch. 27, § 13; 1974, ch. 315, § 66; 1980, ch. 114, § 86, effective July 15, 1980; 1996, ch. 318, § 298, effective July 15, 1996; 2000, ch. 65, § 5, effective July 14, 2000; 2007, ch. 105, § 4, effective June 26, 2007.

326.110. Appeal from order suspending or revoking license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 27, § 14; 1978, ch. 384, § 484, effective June 17, 1978) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

326.120. Deposit of fees in agency fund.

All fees imposed and collected under the provisions of this chapter shall be paid to the secretary-treasurer of the board for the use of the board, and shall be deposited in the State Treasury to the credit of an agency fund for the use of the board.

History. Enact. Acts 1954, ch. 27, § 15.

326.990. Penalties.

Any person who shall directly or indirectly engage in the practice of ophthalmic dispensing or hold himself or herself out to the public as being able so to do, or who shall violate any of the provisions of this chapter relating to ophthalmic dispensing, or having had his or her license suspended or revoked shall continue to engage in the practice of ophthalmic dispensing, or who directly or indirectly employs, permits or authorizes an unlicensed person to engage in the practice of ophthalmic dispensing shall be guilty of a misdemeanor, and, upon conviction, shall be punished by imprisonment for not more than thirty (30) days, or by a fine of not less than one hundred dollars ($100) nor more than five hundred dollars ($500) or by both such fine and imprisonment, and each such violation shall be deemed a separate offense.

History. Enact. Acts 1954, ch. 27, § 16; 2000, ch. 65, § 6, effective July 14, 2000.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 327 Physical Therapists

327.010. Definitions.

As used in this chapter, unless the context otherwise requires:

  1. “Physical therapy” means the use of selected knowledge and skills in planning, organizing, and directing programs for the care of individuals whose ability to function is impaired or threatened by disease or injury, encompassing preventive measures, screening, tests in aid of diagnosis by a licensed doctor of medicine, osteopathy, dentistry, chiropractic, or podiatry and evaluation and invasive or noninvasive procedures with emphasis on the skeletal system, neuromuscular and cardiopulmonary function, as it relates to physical therapy. Physical therapy includes screening or evaluations performed to determine the degree of impairment of relevant aspects, such as but not limited to nerve and muscle function including subcutaneous bioelectrical potentials, motor development, functional capacity, and respiratory or circulatory efficiency. Physical therapy also includes physical therapy treatment performed upon referral by a licensed doctor of medicine, osteopathy, dentistry, chiropractic, or podiatry, including but not limited to exercises for increasing or restoring strength, endurance, coordination and range of motion, stimuli to facilitate motor activity and learning, instruction in activities of daily living, and the use of assistive devices and the application of physical agents to relieve pain or alter physiological status. The use of roentgen rays and radium for diagnostic or therapeutic purposes, the use of electricity for surgical purposes, including cauterization and colonic irrigations are not authorized under the term “physical therapy” as used in this chapter;
  2. “Physical therapist” means a professional person who has met the educational requirements of this chapter and who is licensed to practice physical therapy pursuant to this chapter;
  3. “Board” means the Board of Physical Therapy established by KRS 327.030 ;
  4. “Referral” means the procedure by which a licensed doctor of medicine, osteopathy, dentistry, chiropractic, or podiatry designates the initiation of physical therapy treatment by a licensed physical therapist; and
  5. “Temporary permit” means a permit granted to an individual who has met all requirements in Kentucky for license application by examination and has made application for examination but who has not yet successfully completed the board approved examination in this or another state.

History. Enact. Acts 1958, ch. 27, § 1; 1970, ch. 115, § 1; 1980, ch. 53, § 1, effective July 15, 1980; 1984, ch. 377, § 1, effective July 13, 1984; 2008, ch. 54, § 1, effective July 15, 2008.

Opinions of Attorney General.

Since the words “licensed doctor or dentist” would not exclude a doctor or dentist licensed only in another jurisdiction, a physical therapist may treat a patient from a doctor licensed only in another jurisdiction. OAG 80-14 .

327.020. License required — Exceptions — Use of designation or name.

  1. No person shall practice or hold himself or herself out as being able to practice physical therapy unless the person:
      1. Meets the educational requirements of this chapter; (a) 1. Meets the educational requirements of this chapter;
      2. Is licensed in accordance with the provisions of this chapter;
      3. Is in good standing with the board; and
      4. Holds a license that is not suspended or revoked; or
    1. Is eligible to practice or work through a compact privilege granted under KRS 327.300 .
  2. Nothing contained in this chapter shall prohibit any person licensed in this state under any other law from engaging in the practice for which that person is duly licensed. Nothing contained in this chapter shall prohibit routine and restorative services performed by personnel employed by hospitals, physicians, or licensed health care facilities as relates to physical therapists. This chapter does not preclude certified occupational therapists, respiratory technicians, or respiratory therapists from practicing as defined in the United States Department of Health, Education and Welfare, Public Health Service, Health Resources Administration, Bureau of Health Manpower, DHEW publication No. (HRA) 80-28, “A Report On Allied Health Personnel.” Persons regularly employed by the United States shall be exempted from the provisions of this chapter while engaged in this employment.
  3. A licensed physical therapist may hold himself or herself out as a “physical therapist” or “licensed physical therapist” and may use the abbreviations “P.T.” or “L.P.T.” as a part of or immediately following the physical therapist’s name, in connection with his or her profession.
  4. It shall be unlawful for any person, or for any business entity, its employees, agents, or representatives to use in connection with the person’s or entity’s name or business activity the words “physical therapy,” “physical therapist,” “physiotherapy,” “physiotherapist,” “registered physical therapist,” the letters “P.T.,” “L.P.T.,” or any other words, letters, abbreviations, or insignia indicating or implying directly or indirectly that physical therapy is provided or supplied or to bill for physical therapy unless that physical therapy is provided by or under the supervision of a physical therapist licensed and practicing in accordance with this chapter.
  5. The provisions of subsections (1), (2), and (4) of this section shall not apply to volunteer health practitioners providing services under KRS 39A.350 to 39A.366 .

History. Enact. Acts 1958, ch. 27, § 2; 1970, ch. 115, § 2; 1974, ch. 74, Art. VI, § 107(10); 1980, ch. 53, § 2, effective July 15, 1980; 1984, ch. 377, § 2, effective July 13, 1984; 2007, ch. 96, § 17, effective June 26, 2007; 2017 ch. 93, § 4, effective June 29, 2017.

NOTES TO DECISIONS

1.Billing.

Because a doctor was licensed to provide all the services that physical therapists were licensed to provide, the proviso in KRS 327.020(1) permitted the doctor not only to provide physical therapy services, but also to refer to and bill for those services by using American Medical Association billing codes. Dubin Orthopaedic Ctr., P.S.C. v. Commonwealth, 294 S.W.3d 421, 2009 Ky. LEXIS 55 ( Ky. 2009 ).

Opinions of Attorney General.

A foreign therapist could, while lawfully in this country, be employed in Kentucky as a therapist without being licensed or registered here if he did not violate this section which forbids an unlicensed person from holding himself out as a physical therapist. OAG 62-1043 .

327.025. Obligation to report concerning practitioner’s qualifications to practice.

Any physical therapist, physical therapist’s assistant, or employer of physical therapy practitioners having knowledge of facts by actual or direct knowledge shall report to the board of physical therapy a physical therapist or physical therapist’s assistant who:

  1. Has been convicted of a felony that involved acts that bear directly on the qualifications or ability of the applicant, licensee, or certificate holder to practice physical therapy;
  2. Is suspected of fraud or deceit in procuring or attempting to procure a license to practice physical therapy or of negligently performing actions that justify action against a physical therapist or physical therapist’s assistant’s license as identified in KRS 327.070(2);
  3. Has had a license to practice as a physical therapist or a certificate as a physical therapist’s assistant denied, limited, suspended, probated, or revoked in another jurisdiction on grounds sufficient to cause a license or certificate to be denied, limited, suspended, probated, or revoked in this Commonwealth; or
  4. Is practicing physical therapy without a current active license, certificate, or valid temporary permit issued by the board.

History. Enact. Acts 2000, ch. 313, § 2, effective July 14, 2000.

327.030. State Board of Physical Therapy — Membership — Qualifications — Vacancies.

There is hereby established a Board of Physical Therapy which shall consist of seven (7) members who shall be appointed by the Governor.

  1. One (1) board member shall be a resident of Kentucky who is not affiliated with or does not have more than five percent (5%) financial interest in any health care profession or business.
  2. All other board members shall:
    1. Be residents of Kentucky;
    2. Have engaged in the practice of physical therapy in Kentucky for the past five (5) years; and
    3. Not have been disciplined by the board, or have been under any disciplinary action, in the past two (2) years.
  3. All vacancies shall be filled by the Governor from a list of three (3) persons per position submitted by the Kentucky Physical Therapy Association or as provided by KRS 12.070 .
  4. For appointments to the board after December 31, 2008, the first two (2) appointments shall be for a term of two (2) years. The third appointment shall be for a term of three (3) years. All other subsequent appointments shall be for a term of four (4) years. All members shall serve until their successors are appointed and qualify. No member shall serve for more than two (2) consecutive terms.
  5. The Governor may remove any member of the board for misconduct, incompetence, or neglect of duty.
  6. The board may request the removal of a board member by the Governor.
  7. The board shall annually elect a chair and chair-elect.
  8. The board shall provide orientation to all new board members regarding the duties of the board.
  9. There shall be no liability on the part of, and no action for damages against, any current or former board member, representative, agent, or employee of the board, when the person is functioning within the scope of board duties, acting without malice and with the reasonable belief that the actions taken by him or her are warranted by law.
  10. Each board member shall receive, in addition to travel, lodging, and other actual and necessary expenses, a per diem not to exceed one hundred twenty dollars ($120) for each day the member is actually engaged in the discharge of official duties approved by the board. The board shall, by promulgation of administrative regulations, set the amount of the per diem.

History. Enact. Acts 1958, ch. 27, § 3; 1970, ch. 115, § 3; 1976, ch. 206, § 23; 1980, ch. 53, § 3, effective July 15, 1980; 2000, ch. 313, § 3, effective July 14, 2000; 2008, ch. 54, § 2, effective July 15, 2008.

NOTES TO DECISIONS

Cited:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

327.040. Duties and powers of the board.

  1. It shall be the duty of the State Board of Physical Therapy to receive applications from persons desiring to become physical therapists and to determine whether said applicants meet the qualifications and standards required by this chapter of all physical therapists. The board shall also be charged with enforcement of the provisions of this chapter.
  2. The board is an agency of state government with the power to institute criminal proceedings in the name of the Commonwealth against violators of this chapter, and to institute civil proceedings to enjoin any violation of this chapter. The board shall investigate every alleged violation of this chapter coming to its notice and shall take action as it may deem appropriate. It shall be the duty of the Attorney General, the Commonwealth’s attorneys, and the county attorneys to assist the board in prosecuting all violations of this chapter.
  3. The board shall meet at least once each quarter at such place in this state as may be selected by the board. Four (4) members of the board shall constitute a quorum for the transaction of business. All meetings shall be held at the call of the chairman or at a call of a quorum of members upon not less than ten (10) days’ written notice, unless notice shall be waived. The presence of any member at any meeting of the board shall constitute a waiver of notice thereof by the member.
  4. The board may conduct investigations and schedule and conduct administrative hearings in accordance with KRS Chapter 13B, to enforce the provisions of this chapter or administrative regulations promulgated pursuant to this chapter. The board shall have the authority to administer oaths, receive evidence, interview persons, issue subpoenas, and require the production of books, papers, documents, or other evidence. In case of disobedience to a subpoena, the board may invoke the aid of the Franklin Circuit Court. Any order or subpoena of the court requiring the attendance or testimony of witnesses or the production of documentary evidence may be enforced and shall be valid anywhere in the Commonwealth.
  5. The board shall keep a minute book containing a record of all meetings of the board.
  6. The board shall maintain a register of all persons licensed or certified under this chapter. This register shall show the name of every licensee or certificate holder in this state, his current business and residence address and telephone numbers, and the date and number of his license or certificate. A licensee or certificate holder shall notify the board of a change of name, address, or telephone number, within thirty (30) days of the change.
  7. The board’s records shall be updated annually.
  8. The board shall publish annually and make available, a current directory of all licensed physical therapists and certified physical therapists’ assistants.
  9. The board shall adopt a seal which shall be affixed to every license and certificate granted by it.
  10. The board may promulgate administrative regulations establishing a measure of continued competency as a condition of license renewal.
  11. The board may promulgate and enforce reasonable administrative regulations for the effectuation of the purposes of this chapter pursuant to the provisions of KRS Chapter 13A.
  12. The board shall promulgate by administrative regulation a code of ethical standards and standards of practice.
  13. The board shall have the right to regulate physical therapists’ assistants and may promulgate reasonable administrative regulations regarding certification, limitations of activities, supervision, and educational qualifications for physical therapists’ assistants. The board may establish reasonable fees for the certification, renewal, and endorsement of physical therapists’ assistants. The fees shall not exceed corresponding fees for physical therapists.
  14. The board shall promulgate administrative regulations governing the physical and mental examination of physical therapists, physical therapists’ assistants, or applicants, who may be impaired by reason of a mental, physical, or other condition that impedes their ability to practice competently. For purposes of enforcing this section, the board shall have the power to order an immediate temporary suspension in accordance with KRS 13B.125 if there is a reasonable cause to believe that a physical therapist, physical therapist’s assistant, or applicant may be impaired by reason of a mental, physical, or other condition that impedes his or her ability to practice competently.

History. Enact. Acts 1958, ch. 27, § 4; 1970, ch. 115, § 4; 1980, ch. 53, § 4, effective July 15, 1980; 1984, ch. 377, § 3, effective July 13, 1984; 1996, ch. 318, § 299, effective July 15, 1996; 2000, ch. 313, § 4, effective July 14, 2000; 2004, ch. 126, § 15, effective July 13, 2004.

Opinions of Attorney General.

The Board has authority to have the register of licensed physical therapists published and distributed to medical facilities in the commonwealth if the funds of the Board are sufficient to have this done. OAG 62-1043 .

327.045. Impaired physical therapy practitioners committee — Purposes — Assessments to support functions — Immunity of members — Privileged information — Annual report.

  1. The board shall establish an impaired physical therapy practitioners committee to promote the early identification, intervention, treatment, and rehabilitation of physical therapists and physical therapists’ assistants who may be impaired by reason of illness or of alcohol or drug abuse, or as a result of any physical or mental condition.
  2. The board may enter into a contractual agreement with a nonprofit corporation, physical therapy professional organization, or similar organization for the purpose of creating, supporting, and maintaining an impaired physical therapy practitioners committee.
  3. The board may promulgate administrative regulations in accordance with KRS Chapter 13A to effectuate and implement a committee formed by the provisions of this section.
  4. Beginning January 1, 2001, the board shall collect an assessment fee not to exceed twenty dollars ($20) per licensee or certificate holder, payable to the board, to be added to each licensure and certification renewal application fee. Proceeds from the assessment shall be expended on the operation of an impaired physical therapy practitioners committee formed by the provisions of this section. The fee shall be set by the promulgation of administrative regulations.
  5. Members of an impaired physical therapy practitioners committee, any administrator, staff member, consultant, agent, volunteer, or employee of the committee acting within the scope of their duties and without actual malice, and all other persons who furnish information to the committee in good faith and without actual malice shall not be liable for any claim or damages as a result of any statement, decision, opinion, investigation, or action taken by the committee or by an individual member of the committee.
  6. All information, interviews, reports, statements, memoranda, or other documents furnished to or produced by the impaired physical therapy practitioners committee, all communication to or from the committee, and all proceedings, findings, and conclusions of the committee, including those relating to intervention, treatment, or rehabilitation, which in any way pertain or refer to a physical therapist or physical therapist’s assistant who is or may be impaired, shall be privileged and confidential.
  7. All records and proceedings of the committee that pertain or refer to a licensee or a certificate holder who may be, or actually is, impaired shall be privileged and confidential and shall be used by the committee and its members only in the exercise of the proper function of the committee and shall not be considered public records and shall not be subject to court subpoena and subject to discovery or introduction as evidence in any civil, criminal, or administrative proceedings except as described in subsection (8) of this section.
  8. The committee may disclose information relative to an impaired physical therapist or physical therapist’s assistant only when:
    1. It is essential to disclose the information to persons or organizations needing the information in order to address the intervention, treatment, or rehabilitation needs of the impaired practitioner;
    2. Its release is authorized in writing by the impaired physical therapist or physical therapist’s assistant; or
    3. The information is subject to court order.
  9. The impaired physical therapy practitioners committee shall make an annual report to the board.

History. Enact. Acts 2000, ch. 313, § 1, effective July 14, 2000.

327.050. Licensing provisions.

  1. Before applying for licensure by the board as a physical therapist, a person shall have successfully completed an accredited program in physical therapy approved by the board. No school shall be approved by the board unless it has been approved for the educational preparation of physical therapists by the recognized national accrediting agency for physical therapy educational programs.
  2. Any person who possesses the qualifications required by this chapter and who desires to apply for licensure as a physical therapist in Kentucky shall make written application to the board, on forms to be provided by the board. The application shall be accompanied by a nonrefundable application fee in an amount to be determined by the board, but not to exceed two hundred fifty dollars ($250).
  3. If it appears from the application that the applicant possesses the qualifications required by this chapter and has not yet successfully completed the board-approved examination, the applicant shall be allowed to sit for the examination and tested in the subjects the board may determine to be necessary.
  4. Examinations shall be held within the state at least once a year at the time and place as the board shall determine.
  5. An applicant who is admitted to the examination or an applicant who has submitted satisfactory evidence that he has been accepted as a candidate for licensure by examination in a state which offers an examination approved by the board may be granted a temporary permit which shall be valid until his examination is graded and he is notified by the board of his score. The board may summarily withdraw a temporary permit upon determination that the person has made any false statement to the board on the application, or the person fails to pass an examination approved by the board.
  6. An applicant who receives a passing score as determined by the board and who meets the other qualifications required by this chapter shall be licensed as a physical therapist.
  7. An applicant who fails to receive a passing score on his examination shall not be licensed, but the board may, by administrative regulation, permit applicants to take the examination more than once.
  8. All licenses and certificates shall be renewed biennially, upon payment on or before March 31 of each uneven-numbered year of a renewal fee in an amount to be promulgated by the board by administrative regulations.
  9. Licenses and certificates which are not renewed by March 31 of each uneven-numbered year shall lapse.
  10. This chapter shall not be construed to affect or prevent:
    1. A student of physical therapy from engaging in clinical practice under the supervision of a licensed physical therapist, as part of the student’s educational program;
    2. A physical therapist who is licensed to practice in another state or country from conducting or participating in a clinical residency under the supervision of a physical therapist licensed in Kentucky and for a period of not more than ninety (90) days;
    3. A physical therapist who is licensed to practice in another state or country from conducting or participating in the teaching of physical therapy in connection with an educational program and for a period of not more than ninety (90) days;
    4. A physical therapist licensed in another state or country from performing therapy on members of the out-of-state sports or entertainment group they accompany to Kentucky; or
    5. The practice of chiropractic as defined in KRS 312.015(3).

HISTORY: Enact. Acts 1958, ch. 27, § 5; 1970, ch. 115, § 5; 1978, ch. 313, § 6, effective June 17, 1978; 1980, ch. 53, § 5, effective July 15, 1980; 1982, ch. 72, § 1, effective July 15, 1982; 1984, ch. 377, § 4, effective July 13, 1984; 1990, ch. 443, §§ 12, 25, effective July 13, 1990; 1994, ch. 160, § 1, effective July 15, 1994; 2000, ch. 313, § 5, effective July 14, 2000; 2001, ch. 61, § 13, effective June 21, 2001; 2015 ch. 113, § 21, effective June 24, 2015.

Opinions of Attorney General.

KRS 327.060 regarding reciprocity provides that Kentucky, through the Board of Physical Therapy, may agree with another state, but not a foreign country, if the standards of the other state are at least equal to those of Kentucky, that each state will issue a license to practice physical therapy to a licensee of the other state without the licensee having to take the kind of written examination required by this section. OAG 75-290 (reaffirms OAG 60-368 and OAG 60-982 ).

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

327.060. Licensing requirements for persons holding a license in another state and persons trained in a foreign country.

  1. The board shall issue a license to:
    1. An individual who holds a valid license from another state, who meets requirements specified in KRS 327.050 and who has no imposed or pending disciplinary actions.
    2. An individual who has been educated as a physical therapist outside the United States and who has:
      1. Completed the application process;
      2. Provided satisfactory evidence to the board that his or her education is substantially equivalent to the requirements for physical therapists educated in United States accredited educational programs;
      3. Provided written proof that the school of physical therapy education outside the United States is recognized by its own ministry of education;
      4. Successfully completed the examinations provided for in KRS 327.050 ;
      5. Passed the board-approved English language proficiency examinations if English is not his or her native language;
      6. Successfully completed, prior to licensure, a board-approved, supervised practice period of not less than three (3) months nor more than six (6) months, under the direct supervision of a physical therapist who holds an unrestricted Kentucky license. This requirement may be satisfied by at least three (3) months of supervised practice as a physical therapist in a state with license requirements comparable to or more stringent than those of Kentucky;
      7. Provided proof of legal authorization to reside and seek employment in the United States or its territories;
      8. Provided proof of authorization to practice as a physical therapist without limitations in the country where the professional education occurred;
      9. Submitted to a prescreening process by an agency approved by the board; and
      10. Submitted educational credentials to the board for evaluation by an agency approved by the board.
  2. The board may approve an agency to prescreen applicants for initial licensure under this section.
  3. The board may approve one (1) or more services to provide an evaluation of the applicant’s educational credentials for board approval for licensing under this section.
  4. The board may waive the requirements of subsection (1)(b) 3., 9., and 10. of this section if the applicant is a graduate of a professional physical therapy education program preapproved by the board.

HISTORY: Enact. Acts 1958, ch. 27, § 6; 1970, ch. 115, § 6; 1980, ch. 53, § 6, effective July 15, 1980; 1982, ch. 72, § 2, effective July 15, 1982; 1984, ch. 377, § 5, effective July 13, 1984; 2000, ch. 313, § 6, effective July 14, 2000; 2015 ch. 113, § 22, effective June 24, 2015.

327.065. Licensure reciprocity.

Notwithstanding any statutory provision to the contrary, any physical therapist or physical therapist assistant holding a valid, unencumbered license or certificate to practice or work in another state may practice or work in the Commonwealth of Kentucky under a compact privilege if the person otherwise meets the requirements of KRS 327.300 .

HISTORY: 2017 ch. 93, § 2, effective June 29, 2017.

327.070. Disciplinary actions.

  1. The board, after due notice and an opportunity for an administrative hearing conducted in accordance with KRS Chapter 13B may take any one (1) or a combination of the following actions against any licensee, certificate holder, or applicant:
    1. Refuse to license or certify any applicant;
    2. Refuse to renew the license or certificate of any person;
    3. Suspend or revoke or place on probation the license or certificate of any person;
    4. Impose restrictions on the scope of practice of any person;
    5. Issue an administrative reprimand to any person;
    6. Issue a private admonishment to any person; and
    7. Impose fines for violations of this chapter not to exceed two thousand five hundred dollars ($2,500).
  2. The following acts by a licensee, certificate holder, or applicant may be considered cause for disciplinary action:
    1. Indulgence in excessive use of alcoholic beverages or abusive use of controlled substances;
    2. Engaging in, permitting, or attempting to engage in or permit the performance of substandard patient care by himself or by persons working under his supervision due to a deliberate or negligent act or failure to act, regardless of whether actual injury to the patient is established;
    3. Having engaged in or attempted to engage in a course of lewd or immoral conduct with any person:
      1. While that person is a patient of a health care facility defined by KRS 216B.015 where the physical therapist or physical therapist’s assistant provides physical therapy services; or
      2. While that person is a patient or client of the physical therapist or physical therapist’s assistant;
    4. Having sexual contact, as defined by KRS 510.010(7), without the consent of both parties, with an employee or coworker of the licensee or certificate holder;
    5. Sexually harassing an employee or coworker of the licensee or certificate holder;
    6. Conviction of a felony or misdemeanor in the courts of this state or any other state, territory, or country which affects his ability to continue to practice competently and safely on the public, if in accordance with KRS Chapter 335B. “Conviction,” as used in this paragraph, shall include a finding or verdict of guilt, an admission of guilt, or a plea of nolo contendere;
    7. Obtaining or attempting to obtain a license or certificate by fraud or material misrepresentation or making any other false statement to the board;
    8. Engaging in fraud or material deception in the delivery of professional services, including reimbursement, or advertising services in a false or misleading manner;
    9. Evidence of gross negligence or gross incompetence in his practice of physical therapy;
    10. Documentation of being declared mentally disabled by a court of competent jurisdiction and not thereafter having had his rights restored;
    11. Failing or refusing to obey any lawful order or administrative regulation of the board;
    12. Promoting for personal gain an unnecessary device, treatment, procedure, or service, or directing or requiring a patient to purchase a device, treatment, procedure, or service from a facility or business in which he has a financial interest;
    13. Being impaired by reason of a mental, physical, or other condition that impedes his or her ability to practice competently;
    14. Violation of KRS 304.39-215 ; and
    15. Conduct that is subject to the penalties KRS 304.99-060 (4) or (5).
  3. A private admonishment shall not be subject to disclosure to the public under KRS 61.878(1)(l). A private admonishment shall not constitute disciplinary action but may be used by the board for statistical purposes or in subsequent disciplinary action against the same licensee, certificate holder, or applicant.

History. Enact. Acts 1958, ch. 27, § 7; 1970, ch. 115, § 7; 1980, ch. 53, § 7, effective July 15, 1980; 1982, ch. 141, § 88, effective July 1, 1982; 1984, ch. 377, § 6, effective July 13, 1984; 1996, ch. 318, § 300, effective July 15, 1996; 2000, ch. 313, § 7, effective July 14, 2000; 2005, ch. 45, § 9, effective June 20, 2005; 2005, ch. 93, § 6, effective March 16, 2005; 2017 ch. 158, § 77, effective June 29, 2017; 2019 ch. 143, § 19, effective June 27, 2019.

Compiler’s Notes.

This section was amended by § 94 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

Legislative Research Commission Notes.

(3/16/2005). Although KRS 313.130 was included in 2005 Ky. Acts ch. 45, sec. 9, and ch. 93, sec. 6, as having been amended, the amendment relettering paragraphs of this section in those acts became unnecessary when the Office of the Kentucky Attorney General requested that other changes be made to the rearrangement of the paragraphs of KRS 61.878 , which was also amended in 2005 Ky. Acts chs. 45 and 93. The Statute Reviser made these changes under the authority of KRS 7.136 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

327.075. Reinstatement of license or certificate — Appeal.

  1. The board may reinstate within three (3) years a license or certificate which has lapsed, upon payment of the prescribed renewal fee and, in addition, the payment of a reinstatement fee to be promulgated by the board by administrative regulations.
  2. The board may reinstate a license or certificate which has been lapsed for more than three (3) years, upon showing that the applicant is able to practice with reasonable competency. In determining competency, the board may require the applicant to successfully complete all or any part of the required examination.
  3. The board may reinstate a license which has been suspended or revoked under provisions of this chapter if, after a hearing conducted in accordance with KRS Chapter 13B, the board determines the applicant is able to practice the profession with reasonable competency and is able to maintain the ethical code and standards of practice promulgated by administrative regulation. As a condition of reinstatement, the board may impose reasonable restrictions under which the licensee or certificate holder shall practice.
  4. Any person aggrieved by a final order of the board denying, suspending, or revoking his license or certificate may appeal to the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 1980, ch. 53, § 8, effective July 15, 1980; 1996, ch. 318, § 301, effective July 15, 1996; 2000, ch. 313, § 8, effective July 14, 2000.

327.080. Expenses of board.

  1. All fees received by the board and collected under this chapter or the administrative regulations adopted in accordance with this chapter shall be deposited with the State Treasurer and credited to the revolving fund of the board, a trust and agency fund, to be used by the board in defraying the costs and expenses of the board in the administration of the provisions of this chapter. No part of this fund shall revert to the general fund of the Commonwealth.
  2. The board may employ an executive director and other personnel and may purchase such materials and supplies as it may deem necessary for the proper discharge of its duties.

History. Enact. Acts 1958, ch. 27, § 8; 1970, ch. 115, § 8; 1980, ch. 53, § 9, effective July 15, 1980; 1982, ch. 72, § 3, effective July 15, 1982; 2000, ch. 313, § 9, effective July 14, 2000.

327.090. Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 27, § 10) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

327.100. Short title.

This chapter may be cited as the “Physical Therapy Practice Act.”

History. Enact. Acts 1958, ch. 27, § 11.

327.200. Duty of treating physical therapist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating physical therapist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of physical therapy and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 19, effective July 14, 2000.

Physical Therapy Licensure Compact

327.300. Physical Therapy Licensure Compact.

HISTORY: 2017 ch. 93, § 1, effective June 29, 2017.

SECTION 1. PURPOSE SECTION 1. PURPOSE

The purpose of this Compact is to facilitate interstate practice of physical therapy with the goal of improving public access to physical therapy services. The practice of physical therapy occurs in the state where the patient or client is located at the time of the patient or client encounter. The Compact preserves the regulatory authority of states to protect public health and safety through the current system of state licensure. This Compact is designed to achieve the following objectives:

  1. Increase public access to physical therapy services by providing for the mutual recognition of other member state licenses;
  2. Enhance the states’ ability to protect the public’s health and safety;
  3. Encourage the cooperation of member states in regulating multistate physical therapy practice;
  4. Support spouses of relocating military members;
  5. Enhance the exchange of licensure, investigative, and disciplinary information between member states; and
  6. Allow a remote state to hold a provider of services with a compact privilege in that state accountable to that state’s practice standards.
SECTION 2. DEFINITIONS SECTION 2. DEFINITIONS

As used in this Compact, and except as otherwise provided, the following definitions shall apply:

  1. “Active duty military” means full-time duty status in the active uniformed service of the United States, including members of the National Guard and Reserve on active duty orders pursuant to 10 U.S.C. secs. 1209 and 1211;
  2. “Adverse action” means disciplinary action taken by a physical therapy licensing board based upon misconduct, unacceptable performance, or a combination of both;
  3. “Alternative program” means a nondisciplinary monitoring or practice remediation process approved by a physical therapy licensing board. This includes but is not limited to substance abuse issues;
  4. “Compact privilege” means the authorization granted by a remote state to allow a licensee from another member state to practice as a physical therapist or work as a physical therapist assistant in the remote state under its laws and rules. The practice of physical therapy occurs in the member state where the patient or client is located at the time of the patient or client encounter;
  5. “Continuing competence” means a requirement, as a condition of license renewal, to provide evidence of participation in, completion of, or both participation in and completion of educational and professional activities relevant to practice or area of work;
  6. “Data system” means a repository of information about licensees, including examination, licensure, investigative, compact privilege, and adverse action;
  7. “Encumbered license” means a license that a physical therapy licensing board has limited in any way;
  8. “Executive board” means a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the commission;
  9. “Home state” means the member state that is the licensee’s primary state of residence;
  10. “Investigative information” means information, records, and documents received or generated by a physical therapy licensing board pursuant to an investigation;
  11. “Jurisprudence requirement” means the assessment of an individual’s knowledge of the laws and rules governing the practice of physical therapy in a state;
  12. “Licensee” means an individual who currently holds an authorization from the state to practice as a physical therapist or to work as a physical therapist assistant;
  13. “Member state” means a state that has enacted the Compact;
  14. “Party state” means any member state in which a licensee holds a current license or compact privilege or is applying for a license or compact privilege;
  15. “Physical therapist” means an individual who is licensed by a state to practice physical therapy;
  16. “Physical therapist assistant” means an individual who is licensed or certified by a state and who assists the physical therapist in selected components of physical therapy;
  17. “Physical therapy,” “physical therapy practice,” and “the practice of physical therapy” mean the care and services provided by or under the direction and supervision of a licensed physical therapist;
  18. “Physical Therapy Compact Commission” or “commission” means the national administrative body whose membership consists of all states that have enacted the Compact;
  19. “Physical therapy licensing board” or “licensing board” means the agency of a state that is responsible for the licensing and regulation of physical therapists and physical therapist assistants;
  20. “Remote state” means a member state other than the home state where a licensee is exercising or seeking to exercise the compact privilege;
  21. “Rule” means a regulation, principle, or directive promulgated by the commission that has the force of law; and
  22. “State” means any state, commonwealth, district, or territory of the United States of America that regulates the practice of physical therapy.
SECTION 3. STATE PARTICIPATION IN THE COMPACT SECTION 3. STATE PARTICIPATION IN THE COMPACT
  1. To participate in the Compact, a state shall:
    1. Participate fully in the commission’s data system, including using the commission’s unique identifier as defined in rules;
    2. Have a mechanism in place for receiving and investigating complaints about licensees;
    3. Notify the commission, in compliance with the terms of the Compact and rules, of any adverse action or the availability of investigative information regarding a licensee;
    4. Fully implement a criminal background check requirement, within a time frame established by rule, by receiving the results of the Federal Bureau of Investigation record search on criminal background checks and use the results in making licensure decisions in accordance with Section 3.B. of this Compact;
    5. Comply with the rules of the commission;
    6. Utilize a recognized national examination as a requirement for licensure pursuant to the rules of the commission; and
    7. Have continuing competence requirements as a condition for license renewal.
  2. Upon adoption of this statute, the member state may obtain biometric-based information from each physical therapy licensure applicant and submit this information to the Federal Bureau of Investigation for a criminal background check in accordance with 28 U.S.C. sec. 534 and 42 U.S.C. sec. 14616 .
  3. A member state shall grant the compact privilege to a licensee holding a valid unencumbered license in another member state in accordance with the terms of the Compact and rules.
  4. Member states may charge a fee for granting a compact privilege.
SECTION 4. COMPACT PRIVILEGE SECTION 4. COMPACT PRIVILEGE
  1. To exercise the compact privilege under the terms and provisions of the Compact, the licensee shall:
    1. Hold a license in the home state;
    2. Have no encumbrance on any state license;
    3. Be eligible for a compact privilege in any member state in accordance with Section 4.D., G., and H. of this Compact;
    4. Have not had any adverse action against any license or compact privilege within the previous two (2) years;
    5. Notify the commission that the licensee is seeking the compact privilege within a remote state or states;
    6. Pay any applicable fees, including any state fee, for the compact privilege;
    7. Meet any jurisprudence requirements established by the remote state or states in which the licensee is seeking a compact privilege; and
    8. Report to the commission adverse action taken by any nonmember state within thirty (30) days from the date the adverse action is taken.
  2. The compact privilege is valid until the expiration date of the home license. The licensee shall comply with the requirements of Section 4.A. of this Compact to maintain the compact privilege in the remote state.
  3. A licensee providing physical therapy in a remote state under the compact privilege shall function within the laws and regulations of the remote state.
  4. A licensee providing physical therapy in a remote state is subject to that state’s regulatory authority. A remote state may, in accordance with due process and that state’s laws, enforce any one (1) or combination of the following:
    1. Remove a licensee’s compact privilege in the remote state for a specific period of time;
    2. Impose fines; and
    3. Take any other necessary actions to protect the health and safety of its citizens.

      The licensee is not eligible for a compact privilege in any state until the specific time for removal has passed and all fines are paid.

  5. If a home state license is encumbered, the licensee shall lose the compact privilege in any remote state until the following occur:
    1. The home state license is no longer encumbered; and
    2. Two (2) years have elapsed from the date of the adverse action.
  6. Once an encumbered license in the home state is restored to good standing, the licensee shall meet the requirements of Section 4.A. of this Compact to obtain a compact privilege in any remote state.
  7. If a licensee’s compact privilege in any remote state is removed, the individual shall lose the compact privilege in any remote state until the following occur:
    1. The specific period of time for which the compact privilege was removed has ended;
    2. All fines have been paid; and
    3. Two (2) years have elapsed from the date of the adverse action.
  8. Once the requirements of Section 4.G. of this Compact have been met, the license shall meet the requirements in Section 4.A. of this Compact to obtain a compact privilege in a remote state.
SECTION 5. ACTIVE DUTY MILITARY PERSONNEL OR THEIR SPOUSES SECTION 5. ACTIVE DUTY MILITARY PERSONNEL OR THEIR SPOUSES

A licensee who is active duty military or is the spouse of an individual who is active duty military may designate one (1) of the following as the home state:

  1. Home of record;
  2. Permanent Change of Station (PCS); or
  3. State of current residence if it is different than the PCS state or home of record.
SECTION 6. ADVERSE ACTIONS SECTION 6. ADVERSE ACTIONS
  1. A home state shall have exclusive power to impose adverse action against a license issued by the home state.
  2. A home state may take adverse action based on the investigative information of a remote state, so long as the home state follows its own procedures for imposing adverse action.
  3. Nothing in this Compact shall override a member state’s decision that participation in an alternative program may be used in lieu of adverse action and that this participation shall remain nonpublic if required by the member state’s laws. Member states shall require licensees who enter any alternative programs in lieu of discipline to agree not to practice in any other member state during the term of the alternative program without prior authorization from that other member state.
  4. Any member state may investigate actual or alleged violations of the statutes and rules authorizing the practice of physical therapy in any other member state in which a physical therapist or physical therapist assistant holds a license or compact privilege.
  5. A remote state may:
    1. Take adverse actions as set forth in Section 4.D. of this Compact against a licensee’s compact privilege in the state;
    2. Issue subpoenas for the production of evidence and for hearings and investigations that require the attendance and testimony of witnesses. Subpoenas issued by a physical therapy licensing board in a party state for the production of evidence, the attendance and testimony of witnesses, or both from another party state shall be enforced in the latter state by any court of competent jurisdiction, according to the practice and procedure of that court applicable to subpoenas issued in proceedings pending before it. The issuing authority shall pay any witness fees, travel expenses, mileage, and other fees required by the service statutes of the state where the evidence, witnesses, or both are located; and
    3. If otherwise permitted by state law, recover from the licensee the costs of investigations and disposition of cases resulting from any adverse action taken against that licensee.
  6. Joint Investigations
    1. In addition to the authority granted to a member state by its respective physical therapy practice act or other applicable state law, a member state may participate with other member states in joint investigations of licensees.
    2. Member states shall share any investigative, litigation, or compliance materials in furtherance of any joint or individual investigation initiated under the Compact.
SECTION 7. ESTABLISHMENT OF THE PHYSICAL THERAPY COMPACT COMMISSION SECTION 7. ESTABLISHMENT OF THE PHYSICAL THERAPY COMPACT COMMISSION
  1. The Compact member states hereby create and establish a joint public agency known as the Physical Therapy Compact Commission:
    1. The commission is an instrumentality of the Compact states.
    2. Venue is proper and judicial proceedings by or against the commission shall be brought solely and exclusively in a court of competent jurisdiction where the principal office of the commission is located. The commission may waive venue and jurisdictional defenses to the extent it adopts or consents to participate in alternative dispute resolution proceedings.
    3. Nothing in this Compact shall be construed to be a waiver of sovereign immunity.
  2. Membership, Voting, and Meetings
    1. Each member state shall have and be limited to one (1) delegate selected by that member state’s licensing board.
    2. The delegate shall be a current member of the licensing board, who is a physical therapist, physical therapist assistant, public member, or the board administrator.
    3. Any delegate may be removed or suspended from office as provided by the law of the state from which the delegate is appointed.
    4. The member state board shall fill any vacancy occurring in the commission.
    5. Each delegate shall be entitled to one (1) vote with regard to the promulgation of rules and creation of bylaws and shall otherwise have an opportunity to participate in the business and affairs of the commission.
    6. A delegate shall vote in person or by such other means as provided in the bylaws. The bylaws may provide for delegates’ participation in meetings by telephone or other means of communication.
    7. The commission shall meet at least once during each calendar year. Additional meetings shall be held as set forth in the bylaws.
  3. The commission has the following powers and duties:
    1. Establish the fiscal year of the commission;
    2. Establish bylaws;
    3. Maintain its financial records in accordance with the bylaws;
    4. Meet and take any actions consistent with the provisions of this Compact and the bylaws;
    5. Promulgate uniform rules to facilitate and coordinate implementation and administration of this Compact. The rules shall have the force of law and shall be binding in all member states;
    6. Bring and prosecute legal proceedings or actions in the name of the commission, provided that the standing of any state physical therapy licensing board to sue or be sued under applicable law shall not be affected;
    7. Purchase and maintain insurance and bonds;
    8. Borrow, accept, or contract for services of personnel, including but not limited to employees of a member state;
    9. Hire employees, elect or appoint officers, fix compensation, define duties, grant these individuals appropriate authority to carry out the purposes of the Compact, and establish the commission’s personnel policies and programs relating to conflicts of interest, qualifications of personnel, and other related personnel matters;
    10. Accept, receive, utilize, and dispose of any appropriate donations and grants of money, equipment, supplies, materials, and services. At all times the commission shall avoid any appearance of impropriety, conflict of interest, or both;
    11. Lease, purchase, accept appropriate gifts or donations of, or otherwise own, hold, improve, or use any real, personal, or mixed property. At all times the commission shall avoid any appearance of impropriety;
    12. Sell, convey, mortgage, pledge, lease, exchange, abandon, or otherwise dispose of any real, personal, or mixed property;
    13. Establish a budget and make expenditures;
    14. Borrow money;
    15. Appoint committees, including standing committees composed of members, state regulators, state legislators or their representatives, consumer representatives, and any other interested persons as designated in this Compact and the bylaws;
    16. Provide and receive information from, and cooperate with, law enforcement agencies;
    17. Establish and elect an executive board; and
    18. Perform any other necessary or appropriate functions to achieve the purposes of this Compact consistent with the state regulation of physical therapy licensure and practice.
  4. The Executive Board

    The executive board may act on behalf of the commission according to the terms of this Compact.

    1. The executive board shall be composed of nine (9) members:
      1. Seven (7) voting members who are elected by the commission from the current membership of the commission;
      2. One (1) ex officio, nonvoting member from the recognized national physical therapy professional association; and
      3. One (1) ex officio, nonvoting member from the recognized membership organization of the physical therapy licensing boards.
    2. The ex officio members shall be selected by their respective organizations.
    3. The commission may remove any member of the executive board as provided in bylaws.
    4. The executive board shall meet at least once annually.
    5. The executive board shall have the following duties and responsibilities:
      1. Recommend to the entire commission changes to the rules or bylaws, changes to this Compact legislation, fees paid by Compact member states such as annual dues, and any commission Compact fee charged to licensees for the compact privilege;
      2. Ensure Compact administration services are appropriately provided, contractual or otherwise;
      3. Prepare and recommend the budget;
      4. Maintain financial records on behalf of the commission;
      5. Monitor Compact compliance of member states and provide compliance reports to the commission;
      6. Establish additional committees as necessary; and
      7. Other duties as provided in rules or bylaws.
  5. Meetings of the Commission
    1. All meetings shall be open to the public, and public notice of meetings shall be given in the same manner as required under the rulemaking provisions in Section 9 of this Compact.
    2. The commission, the executive board, or other committees of the commission may convene in a closed, nonpublic meeting if the commission, executive board, or other committees of the commission need to discuss:
      1. Noncompliance of a member state with its obligations under the Compact;
      2. The employment, compensation, discipline, or other matters, practices, or procedures related to specific employees or other matters related to the commission’s internal personnel practices and procedures;
      3. Current, threatened, or reasonably anticipated litigation;
      4. Negotiation of contracts for the purchase, lease, or sale of goods, services, or real estate;
      5. Accusing any person of a crime or formally censuring any person;
      6. Disclosure of trade secrets or commercial or financial information that is privileged or confidential;
      7. Disclosure of information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
      8. Disclosure of investigative records compiled for law enforcement purposes;
      9. Disclosure of information related to any investigative reports prepared by, on behalf of, or for use of the commission or another committee charged with responsibility of investigation or determination of compliance issues pursuant to the Compact; or
      10. Matters specifically exempted from disclosure by federal or member state statute.
    3. If a meeting, or portion of a meeting, is closed pursuant to this provision, the commission’s legal counsel or designee shall certify that the meeting may be closed and shall reference each relevant exempting provision.
    4. The commission shall keep minutes that fully and clearly describe all matters discussed in a meeting and shall provide a full and accurate summary of actions taken, and the reasons for the actions, including a description of the views expressed. All documents considered in connection with an action shall be identified in these minutes. All minutes and documents of a closed meeting shall remain under seal, subject to release by a majority vote of the commission or order of a court of competent jurisdiction.
  6. Financing of the Commission
    1. The commission shall pay, or provide for the payment of, the reasonable expenses of its establishment, organization, and ongoing activities.
    2. The commission may accept any and all appropriate revenue sources, donations, and grants of money, equipment, supplies, materials, and services.
    3. The commission may levy on and collect an annual assessment from each member state or impose fees on other parties to cover the cost of the operations and activities of the commission and its staff, which shall be in a total amount sufficient to cover its annual budget as approved each year for which revenue is not provided by other sources. The aggregate annual assessment amount shall be allocated based upon a formula to be determined by the commission, which shall promulgate a rule that is binding upon all member states.
    4. The commission shall not incur obligations of any kind prior to securing the funds adequate to meet the obligations, nor shall the commission pledge the credit of any of the member states, except by and with the authority of the member state.
    5. The commission shall keep accurate accounts of all receipts and disbursements. The receipts and disbursements of the commission shall be subject to the audit and accounting procedures established under its bylaws. All receipts and disbursements of funds handled by the commission shall be audited yearly by a certified or licensed public accountant, and the report of the audit shall be included in and become part of the annual report of the commission.
  7. Qualified Immunity, Defense, and Indemnification
    1. The members, officers, executive director, employees, and representatives of the commission shall be immune from suit and liability, either personally or in their official capacity, for any claim for damage to or loss of property or personal injury or other civil liability caused by or arising out of any actual or alleged act, error, or omission that occurred, or that the person against whom the claim is made had a reasonable basis for believing occurred, within the scope of commission employment, duties, or responsibilities. Nothing in this paragraph shall be construed to protect any person from suit, liability, or both for any damage, loss, injury, or liability caused by the intentional, willful, or wanton misconduct of that person.
    2. The commission shall defend any member, officer, executive director, employee, or representative of the commission in any civil action seeking to impose liability arising out of any actual or alleged act, error, or omission that occurred within the scope of commission employment, duties, or responsibilities, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of commission employment, duties, or responsibilities, if the actual or alleged act, error, or omission did not result from that person’s intentional, willful, or wanton misconduct. Nothing in this paragraph shall be construed to prohibit that person from retaining his or her own counsel.
    3. The commission shall indemnify and hold harmless any member, officer, executive director, employee, or representative of the commission for the amount of any settlement or judgment obtained against that person arising out of any actual or alleged act, error, or omission that occurred within the scope of commission employment, duties, or responsibilities, or that the person had a reasonable basis for believing occurred within the scope of commission employment, duties, or responsibilities, if the actual or alleged act, error, or omission did not result from the intentional, willful, or wanton misconduct of that person.
SECTION 8. DATA SYSTEM SECTION 8. DATA SYSTEM
  1. The commission shall provide for the development, maintenance, and utilization of a coordinated database and reporting system containing licensure, adverse action, and investigative information on all licensed individuals in member states.
  2. Notwithstanding any other provision of state law to the contrary, a member state shall submit a uniform data set to the data system on all individuals to whom this Compact is applicable as required by the rules of the commission, including:
    1. Identifying information;
    2. Licensure data;
    3. Adverse actions against a license or compact privilege;
    4. Nonconfidential information related to alternative program participation;
    5. Any denial of application for licensure, and the reason or reasons for the denial; and
    6. Other information that may facilitate the administration of this Compact, as determined by the rules of the commission.
  3. Investigative information pertaining to a licensee in any member state shall only be available to other party states.
  4. The commission shall promptly notify all member states of any adverse action taken against a licensee or an individual applying for a license. Adverse action information pertaining to a licensee in any member state shall be available to any other member state.
  5. Member states contributing information to the data system may designate information that may not be shared with the public without the express permission of the contributing state.
  6. Any information submitted to the data system that is subsequently required to be expunged by the laws of the member state contributing the information shall be removed from the data system.
SECTION 9. RULEMAKING SECTION 9. RULEMAKING
  1. The commission shall exercise its rulemaking powers pursuant to the criteria set forth in this section and the rules adopted under this section. Rules and amendments shall become binding as of the date specified in each rule or amendment.
  2. If a majority of the legislatures of the member states reject a rule within four (4) years of the date of adoption of the rule, by enactment of a statute or resolution in the same manner used to adopt the Compact, then the rule shall have no further effect in any member state.
  3. Rules or amendments to the rules shall be adopted at a regular or special meeting of the commission.
  4. Prior to promulgation and adoption of a final rule or rules by the commission, and at least thirty (30) days in advance of the meeting at which the rule will be considered and voted upon, the commission shall file a Notice of Proposed Rulemaking:
    1. On the Web site of the commission or other publicly accessible platform; and
    2. On the Web site of each member state physical therapy licensing board or other publicly accessible platform or the publication in which each state would otherwise publish proposed rules.
  5. The Notice of Proposed Rulemaking shall include:
    1. The proposed time, date, and location of the meeting in which the rule will be considered and voted upon;
    2. The text of the proposed rule or amendment and the reason for the proposed rule;
    3. A request for comments on the proposed rule from any interested person; and
    4. How interested persons may submit notice to the commission of their intention to attend the public hearing and submit any written comments.
  6. Prior to adoption of a proposed rule, the commission shall allow persons to submit written data, facts, opinions, and arguments, which shall be made available to the public.
  7. The commission shall grant an opportunity for a public hearing before it adopts a rule or amendment if a hearing is requested by:
    1. At least twenty-five (25) persons;
    2. A state or federal governmental subdivision or agency; or
    3. An association having at least twenty-five (25) members.
  8. If a hearing is held on the proposed rule or amendment, the commission shall publish the place, time, and date of the scheduled public hearing. If the hearing is held via electronic means, the commission shall publish the mechanism for access to the electronic hearing.
    1. All persons wishing to be heard at the hearing shall notify the executive director of the commission or other designated member in writing of their desire to appear and testify at the hearing not less than five (5) business days before the scheduled date of the hearing.
    2. Hearings shall be conducted in a manner providing each person who wishes to comment a fair and reasonable opportunity to comment orally or in writing.
    3. All hearings shall be recorded. A copy of the recording shall be made available on request.
    4. Nothing in this section shall be construed as requiring a separate hearing on each rule. Rules may be grouped for the convenience of the commission at hearings required by this section.
  9. Following the scheduled hearing date, or by the close of business on the scheduled hearing date if the hearing was not held, the commission shall consider all written and oral comments received.
  10. If no written notice of intent to attend the public hearing by interested parties is received, the commission may proceed with promulgation of the proposed rule without a public hearing.
  11. The commission shall, by majority vote of all members, take final action on the proposed rule and shall determine the effective date of the rule, if any, based on the rulemaking record and the full text of the rule.
  12. Upon determination that an emergency exists, the commission may consider and adopt an emergency rule without prior notice, opportunity for comment, or hearing, provided that the usual rulemaking procedures provided in the Compact and in this section shall be retroactively applied to the rule as soon as reasonably possible, in no event later than ninety (90) days after the effective date of the rule. For the purposes of this provision, an emergency rule is one that requires immediate adoption in order to:
    1. Meet an imminent threat to public health, safety, or welfare;
    2. Prevent a loss of commission or member state funds;
    3. Meet a deadline for the promulgation of an administrative rule that is established by federal law or rule; or
    4. Protect public health and safety.
  13. The commission or an authorized committee of the commission may direct revisions to a previously adopted rule or amendment for purposes of correcting typographical errors, errors in format, errors in consistency, or grammatical errors. Public notice of any revisions shall be posted on the Web site of the commission. The revision shall be subject to challenge by any person for a period of thirty (30) days after posting. The revision may be challenged only on grounds that the revision results in a material change to a rule. A challenge shall be made in writing, and delivered to the chair of the commission prior to the end of the notice period. If no challenge is made, the revision shall take effect without further action. If the revision is challenged, the revision may not take effect without the approval of the commission.
SECTION 10. OVERSIGHT, DISPUTE RESOLUTION, AND ENFORCEMENT SECTION 10. OVERSIGHT, DISPUTE RESOLUTION, AND ENFORCEMENT
  1. Oversight
    1. The executive, legislative, and judicial branches of state government in each member state shall enforce this Compact and take all actions necessary and appropriate to effectuate the Compact’s purposes and intent. The provisions of this Compact and the rules promulgated under this Compact shall have standing as statutory law.
    2. All courts shall take judicial notice of the Compact and the rules in any judicial or administrative proceeding in a member state pertaining to the subject matter of this Compact that may affect the powers, responsibilities, or actions of the commission.
    3. The commission shall be entitled to receive service of process in any judicial or administrative proceeding relating to this Compact, and shall have standing to intervene for all purposes in any judicial or administrative proceeding relating to this Compact. Failure to provide service of process to the commission shall render a judgment or order void as to the commission, this Compact, or promulgated rules.
  2. Default, Technical Assistance, and Termination
    1. If the commission determines that a member state has defaulted in the performance of its obligations or responsibilities under this Compact or the promulgated rules, the commission shall:
      1. Provide written notice to the defaulting state and other member states regarding any one (1) or any combination of the following: the nature of the default, the proposed means of curing the default, and any other action to be taken by the commission; and
      2. Provide remedial training and specific technical assistance regarding the default.
    2. If a state in default fails to cure the default, the defaulting state may be terminated from the Compact upon an affirmative vote of a majority of the member states, and all rights, privileges, and benefits conferred by this Compact may be terminated on the effective date of termination. A cure of the default does not relieve the offending state of obligations or liabilities incurred during the period of default.
    3. Termination of membership in the Compact shall be imposed only after all other means of securing compliance have been exhausted. Notice of intent to suspend or terminate shall be given by the commission to the Governor, the majority and minority leaders of the defaulting state’s legislature, and each of the member states.
    4. A state that has been terminated is responsible for all assessments, obligations, and liabilities incurred through the effective date of termination, including obligations that extend beyond the effective date of termination.
    5. The commission shall not bear any costs related to a state that is found to be in default or that has been terminated from the Compact, unless agreed upon in writing between the commission and the defaulting state.
    6. The defaulting state may appeal the action of the commission by petitioning the United States District Court for the District of Columbia or the federal district where the commission has its principal offices. The prevailing member shall be awarded all costs of this litigation, including reasonable attorney’s fees.
  3. Dispute Resolution
    1. Upon request by a member state, the commission shall attempt to resolve disputes related to the Compact that arise among member states and between member and nonmember states.
    2. The commission shall promulgate a rule providing for both mediation and binding dispute resolution for disputes as appropriate.
  4. Enforcement
    1. The commission, in the reasonable exercise of its discretion, shall enforce the provisions and rules of this Compact.
    2. By majority vote, the commission may initiate legal action in the United States District Court for the District of Columbia or the federal district where the commission has its principal offices against a member state in default to enforce compliance with the provisions of the Compact and its promulgated rules and bylaws. The relief sought may include both injunctive relief and damages. In the event judicial enforcement is necessary, the prevailing member shall be awarded all costs of the litigation, including reasonable attorney’s fees.
    3. The remedies authorized under this section shall not be the exclusive remedies of the commission. The commission may pursue any other remedies available under federal or state law.
SECTION 11. DATE OF IMPLEMENTATION OF THE INTERSTATE COMMISSION FOR PHYSICAL THERAPY PRACTICE AND ASSOCIATED RULES, WITHDRAWAL, AND AMENDMENT SECTION 11. DATE OF IMPLEMENTATION OF THE INTERSTATE COMMISSION FOR PHYSICAL THERAPY PRACTICE AND ASSOCIATED RULES, WITHDRAWAL, AND AMENDMENT
  1. The Compact shall come into effect on the date on which the Compact statute is enacted into law in the tenth member state. The provisions, which become effective at that time, shall be limited to the powers granted to the commission relating to assembly and the promulgation of rules. Thereafter, the commission shall meet and exercise rulemaking powers necessary to the implementation and administration of the Compact.
  2. Any state that joins the Compact subsequent to the commission’s initial adoption of the rules shall be subject to the rules as they exist on the date on which the Compact becomes law in that state. Any rule that has been previously adopted by the commission shall have the full force of law on the day the Compact becomes law in that state.
  3. Any member state may withdraw from this Compact by enacting a statute repealing the Compact.
    1. A member state’s withdrawal shall not take effect until six (6) months after enactment of the repealing statute.
    2. Withdrawal shall not affect the continuing requirement of the withdrawing state’s physical therapy licensing board to comply with the investigative and adverse action reporting requirements of this Compact prior to the effective date of withdrawal.
  4. Nothing contained in this Compact shall be construed to invalidate or prevent any physical therapy licensure agreement or other cooperative arrangement between a member state and a nonmember state that does not conflict with the provisions of this Compact.
  5. This Compact may be amended by the member states. No amendment to this Compact shall become effective and binding upon any member state until it is enacted into the laws of all member states.
SECTION 12. APPLICABILITY TO KENTUCKY STATE GOVERNMENT SECTION 12. APPLICABILITY TO KENTUCKY STATE GOVERNMENT

In order to clarify the effect of certain provisions of this Compact and to ensure that the rights and responsibilities of the various branches of government are maintained, the following shall be in effect in this state:

  1. By entering into this Compact, this state authorizes the licensing board as defined in Section 2.19. of this Compact and as created by KRS Chapter 327 to implement the provisions of this Compact.
  2. Notwithstanding any provision of this Compact to the contrary:
    1. When a rule is adopted pursuant to Section 9 of this Compact, the licensing board of this state as defined by Section 2.19. of this Compact shall have sixty (60) days to review the rule 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, following the requirements of KRS Chapter 13A. Failure by the licensing board of this state as defined by Section 2.19. of this Compact to promulgate a rule adopted by the Physical Therapy Compact Commission as an administrative regulation pursuant to KRS Chapter 13A shall result in the initiation of the process for withdrawal as set forth in Section 11 of this Compact. Nothing in these provisions shall negate the applicability and effect of Section 9.K. of this Compact to this state.
    2. If the proposed administrative regulation is found deficient and the deficiency is not resolved pursuant to KRS 13A.330 or 13A.335 , the provisions of Section 10 of this Compact shall apply. If the procedures under Section 10 of this Compact fail to resolve an issue, the provisions of Section 11 of this Compact shall apply.
    3. If the Physical Therapy Compact Commission created by Section 7 of this Compact exercises its rulemaking authority in a manner that is beyond the scope of the purposes of this Compact, or the powers granted under this Compact, then such an action by the commission shall be invalid and have no force or effect.
  3. Section 7.F. of this Compact pertaining to the financing of the commission shall not be interpreted to obligate the general fund of this state. Any funds used to finance this Compact shall be from money collected pursuant to KRS 327.080 .
  4. This Compact shall apply only to those physical therapists or physical therapist assistants who practice or work under a compact privilege.
SECTION 13. CONSTRUCTION AND SEVERABILITY SECTION 13. CONSTRUCTION AND SEVERABILITY

This Compact shall be liberally construed so as to effectuate its purposes. The provisions of this Compact shall be severable, and if any phrase, clause, sentence, or provision of this Compact is declared to be contrary to the constitution of any party state or of the United States, or the Compact’s applicability to any government, agency, person, or circumstance is held invalid, it shall not affect the validity of the remainder of this Compact and its applicability to any government, agency, person, or circumstance. If this Compact is held contrary to the constitution of any party state, the Compact shall remain in full effect as to the remaining party states, and shall remain in full effect in the affected party state as to all severable matters.

327.310. Criminal background check required by Physical Therapy Licensure Compact.

For any criminal background check required by KRS 327.300 , an applicant shall submit to a nationwide criminal background investigation by means of a fingerprint check by the Department of Kentucky State Police and Federal Bureau of Investigation at the applicant’s expense. The results of the national and state criminal background check shall be sent to the board by the Department of Kentucky State Police.

HISTORY: 2017 ch. 93, § 3, effective June 29, 2017.

327.310. National and state criminal background investigation of all applicants for licensure, certification, or temporary permit.

The Board of Physical Therapy established in KRS 327.030 shall require a national and state criminal background investigation for every applicant seeking a license, certificate, or temporary permit issued by the board permitting the applicant to engage in a profession authorized by the board. The criminal background investigation shall be by means of a fingerprint check by the Department of Kentucky State Police and Federal Bureau of Investigation, pursuant to the following requirements:

  1. The applicant shall provide his or her fingerprints to the Department of Kentucky State Police for submission to the Federal Bureau of Investigation after a state criminal background check is conducted;
  2. The results of the national and state criminal background check shall be sent to the board for the screening of applicants;
  3. The board shall be prohibited from releasing any criminal history record information to any private entity or other licensing board, or authorizing receipt by such entity or board; and
  4. Any fee charged by the Department of Kentucky State Police or the Federal Bureau of Investigation shall be an amount no greater than the actual cost of processing the request and conducting the background check. The board may charge this fee to the applicant for licensure or certification.

HISTORY: Enact. Acts 2017, ch. 93, § 3, effective June 29, 2017; Repealed and reenact., Acts 2018, ch. 97, § 1, effective April 2, 2018.

327.990. Penalties.

  1. Each violation of KRS 327.020 shall constitute a misdemeanor and be punished by a fine of not less than fifty dollars ($50) nor more than five hundred dollars ($500) or by imprisonment for not less than ten (10) days nor more than thirty (30) days, or both, for the first offense. Each subsequent violation thereof shall be punished by a fine of not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000) or by imprisonment for not less than thirty (30) days nor more than ninety (90) days or both.
  2. Any person who shall knowingly make a false statement in his application for licensure under this chapter, or in response to any proper inquiry by the board, shall be guilty of a misdemeanor and fined not less than one hundred dollars ($100) and not more than one thousand dollars ($1,000) or imprisoned for not less than thirty (30) days nor more than six (6) months, or both.
  3. The Attorney General, Commonwealth attorney, county attorney or, upon majority vote of the board, any member thereof may apply for injunctive relief in any court of competent jurisdiction to enjoin any person or entity from committing an act in violation of this chapter. The injunction proceedings shall be in addition to, and not in lieu of, all penalties and other remedies in this chapter.

History. Enact. Acts 1958, ch. 27, § 9, effective June 19, 1958; 1980, ch. 53, § 10, effective July 15, 1980; 1984, ch. 377, § 7, effective July 13, 1984.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

CHAPTER 328 Watchmakers [Repealed]

328.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 1) was repealed by Acts 1982, ch. 61, § 1.

328.011. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 10) was repealed by Acts 1982, ch. 61, § 1.

328.020. Requirements of registration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 2) was repealed by Acts 1982, ch. 61, § 1.

328.030. Board of examiners — Membership — Terms — Qualifications — Duties and powers — Meetings — Quorum — Compensation — Report to governor. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 3; 1976, ch. 206, 24) was repealed by Acts 1982, ch. 61, § 1.

328.040. Applicant’s qualifications. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 4) was repealed by Acts 1982, ch. 61, § 1.

328.050. Examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 5) was repealed by Acts 1982, ch. 61, § 1.

328.060. Certificate of registration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 6) was repealed by Acts 1982, ch. 61, § 1.

328.070. Apprentices. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 7) was repealed by Acts 1982, ch. 61, § 1.

328.080. Revocation of certificates. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 8; 1974, ch. 315, § 67; 1980, ch. 114, § 7) was repealed by Acts 1982, ch. 61, § 1.

328.090. Secondhand watches. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 11) was repealed by Acts 1982, ch. 61, § 1.

328.990. Penalty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 9) was repealed by Acts 1982, ch. 61, § 1.

328.991. Penalty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1958, ch. 142, § 12) was repealed by Acts 1982, ch. 61, § 1.

CHAPTER 329 Detection of Deception Examiners

329.010. Definitions.

As used in this chapter, unless the context otherwise requires:

  1. “Detection of deception examiner,” referred to in this chapter as “examiner,” means any person, other than a trainee, who uses any device or instrument to test or question individuals for the purpose of detecting deception. Before a person may be licensed as an examiner, he or she must have at least one (1) year’s experience in detection of deception. Before an examiner may supervise a trainee, he or she must have at least two (2) years’ experience in detection of deception;
  2. “Trainee” means any person who has successfully completed a polygraph examiner’s course at a polygraph examiner’s school approved by the cabinet, but who has not been awarded the final certificate of proficiency or graduate certificate from the school, or any person, not a licensed examiner, who administers detection of deception examinations under the direct, personal supervision and control of a licensed examiner who is licensed by this state. No examiner may have more than two (2) trainees under his or her supervision and control at any one (1) time;
  3. “Person” means any natural person, partnership, association, corporation, or trust;
  4. “Cabinet” means the Justice and Public Safety Cabinet of the Commonwealth of Kentucky;
  5. “Secretary” means the secretary of the Justice and Public Safety Cabinet of the Commonwealth of Kentucky;
  6. “Polygraph” means an instrument which records permanently and simultaneously a subject’s cardiovascular and respiratory patterns and other physiological changes pertinent to the detection of deception; and
  7. “Polygraph examiner” means the same as detection of deception examiner.

History. Enact. Acts 1962, ch. 78, § 1; 1974, ch. 74, Art. V, § 24(13); 1978, ch. 44, § 1, effective June 17, 1978; 2007, ch. 85, § 298, effective June 26, 2007.

329.020. Examiner to use recording instrument.

Every examiner shall use an instrument which records permanently and simultaneously the subject’s cardiovascular and respiratory patterns as minimum standards, but such an instrument may record additional physiological changes pertinent to the detection of deception. The patterns required as minimum standards will be recorded throughout the entire period of any detection of deception test.

History. Enact. Acts 1962, ch. 78, § 2; 1978, ch. 44, § 2, effective June 17, 1978.

Opinions of Attorney General.

As the PSE-1 operates as a deception detection device by detecting, measuring and recording certain stress-related components of the human voice, under this section and KRS 329.030 the PSE-1 may only be used to determine the validity of an individual’s statements if it is used in conjunction with a deception detection device which permanently records respiratory and cardiovascular patterns and if it is operated by a licensed examiner, and a release or permission form would not be valid if it were to allow the PSE-1 to be utilized by itself in the detection of deception examination. OAG 75-522 .

329.030. License required to administer detection of deception examination — Application — Fingerprint data — Qualifications — Investigations — Internship — Examination — Administrative regulations to ensure adequate standards.

  1. No person shall administer a detection of deception examination, as set forth in KRS 329.010 , or any imitation thereof, without first securing a trainee’s license or an examiner’s license. Each application for a trainee’s license shall be made to the cabinet within ten (10) days of the commencement of the trainee’s internship, and said application shall contain such information as may be reasonably required by the cabinet. Each application for a trainee license or a renewal or extension shall be accompanied by a fee of twenty-five dollars ($25), which is nonrefundable. Each application for an examiner’s license shall be made to the cabinet in writing on forms provided by the cabinet and shall contain such information as may be required by the cabinet to determine the eligibility of the applicant. Each application for an examiner’s license shall be accompanied by a fee of fifty dollars ($50), which is nonrefundable.
  2. Each applicant for an examiner’s license shall submit his or her fingerprints to the cabinet. The cabinet is authorized to exchange fingerprint data with the Department of Kentucky State Police and the Federal Bureau of Investigation in order to conduct a criminal history background check of the applicant. Each applicant shall also submit a sworn affidavit that said applicant:
    1. Is a citizen of the United States;
    2. Is at least eighteen (18) years of age;
    3. Has administered detection of deception examinations for a period of at least one (1) year using the instrumentation prescribed in KRS 329.020 ;
    4. Has completed a course of formal training in detection of deception in an institution accepted by the cabinet;
    5. Has not been convicted of a misdemeanor involving moral turpitude or a felony, or who has not been released or discharged under other than honorable conditions from any of the Armed Services of the United States, or any branch of the state, city or federal government; and
    6. Any other information required by the cabinet to determine the examiner’s competency to obtain a license to practice in this state.
  3. Upon receipt of an application for a trainee’s license or for an examiner’s license, the secretary shall investigate each application, and no license will be issued until said investigation is complete.
  4. The cabinet shall establish such reasonable rules and regulations for the trainee during his internship as may be reasonably necessary for the purpose of insuring that the trainee meets adequate professional standards established by the cabinet.
  5. The cabinet may require applicants for an examiner’s license to pass an examination which shall be confined to such knowledge, practical ability, and skill as is essential for performing the duties of a detection of deception examiner. The cabinet shall promulgate administrative regulations for conducting examinations and shall define the standards to be acquired to constitute passing the examination.
  6. The cabinet shall promulgate administrative regulations for the purpose of insuring that the examiner maintain adequate professional standards established by the cabinet.

History. Enact. Acts 1962, ch. 78, § 3; 1970, ch. 120, § 17; 1974, ch. 74, Art. V, § 24(13); 1978, ch. 44, § 3, effective June 17, 1978; 2004, ch. 162, § 1, effective July 13, 2004; 2007, ch. 85, § 299, effective June 26, 2007.

Opinions of Attorney General.

As the PSE-1 operates as a deception detection device by detecting, measuring and recording certain stress-related components of the human voice, under this section and KRS 329.020 the PSE-1 may only be used to determine the validity of an individual’s statements if it is used in conjunction with a deception detection device which permanently records respiratory and cardiovascular patterns and if it is operated by a licensed examiner, and a release or permission form would not be valid if it were to allow the PSE-1 to be utilized by itself in the detection of deception examination. OAG 75-522 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

329.040. Issuance of license — Renewal — Fee.

  1. Each examiner’s license shall be issued for the term of one (1) calendar year or for such part thereof as remains at the time of the issuance thereof. Each examiner’s license shall be renewed during the month of December of each year, and each examiner’s license not so renewed shall expire on December 31 of that year. A renewal fee of forty dollars ($40) shall accompany each renewal application for the examiner’s license.
  2. An examiner whose license has expired may, at any time within five (5) years after the expiration thereof, obtain a renewal license by making a renewal application therefor and by paying a renewal license fee for each year since the expiration of his license; provided, however, any examiner whose license expired while he was (a) on active duty with the Armed Forces of the United States, or (b) called into service or training with the state militia, or (c) in a training or education program under the supervision of the United States preliminary to induction into the military service, may have his license renewed without paying any intervening renewal license fee if within two (2) years after termination of such service, training or education, except under conditions other than honorable, he furnishes the cabinet an affidavit to the effect that he has been so engaged and that his service, training or education has been so terminated. The secretary shall, before issuing the renewal license, investigate each applicant during the expiration period.
  3. Each trainee’s license shall be issued for the term of twelve (12) months. The cabinet may renew or extend a trainee’s license upon good cause shown for any term not to exceed twelve (12) months. The fee for renewal or extension of a trainee’s license shall be forty dollars ($40).

History. Enact. Acts 1962, ch. 78, § 5; 1974, ch. 74, Art. V, § 24(13); 1978, ch. 44, § 4, effective June 17, 1978.

329.043. Reciprocity.

An applicant who is an examiner, licensed under the laws of another state or territory of the United States, may be issued a license without examination by the cabinet, in its discretion, upon payment of a fee of fifty dollars ($50), and the production of satisfactory proof:

  1. That the applicant is at least eighteen (18) years of age; and
  2. That the applicant is a citizen of the United States; and
  3. That he is of good moral character; and
  4. That the requirements for the licensing of examiners in such state or territory of the United States were at the date of licensing, substantially equivalent to the requirements then in force in this state; and
  5. That the applicant had lawfully engaged in the administration of polygraph examinations under the laws of such state or territory for at least two (2) years prior to his application for license hereunder; and
  6. That such other state or territory grants similar reciprocity to license holders of this state.

History. Enact. Acts 1978, ch. 44, § 7, effective June 17, 1978.

329.050. License to be displayed — Duplicate license — Change of business location.

  1. A license or duplicate license must be prominently displayed at each place of business of every examiner or trainee. The fee for a duplicate license is five dollars ($5). Each license shall be signed by the secretary and shall be issued under the seal of the cabinet.
  2. Notice in writing shall be given to the cabinet by such license holder of any change of principal business location, whereupon the cabinet shall issue a new license for the unexpired period without charge. Such notice shall be given within thirty (30) days after the change of the principal business location. A change of business location without notification to the cabinet and without the issuance by it of a new license shall automatically suspend the license theretofore issued.

History. Enact. Acts 1962, ch. 78, § 6; 1974, ch. 74, Art. V, § 24(13); 1978, ch. 44, § 5, effective June 17, 1978.

329.060. Nonresident applicants to consent to service of process on secretary.

Each nonresident applicant for a trainee’s license or examiner’s license or a renewal license shall file an irrevocable consent that actions against the applicant may be filed in any appropriate court of any county of this Commonwealth in which the plaintiff resides or in which some part of the transaction occurred out of which the alleged cause of action arose and that process in any action may be served on the applicant by leaving two (2) copies thereof with the secretary of the cabinet. Such consent shall stipulate and agree that such service of process shall be valid and binding for all purposes. The secretary shall send forthwith one (1) copy of the process to the applicant by certified mail at the address shown on the records of the cabinet.

History. Enact. Acts 1962, ch. 78, § 7; 1974, ch. 74, Art. V, § 24(13); 1976 (Ex. Sess.), ch. 14, § 273, effective January 2, 1978; 1980, ch. 114, § 88, effective July 15, 1980.

329.070. Denial, suspension or revocation of licenses — Grounds.

The cabinet may deny, suspend or revoke any license on any one or more of the following grounds:

  1. Material misstatement in the application for a license or in the application for a renewal license.
  2. Willful disregard or violation of this chapter or of any regulation or rule issued pursuant thereto.
  3. If the holder of any license has been adjudged guilty of the commission of a felony or a misdemeanor, if in accordance with KRS Chapter 335B.
  4. Making any willful misrepresentation or false promises or causing to be printed any false or misleading advertisement for the purpose of directly or indirectly obtaining business or trainees.
  5. Having demonstrated unworthiness or incompetency to act as an examiner or trainee, as defined under this chapter, in such manner as to effect the interests of the public.
  6. Allowing one’s license under this chapter to be used by an unlicensed person in violation of the provisions of this chapter.
  7. Willfully aiding or abetting another in the violation of this chapter or of any regulation or rule issued pursuant thereto.
  8. Where the license holder has been adjudged mentally ill, mentally deficient or in need of mental treatment as provided in the Mental Health Code.
  9. Failing, within a reasonable time, to provide information requested by the cabinet as the result of a formal or informal complaint to the cabinet, which would indicate a violation of this chapter.

HISTORY: Enact. Acts 1962, ch. 78, § 8; 2017 ch. 158, § 78, effective June 29, 2017.

Opinions of Attorney General.

One convicted of a felony, whether it be in a Kentucky court, a sister state, or a federal court, is not guilty of the crime so charged, within the meaning of subsection (3) of this section, until the judicial-appellate process terminates and the conviction has survived the appeal. OAG 78-408 .

The phrase “misdemeanor involving moral turpitude” used in subsection (3) of this section means something immoral in itself, irrespective of the fact that it is punished by the law; at the very least, those misdemeanors involving fraud and dishonesty can be equated to “misdemeanors involving moral turpitude.” OAG 78-408 .

Under Kentucky law, a conviction for failing to file a federal income tax return does not involve moral turpitude within the meaning of subsection (3) of this section. OAG 78-408 .

Whether or not a criminal offense is a felony or a misdemeanor, within the meaning of subsection (3) of this section depends on its classification under the laws of the jurisdiction imposing punishment. OAG 78-408 .

329.080. Unlawful act of examiner not grounds to revoke license of employer — Exception.

Any unlawful act or violation of any of the provisions of this chapter, upon the part of any examiner or trainee shall not be cause for revocation of the license of any other examiner for whom the offending examiner may have been employed, unless it shall appear to the satisfaction of the cabinet that the examiner has willfully aided or abetted the actions or activities of the offending examiner or trainee.

History. Enact. Acts 1962, ch. 78, § 9.

329.090. List of examiners, trainees and cabinet actions to be published annually.

The cabinet shall publish, at least annually, a list of the names and addresses of all examiners and trainees and of all persons whose licenses have been suspended or revoked within that one (1) year, together with such other information relative to the enforcement of the provisions of this chapter as it may deem of interest to the public in the profession. One (1) such list shall be mailed to the county clerk of each county of the Commonwealth and shall be held by such county clerk as a public record. Such list shall also be mailed by the cabinet to any person in the Commonwealth upon request.

History. Enact. Acts 1962, ch. 78, § 10.

329.100. Hearing on complaint against applicant or licensee.

The cabinet may upon its own motion and shall upon the verified complaint in writing of any person setting forth facts which if proved would constitute grounds for denial, suspension, or revocation of a license under this chapter, investigate the actions of any applicant or any person holding or claiming to hold a license. The cabinet shall, before denial, suspension, or revocation of a license conduct an administrative hearing in accordance with KRS Chapter 13B. The hearing shall determine whether the applicant or holder, called the respondent in this section and KRS 329.110 , is privileged to hold the license.

History. Enact. Acts 1962, ch. 78, § 11; 1974, ch. 74, Art. V, § 24(13); 1980, ch. 114, § 89, effective, July 15, 1980; 1996, ch. 318, § 302, effective July 15, 1996.

329.110. Record of proceedings — Service of secretary’s report — Motion for rehearing.

  1. The cabinet, at its expense, shall provide a stenographer to take down the testimony and preserve a record of all proceedings at the hearing of any case involving the denial, suspension or revocation of a license. The notice of hearing, complaint and all other documents in the nature of pleadings and written motions filed in the proceedings, the transcript of testimony, the report of the secretary and orders of the cabinet shall be the records of such proceedings. The cabinet shall furnish a transcript of such record to any person interested in such hearing upon the payment therefor of seventy-five cents ($0.75) per page for each original transcript and twenty-five cents ($0.25) per page for each carbon copy thereof ordered with the original; provided, however, the charge for any part of such transcript ordered and paid for previous to the writing of the original record therefor shall be twenty-five cents ($0.25) per page.
  2. In any case involving the denial, suspension or revocation of a license, a copy of the secretary’s report shall be served upon the respondent by the cabinet, either personally or by certified mail as provided in KRS 329.100 for the service of the notice of hearing. Within twenty (20) days after such service, the respondent may present to the cabinet a motion in writing for a rehearing, which written motion shall specify the particular grounds therefor. If no motion for rehearing is filed, then upon the expiration of the time specified for filing such a motion, or if a motion for rehearing is denied, then upon such denial, the secretary may enter an order in accordance with recommendations of the cabinet. If the respondent shall order and pay for a transcript of the record within the time for filing a motion for rehearing, the twenty (20) day period within which such a motion may be filed shall commence upon the delivery of the transcript to the respondent.

History. Enact. Acts 1962, ch. 78, § 12; 1974, ch. 74, Art. V, § 24(13); 1980, ch. 114, § 90, effective July 15, 1980.

329.120. Circuit Court jurisdiction to compel testimony or production of evidence.

Any Circuit Court may, upon application of the secretary or of the applicant or licensee against whom proceedings upon KRS 329.100 are pending, enter an order requiring the attendance of witnesses and their testimony, and the production of documents, papers, files, books, and records in connection with any hearing in any proceedings under KRS 329.100 .

History. Enact. Acts 1962, ch. 78, § 13; 1974, ch. 74, Art. V, § 24(13); 1976 (Ex. Sess.), ch. 14, § 274, effective January 2, 1978.

329.130. Judicial review of cabinet orders.

Any person affected by a final administrative decision of the cabinet may have such decision reviewed judicially by the Circuit Court of Franklin County.

History. Enact. Acts 1962, ch. 78, § 14.

329.140. Revoked or suspended license to be surrendered — Enforcement.

Upon the revocation or suspension of any license, the licensee shall forthwith surrender the license to the cabinet, and if the licensee fails to do so, the cabinet shall have the right to seize the same.

History. Enact. Acts 1962, ch. 78, § 15.

329.150. Enjoining violations of or enforcing compliance with chapter.

If any person violates the provisions of this chapter, the secretary shall, in the name of the people of the Commonwealth of Kentucky, through the Attorney General of the Commonwealth of Kentucky, apply, in any court of competent jurisdiction, for an order enjoining such violation or for an order enforcing compliance with this chapter. Proceedings under this section shall be in addition to, and not in lieu of, all other remedies and penalties provided by this chapter.

History. Enact. Acts 1962, ch. 78, § 16; 1974, ch. 74, Art. V, § 24(13).

329.160. Effect of signed and sealed cabinet order.

An order or a certified copy thereof, over the seal of the cabinet and purporting to be signed by the secretary, shall be prima facie proof thereof:

  1. That such signature is the genuine signature of the secretary;
  2. That such secretary is duly appointed and qualified; and
  3. That the secretary and cabinet thereof are qualified to act.

History. Enact. Acts 1962, ch. 78, § 17; 1974, ch. 74, Art. V, § 24(13).

329.170. Governmental entities exempt from fee requirements.

Subsection (1) of KRS 329.030 , subsections (1) and (3) of KRS 329.040 and subsection (1) of KRS 329.050 , relating to fees charged applicants for a license, shall not apply to any department of the United States or any agency of the city, county or state, provided that no fee is charged for administration of the test.

History. Enact. Acts 1962, ch. 78, § 18; 1978, ch. 44, § 6, effective June 17, 1978.

329.250. Requirements for recognition of polygraph examiner’s school.

  1. In order to be recognized as an accepted training institution for detection of deception examiners by the cabinet, a polygraph examiner’s school must offer at least two hundred and forty (240) hours of classroom training and instruction consisting of, but not limited to, the following subjects:
    1. Instrumentation of the instrument prescribed in KRS 329.020 ;
    2. Psychology;
    3. Physiology;
    4. Question formulation;
    5. Chart interpretation;
    6. Interrogation;
    7. History and legal ethics of the polygraph;
    8. Supervised practice examinations; and
    9. Any other courses necessary to assure adequate training of detection of deception examiners.
  2. At the request of the cabinet, a polygraph examiner’s school must furnish the cabinet with a course outline, the number of hours taught for each subject, the names and professional history of its owners, staff and instructors, and any other information required by the cabinet so it may determine that the school is an acceptable training institution. Unless the requested information is furnished to the cabinet and the school is accepted as a training institution, no graduate of the school may be licensed by the cabinet.

History. Enact. Acts 1978, ch. 44, § 8, effective June 17, 1978.

Penalties

329.990. Penalties.

Any person who violates any of the provisions of this chapter shall, for each violation, be fined not less than twenty dollars ($20) nor more than five hundred dollars ($500).

History. Enact. Acts 1962, ch. 78, § 20.

CHAPTER 329A Private Investigators

329A.010. Definitions for KRS 329A.010 to 329A.090.

As used in KRS 329A.010 to 329A.090 :

  1. “Board” means the Kentucky Board of Licensure for Private Investigators;
  2. “Company” means a firm, association, sole proprietorship, partnership, corporation, nonprofit organization, institution, or similar enterprise;
  3. “Investigating company” or “company licensee” means a company engaged in private investigating that is licensed under KRS 329A.010 to 329A.090 ;
  4. “Private investigating” means the act of any individual or company engaging in the business of obtaining or furnishing information with reference to:
    1. Crime or wrongs done or threatened against the United States or any state or territory of the United States;
    2. The identity, habits, conduct, business, occupation, honesty, integrity, credibility, knowledge, trustworthiness, efficiency, loyalty, activity, movement, whereabouts, affiliations, associations, transactions, acts, reputations, or character of any person;
    3. The location, disposition, or recovery of lost or stolen property;
    4. The cause or responsibility for fires, losses, accidents, damages, or injuries to persons or to property;
  5. “Private investigator” or “individual licensee” means a person who is engaged in private investigating and licensed in accordance with the provisions of KRS 329A.010 to 329A.090 ; and
  6. “Qualifying agent” means a principal corporate officer, such as the chief executive officer, president, vice president, treasurer-secretary, comptroller, or any other responsible officer or executive employee, who is designated by the corporation to represent it in matters relating to KRS 329A.010 to 329A.090 .

History. Enact. Acts 2002, ch. 269, § 1, effective July 15, 2002.

NOTES TO DECISIONS

1.Expert Testimony.

In an arson trial, KRS 329A.015 , 329A.010 did not prohibit defendant’s fire scene expert from testifying, even though he was not a licensed private investigator. Providing testimony in a court proceeding is not the equivalent of selling the public one’s services as a private detective, and Kentucky’s statutes governing the practice of private investigating are simply not meant to have any evidentiary effect. Lukjan v. Commonwealth, 358 S.W.3d 33, 2012 Ky. App. LEXIS 5 (Ky. Ct. App. 2012).

Research References and Practice Aids

Kentucky Bench & Bar.

O’Roark, The Ethics of Civil Practice Investigations — Part I, Vol. 71, No. 5, Sept. 2007, Ky. Bench & Bar 31.

329A.015. License required to hold self out as private investigator — Criminal background check.

No person or company shall hold himself or herself out to the public as a private investigator or use any terms, titles, or abbreviations that express, infer, or imply that the person is licensed as a private investigator unless the person at the time holds a license to practice private investigating issued and validly existing under the laws of this Commonwealth as provided in this chapter. All applicants shall pass a criminal background check based on criteria established under KRS 329A.035 .

History. Enact. Acts 2002, ch. 269, § 2, effective July 15, 2002.

Legislative Research Commission Note.

(4/21/2004). 2004 Ky. Acts ch. 186, sec. 11, reads as follows:

“(1) Notwithstanding KRS 7.123 to the contrary, any private investigating firm that has had its headquarters in the Commonwealth of Kentucky for at least two (2) years prior to July 15, 2002, shall receive a license issued under KRS Chapter 329A automatically upon filing the appropriate application and paying the appropriate fee to the board within sixty (60) days after the effective date of this Act.

“(2) Notwithstanding KRS 7.123 to the contrary, any person actively engaged in full-time or part-time investigator work in this state as a private investigator or as an investigator for a law enforcement agency for a continuous period of at least two (2) years prior to July 15, 2002, shall receive a license as a private investigator issued under KRS Chapter 329A automatically upon:

“Filing an application with the board within sixty (60) days after the effective date of this Act, including supporting documentation; and

“(b) Paying the licensure fee.”

(6/24/2003). 2003 Ky. Acts ch. 150, sec. 16, reads as follows:

“(1) Notwithstanding KRS 7.123 to the contrary, any private investigating firm that has had its headquarters in the Commonwealth of Kentucky for at least two (2) years prior to July 15, 2002, shall receive a license issued under KRS Chapter 329A automatically upon filing the appropriate application and paying the appropriate fee to the board by October 1, 2003.

“(2) Notwithstanding KRS 7.123 to the contrary, any person actively engaged in full-time or part-time investigatory work in this state as a private investigator or as an investigator for a law enforcement agency for a continuous period of at least two (2) years prior to July 15, 2002, shall receive a license as a private investigator issued under KRS Chapter 329A upon:

“(a) Filing an application with the board prior to October 1, 2003, including supporting documentation;

“(b) Paying the licensure fee; and

“(c) Passing the examination administered by the board in accordance with KRS 329A.025 unless the board, in its discretion and on a case by case basis, waives the examination requirement.”

NOTES TO DECISIONS

1.Expert Testimony.

In an arson trial, KRS 329A.015 , 329A.010 did not prohibit defendant’s fire scene expert from testifying, even though he was not a licensed private investigator. Providing testimony in a court proceeding is not the equivalent of selling the public one’s services as a private detective, and Kentucky’s statutes governing the practice of private investigating are simply not meant to have any evidentiary effect. Lukjan v. Commonwealth, 358 S.W.3d 33, 2012 Ky. App. LEXIS 5 (Ky. Ct. App. 2012).

329A.020. Kentucky Board of Licensure for Private Investigators — Members — Appointment — Vacancies — Reimbursement — Meetings — Removal of members — Liability insurance.

  1. The Kentucky Board of Licensure for Private Investigators is hereby created.
  2. The board shall consist of seven (7) members appointed by the Governor.
    1. One (1) member shall be an attorney from the Office of the Attorney General to be designated by the Attorney General;
    2. One (1) member shall be a municipal police officer of the rank of captain or above;
    3. One (1) member shall be a county sheriff;
    4. Three (3) members shall each have been private investigators for at least five (5) years prior to the date of their appointment and shall be of recognized business standing; and
    5. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice of private investigating.
  3. All members shall be residents of this state and possess good moral character.
  4. The original members of the board shall be appointed by no later than January 1, 2003, as follows:
    1. One (1) member to a one (1) year term;
    2. Two (2) members to a two (2) year term;
    3. Two (2) members to a three (3) year term; and
    4. Two (2) members to a four (4) year term.
  5. After the initial appointments to the board, all members shall serve a two (2) year term.
  6. Any vacancy occurring on the board shall be filled by the Governor.
  7. No member may serve more than two (2) full consecutive terms.
  8. No member shall continue to serve if the member no longer meets the qualifications required under subsections (2) and (3) of this section.
  9. The three (3) board members who are private investigators and the member at large shall receive the sum of one hundred dollars ($100) per day for each day the board meets. All members shall receive reimbursement for actual and necessary expenses incurred in the performance of their official duties.
  10. The board shall annually elect a chairman, a vice chairman, and a secretary-treasurer from the membership of the board.
  11. The board shall hold at least two (2) meetings annually and additional meetings as the board may deem necessary. Additional meetings may be held upon call of the chairman or upon written request of a quorum. Four (4) members of the board shall constitute a quorum to conduct business.
  12. Upon recommendation of the board, the Governor may remove any member of the board for neglect of duty or malfeasance in office.
  13. The board may purchase professional liability insurance for the board members and agents and staff of the board.

History. Enact. Acts 2002, ch. 269, § 3, effective July 15, 2002; 2004, ch. 186, § 1, effective April 21, 2004.

329A.025. Duties and powers of board.

  1. The board shall administer and enforce the provisions of KRS 329A.010 to 329A.090 and shall evaluate the qualifications of applicants for licensure and issue licenses.
  2. The board shall:
    1. Implement the provisions of KRS 329A.010 to 329A.090 through the promulgation of administrative regulations in accordance with the provisions of KRS Chapter 13A;
    2. Promulgate administrative regulations to establish fees which shall not exceed the amounts necessary to generate sufficient funds to effectively carry out and enforce the provisions of KRS 329A.010 to 329A.090 ;
    3. Promulgate by administrative regulation an examination to be administered at least twice annually to license applicants. The examination shall be designed to measure knowledge and competence in private investigating, including but not limited to the following subject areas:
      1. Federal and state constitutional principles;
      2. Court decisions related to activities which could result in liability for the invasion of privacy or other activities;
      3. Eavesdropping and related offenses, assault and related offenses, search and seizure laws, and laws regarding unlawful access to a computer;
      4. General weapons use and concealed weapons laws;
      5. Additional state criminal laws and related procedures that are relevant to the practice of private investigating; and
      6. Additional subject areas as determined by the board; and
    4. Promulgate by administrative regulation a code of professional practice and conduct that shall be based upon generally recognized principles of professional ethical conduct and be binding upon all licensees.
  3. The board may:
    1. Contract with the Department of Professional Licensing within the Public Protection Cabinet for the provision of administrative services;
    2. Employ any persons it deems necessary to carry on the work of the board. The board may define their duties and fix their compensation;
    3. Develop or sponsor at least six (6) hours of continuing professional education annually;
    4. Approve and certify a forty (40) hour training class covering the subject areas of the licensing examination;
    5. Renew licenses and require continuing professional education as a condition for renewal;
    6. Waive the examination requirement for any applicant licensed in a reciprocal state as prescribed in subsection (3)(m) of this section, who is licensed in good standing in that state and meets all of the other requirements of KRS 329A.035 ;
    7. Suspend or revoke licenses, impose supervisory or probationary conditions upon licensees, impose administrative disciplinary fines, or issue written admonishments or reprimands, or any combination thereof;
    8. Issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provisions of KRS 329A.010 to 329A.090 ;
    9. Conduct hearings pursuant to KRS Chapter 13B and keep records and minutes necessary to carry out the board’s functions;
    10. Organize itself into two (2) panels to separate the functions of inquiry and hearings. Each panel shall have the power to act as either an inquiry or hearing panel. No member serving on the inquiry panel shall serve on the hearing panel for any one (1) particular case. Any final decision of the hearing panel shall be considered as the final decision of the board and the hearing panel may exercise all powers granted to the board pursuant to KRS Chapter 13B;
    11. Utilize mediation as a technique to resolve disciplinary matters;
    12. Seek injunctive relief in the Circuit Court of the county where the alleged unlawful practice occurred to stop the unlawful practice of private investigating by unlicensed persons or companies; and
    13. Negotiate and enter into reciprocal agreements with appropriate officials in other states to permit licensed investigation companies and private investigators who meet or exceed the qualifications established in KRS 329A.010 to 329A.090 to operate across state lines under mutually acceptable terms.

History. Enact. Acts 2002, ch. 269, § 4, effective July 15, 2002; 2004, ch. 186, § 2, effective April 21, 2004; 2009, ch. 12, § 51, effective June 25, 2009; 2010, ch. 24, § 1694, effective July 15, 2010; 2017 ch. 178, § 31, effective April 11, 2017.

Legislative Research Commission Note.

(4/21/2004). 2004 Ky. Acts ch. 186, sec. 12, reads as follows: “Any person licensed in accordance with section 2 of this Act [KRS 329A.025 ] shall have his or her renewal fee under KRS 329A.045 decreased in an amount that reflects the difference between the initial fee paid to the board and the fee established in Section 4 of this Act [KRS 329A.040 ], if the initial fee paid by the licensee was in excess of the fee established in Section 4 of this Act [KRS 329.040 ]. This decrease in the renewal fee shall be limited to the first renewal of such a licensee made after the effective date of this Act.” The effective date of sec. 12 is April 21, 2004.

NOTES TO DECISIONS

1.Expert Testimony.

Kentucky Board of Licensure for Private Investigators, in its role under KRS 329A.025 , was not involved in addressing an individual’s ability to testify as an expert witness on the cause and/or origin of a fire. Lukjan v. Commonwealth, 358 S.W.3d 33, 2012 Ky. App. LEXIS 5 (Ky. Ct. App. 2012).

329A.030. Revolving fund.

  1. All fees and other moneys received by the board pursuant to the provisions of KRS 329A.010 to 329A.090 shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board.
  2. No part of this revolving fund shall revert to the general fund of this Commonwealth.
  3. The revolving fund may be used to pay for:
    1. The compensation and reimbursement of board members for actual and necessary expenses incurred in the performance of official duties;
    2. The compensation of all of the employees of the board;
    3. Those operational and capital expenses incurred in fulfilling the board’s duties as described in KRS 329A.010 to 329A.090 and in administrative regulations; and
    4. The development or sponsorship of at least six (6) hours of continuing education courses annually, to be conducted in various areas of the state.

History. Enact. Acts 2002, ch. 269, § 5, effective July 15, 2002.

329A.035. Applications for licenses — Requirements — Confidentiality.

  1. An application for a private investigator license shall be filed with the board on the prescribed form.
    1. The application shall include the following information regarding the applicant:
      1. Full name and address;
      2. Date and place of birth;
      3. Social Security number;
      4. All residences during the past five (5) years;
      5. All employment or occupations engaged in during the past five (5) years;
      6. Three (3) sets of classifiable fingerprints; and
      7. Any other information as the board may reasonably require by administrative regulation.
    2. The application shall be subscribed and sworn to by the applicant.
    3. If the applicant intends to conduct fire or arson investigations, proof of current national certification from the National Association of Fire Investigators or the International Association of Arson Investigators shall be filed with the board in addition to the information required in paragraph (a) of this subsection.
  2. An application for an investigating company license shall be filed with the board on the prescribed form.
    1. The application shall include:
      1. The information required in subsection (1)(a) of this section for:
        1. The owner, if the company is a sole proprietorship;
        2. Each partner, if the company is a partnership; or
        3. The qualifying agent, if the company is a corporation;
      2. The name under which the company intends to do business;
      3. The address of the principal place of business and any branch offices of the company within this state; and
      4. Other information as the board may reasonably require by administrative regulation.
    2. If the company is a corporation, the following information is also required:
      1. The correct legal name of the corporation;
      2. The state and date of incorporation;
      3. The date the corporation qualified to do business in this state;
      4. The address of the corporate headquarters, if located outside of this state;
      5. The names of two (2) principal corporate officers other than the qualifying agent, their business addresses, residence addresses, and the office held by each in the corporation; and
      6. The identity and license number of all private investigators employed by or affiliated with the company.
    3. The application shall be subscribed and sworn to by:
      1. The owner, if the applicant is a sole proprietorship;
      2. Each partner, if the applicant is a partnership; or
      3. The qualifying agent, if the applicant is a corporation.
  3. Each applicant for an individual license or owner, partner, or qualifying agent for a company license shall:
    1. Be at least twenty-one (21) years of age;
    2. Be a citizen of the United States or a resident alien;
    3. Have a high school education or its equivalent;
    4. Not receive a license until the earlier of:
      1. The expiration of ten (10) years from the applicant’s release from a sentence imposed by any state or territory of the United States or the federal government for the commission of a felony, including a sentence of confinement or time served on probation, parole, or other form of conditional release or discharge; or
      2. The date the applicant received a restoration of the applicant’s civil rights;
    5. Not have been convicted of a misdemeanor involving moral turpitude or for which dishonesty is a necessary element within the previous five (5) years;
    6. Not have been dishonorably discharged from any branch of the Armed Forces of the United States;
    7. Not have had his or her certification as a peace officer revoked in this or another state;
    8. Not have been declared by any court of competent jurisdiction to be incompetent by reason of mental defect or disease unless a court of competent jurisdiction has since declared the applicant to be competent;
    9. Not have been voluntarily or involuntarily committed to a facility or outpatient program for the abuse of a controlled substance or been convicted of a misdemeanor violation of KRS Chapter 218A or similar laws of any other state relating to controlled substances within the three (3) year period immediately preceding the date on which the application is submitted;
    10. Not chronically and habitually use alcoholic beverages as evidenced by:
      1. The applicant having two (2) or more convictions for violating KRS 189A.010 within the three (3) year period immediately preceding the date on which the application is submitted; or
      2. The applicant having been committed as an alcoholic pursuant to KRS Chapter 222, or similar laws of any other state, within the three (3) year period immediately preceding the date on which the application is submitted;
    11. Not chronically and habitually use alcoholic beverages or drugs to the extent that his or her normal faculties are impaired;
    12. Be of good moral character;
    13. Pass an examination administered by the board in accordance with KRS 329A.025(2)(c); and
    14. Submit proof of coverage which meets the following requirements:
      1. Is written by an insurance company which is lawfully engaged to provide insurance coverage in Kentucky;
      2. Provides for a combined single-limit policy in the amount of at least two hundred fifty thousand dollars ($250,000); and
      3. Insures for liability all of the applicant’s employees while acting in the course of their employment. Private investigators who limit their practice exclusively to working under the supervision and as employees of an attorney who is licensed to practice law in this state are exempted from the requirement of this paragraph.
  4. The board shall maintain the confidentiality of information relating to the licensee or applicant, except that the board may provide this information to local, state, or federal law enforcement agencies.
  5. Upon inquiry by any individual or entity, the board or the board’s administrative staff shall provide or confirm the license status of any private investigator or private investigating company.

History. Enact. Acts 2002, ch. 269, § 6, effective July 15, 2002; 2004, ch. 186, § 3, effective April 21, 2004.

329A.040. Board’s duties upon receipt of application — Approval — License and identification card — Individual license.

  1. Upon receipt of a license application, accompanied by a nonrefundable, nonproratable fee of not less than one hundred dollars ($100) and not more than four hundred dollars ($400), as established by the board by promulgation of administrative regulations, the board shall:
    1. Conduct an investigation to determine whether the statements made in the application are true; and
    2. Submit the application, including fingerprints as appropriate, to the Department of Kentucky State Police and the Administrative Office of the Courts for a state criminal history background check. The Department of Kentucky State Police may submit fingerprints of any applicant to the Federal Bureau of Investigation for a national criminal history background check. The board may by administrative regulation impose additional qualifications to meet the requirements of Pub. L. No. 92-544. The applicant for licensure shall bear the additional cost, in an amount not to exceed the actual cost, incurred for the criminal background check.
  2. Following the investigation process, the board shall either deny or approve the application.
    1. If the application for a license is denied, the board:
      1. Shall notify the applicant in writing and set forth the grounds for denial. If the grounds are subject to correction by the applicant, the notice of denial shall so state and specify a reasonable period of time within which the applicant must make the correction; and
      2. Shall grant a hearing to the denied applicant in accordance with the provisions of KRS Chapter 13B.
    2. If the application for a license is approved, the board shall issue:
      1. A license to be posted conspicuously in the licensee’s principal place of business; and
      2. A wallet-sized laminated identification card to each individual licensee to be carried while engaged in private investigation. Information on the card shall include the expiration date of the license and the licensee’s:
        1. Name;
        2. Photograph;
        3. Physical characteristics; and
        4. License number.
  3. A license or identification card issued under subsection (2) of this section is not assignable and is personal to the licensee.
  4. For purposes of this section and KRS 329A.035 , any company whose workforce is comprised of no more than one (1) private investigator shall only be required to have an individual private investigator’s license. If at any time the workforce of such a company increases, the company shall notify the board of the workforce increase and shall seek a company license in addition to the individual private investigator’s license.

History. Enact. Acts 2002, ch. 269, § 7, effective July 15, 2002; 2004, ch. 186, § 4, effective April 21, 2004; 2007, ch. 85, § 300, effective June 26, 2007.

329A.045. Renewal — Fee — Grace period — Termination and reinstatement — Revocation — Evidence of continuing education — Inactive status.

  1. A license or renewal issued under KRS 329A.010 to 329A.090 shall be valid for two (2) years from the date of issuance. No later than May 1 in the license renewal year, the board shall send a renewal application form to the address on file for each licensee. The renewal application shall indicate if the licensee is required to submit passport-sized photographs for a new identification card.
  2. All renewal applications shall be received by the board on or before June 30 in the year of renewal.
  3. Each company license renewal shall include a notarized statement sworn to by the representative prescribed in KRS 329A.035(2)(c) stating the identity and license number of each private investigator employed by or affiliated with the company.
  4. The fee for the timely renewal of a license shall be not less than fifty dollars ($50) and not more than two hundred fifty dollars ($250), as established by the board by promulgation of administrative regulations.
  5. For individual licensees, the board shall, at its discretion, issue either a new identification card or a renewal stamp or sticker to be affixed to the existing card.
  6. A grace period shall be allowed until September 1 of the license renewal year, during which time licensees may continue to practice and may renew their licenses upon payment of the renewal fee plus a late fee as promulgated by administrative regulation of the board.
  7. All licenses not renewed by September 1 of the renewal year shall terminate based on the failure to renew in a timely manner. Upon termination, the licensee is no longer eligible to practice in this state.
  8. After September 1 of the renewal year, former licensees with a terminated license may have their licenses reinstated upon payment of the renewal fee plus a reinstatement fee as promulgated by administrative regulation of the board. If the reinstatement application is made within five (5) years from the date of termination, applicants shall not be required to submit to any examination as a condition for reinstatement.
  9. A revoked license may not be renewed. If it is reinstated, the licensee shall pay the reinstatement fee as set forth in subsection (8) of this section and the renewal fee as set forth in subsection (4) of this section.
  10. A former licensee who fails to reinstate a license within five (5) years after termination may not have it renewed, restored, or reinstated. A person may apply for and obtain a new license by meeting the current requirements for licensure.
  11. The board may require that a person applying for a renewal or reinstatement of licensure show evidence of completion of continuing professional education as prescribed by the board in administrative regulations.
  12. 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.

History. Enact. Acts 2002, ch. 269, § 8, effective July 15, 2002.

329A.050. Change of ownership — Agent who ceases to perform duties.

  1. If the ownership of an investigating company changes, the new owner, if not already a licensee, shall not operate that company more than thirty (30) days after the date of the ownership change unless, within the thirty (30) day period, the new owner submits an application for a license.
    1. If the application is submitted, the new owner may continue to operate the company until the application has been finally determined by the board.
    2. The board may extend for a reasonable time the period for submitting an application under this subsection.
  2. If the qualifying agent of a company ceases to perform the duties of an agent on a regular basis, the licensee shall notify the board by certified or registered mail within thirty (30) days and substitute a new qualifying agent within ninety (90) days. The board may extend for a reasonable time the period for obtaining a substitute qualifying agent.

History. Enact. Acts 2002, ch. 269, § 9, effective July 15, 2002.

329A.055. Prohibited acts.

No licensee shall:

  1. Use a badge for identification or make any statement which would reasonably cause another person to believe that the licensee functions as a sworn peace officer or other official of the state, any of its political subdivisions, or an agency of the federal government;
  2. Divulge to anyone, other than his or her client, or to such persons as his or her client may direct, or as may be required by law, any information acquired during such employment that may compromise the client, the person who is the subject of the investigation, or the investigation to which the licensee has been assigned;
  3. Knowingly make a material misrepresentation as to his or her ability to perform the investigation required by a potential client in order to obtain employment;
  4. Knowingly make a material misrepresentation to the client regarding the investigation; or
  5. Continue an investigation for a client when it becomes obvious to the licensee that a successful completion of an investigation is unlikely, unless the licensee advises the client and obtains the client’s approval for continuation of the investigation.

History. Enact. Acts 2002, ch. 269, § 10, effective July 15, 2002.

329A.060. Investigation of licensee wrongdoing — Hearing — Admonishment.

  1. The board may investigate allegations of licensee wrongdoing upon complaint or upon its own volition. The board shall promulgate administrative regulations regarding the receiving and investigating of complaints.
  2. If the board’s investigation reveals evidence supporting the complaint, the board shall set the matter for hearing pursuant to the provisions of KRS Chapter 13B before suspending, revoking, imposing probationary or supervisory conditions or an administrative fine, issuing a written reprimand, or any other combination of actions regarding any license under the provisions of KRS 329A.010 to 329A.090 .
  3. If, after an investigation that includes an opportunity for the licensee to respond, the board determines that a violation took place but was not of a serious nature, it may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the board’s permanent licensure file. The licensee shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have that response placed in the board’s permanent licensure file. The licensee may, within thirty (30) days of receipt, file 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 under the provisions of KRS Chapter 13B.

History. Enact. Acts 2002, ch. 269, § 11, effective July 15, 2002.

329A.065. Disciplinary actions — Civil penalty — Permanent file — Assurance of voluntary compliance — Appeal.

  1. The board may refuse to issue a license, or suspend, revoke, impose probationary conditions, impose an administrative fine, issue a written reprimand, or any combination thereof regarding any licensee upon proof that the licensee or applicant has:
    1. Violated any provision of KRS 329A.010 to 329A.090 or any administrative regulation promulgated by the board;
    2. Knowingly and willfully made a material misstatement in connection with an application for license or renewal;
    3. Been convicted of a felony, if in accordance with KRS Chapter 335B;
    4. Practiced fraud, deceit, or misrepresentation;
    5. Committed any act that would have been cause for refusal to issue the license had it existed and been known to the board at the time of issuance;
    6. Been incompetent or negligent in the practice of private investigating; or
    7. Violated the code of ethics promulgated by administrative regulation by the board.
  2. In addition to or in lieu of any other lawful disciplinary action under this section, the board may assess a civil penalty not exceeding two thousand dollars ($2,000).
  3. When the board issues a written reprimand to the licensee a copy of the reprimand shall be placed in the permanent file of the licensee. The licensee shall have the right to submit a response within thirty (30) days of its receipt and to have that response filed in the permanent file.
  4. At any time during the investigative or hearing processes, the board may accept an assurance of voluntary compliance from the licensee if the assurance effectively deals with the complaint.
  5. The board may reconsider, modify, or reverse its probation, suspension, or other disciplinary action.
  6. Any party aggrieved by a disciplinary action of the board may bring an action in Franklin Circuit Court pursuant to the provisions of KRS Chapter 13B.
  7. A license shall be subject to expiration and renewal during any period in which the license is suspended.

HISTORY: Enact. Acts 2002, ch. 269, § 12, effective July 15, 2002; 2017 ch. 158, § 79, effective June 29, 2017.

329A.070. Scope of KRS 329A.010 to 329A.090.

The provisions of KRS 329A.010 to 329A.090 do not apply to:

  1. An officer or employee of the United States, this state, another state, or any political subdivision thereof, performing his or her official duties within the course and scope of his or her employment;
  2. A public accountant, certified public accountant, or the bona fide employee of either, performing duties within the scope of public accountancy;
  3. A person engaged exclusively in the business of obtaining and furnishing information regarding the financial rating or standing and credit of persons;
  4. An attorney-at-law, or an attorney’s bona fide employee, performing duties within the scope of the practice of law or authorized agent with duties limited to document and record retrieval or witness interviews;
  5. An insurance company, licensed insurance agent, staff or independent adjuster if authorized to do business in Kentucky, or an individual employed by an insurance company or licensed insurance agent to investigate suspected fraudulent insurance claims, but who does not adjust losses or determine claims payments, performing investigative duties limited to matters strictly pertaining to an insurance transaction;
  6. A person engaged in compiling genealogical information, or otherwise tracing lineage or ancestry, by primarily utilizing public records and historical information or databases;
  7. A private business employee conducting investigations relating to the company entity by which he or she is employed;
  8. An individual obtaining information or conducting investigations on his or her own behalf;
  9. An employee of a private investigator or a private investigating firm who works under the direction of the private investigator or the private investigating firm for less than two hundred forty (240) hours per year. The board shall promulgate administrative regulations to establish a method of verification of the number of hours worked;
  10. A professional engineer, a professional land surveyor, or a professional engineer’s or professional land surveyor’s bona fide employee, performing duties within the scope of practice of engineering or land surveying; or
  11. A secured creditor, or person acting on behalf of a secured creditor, engaged in the repossession of the creditor’s collateral pursuant to KRS 355.9-609 .

HISTORY: Enact. Acts 2002, ch. 269, § 13, effective July 15, 2002; 2004, ch. 38, § 1, effective July 13, 2004; 2004, ch. 186, § 5, effective April 21, 2004; 2005, ch. 81, § 1, effective June 20, 2005; 2017 ch. 34, § 1, effective June 29, 2017.

329A.075. Notification of board.

  1. A licensee shall notify the board in writing within thirty (30) days of:
    1. Any material change in the information previously furnished or required to be furnished to the board;
    2. Any occurrence that could reasonably be expected to affect the licensee’s right to a license under KRS 329A.010 to 329A.090 , including but not limited to any criminal charges placed against the licensee or employees of the licensee;
    3. Any change in insurance coverage required under KRS 329A.035 ; and
    4. Any claims, judgments, or settlements against the licensee, the licensee’s employees, or the licensee’s insurance company.
  2. An investigative company shall notify the board in writing within thirty (30) days of any criminal charges filed against an investigator employed by or affiliated with the company.

History. Enact. Acts 2002, ch. 269, § 14, effective July 15, 2002.

329A.080. Penalty for violation of KRS 329A.015.

Any person violating KRS 329A.015 shall be guilty of a Class A misdemeanor for the first offense and a Class D felony for a second or subsequent offense.

History. Enact. Acts 2002, ch. 269, § 15, effective July 15, 2002; 2004, ch. 186, § 6, effective April 21, 2004.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for felony, see KRS 532.060 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

329A.085. Legislative intention to occupy field.

The General Assembly intends, by the provisions of this chapter, to occupy the entire field of regulation and licensing of private investigators. No cities, counties, urban-county governments, charter counties, consolidated local governments, or other political subdivisions of the Commonwealth may adopt or continue in effect any ordinance, resolution, regulation, or rule regarding the regulation of private investigators. Nothing in this section shall be construed to abrogate any authority afforded by this chapter to the Kentucky Board of Licensure of Private Investigators.

History. Enact. Acts 2002, ch. 269, § 16, effective July 15, 2002.

329A.090. Short title for KRS 329A.010 to 329A.090.

KRS 329A.010 to 329A.090 may be cited as the Kentucky Private Investigators Licensing Act.

History. Enact. Acts 2002, ch. 269, § 17, effective July 15, 2002.

329A.095. Licensure and certification for private investigators conducting fire or arson investigations.

  1. Any private investigator who conducts fire or arson investigations in the state of Kentucky shall be:
    1. Licensed in accordance with KRS 329A.025 ; and
    2. Certified by the National Association of Fire Investigators or the International Association of Arson Investigators as a fire and explosion investigator.
  2. Upon revocation of his or her certification by either the National Association of Fire Investigators or the International Association of Arson Investigators, a private investigator who conducts fire or arson investigations shall cease the practice of fire or arson investigation.
  3. Fire or arson investigation by a licensee under this chapter shall be prohibited without certification.

History. Enact. Acts 2004, ch. 186, § 7, effective April 21, 2004.

NOTES TO DECISIONS

1.Expert Testimony.

In an arson trial, KRS 329A.015 , 329A.010 did not prohibit defendant’s fire scene expert from testifying, even though he was not a licensed private investigator. Providing testimony in a court proceeding is not the equivalent of selling the public one’s services as a private detective, and Kentucky’s statutes governing the practice of private investigating are simply not meant to have any evidentiary effect. Lukjan v. Commonwealth, 358 S.W.3d 33, 2012 Ky. App. LEXIS 5 (Ky. Ct. App. 2012).

CHAPTER 330 Auctioneers and Auction House Operators

330.010. Title.

This chapter shall be known and may be cited as the Auctioneers License Law of 1962.

History. Enact. Acts 1962, ch. 251, § 1; 2009, ch. 70, § 1, effective June 25, 2009.

Opinions of Attorney General.

The adoption of KRS 330.010 to 330.990 requires that a license be obtained by a person who desires to sell real estate at auction from both the Real Estate Commission and the Board of Auctioneers. OAG 62-518 .

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Auctions and Auctioneers, § 334.00.

330.020. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Advertisement” means any written, oral, or electronic communication that:
    1. Offers real or personal property or any combination thereof by or at auction; or
    2. Promotes, solicits, induces, or offers to conduct an auction or to provide auction services;
  2. “Apprentice auctioneer” means any person who is employed or supervised, directly or indirectly, by an auctioneer to deal or engage in any activity in subsection (6) of this section, excluding the authority to enter into an auction listing contract or to independently maintain an auction escrow account;
  3. “Auction” means any method of sale, lease, or exchange of real property, personal property, or any combination thereof, by means of competitively increasing or decreasing bids. Any sale, lease, or exchange of real property, personal property, or any combination thereof, advertised or presented in any way by or at auction, is an auction for the purposes of this chapter;
    1. “Auction house” means any fixed-base commercial establishment at which personal property is regularly or customarily offered at auction, or at which personal property is customarily or regularly deposited and accepted, on consignment or otherwise, for sale at auction at a fixed location; (4) (a) “Auction house” means any fixed-base commercial establishment at which personal property is regularly or customarily offered at auction, or at which personal property is customarily or regularly deposited and accepted, on consignment or otherwise, for sale at auction at a fixed location;
    2. “Auction house” does not mean:
      1. Those establishments which limit personal property sold in regard to Thoroughbred horses or other horses or any interests therein, including but not limited to horse shares and seasons;
      2. Tobacco and fixed-base livestock markets regulated by the United States Department of Agriculture; or
      3. Fixed-base motor vehicle markets regulated by the Kentucky Motor Vehicle Commission pursuant to KRS Chapter 190;
  4. “Auction house operator” means the individual principally or ultimately responsible for the operation of an auction house, or in whose principal interest the establishment is operated. The auction house operator is responsible for retaining a licensed auctioneer to call bids at all auctions at the auction house;
  5. “Auctioneer” or “principal auctioneer” means any person who offers, solicits, negotiates, or attempts to offer, solicit, or negotiate an auction listing contract, sale, lease, or exchange of real property, personal property, or any other item of value, or any combination thereof, which may lawfully be kept or offered for sale, lease, or exchange, or any combination thereof, by or at auction, or who offers the same at auction and who is allowed to supervise and accepts the responsibility of sponsoring one (1) or more apprentice auctioneers;
  6. “Board” means the Board of Auctioneers;
  7. “Escrow account” means an account, separate from the auctioneer’s individual or office account, in which all money belonging to others is held for the preservation and guarantee of funds until disbursement to the appropriate party;
  8. “Limited livestock auctioneer” means any auctioneer whose professional activities are limited to the calling of bids at the sale of livestock at fixed-based livestock yards operating under the control and guidance of the United States Department of Agriculture;
  9. “Personal property” means any tangible or intangible property, goods, services, chattels, merchandise, commodities, or any item of value in any form or type, other than real property, which may be lawfully kept or offered for sale, exchange, or lease;
  10. “Person” means any individual, association, partnership, corporation, limited liability company, or other business entity, including any officer, director, or employee thereof;
  11. “Real property” means real estate in its ordinary meaning, including but not limited to timeshares, options, leaseholds, and other interests less than leaseholds of any form or type which may be lawfully kept or offered for sale, exchange, or lease; and
  12. “Sealed bid auction” means a sealed bidding procedure which incorporates or allows for any competitive increasing or decreasing of bids after the opening of sealed bids. A “sealed bid auction” is an auction subject to the provisions of this chapter.

History. Enact. Acts 1962, ch. 251, § 2; 1978, ch. 80, § 1, effective June 17, 1978; 1990, ch. 170, § 1, effective July 13, 1990; 1992, ch. 344, § 1, effective July 14, 1992; 1998, ch. 285, § 1, effective July 15, 1998; 2009, ch. 70, § 2, effective June 25, 2009; 2019 ch. 118, § 1, effective June 27, 2019.

NOTES TO DECISIONS

Cited:

Rexing v. Doug Evans Auto Sales, Inc., 703 S.W.2d 491, 1986 Ky. App. LEXIS 1027 (Ky. Ct. App. 1986).

Opinions of Attorney General.

Sales of repossessed property must be conducted by a licensed auctioneer as provided for in KRS 330.030 . OAG 79-63 .

Since under subdivision (5) (now (10)) of this section “persons” are defined to include individuals, associations, partnerships and corporations and also include officers, directors and employees of a corporation, where the owners were selling their own property (repossessed collateral) pursuant to the provisions of KRS 355.9-504 and the property was not acquired for resale but as security for a loan it would appear that an auction of repossessed collateral was within the exemption provided in KRS 330.040 as amended and such a sale did not require a licensed auctioneer to be present for the conduct of the sale. OAG 79-362 .

330.030. Auctioneer’s license required — When auction house operator’s license required — When escrow account required.

  1. It is unlawful for any person to advertise or act as an auctioneer or apprentice auctioneer within the Commonwealth, or advertise or act as an auctioneer or apprentice auctioneer of real or personal property located within the Commonwealth, without a license issued by the board.
  2. It is unlawful for any person to advertise or act as a limited livestock auctioneer within the Commonwealth without a license issued by the board.
    1. It is unlawful for any person to advertise or act as an auction house operator within the Commonwealth without a license issued by the board. (3) (a) It is unlawful for any person to advertise or act as an auction house operator within the Commonwealth without a license issued by the board.
    2. An auction house operator shall be a licensed auctioneer or apprentice auctioneer if he or she acts as an auctioneer or apprentice auctioneer. If licensed as an auctioneer, an auction house operator license shall not be required.
    3. If an auction house operator conducts and operates more than one (1) auction house, a license shall be issued for each location, and the initial and renewal fees shall be applicable.
    4. This subsection applies to each co-owner or manager of an auction house who actively participates in the operation of the auction house, but who is not an auctioneer.
    1. Each licensed principal auctioneer or auction house operator who takes possession of money for another in relation to an auction shall maintain at least one (1) escrow account. (4) (a) Each licensed principal auctioneer or auction house operator who takes possession of money for another in relation to an auction shall maintain at least one (1) escrow account.
    2. If a licensee already maintains an escrow account due to licensure pursuant to KRS Chapter 198B, 324, or 324A, the licensee shall not be required to maintain a second, separate escrow account.

History. Enact. Acts 1962, ch. 251, § 3; 2009, ch. 70, § 3, effective June 25, 2009; 2015 ch. 14, § 3, effective June 24, 2015; 2019 ch. 118, § 2, effective June 27, 2019.

Opinions of Attorney General.

If one (1) man who possesses both a real estate broker’s license and an auctioneer’s license may conduct an auction sale of real property, in the absence of legislation to the contrary, two (2) men holding separate licenses, one (1) in each of these fields, could combine their talents and licensed authority to represent an owner in an auction sale. OAG 64-201 .

A licensed auctioneer may not sell real estate at auction without a real estate brokers’ license. A licensed real estate broker may not sell real estate at auction without an auctioneer’s license. However, a real estate broker and an auctioneer may collaborate in the sale of real estate at auction. OAG 65-759 .

Real estate brokers and salesmen should not utilize advertising stating that they are “offering auction services” either individually or as members of a firm where neither such individual broker or salesman nor any member of the firm is a licensed auctioneer. OAG 72-580 .

Any individual, partnership or corporation may conduct a public auction of products owned by such “persons” without first being required to obtain an auctioneer’s license. OAG 77-354 .

330.032. License required for real estate sales at auction — Collaboration between auctioneer and real estate broker.

  1. A licensed auctioneer shall not sell real estate at auction without a real estate broker’s license.
  2. A licensed real estate broker shall not sell real estate at auction without an auctioneer’s license.
  3. Notwithstanding the provisions set forth in KRS 426.522 , an auctioneer and real estate broker may collaborate in conducting the sale of real estate at auction. When an auctioneer and real estate broker collaborate in the conduct of a sale of real estate at auction, a real estate broker shall be paid for services rendered as a broker, and an auctioneer shall be paid for services rendered as an auctioneer.

HISTORY: 2015 ch. 14, § 1, effective June 24, 2015.

330.033. Limited licenses for livestock and tobacco auctioneers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 344, § 3, effective July 14, 1992) was repealed by Acts 2009, ch. 70, § 22, effective June 25, 2009.

330.035. License required to act as auction house operator. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 170, § 2, effective July 13, 1990; 1992, ch. 344, § 2, effective July 14, 1992) was repealed by Acts 2009, ch. 70, § 22, effective June 25, 2009.

330.040. Exceptions to KRS 330.030.

  1. KRS 330.030 shall not apply to:
    1. An auction conducted by or under the direction of any public authority or pursuant to any judicial order or decree, or to any sale required by law to be at auction;
    2. An auction of any real or personal property conducted exclusively by an individual who personally owns such real or personal property and who did not acquire such real or personal property for resale. This paragraph is applicable only to individuals. It does not apply to any other “person” as defined in KRS 330.020 , nor does it apply to any officer, director, or employee thereof when engaged in any duties associated with those capacities.
    3. Any person who calls bids at the sale of livestock owned and offered at auction by 4-H Clubs or FFA Clubs or club members, or by any university operated by the Commonwealth of Kentucky;
    4. An auction conducted by or on behalf of any political party, church, or charitable organization, corporation, or association if:
      1. The individual conducting the sale receives no compensation and does not, by advertising or otherwise, present himself or herself as a licensed auctioneer;
      2. All real or personal property is donated and not consigned; and
      3. One hundred percent (100%) of the net proceeds of the auction are donated to the political party, church, or charitable organization, corporation, or association; or
    5. A student who:
      1. Is calling bids for a maximum of twenty (20) items or lots of personal property during a twenty-four (24) hour period at an auction;
      2. Is under the direct supervision of a person who is both the student’s instructor from a board-approved auction education provider and a licensed auctioneer; and
      3. Receives no compensation and does not, by advertising or otherwise, present himself or herself as being a licensed auctioneer. The student and the supervising auctioneer instructor may both be liable for the student’s auction-related activities.
  2. Notwithstanding the provisions of this section, a licensee shall not be exempt from any provisions of this chapter in connection with or by reason of his participation in any sale excepted under this section.

History. Enact. Acts 1962, ch. 251, § 4; 1964, ch. 112, § 1; 1978, ch. 80, § 2, effective June 17, 1978; 1982, ch. 79, § 1, effective July 15, 1982; 1984, ch. 407, § 1, effective July 13, 1984; 2009, ch. 70, § 4, effective June 25, 2009.

Opinions of Attorney General.

Sales of repossessed property must be conducted by a licensed auctioneer as provided for in KRS 330.030 . OAG 79-63 .

A reading of this statute makes it clear that subdivision (2) (now (1)(b)) effectively limits the exception contained therein to “individuals,” and denies the exception to “associations, partnerships, and corporations” as well as “the officers, directors and employees of a corporation.” OAG 84-83 .

The prohibition in subdivision (2) (now (1)(b)) of this section of anyone other than an “individual” from acting as an auctioneer would appear to be a proper legislative classification in light of the presumption of the statute’s constitutionality; accordingly, subdivision (2) is constitutional and does not violate Const., § 59 which forbids unreasonable or arbitrary classifications. OAG 84-83 .

330.050. Board of Auctioneers — Membership — Supplies and conveniences — Insurance — Fees and charges — Fund — List of licensees — Administrative regulations — Removal of members — Compensation.

  1. There is hereby created a Board of Auctioneers. The Governor shall appoint a board consisting of five (5) members, all of whom immediately prior to the date of their appointment have been residents of the Commonwealth of Kentucky for five (5) years, and four (4) whose vocation for a period of at least five (5) years has been that of an auctioneer. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. The term of the members of the board shall be for three (3) years and until their successors are appointed and qualified. Members to fill vacancies shall be appointed for the unexpired term.
  2. At no time shall there be more than two (2) auctioneer members of the same political party on the board. Whenever there is an auctioneer vacancy on the board, within sixty (60) days the Kentucky Auctioneer Association shall recommend to the Governor at least three (3) names for each auctioneer vacancy, and such appointment or appointments shall be made from the recommendations of the association, unless the Governor rejects the list of three (3) names and requests that the Kentucky Auctioneer Association submit a new list of three (3) names within sixty (60) days of the Governor’s request. If the Kentucky Auctioneer Association fails to timely submit its recommendations to the Governor, the Governor may immediately appoint a qualified auctioneer to fill this vacancy.
  3. The board, immediately upon qualification of the member appointed in each year, shall organize by selecting from its members a chairman.
    1. No member of the board shall reside in the same county as another member. (4) (a) No member of the board shall reside in the same county as another member.
    2. A majority of the board shall constitute a quorum for the transaction of business.
    3. No member may serve on the board for more than six (6) consecutive years. A member may serve on the board for six (6) consecutive years on more than one (1) occasion if that person is not a member of the board for at least two (2) years between periods of board service.
    1. The board shall obtain office space, furniture, stationery, and any other proper supplies and conveniences reasonably necessary to carry out the provisions of this chapter. If any items deemed to be reasonably necessary by or which are required by the board are available through vendors under contract with the Commonwealth of Kentucky at less cost than if obtained otherwise, then the items shall be acquired pursuant to the contract. (5) (a) The board shall obtain office space, furniture, stationery, and any other proper supplies and conveniences reasonably necessary to carry out the provisions of this chapter. If any items deemed to be reasonably necessary by or which are required by the board are available through vendors under contract with the Commonwealth of Kentucky at less cost than if obtained otherwise, then the items shall be acquired pursuant to the contract.
    2. The board shall have full authority to obtain for its members, staff, and employees complete insurance coverage, including, but not limited to, liability and errors and omissions insurance, so long as the insurance concerns the business of the board.
  4. All fees and charges collected by the board under the provisions of this chapter shall be paid into the State Treasury through the Finance and Administration Cabinet and shall be credited to an agency fund account for the Board of Auctioneers under the provisions of KRS 45.253 and shall be withdrawn or expended as provided in that section, if such payment, credit, withdrawal, or expense provisions do not conflict with any provision of this chapter.
    1. The board may establish and collect reasonable fees relating to the administration and enforcement of this chapter for application or other processing costs, on-line service, continuing education provider services, copy and mailing services, or other fees necessary to offset the licensing and processing costs.
    2. The total expenses for all purposes and obligations of the board shall not exceed the total fees, charges, fines, penalties, and other income imposed under the provisions of this chapter and paid into the state treasury.
    3. The board shall be financially self-sustaining, and if funds permit it may underwrite, within its financial limitations, educational programs for the enlightenment and benefit of all licensees who have paid fees pursuant to this chapter.
  5. The board shall maintain annually a list of the names and addresses of all licensees regulated by the board. This list shall also contain the names of all persons whose licenses have been suspended or revoked within the preceding year, as well as any other information relative to the enforcement of the provisions of this chapter that the board may deem of interest to the public.
  6. The board may promulgate administrative regulations with the approval of the executive director of the Kentucky Real Estate Authority in accordance with KRS Chapter 13A as required to fulfill the duties and functions assigned to the board by this chapter.
  7. A board member shall be automatically removed from the board and a vacancy shall occur when:
    1. An auctioneer member of the board ceases to be a licensed auctioneer;
    2. A nonlicensed member of the board acquires a license regulated by the board;
    3. A board member enters a plea of guilty, an Alford plea, a plea of no contest to, or has been convicted of, any felony, and the time for appeal has passed or the judgment of conviction has been finally affirmed on appeal;
    4. A board member ceases to be a resident of the Commonwealth of Kentucky;
    5. The member displays incompetence, neglect of duty, or unprofessional conduct;
    6. The member fails to adhere to a duly adopted code of ethics of the board. Failure to adhere to this code shall be determined by official action of the board;
    7. The member enters a plea of guilty to, or has been found guilty of, a felony and the time for appeal has passed or the judgment of conviction has been finally affirmed on appeal; or
    8. The member misses three (3) consecutive meetings or misses more than twenty-five percent (25%) of the meetings held over the previous twelve (12) month period.
  8. The Governor shall set the compensation of the members of the board, but voting members of the board shall be compensated no less than three hundred dollars ($300) per day for official business, subject to an annual maximum of six thousand dollars ($6,000). Members shall be reimbursed for all expenses paid and incurred in the discharge of official business consistent with the reimbursement policy for state employees. With the approval of the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing, board members and board staff may attend and travel to and from meetings and events relevant to the board and the industry the board represents.

History. Enact. Acts 1962, ch. 251, § 5; 1974, ch. 74, Art. II, § 9(1); 1976, ch. 206, § 25; 1978, ch. 80, § 3, effective June 17, 1978; 1982, ch. 79, § 2, effective July 15, 1982; 1982, ch. 450, § 76, effective July 1, 1983; 1984, ch. 407, § 2, effective July 13, 1984; 1990, ch. 170, § 3, effective July 13, 1990; 1992, ch. 344, § 4, effective July 14, 1992; 1998, ch. 285, § 2, effective July 15, 1998; 2009, ch. 70, § 5, effective June 25, 2009; 2017 ch. 178, § 32, effective April 11, 2017.

Legislative Research Commission Notes.

(4/11/2017). The Reviser of Statutes has corrected a manifest clerical or typographical error in subsection (9)(e), (f), (g), and (h) of this statute as amended in 2017 Ky. Acts ch. 178, sec. 32 by inserting the words “The member” at the beginning of the text to provide a subject for each of those paragraphs. This action was taken under the authority of KRS 7.136(1)(h).

NOTES TO DECISIONS

Cited in:

Kentucky Ass’n of Realtors, Inc. v. Musselman, 817 S.W.2d 213, 1991 Ky. LEXIS 109 ( Ky. 1991 ).

Opinions of Attorney General.

An applicant for an auctioneer’s license or an apprentice auctioneer’s license must be able to read and write. OAG 72-353 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

330.060. Requirements for licensure — Examination, fee, exception — Service of process.

    1. Every applicant for licensure shall be at least eighteen (18) years of age, show proof of a high school diploma or equivalent, and, within the preceding five (5) years, shall not have committed any act that constitutes grounds for license suspension or revocation under this chapter. (1) (a) Every applicant for licensure shall be at least eighteen (18) years of age, show proof of a high school diploma or equivalent, and, within the preceding five (5) years, shall not have committed any act that constitutes grounds for license suspension or revocation under this chapter.
    2. The board may waive the high school diploma or equivalent requirement if the applicant demonstrates sufficient life experience and competency by affidavit or other evidence as required by the board.
    3. Any license issued pursuant to this chapter shall be granted only to a person found to be of good repute, trustworthy, and competent to transact the business for which the license was granted in a manner requisite to safeguarding the interest of the public.
    4. Effective July 1, 2015, an applicant for an apprentice auctioneer license or auction house operator’s license shall have successfully completed at least twelve (12) hours of approved classroom instruction, consisting of the core course and six (6) additional hours as prescribed by the board, from a board-approved auction education provider.
    5. The board may waive the twelve (12) hours of approved classroom instruction requirement if the applicant demonstrates sufficient previous auction experience and competency by affidavit or other evidence as required by the board.
  1. The board is authorized to require information from every applicant to determine the applicant’s honesty and truthfulness.
    1. Every applicant shall successfully complete an examination, conducted by the board or its authorized representative. Every application for examination shall be submitted on board-prepared forms, and each applicant shall furnish pertinent background data as outlined on the forms. (3) (a) Every applicant shall successfully complete an examination, conducted by the board or its authorized representative. Every application for examination shall be submitted on board-prepared forms, and each applicant shall furnish pertinent background data as outlined on the forms.
    2. To defray the cost of administration of the examination, the board shall require each applicant to remit an examination fee established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
    3. Examination fees shall be nonrefundable.
    4. If the applicant is unable to attend the scheduled exam, the examination fee shall be deferred to the next scheduled administration of the examination.
    5. Upon successful completion of the examination, the applicant shall apply for initial licensure within forty-five (45) days of receiving notice of successfully completing the examination.
    6. The examination shall be of the scope and wording sufficient in the judgment of the board to establish the competency of the applicant to act as an auctioneer or other licensee regulated by the board.
  2. If a license has been revoked, suspended, or is allowed to expire without renewal, the board may require the applicant to pass the written examination or complete some form of board-approved auction education before a license may be issued.
  3. If a license has not been renewed within six (6) months of the expiration date, the board shall require a person to successfully complete the written examination before a license is issued.
  4. In addition, every nonresident applicant shall file an irrevocable consent that actions may be commenced against the applicant in any court of competent jurisdiction in the Commonwealth of Kentucky, by the service of any summons, process, or pleadings authorized by law on the authorized representative of the board. The consent shall stipulate and agree that the service of any summons, process, or pleadings on the authorized representative shall be taken and held in all courts to be as valid and binding as if actual service had been made upon the applicant in Kentucky. In case any summons, process, or pleadings are served upon the authorized representative of the board, it shall be by duplicate copies, one (1) of which shall be retained in the office of the board, and the other immediately forwarded by certified mail, return receipt requested, to the last known business address of the applicant against whom the summons, process, or pleadings are directed.

History. Enact. Acts 1962, ch. 151, § 6; 1982, ch. 79, § 3, effective July 15, 1983; 1984, ch. 407, § 3, effective July 13, 1984; 1990, ch. 170, § 4, effective July 13, 1990; 1992, ch. 344, § 5, effective July 14, 1992; 1998, ch. 285, § 3, effective July 15, 1998; 2009, ch. 70, § 6, effective June 25, 2009; 2015 ch. 14, § 4, effective June 24, 2015; 2019 ch. 118, § 3, effective June 27, 2019.

330.070. Apprentice auctioneer requirements — Issuance of license — Fees — Continuing education requirement — Pocket license — Duty of auctioneer upon termination of apprentice employment — Placement of licenses in escrow — Notice of change of address.

  1. An apprentice auctioneer applying for an auctioneer license shall, subject to the provisions of KRS 330.060 :
    1. Possess a current Kentucky apprentice auctioneer license;
    2. Serve an apprenticeship for a period of one (1) year as an apprentice auctioneer in Kentucky;
    3. Submit a statement to the board, signed by the principal auctioneer, verifying that the applicant has actively and materially participated in at least ten (10) auctions prior to application; and
    4. Successfully complete at least eighty (80) hours of approved classroom instruction from a board-approved auction education provider. The board may waive the eighty (80) hours of approved classroom instruction requirement if the applicant demonstrates sufficient previous auction experience and competency by affidavit or other evidence as required by the board.
  2. An apprentice auctioneer with an original license issued prior to June 30, 2010, or after July 1, 2015, shall be required to successfully complete the auctioneer examination.
  3. If an applicant for an auctioneer license resides in a state which does not have a current reciprocity agreement with the board, the board may waive the eighty (80) hour education requirement or the apprenticeship requirement, or both, if the applicant demonstrates sufficient previous auction experience and competency by affidavit or by other evidence as required by the board.
  4. An applicant for an auctioneer license who has previously held an auctioneer license which has been revoked, suspended, or which has expired without renewal may request, and the board may grant, a waiver of the requirement of possession of a current apprentice license.
  5. Every application for a license issued by the board shall be submitted on forms prepared by the board. Each applicant shall furnish pertinent background data as outlined on those forms.
  6. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to establish an initial license fee and annual renewal license fee, neither of which shall exceed one hundred fifty dollars ($150).
    1. All licenses shall expire on the thirtieth day of June.
    2. Each license shall be renewed on or before the expiration date.
    3. In addition to the renewal fee, a late fee shall be established by administrative regulations promulgated by the board on each license renewed within six (6) months after the expiration date.
    4. In the absence of any reason or condition which might warrant the refusal of renewing a license, and upon timely receipt of the renewal form and the annual fee, the board shall issue a license for the ensuing year.
    1. The board may require as a condition precedent to the renewal of any license, that each licensee complete continuing education up to ten (10) hours per license year. The board may impose different continuing education requirements upon different classifications of licenses under this chapter. The continuing education requirements in this subsection shall not apply to those auctioneers licensed prior to January 1, 1980. (7) (a) The board may require as a condition precedent to the renewal of any license, that each licensee complete continuing education up to ten (10) hours per license year. The board may impose different continuing education requirements upon different classifications of licenses under this chapter. The continuing education requirements in this subsection shall not apply to those auctioneers licensed prior to January 1, 1980.
    2. A licensee who has not completed the required continuing education may, within the time period set forth in subsection (6) of this section, remit a fee established by administrative regulations promulgated by the board with the applicable renewal fees, and the continuing education reporting requirement shall be deferred to the next annual renewal. If the licensee fails to meet the continuing education requirement for the next annual renewal, the licensee shall successfully complete the examination before renewal of his or her license.
      1. The board may require all licensees to complete a six (6) hour board-approved core course once every four (4) years, that includes the core subjects of Kentucky auction statutes and regulations, ethics, and any other subject matter deemed appropriate by the board. (c) 1. The board may require all licensees to complete a six (6) hour board-approved core course once every four (4) years, that includes the core subjects of Kentucky auction statutes and regulations, ethics, and any other subject matter deemed appropriate by the board.
      2. Effective July 1, 2016, each licensee with at least twenty-five (25) years of continuous licensure shall be exempt from the requirements of this paragraph.
  7. The board shall prepare and deliver to each licensee a pocket license. The pocket license of the apprentice auctioneer shall contain the name and address of his or her principal auctioneer. The board shall also prepare and deliver a license to each auction house operator.
    1. Auction house operators shall display their licenses conspicuously and at all times in the auction house identified on the license.
    2. All licensees shall carry their pocket licenses, or a digital facsimile thereof, when performing auctioneering tasks, to be shown upon request.
    3. A license or pocket license shall be replaced upon the request of the licensee and payment of a replacement fee established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  8. When an apprentice auctioneer is discharged or voluntarily terminates employment with the auctioneer for any reason:
    1. It shall be the immediate duty of the principal auctioneer to deliver to the board a written release of the apprentice auctioneer; and
    2. The apprentice auctioneer shall affiliate with a principal auctioneer within thirty (30) days by submitting to the board an affiliation letter signed by the new principal auctioneer and a fee established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.

      An apprentice auctioneer shall not perform any of the acts regulated by this chapter until receiving a new license bearing a new principal auctioneer’s name and address.

    1. A licensee may place his or her license in escrow with the board if the licensee does not engage in any board-regulated auctioneering activity and continues to pay the annual renewal license fee. (10) (a) A licensee may place his or her license in escrow with the board if the licensee does not engage in any board-regulated auctioneering activity and continues to pay the annual renewal license fee.
    2. For each year the license is in escrow, a licensee shall be exempt from the contribution to the auctioneer’s education, research, and recovery fund and the continuing education requirement.
    3. To reactivate a license in escrow, the licensee shall complete the core course and pay a reactivation fee and the annual renewal recovery fee, both of which shall be established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  9. Notice in writing shall be given to the board by each licensee of any change of principal business location or residence address within ten (10) days of the change, and the board shall issue an updated license for the unexpired period. The board may fine, suspend, or revoke the license of a licensee who does not notify the board of a change of address within ten (10) days. Changing a business or a residence address on its records shall entitle the board to collect a fee established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.

HISTORY: Enact. Acts 1962, ch. 251, § 7; 1970, ch. 120, § 18; 1974, ch. 315, § 68; 1978, ch. 80, § 4, effective June 17, 1978; 1982, ch. 79, § 4, effective July 15, 1982; 1984, ch. 407, § 4, effective July 13, 1984; 1990, ch. 170, § 5, effective July 13, 1990; 1992, ch. 344, § 6, effective July 14, 1992; 1998, ch. 285, § 4, effective July 15, 1998; 2009, ch. 70, § 7, effective June 25, 2009; 2015 ch. 14, § 5, effective June 24, 2015.

330.080. Bond. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 251, § 8) was repealed by Acts 1982, ch. 79, § 8, effective July 15, 1982.

330.090. Nonresident licensee — Fees — Consent to be sued — Waiver of apprenticeship requirement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 251, § 9; 1968, ch. 67; 1972, ch. 42, § 2; 1974, ch. 315, § 69; 1980, ch. 114, § 91, effective July 15, 1980; 1982, ch. 79, § 6, effective July 15, 1982; 1990, ch. 170, § 6, effective July 13, 1990; 1992, ch. 344, § 7, effective July 14, 1992; 1998, ch. 285, § 5, effective July 15, 1998) was repealed by Acts 2009, ch. 70, § 22, effective June 25, 2009.

330.095. Reciprocal licensing without examination — Continuing education requirements.

  1. An individual holding an auctioneer license from the proper authority of a state, territory, or possession of the United States of America or the District of Columbia that has licensing requirements equal to or substantially equivalent to the requirements in this state, and where reciprocal licensing privileges are granted to residents of this state, may obtain an auctioneer license without examination and pre-license education if:
    1. The board has entered into a valid reciprocal agreement with the proper authority of the state, territory, or possession of the United States of America or the District of Columbia from which the nonresident applicant has a valid license;
    2. The applicant submits to the board the completed reciprocal application, including the irrevocable consent described in KRS 330.060 , and the license and exam verification from a reciprocal state; and
    3. The applicant pays the applicable reciprocal fee:
      1. The initial reciprocal fee shall be the greater of:
        1. The sum total of the initial license and recovery fees charged by the applicant’s reciprocal state to a Kentucky resident for an initial reciprocal license; or
        2. The sum total of the current initial license and recovery fees assessed by the board to a nonreciprocal Kentucky licensee; and
      2. The renewal reciprocal fee shall be the greater of:
        1. The sum total of the renewal license and recovery fees charged by the applicant’s reciprocal state to a Kentucky resident for a renewal reciprocal license; or
        2. The sum total of the current renewal license and recovery fees assessed by the board to a nonreciprocal Kentucky licensee.
  2. If a licensee is issued a Kentucky reciprocal license via a jurisdiction that has continuing education requirements, the Kentucky reciprocal licensee shall be exempt from reporting continuing education. If a licensee is issued a Kentucky reciprocal license via a jurisdiction that does not have a continuing education requirement, the Kentucky reciprocal licensee shall report continuing education pursuant to KRS 330.070 .
  3. Disciplinary sanctions against a reciprocal licensee imposed by any licensure jurisdiction may be grounds for disciplinary action by the board.

History. Enact. Acts 1972, ch. 42, § 1; 1982, ch. 79, § 7, effective July 15, 1982; 1984, ch. 407, § 5, effective July 13, 1984; 1990, ch. 170, § 7, effective July 13, 1990; 1992, ch. 344, § 8, effective July 14, 1992; 1998, ch. 285, § 6, effective July 15, 1998; 2009, ch. 70, § 8, effective June 25, 2009.

330.100. Place of business — Sign to be erected, requirements, exception — Claims and disputes.

  1. Every auctioneer licensed under this chapter shall maintain a definite place of business in the Commonwealth, except that a nonresident holding a valid Kentucky auctioneer license is not required to maintain an active place of business in the Commonwealth if a place of business is maintained in the nonresident’s state.
  2. Every auction house operator licensed under this chapter shall maintain a definite place of business in the Commonwealth, and shall erect and maintain a sign in a conspicuous place on the premises at or near the outside entrance to all fixed locations. The sign shall be written in clear and legible letters of not less than two (2) inches in height, and shall contain the name and license number of the auction house operator, and the name of the auction house, if different than the name of the operator. The sign shall be placed so that it can easily be observed and read by anyone entering the auction house.
  3. All claims or disputes of auctions conducted in the Commonwealth of Kentucky and auctions of real or personal property located in the Commonwealth of Kentucky shall be adjudicated by the courts of this state.

History. Enact. Acts 1962, ch. 251, § 10; 1990, ch. 170, § 8, effective July 13, 1990; 1992, ch. 344, § 9, effective July 14, 1992; 2009, ch. 70, § 9, effective June 25, 2009.

330.110. License suspension, revocation, and other penalties — Grounds.

The board may suspend for a period up to five (5) years or revoke the license of any licensee, or levy fines not to exceed two thousand dollars ($2,000), with a maximum fine of five thousand dollars ($5,000) per year arising from any single incident or complaint, against any licensee, or place any licensee on probation for a period of up to five (5) years, or require successful passage of any examination administered by the board, or require successful completion of any course of auction study or auction seminars designated by the board, or issue a formal reprimand, or order any combination of the above, for violation by any licensee of any of the provisions of this chapter, or for any of the following causes:

  1. Obtaining a license through false or fraudulent representation;
  2. Making any substantial misrepresentation;
  3. Pursuing a continued and flagrant course of misrepresentation or intentionally making false promises or disseminating misleading information through agents or advertising or otherwise;
  4. Accepting valuable consideration as an apprentice auctioneer for the performance of any of the acts specified in this chapter, from any person, except his or her principal auctioneer;
  5. Failing to account for or remit, within a reasonable time, any money belonging to others that comes into the licensee’s possession, commingling funds of others with the licensee’s own funds, or failing to keep the funds of others in an escrow or trustee account;
  6. Paying valuable consideration to any person for services performed in violation of this chapter, or procuring, permitting, aiding, or abetting any unlicensed person acting in violation of any of the provisions of this chapter;
  7. Entering a plea of guilty, an Alford plea, a plea of no contest to, or being convicted of, any felony, and the time for appeal has passed or the judgment of conviction has been finally affirmed on appeal;
  8. Violation of any provision of this chapter or any administrative regulation promulgated by the board;
  9. Failure to furnish voluntarily at the time of execution, copies of all written instruments prepared by any licensee to each signatory of the written instrument;
  10. Any conduct of a licensee which demonstrates bad faith, dishonesty, incompetence, or untruthfulness;
  11. Any other conduct that constitutes improper, fraudulent, dishonest, or negligent dealings;
  12. Failure to enter into a binding written auction listing contract with the seller or with the seller’s duly authorized agent prior to advertising, promoting, or offering any real or personal property by or at auction;
  13. Failure to provide a receipt to all persons consigning personal property with any licensee for auction;
  14. Failure to establish and maintain, for a minimum of five (5) years from final settlement, complete and correct written or electronic records and accounts of all auction transactions, including:
    1. Listing contracts, including the name and address of the seller;
    2. Written purchase contracts;
    3. Descriptive inventory and final bid amounts of all items or lots offered;
    4. Buyer registration records; and
    5. Settlement records, including all moneys received and disbursed and escrow account activity;
  15. Failure of any licensee to deliver within thirty (30) days any auction-related information, including but not limited to advertisements, listing contracts, purchase contracts, clerking records, buyer registration records, settlement records, escrow account information, license, or any other auction-related information to the board or the board’s designee upon request; or
  16. Failure of a principal auctioneer to provide supervision to his or her apprentice auctioneers to ensure compliance with this chapter and the administrative regulations promulgated thereunder.

History. Enact. Acts 1962, ch. 251, § 11; 1984, ch. 407, § 6, effective July 13, 1984; 1990, ch. 170, § 9, effective July 13, 1990; 1992, ch. 344, § 10, effective July 14, 1992; 1998, ch. 285, § 7, effective July 15, 1998; 2009, ch. 70, § 11, effective June 25, 2009; 2015 ch. 14, § 6, effective June 24, 2015; 2019 ch. 118, § 4, effective June 27, 2019.

NOTES TO DECISIONS

1.Remedies.

Where a home buyer claimed that a realty company and an auctioneer violated KRS 330.110(10) and (11) through various misdeeds associated with an auction, KRS 446.070 did not afford a private right of action for damages caused by a violation of KRS Ch. 330, because Chapter 330 both declared the unlawful act and specified the civil remedy available to the aggrieved party. Thompson v. Breeding, 351 F.3d 732, 2003 FED App. 0433P, 2003 U.S. App. LEXIS 24606 (6th Cir. Ky. 2003 ).

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

330.115. Complaints against licensee — Answer by licensee.

  1. All complaints against licensees shall be submitted to the board on forms furnished by the board. The complaint shall state facts which, if true, would present a prima facie case against the licensee.
  2. The board shall send the answer form and a copy of the complaint to the licensee by certified mail. The completed answer form shall be returned to the board within twenty (20) days from the date of receipt. The board shall forward a copy of the answer to the complainant.

HISTORY: Enact. Acts 1984, ch. 407, § 7, effective July 13, 1984; 2009, ch. 70, § 12, effective June 25, 2009; 2015 ch. 14, § 7, effective June 24, 2015.

NOTES TO DECISIONS

1.Remedies.

Where a home buyer claimed that a realty company and an auctioneer violated KRS 330.110(10) and (11) through various misdeeds associated with an auction, KRS 446.070 did not afford a private right of action for damages caused by a violation of KRS Ch. 330, because Chapter 330 both declared the unlawful act and specified the civil remedy available to the aggrieved party under KRS 330.115 and 330.192(2)(a). Thompson v. Breeding, 351 F.3d 732, 2003 FED App. 0433P, 2003 U.S. App. LEXIS 24606 (6th Cir. Ky. 2003 ).

330.120. Investigation of complaint — Conditions — Disposition hearing.

  1. The board may upon its own motion, and shall upon the verified written complaint of any person, investigate the actions of any licensee or any person who assumes to act as a licensee if the complaint, or complaint together with other evidence presented in connection with it, presents a prima facie case of a violation of this chapter. If a prima facie case is not established or the violation is deemed inconsequential, the board may immediately dismiss the complaint.
  2. If, after an investigation that includes opportunity for the licensee to respond, the board determines that a violation took place but was not of a serious nature, it may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the file of the licensee. The licensee shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have the response placed in the licensure file. The licensee may alternatively, within thirty (30) days of the receipt, file 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 under the provisions of KRS Chapter 13B.

History. Enact. Acts 1962, ch. 251, § 12; 1990, ch. 170, § 11, effective July 13, 1990; 1992, ch. 344, § 11, effective July 14, 1992; 1998, ch. 285, § 8, effective July 15, 1998; 2009, ch. 70, § 13, effective June 25, 2009.

330.130. Hearing before imposition of disciplinary action — Notice — Final order — Appeal.

  1. Before denying an application for license or before imposing any disciplinary action authorized under KRS 330.110 , the board shall set the matter for an administrative hearing, if a hearing is requested by the applicant or licensee. The hearing shall be conducted in accordance with KRS Chapter 13B. If the subject of the hearing is an apprentice auctioneer, the board shall also provide notification of the hearing to the auctioneer employing the apprentice auctioneer or whose employ he or she is about to enter, by sending notice by certified mail, return receipt requested, to the auctioneer’s last known business address.
  2. Pursuant to KRS 13B.120(7), the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing shall hear and issue a final order regarding a decision of the board.
  3. An aggrieved party may appeal a final order of the executive director pursuant to KRS Chapter 13B within thirty (30) days after the issuance of the order to the Circuit Court of the county where the licensee has his or her principal place of business or where the license applicant resides.

History. Enact. Acts 1962, ch. 251, § 13; 1974, ch. 315, § 70; 1980, ch. 114, § 92, effective July 15, 1980; 1996, ch. 318, § 303, effective July 15, 1996; 2009, ch. 70, § 14, effective June 25, 2009; 2017 ch. 178, § 33, effective April 11, 2017.

330.140. Hearing, procedure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 251, § 14; 1984, ch. 407, § 8, effective July 13, 1984) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

330.150. Hearing determination — Findings of fact — Appeal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 251, § 15; 1992, ch. 344, § 12, effective July 14, 1992) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

330.160. Appeal to Circuit Court, procedure — Appeal to Court of Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 251, § 16; 1976, ch. 62, § 118) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

330.170. Duration and effect of revocation of license.

  1. Any licensee whose license has been revoked shall not be issued another license for a period of five (5) years from the date of revocation.
  2. The revocation of an auctioneer’s license shall automatically suspend every apprentice auctioneer’s license granted to any person employed or supervised by the auctioneer whose license has been revoked. The apprentice auctioneer may retain his license by transferring to the employment of another licensed auctioneer within thirty (30) days.

History. Enact. Acts 1962, ch. 251, § 17; 1978, ch. 80, § 5, effective June 17, 1978; 1990, ch. 170, § 12, effective July 13, 1990; 1992, ch. 344, § 13, effective July 14, 1992; 2009, ch. 70, § 15, effective June 25, 2009.

330.180. Seal — Records, as evidence, public.

The board shall adopt a seal by which it shall authenticate its proceedings. Copies of all records and papers in the office of the board, duly certified and authenticated by the seal of the board, shall be received in evidence in all courts equally and with like effect as the original. Public inspection of records kept in the office of the board under the authority of this chapter shall be permitted by applicable provisions of the Open Records Act of the Commonwealth of Kentucky, KRS 61.870 to 61.884 .

History. Enact. Acts 1962, ch. 251, § 18; 1990, ch. 170, § 13, effective July 13, 1990; 2009, ch. 70, § 16, effective June 25, 2009.

330.190. Proof of license required to recover fees by court action — No right of recovery by apprentice auctioneer, exception. [Expired]

  1. No person, engaged in the business of or acting in the capacity of any licensee under this chapter shall bring or maintain any action in the courts of the Commonwealth for the collection of compensation for any services performed as a licensee without first proving that he or she was duly licensed at the time the alleged cause of action arose.
  2. No apprentice auctioneer shall have the right to institute a suit in his or her own name for the recovery of a commission, fee, or compensation for services as an apprentice auctioneer, but any such act shall be instituted and brought by the licensed auctioneer employing an apprentice auctioneer; provided, however, that this subsection shall not be construed so as to prevent a licensed apprentice auctioneer from suing his or her employing auctioneer for any compensation, fees, or commissions due from the auctioneer.

History. Enact. Acts 1962, ch. 251, § 19; 1990, ch. 170, § 14, effective July 13, 1990; 1992, ch. 344, § 14, effective July 14, 1992; 2009, ch. 70, § 17, effective June 25, 2009.

NOTES TO DECISIONS

Cited:

Greer v. Arnold, 633 S.W.2d 75, 1982 Ky. App. LEXIS 215 (Ky. Ct. App. 1982).

330.192. Auctioneer’s education, research, and recovery fund — Annual fees, charges, and assessments — Purpose — Use — Statement of income and expenses — Coverage of licensees.

    1. There is hereby created and established in the State Treasury the auctioneer’s education, research, and recovery fund. (1) (a) There is hereby created and established in the State Treasury the auctioneer’s education, research, and recovery fund.
    2. In addition to the license fees established in KRS 330.070 , and KRS 330.095 , the board may assess each licensee a renewal recovery fee established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A. Each initial applicant shall pay an initial recovery fee established by administrative regulations promulgated by the board in accordance with KRS Chapter 13A.
  1. The purposes of the auctioneer’s education, research, and recovery fund shall be as follows:
    1. When a licensee has been duly found guilty of violating one (1) or more of the provisions of this chapter, or one (1) or more of the administrative regulations duly promulgated by the board, and upon the conclusion of a final order entered by the board or by the courts, if appealed, the board is authorized to pay to the aggrieved party an amount not to exceed fifty thousand dollars ($50,000) against any one (1) licensee, if the licensee has refused to pay the claim within twenty (20) days of entry of a final order and provided further that the amount or amounts of money in question are certain and liquidated.
    2. The board shall maintain a minimum of two hundred fifty thousand dollars ($250,000) for recovery and guaranty purposes. These funds may be invested and reinvested in the same manner as funds of the State Employees’ Retirement System and the interest from said investments shall be deposited to the credit of the research and recovery fund, or, in the discretion of the board, to the agency fund account as set out in KRS 330.050(6). Sufficient liquidity, however, shall be maintained so that money is available to satisfy all claims which may be processed through the board by means of administrative hearing as outlined in this chapter.
    3. The board may use funds in excess of two hundred fifty thousand dollars ($250,000), whether from the auctioneer’s education, research, and recovery fund fees or accrued interest thereon, for any of the following purposes:
      1. To advance education and research in the auction field for the benefit of those seeking an auctioneer license, those licensed under the provisions of this chapter and to improve and make more efficient the auction industry;
      2. To underwrite educational seminars, caravans, and other forms of educational projects for the general benefit of licensees;
      3. To establish an auction chair or courses at Kentucky state institutions of higher learning for the purpose of making college or university level courses available to licensees and the general public;
      4. To contract for a particular research project in the auction field for the Commonwealth of Kentucky;
      5. To sponsor, contract for, and to underwrite all other educational and research projects that contribute to the advancement of the auction field in Kentucky;
      6. To cooperate with associations of auctioneers and any other groups for the enlightenment and advancement of Kentucky licensees;
      7. To increase the level of the auctioneer’s education, research, and recovery fund above two hundred fifty thousand dollars ($250,000); and
      8. To augment the regular trust and agency account of the board for purposes of addressing cash flow shortfalls, budget deficits, and for reimbursement of personnel, administrative, operational, and capital expenses incurred by the trust and agency account pursuant to the purposes of the education, research, and recovery fund as provided in this section, an amount not to exceed two hundred fifty thousand dollars ($250,000) annually.
    4. Within one hundred twenty (120) days after the end of each fiscal year, the board shall make public, through its Web site or other public media, a statement of income and expenses of the auctioneer’s education, research, and recovery fund, the details of which are in accordance with state financial reporting requirements.
    1. If a licensee is found guilty of one (1) or more provisions of this chapter or of violating one (1) or more of the administrative regulations of the board, and if the amount of the money lost by the aggrieved party or parties is in dispute or cannot be determined accurately, then the amount of damages shall be determined by the Circuit Court in the county where the alleged violation took place, provided that the board has previously determined that a violation of the license laws or of the administrative regulations has occurred and a final order has been entered. (3) (a) If a licensee is found guilty of one (1) or more provisions of this chapter or of violating one (1) or more of the administrative regulations of the board, and if the amount of the money lost by the aggrieved party or parties is in dispute or cannot be determined accurately, then the amount of damages shall be determined by the Circuit Court in the county where the alleged violation took place, provided that the board has previously determined that a violation of the license laws or of the administrative regulations has occurred and a final order has been entered.
    2. If an order has been entered and the license rights of the licensee have been finally adjudicated, then the local Circuit Court shall determine the monetary damages due from the aforesaid violation or violations.
    3. When a final order has been entered by the Circuit Court, Court of Appeals, or Supreme Court, and upon certification to the board, the aggrieved party or parties shall be paid an amount not to exceed fifty thousand dollars ($50,000) by the board, and the license held by the licensee against whom the claim was made by the aggrieved party shall be suspended at least until the licensee has reimbursed the auctioneer’s education, research, and recovery fund for all amounts paid to the aggrieved party due to the violation of the licensee.
    4. When, upon the final order of the court, the board has paid from the auctioneer’s education, research, and recovery fund any sum to the aggrieved party, the board shall be subrogated to all of the rights of the aggrieved party to the extent of the payment and the aggrieved party shall, to the extent of the payment, assign his right, title, and interest in the judgment to the board.
    5. All claims for monetary damages or relief from the auctioneer’s education, research, and recovery fund shall be made in writing and submitted to the board within twelve (12) months of the act of the auctioneer giving rise to the loss. Failure to file a claim within the twelve (12) month period shall bar the claim. Additional evidence shall be submitted by the claimant if required by the board.
    6. Notwithstanding any other provisions of this chapter, no unreimbursed amount greater than fifty thousand dollars ($50,000) shall be paid by the board on account of any one (1) licensee, no matter over how long a time, or for how many claims, and no matter what the number of claimants be or the size of such claims, individually or in the aggregate. Should the licensee reimburse the fund for all amounts paid, then future claims timely filed with the board concerning different matters may be received pursuant to this section.
    7. No claims shall be approved under this section for amounts which, in the aggregate, exceed the maximum payable on account of any one (1) licensee in effect at the time of the act or acts of the licensee giving rise to the claims, except to the extent of said maximum. Statutory increases in the maximum set out in this section do not apply retroactively.
  2. All categories of licensees under this chapter are covered under the provisions of this section for the benefit and protection of the public.
  3. This section is not intended to substitute for, circumvent, or duplicate other remedies existing at law or otherwise for claimants or potential claimants, but constitutes a last resort for aggrieved persons who would not, but for the provisions of this section, be able to recover their losses by any other means available. The board shall have full discretion to require that claimants exhaust all other remedies prior to proceeding under this section, including but not limited to the remedy of obtaining a judgment by all diligent and appropriate means.

History. Enact. Acts 1982, ch. 79, § 5, effective July 15, 1982; 1984, ch. 407, § 9, effective July 13, 1984; 1990, ch. 170, § 15, effective July 13, 1990; 1992, ch. 344, § 15, effective July 14, 1992; 1998, ch. 285, § 9, effective July 15, 1998; 2009, ch. 70, § 18, effective June 25, 2009; 2012, ch. 98, § 2, effective July 12, 2012; 2015 ch. 14, § 8, effective June 24, 2015.

NOTES TO DECISIONS

1.Remedies.

Where a home buyer claimed that a realty company and an auctioneer violated KRS 330.110(10) and (11) through various misdeeds associated with an auction, KRS 446.070 did not afford a private right of action for damages caused by a violation of KRS Ch. 330, because Chapter 330 both declared the unlawful act and specified the civil remedy available to the aggrieved party under KRS 330.115 and 330.192(2)(a). Thompson v. Breeding, 351 F.3d 732, 2003 FED App. 0433P, 2003 U.S. App. LEXIS 24606 (6th Cir. Ky. 2003 ).

330.200. Municipal right to license auctioneers and auction house operators.

No municipality or other political subdivision shall regulate, tax, or license any licensee except for those administrative regulations, taxes, or licenses which may be reasonably imposed or required among all persons engaged in business generally.

History. Enact. Acts 1962, ch. 251, § 20; 1978; ch. 80, § 6, effective June 17, 1978; 1990, ch. 170, § 16, effective July 13, 1990; 1992, ch. 344, § 16, effective July 14, 1992.

330.210. Sale of horses by auction.

  1. Notwithstanding any contrary provisions of law and in furtherance of the policies set forth in KRS 355.2-328 , at any auction sale of horses, the auctioneer:
    1. May receive bids from the seller, consignor, or his agent, disclosed or undisclosed, if notice has been given in the terms and conditions governing the sale, or otherwise, that liberty for such bidding has been reserved by seller;
    2. Shall conduct the sale with respect to each lot or parcel on a with-reserve basis unless the seller has authorized the auctioneer, in writing, to conduct the sale on a without-reserve basis, in which event the auctioneer shall announce, in explicit terms, that the goods are being sold without reserve; and
    3. Shall not be required to announce at any with-reserve sale when the reserve is attained.
  2. Notwithstanding any other provision of this chapter, the following shall not apply to auctions or auctioneers participating in an auction regarding the sale, lease, or exchange of an equine as defined in KRS 230.357(1):
    1. The advertising requirements set forth in KRS 330.230(1), (2), and (7);
    2. The causes justifying disciplinary action set forth in KRS 330.110(12), (13), (14), and (15); or
    3. The provisions regulating absolute auctions and reserve auctions set forth in KRS 330.220(5) and (7).

History. Enact. Acts 1990, ch. 361, § 1, effective July 13, 1990; 2009, ch. 70, § 19, effective June 25, 2009.

Research References and Practice Aids

Kentucky Law Journal.

Waxman, Auctioning Off Integrity: The Legitimacy of Seller-Rebate Agreements in the Thoroughbred Auction Context, 96 Ky. L.J. 139 (2007).

330.220. Lots or parcels subjects of separate sales — When auction is complete — Absolute auction — Presumption of reserve auction — Bids by seller — Avoidance of sale — Prohibitions.

  1. If real or personal property is offered in lots or parcels in a sale by auction, each lot or parcel shall be the subject of a separate sale. This subsection shall not preclude real or personal property from being offered for bidding individually or in some form or combination.
  2. Unless otherwise provided in the conditions of sale for auctions regarding horses or any interests therein, a sale by auction is complete when the auctioneer so announces by the fall of the hammer, announcing the item sold, and the successful bidder’s identification or in other customary manner. If it becomes immediately apparent at the close of the bidding that the auctioneer and a bid assistant or ringman have acknowledged the same bid from different bidders, the auctioneer may continue the bidding between the disputed bidders. When a bid is made while the auctioneer is in the process of completing the sale by auction, the auctioneer may continue the bidding or declare the real or personal property sold under the bid on which the hammer was falling.
  3. No auction shall be advertised as “absolute” nor shall any advertising contain the words “absolute auction” or the word “absolute” or words with similar meaning nor shall any licensee offer or sell any real or personal property at absolute auction unless:
    1. There are no liens or encumbrances on the real or personal property, except property tax obligations, easements, or restrictions of record, in favor of any person, firm, or corporation other than the seller, or unless each and every holder of each and every lien and encumbrance, by execution of the auction listing contract, or otherwise furnishing to the auctioneer written evidence of a binding commitment therefor, shall have agreed to the unqualified acceptance of the highest bid for the property, without regard to the amount of the highest bid or the identity of the high bidder; or, alternatively, that a financially responsible person, firm, or corporation, by execution of the auction listing contract or by otherwise furnishing to the auctioneer written evidence of a binding commitment therefor, shall have absolutely guaranteed the forthwith and complete discharge and satisfaction of any and all liens and encumbrances immediately after the sale or at the closing, without regard to the amount of the highest bid received, or the identity of the high bidder; and
    2. There is the bona fide intention at the time of the advertising and at the time of the auction to transfer ownership of the real or personal property, regardless of the amount of the highest and last bid, to the high bidder, subject to the provisions of subsection (5)(b) of this section, that intent existing without reliance on any agreement that any particular bid or bid level must be made or be reached, below which level the real or personal property would not be transferred to the high bidder; and
    3. The auction listing contract contains a binding requirement that the auction be conducted without reserve, and includes an acknowledgment that the seller, or anyone acting upon behalf of the seller, shall not bid at the absolute auction, or otherwise participate in the bidding process.
  4. Compliance with subsection (3) of this section shall not prohibit:
    1. A secured party or other lienholder who is not the seller from bidding at an absolute auction, providing that such bidding does not constitute, nor is it tantamount to the direct or indirect establishment or agreement to the establishment of a reserve price on the real or personal property by the seller or by the auctioneer, or by anyone aiding or assisting, or acting upon behalf of, the seller or the auctioneer; or
    2. Any individual party to the dissolution of any marriage, partnership, trust, limited liability company, or corporation from bidding as an individual entity apart from the selling entity, on real or personal property being sold at auction pursuant to that dissolution; or
    3. Any individual party or heir of a deceased person’s bona fide estate from bidding as an individual entity, apart from the selling entity, on real or personal property being offered at auction pursuant to that estate settlement; or
    4. The inclusion of nonmisleading advertising of certain real or personal property to be sold at “absolute auction” and the nonmisleading advertising of certain real or personal property to be offered at auction with reserve, within the same advertisement, or for sale at the same date and place, providing that advertisement shall make clearly apparent through equal or appropriate emphasis, which real or personal property is being offered by each method.
    1. Any auction sale is, without requirement of announcement at any time, presumed to be with reserve unless the real or personal property is in explicit terms offered at absolute auction. An auction without reserve means an absolute auction. An auction with reserve means the real or personal property may be offered subject to the seller’s confirmation or subject to a certain reserve price. In an auction with reserve, the auctioneer may withdraw the real or personal property at any time until he or she announces completion of the sale. In an absolute auction, after the auctioneer calls for bids on an article, lot, or parcel, that article, lot, or parcel shall not be withdrawn unless no bid is made within a reasonable time. (5) (a) Any auction sale is, without requirement of announcement at any time, presumed to be with reserve unless the real or personal property is in explicit terms offered at absolute auction. An auction without reserve means an absolute auction. An auction with reserve means the real or personal property may be offered subject to the seller’s confirmation or subject to a certain reserve price. In an auction with reserve, the auctioneer may withdraw the real or personal property at any time until he or she announces completion of the sale. In an absolute auction, after the auctioneer calls for bids on an article, lot, or parcel, that article, lot, or parcel shall not be withdrawn unless no bid is made within a reasonable time.
    2. At both reserve auctions and without reserve auctions, the auctioneer may establish reasonable minimum bid increments once an opening bid has been offered.
    1. The provisions of this chapter shall not prohibit any licensee from bidding on his or her own behalf at any auction sale, whether absolute or with reserve, if his or her option to do so has been fully disclosed, including disclosure to the seller. (6) (a) The provisions of this chapter shall not prohibit any licensee from bidding on his or her own behalf at any auction sale, whether absolute or with reserve, if his or her option to do so has been fully disclosed, including disclosure to the seller.
    2. Except as provided in subsection (4) of this section, the seller may not bid at an absolute auction, nor may anyone bid upon his or her behalf. No licensee shall knowingly receive a bid by or on behalf of the seller at an absolute auction.
    3. Bids may be made by the seller, or upon the seller’s behalf, at any auction with reserve, provided that full disclosure has clearly been made that liberty for bidding is retained. No licensee shall knowingly receive a bid in the absence of full disclosure. If the auctioneer knowingly receives a bid on the seller’s behalf or the seller makes or procures a bid and notice has not been clearly given that liberty for bidding is reserved, the buyer may avoid the sale or take the real or personal property at the price of the last good faith bid prior to the completion of the sale.
    4. There shall be no requirement that the reserve be announced when it is attained.
    5. Nothing in this subsection shall be construed to alter or diminish the provisions of KRS 330.210 .
    1. At any absolute auction, any advertisement or representation of a minimum or suggested starting bid is prohibited. (7) (a) At any absolute auction, any advertisement or representation of a minimum or suggested starting bid is prohibited.
    2. At any reserve auction, any advertisement or representation of a minimum or suggested starting bid is prohibited unless:
      1. The minimum or suggested starting bid advertised or represented is sufficient to satisfy the auction listing contract stated reserve or confirmation amount; and
      2. The auction listing contract contains a binding acknowledgment by the seller that permission has been granted for disclosure.

History. Enact. Acts 1990, ch. 170, § 10, effective July 13, 1990; 1992, ch. 344, § 17, effective July 14, 1992; 2009, ch. 70, § 20, effective June 25, 2009; 2013, ch. 44, § 1, effective June 25, 2013; 2019 ch. 118, § 5, effective June 27, 2019.

330.230. Auction advertising.

  1. Any advertising pertaining to an auction shall include the name of the managing principal auctioneer for the auction and indicate that he or she is an auctioneer, except that any advertising pertaining to an auction conducted at an auction house operated by a licensed auction house operator shall include the name of the auction house operator and indicate that he or she is an auction house operator or “AHO.” The advertising requirements in this subsection shall not apply to directional signs if a sign with the name of the managing principal auctioneer for the auction or the auction house operator is placed so that it can be easily observed and clearly read by anyone entering the auction site.
  2. The existence and amount of any buyer’s fee or buyer’s premium shall be clearly disclosed in all terms and conditions included in any advertisements for a particular auction and in all terms and conditions presented or made available prior to the start of a particular auction.
    1. An auction shall not be advertised as “Court Ordered” or use similar wording implying court action unless: (3) (a) An auction shall not be advertised as “Court Ordered” or use similar wording implying court action unless:
      1. At least seventy-five percent (75%) of the items or lots in the auction are being offered pursuant to one (1) or more federal, state, or local court orders; and
      2. The items or lots were clearly not purchased or attained for the purpose of resale at auction.
    2. The advertising shall clearly contain an explanation of the court order including identification of the court.
    3. If less than one hundred percent (100%) of the items or lots being offered at the auction are pursuant to one (1) or more court orders, then the advertising shall clearly indicate that the auction is “With Additions” or use similar wording.
    4. This subsection shall not prohibit clear, nonmisleading advertising of the inclusion of specific real or personal property being offered pursuant to a federal, state, or local court order in an auction if that real or personal property is offered pursuant to a federal, state, or local court order and was clearly not purchased or attained for the purpose of resale at auction.
    1. An auction shall not be advertised as a “Bankruptcy Auction” or “Items from Bankruptcy” or use similar wording or any combination thereof unless: (4) (a) An auction shall not be advertised as a “Bankruptcy Auction” or “Items from Bankruptcy” or use similar wording or any combination thereof unless:
      1. The auction consists of at least seventy-five percent (75%) of items or lots to be offered for one (1) or more open and working bankruptcies under the jurisdiction of the United States Bankruptcy Court;
      2. The items or lots were clearly not purchased or attained for the purpose of resale at auction; and
      3. The advertising clearly includes the United States Bankruptcy Court case number or numbers.
    2. If less than one hundred percent (100%) of the items or lots being offered at the auction are for one (1) or more bankruptcies, then the advertising shall clearly indicate that the auction is “With Additions” or use similar wording.
    3. This subsection shall not prohibit clear, nonmisleading advertising of the inclusion of specific real or personal property being offered for a bankruptcy in an auction if that real or personal property is being offered for one (1) or more open and working bankruptcies under the jurisdiction of the United States Bankruptcy Court, was not purchased or attained for the purpose of resale at auction, and the advertising clearly includes the United States Bankruptcy Court case number or numbers.
    1. An auction shall not be advertised as a “Seized Property Auction,” “Confiscated Property Auction,” or “Forfeiture Property Auction” or utilize similar wording or any combination thereof implying governmental action unless: (5) (a) An auction shall not be advertised as a “Seized Property Auction,” “Confiscated Property Auction,” or “Forfeiture Property Auction” or utilize similar wording or any combination thereof implying governmental action unless:
      1. The auction contains at least seventy-five percent (75%) of the items or lots to be offered pursuant to one (1) or more federal, state, or local governmental actions in which the real or personal property is being offered directly for the federal, state, or local governmental entity;
      2. The items or lots were clearly not purchased or attained for the purpose of resale at auction; and
      3. The advertising clearly contains an explanation of the governmental action, including identification of the governmental entity.
    2. If less than one hundred percent (100%) of the items or lots being offered at the auction are from one (1) or more governmental actions, then the advertising shall clearly indicate that the auction is “With Additions” or use similar wording.
    3. This subsection shall not prohibit clear, nonmisleading advertising of the inclusion of specific real or personal property being offered pursuant to a federal, state, or local governmental action in an auction if the real or personal property is offered directly for a federal, state, or local governmental entity and was clearly not purchased or attained for the purpose of resale at auction.
    1. An auction shall not be advertised as a “Liquidation Auction,” “Surplus Auction,” “Inventory Reduction Auction,” or “Going Out of Business Auction” or use similar wording or any combination thereof unless: (6) (a) An auction shall not be advertised as a “Liquidation Auction,” “Surplus Auction,” “Inventory Reduction Auction,” or “Going Out of Business Auction” or use similar wording or any combination thereof unless:
      1. The auction contains at least seventy-five percent (75%) of the items or lots to be offered for one (1) or more liquidation, surplus, inventory reduction, or going out of business situations in which the real or personal property belongs to a company or other business entity and is being offered as “out of stock”; and
      2. The items or lots were clearly not purchased or attained for the purpose of resale at auction.
    2. If less than one hundred percent (100%) of the items or lots being offered at the auction are from one (1) or more liquidation, surplus, inventory reduction, or going out of business situations, then the advertising shall clearly indicate that the auction is “With Additions” or use similar wording.
    3. This subsection shall not prohibit clear, nonmisleading advertising of the inclusion of specific real or personal property being offered for a liquidation, surplus, inventory reduction, or going out of business situation, or similar wording or any combination thereof, in an auction if the real or personal property is being offered for a liquidation, surplus, inventory reduction, or going out of business situation in which the real or personal property belongs to a company or other business entity, is being offered as “out of stock,” and was clearly not purchased or attained for the purpose of resale at auction.
    1. An auction shall not be advertised as an “Estate Auction,” “Estate Settlement,” or “To Settle the Estate of . . . . . Auction” or use similar wording or any combination thereof unless: (7) (a) An auction shall not be advertised as an “Estate Auction,” “Estate Settlement,” or “To Settle the Estate of . . . . . Auction” or use similar wording or any combination thereof unless:
      1. At least seventy-five percent (75%) of the items or lots in the auction are being offered for one (1) or more estates in which the real or personal property belongs to the estate of one (1) or more deceased persons and is being offered by the direction and authority of the authorized executor or administrator, or by court order, or by the direction and authority of one (1) or more direct heirs; and
      2. The items or lots were clearly not purchased or attained for the purpose of resale at auction.
    2. If less than one hundred percent (100%) of the items or lots being offered at the auction are from one (1) or more estates, then the advertising shall clearly indicate that the auction is “With Additions” or use similar wording.
    3. This subsection shall not prohibit clear, nonmisleading advertising of the inclusion of real or personal property offered for an estate in an auction if the real or personal property is being offered for an estate as set forth in this subsection.
    1. An auction shall not be advertised as a “Living Estate Auction” or “To Settle the Living Estate of . . . . . Auction” or use similar wording or any combination thereof unless: (8) (a) An auction shall not be advertised as a “Living Estate Auction” or “To Settle the Living Estate of . . . . . Auction” or use similar wording or any combination thereof unless:
      1. At least seventy-five percent (75%) of the items or lots in the auction are being offered for one (1) or more living estates in which the real or personal property belongs to a household that is in transition due to a life-changing situation, including but not limited to one (1) or more members of the household moving into a retirement home, nursing home, or assisted living home or combining the household with another; and
      2. The items or lots were clearly not purchased or attained for the purpose of resale at auction.
    2. If less than one hundred percent (100%) of the items or lots being offered at the auction are from one (1) or more living estates, then the advertising shall clearly indicate that the auction is “With Additions” or use similar wording.
    3. This subsection shall not prohibit clear, nonmisleading advertising of the inclusion of real or personal property being offered for a living estate in an auction if the real or personal property is being offered for a living estate pursuant to this subsection.

History. Enact. Acts 2009, ch. 70, § 10, effective June 25, 2009.

330.990. Penalties.

  1. Any person engaging in auction activities regulated by this chapter without a license shall be guilty of:
    1. For the first offense, a violation with a fine up to two hundred fifty dollars ($250);
    2. For the second offense, a Class B misdemeanor with a fine up to two hundred fifty dollars ($250) and up to ninety (90) days imprisonment; and
    3. For the third and subsequent offenses, a Class A misdemeanor with a fine up to five hundred dollars ($500) and up to twelve (12) months imprisonment.
  2. The board or its authorized representative may apply for injunctive relief to the Circuit Court of the county in which the alleged violation occurred or in which the alleged offender resides to enjoin any person or entity from committing an act in violation of this chapter. The injunction proceedings shall be in addition to, and not in lieu of, all penalties and other remedies in this chapter. In an action for injunction, the board may demand and recover a civil penalty of fifty dollars ($50) per day for each violation, reasonable attorney’s fees, and court costs.

History. Enact. Acts 1962, ch. 251, § 21; 1978, ch. 80, § 7, effective June 17, 1978; 2009, ch. 70, § 21, effective June 25, 2009; 2019 ch. 118, § 6, effective June 27, 2019.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors and violations, see KRS 534.040 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 331 Business Schools [Repealed]

331.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 1) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.020. Application of chapter. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 2) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.030. Business school license — License as agent. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 3) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.040. State board of business schools — Membership — Officers — Powers — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 4; 1976, ch. 206, § 263) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.050. Application for license — Contents — Fees — Investigation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 5) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.060. License list maintained — Publication. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 6) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.070. License expiration — Renewal — Trust and agency fund. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 7) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.080. License revocation, suspension — Grounds. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 8) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.090. License revocation, suspension — Hearing, procedure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 9) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.100. Duty of prosecuting attorneys — Appeal, procedure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 10) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

331.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 296, § 11) was repealed by Acts 1976, ch. 363, § 13. For present law see KRS 165A.310 to 165A.990 .

CHAPTER 332 Driver Training Schools and Instructors

332.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 1; 1974, ch. 74, Art. V, § 24(1), (2)) was repealed by Acts 2002, ch. 280, § 18, effective April 9, 2002.

332.015. Definitions.

As used in this chapter:

  1. “Department” means the Department of Kentucky State Police;
  2. “Commissioner” means the commissioner of the Department of Kentucky State Police;
  3. “Driver training” means instruction of persons in the operation of motor vehicles which are not commercial motor vehicles;
  4. “Driver training school” means any person, firm, partnership, association or corporation which offers a course of driver training for which a fee or tuition is charged; and
  5. “Person,” when referring to a driver training school, means person, firm, partnership, association, or corporation.

History. Enact. Acts 2003, ch. 165, § 1, effective March 31, 2003; 2007, ch. 85, § 301, effective June 26, 2007.

332.020. License for driver training school and instructors required. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 3) was repealed, reenacted and amended as KRS 165A.470 by Acts 2002, ch. 280, § 5, effective April 9, 2002.

332.030. Application for license — Contents — Insurance coverage — Fees. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 4; 1974, ch. 74, Art. V, § 24(2); 2000, ch. 513, § 1, effective July 14, 2000) was repealed, reenacted and amended as KRS 165A.475 by Acts 2002, ch. 280, § 6, effective April 9, 2002.

332.040. Issuance of licenses — Display — Instructor to carry. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 6) was repealed, reenacted and amended as KRS 165A.480 by Acts 2002, ch. 280, § 7, effective April 9, 2002.

332.050. Licenses expire, when — Renewal — Agency fund created. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 5; 1968, ch. 152, § 148; 1970, ch. 92, § 88) was repealed, reenacted and amended as KRS 165A.485 by Acts 2002, ch. 280, § 8, effective April 9, 2002.

332.060. Suspension, revocation or refusal to issue license, grounds. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 10; 1974, ch. 74, Art. V, § 24(2)) was repealed, reenacted and amended as KRS 165A.490 by Acts 2002, ch. 280, § 9, effective April 9, 2002.

332.070. Reinstatement after suspension or revocation — Hearing — Subpoenas — Appeals. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 11; 1974, ch. 74, Art. V, § 24(2); 1996, ch. 318, § 304, effective July 15, 1996) was repealed, reenacted and amended as KRS 165A.495 by Acts 2002, ch. 280, § 10, effective April 9, 2002.

332.080. Records of persons instructed to be kept — Inspection. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 7; 1974, ch. 74, Art. V, § 24(2)) was repealed, reenacted and amended as KRS 165A.500 by Acts 2002, ch. 280, § 11, effective April 9, 2002.

332.090. School, where located. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 9) was repealed, reenacted and amended as KRS 165A.505 by Acts 2002, ch. 280, § 12, effective April 9, 2002.

332.095. CDL training schools — Curriculum — Evaluation — Refresher course — Ratio of students to instructors — Drug test.

  1. All CDL driver training schools, as defined in KRS 165A.310 , shall offer a minimum one hundred sixty (160) hours of instruction to each student that has never been issued a CDL by any state. Each school shall be required to use the curriculum that has been approved by the Kentucky Commission on Proprietary Education in consultation with the Department of Kentucky State Police and the Kentucky Community and Technical College System. Each school shall perform an evaluation of each student and determine the student’s skill level to operate a commercial motor vehicle as beginner, intermediate, or advanced. The curriculum shall require a minimum number of hours of instruction based upon a student’s skill level.
  2. Each school may provide the one hundred sixty (160) hour approved curriculum in a manner that best utilizes the staff and equipment of the school including but not limited to nights, weekends, holidays, and hours of operation.
  3. All CDL driver training schools, as defined in KRS 165A.310 , may offer a refresher course of instruction to a resident who has one (1) year or more verifiable experience operating a commercial motor vehicle. The schools shall verify and maintain records documenting those students attending a refresher course. A refresher course may be offered on an hourly basis.
  4. The ratio of students to instructors during a one hundred sixty (160) hour course shall not exceed:
    1. Thirty (30) students to one (1) instructor during classroom instruction;
    2. Six (6) students to one (1) instructor during off-the-road training; and
    3. Three (3) students to one (1) instructor during on-the-road training.
  5. All CDL driver training schools, as defined in KRS 165A.310 , shall require each student to undergo a drug test at the time the person applies to enroll in the school.

History. Enact. Acts 2002, ch. 280, § 4, effective April 9, 2002; 2007, ch. 85, § 302, effective June 26, 2007; 2012, ch. 76, § 26, effective July 15, 2012.

332.100. Rules and regulations. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 8; 1974, ch. 74, Art. V, § 24(2)) was repealed, reenacted and amended as KRS 165A.510 by Acts 2002, ch. 280, § 13, effective April 9, 2002.

332.110. Application of chapter. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 2; 1976, ch. 245, § 1; 1997 (1st Ex. Sess.), ch. 1, § 146, effective May 30, 1997) was repealed, reenacted and amended as KRS 165A.515 by Acts 2002, ch. 280, § 14, effective April 9, 2002.

332.202. License for driver training school and driver training instructor required.

  1. A person shall not operate, conduct, maintain, or establish a driver training school unless the person holds a valid current license issued by the department.
  2. A person shall not operate, conduct, maintain, or establish a driver training school unless the school has in its employ at least one (1) licensed driver training instructor.
  3. A person shall not act as an instructor for a driver training school unless the person:
    1. Holds a valid current license as an instructor issued by the department; and
    2. Is employed by a licensed driver training school.

History. Enact. Acts 2003, ch. 165, § 2, effective March 31, 2003.

332.204. Application for school or instructor license — Contents — Qualifications and fees — Liability insurance.

  1. Any person seeking a license to operate, conduct, maintain, or establish a driver training school shall apply to the department on forms prepared and furnished by the department. The notarized application shall include the following information:
    1. The title or name of the school, the names of the owners of the school and, if the owner is to be a corporation, the names and addresses of the officers of the corporation;
    2. Except for corporations, a statement that the owners of the driver training school are each twenty-one (21) years of age or over, are residents of this state, and have been for at least one (1) year next preceding the application for the driver training school license, and are each of good moral character;
    3. A description of the established place of business together with the hours during which the driver training school is conducted and a description of the equipment and facilities used in driver training;
    4. Evidence of liability insurance coverage of the driver training school, the instructor, and students of the driver training school while operating driver training school equipment. The insurance shall have minimum limits of not less than twenty-five thousand dollars ($25,000) for bodily injury or death of one (1) person in any one (1) accident and, subject to the limit for any one (1) person, fifty thousand dollars ($50,000) for bodily injury or death of two (2) or more persons in any one (1) accident, and ten thousand dollars ($10,000) for damage to the property of others in any one (1) accident. Evidence of insurance coverage shall also provide that the insurance coverage shall not be canceled except after ten (10) days prior notice in writing by the carrier to the secretary. Upon request by an applicant, the department shall review an application and provide a letter to the applicant that a proposed driver training school has met all preliminary requirements for approval, except the provisions of this paragraph. The letter may be used by the applicant to help secure the liability insurance coverage needed under this paragraph to obtain a license to operate a school. A letter provided under this paragraph shall not be construed as approval to perform driver’s training or to operate a school.
  2. Each original application for a license to operate a driver training school and each application for renewal of a license to operate a driver training school shall be accompanied by the payment of a fee of three hundred dollars ($300) to the State Treasurer.
  3. Any person seeking a license to act as a driver training instructor shall apply to the department on forms prepared and furnished by the department setting forth that the applicant is twenty-one (21) years of age or older; is of good moral character; is a high school graduate or has the equivalent of a high school education, or has equivalent experience; and holds a current and valid operator’s license issued by the Transportation Cabinet.
  4. Each original application for a license as a driver training instructor and each application for renewal of a license as a driver training instructor shall be accompanied by the payment of a fee of fifty dollars ($50) to the State Treasurer.

History. Enact. Acts 2003, ch. 165, § 3, effective March 31, 2003.

332.206. Issuance of license.

  1. Upon receipt of a satisfactory application accompanied by the fee required under KRS 332.204 , the commissioner shall issue a license to the applicant.
  2. If the license is issued to a driver training school, it shall be posted and at all times displayed in a conspicuous place so that all persons visiting the school may readily see the license.
  3. If the license is issued to a driver training instructor, the person shall carry the license at all times during which the person is actually giving instruction to any student. Upon request, the instructor shall exhibit the license to any student taking instruction from him or her and to any other person authorized by law to examine operators’ licenses.

History. Enact. Acts 2003, ch. 165, § 4, effective March 31, 2003.

332.208. Duration of license — Renewal — Fees deposited in trust and agency fund.

  1. Every license issued for the operation of a driver training school shall expire on June 30 following the date of the issuance unless revoked or canceled.
  2. Before June 1 of each year, every driver training school shall apply for renewal of its license. The application shall be on forms prepared and furnished by the department.
  3. Every license issued to a driver training instructor shall expire on June 30 following the date of the issuance unless revoked or canceled.
  4. Before June 1 of each year, every driver training instructor shall apply for renewal of his or her license. The application shall be on forms prepared and furnished by the department.
  5. All fees collected under this chapter or the administrative regulations promulgated pursuant to this chapter shall be paid into the State Treasury and credited to a trust and agency fund to be used in defraying the costs and expenses of the administration of this chapter. No part of this fund shall revert to the general funds of the Commonwealth.

History. Enact. Acts 2003, ch. 165, § 5, effective March 31, 2003.

332.210. Grounds for suspension, revocation, or refusal to issue or renew license.

The commissioner shall, upon receipt of satisfactory evidence, suspend, revoke, refuse to issue, or refuse to renew the license of a driver training school or a driver training instructor if:

  1. The licensee fails or refuses to comply with the provisions of this chapter or any administrative regulation promulgated pursuant to this chapter;
  2. The licensee has made a false material statement or has concealed a material fact in connection with his or her application;
  3. The licensee or any partner, or other person directly interested in the driver training school, held a license issued under this chapter which was revoked or suspended and not reinstated;
  4. The licensee has been guilty of a fraudulent practice in attempting to obtain for himself, herself, or another a license to operate a motor vehicle;
  5. Written notice of the cancellation of insurance required by KRS 332.204 is received by the commissioner, and the licensee does not present satisfactory evidence of insurance to the commissioner prior to the effective date of the cancellation.

History. Enact. Acts 2003, ch. 165, § 6, effective March 31, 2003.

332.212. Hearing — Appeal.

Any person whose license to conduct a driver training school or act as a driver training instructor has been suspended or revoked, or whose application for issue or renewal of a license is refused, may request a hearing. The hearing request shall be in writing addressed to the commissioner who shall conduct a hearing thereon as soon as possible. The hearing shall be conducted in accordance with KRS Chapter 13B. Any person may appeal from the final order of the commissioner in the Franklin Circuit Court in accordance with KRS Chapter 13B.

History. Enact. Acts 2003, ch. 165, § 7, effective March 31, 2003.

332.214. Records of students required — Confidentiality.

  1. Every driver training school and driver training instructor shall maintain records showing the name, address, and instruction permit or operator’s license number of each person to whom instruction is given. The records shall also indicate the type of instruction given and the length of time of the instruction.
  2. The records required by this section to be maintained shall be available for inspection by the department, but shall otherwise remain confidential.

History. Enact. Acts 2003, ch. 165, § 8, effective March 31, 2003.

332.216. Authority for administrative regulations.

The department shall promulgate administrative regulations in accordance with KRS Chapter 13A to carry out the provisions of this chapter.

History. Enact. Acts 2003, ch. 165, § 9, effective March 31, 2003.

332.218. Scope of chapter.

This chapter shall not apply to:

  1. Any school or educational institution which offers to full-time, regularly enrolled students as a part of its curriculum a course in driving instruction;
  2. Automobile dealers and their salesmen who give instruction without charge to purchasers of motor vehicles;
  3. Employers who give instruction without charge to their employees; or
  4. Any college within the Kentucky Community and Technical College System, which is located in a county where there is not a school licensed pursuant to this chapter, and which offers to part-time students a course in drivers’ instruction.

History. Enact. Acts 2003, ch. 165, § 10, effective March 31, 2003.

332.990. Penalties. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 63, § 12) was repealed, reenacted and amended as KRS 165A.992 by Acts 2002, ch. 280, § 15, effective April 9, 2002.

332.991. Penalties.

Any person who violates KRS 332.202 , 332.206(2) and (3), or 332.214 shall be fined not less than one hundred dollars ($100) nor more than three hundred dollars ($300) or be imprisoned for not less than ten (10) days nor more than thirty (30) days, or both.

History. Enact. Acts 2003, ch. 165, § 11, effective March 31, 2003.

CHAPTER 333 Medical Laboratories

333.010. Purpose of law.

It is the declared purpose of this chapter to protect the public health, safety, and welfare of the people of this state from the hazards of improper performance by medical laboratories. The General Assembly recognizes that medical laboratories provide essential services to the medical practitioner by furnishing him vital information which is essential to a determination of the nature, cause, and extent of the condition involved and that the people of this state are entitled to receive the highest level of competence, reliability, and accuracy that may be expected from medical laboratories and that unreliable and inaccurate reports may cause unnecessary anxiety, suffering, financial burdens, and even contribute directly to death. It is the intent of this chapter to safeguard the health of the people of this state by regulating the operation of medical laboratories.

History. Enact. Acts 1968, ch. 180, § 2.

333.020. Definitions for chapter.

As used in this chapter unless the context clearly indicates otherwise, the following terms shall have the meanings set forth below:

  1. “Person” means any individual, firm, partnership, association, corporation, municipality, political subdivision, or any other entity whether organized for profit or not;
  2. “Cabinet” means the Cabinet for Health and Family Services;
  3. “Medical laboratory” means any institution, building, place, or any other facility in which operations and procedures for the microbiological, serological, chemical, hematological, immunohematological, biophysical, cytological, pathological, or other methods of examination of tissues including blood, secretions, and excretions of the human body are performed to obtain information in diagnosing, preventing, or treating disease, or in which the results of any examination, determination, or test are used as a basis for health advice. These activities include the diagnosis and identification of disease by the examination of tissues removed by surgery and also the determination of cause of death by the examination of tissues removed at autopsy. The term “clinical laboratory” shall be deemed synonymous with the term “medical laboratory,” and includes laboratories operated and maintained exclusively for teaching purposes;
  4. “Medical laboratory director” means the individual who is responsible for the administrative, scientific, and technical operation of the medical laboratory, including supervision of laboratory procedures, reporting of findings, and active participation to such extent as may be necessary to assure compliance with the law. He shall be responsible for the proper performance of all work in the laboratory and shall direct, supervise, and be responsible for the work of subordinates;
  5. “Medical laboratory supervisor” means an individual who, under the general supervision of a medical laboratory director, supervises technical personnel, performs tests requiring special scientific skills, experience, and educational background, and, in the absence of the director, is held responsible for the proper performance of all medical laboratory procedures and the reporting of results;
  6. “Medical laboratory technologist” means an individual who performs tests which require the exercise of independent judgment and responsibility, with minimal supervision by the director or supervisor, in only those specialties or subspecialties in which they are qualified by education, training, and experience;
  7. “Medical laboratory technician” means any individual other than the medical laboratory director, supervisor, technologist, or trainee who functions under the supervision of a medical laboratory director, supervisor, or technologist and performs only those medical laboratory procedures which require limited skill, responsibility, and a minimal exercise of independent judgment;
  8. “Medical laboratory trainee” means any individual in a medical laboratory who is seeking training and experience which, combined with the appropriate educational background, will qualify that person for employment as a “medical technologist” or “medical laboratory technician.” Trainees may perform procedures under the direct supervision of the laboratory director, supervisor, or medical technologist;
  9. “Medical laboratory personnel” includes the medical laboratory director, supervisor, technologist, or technician, but does not include medical laboratory assistants, trainees, or other individuals employed by a medical laboratory to perform clerical or other administrative responsibilities;
  10. “Medical laboratory evaluation program” means a program for evaluating the proficiency of medical laboratories by the cabinet; and
  11. “Medical laboratory advisory committee” shall mean a group of consultants appointed by the secretary for health and family services or his designee to advise the cabinet on matters relating to the regulation of medical laboratories.

History. Enact. Acts 1968, ch. 180, § 3; 1974, ch. 74, Art. VI, § 93; 1974, ch. 74, Art. VI, § 107(2); 1998, ch. 426, § 553, effective July 15, 1998; 2005, ch. 99, § 602, effective June 20, 2005.

333.030. License for medical laboratory required.

Except as provided in KRS 333.040 , no person shall construct, acquire, maintain, or operate a medical laboratory in this state unless a license therefor has been obtained from the cabinet. A separate license shall be obtained for each location.

History. Enact. Acts 1968, ch. 180, § 11.

333.040. Medical laboratories not subject to law.

This chapter applies to all medical laboratories within the State of Kentucky, except:

  1. Medical laboratories operated by the United States government;
  2. Medical laboratories operated by a licensed physician, or a group of licensed physicians, solely and exclusively in connection with the diagnosis and treatment of their own patients; if any referred work is received or performed by such medical laboratories, all provisions of this chapter shall apply;
  3. Medical laboratories operated by hospitals licensed by the secretary for health and family services;
  4. Medical laboratories operated and maintained exclusively for research purposes, involving no patient or public health service whatsoever; and
  5. Medical laboratories operated by facilities holding a permit pursuant to KRS 315.035 and holding a valid certification issued pursuant to the Clinical Laboratory Improvement Act of 1988 (CLIA), as amended, solely and exclusively in connection with assisting a patient with the use of CLIA-waived tests available from the facility’s stock or inventory, and in connection with testing and treatment of patients covered under collaborative care agreements established under KRS 315.010 and other applicable laws. If any referred work is received or performed by these medical laboratories, all provisions of this chapter shall apply.

History. Enact. Acts 1968, ch. 180, § 4; 1974, ch. 74, Art. VI, § 107(1); 1978, ch. 298, § 1, effective June 17, 1978; 1978, ch. 384, § 108, effective June 17, 1978; 1998, ch. 426, § 554, effective July 15, 1998; 1998, ch. 531, § 2, effective July 15, 1998; 2005, ch. 99, § 603, effective June 20, 2005.

Opinions of Attorney General.

In view of the clear policy that medical laboratories be licensed, a proposed regulation which would exempt medical laboratories operated by licensed physicians would not be lawful if adopted by the Department (now Cabinet) of Human Resources. OAG 77-170 .

333.050. Application for license — License to be limited — Not issued, when.

Application for a medical laboratory license shall be made under oath by the director of the medical laboratory. The license shall be issued only for the performance of those medical laboratory procedures which the particular laboratory, by virtue of the educational and experience background of its laboratory personnel and the nature of its equipment and facilities, is competent to perform. A license shall not be issued unless the cabinet determines that the medical laboratory is adequately staffed and equipped to operate in conformity with the requirements of this chapter and the regulations promulgated hereunder.

History. Enact. Acts 1968, ch. 180, § 13.

333.060. Contents of license.

A medical laboratory license shall specify, on the face thereof, the names of the director and the owner, the procedures or categories of procedures authorized, the period for which it is valid, and the location at which such procedures must be performed. The license shall be prominently displayed.

History. Enact. Acts 1968, ch. 180, § 14.

333.070. Duration of license — Fees.

A medical laboratory license shall be valid for the calendar year for which it is issued. The cabinet shall promulgate administrative regulations to establish fees, not to exceed the administrative costs to the program, for the initial application for a license and license renewal. The license shall be renewable upon expiration and reapplication accompanied by the annual renewal fee. Fees collected by the cabinet shall be deposited in the State Treasury and credited to a revolving fund account for the purpose of carrying out the provisions of this chapter. The balance of said account shall lapse to the general fund at the end of each biennium.

History. Enact. Acts 1968, ch. 180, § 15; 1974, ch. 74, Art. VI, § 107(22); 1982, ch. 247, § 20, effective July 15, 1982; 2018 ch. 136, § 19, effective July 1, 2019.

Compiler’s Notes.

For this section as effective until July 1, 2019, see the bound volume.

333.080. Director of laboratory responsible for conduct of laboratory — License not transferable.

A license to operate a medical laboratory shall be issued to the director for the purposes stated in the application, and he shall be responsible to the cabinet for the maintenance and conduct thereof including any violations of the provisions of this chapter and the regulations promulgated hereunder. A license shall be valid only in the hands of the person to whom it is issued and shall not be the subject of sale, assignment, or transfer (voluntary or involuntary) nor shall a license be valid for any premises other than those for which issued.

History. Enact. Acts 1968, ch. 180, § 12.

333.090. Qualifications of laboratory director — Limit on tests.

  1. Except as otherwise provided in subsections (2) and (3) of this section, the director of a medical laboratory shall be a physician licensed to practice medicine in Kentucky.
  2. The director of a medical laboratory may be the holder of an earned doctoral degree, with a chemical, physical or biological science as his major subject, from an institution accredited by an appropriate agency of the state or by any other equivalent accrediting agency acceptable to the cabinet or from an institution which, in the opinion of the cabinet, maintains standards equivalent to those of an institution accredited as aforesaid, who subsequent to graduation has had at least two (2) years of experience in the medical laboratory specialty for which he was trained.
  3. In the event an individual has been serving as a director of a medical laboratory in Kentucky for a period of not less than a year prior to January 1, 1969, he may continue to direct such medical laboratory notwithstanding the requirement of subsections (1) and (2) of this section, provided, however, that the cabinet may require (in the interest of the health, safety, and welfare of the people of this state) as a condition precedent to the issuance of an original or renewal license hereunder, that such individuals demonstrate their ability satisfactorily to perform medical laboratory examinations and to direct a medical laboratory.
  4. Tests performed in a laboratory directed by a nonphysician shall be limited to the specialties or subspecialties of medical laboratory procedures for which the director is personally qualified through education and experience and no medical interpretation of test results, diagnosis, prognosis, or suggested treatment shall be made.

History. Enact. Acts 1968, ch. 180, § 16.

333.100. Qualifications of laboratory personnel may be prescribed.

The cabinet may prescribe minimal qualifications for medical laboratory personnel including but not limited to microbiology, serology, chemistry, hematology, immunohematology, biophysics, cytology, or pathology.

HISTORY: Enact. Acts 1968, ch. 180, § 17; 1990, ch. 443, § 26, effective July 13, 1990; 2015 ch. 113, § 23, effective June 24, 2015.

333.110. Permit required for school for medical laboratory personnel.

No person shall construct, acquire, maintain or operate a school for training medical laboratory personnel and/or medical laboratory trainees in this state unless approval has first been obtained from the cabinet. Approval shall be contingent upon presentation of satisfactory evidence that the curriculum, personnel and equipment of such school is adequate to provide quality training in medical laboratory techniques.

History. Enact. Acts 1968, ch. 180, § 10.

333.120. Inspection of medical laboratories.

The cabinet is authorized to inspect the premises and operations of all medical laboratories for the purpose of studying and evaluating the operation, supervision, and procedures of such facilities and to determine their effect upon the health and safety of the people of this state.

History. Enact. Acts 1968, ch. 180, § 6.

333.130. Reports of laboratories as to test results.

The cabinet may require reporting by medical laboratories of selected test results for the protection of the public health. The cabinet may furnish forms for this purpose. Such reports shall not be construed as constituting a diagnosis nor shall any medical laboratory or medical laboratory personnel making such a report be held liable for having violated a trust or confidential relationship by filing such a report. The reports submitted shall be deemed confidential and not subject to public inspection.

History. Enact. Acts 1968, ch. 180, § 7.

333.140. Reports as to operation of laboratories.

The cabinet may require medical laboratory directors to submit such reports concerning medical laboratory operations as may be reasonably necessary to administer this chapter, such as changes of personnel, services or program.

History. Enact. Acts 1968, ch. 180, § 8.

333.150. Human specimens to be examined only on request of authorized persons — Transmission of medical laboratory results — Compliance with HIPAA — Contents of lab report.

  1. A medical laboratory shall examine human specimens only at the request of a licensed physician, podiatrist, dentist, or other person authorized by law to use the findings of medical laboratory examinations. The results of a test shall be reported to the licensed health care provider who requested it.
  2. Medical laboratory results may be transmitted to:
    1. Any health care provider who is treating the patient;
    2. An electronic health information exchange or network for the purposes of transmitting medical laboratory results to the ordering provider and to any other provider for the purposes of treatment, payment, or operations if patient consent has been obtained under the federal Health Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191; and
    3. An electronic health information exchange or network for the purpose of meeting the requirements of the American Recovery and Reinvestment Act of 2009, Pub. L. No. 111-5, and its related federal regulations.
  3. All transactions under subsection (2) of this section shall be in compliance with the federal Health Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191.
  4. Laboratory reports shall include the name of the director and the name and address of the medical laboratory in which the test was actually performed. All specimens accepted by a medical laboratory shall be tested on the premises except that specimens for infrequently performed tests may be forwarded for examination to another medical laboratory licensed under this chapter or to a medical laboratory located outside this state if licensed or approved by the appropriate agency of the state concerned.

History. Enact. Acts 1968, ch. 180, § 18; 1974, ch. 225, § 17; 2010, ch. 142, § 2, effective July 15, 2010.

Compiler’s Notes.

The federal Health Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191 referenced in this section is codified primarily in Titles 18, 29 and 42. Provisions pertaining to transmission of health information are found at 42 USCS 1320d et seq.

NOTES TO DECISIONS

1.Chiropractors.

Chiropractors are not included in the phrase “other person authorized by law” so as to authorize them to submit specimens from the human body to state-licensed medical laboratories and to use the reports thereby obtained in diagnosing human ailments. Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

Opinions of Attorney General.

Any optometrist whom the Board of Optometric Examiners has certified under subsections (13) and (14) of KRS 320.240 to use topical therapeutic pharmaceutical agents may collect specimens from the eye and use the analysis of a medical laboratory in the treatment of their patient. OAG 88-70 .

333.160. Who may collect human specimens.

Only a licensed physician, dentist or other person authorized by law shall manipulate a patient for the collection of specimens, except that qualified personnel authorized by him may collect human blood or materials for smears or cultures.

History. Enact. Acts 1968, ch. 180, § 19.

NOTES TO DECISIONS

1.Chiropractors.

Chiropractors are not included in the phrase “other person authorized by law” so as to authorize them to submit specimens from the human body to state-licensed medical laboratories and to use the reports thereby obtained in diagnosing human ailments. Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

Opinions of Attorney General.

Any optometrist whom the Board of Optometric Examiners has certified under subsections (13) and (14) of KRS 320.240 to use topical therapeutic pharmaceutical agents may collect specimens from the eye and use the analysis of a medical laboratory in the treatment of their patient. OAG 88-70 .

333.170. Unlicensed person not to maintain office for collection of specimens — Shipment through mails regulated.

  1. No person shall represent, or maintain an office or specimen collection station or other facility for the representation of any medical laboratory situated in this state unless the medical laboratory so represented is licensed pursuant to the provisions of this chapter.
  2. No person shall represent, or maintain an office or a specimen collection station or other facility for the representation of any medical laboratory situated outside this state unless the medical laboratory so represented is licensed or approved by the appropriate agency of the state concerned.
  3. The cabinet may, from time to time, determine which tests may be performed on specimens shipped through the mails and may prescribe requirements for collection, transportation, and preservation of such specimens.

History. Enact. Acts 1968, ch. 180, § 20.

333.180. Records — Quality control programs.

  1. Records involving medical laboratory services and copies of reports of laboratory tests shall be kept for the period of time and in a manner prescribed by regulation of the secretary. They shall be made available to representatives of the cabinet for inspection during regular office hours.
  2. Each medical laboratory shall establish its own quality control program acceptable to the cabinet including use of, where applicable, reference or control sera and other biological samples, concurrent calibration standards, and control chart recordings.

History. Enact. Acts 1968, ch. 180, § 21; 1974, ch. 74, Art. VI, § 107(22).

333.190. Denial, revocation, or suspension of laboratory license.

A medical laboratory license may be denied, revoked, suspended, limited, annulled, or renewal thereof denied for any of the following reasons:

  1. Making false statements on an application for medical laboratory license or any other documents required by the cabinet.
  2. Permitting unauthorized persons to perform technical procedures or to issue or sign reports.
  3. Demonstrating incompetence or making frequent errors in the performance or reporting of medical laboratory examinations and procedures.
  4. Performing a test and rendering a report thereon to a person not authorized by law to receive such services.
  5. Reporting the results determined on a specimen by a medical laboratory which has not been licensed or exempted under this chapter.
  6. Rendering a report on medical laboratory work actually performed in another medical laboratory without designating the name of the director and the name and address of the medical laboratory in which the test was performed.
  7. Knowingly having professional connection with or knowingly lending the use of the name of the licensed medical laboratory or its director to an unlicensed medical laboratory.
  8. Violating or aiding and abetting in the violation of any provision of this chapter or the rules or regulations promulgated hereunder.
  9. Failing to submit to the cabinet any report required by the provisions of this chapter or the reasonable rules and regulations promulgated hereunder.
  10. Violating KRS 304.39-215 .
  11. Engaging in conduct that is subject to the penalties KRS 304.99-060 (4) or (5).

History. Enact. Acts 1968, ch. 180, § 23; 1990, ch. 443, § 13, effective July 13, 1990; 2001, ch. 61, § 14, effective June 21, 2001; 2015 ch. 113, § 24, effective June 24, 2015; 2019 ch. 143, § 20, effective June 27, 2019.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

333.200. Hearing on revocation or suspension of license — Effective date of final order — Appeal.

  1. In every proceeding for suspension or revocation of a license, the cabinet shall afford the medical laboratory director the opportunity for an administrative hearing to be conducted in accordance with KRS Chapter 13B. A license may be temporarily suspended through the issuance of an emergency order pursuant to KRS 13B.125 for a period not in excess of twenty (20) days upon notice to the medical laboratory director following a finding by the cabinet that the public health, safety, or welfare is in imminent danger.
  2. Except as otherwise provided in this subsection, every final order of the cabinet suspending or revoking a license shall become effective thirty (30) days after notice is given to the medical laboratory director, unless the director within thirty (30) days from the giving of the notice, appeals therefrom in the manner provided by subsection (3) of this section. Provided, however, that the cabinet may, when in its opinion the continued operation of the medical laboratory during the time allowed for appeal would be dangerous to the health, welfare, and safety of the public, provide in its final order of suspension or revocation that the order shall become effective forthwith; and in this event the cabinet’s order of suspension or revocation shall become effective as of the date specified therein, and the medical laboratory shall not, after notice of same, continue to operate under the license after revocation or during the period of suspension, unless and until the cabinet order is reversed or modified by a final and unappealable order or judgment of a court made pursuant to the provisions of subsection (3) of this section.
  3. Any medical laboratory which is aggrieved by a final order of the cabinet placing it on probation, or suspending or revoking its license may procure judicial review by filing a petition in the Circuit Court of Franklin County, Kentucky, in accordance with KRS Chapter 13B.

History. Enact. Acts 1968, ch. 180, § 24; 1974, ch. 74, Art. VI, § 107(11); 1996, ch. 318, § 305, effective July 15, 1996.

333.210. Regulations, scope.

The secretary shall adopt reasonable rules and regulations to effectuate the purposes and provisions of this chapter, which may include, but not be limited to, the following subject matters: licensure of medical laboratories; qualifications of medical laboratory personnel; standards of performance in the examination of specimens including the operation by the cabinet of a medical laboratory evaluation program; reasonable license fees for medical laboratory licensure; standards of construction of medical laboratories; sanitary conditions within the medical laboratory and its surroundings; and standards of medical laboratory equipment.

History. Enact. Acts 1968, ch. 180, § 5; 1974, ch. 74, Art. VI, § 107(22).

333.220. Medical laboratory advisory committee — Membership, appointment.

The secretary for health and family services shall appoint an advisory committee to advise the cabinet in the fulfillment of its responsibilities under this chapter. The committee shall be composed of nine (9) appointed members. The secretary for health and family services or his designated representative shall be an ex officio member. All appointed members shall serve for a term of four (4) years or until their successors are appointed and qualified. One (1) member shall be appointed from a list of three (3) names submitted by the Kentucky Hospital Association. One (1) member shall be appointed from a list of three (3) names submitted by the Kentucky State Society of American Medical Technologists. Two (2) members shall be appointed from a list of three (3) names for each position submitted by the Kentucky State Society of Medical Technologists. Five (5) members shall be appointed from a list of three (3) names for each position submitted by the Kentucky Medical Association, provided, however, that at least three (3) of such positions shall be filled only by pathologists who are directors of medical laboratories, and who have been recommended to the Kentucky Medical Association by the Kentucky Society of Pathologists.

History. Enact. Acts 1968, ch. 180, § 9; 1974, ch. 74, Art. VI, § 107(2); 1998, ch. 426, § 555, effective July 15, 1998; 2005, ch. 99, § 604, effective June 20, 2005.

333.230. Fees, disposition.

All fees collected under the provisions of this chapter shall be credited to a trust and agency fund to be used by the cabinet for defraying the costs of administering this chapter.

History. Enact. Acts 1968, ch. 180, § 22.

333.240. Prohibited actions.

No person shall:

  1. Operate, maintain or direct a medical laboratory, as herein defined, which is not exempt under KRS 333.040 , unless a medical laboratory license has been obtained from the cabinet.
  2. Conduct, maintain, or operate a nonexempt medical laboratory unless such laboratory is under the direction of an individual authorized by KRS 333.090 .
  3. Accept specimens for tests from and make reports to persons who are not legally qualified or authorized to submit specimens to medical laboratories and to receive such reports. However, this does not prohibit the referral of specimens from one licensed medical laboratory to another laboratory licensed or approved under this chapter providing the report indicated clearly the medical laboratory performing the test and the name of the director of such medical laboratory.
  4. Either personally or through an agent, solicit referral of specimens to his or any other medical laboratory or contract to perform medical laboratory examinations of specimens in a manner which offers or implies an offer or rebates to a person or persons submitting specimens, other fee-splitting inducements, participation in any fee-splitting arrangements, or other unearned remuneration.
  5. Violate or aid and abet in the violation of any provision of this chapter or the rules or regulations promulgated hereunder.

History. Enact. Acts 1968, ch. 180, § 25.

NOTES TO DECISIONS

1.Chiropractors.

Chiropractors are among those “persons who are not legally qualified or authorized to submit specimens to medical laboratories and to receive such reports.” Kentucky Asso. of Chiropractors, Inc. v. Jefferson County Medical Soc., 549 S.W.2d 817, 1977 Ky. LEXIS 414 ( Ky. 1977 ).

333.250. Unlicensed laboratory a public nuisance — Abatement.

  1. The operation or maintenance of an unlicensed medical laboratory in violation of this chapter is declared a nuisance, inimical to the public health, safety and welfare. The cabinet may, in addition to other remedies herein provided, bring an action for an injunction to restrain such violation or to enjoin the future operation or maintenance of any such medical laboratory until compliance with the provisions of this chapter and the rules and regulations promulgated hereunder.
  2. County and Commonwealth’s attorneys and the Attorney General shall, within their respective jurisdictions, enforce the penal provisions of this chapter.

History. Enact. Acts 1968, ch. 180, § 26; 1976 (Ex. Sess.), ch. 17, § 48, effective January 1, 1978.

333.260. Citation of law.

KRS 333.010 to 333.260 and 333.990 may be cited as the “Kentucky Medical Laboratory Act.”

History. Enact. Acts 1968, ch. 180, § 1.

333.990. Penalties.

The performance of any of the acts specified in KRS 333.240 or for violation of any other provision of this chapter or of any rules and regulations of the board adopted hereunder shall constitute a misdemeanor punishable, upon conviction, by a fine of not less than $300 nor more than $500 or by imprisonment for not more than one (1) year, or by both fine and imprisonment.

History. Enact. Acts 1968, ch. 180, § 27.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 334 Specialists in Hearing Instruments

334.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Board” means the Kentucky Licensing Board for Specialists in Hearing Instruments.
  2. “License” means a license issued by the board under this chapter to specialists in hearing instruments.
  3. “Apprentice permit” means a permit issued while the applicant is in training to become a licensed specialist in hearing instruments.
  4. “Hearing instrument” means any wearable instrument or device designed for or represented as aiding or improving defective human hearing and any parts, attachments, or accessories of such an instrument or device.
  5. “Practice of fitting hearing instruments” means the measurement of human hearing by means of an audiometer for the purpose of making selections, adaptions, and adjustments of hearing instruments. The term also includes the making of ear mold impressions and custom earmolds.
  6. “Sell or sale” means any transfer of title or transfer of the right to use by lease, bailment, or any other means.
  7. A used or not new hearing instrument is one (1) that has been the subject of a sale and the title to which was held by the client for a period longer than thirty (30) days.
  8. “Client” means the user or purchaser of the hearing instrument.
  9. “Specialist in hearing instruments” means any individual licensed under this chapter.
  10. “Apprentice” means any applicant in training to become a licensed specialist in hearing instruments.
  11. “Sponsor” means a licensed specialist in hearing instruments qualified under KRS 334.090(8) who assumes professional responsibility for an apprentice.

History. Enact. Acts 1972, ch. 48, § 1; 1974, ch. 308, § 58; 1976, ch. 276, § 1; 1992, ch. 460, § 1, effective July 14, 1992; 1996, ch. 272, § 1, effective July 15, 1996.

NOTES TO DECISIONS

1.Fitting and Dealing.

“Fitting” subsumes the measurement of hearing and the selection of the most appropriate device to compensate for hearing loss, while “dealing” is the sale of the hearing aid so fitted. Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

Opinions of Attorney General.

The clear goal of this chapter is that the applicant demonstrate that he can competently fit hearing aids, whether this is done by evidence of competency prior to the enactment of the chapter or by examination. OAG 73-672 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Pre-complaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

334.020. Requirement of license or permit.

No person shall engage in the sale or practice of fitting hearing instruments or display a sign or in any other way advertise or represent himself as a person who practices the sale or fitting of hearing instruments unless he holds an unsuspended, unrevoked license issued by the board pursuant to KRS 334.080 , or unless he holds a current, unsuspended, unrevoked apprentice permit pursuant to KRS 334.090 . The license or permit shall be conspicuously posted in each office or place of business.

History. Enact. Acts 1972, ch. 48, § 2; 1992, ch. 460, § 2, effective July 14, 1992.

NOTES TO DECISIONS

Cited:

Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

Opinions of Attorney General.

Physicians shall not be required to be licensed so long as they merely engage in the fitting of hearing aids but, if they become dealers, they too must be licensed. OAG 73-826 .

Physicians and audiologists must be licensed to sell or dispense hearing aid devices at no cost, since dispensing a hearing aid device, even at no profit, entails a transfer of title and the right of use and therefore constitutes a sale. OAG 76-544 .

As it relates to this section, the word “profit” must be defined as the excess of the selling price of hearing instruments and related goods over their actual cost to the seller. OAG 77-61 .

A person who is not licensed as a hearing aid dealer in Kentucky may not advertise in Kentucky a hearing aid service or a hearing aid distributorship. OAG 79-498 .

The import of KRS 334.200(2) is that no so-called hearing center, hospital, etc., can employ a licensed hearing aid dealer solely for the purpose of engaging in the fitting or sale of hearing aids for profit; a licensed audiologist cannot sell or fit hearing aids, and his practice is limited by KRS 334A.020(7) (now (6)), by which he can only make “hearing aid recommendations and evaluation.” OAG 85-27 .

This section and KRS 334.040(2) prohibit anyone, including physicians and audiologists, from engaging in the sale or dispensing of hearing aids unless they are licensed as hearing aid dealers. The purpose behind KRS 334.200(2) is to prevent a physician or audiologist from owning an interest in a business controlled by or employing a hearing aid dealer where the sole purpose of that business is to engage in the fitting or sale of hearing aids for profit. Obviously, these statutes work in harmony to prohibit any unlicensed individual from selling or dispensing hearing aids or profiting from such selling or dispensing, unless the selling or dispensing is done through a licensed hearing aid dealer. However, if the physician or audiologist becomes licensed as a hearing aid dealer, he may then sell or dispense the hearing aids. OAG 91-69 .

334.030. Requirement of written agreement, offer to purchase, or receipt — Contents — Right to cancel — Delivery statement — Solicitation provisions.

  1. Any person who practices the sale or fitting of hearing instruments shall obtain from the buyer of a hearing instrument, at the time such buyer assumes any financial obligation with respect to the purchase, the buyer’s signature on a written and dated agreement, offer to purchase, or receipt. The written agreement, offer to purchase, or receipt shall contain the following information:
    1. Licensee’s signature, printed name and business address, and license number issued to the licensee by the board pursuant to this chapter;
    2. Make, model, and serial number of the hearing instrument;
    3. Immediately following the information required by subsection (1)(a), (b), and (d) of this section, shall be the statement, in all capital letters in no smaller type than the largest used in the body copy portion, that: ANY COMPLAINTS CONCERNING THE SALE OR SERVICE OF THIS HEARING INSTRUMENT WHICH ARE NOT CORRECTED BY THE SPECIALIST IN HEARING INSTRUMENTS SHOULD BE DIRECTED TO: KENTUCKY LICENSING BOARD FOR SPECIALISTS IN HEARING INSTRUMENTS, COMMONWEALTH OF KENTUCKY, FRANKFORT, KENTUCKY 40601; and
    4. Notice and statement of the purchaser’s thirty (30) day right to cancel pursuant to KRS 334.210 .
  2. The written agreement, offer to purchase, or receipt shall bear in no smaller type than the largest used in the body copy portion the following statement: “The purchaser has been advised at the outset of his relationship with the specialist in hearing instruments that any examination(s) or representation(s) is not an examination, diagnosis, or prescription by a person licensed to practice medicine in this state and therefore shall not be regarded as medical opinion or advice.”
  3. Upon delivery of a hearing instrument, the client shall be furnished a delivery statement which shall include specifications as to the make, model, serial number, and delivery date, with full terms of the sale clearly stated. If a hearing instrument which is not new is offered for sale or is sold, that fact shall be clearly stated and conspicuously disclosed and read in the oral sales presentation before the buyer assumes any financial obligation with respect to the purchase, and the receipt shall be clearly marked as “used,” “reconditioned,” or “not new,” whatever is applicable, with terms of guarantee, if any.
  4. No person who practices the selling or fitting of hearing instruments shall visit the home or place of business of a potential buyer for the purpose of soliciting or inducing a sale of a hearing instrument without having obtained, prior to any visit, the expressed written consent of the potential buyer to such a visit. The consent required by this subsection shall clearly and conspicuously state that the potential buyer is aware that the specialist in hearing instruments may attempt to sell a hearing instrument during his visit.

History. Enact. Acts 1972, ch. 48, § 3; 1976, ch. 276, § 3; 1992, ch. 460, § 3, effective July 14, 1992.

NOTES TO DECISIONS

Cited:

Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

Opinions of Attorney General.

If a written request for information concerning hearing aid devices expressly gives consent for a home visit and acknowledges that the dealer may attempt to sell a hearing aid device, it would be sufficient consent under this section. OAG 76-350 .

334.040. Exemptions from application of chapter.

  1. This chapter shall not apply to a person while he is engaged in the practice of fitting hearing instruments and assistive listening devices if his practice is part of the academic curriculum of an accredited institution of higher education or part of a program conducted by a public, charitable institution or nonprofit organization, which is primarily supported by voluntary contributions.
  2. This chapter shall not be construed to prevent any person who is a medical or osteopathic physician licensed to practice in the Commonwealth of Kentucky from treating or fitting hearing instruments to the human ear, which includes the making of ear molds, or to an audiologist holding a certificate of clinical competence in audiology from the American Speech-Language-Hearing Association so long as they do not engage in the sale of hearing instruments.

History. Enact. Acts 1972, ch. 48, § 4; 1992, ch. 460, § 4, effective July 14, 1992.

NOTES TO DECISIONS

Cited:

Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

Opinions of Attorney General.

KRS 334.200(2) does not prohibit a nonprofit hospital that is not owned in whole or in part by a physician or audiologist from employing audiologists who are licensed hearing aid dealers where part of the audiologists’ work duties would consist of the fitting and sale of hearing aids for profit. OAG 90-53 (modifying OAG 85-27 ).

Subsection (2) does not prohibit an audiologist from selling hearing aids so long as the audiologist has first obtained a hearing aid dealer license. OAG 90-53 .

KRS 334.020 and this section prohibit anyone, including physicians and audiologists, from engaging in the sale or dispensing of hearing aids unless they are licensed as hearing aid dealers. The purpose behind KRS 334.200(2) is to prevent a physician or audiologist from owning an interest in a business controlled by or employing a hearing aid dealer where the sole purpose of that business is to engage in the fitting or sale of hearing aids for profit. Obviously, these statutes work in harmony to prohibit any unlicensed individual from selling or dispensing hearing aids or profiting from such selling or dispensing, unless the selling or dispensing is done through a licensed hearing aid dealer. However, if the physician or audiologist becomes licensed as a hearing aid dealer, he may then sell or dispense the hearing aids. OAG 91-69 .

334.050. Qualifications of applicant for licensure.

An applicant for licensure under this section shall pay a fee established by the board by the promulgation of an administrative regulation and shall show to the board that he:

  1. Is a person of good moral character;
  2. Is twenty-one (21) years of age or older;
  3. Has a minimum of a high school diploma or a general education development certificate;
  4. Is a citizen of the United States or has status as a legal alien;
  5. Is free of contagious or infectious disease; and
  6. Has completed the apprenticeship requirements of the formal education as provided by KRS 334.090 .

History. Enact. Acts 1972, ch. 48, § 5; 1992, ch. 460, § 5, effective July 14, 1992.

Opinions of Attorney General.

Under this section and KRS 334.080 and 334.190 , nonresidents of Kentucky may not be licensed to fit hearing aids but may only be issued certificates of indorsement and the issuance of a license to an individual living in another state, who has in the past habitually fitted hearing aids in Kentucky, is prohibited. OAG 73-427 .

334.060. Examination not to include degree of competence required of physician or audiologist — Examination of applicants to be given at least annually.

  1. An applicant for licensure who is notified by the board that he has fulfilled the requirements of KRS 334.050 shall appear at a time, place, and before such persons as the board may designate and pass written and practical tests in order to demonstrate that he is qualified to practice the fitting of hearing instruments. The examination administered shall not be conducted in a manner that college training is required in order to pass. Nothing in the examination shall imply that the applicant shall possess the degree of medical competence normally expected of a physician, or of audiological competence of a certified audiologist.
  2. The board shall give at least one (1) examination of the type prescribed in subsection (1) of KRS 334.070 each year, and such additional examinations as the volume of applications may make appropriate.

History. Enact. Acts 1972, ch. 48, § 6; 1992, ch. 460, § 6, effective July 14, 1992.

Opinions of Attorney General.

A nonresident of Kentucky may not be licensed to fit hearing aids within the state but may only be issued a certificate of indorsement as provided by KRS 334.080 and this residency requirement must be met whether the applicant is licensed by passing an examination prior to licensing as provided in this section or without examination under KRS 334.190 . OAG 73-427 .

In order to get a license under KRS Chapter 334, an applicant must show either that he fulfills all the provisions of the Grandfather Clause, KRS 334.190 , including the experience requirements of the first subsection, or he or she must demonstrate that he or she has the necessary ability by passing the examination described in this section and KRS 334.070 . OAG 73-672 .

An applicant may apply for a certificate of indorsement under KRS 334.080 after having previously applied for a training permit under KRS 334.090 , and may do so even after having previously applied to take the examination provided for in this section. OAG 75-628 .

334.070. Scope of examination.

The examination required in KRS 334.060 shall consist of:

  1. Tests of knowledge pertaining to fitting of hearing instruments including:
    1. Basic physics of sound;
    2. The anatomy and physiology of the ear, including the science of hearing causes and rehabilitation of abnormal hearing and hearing disorders; and
    3. The function of hearing instruments.
  2. Practical tests of proficiency in the following techniques pertaining to the fitting of hearing instruments:
    1. Pure tone audiometry, including air conduction testing and bone conduction testing;
    2. Speech audiometry, including live voice or recorded voice speech evaluations which include speech reception threshold testing, most comfortable listening level, loudness discomfort level, and speech discrimination testing;
    3. Masking when indicated;
    4. Recording and evaluation of audiograms and speech audiometry to determine proper selection and adaption of a hearing instrument; and
    5. Taking earmold impressions.

History. Enact. Acts 1972, ch. 48, § 7; 1992, ch. 460, § 7, effective July 14, 1992.

NOTES TO DECISIONS

1.Purpose.

The objective of this provision is to insure that all future licensees, whether dealers or fitters, will have a basic competency in the fitting of hearing aids. Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

Opinions of Attorney General.

In order to get a license under KRS Chapter 334, an applicant must show either that he fulfills all the provisions of the Grandfather Clause, KRS 334.190 , including the experience requirements of the first subsection, or he or she must demonstrate that he or she has the necessary ability by passing the examination described in KRS 334.060 and this section. OAG 73-672 .

334.080. Issuance of license — Reciprocity — Qualifications of applicant holding master’s degree in audiology.

  1. Upon payment of a fee, established by the board by promulgation of an administrative regulation, the board shall register each applicant who satisfactorily passes the examination. Thereupon the board shall issue to the applicant a license. The license shall be effective for one (1) year.
  2. Whenever the board determines that another state or jurisdiction has requirements equivalent to or higher than those in effect pursuant to this chapter for practice of selling or fitting of hearing instruments, and that such state or jurisdiction has a program equivalent to or stricter than the program for determining whether applicants pursuant to this chapter are qualified to sell or fit hearing instruments, the board may issue a license to those applicants who hold current, unsuspended, and unrevoked licenses to sell or fit hearing instruments in such other state or jurisdiction upon application and successful completion of examination. No applicant for a license pursuant to this subsection shall be required to submit to or undergo any training or other procedure, other than the payment of fees and examination pursuant to KRS 334.050 to 334.070 . The holder of a license issued under this subsection shall be registered in the same manner as holders of initial licenses. The fee for licenses issued under this subsection shall be the same as the fee for an initial license. Fees, grounds, and procedures for renewal, suspension, and revocation of licenses issued under this subsection shall be the same as for renewal, suspension, and revocation of initial licenses.
  3. Any applicant holding a master’s degree in audiology licensed under KRS Chapter 334A or holding at least a master’s degree from a recognized college or university and having the certification of clinical competence in audiology from the American Speech-Language-Hearing Association shall not be required to submit to or undergo any training or other procedures other than the payment of fees and successful completion of examination pursuant to KRS 334.050 to 334.070 . Fees, grounds, and procedures for renewal, suspension, and revocation of license issued under this subsection shall be the same as for renewal, suspension, and revocation of initial licenses.

History. Enact. Acts 1972, ch. 48, § 8; 1992, ch. 460, § 8, effective July 14, 1992.

Opinions of Attorney General.

Under this section and KRS 334.050 and 334.190 nonresidents of Kentucky may not be licensed to fit hearing aids but may only be issued certificates of indorsement and the issuance of a license to an individual living in another state, who has in the past habitually fitted hearing aids in Kentucky, is prohibited. OAG 73-427 .

An applicant may apply for a certificate of indorsement after having previously applied for a trainee permit under KRS 334.090 , and may do so even after having previously applied to take the examination provided for in KRS 334.060 . OAG 75-628 .

334.090. Apprentice permit — Training stages — Renewal of permit — Sponsorship of apprentices.

  1. An applicant who fulfills the requirements of KRS 334.050 may apply to the board for an apprentice permit as provided by the board by the promulgation of an administrative regulation. The fee shall be established by the board by the promulgation of an administrative regulation.
  2. The apprenticeship period shall be for twelve (12) months as follows:
    1. Stage I — The apprentice shall work for thirty (30) days under the direct control of a sponsor. The apprentice shall not in any way fit or test the client for the purpose of selling hearing instruments.
    2. Stage II — This training stage shall last for one hundred fifty (150) days. During this period the apprentice may conduct testing necessary for the proper selection and fitting of a hearing instrument, and make ear impressions. During this period the apprentice shall be under the direct supervision of his sponsor or a licensed specialist in hearing instruments who shall also qualify as a sponsor as defined in subsection (8) of this section. During this period the apprentice shall not make delivery or final fitting without direct personal supervision during the actual delivery.
    3. Stage III — This training stage shall last for one hundred eighty (180) days. The apprentice may engage in all activities of a licensed person. He shall, however, work under and be responsible to a licensed sponsor for the remainder of the apprentice period.
  3. The stages provided in subsection (2) of this section shall be completed with no interim time lapse between stages. If the apprentice leaves his place of training without approval of his employer, he shall forfeit seniority, and revert to stage I, subject to appeal to the board.
  4. After completion of the stages provided in subsection (2) of this section, the apprentice shall take the qualifying examination given by the board for a license and upon successfully passing the examination and paying the appropriate fee, may obtain a license.
  5. If a person who holds an apprentice permit issued under this section takes and fails to pass the qualifying examination, the board may renew the apprentice permit as provided by the board by the promulgation of an administrative regulation. A fee established by the board by the promulgation of an administrative regulation shall be paid prior to reexamination.
  6. Apprentice permit holders shall be governed by all administrative regulations and standards of ethical conduct pertaining to regular licensees.
  7. The satisfactory completion of a course in the selling or fitting of hearing instruments approved by the board may be considered equivalent to stages I and II of the apprenticeship period.
  8. No person shall sponsor an apprentice unless he is a licensed specialist in hearing instruments with a minimum of three (3) years’ experience, has obtained NBC-HIS board certification, or has a current license issued pursuant to this chapter on or before December 31, 1992. No sponsor may have more than two (2) apprentices at one (1) time. The sponsor shall be responsible for all sales and service of the apprentices and all monetary reimbursements.

History. Enact. Acts 1972, ch. 48, § 9; 1992, ch. 460, § 9, effective July 14, 1992; 1996, ch. 272, § 2, effective July 15, 1996.

Opinions of Attorney General.

This section makes no exception for a nonresident applicant sponsored by a licensed Kentucky dealer and, under subsection (8), specifically makes all other portions of the chapter controlling on the trainee so that it is apparent that the intent of the legislature was to bar nonresidents not previously licensed from fitting or dealing in hearing aids. OAG 73-826 .

An applicant who has previously applied for a trainee permit but who has not completed the trainee program because of voluntary termination or for other reasons and has not taken the examination may reapply for a permit, but, after he has completed the apprenticeship, taken and failed the examination, had his permit renewed once and taken and failed the examination a second time, he may not again apply for a trainee permit. OAG 75-628 .

334.100. Licensees’ and apprentices’ duty to notify board of location.

  1. Every person who holds a license or an apprentice permit shall notify the board in writing of the location where he engages or intends to engage in the practice of selling or fitting hearing instruments or where the person is in training.
  2. The board shall keep a record of each location where a licensee or apprentice intends to practice or train.
  3. Any notice required to be given by the board to a person who holds a license or apprentice permit may be given by mailing it to the last known address of the licensee or apprentice.

History. Enact. Acts 1972, ch. 48, § 10; 1992, ch. 460, § 10, effective July 14, 1992.

334.110. Renewal of licenses — Fee.

Each person who engages in the selling or fitting of hearing instruments shall annually, on or before January 30, pay to the board a fee to be established by the board by the promulgation of an administrative regulation for a renewal of his license. Where more than one (1) office is operated by the licensee, duplicate certificates shall be issued by the board for posting in each location. A thirty (30) day grace period shall be allowed after January 30, during which time licenses may be renewed on payment of a late fee and penalty to be established by the board by the promulgation of an administrative regulation. The board may suspend the license of any person who fails to renew his license before the expiration of the thirty (30) day grace period. After the expiration of the grace period, the board may in its discretion renew the license upon the payment of an additional fee to be established by the board by the promulgation of an administrative regulation. No person who applies for renewal, whose license has expired, shall be required to submit to any examination as a condition to renewal, if the renewal application is made within two (2) years from the date of expiration.

History. Enact. Acts 1972, ch. 48, § 11; 1992, ch. 460, § 11, effective July 14, 1992.

NOTES TO DECISIONS

Cited:

Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

334.120. Complaints — Procedure — Disciplinary sanctions — Prohibited conduct.

  1. Complaints against licensed persons shall be handled by the board in the following manner:
    1. Any person desiring to make a complaint against a licensee under this chapter shall reduce the complaint to writing and file it with the board.
    2. The board may conduct an investigation into any complaint which the board feels may constitute a violation of this chapter or the administrative regulations promulgated thereunder.
    3. The board may require that the licensee file a statement or report in writing as to the facts and circumstances concerning the complaint together with other information, material, or data reasonably related thereto.
    4. The board may request the assistance of the Attorney General in connection with an investigation.
    5. The board may employ the services of a hearing officer to conduct hearings, prehearing conferences, advise the board as to legal matters, and provide other legal services deemed appropriate by the board.
  2. If the board determines the charges made in the complaint are sufficient to warrant a hearing to determine whether the license issued under this chapter shall be suspended, revoked, or subject to reprimand or fine, it shall conduct a hearing in accordance with KRS Chapter 13B.
  3. The provisions of this chapter shall in no way limit the jurisdiction and authority of the Attorney General to take any necessary action under the Kentucky Consumer Protection Act, KRS 367.110 to 367.300 .
  4. The board may suspend, revoke, or levy a fine not to exceed one thousand dollars ($1,000), refuse to issue or renew any license for a fixed period of time, place on probation, issue a written reprimand to a licensee, or any combination thereof, based on a finding of the board after hearing that a person licensed under the provisions of this chapter has committed any of the following acts:
    1. Change of personal name, corporate name, charter, entity, or partnership name or composition to avoid the imposition of liens or court action;
    2. The conviction of a felony, or a misdemeanor, if in accordance with KRS Chapter 335B. The record of conviction, or a copy thereof, certified by the clerk of the court or by the judge in whose court the conviction is had, shall be conclusive evidence of that conviction;
    3. Procuring of license by fraud or deceit practiced upon the board;
    4. Unethical conduct as defined by the board by promulgation of an administrative regulation;
    5. Engaging in any unfair, false, misleading, or deceptive act or practice;
    6. Incompetence or negligence in the practice of selling or fitting hearing instruments; or
    7. Violating any provision of this chapter or the administrative regulations promulgated thereunder.

History. Enact. Acts 1972, ch. 48, § 12; 1976, ch. 276, § 5; 1992, ch. 460, § 12, effective July 14, 1992; 1996, ch. 318, § 306, effective July 15, 1996; 2017 ch. 158, § 80, effective June 29, 2017.

Opinions of Attorney General.

While use of the title “audiologist” by one not licensed under KRS Chapter 334A is illegal, anyone doing so risks being subjected to the penalties specified in this section, and if the person is a licensed hearing aid dealer, the Kentucky Board for Licensed Hearing Aid Dealers would have grounds to revoke or suspend that license, and such use by individuals, being false, misleading, and deceptive to the public, is also in violation of KRS 367.170 . OAG 75-454 .

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

334.130. Forgery, fraud, deceit, collusion, or conspiracy concerning licensure prohibited.

No person shall:

  1. Sell, barter, or offer to sell or barter a license or apprentice permit.
  2. Purchase or procure by barter a license or apprentice permit with intent to use it as evidence of the holder’s qualification to practice the selling or fitting of hearing instruments.
  3. Alter a license or apprentice permit with fraudulent intent.
  4. Use or attempt to use as a valid license or apprentice permit, a license or apprentice permit which has been purchased, fraudulently obtained, counterfeited, or materially altered.
  5. Willfully make a false statement in an application for license or apprentice permit or application for renewal of a license or apprentice permit.
  6. Sell, barter, or offer for sale or barter any brand or model of hearing instrument not having the approval of the board for reasonable merchantability and workmanship.

History. Enact. Acts 1972, ch. 48, § 13; 1992, ch. 460, § 13, effective July 14, 1992.

334.135. Board transferred to Division of Occupations and Professions for administrative purposes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 12(2).) was repealed by Acts 1992, ch. 460, § 22, effective July 14, 1992.

334.140. Kentucky Licensing Board for Specialists in Hearing Instruments.

  1. There is created the Kentucky Licensing Board for Specialists in Hearing Instruments.
  2. The board shall be composed of nine (9) members who shall be appointed by the Governor. Terms of office shall be at the Governor’s discretion, not to exceed four years. All terms shall expire on July 31 of the designated year. Each member shall serve for the term of his appointment and until his successor has been appointed and qualified. If a vacancy occurs on the board, a new member shall be appointed to serve out the unexpired term. No member shall serve consecutive terms on the board. Upon recommendation of the board, the Governor may remove any member of the board for excessive absenteeism, neglect of duty, or malfeasance in office.
  3. Five (5) members shall be specialists in hearing instruments licensed under KRS 334.080 . The appointees shall have at least five (5) years’ relevant experience. The Governor shall consider nominations from the Hearing Aid Association of Kentucky. No two (2) members from the same place of business may serve on the board at the same time.
  4. One (1) member shall be a physician licensed to practice medicine in Kentucky and specializing in otology or otolaryngology.
  5. One (1) member shall be an audiologist holding at least a master’s degree from a recognized college or university and having the certification of clinical competence in audiology from the American Speech-Language-Hearing Association and licensed under KRS Chapter 334A.
  6. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated.
  7. One (1) member shall be the secretary of the Cabinet for Health and Family Services or his designee.
  8. Five (5) members of the nine (9) members of the board, when properly convened, may conduct the business of the board.

History. Enact. Acts 1972, ch. 48, § 14; 1974, ch. 74, Art. VI, § 107(1); 1976, ch. 206, § 35; 1992, ch. 460, § 14, effective July 14, 1992; 1998, ch. 426, § 556, effective July 15, 1998; 2005, ch. 99, § 605, effective June 20, 2005.

334.150. Powers and duties of the board.

The powers and duties of the board shall be as follows:

  1. To authorize all disbursements necessary to carry out provisions of this chapter.
  2. To prepare and administer qualifying examinations to test the knowledge and proficiency of applicants for licensing.
  3. To license persons who apply to the board and who are qualified to practice the fitting of hearing instruments.
  4. To purchase and maintain or rent audiometric equipment and facilities necessary to carry out the examination of applicants for licensing.
  5. To issue and renew licenses.
  6. To suspend, revoke, refuse to issue, or renew licenses, impose probationary or supervisory conditions, issue letters of reprimand, or levy fines against a licensee, or any combination thereof.
  7. To appoint representatives to conduct or supervise the examination of applicants for licensing.
  8. To designate the time and place for examining applicants.
  9. To promulgate administrative regulations consistent with the laws of this Commonwealth which are necessary to carry out the provisions of this chapter.
  10. To require the periodic inspection of audiometric testing equipment and to carry out the periodic inspection of facilities of persons who practice the fitting of hearing instruments.
  11. To employ secretaries, attorneys, inspectors, clerks, or any other employees that the board may deem necessary to carry out the provisions of this chapter. The board may employ or discharge at its discretion.
  12. To initiate a formal educational program consistent with the intent of this chapter in that the consumer public shall be served by the specialist in hearing instruments trained in the latest technology in fitting hearing instruments.
  13. To promulgate administrative regulations establishing requirements and standards for continuing education.
  14. To administer oaths and to require the attendance of witnesses, the production of books, records and papers pertinent to any matters coming before the board by the issuance of process which shall be served and returned in the same manner as in civil actions and for the disobedience of which the board shall have by resort to a court of competent jurisdiction the power to invoke the same rights as are provided in the event of disobedience of a subpoena or subpoena duces tecum in a civil action.

History. Enact. Acts 1972, ch. 48, § 15; 1976, ch. 276, § 6; 1992, ch. 460, § 15, effective July 14, 1992.

Opinions of Attorney General.

Board has power to see that provisions of licensing law are observed and, pursuant to such power, could appoint a committee of four Board members to serve as investigators to discover violations. OAG 73-619 .

334.160. Meetings of board — Officers — Disposition of fees — Compensation.

  1. The board shall meet at least once a year at times and places to be designated by the board and upon such notice as the board may prescribe. At its first meeting each calendar year, the board shall elect a chairman, vice chairman, and secretary-treasurer, each to serve in his respective capacity for one (1) year.
  2. Fees, charges, and other moneys collected by the board shall be paid into the State Treasury and credited to a trust and agency fund to be used to pay expenses in administering this chapter. All moneys shall be received, disbursed, and accounted for by the board or its designee. All moneys not expended by the board to pay expenses in administering this chapter shall be retained by the board from year to year to be expended for the purposes expressed in this chapter.
  3. Each member of the board shall be paid a reasonable sum, not to exceed one hundred dollars ($100) per day, for each day of actual service on the board and shall be reimbursed all reasonable and necessary travel expenses.

History. Enact. Acts 1972, ch. 48, § 16; 1992, ch. 460, § 16, effective July 14, 1992.

334.170. Department of Professional Licensing to provide assistance.

The Department of Professional Licensing in the Public Protection Cabinet shall provide administrative aid to the board to assist it in the discharge of its duties.

History. Enact. Acts 1972, ch. 48, § 17; 1974, ch. 74, Art. VI, § 107(1); 1992, ch. 460, § 17, effective July 14, 1992; 2009, ch. 12, § 52, effective June 25, 2009; 2010, ch. 24, § 1695, effective July 15, 2010; 2017 ch. 178, § 34, effective April 11, 2017.

334.180. Reinstatement of license — Appeal from order refusing, suspending, or revoking license.

  1. A licensee whose license has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the license upon finding that the individual has complied with any terms prescribed by the board and is again able to engage in the practice of fitting hearing instruments.
  2. A licensee or applicant aggrieved by an order of the board refusing, suspending, or revoking a license may within thirty (30) days after notice thereof appeal thereupon to the Franklin Circuit Court. The appeal shall be determined by the court upon the certified record and no new or additional evidence shall be heard or considered by the court. Either party aggrieved by a final order entered by the court may appeal to the Court of Appeals as in a civil action.

History. Enact. Acts 1972, ch. 48, § 19; 1992, ch. 460, § 18, effective July 14, 1992.

334.190. Exception to examination for license — Qualifications.

For a period of six (6) months following June 16, 1972, an applicant for a license shall be issued a license without examination provided applicant:

  1. Has been principally engaged as a hearing aid dealer or fitter for a total period of at least two (2) continuous years within a period of three (3) years immediately prior to June 16, 1972;
  2. Is a person of good moral character;
  3. Is eighteen (18) years of age or older; and
  4. Is free of contagious or infectious disease.

History. Enact. Acts 1972, ch. 48, § 21.

NOTES TO DECISIONS

1.Grandfather Clause.

Hearing aid dealers who had formerly been active in the sale and fitting of hearing aids are entitled to hearing aid licenses without examination under the Grandfather Clause. Kentucky Board for Licensing Hearing Aid Dealers v. Rallo, 549 S.W.2d 825, 1977 Ky. LEXIS 415 ( Ky. 1977 ).

Opinions of Attorney General.

Under this section and KRS 334.050 and 334.080 nonresidents of Kentucky may not be licensed to fit hearing aids but may only be issued certificates of indorsement and the issuance of a license to an individual living in another state, who has in the past habitually fitted hearing aids in Kentucky, is prohibited. OAG 73-427 .

Board could properly require applicant under this section, to show he is experienced by submitting customers’ names, although such requirement should be adopted in the form of an administrative regulation. OAG 73-623 .

In order to get a license under KRS Chapter 334, an applicant must show either that he fulfills all of the provisions of this section, including the experience requirements of the first subsection, or he or she must demonstrate he or she has the necessary abilities by passing the examination described in KRS 334.060 and 334.070 . OAG 73-672 .

Under this section it is not necessary that an applicant show that he sold hearing aids in the past but the term “dealer” as used here includes those individuals who both fit and sell hearing aids. OAG 73-672 .

334.200. Requirements for sale or fitting of hearing instruments.

  1. No individual licensed under this chapter shall sell or fit a hearing instrument to any person unless within the preceding ninety (90) days:
    1. The person has been examined by and received a written, signed, and dated approval for a hearing instrument from a duly licensed physician. The written approval shall include a statement that the person examined has no known ear diseases or conditions of the ear which might make the fitting and wearing of a hearing instrument useless, or harmful to the person’s health, or which might interfere with the proper fitting and wearing of a hearing instrument; and,
    2. The person has received a hearing instrument evaluation, and a written, signed, and dated recommendation for a hearing instrument from a physician or an audiologist licensed or authorized to practice audiology pursuant to KRS Chapter 334A. The written recommendation may take the form of a specific recommendation as to the make and model of a hearing instrument or may include a listing of specifications for a hearing instrument.
  2. Any client eighteen (18) years of age or older may elect to sign a waiver to the requirements of subsections (1)(a) and (b) of this section before the purchase of a hearing instrument. The waiver shall be on a separate sheet of paper, shall be read to the prospective purchaser of a hearing instrument, and shall recite: “I have been advised by the seller (name) that the Food and Drug Administration has determined that my best health interest would be served if I had a medical evaluation by a licensed physician and preferably a physician who specializes in diseases of the ear before purchasing a hearing instrument. I do not wish a medical evaluation before purchasing a hearing instrument.” The waiver shall be dated and signed by seller and client.
  3. Any person licensed to sell hearing instruments under this chapter shall maintain for not less than three (3) years, in a file under the name of the person to whom a hearing instrument was sold, a true copy of the written approval pursuant to subsection (1)(a) of this section; and a true copy of the written recommendation for a hearing instrument pursuant to subsection (1)(b) of this section or the waiver of such written recommendation pursuant to subsection (2) of this section, and a true copy of the written agreement, offer to purchase, or receipt given the person, pursuant to KRS 334.030(1).

History. Enact. Acts 1976, ch. 276, § 2; 1992, ch. 460, § 19, effective July 14, 1992.

Opinions of Attorney General.

KRS 334.020 and 334.040(2) prohibit anyone, including physicians and audiologists, from engaging in the sale or dispensing of hearing aids unless they are licensed as hearing aid dealers. The purpose behind this section is to prevent a physician or audiologist from owning an interest in a business controlled by or employing a hearing aid dealer where the sole purpose of that business is to engage in the fitting or sale of hearing aids for profit. Obviously, these statutes work in harmony to prohibit any unlicensed individual from selling or dispensing hearing aids or profiting from such selling or dispensing, unless the selling or dispensing is done through a licensed hearing aid dealer. However, if the physician or audiologist becomes licensed as a hearing aid dealer, he may then sell or dispense the hearing aids. OAG 91-69 (decision prior to 1992 amendment of this section).

Research References and Practice Aids

Kentucky Law Journal.

Comments, Pre-complaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

334.210. Client’s right to cancel — Procedure.

  1. The client in a hearing instrument purchase, has the right to cancel the purchase for any reason at any time prior to midnight of the thirtieth calendar day after actual receipt of the hearing instrument.
  2. Cancellation occurs when the client gives written notice of cancellation to the seller at the address stated in the notice and statement of the client’s right to cancel provided for in subsection (5) of this section.
  3. Notice of cancellation, if given by mail, is given when it is deposited in the mail properly addressed and postage prepaid.
  4. Notice of cancellation given by the client need not take a particular form and is sufficient if it indicates by a form of written expression the intention of the client not to be bound by the hearing instrument sale.
  5. In the sale of a hearing instrument, the seller shall present to each client, at the time the client assumes any financial obligation with respect to the purchase of a hearing instrument, a written notice and statement of the client’s right to cancel which shall:
    1. Appear under the conspicuous caption; “CLIENT’S RIGHT TO CANCEL WITHIN 30 DAYS,” and
    2. Contain the following specific statement in all capital letters in no smaller type than the largest used in the body copy portion of the written agreement, offer to purchase, or receipt: “THE CLIENT HAS THE RIGHT TO CANCEL THIS PURCHASE FOR ANY REASON AT ANY TIME PRIOR TO MIDNIGHT OF THE 30TH CALENDAR DAY AFTER ACTUAL RECEIPT OF THE HEARING INSTRUMENT(S). YOU MAY CANCEL THE PURCHASE BY NOTIFYING THE SELLER THAT YOU DO NOT WANT THE HEARING INSTRUMENT(S) BY MAILING A NOTICE BEFORE  . . . . . . . . . . . . . . . . . . .  TO THE SELLER AT:  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  UPON CANCELLATION, THE SELLER MAY KEEP UP TO 10% OF THE SELLING PRICE.”
  6. The seller shall enter on the notice and statement required by subsection (5) of this section the date which is thirty (30) calendar days from the date on which the client receives the hearing instrument(s); the seller’s full name and address; and the cancellation charges allowed by this section.
  7. Until the seller has complied with this section, the client may cancel the purchase by notifying the seller in any manner and by any means of his intention to cancel.
  8. Within fifteen (15) days after the return of the hearing instrument or instruments and any other goods or property delivered by the seller pursuant to the sale by the client, the seller shall tender to the client any payments made by the client, less any amount retained by the seller to repair damage to the hearing instrument due to a lack of reasonable care of the hearing instrument purchased, and terminate all financial obligations created in connection with the purchase of the canceled hearing instrument or instruments by the client.
  9. If payment by the client includes any goods or property traded in, the goods or property shall be tendered to the client in substantially as good condition as when they were received by the seller. If the seller fails to tender the goods or property as provided by this subsection, the client may elect to recover an amount equal to the trade-in allowance for the goods or property.
  10. The provisions of this section shall not apply to a sale of a hearing instrument that replaces a damaged or unworkable hearing instrument, when the replacement hearing instrument is identical to the damaged or unworkable hearing instrument.
  11. Until the seller has complied with the obligations imposed by this section, the client may retain possession of all goods or property delivered to him by the seller and has a lien on the goods or property in his possession or control for any recovery to which he is entitled.
  12. The client has a duty to take reasonable care of the goods, as defined by the board by promulgation of an administrative regulation, in his possession before cancellation and for a reasonable time thereafter until delivered to the seller.
  13. Any waiver by the client of rights provided in this section is void, and shall not operate to relieve the seller of any obligation placed upon him by this section.
  14. Nothing in this section shall in any way limit the right to cancel home solicitation sales, pursuant to KRS 367.410 to 367.460 .

History. Enact. Acts 1976, ch. 276, § 4; 1992, ch. 460, § 20, effective July 14, 1992.

334.990. Penalties.

  1. Violation of any provision of this chapter is a misdemeanor punishable, upon conviction, by a penalty not to exceed two thousand five hundred dollars ($2,500) for each failure to comply with the orders of the board concerning each violation of law or administrative regulation concerning specialists in hearing instruments or by imprisonment in the county jail for not more than ninety (90) days, or both.
  2. In addition to any other action authorized by law, the Attorney General may enforce provisions of this chapter by civil action for injunctive relief in any court of competent jurisdiction. In an action to obtain an injunction, it shall be sufficient to allege and prove that a violation of this chapter has occurred or is about to occur, and it shall not be necessary to allege or prove that any person has been misled or deceived by an unethical conduct or that any person has been damaged or sustained any loss as a result of any violation of this chapter.

History. Enact. Acts 1972, ch. 48, § 18; 1992, ch. 460, § 21, effective July 14, 1992.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 334A Speech-Language Pathologists and Audiologists

334A.010. Legislative purpose declared.

It is hereby declared to be a policy of the Commonwealth of Kentucky that, in order to safeguard the public health, safety, and welfare, and to protect the public from being misled by incompetent, unscrupulous, and unauthorized persons, and to protect the public from unprofessional conduct by qualified speech-language pathologists and audiologists, it is necessary to provide regulatory authority over persons offering speech-language pathology and audiology services to the public.

History. Enact. Acts 1972, ch. 236, § 1; 1986, ch. 483, § 1, effective July 15, 1986.

NOTES TO DECISIONS

Cited:

Hearing Aid Asso. v. Bullock, 413 F. Supp. 1032, 1976 U.S. Dist. LEXIS 16212 (E.D. Ky. 1976 ).

334A.020. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Speech-Language Pathology and Audiology;
  2. “Person” means any individual, organization, or corporate body, except that only individuals can be licensed under this chapter;
  3. “Speech-language pathologist” means one who practices speech-language pathology. A speech-language pathologist may describe himself to the public by any title or description of services incorporating the words “speech-language pathologist,” “speech-language pathology,” “speech-language therapy,” “speech-language correction,” “speech-language correctionist,” “speech-language therapist,” “speech clinic,” “speech clinician,” “speech pathologist,” “language pathologist,” “language pathology,” “language therapist,” “logopedics,” “logopedist,” “communicology,” “communicologist,” “aphasiologist,” “voice therapy,” “voice therapist,” “voice pathology,” “voice pathologist,” “phoniatrist,” “communication disorders,” or “verbal therapist”;
  4. “The practice of speech pathology” means the application of principles, methods, and procedures for the measurement, testing, audiometric screening, identification, appraisal, determination of prognosis, evaluation, consultation, remediation, counseling, instruction, and research related to the development and disorders of speech, voice, verbal and written language, cognition/communication, or oral and pharyngeal sensori-motor competencies for the purpose of designing and implementing programs for the amelioration of these disorders and conditions. Any representation to the public by title or by description of services, methods, or procedures for the evaluation, counseling, remediation consultation, measurement, testing, audiometric screening, identification, appraisal, instruction, and research of persons diagnosed with conditions or disorders affecting speech, voice, verbal and written language, cognition/communication, or oral and pharyngeal sensori-motor competencies shall be considered to be the practice of speech-language pathology;
  5. “Audiologist” is defined as one who practices audiology. An audiologist may describe himself to the public by any title or description of services incorporating the words “audiologist,” “audiology,” “audiological,” “hearing center,” “hearing clinic,” “hearing clinician,” “hearing therapist,” “audiometry,” “audiometrist,” “audiometrics,” “otometry,” “otometrist,” “aural rehabilitationist,” or “hearing conservationist”;
  6. “The practice of audiology” means the application of principles, methods, and procedures of measurement, testing, appraisal, prediction, consultation, counseling, and instruction related to hearing and disorders of hearing for the purpose of modifying communicative disorders involving speech, language, auditory behavior, or other aberrant behavior related to hearing loss; planning, directing, conducting, or participating in identification and hearing conservation programs; and habilitative and rehabilitative programs, including hearing aid recommendations and evaluation, auditory training, or speech reading;
  7. “Continuing professional education” in speech-language pathology and audiology consists of planned learning experiences beyond a basic educational program leading to a degree. These experiences are designed to promote knowledge, skills, and attitudes of speech-language pathology and audiology practitioners to enable them to provide professional services in their areas of training that are based on current research and best practices;
  8. “Speech-language pathology assistant” means one who assists in the practice of speech-language pathology only under the supervision and direction of an appropriately qualified supervisor and only within the public school system in the Commonwealth. Any speech pathology services provided without appropriate supervision or outside the public school system shall be deemed to be the unlicensed practice of speech pathology and shall subject the offending party to penalties established pursuant to KRS 334A.990 ;
  9. “Assisting in the practice of speech pathology” means the provision of certain specific components of a speech or language service program provided by a speech-language pathology assistant under the supervision and direction of an appropriately qualified supervisor.
    1. If the training, supervision, documentation, and planning are appropriate, the following tasks may be delegated to a speech-language pathology assistant:
      1. Conduct speech-language and hearing screenings without interpretation following specified screening protocols developed by a speech-language pathologist and audiologist, respectively;
      2. Follow documented treatment plans or protocols as prescribed by the supervisor;
      3. Document student progress toward meeting established objectives as stated in the treatment plan;
      4. Provide direct treatment assistance to identified students under the supervision of the supervisor;
      5. Assist with clerical and other related duties as directed by the supervisor;
      6. Report to the supervisor about the treatment plan based on a student’s performance;
      7. Schedule activities, prepare charts, records, graphs, or otherwise display data. This shall not include report generation;
      8. Perform simple checks and maintenance of equipment;
      9. Participate with the supervisor in research projects, inservice training, and public relations programs;
      10. Assist in the development and maintenance of an appropriate schedule for service delivery;
      11. Assist in implementing collaborative activities with other professionals;
      12. Assist in administering tests for diagnostic evaluations and progress monitoring; and
      13. Participate in parent conferences, case conferences, or any interdisciplinary team in consultation with, or in the presence of, the supervisor.
    2. The following activities shall be outside the scope of practice of the speech-language pathology assistant:
      1. Performing any activity which violates the code of ethics promulgated by the board by administrative regulation;
      2. Interpreting test results, or performing diagnostic evaluations without supervision;
      3. Conducting client or family counseling without the recommendation, guidance, and approval of the supervisor;
      4. Writing, developing, or modifying a student’s individualized treatment plan in any way without the recommendation, guidance, and approval of the supervisor;
      5. Treating students without following the individualized treatment plan prepared by the supervisor or without access to supervision;
      6. Signing any due process document without the co-signature of the supervisor;
      7. Selecting or discharging students;
      8. Disclosing clinical or confidential information, either orally or in writing, to anyone not designated by the supervisor;
      9. Making referrals for additional services; and
      10. Representing himself or herself as something other than a speech-language pathology assistant;
  10. “Supervisor” means a person who holds a Kentucky license as a speech-language pathologist or who holds Education Professional Standards Board master’s level certification as a teacher of exceptional children in the areas of speech and communication disorders as established by administrative regulation;
  11. “Interim license” means a license issued by the board pursuant to KRS 334A.035 to a person for the purpose of completing the supervised postgraduate professional experience required under that section prior to an application for licensure as a speech-language pathologist or a speech-language pathology assistant; and
  12. “Temporary license” means a license that may be issued by the board administrator pursuant to KRS 334A.183 to any applicant who has met all the requirements for permanent licensure in accordance with that section.

History. Enact. Acts 1972, ch. 236, § 2; 1986, ch. 483, § 2, effective July 15, 1986; 1994, ch. 32, § 1, effective July 15, 1994; 2000, ch. 375, § 4, effective July 14, 2000; 2008, ch. 165, § 1, effective July 15, 2008.

Opinions of Attorney General.

The import of KRS 334.200(2) is that no so-called hearing center, hospital, etc., can employ a licensed hearing aid dealer solely for the purpose of engaging in the fitting or sale of hearing aids for profit; a licensed audiologist cannot sell or fit hearing aids, and his practice is limited by subsection (7) (now (6)) of this section, by which he can only make “hearing aid recommendations and evaluation.” OAG 85-27 .

To be eligible for Medicaid reimbursement for speech pathology services under federal regulations, a provider must either be or work under the direction of a speech pathologist. A speech pathologist under federal regulations must have American Speech and Hearing Association certification or its equivalent or have a master’s degree in speech-language pathology and be in the process of acquiring the necessary work experience for such certification. The application of this standard to persons certified by the Education Professional Standards Board must be determined on a case-by-case basis. OAG 2008-04 .

334A.030. License required for speech-language pathology or audiology.

  1. Licensure shall be granted as a speech-language pathologist, speech-language pathology assistant, or audiologist independently. A person may be licensed in more than one (1) area if he meets the respective qualifications.
  2. No person shall practice or represent himself as a speech-language pathologist, speech-language pathology assistant, or audiologist in this state unless he is licensed in accordance with the provisions of this law.
  3. A licensed speech-language pathology assistant employed by a public school shall receive the same salary and benefits available to certified teachers with Rank III and the corresponding years of experience.

History. Enact. Acts 1972, ch. 236, § 3; 1986, ch. 483, § 3, effective July 15, 1986; 1994, ch. 32, § 2, effective July 15, 1994.

NOTES TO DECISIONS

1.Deceptive Practices.

Private trade organization engaged in scheme of certifying people as “certified hearing aid audiologist” knew or should have known that customers would be deceived by use of this term in reference to people who had not met the statutory requirements for audiologist, and thus violated the Consumer Protection Act by the use of false, misleading and deceptive practices. National Hearing Aid Soc. v. Commonwealth, 551 S.W.2d 247, 1977 Ky. App. LEXIS 716 (Ky. Ct. App. 1977).

Opinions of Attorney General.

Speech pathologists and audiologists employed at comprehensive care centers operated by the various regional mental health-mental retardation boards must be licensed pursuant to this section as they are not state employees entitled to exemption under KRS 334A.040(3)(b). OAG 74-384 .

To be eligible for Medicaid reimbursement for speech pathology services under federal regulations, a provider must either be or work under the direction of a speech pathologist. A speech pathologist under federal regulations must have American Speech and Hearing Association certification or its equivalent or have a master’s degree in speech-language pathology and be in the process of acquiring the necessary work experience for such certification. The application of this standard to persons certified by the Education Professional Standards Board must be determined on a case-by-case basis. OAG 2008-04 .

334A.033. License for speech-language pathology assistant — Requirements for licensure — Supervision requirements.

  1. The board may issue a license to practice as a speech-language pathology assistant under the following conditions:
    1. The practice shall be limited to the public schools and shall be under the supervision of an appropriately qualified supervisor;
    2. The requirements for supervision shall be set forth in administrative regulations promulgated by the board and shall include requirements that:
      1. A person holding an interim license as a speech-language pathology assistant shall receive no less than three (3) hours per week of documented direct supervision and three (3) hours per week of indirect supervision from an appropriate supervisor as determined by the board;
      2. A person holding a license as a speech-language pathology assistant with less than three (3) years of full-time experience shall receive no less than two (2) hours per week of documented direct supervision and two (2) hours per week of indirect supervision from an appropriate supervisor as determined by the board;
      3. A person holding a license as a speech-language pathology assistant with three (3) or more years of full-time experience shall receive no less than one (1) hour per week of documented direct supervision and one (1) hour per week of indirect supervision, unless, in the professional judgment of the supervisor, the ability of the speech-language pathology assistant requires a higher level of supervision in order to avoid compromising the quality of services provided to students; and
      4. Supervision shall be adjusted proportionally for less than full-time employment;
    3. An individual shall not supervise or be listed as the supervisor for more than two (2) speech-language pathology assistants; and
    4. The supervisor shall delegate to the assistant the appropriate tasks pursuant to KRS 334A.020 and the supervisor and assistant shall work together to provide the appropriate services to all assigned pupils taking into account the severity and complexity of the needs of individual students and the respective workloads of the supervisor and assistant. The maximum number of pupils served by each speech-language pathology assistant shall not exceed the direct service caseload of the speech-language pathologist as established in KRS 334A.190 .
  2. To be eligible for licensure by the board as a speech-language pathology assistant, the applicant shall meet the following requirements:
    1. A baccalaureate degree in the area of speech-language pathology as defined by administrative regulation;
    2. Completion of postgraduate professional experience deemed appropriate by the board by administrative regulation; and
    3. List on the application the name of the appropriately qualified supervisor who has agreed to provide supervision as set forth by the board by administrative regulation.

History. Enact. Acts 1994, ch. 32, § 4, effective July 15, 1994; 1996, ch. 219, § 1, effective July 15, 1996; 2000, ch. 375, § 7, effective July 14, 2000.

334A.035. Interim license requirement — Exemption for public school speech-language pathologists with teacher certification in communication disorders.

    1. A person who has a Master’s degree in the area of speech-language pathology or communication disorders, or is currently enrolled in a doctoral degree program with emphasis in speech-language pathology or communication disorders, or has substantive equivalent course work as defined by the board’s administrative regulations and who has completed supervised direct clinical practicum with individuals presenting a variety of disorders of communication and swallowing, the experience being obtained with a training institution or in one (1) of its cooperating programs, shall apply for an interim license during the time that person is completing postgraduate professional experience deemed necessary by the board. The postgraduate professional experience shall be completed under the supervision of a speech-language pathologist who holds a Kentucky license or certification by other accrediting bodies, at the discretion of the board. (1) (a) A person who has a Master’s degree in the area of speech-language pathology or communication disorders, or is currently enrolled in a doctoral degree program with emphasis in speech-language pathology or communication disorders, or has substantive equivalent course work as defined by the board’s administrative regulations and who has completed supervised direct clinical practicum with individuals presenting a variety of disorders of communication and swallowing, the experience being obtained with a training institution or in one (1) of its cooperating programs, shall apply for an interim license during the time that person is completing postgraduate professional experience deemed necessary by the board. The postgraduate professional experience shall be completed under the supervision of a speech-language pathologist who holds a Kentucky license or certification by other accrediting bodies, at the discretion of the board.
    2. A person with interim licensure shall make every effort to take and pass a national examination in speech-language pathology approved by the board at the time of the application for licensure. If unsuccessful with the examination, the licensee shall submit documentation of the applicant’s preparation to take the national examination and continue to practice under supervision in accordance with this section. The board shall promulgate an administrative regulation in accordance with KRS Chapter 13A to establish the documentation required under this paragraph.
    3. Upon completion of postgraduate professional experience deemed necessary by the board, the speech-language pathologist shall make an application to the board within thirty (30) days for permanent licensure, if all requirements have been completed satisfactorily, or for renewal of the interim license at the discretion of the board. Failure to do so shall result in forfeiture of the interim license.
    4. An interim license shall not exceed a period of twenty-four (24) months without board approval.
    1. A person who has a baccalaureate degree in the area of speech-language pathology or communication disorders as defined by administrative regulation shall apply for an interim license as a speech-language pathology assistant during the time that person is completing his or her professional experience as established by the board by administrative regulation. The postgraduate professional experience shall be completed under the supervision of an appropriately qualified supervisor. (2) (a) A person who has a baccalaureate degree in the area of speech-language pathology or communication disorders as defined by administrative regulation shall apply for an interim license as a speech-language pathology assistant during the time that person is completing his or her professional experience as established by the board by administrative regulation. The postgraduate professional experience shall be completed under the supervision of an appropriately qualified supervisor.
    2. Upon completion of the postgraduate professional experience, the speech-language pathology assistant shall make immediate application to the board within thirty (30) days for permanent licensure if all requirements have been completed satisfactorily, or for renewal of the interim license at the discretion of the board. Failure to do so shall result in forfeiture of the interim license.
    3. An interim license shall not exceed a period of twenty-four (24) months without board approval.
    1. A speech-language pathologist employed solely by the public schools in a certified position who holds a teacher certification in communication disorders issued by the Education Professional Standards Board shall be exempt from holding a license issued by the board. (3) (a) A speech-language pathologist employed solely by the public schools in a certified position who holds a teacher certification in communication disorders issued by the Education Professional Standards Board shall be exempt from holding a license issued by the board.
    2. A speech-language pathologist in a classified position who does not hold a teacher certification in communication disorders issued by the Education Professional Standards Board shall apply for and maintain appropriate licensure.
    3. The public school speech-language pathologist shall determine from the local school board how his or her position is categorized.

History. Enact. Acts 1988, ch. 152, § 1, effective March 31, 1988; 1994, ch. 32, § 3, effective July 15, 1994; 2000, ch. 375, § 5, effective July 14, 2000; 2008, ch. 165, § 2, effective July 15, 2008.

Opinions of Attorney General.

To be eligible for Medicaid reimbursement for speech pathology services under federal regulations, a provider must either be or work under the direction of a speech pathologist. A speech pathologist under federal regulations must have American Speech and Hearing Association certification or its equivalent or have a master’s degree in speech-language pathology and be in the process of acquiring the necessary work experience for such certification. The application of this standard to persons certified by the Education Professional Standards Board must be determined on a case-by-case basis. OAG 2008-04 .

334A.040. Exemptions from application of chapter.

  1. Nothing in this chapter, shall be construed to prevent a qualified person licensed in this state under any other law from engaging in the profession for which the person is licensed.
  2. Nothing in this chapter shall be construed to prevent qualified hearing aid dispensers from engaging in those practices and procedures used solely for the fitting and selling of hearing aids.
  3. Nothing in this chapter shall be construed as restricting or preventing activities of a speech-language pathology or audiology nature or the use of the official title of the position for which they were employed on the part of the following persons:
    1. Speech-language pathologists or audiologists employed by the federal government, if they are performing such activities solely within the confines or under the jurisdiction of the organization in which they are employed and do not offer to render speech-language pathology or audiology services as defined in subsections (4) and (6) of KRS 334A.020 to the public outside of the institutions or organizations in which they are employed. However, such persons may, without obtaining a license under this chapter, consult or disseminate their research findings and scientific information to other such accredited academic institutions or governmental agencies. They also may offer lectures to the public for a fee, monetary or otherwise, without being licensed under this chapter; or
    2. Registered and practical nurses or others trained to perform audiometric testing under the direct supervision of a licensed physician or surgeon.
  4. Nothing in this chapter shall be construed as restricting the activities and services of a student or speech-language pathology intern pursuing a course of study leading to a degree in speech-language pathology at an accredited or approved college or university or an approved clinical training facility, if these activities and services constitute a part of the planned course of study and if such persons are designated by such title as “speech-language pathology intern,” “speech-language pathology trainee,” or other such title clearly indicating the training status appropriate to his or her level of training under the supervision of a licensed speech-language pathologist.
  5. Nothing in this chapter shall be construed as restricting the activities and services of a student or audiology intern pursuing a course of study leading to a degree in audiology at an accredited or approved college or university or an approved clinical training facility, if these activities and services constitute a part of the planned course of study and if such persons are designated by such title as “audiology intern,” “audiology trainee,” or other such title clearly indicating the training status appropriate to his or her level of training, under supervision of a licensed audiologist.
  6. Nothing in this chapter shall be construed as restricting a speech-language pathologist or audiologist from another state from offering his or her speech-language pathology or audiology services in this state if the services are performed for no more than five (5) days in any calendar year and if that person meets the qualifications and requirements stated in the section on qualifications, except that such person need not apply for licensure under this chapter.

History. Enact. Acts 1972, ch. 236, § 4; 1986, ch. 483, § 4, effective July 15, 1986; 1988, ch. 152, § 2, effective March 31, 1988; 2008, ch. 165, § 8, effective July 15, 2008.

Opinions of Attorney General.

Speech pathologists and audiologists employed at comprehensive care centers operated by the various regional mental health-mental retardation boards must be licensed pursuant to KRS 334A.030 as they are not state employees entitled to exemption under subsection (3)(b) of this section. OAG 74-384 .

The 1986 General Assembly intended to require licensing by the Board of Speech Language Pathology and Audiology of those certified speech language pathologists and audiologists who began teaching or had a certificate issued after August 1, 1986, or who had a master’s degree in such subjects; those persons who were certified by the Department of Education on and prior to August 1, 1986, who had not obtained a master’s degree in speech language pathology or audiology or the substantive equivalent, and who render speech language pathology or audiology services exclusively in the public schools were not required to obtain a license from the Board of Speech Language Pathology and Audiology. OAG 87-34 .

334A.050. Qualifications of applicant for license.

To be eligible for licensure by the board as a speech-language pathologist or audiologist, the applicant must:

  1. Be a citizen of the United States or have declared his intention to become a citizen. A statement by the applicant under oath that he is a citizen or that he intends to apply for citizenship when he becomes eligible to make application shall be sufficient proof of compliance with this subsection;
  2. Show evidence of meeting the following professionally accepted academic and practicum standards:
    1. Master’s degree in the area of speech-language pathology or audiology or substantive equivalent. The specific course work for this requirement is to be determined by the board and delineated in the administrative regulations;
    2. Completion of supervised direct clinical practicum with individuals presenting a variety of disorders of communication, the experience being obtained with the training institution or in one (1) of its cooperating programs; and
    3. Completion of postgraduate professional experience as deemed necessary by the board; and
  3. Pass the national examinations in speech-language pathology or audiology which are approved by the American Speech and Hearing Association and in effect at the time of application for licensure. Written examinations may be supplemented by such oral examinations as the board shall determine. An applicant who fails his examination may be reexamined at a subsequent examination upon payment of another licensing fee.

History. Enact. Acts 1972, ch. 236, § 5; 1978, ch. 384, § 109, effective June 17, 1978; 1986, ch. 483, § 5, effective July 15, 1986; 1988, ch. 152, § 3, effective March 31, 1988.

334A.060. Licensure without examination.

  1. The board may waive the examination and grant a license to applicants who present proof of current licensure in a state which has standards that are at least equivalent to those of this state.
  2. The board may waive the examination and grant a license to those who hold the Certificate of Clinical Competence of the American Speech and Hearing Association in the area for which they are applying for licensure.

History. Enact. Acts 1972, ch. 236, § 6; 1986, ch. 483, § 6, effective July 15, 1986; 1988, ch. 152, § 4, effective March 31, 1988; 1994, ch. 32, § 5, effective July 15, 1994; 2000, ch. 375, § 6, effective July 14, 2000.

334A.070. Board of Speech-Language Pathology and Audiology — Meetings.

  1. There is hereby created a Board of Speech-Language Pathology and Audiology which shall consist of eight (8) members to be appointed by the Governor. Three (3) members shall be audiologists, three (3) members shall be speech-language pathologists, one (1) shall be an otolaryngologist and one (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. The audiologists and speech-language pathologists members shall hold a Kentucky license from the board of speech-language pathology and audiology and shall practice in Kentucky. One (1) of the speech-language pathologist members shall be employed in the public schools of the Commonwealth. The members of the board shall serve until the expiration of the term for which they have been appointed or until their successors are qualified. All appointments made shall be for a term of three (3) years except for appointments to fill vacancies caused by a reason other than the expiration of a member’s term which shall be filled for the remaining portion of the member’s term. No person shall be appointed to serve more than two (2) consecutive terms.
  2. The board shall reorganize annually and select a chairman. Four (4) members of the board shall constitute a quorum to do business. The board shall hold at least one (1) regular meeting each year. Additional meetings may be held upon call of the chairman or at the written request of any two (2) members of the board. All meetings of the board shall be open and public.

History. Enact. Acts 1972, ch. 236, § 7; 1976, ch. 206, § 27; 1986, ch. 483, § 7, effective July 15, 1986; 1988, ch. 152, § 5, effective March 31, 1988; 2008, ch. 165, § 9, effective July 15, 2008.

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

334A.080. Powers and duties of the board.

  1. The board shall administer, coordinate, and enforce the provisions of this chapter, evaluate the qualifications of applicants, supervise the examination of applicants, and may issue subpoenas, examine witnesses, and administer oaths, and shall investigate persons engaging in practices which violate the provisions of this chapter.
  2. The board shall conduct administrative hearings in accordance with KRS Chapter 13B. Any person aggrieved by a final order of the board may appeal to Franklin Circuit Court.
  3. The board shall keep records and minutes as necessary and shall promulgate responsible administrative regulations, including but not limited to, administrative regulations which delineate qualifications for licensure and renewal of licensure and which establish ethical standards of practice, and may amend or repeal the same.
  4. Every person who holds a license to practice speech-language pathology or audiology in this state shall be governed and controlled by the rules of professional conduct adopted by the board.
  5. The conferral or enumeration of specific powers elsewhere in this chapter shall not be construed as a limitation of the general powers conferred by this section.
  6. The board shall fix appropriate and reasonable fees for licensing, and shall periodically review and modify these fees as necessary.

History. Enact. Acts 1972, ch. 236, § 8; 1986, ch. 483, § 8, effective July 15, 1986; 1996, ch. 318, § 307, effective July 15, 1996.

334A.090. Appeal from the order of the board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 236, § 9) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

334A.100. Board members — Expenses.

The board members shall receive no compensation for their services, but may receive per diem and traveling expenses to the extent authorized by board policy.

History. Enact. Acts 1972, ch. 236, § 10.

334A.110. Board to employ necessary personnel.

The board shall employ, and at its pleasure discharge, a secretary and such attorneys, inspectors, clerks, and any other employees as shall be deemed necessary, and shall outline their duties and fix their compensation. The amount of per diem and mileage and expense money paid to employees shall be provided by board policy.

History. Enact. Acts 1972, ch. 236, § 11.

334A.120. Revolving fund for board.

All moneys received by the board under this chapter shall be paid to the secretary of the board. All money shall be deposited in the State Treasury into a separate trust fund for the board. The board shall be financed solely and individually from income accruing to it from fees, licenses, and other charges collected by the board and all such moneys are hereby appropriated to the board. All salaries and expenses shall be paid as budgeted after budgets have been approved by the State Budget Commission or within the limitations of any appropriation for that purpose which may be included in the executive branch budget bill.

History. Enact. Acts 1972, ch. 236, § 12; 1982, ch. 450, § 77, effective July 1, 1983; 1990, ch. 507, § 25, effective July 13, 1990.

344A.122. Immunity from civil or criminal liability — Actions to restrain or enjoin violations of chapter — Representation of board by state and local prosecutors.

  1. Members of the board and its agents and employees shall be immune from personal liability in any action, civil or criminal, which is based on any official act or acts performed in good faith.
  2. Notwithstanding any other civil or criminal remedy, the board may institute and maintain actions to restrain or enjoin any violation of this chapter, related administrative regulations promulgated by the board pursuant to KRS Chapter 13A, or order of the board.
  3. The surrender of a license shall not serve to deprive the board of jurisdiction to proceed with disciplinary action pursuant to this chapter.
  4. The city, county, or Commonwealth’s attorney and the Attorney General shall within their jurisdictions and within their legal discretion, represent the board and its agents and employees in the enforcement of the provisions of this chapter and related administrative regulations.

History. Enact. Acts 2008, ch. 165, § 13, effective July 15, 2008.

Legislative Research Commission Note.

(7/15/2008). 2008 Ky. Acts ch. 165, sec. 13 provided that this statute be created as a new section KRS Chapter 344A. However, since there is currently no KRS Chapter 344A, and since all other newly created statutes in this Act are to be placed in KRS Chapter 334A, the Reviser of Statutes has sited this statute in KRS Chapter 334A, under the authority of KRS 7.136(1)(a).

(7/15/2008). Two manifest clerical or typographical errors have been corrected in this statute during codification under the authority of KRS 7.136(1)(h).

334A.130. License application — Form — Fee.

  1. Each person desiring to obtain a license from the board shall make application to the board. The application shall be made upon a form and in such a manner as the board prescribes in regulations duly adopted under this chapter.
  2. The application shall be accompanied by the application fee as determined by the board and set forth by regulations. This fee shall not be refunded by the board.

History. Enact. Acts 1972, ch. 236, § 13; 1986, ch. 483, § 9, effective July 15, 1986.

334A.140. Examination — Scope. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 48, § 14; 1974, ch. 74, Art. VI, § 107(1); 1976, ch. 206, § 35) was repealed by Acts 1986, ch. 483, § 14, effective July 15, 1986.

334A.150. License — Board to issue — When.

The board shall issue a license to all applicants who meet the requirements of this chapter and who pay to the board the initial license fee provided in KRS 334A.160 as prescribed by board regulations.

History. Enact. Acts 1972, ch. 236, § 15; 1986, ch. 483, § 10, effective July 15, 1986.

334A.160. Maximum fees prescribed for licenses.

The amount of fees prescribed in connection with a license as a speech-language pathologist, speech-language pathology assistant, or audiologist shall be as follows:

  1. The initial license fee for licensure as a speech-language pathologist or an audiologist shall not exceed two hundred dollars ($200);
  2. The delinquency fee for all credentials shall not exceed forty dollars ($40);
  3. The application fee for all credentials shall not exceed fifty dollars ($50);
  4. The initial and renewal fees for an inactive license shall not exceed twenty dollars ($20);
  5. The speech-language pathology assistant license fee shall not exceed one hundred fifty dollars ($150); and
  6. The interim license fee shall not exceed one hundred fifty dollars ($150).

History. Enact. Acts 1972, ch. 236, § 16; 1986, ch. 483, § 11, effective July 15, 1986; 1988, ch. 152, § 6, effective March 31, 1988; 1994, ch. 32, § 6, effective July 15, 1994; 2008, ch. 165, § 10, effective July 15, 2008.

334A.170. Renewal of licenses — Fees.

  1. Each licensed speech-language pathologist, speech-language pathology assistant, or audiologist shall biennially, on or before January 31, pay to the board a renewal fee not to exceed one hundred fifty dollars ($150) for a renewal of his or her license. A thirty (30) day grace period shall be allowed after January 31, during which time licenses may be renewed on payment of a renewal fee plus grace period fee which combined shall not exceed one hundred eighty dollars ($180). After expiration of the grace period, the board may renew each license upon payment of a renewal fee plus a delinquency fee which combined shall not exceed two hundred fifty dollars ($250). No person who applies for renewal, whose license has expired, shall be required to submit to any examination as a condition to renewal, if the renewal application is made within five (5) years from the date of expiration.
  2. A suspended license is subject to expiration and shall be renewed as provided in this chapter, but the renewal shall not entitle the licensee, while the license remains suspended and until it is reinstated, to engage in the licensed activity, or in any other activity or conduct in violation of the order of judgment by which the license was suspended. A license revoked on disciplinary grounds shall be subject to expiration as provided in this chapter, but it shall not be renewed. If it is reinstated after its expiration, the licensee, as a condition of reinstatement, shall pay a reinstatement fee in an amount equal to the renewal fee in effect on the last preceding regular renewal date before the date on which it is reinstated, plus the delinquency fee, if any, accrued at the time of its revocation.
  3. A person who fails to renew his or her license within the five (5) years after its expiration may not renew it, and it shall not be restored, reissued, or reinstated thereafter. The person may apply for and obtain a new license if the person meets the requirements of this chapter.
  4. A person applying for renewal of licensure shall show evidence of completion of continuing professional education in speech-language pathology or audiology as prescribed by the board by administrative regulation.

History. Enact. Acts 1976, ch. 305, § 7; 1980, ch. 280, § 15, effective July 1, 1982; 1986, ch. 423, § 192, effective July 1, 1987; 1988, ch. 152, § 7, effective March 31, 1988; 1994, ch. 32, § 7, effective July 15, 1994; 2008, ch. 165, § 11, effective July 15, 2008.

334A.180. Licenses, causes for revocation, suspension or denial.

  1. The board may refuse to issue a license, suspend or revoke the license of any licensee, or fine a licensee an amount agreed upon by a two-thirds (2/3) vote of the board in an amount not to exceed one thousand dollars ($1,000), and the board may take action against a license and fine a licensee if he or she has been guilty of unprofessional conduct which has endangered or is likely to endanger the health, welfare, or safety of the public. Such unprofessional conduct may include:
    1. Obtained the license by means of fraud, misrepresentation, or concealment of material facts;
    2. Has been guilty of unprofessional conduct as defined by the rules established by the board, or has violated the code of ethics adopted and published by the board;
    3. Has violated any lawful order, rule, or regulation rendered or adopted by the board;
    4. Has represented that the professional services or advice of a physician has been used, or has used the words “doctor,” “clinic,” or similar words, abbreviations, or symbols while failing to affix the word, term, or initials pertaining to “audiology,” “audiologic,” “audiologist,” “doctor of audiology,” “speech-language pathologist,” “speech-language pathology,” “Au.D.,” “Ph.D.,” or “Sc.D.”;
    5. Has failed to affix the word, term, or initials specified in paragraph (d) of this subsection in any sign, written communication, or advertising media in which the term “doctor” or the abbreviation “Dr.” is used in relation to the audiologist or speech-language pathologist holding a doctoral degree; or
    6. Has violated any provisions of this chapter.
  2. The board shall deny an application for, or suspend or revoke, or impose probationary conditions upon, a license as ordered by the board in any decision made after hearing as provided in this chapter. One (1) year from the date of revocation of a license under this chapter, application may be made to the board for reinstatement. The board shall have discretion to accept or reject an application for reinstatement.
  3. A person applying for reinstatement of licensure shall provide evidence of completion of continuing professional education in speech-language pathology or audiology as prescribed by the board.
  4. A plea or verdict of guilty or a conviction following a plea of nolo contendere made to a charge of a felony is deemed to be a conviction within the meaning of this chapter. At the direction of the board, if in accordance with KRS Chapter 335B, the license shall be suspended or revoked, or shall decline to issue a license when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal, or when an order granting probation is made suspending the imposition of sentence irrespective of a subsequent order under the provisions of the penal code allowing such person to withdraw his plea of guilty and to enter a plea of not guilty, or setting aside the verdict of guilty, or dismissing the acquisition, information or indictment.

HISTORY: Enact. Acts 1972, ch. 236, § 18; 2008, ch. 165, § 12, effective July 15, 2008; 2017 ch. 158, § 81, effective June 29, 2017.

Legislative Research Commission Note.

(7/15/2008). Two manifest clerical or typographical errors have been corrected in this statute during codification under the authority of KRS 7.136(1)(h).

Research References and Practice Aids

Kentucky Law Journal.

Note, New Approaches to the Civil Disabilities of Ex-offenders, 64 Ky. L.J. 382 (1975-76).

334A.181. Temporary licenses for speech-language pathologist, speech-language pathology assistant, and audiologist.

  1. Pursuant to administrative regulation promulgated pursuant to KRS Chapter 13A, the board may issue a temporary license to any applicant who has met the requirements for licensure for the respective profession.
  2. A speech-language pathologist, speech-language pathology assistant, or audiologist may practice his or her respective profession under a temporary license until the next board meeting, at which time the full board shall either extend the temporary license, issue a license, renew a license, or deny a license. If a license is denied, the person with a temporary license shall immediately cease the practice granted under the temporary license upon notification by the board.
  3. A person may practice his or her respective profession under a temporary license for no longer than one hundred eighty (180) days.

History. Enact. Acts 2008, ch. 165, § 3, effective July 15, 2008.

334A.183. Licensure requirements for speech-language pathologist.

  1. To be eligible for initial interim licensure by the board as a speech-language pathologist, the applicant shall:
    1. Provide a certified university transcript conferring a master’s degree or doctorate degree in the area of speech-language pathology or communication disorders, or substantive equivalent. The board shall promulgate administrative regulations to specify the required course work; or
    2. Provide documentation of completion of degree requirements, including a supervised direct clinical practicum with individuals presenting with a variety of disorders of communications and swallowing. The experience shall be obtained with a training institution or in one (1) of its cooperating programs.
  2. To be eligible for initial licensure by the board as a speech-language pathologist, the applicant shall:
    1. Provide a certified university transcript conferring a master’s degree or doctorate degree in the area of speech-language pathology or communication disorders, or substantive equivalent. The board shall promulgate administrative regulations to specify the required course work;
    2. Provide documentation of completion of a postgraduate professional experience approved by the board pursuant to administrative regulations promulgated pursuant to this chapter; and
    3. Pass a national examination approved by the board at the time of the application for licensure or provide documentation of national certification.

History. Enact. Acts 2008, ch. 165, § 4, effective July 15, 2008.

Legislative Research Commission Note.

(7/15/2008). Subsection (3) of this statute as it appeared in 2008 Ky. Acts ch. 165, sec. 4 has been renumbered as subsection (2)(c) as it appears here following codification under the authority of KRS 7.136(1)(a).

334A.185. Licensure requirements for audiologist.

  1. To be eligible for initial licensure by the board as an audiologist, the applicant shall:
    1. Provide either a certified university transcript conferring a master’s degree in audiology prior to January 1, 2007, and show evidence of completion of a postgraduate professional experience as set forth in administrative regulations promulgated pursuant to this chapter if the applicant has not held an interim license in audiology; or provide a certified university transcript conferring a doctorate degree in audiology from an accredited program, as determined by the board; and
    2. Pass a national examination approved by the board at the time of the application for licensure or provide documentation of national certification.
  2. The board shall issue, on a case-by-case basis, an interim license to practice audiology to an applicant who has a doctorate degree other than an Au.D., who has completed all licensure requirements other than the supervised professional experience requirements. Application for an interim license shall be made within thirty (30) days of securing a supervisor. The supervised postgraduate professional experience shall be completed under the supervision of an appropriately qualified supervisor.

History. Enact. Acts 2008, ch. 165, § 5, effective July 15, 2008.

Legislative Research Commission Note.

(7/15/2008). A manifest clerical or typographical error has been corrected in this statute during codification under the authority of KRS 7.136(1)(h).

334A.187. Licensure reciprocity.

  1. The board may grant a license to an applicant currently licensed in another state as a speech-language pathologist upon receipt of the following:
    1. A letter of good standing in that state;
    2. Documentation of national certification or a passing score on a national exam approved by the board; and
    3. A certified university transcript conferring at least a master’s degree in communication disorders.
  2. The board may grant a license to an applicant currently licensed in another state as an audiologist upon receipt of the following:
    1. A letter of good standing in that state;
    2. Documentation of national certification or a passing score on a national exam approved by the board; and
    3. A certified university transcript conferring a master’s degree in audiology prior to January 1, 2007, or a doctorate degree in audiology.

History. Enact. Acts 2008, ch. 165, § 6, effective July 15, 2008.

Legislative Research Commission Note.

(7/15/2008). A manifest clerical or typographical error has been corrected in this statute during codification under the authority of KRS 7.136(1)(h).

334A.188. Audiology and Speech-Language Pathology Interstate Compact.

SECTION 1: PURPOSE

The purpose of this Compact is to facilitate interstate practice of audiology and speech-language pathology with the goal of improving public access to audiology and speech-language pathology services. The practice of audiology and speech-language pathology occurs in the state where the patient/client/student is located at the time of the patient/client/student encounter. The Compact preserves the regulatory authority of states to protect public health and safety through the current system of state licensure. This Compact is designed to achieve the following objectives:

  1. Increase public access to audiology and speech-language pathology services by providing for the mutual recognition of other member state licenses;
  2. Enhance the states’ ability to protect the public’s health and safety;
  3. Encourage the cooperation of member states in regulating multistate audiology and speech-language pathology practice;
  4. Support spouses of relocating active duty military personnel;
  5. Enhance the exchange of licensure, investigative and disciplinary information between member states;
  6. Allow a remote state to hold a provider of services with a compact privilege in that state accountable to that state’s practice standards; and
  7. Allow for the use of telehealth technology to facilitate increased access to audiology and speech-language pathology services.
SECTION 2: DEFINITIONS

As used in this Compact, and except as otherwise provided, the following definitions shall apply:

  1. “Active duty military” means full-time duty status in the active uniformed service of the United States, including members of the National Guard and Reserve on active duty orders pursuant to 10 U.S.C. secs. 1209 and 1211;
  2. “Adverse action” means any administrative, civil, equitable or criminal action permitted by a state’s laws which is imposed by a licensing board or other authority against an audiologist or speech-language pathologist, including actions against an individual’s license or privilege to practice such as revocation, suspension, probation, monitoring of the licensee, or restriction on the licensee’s practice.
  3. “Alternative program” means a non-disciplinary monitoring process approved by an audiology or speech-language pathology licensing board to address impaired practitioners.
  4. “Audiologist” means an individual who is licensed by a state to practice audiology.
  5. “Audiology” means the care and services provided by a licensed audiologist as set forth in the member state’s statutes and rules.
  6. “Audiology and Speech-Language Pathology Compact Commission” or “Commission” means the national administrative body whose membership consists of all states that have enacted the Compact.
  7. “Audiology and speech-language pathology licensing board,” “audiology licensing board,” “speech-language pathology licensing board,” or “licensing board” means the agency of a state that is responsible for the licensing and regulation of audiologists and/or speech-language pathologists.
  8. “Compact privilege” means the authorization granted by a remote state to allow a licensee from another member state to practice as an audiologist or speech-language pathologist in the remote state under its laws and rules. The practice of audiology or speech-language pathology occurs in the member state where the patient/client/student is located at the time of the patient/client/student encounter.
  9. “Current significant investigative information” means investigative information that a licensing board, after an inquiry or investigation that includes notification and an opportunity for the audiologist or speech-language pathologist to respond, if required by state law, has reason to believe is not groundless and, if proved true, would indicate more than a minor infraction.
  10. “Data system” means a repository of information about licensees, including, but not limited to, continuing education, examination, licensure, investigative, compact privilege and adverse action.
  11. “Encumbered license” means a license in which an adverse action restricts the practice of audiology or speech-language pathology by the licensee and said adverse action has been reported to the National Practitioners Data Bank (NPDB).
  12. “Executive Committee” means a group of directors elected or appointed to act on behalf of, and within the powers granted to them by, the Commission.
  13. “Home state” means the member state that is the licensee’s primary state of residence.
  14. “Impaired practitioner” means individuals whose professional practice is adversely affected by substance abuse, addiction, or other health-related conditions.
  15. “Licensee” means an individual who currently holds an authorization from the state licensing board to practice as an audiologist or speech-language pathologist.
  16. “Member state” means a state that has enacted the Compact.
  17. “Privilege to practice” means a legal authorization permitting the practice of audiology or speech-language pathology in a remote state.
  18. “Remote state” means a member state other than the home state where a licensee is exercising or seeking to exercise the compact privilege.
  19. “Rule” means a regulation, principle or directive promulgated by the Commission that has the force of law.
  20. “Single-state license” means an audiology or speech-language pathology license issued by a member state that authorizes practice only within the issuing state and does not include a privilege to practice in any other member state.
  21. “Speech-language pathologist” means an individual who is licensed by a state to practice speech-language pathology.
  22. Speech-language pathology means the care and services provided by a licensed speech-language pathologist as set forth in the member state’s statutes and rules.
  23. “State” means any state, commonwealth, district or territory of the United States of America that regulates the practice of audiology and speech-language pathology.
  24. “State practice laws” means a member state’s laws, rules and regulations that govern the practice of audiology or speech-language pathology, define the scope of audiology or speech-language pathology practice, and create the methods and grounds for imposing discipline.
  25. “Telehealth” means the application of telecommunication technologies that meets the applicable standard of care to deliver audiology or speech-language pathology services at a distance for assessment, intervention and/or consultation.
SECTION 3: STATE PARTICIPATION IN THE COMPACT
  1. A license issued to an audiologist or speech-language pathologist by a home state to a resident in that state shall be recognized by each member state as authorizing an audiologist or speech-language pathologist to practice audiology or speech-language pathology, under a privilege to practice, in each member state.
  2. A state must implement or utilize procedures for considering the criminal history records of applicants for initial privilege to practice. These procedures shall include the submission of fingerprints or other biometric-based information by applicants for the purpose of obtaining an applicant’s criminal history record information from the Federal Bureau of Investigation and the agency responsible for retaining that state’s criminal records.
    1. A member state must fully implement a criminal background check requirement, within a time frame established by rule, by receiving the results of the Federal Bureau of Investigation record search on criminal background checks and use the results in making licensure decisions.
    2. Communication between a member state, the Commission and among member states regarding the verification of eligibility for licensure through the Compact shall not include any information received from the Federal Bureau of Investigation relating to a federal criminal records check performed by a member state under Public Law 92-544.
  3. Upon application for a privilege to practice, the licensing board in the issuing remote state shall ascertain, through the data system, whether the applicant has ever held, or is the holder of, a license issued by any other state, whether there are any encumbrances on any license or privilege to practice held by the applicant, whether any adverse action has been taken against any license or privilege to practice held by the applicant.
  4. Each member state shall require an applicant to obtain or retain a license in the home state and meet the home state’s qualifications for licensure or renewal of licensure, as well as, all other applicable state laws.
  5. For an audiologist:
    1. Must meet one (1) of the following educational requirements:
      1. On or before, December 31, 2007, has graduated with a master’s degree or doctorate in audiology, or equivalent degree regardless of degree name, from a program that is accredited by an accrediting agency recognized by the Council for Higher Education Accreditation, or its successor, or by the United States Department of Education and operated by a college or university accredited by a regional or national accrediting organization recognized by the board;
      2. On or after, January 1, 2008, has graduated with a Doctoral degree in audiology, or equivalent degree, regardless of degree name, from a program that is accredited by an accrediting agency recognized by the Council for Higher Education Accreditation, or its successor, or by the United States Department of Education and operated by a college or university accredited by a regional or national accrediting organization recognized by the board; or
      3. Has graduated from an audiology program that is housed in an institution of higher education outside of the United States (a) for which the program and institution have been approved by the authorized accrediting body in the applicable country and (b) the degree program has been verified by an independent credentials review agency to be comparable to a state licensing board-approved program;
    2. Has completed a supervised clinical practicum experience from an accredited educational institution or its cooperating programs as required by the Commission;
    3. Has successfully passed a national examination approved by the Commission;
    4. Holds an active, unencumbered license;
    5. Has not been convicted or found guilty, and has not entered into an agreed disposition, of a felony related to the practice of audiology, under applicable state or federal criminal law; and
    6. Has a valid United States Social Security or National Practitioner Identification number.
  6. For a speech-language pathologist:
    1. Must meet one (1) of the following educational requirements:
      1. Has graduated with a master’s degree from a speech-language pathology program that is accredited by an organization recognized by the United States Department of Education and operated by a college or university accredited by a regional or national accrediting organization recognized by the board; or
      2. Has graduated from a speech-language pathology program that is housed in an institution of higher education outside of the United States (a) for which the program and institution have been approved by the authorized accrediting body in the applicable country and (b) the degree program has been verified by an independent credentials review agency to be comparable to a state licensing board-approved program;
    2. Has completed a supervised clinical practicum experience from an educational institution or its cooperating programs as required by the Commission;
    3. Has completed a supervised postgraduate professional experience as required by the Commission;
    4. Has successfully passed a national examination approved by the Commission;
    5. Holds an active, unencumbered license;
    6. Has not been convicted or found guilty, and has not entered into an agreed disposition, of a felony related to the practice of speech-language pathology, under applicable state or federal criminal law; and
    7. Has a valid United States Social Security or National Practitioner Identification number.
  7. The privilege to practice is derived from the home state license.
  8. An audiologist or speech-language pathologist practicing in a member state must comply with the state practice laws of the state in which the client is located at the time service is provided. The practice of audiology and speech-language pathology shall include all audiology and speech-language pathology practice as defined by the state practice laws of the member state in which the client is located. The practice of audiology and speech-language pathology in a member state under a privilege to practice shall subject an audiologist or speech-language pathologist to the jurisdiction of the licensing board, the courts and the laws of the member state in which the client is located at the time service is provided.
  9. Individuals not residing in a member state shall continue to be able to apply for a member state’s single-state license as provided under the laws of each member state. However, the single-state license granted to these individuals shall not be recognized as granting the privilege to practice audiology or speech-language pathology in any other member state. Nothing in this Compact shall affect the requirements established by a member state for the issuance of a single-state license.
  10. Member states may charge a fee for granting a compact privilege.
  11. Member states must comply with the bylaws and rules and regulations of the Commission.
SECTION 4: COMPACT PRIVILEGE
  1. To exercise the compact privilege under the terms and provisions of the Compact, the audiologist or speech-language pathologist shall:
    1. Hold an active license in the home state;
    2. Have no encumbrance on any state license;
    3. Be eligible for a compact privilege in any member state in accordance with Section 3;
    4. Have not had any adverse action against any license or compact privilege within the previous two (2) years from date of application;
    5. Notify the Commission that the licensee is seeking the compact privilege within a remote state(s);
    6. Pay any applicable fees, including any state fee, for the compact privilege; and
    7. Report to the Commission adverse action taken by any non-member state within thirty (30) days from the date the adverse action is taken.
  2. For the purposes of the compact privilege, an audiologist or speech-language pathologist shall only hold one (1) home state license at a time.
  3. Except as provided in Section 6, if an audiologist or speech-language pathologist changes primary state of residence by moving between two-member states, the audiologist or speech-language pathologist must apply for licensure in the new home state, and the license issued by the prior home state shall be deactivated in accordance with applicable rules adopted by the Commission.
  4. The audiologist or speech-language pathologist may apply for licensure in advance of a change in primary state of residence.
  5. A license shall not be issued by the new home state until the audiologist or speech-language pathologist provides satisfactory evidence of a change in primary state of residence to the new home state and satisfies all applicable requirements to obtain a license from the new home state.
  6. If an audiologist or speech-language pathologist changes primary state of residence by moving from a member state to a non-member state, the license issued by the prior home state shall convert to a single-state license, valid only in the former home state and the privilege to practice in any member state is deactivated in accordance with the rules promulgated by the Commission.
  7. The compact privilege is valid until the expiration date of the home state license. The licensee must comply with the requirements of Section 4A to maintain the compact privilege in the remote state.
  8. A licensee providing audiology or speech-language pathology services in a remote state under the compact privilege shall function within the laws and regulations of the remote state.
  9. A licensee providing audiology or speech-language pathology services in a remote state is subject to that state’s regulatory authority. A remote state may, in accordance with due process and that state’s laws, remove a licensee’s compact privilege in the remote state for a specific period of time, impose fines, and/or take any other necessary actions to protect the health and safety of its citizens.
  10. If a home state license is encumbered, the licensee shall lose the compact privilege in any remote state until the following occur:
    1. The home state license is no longer encumbered; and
    2. Two (2) years have elapsed from the date of the adverse action.
  11. Once an encumbered license in the home state is restored to good standing, the licensee must meet the requirements of Section 4A to obtain a compact privilege in any remote state.
  12. Once the requirements of Section 4J have been met, the licensee must meet the requirements in Section 4A to obtain a compact privilege in a remote state.
SECTION 5: COMPACT PRIVILEGE TO PRACTICE TELEHEALTH Member states shall recognize the right of an audiologist or speech-language pathologist, licensed by a home state in accordance with Section 3 and under rules promulgated by the Commission, to practice audiology or speech-language pathology in any member state via telehealth under a privilege to practice as provided in the Compact and rules promulgated by the Commission. A licensee providing audiology or speech-language pathology services in a remote state under the compact privilege shall function within the laws and regulations of the state where the patient/client/student is located.
SECTION 6: ACTIVE DUTY MILITARY PERSONNEL OR THEIR SPOUSES

Active duty military personnel, or their spouse, shall designate a home state where the individual has a current license in good standing. The individual may retain the home state designation during the period the service member is on active duty. Subsequent to designating a home state, the individual shall only change their home state through application for licensure in the new state.

SECTION 7: ADVERSE ACTIONS
  1. In addition to the other powers conferred by state law, a remote state shall have the authority, in accordance with existing state due process law, to:
    1. Take adverse action against an audiologist’s or speech-language pathologist’s privilege to practice within that member state.
    2. Issue subpoenas for both hearings and investigations that require the attendance and testimony of witnesses as well as the production of evidence. Subpoenas issued by a licensing board in a member state for the attendance and testimony of witnesses or the production of evidence from another member state shall be enforced in the latter state by any court of competent jurisdiction, according to the practice and procedure of that court applicable to subpoenas issued in proceedings pending before it. The issuing authority shall pay any witness fees, travel expenses, mileage and other fees required by the service statutes of the state in which the witnesses or evidence are located.
    3. Only the home state shall have the power to take adverse action against a audiologist’s or speech-language pathologist’s license issued by the home state.
  2. For purposes of taking adverse action, the home state shall give the same priority and effect to reported conduct received from a member state as it would if the conduct had occurred within the home state. In so doing, the home state shall apply its own state laws to determine appropriate action.
  3. The home state shall complete any pending investigations of an audiologist or speech-language pathologist who changes primary state of residence during the course of the investigations. The home state shall also have the authority to take appropriate action(s) and shall promptly report the conclusions of the investigations to the administrator of the data system. The administrator of the data system shall promptly notify the new home state of any adverse actions.
  4. If otherwise permitted by state law, the member state may recover from the affected audiologist or speech-language pathologist the costs of investigations and disposition of cases resulting from any adverse action taken against that audiologist or speech-language pathologist.
  5. The member state may take adverse action based on the factual findings of the remote state, provided that the member state follows the member state’s own procedures for taking the adverse action.
  6. Joint Investigations
    1. In addition to the authority granted to a member state by its respective audiology or speech-language pathology practice act or other applicable state law, any member state may participate with other member states in joint investigations of licensees.
    2. Member states shall share any investigative, litigation, or compliance materials in furtherance of any joint or individual investigation initiated under the Compact.
  7. If adverse action is taken by the home state against an audiologist’s or speech language pathologist’s license, the audiologist’s or speech-language pathologist’s privilege to practice in all other member states shall be deactivated until all encumbrances have been removed from the state license. All home state disciplinary orders that impose adverse action against an audiologist’s or speech language pathologist’s license shall include a statement that the audiologist’s or speech-language pathologist’s privilege to practice is deactivated in all member states during the pendency of the order.
  8. If a member state takes adverse action against a licensee, it shall promptly notify the administrator of the data system. The administrator of the data system shall promptly notify the home state and any remote states in which the licensee has a privilege to practice of any adverse actions by the home state or remote states.
  9. Nothing in this Compact shall override a member state’s decision that participation in an alternative program may be used in lieu of adverse action.
SECTION 8: ESTABLISHMENT OF THE AUDIOLOGY AND SPEECH-LANGUAGE PATHOLOGY COMPACT COMMISSION
  1. The Compact member states hereby create and establish a joint public agency known as the Audiology and Speech-Language Pathology Compact Commission:
    1. The Commission is an instrumentality of the Compact states.
    2. Venue is proper and judicial proceedings by or against the Commission shall be brought solely and exclusively in a court of competent jurisdiction where the principal office of the Commission is located. The Commission may waive venue and jurisdictional defenses to the extent it adopts or consents to participate in alternative dispute resolution proceedings.
    3. Nothing in this Compact shall be construed to be a waiver of sovereign immunity.
  2. Membership, Voting and Meetings
    1. Each member state shall have two (2) delegates selected by that member state’s licensing board. The delegates shall be current members of the licensing board. One (1) shall be an audiologist and one (1) shall be a speech-language pathologist.
    2. An additional five (5) delegates, who are either a public member or board administrator from a state licensing board, shall be chosen by the Executive Committee from a pool of nominees provided by the Commission at Large.
    3. Any delegate may be removed or suspended from office as provided by the law of the state from which the delegate is appointed.
    4. The member state board shall fill any vacancy occurring on the Commission, within ninety (90) days.
    5. Each delegate shall be entitled to one (1) vote with regard to the promulgation of rules and creation of bylaws and shall otherwise have an opportunity to participate in the business and affairs of the Commission.
    6. A delegate shall vote in person or by other means as provided in the bylaws. The bylaws may provide for delegates’ participation in meetings by telephone or other means of communication.
    7. The Commission shall meet at least once during each calendar year. Additional meetings shall be held as set forth in the bylaws.
  3. The Commission shall have the following powers and duties:
    1. Establish the fiscal year of the Commission;
    2. Establish bylaws;
    3. Establish a Code of Ethics;
    4. Maintain its financial records in accordance with the bylaws;
    5. Meet and take actions as are consistent with the provisions of this Compact and the bylaws;
    6. Promulgate uniform rules to facilitate and coordinate implementation and administration of this Compact. The rules shall have the force and effect of law and shall be binding in all member states to the extent and in the manner provided for in the Compact;
    7. Bring and prosecute legal proceedings or actions in the name of the Commission, provided that the standing of any state audiology or speech-language pathology licensing board to sue or be sued under applicable law shall not be affected;
    8. Purchase and maintain insurance and bonds;
    9. Borrow, accept, or contract for services of personnel, including, but not limited to, employees of a member state;
    10. Hire employees, elect or appoint officers, fix compensation, define duties, grant individuals appropriate authority to carry out the purposes of the Compact, and to establish the Commission’s personnel policies and programs relating to conflicts of interest, qualifications of personnel, and other related personnel matters;
    11. Accept any and all appropriate donations and grants of money, equipment, supplies, materials and services, and to receive, utilize and dispose of the same; provided that at all times the Commission shall avoid any appearance of impropriety and/or conflict of interest;
    12. Lease, purchase, accept appropriate gifts or donations of, or otherwise to own, hold, improve or use, any property, real, personal or mixed; provided that at all times the Commission shall avoid any appearance of impropriety;
    13. Sell, convey, mortgage, pledge, lease, exchange, abandon, or otherwise dispose of any property real, personal, or mixed;
    14. Establish a budget and make expenditures;
    15. Borrow money;
    16. Appoint committees, including standing committees composed of members, and other interested persons as may be designated in this Compact and the bylaws;
    17. Provide and receive information from, and cooperate with, law enforcement agencies;
    18. Establish and elect an Executive Committee; and
    19. Perform other functions as may be necessary or appropriate to achieve the purposes of this Compact consistent with the state regulation of audiology and speech-language pathology licensure and practice.
  4. The Commission shall have no authority to change or modify the laws of the member states which define the practice of audiology and speech-language pathology in the respective states.
  5. The Executive Committee

    The Executive Committee shall have the power to act on behalf of the Commission, within the powers of the Commission, according to the terms of this Compact:

    1. The Executive Committee shall be composed of ten (10) members:
      1. Seven (7) voting members who are elected by the Commission from the current membership of the Commission;
      2. Two (2) ex officios, consisting of one (1) nonvoting member from a recognized national audiology professional association and one (1) nonvoting member from a recognized national speech-language pathology association; and
      3. One (1) ex officio, nonvoting member from the recognized membership organization of the audiology and speech-language pathology licensing boards.
  6. The ex officio members shall be selected by their respective organizations.
    1. The Commission may remove any member of the Executive Committee as provided in bylaws.
    2. The Executive Committee shall meet at least annually.
    3. The Executive Committee shall have the following duties and responsibilities:
      1. Recommend to the entire Commission changes to the rules or bylaws, changes to this Compact legislation, fees paid by Compact member states such as annual dues, and any commission Compact fee charged to licensees for the compact privilege;
      2. Ensure Compact administration services are appropriately provided, contractual or otherwise;
      3. Prepare and recommend the budget;
      4. Maintain financial records on behalf of the Commission;
      5. Monitor Compact compliance of member states and provide compliance reports to the Commission;
      6. Establish additional committees as necessary; and
      7. Other duties as provided in rules or bylaws.
    4. Meetings of the Commission or Executive Committee All meetings shall be open to the public, and public notice of meetings shall be given in the same manner as required under the rulemaking provisions in Section 10.
    5. The Commission or the Executive Committee or other committees of the Commission may convene in a closed, non-public meeting if the Commission or Executive Committee or other committees of the Commission must discuss:
      1. Non-compliance of a member state with its obligations under the Compact;
      2. The employment, compensation, discipline or other matters, practices or procedures related to specific employees or other matters related to the Commission’s internal personnel practices and procedures;
      3. Current, threatened, or reasonably anticipated litigation;
      4. Negotiation of contracts for the purchase, lease, or sale of goods, services, or real estate;
      5. Accusing any person of a crime or formally censuring any person;
      6. Disclosure of trade secrets or commercial or financial information that is privileged or confidential;
      7. Disclosure of information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
      8. Disclosure of investigative records compiled for law enforcement purposes;
      9. Disclosure of information related to any investigative reports prepared by or on behalf of or for use of the Commission or other committee charged with responsibility of investigation or determination of compliance issues pursuant to the Compact; or
      10. Matters specifically exempted from disclosure by federal or member state statute.
    6. If a meeting, or portion of a meeting, is closed pursuant to this provision, the Commission’s legal counsel or designee shall certify that the meeting may be closed and shall reference each relevant exempting provision.
    7. The Commission shall keep minutes that fully and clearly describe all matters discussed in a meeting and shall provide a full and accurate summary of actions taken, and the reasons therefor, including a description of the views expressed. All documents considered in connection with an action shall be identified in minutes. All minutes and documents of meetings other than closed meetings shall be made available to members of the public upon request at the requesting person’s expense. All minutes and documents of a closed meeting shall remain under seal, subject to release by a majority vote of the Commission or order of a court of competent jurisdiction.
    8. Financing of the Commission
      1. The Commission shall pay, or provide for the payment of, the reasonable expenses of its establishment, organization, and ongoing activities.
      2. The Commission may accept any and all appropriate revenue sources, donations, and grants of money, equipment, supplies, materials, and services.
      3. The Commission may levy on and collect an annual assessment from each member state or impose fees on other parties to cover the cost of the operations and activities of the Commission and its staff, which must be in a total amount sufficient to cover its annual budget as approved each year for which revenue is not provided by other sources. The aggregate annual assessment amount shall be allocated based upon a formula to be determined by the Commission, which shall promulgate a rule binding upon all member states.
    9. The Commission shall not incur obligations of any kind prior to securing the funds adequate to meet the same; nor shall the Commission pledge the credit of any of the member states, except by and with the authority of the member state.
    10. The Commission shall keep accurate accounts of all receipts and disbursements. The receipts and disbursements of the Commission shall be subject to the audit and accounting procedures established under its bylaws. However, all receipts and disbursements of funds handled by the Commission shall be audited yearly by a certified or licensed public accountant, and the report of the audit shall be included in and become part of the annual report of the Commission.
  7. Qualified Immunity, Defense, and Indemnification
    1. The members, officers, executive director, employees and representatives of the Commission shall be immune from suit and liability, either personally or in their official capacity, for any claim for damage to or loss of property or personal injury or other civil liability caused by or arising out of any actual or alleged act, error or omission that occurred, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties or responsibilities; provided that nothing in this paragraph shall be construed to protect any person from suit and/or liability for any damage, loss, injury, or liability caused by the intentional or willful or wanton misconduct of that person.
    2. The Commission shall defend any member, officer, executive director, employee or representative of the Commission in any civil action seeking to impose liability arising out of any actual or alleged act, error, or omission that occurred within the scope of Commission employment, duties, or responsibilities, or that the person against whom the claim is made had a reasonable basis for believing occurred within the scope of Commission employment, duties, or responsibilities; provided that nothing herein shall be construed to prohibit that person from retaining his or her own counsel; and provided further, that the actual or alleged act, error, or omission did not result from that person’s intentional or willful or wanton misconduct.
    3. The Commission shall indemnify and hold harmless any member, officer, executive director, employee, or representative of the Commission for the amount of any settlement or judgment obtained against that person arising out of any actual or alleged act, error or omission that occurred within the scope of Commission employment, duties, or responsibilities, or that person had a reasonable basis for believing occurred within the scope of Commission employment, duties, or responsibilities, provided that the actual or alleged act, error, or omission did not result from the intentional or willful or wanton misconduct of that person.
SECTION 9: DATA SYSTEM
  1. The Commission shall provide for the development, maintenance, and utilization of a coordinated database and reporting system containing licensure, adverse action, and investigative information on all licensed individuals in member states.
  2. Notwithstanding any other provision of state law to the contrary, a member state shall submit a uniform data set to the data system on all individuals to whom this Compact is applicable as required by the rules of the Commission, including:
    1. Identifying information;
    2. Licensure data;
    3. Adverse actions against a license or compact privilege;
    4. Non-confidential information related to alternative program participation;
    5. Any denial of application for licensure, and the reason(s) for denial; and
    6. Other information that may facilitate the administration of this Compact, as determined by the rules of the Commission.
  3. Investigative information pertaining to a licensee in any member state shall only be available to other member states.
  4. The Commission shall promptly notify all member states of any adverse action taken against a licensee or an individual applying for a license. Adverse action information pertaining to a licensee in any member state shall be available to any other member state.
  5. Member states contributing information to the data system may designate information that may not be shared with the public without the express permission of the contributing state.
  6. Any information submitted to the data system that is subsequently required to be expunged by the laws of the member state contributing the information shall be removed from the data system.
SECTION 10: RULEMAKING
  1. The Commission shall exercise its rulemaking powers pursuant to the criteria set forth in this Section and the rules adopted thereunder. Rules and amendments shall become binding as of the date specified in each rule or amendment.
  2. If a majority of the legislatures of the member states rejects a rule, by enactment of a statute or resolution in the same manner used to adopt the Compact within four (4) years of the date of adoption of the rule, the rule shall have no further force and effect in any member state.
  3. Rules or amendments to the rules shall be adopted at a regular or special meeting of the Commission.
  4. Prior to promulgation and adoption of a final rule or rules by the Commission, and at least thirty (30) days in advance of the meeting at which the rule shall be considered and voted upon, the Commission shall file a Notice of Proposed Rulemaking:

    1 On the website of the Commission or other publicly accessible platform; and

    2. On the website of each member state audiology or speech-language pathology licensing board or other publicly accessible platform or the publication in which each state would otherwise publish proposed rules.

  5. The Notice of Proposed Rulemaking shall include:
    1. The proposed time, date, and location of the meeting in which the rule shall be considered and voted upon;
    2. The text of the proposed rule or amendment and the reason for the proposed rule;
    3. A request for comments on the proposed rule from any interested person; and
    4. The manner in which interested persons may submit notice to the Commission of their intention to attend the public hearing and any written comments.
  6. Prior to the adoption of a proposed rule, the Commission shall allow persons to submit written data, facts, opinions and arguments, which shall be made available to the public.
  7. The Commission shall grant an opportunity for a public hearing before it adopts a rule or amendment if a hearing is requested by:
    1. At least twenty-five (25) persons;
    2. A state or federal governmental subdivision or agency; or
    3. An association having at least twenty-five (25) members.
  8. If a hearing is held on the proposed rule or amendment, the Commission shall publish the place, time, and date of the scheduled public hearing. If the hearing is held via electronic means, the Commission shall publish the mechanism for access to the electronic hearing.
    1. All persons wishing to be heard at the hearing shall notify the executive director of the Commission or other designated member in writing of their desire to appear and testify at the hearing not less than five (5) business days before the scheduled date of the hearing.
    2. Hearings shall be conducted in a manner providing each person who wishes to comment a fair and reasonable opportunity to comment orally or in writing.
    3. All hearings shall be recorded. A copy of the recording shall be made available to any person upon request and at the requesting person’s expense.
    4. Nothing in this section shall be construed as requiring a separate hearing on each rule. Rules may be grouped for the convenience of the Commission at hearings required by this section.
  9. Following the scheduled hearing date, or by the close of business on the scheduled hearing date if the hearing was not held, the Commission shall consider all written and oral comments received.
  10. If no written notice of intent to attend the public hearing by interested parties is received, the Commission may proceed with promulgation of the proposed rule without a public hearing.
  11. The Commission shall, by majority vote of all members, take final action on the proposed rule and shall determine the effective date of the rule, if any, based on the rulemaking record and the full text of the rule.
  12. Upon determination that an emergency exists, the Commission may consider and adopt an emergency rule without prior notice, opportunity for comment, or hearing, provided that the usual rulemaking procedures provided in the Compact and in this section shall be retroactively applied to the rule as soon as reasonably possible, in no event later than ninety (90) days after the effective date of the rule. For the purposes of this provision, an emergency rule is one that must be adopted immediately in order to:
    1. Meet an imminent threat to public health, safety, or welfare;
    2. Prevent a loss of Commission or member state funds; or
    3. Meet a deadline for the promulgation of an administrative rule that is established by federal law or rule.
  13. The Commission or an authorized committee of the Commission may direct revisions to a previously adopted rule or amendment for purposes of correcting typographical errors, errors in format, errors in consistency, or grammatical errors. Public notice of any revisions shall be posted on the website of the Commission. The revision shall be subject to challenge by any person for a period of thirty (30) days after posting. The revision may be challenged only on grounds that the revision results in a material change to a rule. A challenge shall be made in writing and delivered to the chair of the Commission prior to the end of the notice period. If no challenge is made, the revision shall take effect without further action. If the revision is challenged, the revision may not take effect without the approval of the Commission.
SECTION 11: OVERSIGHT, DISPUTE RESOLUTION, AND ENFORCEMENT
  1. Dispute Resolution
    1. Upon request by a member state, the Commission shall attempt to resolve disputes related to the Compact that arise among member states and between member and non-member states.
    2. The Commission shall promulgate a rule providing for both mediation and binding dispute resolution for disputes as appropriate.
  2. Enforcement
    1. The Commission, in the reasonable exercise of its discretion, shall enforce the provisions and rules of this Compact.
    2. By majority vote, the Commission may initiate legal action in the United States District Court for the District of Columbia or the federal district where the Commission has its principal offices against a member state in default to enforce compliance with the provisions of the Compact and its promulgated rules and bylaws. The relief sought may include both injunctive relief and damages. In the event judicial enforcement is necessary, the prevailing member shall be awarded all costs of litigation, including reasonable attorney’s fees.
    3. The remedies herein shall not be the exclusive remedies of the Commission. The Commission may pursue any other remedies available under federal or state law.
SECTION 12: DATE OF IMPLEMENTATION OF THE INTERSTATE COMMISSION FOR AUDIOLOGY AND SPEECH-LANGUAGE PATHOLOGY PRACTICE AND ASSOCIATED RULES, WITHDRAWAL, AND AMENDMENT
  1. The Compact shall come into effect on the date on which the Compact statute is enacted into law in the 10th member state. The provisions, which become effective at that time, shall be limited to the powers granted to the Commission relating to assembly and the promulgation of rules. Thereafter, the Commission shall meet and exercise rulemaking powers necessary to the implementation and administration of the Compact.
  2. Any state that joins the Compact subsequent to the Commission’s initial adoption of the rules shall be subject to the rules as they exist on the date on which the Compact becomes law in that state. Any rule that has been previously adopted by the Commission shall have the full force and effect of law on the day the Compact becomes law in that state.
  3. Any member state may withdraw from this Compact by enacting a statute repealing the same.
    1. A member state’s withdrawal shall not take effect until six (6) months after enactment of the repealing statute.
    2. Withdrawal shall not affect the continuing requirement of the withdrawing state’s audiology or speech-language pathology licensing board to comply with the investigative and adverse action reporting requirements of this act prior to the effective date of withdrawal.
  4. Nothing contained in this Compact shall be construed to invalidate or prevent any audiology or speech-language pathology licensure agreement or other cooperative arrangement between a member state and a non-member state that does not conflict with the provisions of this Compact.
  5. This Compact may be amended by the member states. No amendment to this Compact shall become effective and binding upon any member state until it is enacted into the laws of all member states.
SECTION 13: CONSTRUCTION AND SEVERABILITY

This Compact shall be liberally construed so as to effectuate the purposes thereof. The provisions of this Compact shall be severable and if any phrase, clause, sentence or provision of this Compact is declared to be contrary to the constitution of any member state or of the United States or the applicability thereof to any government, agency, person or circumstance is held invalid, the validity of the remainder of this Compact and the applicability thereof to any government, agency, person or circumstance shall not be affected thereby. If this Compact shall be held contrary to the constitution of any member state, the Compact shall remain in full force and effect as to the remaining member states and in full force and effect as to the member state affected as to all severable matters.

SECTION 14: BINDING EFFECT OF COMPACT AND OTHER LAWS
  1. Nothing herein prevents the enforcement of any other law of a member state that is not inconsistent with the Compact.
  2. All laws in a member state in conflict with the Compact are superseded to the extent of the conflict.
  3. All lawful actions of the Commission, including all rules and bylaws promulgated by the Commission, are binding upon the member states.
  4. All agreements between the Commission and the member states are binding in accordance with their terms.
  5. In the event any provision of the Compact exceeds the constitutional limits imposed on the legislature of any member state, the provision shall be ineffective to the extent of the conflict with the constitutional provision in question in that member state.
SECTION 15: APPLICABILITY TO KENTUCKY STATE GOVERNMENT

In order to clarify the effect of certain provisions of this Compact and to ensure that the rights and responsibilities of the various branches of government are maintained, the following shall be in effect in this state:

  1. By entering into this Compact, this state authorizes the licensing board as defined in Section 2.G. of this Compact and as created by KRS Chapter 334A to implement the provisions of this Compact.
  2. Notwithstanding any provision of this Compact to the contrary:
    1. When a rule is adopted pursuant to Section 10 of this Compact, the licensing board of this state as defined by Section 2.G. of this Compact shall have sixty (60) days to review the rule 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, following the requirements of KRS Chapter 13A. Failure by the licensing board of this state as defined by Section 2.G. of this Compact to promulgate a rule adopted by the Audiology and Speech-Language Pathology Compact Commission as an administrative regulation pursuant to KRS Chapter 13A shall result in the initiation of the process for withdrawal as set forth in Section 12 of this Compact. Nothing in these provisions shall negate the applicability and effect of Section 10 of this Compact to this state.
    2. If the proposed administrative regulation is found deficient and the deficiency is not resolved pursuant to KRS 13A.330 or 13A.335 , the provisions of Section 11 of this Compact shall apply. If the procedures under Section 11 of this Compact fail to resolve an issue, the provisions of Section 12 of this Compact shall apply.
    3. If the Audiology and Speech-Language Pathology Compact Commission created by Section 8 of this Compact exercises its rulemaking authority in a manner that is beyond the scope of the purposes of this Compact, or the powers granted under this Compact, then such an action by the commission shall be invalid and have no force or effect.
  3. Section 8.F.8. of this Compact pertaining to the financing of the commission shall not be interpreted to obligate the general fund of this state. Any funds used to finance this Compact shall be from money collected pursuant to KRS 334A.120 .
  4. This Compact shall apply only to those audiologists or speech-language pathologists who practice or work under a compact privilege.

HISTORY: 2021 ch. 45, § 1, effective June 29, 2021.

334A.189. Inactive licensure status.

  1. Any person with an active license may request that his or her license be placed on inactive status.
  2. An inactive license shall be renewed every other year by the last day of the month of the anniversary month granting the inactive license status.
  3. An inactive license may be renewed for up to six (6) years with documentation of required continuing education and approval of the board chair, board co-chair, or administrator of the board. The board shall promulgate administrative regulations to establish the requirements for renewals after six (6) years.

History. Enact. Acts 2008, ch. 165, § 7, effective July 15, 2008.

334A.190. Caseload limitations for speech-language pathologists in the public schools.

  1. The caseload limitations for speech-language pathologists in the public schools shall not exceed sixty-five (65) pupils.
  2. The total caseload of speech-language pathologists who supervise assistants may be increased by no more than one-half (1/2) of the amount set forth in subsection (1) of this section for each speech-language pathology assistant working under their supervision.

History. Enact. Acts 1996, ch. 219, § 2, effective July 15, 1996; 2000, ch. 375, § 8, effective July 14, 2000.

334A.200. Duty of treating speech-language pathologist or audiologist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating speech-language pathologist or audiologist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of speech-language pathology or audiology services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 22, effective July 14, 2000.

334A.990. Penalty.

  1. Any person who violates any of the provisions of this chapter shall be guilty of a misdemeanor punishable by imprisonment in the county jail not exceeding six (6) months, or by a fine not exceeding one thousand dollars ($1,000) or by both.
  2. When any person other than a licensed speech-language pathologist, speech-language pathology assistant, or audiologist has engaged in any act or practice which constitutes an offense against this chapter, the Franklin Circuit Court, on application of the board, may issue an injunction or other appropriate order restraining the conduct.

History. Enact. Acts 1972, ch. 236, § 19; 1986, ch. 483, § 13, effective July 15, 1986; 1994, ch. 32, § 8, effective July 15, 1994.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

CHAPTER 335 Social Workers and Professional Counselors

Social Workers

335.010. Purposes — Exemptions — Amnesty period.

  1. It is the purpose and policy of the Commonwealth of Kentucky to protect the public from being misled by incompetent and unauthorized persons, and from unprofessional conduct on the part of qualified social workers by providing regulatory authority over persons who hold themselves out to the public as social workers.
  2. The purpose of KRS 335.010 to 335.160 and KRS 335.990 is to promote high standards of professional performance for those engaged in the profession of social work by regulating the title, and by setting standards of qualification, training, and experience for those who seek to engage in the practice of social work.
  3. Nothing contained in KRS 335.010 to 335.160 and KRS 335.990 shall be applicable to employees of the State Department of Education or local boards of education who meet the certification requirements in the area of social work as established, or which may be established, by the Kentucky Board of Education. Nor shall anything in KRS 335.010 to 335.160 and KRS 335.990 be construed to apply to, limit, or restrict the regulation of the title, setting of standards, qualifications, training, or experience of those who seek to engage in the practice of social work and who have been, or will be, certified by the Kentucky Board of Education for the position for which they have been employed.
  4. Nothing contained in KRS 335.010 to 335.160 and KRS 335.990 shall require persons employed by the Commonwealth of Kentucky, the director or administrative head of a social service agency or division of a city, county or urban-county government, or applicants for such employment to be licensed.
    1. Nothing contained in KRS 335.010 to 335.160 and KRS 335.990 shall require persons employed by an organization that is exempt from federal income taxation under Section 501(c)(3) of the Internal Revenue Code, and provides evidence of its tax-exempt status, to be licensed. (5) (a) Nothing contained in KRS 335.010 to 335.160 and KRS 335.990 shall require persons employed by an organization that is exempt from federal income taxation under Section 501(c)(3) of the Internal Revenue Code, and provides evidence of its tax-exempt status, to be licensed.
    2. The provisions of KRS 335.010 to 335.160 and KRS 335.990 shall not be construed to apply to, limit, or restrict the regulation of the title, setting of standards, qualifications, training, and experience of those engaged as employees of a tax-exempt organization in the practice of social work.
    3. The exemption provided in this subsection shall not apply to the practice of clinical social work, which shall be undertaken only by a certified social worker licensed pursuant to KRS 335.080 or a licensed clinical social worker licensed pursuant to KRS 335.100 .
  5. Nothing contained in KRS 335.010 to 335.160 and 335.990 shall prohibit volunteer health practitioners from providing services under KRS 39A.350 to 39A.366 .
  6. Beginning on July 12, 2012, and continuing through December 31, 2016, there shall exist an amnesty period during which no disciplinary action, administrative fees, or fines shall be imposed by the board for unlicensed practice against an individual who is currently serving or who formerly served as an employee of a tax-exempt organization specified in subsection (5) of this section.

History. Enact. Acts 1974, ch. 279, § 1; 1978, ch. 155, § 82, effective June 17, 1978; 1978, ch. 288, § 7, effective June 17, 1978; 1980, ch. 188, § 261, effective July 15, 1980; 1996, ch. 362, § 6, effective July 15, 1996; 2007, ch. 96, § 18, effective June 26, 2007; 2012, ch. 158, § 77, effective July 12, 2012.

Opinions of Attorney General.

Church-related agencies which charge a fee for their services are not required to have their social workers licensed by the state Board of Social Workers unless it can be shown that such fees are charged for purposes of making a profit or for private gain. OAG 75-463 .

The Commissioner of a department of social services for an urban-county government would not be covered by the provisions of this section, since the position does not constitute the practice of social work. OAG 78-1 .

Employees of the Comprehensive Care Centers are not persons employed by the commonwealth as contained in subsection (4) of this section and therefore are not exempted from the licensure requirements of this chapter as provided by subsection (4) of this section. OAG 88-56 .

The policy of the board of examiners of social work that, to be exempted under subsection (5) of this section, an agency must operate on a national or regional basis, or be church operated or affiliated, is invalid since the regulation upon which it is based, 201 KAR 23:130(1), is invalid. OAG 88-56 .

The definition in 201 KAR 23:130(1) which limits the interpretation of philanthropic and nonprofit field service offices to only those agencies which operate on a national or regional basis, is beyond the statutory authority granted to the Board of Examiners of Social Work by the General Assembly. OAG 88-56 .

335.020. Definitions.

As used in KRS 335.010 to 335.160 and 335.990 , unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Social Work.
  2. “The practice of social work” means the professional activity of helping for remuneration individuals, groups, or communities enhance or restore their capacity for social functioning and create societal conditions favorable to this goal. It includes the professional application of social work values, principles, and techniques to one or more of the following ends: counseling and nonmedical psychotherapy with individuals, families, and groups; helping people obtain tangible services; assisting communities or groups provide or improve social and health services; and engaging in social work education, research, planning, and the appropriate administration of social work or social welfare services.

History. Enact. Acts 1974, ch. 279, § 2; 1996, ch. 369, § 5, effective July 15, 1996.

Opinions of Attorney General.

A practitioner of “thanatology,” which is described as the counseling and helping of families to cope with the news that a loved one is terminally ill and to help said families after the death of the loved one, should either be a licensed physician or a licensed social worker. A licensed psychologist is also probably legally qualified to practice “thanatology.” OAG 83-402 .

335.030. Practice without license prohibited — Use of titles.

No person shall engage in the practice of social work unless he is licensed in accordance with the provisions of KRS 335.010 to 335.160 and 335.990 , and no person shall hold himself out to the public by any title or description of services representing himself as a “Certified Social Worker,” “Licensed Social Worker,” “Licensed Clinical Social Worker,” or any other title that includes such words except as such usage of title or description is authorized by KRS 335.010 to 335.160 and 335.990 .

History. Enact. Acts 1974, ch. 279, § 3; 1996, ch. 369, § 6, effective July 15, 1996.

Opinions of Attorney General.

The Board of Examiners lacks authority to enlarge the time framework set by the General Assembly in this section requiring licensure of social workers within one (1) year after June 21, 1974. OAG 75-39 .

335.040. Other professions exempt.

Nothing contained in KRS 335.010 to 335.160 and 335.990 shall be construed to prevent qualified members of other recognized professions from doing work within the standards and ethics of their respective professions provided they do not hold themselves out to the public by any title or description of services as being engaged in the practice of social work.

History. Enact. Acts 1974, ch. 279, § 4.

335.050. Board — Creation — Membership — Meetings.

  1. There is hereby created the Kentucky Board of Social Work, consisting of seven (7) members appointed by the Governor. One (1) member shall be a certified social worker under the provisions of KRS 335.010 to 335.160 and 335.990 . One (1) member shall be a licensed social worker under the provisions of KRS 335.010 to 335.160 and 335.990 . One (1) member shall be a licensed clinical social worker licensed under the provisions of KRS 335.010 to 335.160 and 335.990. Three (3) members shall be persons licensed by the board at any level, at the discretion of the Governor. One (1) member shall be a citizen at large who is not associated with or financially interested in the practice or business regulated. With the exception of the citizen at large, each member shall be appointed from a list of names of qualified persons submitted by any interested parties. The Governor may request the submission of additional names.
  2. Members of the board shall be appointed for terms of four (4) years, except appointments to fill vacancies caused by a reason other than the expiration of a member’s term. A member shall not serve more than two (2) consecutive full terms. A member currently serving on the board who has served more than two (2) consecutive full terms shall be replaced by the Governor in a timely manner. Upon recommendation of the board, made after notice and hearing, the Governor may remove any member of the board for incompetence, neglect of duty, or malfeasance in office.
  3. All vacancies shall be filled by the Governor.
  4. The board shall organize upon appointment and qualification of its members, and shall elect annually from its membership a chairman, vice chairman, and a secretary. The board shall meet as frequently as it deems necessary, but not less than two (2) times each year, at such times and places as the board designates. Additional meetings may be held upon call of the chairman or upon the written request of two (2) members of the board. Four (4) members of the board shall constitute a quorum.

History. Enact. Acts 1974, ch. 279, § 5; 1976, ch. 206, § 28; 1982, ch. 393, § 49, effective July 15, 1982; 1996, ch. 369, § 7, effective July 15, 1996; 2009, ch. 12, § 53, effective June 25, 2009; 2010, ch. 24, § 1696, effective July 15, 2010; 2012, ch. 158, § 78, effective July 12, 2012.

Research References and Practice Aids

Kentucky Law Journal.

Comments, Precomplaint Investigations Under the Kentucky Consumer Protection Act: Validity and Scope of the Civil Investigation Demand, 65 Ky. L.J. 169 (1976-77).

335.060. Compensation for board members.

The members of the board shall receive per diem compensation, not to exceed one hundred twenty-five dollars ($125), to be established by administrative regulation promulgated by the board. Members may be reimbursed for their reasonable necessary expenses incurred in the performance of their duties. Reimbursement shall not be made if available funds are insufficient for this purpose.

History. Enact. Acts 1974, ch. 279, § 6; 1978, ch. 154, § 36, effective June 17, 1978; 1996, ch. 369, § 8, effective July 15, 1996.

Opinions of Attorney General.

If a state social worker employee of the Department for Human Resources is appointed to the Board created by KRS 335.050 , he should be paid either his regular salary on that day or his per diem, while serving on the Board, but not both since if the employee were to receive both his salary and his per diem, such payment might run afoul of Ky. Const., § 3, prohibiting the granting of public emoluments without public service. OAG 80-347 .

335.070. Powers and duties of board.

    1. The board shall administer and enforce the provisions of KRS 335.010 to 335.160 and KRS 335.990 , and shall evaluate applications and issue licenses to qualified applicants within forty-five (45) days of submission of the complete application packet and receipt of the official passing score report and the licensure fee. (1) (a) The board shall administer and enforce the provisions of KRS 335.010 to 335.160 and KRS 335.990 , and shall evaluate applications and issue licenses to qualified applicants within forty-five (45) days of submission of the complete application packet and receipt of the official passing score report and the licensure fee.
    2. Within fifteen (15) days of accepting an applicant’s payment and application packet, the board shall:
      1. Notify the applicant that the application packet is complete, approve the applicant to sit for the national examination, and issue a temporary permit to engage in the practice of social work; or
      2. Notify the applicant that the application packet is incomplete and, when all omitted application items are received, notify the applicant of receipt of the complete application packet, approve the applicant to sit for the national examination, and issue a temporary permit to engage in the practice of social work.
    3. The board shall evaluate the complete application packet and, within forty-five (45) days, notify a qualified applicant of the issuance of the permanent license pursuant to KRS 335.080 , 335.090 , or 335.100 .
    4. If the board deems an applicant unqualified, the license may be denied and the temporary permit to practice social work may be revoked.
    5. In order to be issued a temporary permit, an applicant shall have submitted:
      1. A complete application packet as provided in this subsection, with the exception of a passing score on the required examination; and
      2. If applying for licensure as a certified social worker or as a licensed clinical social worker, a letter from a licensed clinical social worker, or equivalent, who will supervise the applicant while under temporary permit in accordance with administrative regulations.
  1. The board may issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provision of KRS 335.010 to 335.160 and KRS 335.990 .
  2. The board may promulgate administrative regulations pursuant to KRS Chapter 13A to carry out the provisions of KRS 335.010 to 335.160 and KRS 335.990 .
  3. The board may conduct hearings pursuant to KRS Chapter 13B and keep records and minutes necessary to carry out the functions of KRS 335.010 to 335.160 and KRS 335.990 .
  4. The board may employ any other persons it deems necessary to carry on the work of the board, and shall define their duties and fix their compensation.
  5. The board may renew licenses and require continuing education as a condition for license renewals, and shall authorize organizations to provide continuing education programs, including but not limited to:
    1. Schools of social work accredited by the Council on Social Work Education;
    2. The National Association of Social Workers-Kentucky Chapter; and
    3. The Kentucky Society of Clinical Social Workers.
  6. The board may, after a hearing conducted in accordance with KRS Chapter 13B, revoke, suspend, or refuse to issue or renew; impose probationary or supervisory conditions upon; impose administrative fines; issue written reprimands and admonishments; or any combination of actions regarding licenses and licensees.
  7. The board may seek injunctive relief in Franklin Circuit Court to stop the unlawful practice of social work by unlicensed persons.
  8. The board may establish, by promulgation of administrative regulations, the requirements for temporary permits to practice social work.
  9. The board may enter into agreements with any organization for the creation and implementation of a social work impairment program, as specified in the agreement.
  10. The board shall refund any levied administrative assessments that it has received for practice by unlicensed individuals employed by organizations exempted from the application of KRS 335.010 to 335.160 and 335.990 by KRS 335.010 (5).

History. Enact. Acts 1974, ch. 279, § 7; 1976, ch. 305, § 1; 1992, ch. 330, § 1, effective July 14, 1992; 1994, ch. 265, § 11, effective July 15, 1994; 1994, ch. 352, § 14, effective July 15, 1994; 1994, ch. 470, § 11, effective July 15, 1994; 1996, ch. 369, § 9, effective July 15, 1996; 2012, ch. 158, § 79, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). In subsection (1) of this statute, an erroneous citation to a provision of the Kentucky Revised Statutes has been corrected. Subsection (11) of 2012 Ky. Acts ch. 158, sec. 79, refers to “subsection (5) of Section 1 of this Act” rather than making the clearly intended reference to “subsection (5) of Section 77 of this Act.” Under KRS 7.136(1), the Reviser of Statutes has corrected this manifest clerical or typographical error. The reference now reads “KRS 335.010(5).”

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last. 1994 Ky. Acts ch. 352, sec. 14 is not in conflict with these two Acts and has been codified together with them.

Opinions of Attorney General.

A person applying for a license as a certified social worker or social worker who wishes to be certified for independent practice of social work after 18 months from June 21, 1974, must meet the standards in effect at the time the application is submitted to the board. OAG 82-243 .

The definition in 201 KAR 23:130(1) which limits the interpretation of philanthropic and nonprofit field service offices to only those agencies which operate on a national or regional basis, is beyond the statutory authority granted to the Board of Examiners of Social Work by the General Assembly. OAG 88-56 .

335.080. License, certified social worker — Requirements — Issuance.

  1. The board shall issue a license as “certified social worker” to an applicant who meets the following requirements:
    1. Is at least eighteen (18) years of age;
    2. Is a person of good moral character;
    3. Has received a master’s degree or doctorate degree in social work from an educational institution approved by the board;
    4. Has paid to the board an examination fee established by the board by promulgation of an administrative regulation;
    5. Has passed an examination prepared by the board;
    6. Has not within the preceding three (3) months failed to pass an examination given by the board; and
    7. Has paid an initial license fee established by the board by promulgation of an administrative regulation.
  2. The license shall be displayed in the licensee’s principal place of practice, and shall entitle the licensee to hold himself forth to the public as providing services as authorized by KRS 335.010 to 335.160 and 335.990 .
  3. A certified social worker may engage in the practice of clinical social work by contracting, in writing, with a licensed clinical social worker who shall assume responsibility for and supervise the certified social worker’s practice as directed by the board by promulgation of administrative regulations. The certified social worker shall, for purposes of this section, be an employee of an institution or organization in which the certified social worker has no direct or indirect interest other than employment. No certified social worker shall enter into a practice of clinical social work until this contract has been approved by the board, and shall cease the practice of clinical social work immediately upon the termination of the contract. At the termination of the contract, the certified social worker shall apply for licensure as a licensed clinical social worker or request an extension of the contract from the board.

HISTORY: Enact. Acts 1974, ch. 279, § 8; 1976, ch. 305, § 2; 1990, ch. 443, § 27, effective July 13, 1990; 1996, ch. 369, § 10, effective July 15, 1996; 2005, ch. 62, § 1, effective June 20, 2005; 2015 ch. 113, § 25, effective June 24, 2015.

Opinions of Attorney General.

A person applying for a license as a certified social worker or social worker who wishes to be certified for independent practice of social work after 18 months from June 21, 1974, must meet the standards in effect at the time the application is submitted to the board. OAG 82-243 .

335.090. License, licensed social worker — Requirements — Issuance.

  1. The board shall issue a license as “licensed social worker” to an applicant who meets the following requirements:
    1. Is at least eighteen (18) years of age;
    2. Is a person of good moral character;
      1. Has received a baccalaureate degree in a social work or social welfare program accredited by the Council on Social Work Education; or (c) 1. Has received a baccalaureate degree in a social work or social welfare program accredited by the Council on Social Work Education; or
      2. Has received a baccalaureate degree and has completed courses equivalent to a social work or social welfare program as determined by the board;
    3. Has paid to the board an examination fee established by the board by promulgation of an administrative regulation;
    4. Has passed an examination prepared by the board;
    5. Has not within the preceding three (3) months failed to pass an examination given by the board; and
    6. Has paid an initial license fee established by the board by promulgation of an administrative regulation.
  2. The license shall be displayed in the licensee’s principal place of practice, and shall entitle the licensee to hold himself forth to the public as providing services as authorized by KRS 335.010 to 335.160 and 335.990 .

HISTORY: Enact. Acts 1974, ch. 279, § 9; 1976, ch. 305, § 3; 1990, ch. 443, § 28, effective July 13, 1990; 1996, ch. 369, § 11, effective July 15, 1996; 2005, ch. 62, § 2, effective June 20, 2005; 2015 ch. 113, § 26, effective June 24, 2015.

Opinions of Attorney General.

A person applying for a license as a certified social worker or social worker who wishes to be certified for independent practice of social work after 18 months from June 21, 1974, must meet the standards in effect at the time the application is submitted to the board. OAG 82-243 .

335.100. License, licensed clinical social worker — Requirements — Issuance.

  1. The board shall issue a license as “licensed clinical social worker” to an applicant who meets the following requirements:
    1. Has received a master’s degree or doctoral degree in social work from an educational institution approved by the board;
    2. Has had a minimum of two (2) years of full time post-master’s experience, consisting of at least thirty (30) hours per week, or three (3) years of part time, consisting of at least twenty (20) hours per week, post-master’s degree experience acceptable to the board in the use of specialty methods and measures to be employed in clinical social work practice, the experience having been acquired under appropriate supervision as established by the board by promulgation of an administrative regulation;
    3. Has paid to the board an examination fee established by the board by promulgation of an administrative regulation;
    4. Has passed an examination prepared by the board for this purpose;
    5. Has not within the preceding three (3) months failed to pass an examination given by the board; and
    6. Has paid an initial license fee established by the board by promulgation of an administrative regulation.
  2. The license shall be displayed in the licensee’s principal place of practice, and shall entitle the licensee to hold himself forth to the public as providing services as authorized by KRS 335.010 to 335.160 and KRS 335.990 .
  3. A licensed clinical social worker may contract with a certified social worker in the practice of clinical social work as provided in KRS 335.080(3). The licensed clinical social worker shall assume responsibility for and supervise the certified social worker’s practice as directed by the board by promulgation of administrative regulations.

HISTORY: Enact. Acts 1974, ch. 279, § 10; 1976, ch. 305, § 4; 1990, ch. 443, § 29, effective July 13, 1990; 1996, ch. 369, § 12, effective July 15, 1996; 2005, ch. 62, § 3, effective June 20, 2005; 2015 ch. 113, § 27, effective June 24, 2015.

Opinions of Attorney General.

A person applying for a license as a certified social worker or social worker who wishes to be certified for independent practice of social work after 18 months from June 21, 1974, must meet the standards in effect at the time the application is submitted to the board. OAG 82-243 .

335.110. Temporary licensure without examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 279, § 11) was repealed by Acts 1976, ch. 305, § 5.

335.120. Licensure without examination — Reciprocal agreement between states.

The board may grant the appropriate license without examination to any person who at the time of application holds a valid license from another state and who meets the current minimum requirements for licensure in Kentucky provided a reciprocal agreement exists between the states.

History. Enact. Acts 1974, ch. 279, § 12; 1976, ch. 305, § 6.

335.130. License renewal — Fees — Waiver.

  1. Each certified social worker, licensed social worker and licensed clinical social worker shall renew his license every three (3) years, and shall pay the board a renewal fee as established by the board by promulgation of an administrative regulation.
  2. Licensees whose licenses are renewed by the board shall be issued a renewal license.
  3. Renewal fees shall be waived for any licensee actually serving in the Armed Forces of the United States. The waiver shall be effective for six (6) months following honorable discharge, separation, or release from the Armed Forces, after which period a license shall be considered lapsed.
  4. The board may, at its discretion, require continuing education as a condition of license renewal.
  5. If the board requires continuing education as authorized in subsection (4), the continuing education requirements for each licensed social worker and each licensed clinical social worker shall include one and one-half (1.5) hours of continuing education approved by the board and covering the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 , at least one (1) time every six (6) years. The one and one-half (1.5) hours of continuing education required under this section shall be included in the current number of required continuing education hours.

History. Enact. Acts 1974, ch. 279, § 13; 1984, ch. 98, § 1, effective July 13, 1984; 1996, ch. 369, § 13, effective July 15, 1996; 2010, ch. 171, § 15, effective July 15, 2010.

335.140. Disposition of fees and other charges.

All fees and other charges received by the board under KRS 335.010 to 335.160 and KRS 335.990 shall be deposited in the State Treasury and credited to a separate trust and agency account for the board. The moneys so deposited shall be used to finance the board, and are hereby appropriated to the board.

History. Enact. Acts 1974, ch. 279, § 14; 1982, ch. 450, § 78, effective July 1, 1983; 1990, ch. 507, § 26, effective July 13, 1990; 1994, ch. 352, § 15, effective July 15, 1994; 1996, ch. 369, § 14, effective July 15, 1996.

335.150. Grievance procedures — Denial, revocation, or suspension of licenses — Other sanctions — Reconsideration.

  1. The board may revoke, suspend, or refuse to issue or renew; impose probationary or supervisory conditions upon; impose an administrative fine; issue a written reprimand or admonishment; or any combination of actions regarding any applicant, license, or licensee upon proof that the applicant or licensee has:
    1. Committed any act of dishonesty or corruption, if in accordance with KRS Chapter 335B. If the act constitutes a crime, conviction in a criminal proceeding is not a condition precedent to disciplinary action. Upon conviction of the crime, the judgment and sentence creates a rebuttable presumption at the ensuing disciplinary hearing of the guilt of the applicant or licensee. Conviction includes all instances in which a plea of no contest is the basis of the conviction;
    2. Misrepresented or concealed a material fact in obtaining a license, or in reinstatement thereof;
    3. Committed any unfair, false, misleading, or deceptive act or practice;
    4. Been incompetent or negligent in the practice of social work;
    5. Violated any state statute or administrative regulation governing the practice of social work or any activities undertaken by a social worker;
    6. Failed to comply with an order issued by the board or an assurance of voluntary compliance;
    7. Violated the code of ethical conduct as set forth by the board by promulgation of an administrative regulation;
    8. Been legally declared mentally incompetent;
    9. Aided or abetted another person in falsely procuring or attempting to procure a license; or
    10. Aided or abetted an unlicensed person in the practice of social work.
  2. Five (5) years from the date of a revocation, any person whose license has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the license upon a finding that the individual has complied with any terms prescribed by the board and is again able to engage competently in the practice of social work.
  3. If an alleged violation is not of a serious nature and the evidence presented to the board, after the investigation and appropriate opportunity for the licensee to respond, provides a clear indication that the alleged violation did in fact occur, the board may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the permanent file of the licensee. The licensee shall have the right to file a response within thirty (30) days of its receipt and to have the response placed in the licensee’s permanent file. Alternatively, the licensee may file a request for a hearing, within thirty (30) days of the receipt of the written admonishment. Upon receipt of this request, the board shall set aside the written admonishment and set the matter for hearing.
  4. At any time during the investigative or hearing processes, the board may enter into an agreed order with, or accept an assurance of voluntary compliance from, the licensee that effectively satisfies the complaint.
  5. The board may reconsider, modify, or reverse its decision regarding probation, suspension, or any other disciplinary action.
  6. Upon proof substantiating that sexual contact occurred between a social worker licensed by the board and a client while the client was under the care of or in a professional relationship with the social worker, the social worker’s license may be revoked or suspended with mandatory treatment of the social worker as prescribed by the board. The board may require the social worker to pay a specified amount for mental health services for the client which are needed as a result of the sexual contact.
  7. The board may revoke the license of a social worker if the social worker has been convicted of a misdemeanor offense under KRS Chapter 510 involving a client or a felony offense under KRS Chapter 510, 530.064(1)(a), or 531. 310, or has been found to have had sexual contact as defined in KRS 510.010(7) with a client while the client was under the care of the social worker.

HISTORY: Enact. Acts 1974, ch. 279, § 15; 1980, ch. 114, § 93, effective July 15, 1980; 1990, ch. 443, § 14, effective July 13, 1990; 1994, ch. 265, § 12, effective July 15, 1994; 1994, ch. 470, § 12, effective July 15, 1994; 1996, ch. 318, § 308, effective July 15, 1996; 1996, ch. 369, § 15, effective July 15, 1996; 2006, ch. 182, § 62, effective July 12, 2006; 2015 ch. 113, § 28, effective June 24, 2015; 2017 ch. 158, § 82, effective June 29, 2017.

Legislative Research Commission Note.

(7/2/97). In editing during codification, the reference to KRS 214.615(1) in subsection (1)(k) of this statute was mistakenly shown as KRS 214.615(4). The correct subsection reference has been restored. See 1996 Ky. Acts ch. 369, sec. 15.

(7/15/96). This section was amended by 1996 Ky. Acts chs. 318 and 369. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 369, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(7/15/94). This statute was amended by 1994 Ky. Acts chs. 265 and 470, which were companion bills and are substantively identical. These Acts have been codified together. For the few minor variations between the Acts, Acts ch. 470 prevails under KRS 446.250 , as the Act which passed the General Assembly last.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

335.155. Administrative hearings prior to sanctions — Appeals.

  1. Before revoking, suspending, imposing probationary or supervisory conditions upon, imposing an administrative fine, issuing a written reprimand, or any combination of these actions regarding any license or licensee under the provisions of KRS 335.010 to 335.160 and 335.990 , the board shall set the matter for hearing as provided by KRS Chapter 13B.
  2. After denying an application, refusing to renew a license, or issuing a written admonishment regarding any applicant, license, or licensee under the provisions of KRS 335.010 to 335.160 and 335.990 , the board shall set the matter for hearing upon written request filed by the applicant or licensee within thirty (30) days of the date of the letter advising of the denial, refusal, or admonishment.
  3. Any party aggrieved by a final order of the board may appeal to Franklin Circuit Court as provided by KRS Chapter 13B.

History. Enact. Acts 1996, ch. 369, § 1, effective July 15, 1996.

335.158. Duty of treating clinical social worker utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating clinical social worker who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of clinical social work services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 20, effective July 14, 2000.

335.160. Board to enjoin violations.

If it appears to the board that a person is violating any provision of KRS 335.010 to 335.160 and KRS 335.990 , the board may institute, in its own name, in Franklin Circuit Court, a proceeding to restrain and enjoin the violation without regard to whether proceedings have been, or may be instituted under other provisions of KRS 335.010 to 335.160 and KRS 335.990 . The board or any member thereof, shall not be required to furnish bond for any costs or filing fees in connection with the proceeding.

History. Enact. Acts 1974, ch. 279, § 16; 1996, ch. 369, § 16, effective July 15, 1996.

335.170. Confidentiality of information — Exceptions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 305, § 7; 1980, ch. 280, § 151, effective July 1, 1982; 1986, ch. 423, § 192, effective July 1, 1987) was repealed by § 92 of Acts 1990, ch. 88 to contingently become effective as provided by § 93 of Acts 1990, ch. 88. However, § 93 of Acts 1990, ch. 88 was repealed by § 30 of Acts 1992, ch. 324, effective July 1, 1992. Therefore the repeal of this section by § 92 of Acts 1990, ch. 88 became effective July 1, 1992. For present law see Kentucky Rules of Evidence, Rule 507.

Marriage and Family Therapists

335.300. Definitions for KRS 335.300 to 335.399.

As used in KRS 335.300 to 335.399 , unless the context otherwise requires:

  1. “Board” means the Kentucky Board of Licensure of Marriage and Family Therapists;
  2. “Licensed marriage and family therapist” means a person who has completed all of the requirements set out in KRS 335.330 and who holds a license issued by the board;
  3. “Marriage and family therapy associate” means a person who has completed all requirements set out in KRS 335.330 and who holds a permit issued by the board to practice marriage and family therapy under the conditions set out in KRS 335.332 and the corresponding administrative regulations promulgated by the board; and
  4. “The practice of marriage and family therapy” means the identification and treatment of cognitive, affective, and behavioral conditions related to marital and family dysfunctions that involve the professional application of psychotherapeutic and systems theories and techniques in the delivery of services to individuals, couples, and families. Nothing in this section shall be construed to authorize any licensed marriage and family therapist or marriage and family therapy associate to administer or interpret psychological tests in accordance with the provisions of KRS Chapter 319.

History. Enact. Acts 1994, ch. 352, § 1, effective July 15, 1994; 1998, ch. 594, § 1, effective January 1, 1999.

335.305. Use of titles “licensed marriage and family therapist” and “marriage and family therapy associate” — Application and construction of KRS 335.300 to 335.399.

  1. Except as provided in KRS 335.307 and subsection (2) of this section:
    1. No person shall use the title “licensed marriage and family therapist,” “LMFT,” or a title which is substantially the same, or hold himself or herself out as having this status, unless licensed by the board.
    2. No person shall use the title “marriage and family therapy associate” or hold himself or herself out as having this status, unless holding a permit issued by the board.
  2. The provisions of KRS 335.300 to 335.399 shall not apply to persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes, including, but not limited to, physicians, social workers, psychologists, art therapists, and nurses, or students within accredited training programs of these professions. Nothing in KRS 335.300 to 335.399 shall be construed to limit, interfere with, or restrict the practice, descriptions of services, or manner in which these persons hold themselves out to the public.
  3. Nothing in KRS 335.300 to 335.399 shall be construed to alter, amend, or interfere with the practice of employment counseling, job placement counseling, or school counseling.
  4. Nothing in KRS 335.300 to 335.399 shall be construed to apply to the activities and services of a student intern or trainee in marriage and family therapy who is pursuing a program of studies in marriage and family therapy at an accredited institution of higher learning if these activities are performed under the supervision and constitute a part of the supervised program of study, and if the person is designated a counseling intern, a marriage and family therapist intern, or student in training.

History. Enact. Acts 1994, ch. 352, § 8, effective July 15, 1994; 1998, ch. 594, § 3, effective January 1, 1999.

335.307. Effect of new licensure requirements on existing certified marriage and family therapist.

Effective January 1, 1999, all persons authorized to use the title “certified marriage and family therapist” shall be entitled to use the title of “licensed marriage and family therapist” until the date of their second annual license renewal. On that date, the licensee shall be required to meet the conditions set forth in KRS 335.340 (2). First-time licensure of a person formerly certified shall be processed as a license renewal under KRS 335.340 .

History. Enact. Acts 1998, ch. 594, § 2, effective January 1, 1999.

335.310. Kentucky Board of Licensure of Marriage and Family Therapists.

  1. There is created the Kentucky Board of Licensure of Marriage and Family Therapists. Effective January 1, 1999, it shall be composed of seven (7) members. Six (6) members shall be licensed marriage and family therapists. One (1) member shall be a citizen-at-large who is not associated with or financially interested in the practice or business of marriage and family therapy. All members shall be appointed by the Governor from a list of names of qualified persons submitted by any interested parties. The Governor may request the submission of additional names. Each member of the board shall serve for a term of four (4) years.
  2. All reappointments to the board and vacancies on the board shall be filled by the Governor as described in subsection (1) of this section.
  3. Each member of the board shall receive one hundred dollars ($100) per day for each day spent performing official duties as a board member and reimbursement for actual and necessary expenses incurred in carrying out official duties.
  4. The board shall annually elect a chair, a vice chair, and a secretary-treasurer.
  5. The board shall hold at least two (2) meetings annually and additional meetings as the board may deem necessary. The additional meetings may be held upon call of the chairperson or upon written request of two (2) board members. Four (4) board members shall constitute a quorum.
  6. Upon recommendation of the board, the Governor may remove any board member for a poor attendance record, neglect of duty, or malfeasance in office.
  7. No board member shall serve more than two (2) consecutive full terms. A person who has previously served two (2) consecutive terms may be reappointed to the board if that person has not served in the preceding four (4) years.

History. Enact. Acts 1994, ch. 352, § 2, effective July 15, 1994; 1998, ch. 594, § 4, effective January 1, 1999.

335.315. Immunity from personal liability for board members and agents for official acts.

Members of the board and its agents shall be immune from personal liability in any action, civil or criminal, which is based upon any official act or acts performed reasonably and in good faith by the board member, agent, or employee.

History. Enact. Acts 1994, ch. 352, § 12, effective July 15, 1994.

335.320. Duties of board — Authority to promulgate administrative regulations.

The board shall:

  1. Administer and enforce the provisions of this chapter and shall evaluate the qualifications of license and permit applicants;
  2. Approve the examination required of applicants for licensure, provide for the administration and grading of the examination, and provide for other matters relating to licensure in the profession of marriage and family therapy;
  3. Review the credentials of licensees to determine if they are eligible for license renewal and have paid the fee provided for in KRS 335.340 ;
  4. License the marriage and family therapist applicants who satisfy the experience and educational requirements of KRS 335.330 and have paid the fee provided for in KRS 335.330 ;
  5. Review and approve contracts between marriage and family therapy associates and approved supervisors for their supervision of practice during the qualifying term;
  6. Issue permits to marriage and family therapy associate applicants who satisfy the requirements of KRS 335.332 ;
  7. Adopt a code of ethics for licensed marriage and family therapists and marriage and family therapy associates;
  8. Submit an annual report to the Governor and to the Legislative Research Commission by January 1 of each year, listing all hearings conducted by the board and any decisions rendered; and
  9. Promulgate administrative regulations, in accordance with KRS Chapter 13A, to implement the purpose and scope of KRS 335.300 to 335.399 .

History. Enact. Acts 1994, ch. 352, § 3, effective July 15, 1994; 1998, ch. 594, § 5, effective January 1, 1999.

Legislative Research Commission Note.

(9/11/2001). The Reviser of Statutes, acting under the authority of KRS 7.136(1), has corrected the statutory reference in subsection (6) of this section to read “KRS 335.332 .” It is evident from an examination of 1998 Acts ch. 594, sec. 5, that this is the intended citation.

335.325. Powers of board.

The board may:

  1. Employ needed personnel;
  2. Issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provisions of this chapter;
  3. Seek injunctive relief in Franklin Circuit Court to stop the unlawful practice of marriage and family therapy by unlicensed persons;
  4. Conduct hearings pursuant to KRS Chapter 13B and keep records and minutes necessary to carry out the functions of this chapter;
  5. Suspend or revoke licenses or permits or impose supervisory or probationary conditions upon licensees or permit holders, or impose administrative disciplinary fines, issue written reprimands or admonishments, or any combination thereof;
  6. Grant retired or inactive licensure status under conditions set forth by the board by the promulgation of administrative regulations;
  7. Enter into reciprocal agreements with boards of marriage and family therapy in other states having licensure qualifications and requirements that meet or exceed those provided in this chapter;
  8. Organize itself into two (2) panels to separate the functions of inquiry and hearings. Each panel shall have the power to act as either an inquiry or hearing panel. No member serving on the inquiry panel shall serve on the hearing panel for any one particular case. Any final decision of the hearing panel shall be considered as the final decision of the board and the hearing panel may exercise all powers granted to the board pursuant to KRS Chapter 13B; and
  9. Utilize mediation as a technique to resolve disciplinary matters.

History. Enact. Acts 1994, ch. 352, § 4, effective July 15, 1994; 1996, ch. 318, § 309, effective July 15, 1996; 1998, ch. 594, § 6, effective January 1, 1999; 2009, ch. 12, § 54, effective June 25, 2009; 2010, ch. 24, § 1697, effective July 15, 2010.

335.330. Initial fee for licensure — Requirements for certification.

An applicant for licensure as a marriage and family therapist shall pay the board an initial fee which shall be established by administrative regulation promulgated by the board. The applicant shall show the board that the applicant has:

  1. Completed a master’s or doctoral degree program in marriage and family therapy, from a regionally-accredited educational institution, or a master’s, post-master’s, or doctoral program approved by the Commission on Accreditation for Marriage and Family Therapy Education or any of its successor organizations, or an equivalent course of study as defined by the board by promulgation of administrative regulations.
    1. The degree or equivalent course of study shall contain specific coursework on psychopathology and the Diagnostic and Statistical Manual; and
    2. In determining equivalency, the board shall use the criteria for marriage and family therapy education and clinical training approved by the United States Department of Education;
  2. Completed each of the following:
    1. At least two (2) years’ experience in the practice of marriage and family therapy, acceptable to the board and subsequent to being granted a master’s degree; and
    2. A minimum of two hundred (200) hours of clinical supervision acceptable to the board and subsequent to being granted a master’s degree; and
  3. Passed a written examination prescribed by the board by promulgation of administrative regulations.

History. Enact. Acts 1994, ch. 352, § 5, effective July 15, 1994; 1998, ch. 594, § 8, effective January 1, 1999.

335.332. Application for marriage and family therapist associate permit — Qualifying experience for licensure — Fees.

  1. A person who fills all of the requirements of KRS 335.330 shall apply to the board for a marriage and family therapist associate permit in order to practice and earn the experience required for license application.
  2. A marriage and family therapy associate shall engage in the practice of marriage and family therapy while receiving qualifying experience by contracting, in writing, with an approved supervisor, as defined by the board in administrative regulations, who shall assume responsibility for and supervise the marriage and family therapy associate’s practice as directed by the board by promulgation of administrative regulations. No marriage and family therapy associate shall enter into a practice of marriage and family therapy until this contract has been approved by the board, and the marriage and family therapy associate shall cease the practice of marriage and family therapy immediately upon termination of the contract. At the termination of the contract, the marriage and family therapy associate shall apply for licensure as a marriage and family therapist or request an extension of the contract from the board.
  3. The fees and all other requirements for a marriage and family therapist associate permit shall be established by the board by promulgation of administrative regulations.

History. Enact. Acts 1998, ch. 594, § 9, effective January 1, 1999.

335.335. Exemption from examination requirement for applicants until July 15, 1995. [Repealed.]

Compiler’s Notes.

This section (Enact Acts 1994, ch. 352, § 6) was repealed by Acts 1998, ch. 594, § 16, effective Jan. 1, 1999.

335.340. Renewal of licensure — Suspended or revoked license — Continuing education.

  1. Licensure issued under KRS 335.330 shall be renewed annually upon payment of a fee to be established by administrative regulation promulgated by the board not to exceed one hundred fifty dollars ($150).
  2. On January 1, 1999, all persons authorized to use the title “certified marriage and family therapist” shall be deemed “licensed marriage and family therapists” until the date of their second annual license renewal. As of that date, each formerly certified licensee seeking license renewal shall provide the board with verification of education or experience relating to psychopathology, as determined by administrative regulations promulgated by the board, to include:
    1. Coursework in psychopathology;
    2. Supervised experience with a focus on diagnosis; or
    3. Completion of equivalent continuing education units relating to psychopathology.

      This subsection shall not apply to license renewals for those persons also licensed or certified by another mental health profession which authorizes diagnosis within its scope of practice.

  3. A ninety (90) day grace period shall be granted during which time licensees may continue to practice and may renew their licenses upon payment of the renewal fee plus a late renewal fee as promulgated by administrative regulation of the board. Any license not renewed during this period shall expire. The board may reinstate an expired license within three (3) years of its expiration date upon payment of the renewal fee and satisfaction of other requirements.
  4. A suspended license is subject to expiration and termination and shall be renewed as provided in this chapter. Renewal shall not entitle the licensee to engage in the practice of marriage and family therapy until the suspension has ended, or is otherwise removed by the board and the right to practice is restored by the board.
  5. A revoked license is subject to expiration or termination but may not be renewed. If it is reinstated, the licensee shall pay the renewal fee as set forth in subsection (1) of this section.
  6. A person who fails to reinstate his or her license within three (3) years of its termination may not have it renewed, restored, reissued, or reinstated. A person may apply for and obtain a new license by meeting the current requirements of this chapter.
  7. The board shall require that a person applying for renewal or reinstatement of licensure show evidence of completion of continuing education as prescribed by the board by administrative regulations, not to exceed twenty (20) clock hours per renewal period.

History. Enact. Acts 1994, ch. 352, § 7, effective July 15, 1994; 1998, ch. 594, § 10, effective January 1, 1999.

335.342. Disposition of fees.

  1. All fees and other moneys received by the board pursuant to the provisions of this chapter shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board.
  2. No part of this revolving fund shall revert to the general fund of this Commonwealth.
  3. The compensation of board members and all of the board’s employees and all expenses incurred by the board shall be paid from this revolving fund.

History. Enact. Acts 1998, ch. 594, § 7, effective January 1, 1999.

335.348. Grounds for disciplinary action — Investigation — Hearing.

  1. The board may refuse to issue a license or permit, or may suspend, revoke, impose probationary conditions upon, impose an administrative fine, issue a written reprimand or admonishment, or any combination thereof regarding any licensee or permit holder upon proof that the licensee or permit holder has:
    1. Committed any act of dishonesty or corruption, if in accordance with KRS Chapter 335B. If the act constitutes a crime, conviction in a criminal proceeding is not a condition precedent to disciplinary action. Upon conviction of the crime, the judgment and sentence are presumptive evidence at the ensuing disciplinary hearing of the guilt of the licensee or applicant. Conviction includes all instances in which a plea of no contest is the basis of the conviction;
    2. Misrepresented or concealed a material fact in obtaining a license, or in reinstatement thereof;
    3. Committed any unfair, false, misleading, or deceptive act or practice;
    4. Been incompetent or negligent in the practice of marriage and family therapy;
    5. Violated any state statute or administrative regulation governing the practice of marriage and family therapy or any activities undertaken by a marriage and family therapist;
    6. Failed to comply with an order issued by the board or an assurance of voluntary compliance;
    7. Violated the code of ethics as set forth by the board in administrative regulations; or
    8. Violated any applicable provision of any federal or state law, if in accordance with KRS Chapter 335B.
  2. Five (5) years from the date of a revocation, any person whose license or permit has been revoked may petition the board for reinstatement. The board shall investigate the petition and may reinstate the license or permit upon a finding that the individual has complied with any terms prescribed by the board and is again able to competently engage in the practice of marriage and family therapy.
  3. If, after an investigation that includes opportunity for the licensee to respond, the board determines that a violation took place but was not of a serious nature, it may issue a written admonishment to the licensee. A copy of the admonishment shall be placed in the permanent file of the licensee. The licensee shall have the right to file a response to the admonishment within thirty (30) days of its receipt and to have the response placed in the permanent licensure file. The licensee may alternatively, within thirty (30) days of the receipt, file 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 under the provisions of KRS Chapter 13B.
  4. At any time during the investigative or hearing processes, the board may enter into an agreed order or accept an assurance of voluntary compliance with the licensee which effectively deals with the complaint.
  5. The board may reconsider, modify, or reverse its probation, suspensions, or other disciplinary actions.
  6. The surrender of a license or permit shall not serve to deprive the board of jurisdiction to proceed with disciplinary actions pursuant to this chapter.

HISTORY: Enact. Acts 1998, ch. 594, § 11, effective January 1, 1999; 2017 ch. 158, § 83, effective June 29, 2017.

335.350. Hearings for disciplinary action or for licensure action.

  1. Before revoking, suspending, imposing probationary or supervisory conditions upon, imposing an administrative fine, issuing a written reprimand, or any combination of these actions regarding any licensee or permit holder under the provisions of KRS 335.300 to 335.399 , the board shall set the matter for hearing as provided by KRS Chapter 13B.
  2. After denying an application, refusing to renew a license or permit, or issuing a written admonishment regarding any applicant, licensee, or permit holder under the provisions of KRS 335.300 to 335.399 , the board shall set the matter for hearing upon written request filed by the applicant, licensee, or permit holder within thirty (30) days of the date of the letter advising of the denial, refusal, or admonishment.

History. Enact. Acts 1994, ch. 352, § 10, effective July 15, 1994; 1996, ch. 318, § 310, effective July 15, 1996; 1998, ch. 594, § 13, effective January 1, 1999.

335.360. Reinstatement of revoked license or permit.

A person whose license or permit has been revoked may apply for reinstatement no earlier than five (5) years from the date of revocation, in accordance with the procedures established by the board by administrative regulation.

History. Enact. Acts 1994, ch. 352, § 11, effective July 15, 1994; 1998, ch. 594, § 14, effective January 1, 1999.

335.370. Impaired marriage and family therapist program — Confidentiality of records — Immunity of board members.

  1. The board may enter into an agreement with the Kentucky Association of Marriage and Family Therapists for an impaired marriage and family therapist committee to undertake the functions and responsibilities of an impaired marriage and family therapist program, as specified in the agreement. The functions and responsibilities may include any of the following:
    1. Receiving and evaluating reports of suspected impairment from any source;
    2. Intervening in cases of verified impairment; or
    3. Referring impaired marriage and family therapists to treatment programs.
  2. Other provisions of law notwithstanding, all board and committee records pertaining to the impaired marriage and family therapist program shall be kept confidential. No person in attendance at any meeting of the committee shall be required to testify as to any committee discussions or proceedings.
  3. Other provisions of law notwithstanding, no member of the board of the Kentucky Association of Marriage and Family Therapists or the Impaired Marriage and Family Therapist Committee shall be liable for damages to any person for any acts, omissions, or recommendations made in good faith while acting within the scope of responsibilities pursuant to this section.

History. Enact. Acts 1998, ch. 594, § 12, effective January 1, 1999.

335.380. Duty of treating marriage and family therapist utilizing telehealth to ensure patient’s informed consent and maintain confidentiality — Board to promulgate administrative regulations — Definition of “telehealth”.

  1. A treating marriage and family therapist who provides or facilitates the use of telehealth shall ensure:
    1. That the informed consent of the patient, or another appropriate person with authority to make the health care treatment decision for the patient, is obtained before services are provided through telehealth; and
    2. That the confidentiality of the patient’s medical information is maintained as required by this chapter and other applicable law. At a minimum, confidentiality shall be maintained through appropriate processes, practices, and technology as designated by the board and that conform to applicable federal law.
  2. The board shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section and as necessary to:
    1. Prevent abuse and fraud through the use of telehealth services;
    2. Prevent fee-splitting through the use of telehealth services; and
    3. Utilize telehealth in the provision of marriage and family therapy services and in the provision of continuing education.
  3. For purposes of this section, “telehealth” means the use of interactive audio, video, or other electronic media to deliver health care. It includes the use of electronic media for diagnosis, consultation, treatment, transfer of health or medical data, and continuing education.

History. Enact. Acts 2000, ch. 376, § 21, effective July 14, 2000.

335.399. Penalties for violation.

Any person who shall violate or aid in the violation of KRS 335.305(1) shall upon conviction be fined not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000), or sentenced to jail for not less than ten (10) days nor more than ninety (90) days, or both so fined and imprisoned in the discretion of the jury.

History. Enact. Acts 1994, ch. 352, § 9, effective July 15, 1994; 1996, ch. 318, § 311, effective July 15, 1996; 1998, ch. 594, § 15, effective January 1, 1999.

Certified Professional Counselors

335.500. Definitions for KRS 335.500 to 335.599.

As used in KRS 335.500 to 335.599 , unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Licensed Professional Counselors;
  2. “Credential holder” means any person who is regulated by the board;
  3. “Licensed professional clinical counselor” means a credential holder who has been determined by the board to have met all qualifications set forth in KRS 335.525(1) to engage in the independent practice of professional counseling;
  4. “Licensed professional counselor associate” means a credential holder who has been determined by the board to have met all qualifications set forth in KRS 335.525(2) to engage in the practice of professional counseling under an approved clinical supervisor as authorized by the board;
  5. “Practice of professional counseling” means professional counseling services that involve the application of mental health counseling and developmental principles, methods, and procedures, including assessment, evaluation, treatment planning, amelioration, and remediation of adjustment problems and emotional disorders, to assist individuals or groups to achieve more effective personal, social, educational, or career development and adjustment; and
  6. “Relative” means a person’s father, mother, brother, sister, husband, wife, son, daughter, aunt, uncle, son-in-law, daughter-in-law, grandparent, grandchild, stepparent, or stepchild.

History. Enact. Acts 1996, ch. 364, § 1, effective July 15, 1996; 2000, ch. 312, § 1, effective July 14, 2000; 2002, ch. 79, § 1, effective July 15, 2002.

335.505. Prohibition against unlicensed practice of professional counseling — No limitation on activities of specified service providers.

  1. No person shall engage in the practice of professional counseling or present in a way as to imply or would reasonably be deemed to imply licensure to practice professional counseling unless the person has first been issued a valid license by the board.
  2. Subsection (1) of this section shall not apply to any person who is licensed, certified, or registered under any other provisions of the Kentucky Revised Statutes, including, but not limited to, physicians, social workers, psychologists, nurses, professional art therapists, marriage and family therapists, or students in accredited programs in those professions, and shall not restrict their practice, descriptions of services, or the manner in which they hold themselves out to the public.
  3. Subsection (1) of this section shall not be construed to alter, amend, or interfere with the practice of those who engage in employment counseling, job placement counseling, vocational rehabilitation counseling, victim counseling or advocacy, pastoral counseling based on any tenet of one’s religious beliefs, or school counseling.
  4. Subsection (1) of this section shall not apply to the activities and services of a student intern or trainee in professional counseling who is pursuing a program of studies in counseling at an accredited institution of higher education, if these activities are performed under the supervision or direction of an approved supervisor and the activities are a part of the supervised program of study as reflected in an official transcript, and if the person is designated a professional counselor intern or student in training.
  5. Nothing in this section shall be construed to limit the activities of a sexual assault counselor, victim advocate, or crisis response team as provided in KRE 506, or a person certified under KRS Chapter 403 to provide court-ordered domestic violence offender treatment services or a person providing services to sexual offenders under KRS 197.400 to 197.440 .

History. Enact. Acts 1996, ch. 364, § 2, effective July 15, 1996; 2002, ch. 79, § 2, effective July 15, 2002.

335.510. Kentucky Board of Licensed Professional Counselors.

  1. The Kentucky Board of Licensed Professional Counselors is created and shall consist of seven (7) members who shall reside in the Commonwealth and be appointed by the Governor. One (1) of the members shall be a citizen at large and the remaining six (6) members shall be licensed professional clinical counselors. The licensed professional clinical counselor members on the board shall have been licensed as professional clinical counselors in the Commonwealth for at least two (2) years preceding their appointments. The citizen at large member shall not be associated with or have a relative who is associated with the practice or business of professional counseling. Neither the citizen at large nor his relatives shall have a financial interest in the practice or business of professional counseling.
  2. All appointments and vacancies to the board shall be filled by the Governor. Appointments and vacancies of counselor members shall be filled by the Governor from a list of three (3) names for each position to be filled that is submitted by the Kentucky Mental Health Counseling Association. Vacancies shall be filled for the remainder of the unexpired terms and in the same manner as set out in this subsection.
  3. The length of a term of board appointment shall be four (4) years. A board member shall serve no more than two (2) consecutive terms.
  4. The board shall elect a chair from its membership, and a chair shall be elected annually but shall serve no more than two (2) consecutive one (1) year terms. Four (4) members of the board shall constitute a quorum.
  5. The board shall hold two (2) meetings annually to give examinations pursuant to KRS 335.515 and may hold additional meetings as the board deems necessary. The additional meetings may be held upon call of the chair or upon the written request of three (3) or more board members.
  6. The Governor shall remove a member from the board, for cause only.
  7. A member of the board who is a citizen at large shall be disqualified from his or her seat on the board if:
    1. He or she, a member of his or her household, or a relative becomes associated with or financially interested in the business of professional counseling;
    2. He or she, a member of his or her household, or a relative becomes, or is in training to become, a licensed professional clinical counselor; or
    3. He or she ceases to reside in the Commonwealth.
  8. A counselor member of the board shall be disqualified from his seat on the board if:
    1. He or she has been determined by the board or a court to have violated the code of professional ethics or practice standards established pursuant to KRS 335.500 to 335.599 ;
    2. He or she ceases to be a licensed professional clinical counselor; or
    3. He or she ceases to reside in the Commonwealth.
  9. Each board member shall receive one hundred dollars ($100) per day for each day of service actually given in carrying out his duties under KRS 335.500 to 335.599 , and shall also be reimbursed the necessary traveling, hotel, and contingent expenses incurred in attending the meetings of the board and in performing the duties of the board.

History. Enact. Acts 1996, ch. 364, § 3, effective July 15, 1996; 2002, ch. 79, § 3, effective July 15, 2002.

Legislative Research Commission Note.

(7/15/2002). This statute was amended by 2002 Ky. Acts ch. 79, sec. 3, effective July 15, 2002. Section 13 of that Act reads, “Members of the Kentucky Board of Certification for Professional Counselors as of the effective date of this Act may serve as members of the Kentucky Board of Licensed Professional Counselors created in Section 3 of this Act until the expiration of their terms. Vacancies to the Kentucky Board of Licensed Professional Counselors shall be filled under the provisions of Section 3 of this Act.”

335.515. Powers and duties of board.

  1. The board shall administer and enforce the provisions of KRS 335.500 to 335.599 and shall evaluate the qualifications of applicants for licensure.
  2. The board may issue subpoenas, examine witnesses, pay appropriate witness fees, administer oaths, and investigate allegations of practices violating the provisions of KRS 335.500 to 335.599 .
  3. The board shall promulgate administrative regulations pursuant to KRS Chapter 13A as necessary to carry out and enforce the provisions of KRS 335.500 to 335.599 , including the establishment of fees.
  4. The board shall conduct hearings as necessary pursuant to KRS Chapter 13B and shall keep records and minutes necessary to carry out the function of KRS 335.500 to 335.599 .
  5. The board shall issue credentials to qualified candidates.
  6. The board shall renew credentials subject to the provisions of KRS 335.535 and shall require ten (10) continuing education hours as a condition for renewal each year.
  7. The board may suspend or revoke credentials, impose supervisory or probationary conditions upon certificate holders, impose administrative disciplinary fines, issue written reprimands and admonishments, or perform any combination thereof.
  8. The board may seek injunctive relief in Franklin Circuit Court to enjoin violation of KRS 335.505(1).
  9. The board may grant retired status or inactive status to a credential holder under conditions set out in administrative regulations promulgated by the board.
  10. The board may employ persons as necessary to carry on its work and shall define those persons’ duties and fix their compensation.
  11. The board shall promulgate by administrative regulation a code of ethics for and standards of practice for all credential holders.
  12. The board may enter into reciprocal agreements with certified or licensed professional counseling boards.

History. Enact. Acts 1996, ch. 364, § 4, effective July 15, 1996; 2000, ch. 252, § 1, effective July 14, 2000; 2002, ch. 79, § 4, effective July 15, 2002.

335.520. Disposition of fees and other moneys.

  1. All fees and other moneys received by the board pursuant to the provisions of this chapter shall be deposited in the State Treasury to the credit of a revolving fund for the use of the board. The compensation of the board’s members and employees and all expenses incurred by the board shall be paid from the revolving fund.
  2. No part of this revolving fund shall revert to the general funds of the Commonwealth.

History. Enact. Acts 1996, ch. 364, § 5, effective July 15, 1996.

335.525. Licensing requirements — Fees.

  1. The board shall issue a “professional clinical counselor” license to an applicant who:
    1. Has paid the application fee and the appropriate examination fee to the board;
    2. Is of good moral character;
    3. Has received a master’s, specialist, or doctoral degree in counseling or a related field from a regionally accredited institution;
    4. Has completed a minimum of sixty (60) graduate semester hours in the following:
      1. The helping relationship, including counseling theory and practice;
      2. Human growth and development;
      3. Lifestyle and career development;
      4. Group dynamics, process, counseling, and consulting;
      5. Assessment, appraisal, and testing of individuals;
      6. Social and cultural foundations, including multicultural issues;
      7. Principles of etiology, diagnosis, treatment planning, and prevention of mental and emotional disorders and dysfunctional behavior;
      8. Research and evaluation; and
      9. Professional orientation and ethics;
    5. Has completed a minimum of four thousand (4,000) hours of experience in the practice of counseling, all of which must have been obtained since obtaining the master’s degree and must be under approved supervision and shall include but not be limited to a minimum of one thousand six hundred (1,600) hours of direct counseling with individuals, couples, families, or groups and a minimum of one hundred (100) hours of individual, face-to-face clinical supervision with an approved supervisor. Each applicant is encouraged to include as part of the total hours of experience a minimum of ten (10) hours of direct counseling with individuals in a jail or corrections setting. All applicants shall complete an organized practicum or internship consisting of at least four hundred (400) hours; and
    6. Has achieved passing scores on all portions of the examinations required by the board.
  2. The board may issue a “professional counselor associate” license to an applicant who:
    1. Has completed all requirements under paragraphs (a) to (d) of subsection (1) of this section;
    2. Has not met the requirements of paragraphs (e) or (f) of subsection (1) of this section; and
    3. Has obtained a board-approved supervisor of record.
    1. On July 15, 2002, a previously certified professional counselor in Kentucky shall be entitled to use the term “licensed professional clinical counselor” and shall be issued a professional clinical counselor license upon annual renewal. (3) (a) On July 15, 2002, a previously certified professional counselor in Kentucky shall be entitled to use the term “licensed professional clinical counselor” and shall be issued a professional clinical counselor license upon annual renewal.
    2. An applicant who has been issued a professional clinical counselor license shall be entitled to use the title “licensed professional clinical counselor.”
    1. On July 15, 2002, a previously certified professional counselor associate shall be entitled to use the term “licensed professional counselor associate” and shall be issued a professional counselor associate license upon annual renewal. (4) (a) On July 15, 2002, a previously certified professional counselor associate shall be entitled to use the term “licensed professional counselor associate” and shall be issued a professional counselor associate license upon annual renewal.
    2. An applicant who has been issued a professional counselor associate license shall be entitled to use the title “licensed professional counselor associate.”
    1. A licensed professional counselor associate shall maintain ongoing supervision as approved by the board. (5) (a) A licensed professional counselor associate shall maintain ongoing supervision as approved by the board.
    2. A licensed professional counselor associate may apply for the credential of licensed professional clinical counselor upon completion of the hours of experience and passing the examinations required under paragraphs (e) and (f) of subsection (1) of this section.
  3. The application fee for licensure and the examination fee shall be established pursuant to administrative regulation promulgated by the board.

History. Enact. Acts 1996, ch. 364, § 6, effective July 15, 1996; 2000, ch. 252, § 3, effective July 14, 2000; 2000, ch. 312, § 2, effective July 14, 2000; 2002, ch. 79, § 5, effective July 15, 2002.

335.527. Licensing reciprocity requirements — Exemptions.

  1. The board shall grant the appropriate credential under KRS 335.525 to an applicant for endorsement who:
    1. Has received a master’s, specialist, or doctoral degree in counseling or a related field from a regionally accredited institution with a minimum of sixty (60) hours of graduate coursework to include the following:
      1. The helping relationship, including counseling theory and practice;
      2. Human growth and development;
      3. Lifestyle and career development;
      4. Group dynamics, process, counseling, and consulting;
      5. Assessment, appraisal, and testing of individuals;
      6. Social and cultural foundations, including multicultural issues;
      7. Principles of etiology, diagnosis, treatment planning, and prevention of mental and emotional disorders and dysfunctional behavior;
      8. Research and evaluation; and
      9. Professional orientation and ethics;
    2. Holds an active valid license or certificate from another state to practice as a professional counselor;
    3. Is in good standing with the certifying or licensing board of that state;
    4. Is of good moral character;
    5. Has paid the application fee to the board; and
    6. Has provided the board with evidence of a minimum of five (5) years’ experience as a certified or licensed professional counselor.
  2. The applicant shall be exempt from:
    1. The required hours of supervised experience in the practice of counseling set out in KRS 335.525(1)(e); and
    2. The examination requirement set out in KRS 335.525(1)(f).

History. Enact. Acts 2000, ch. 252, § 2, effective July 14, 2000; 2002, ch. 79, § 6, effective July 15, 2002.

335.530. Alternative certification requirements until January 1, 1998. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 364, § 7, effective July 15, 1996; 2001, ch. 80, § 16, effective June 21, 2001) was repealed by Acts 2002, ch. 79, § 12, effective July 15, 2002.

335.535. Renewal of credentials — Fees — Reinstatement.

  1. Each credential holder shall pay to the board an annual renewal fee on or before the renewal date established in administrative regulations promulgated by the board. All credentials not renewed by the renewal date each year shall expire because they were not timely renewed.
  2. A person who fails to renew his or her credential on or before the renewal date shall be given a sixty (60) day grace period. During the grace period, the credential holder may continue to practice and may renew the credential upon payment of the renewal fee and a late fee.
  3. All credentials not renewed within sixty (60) days after the renewal date shall terminate. Upon termination, the credential holder shall not be eligible to use the credential in the Commonwealth.
  4. After the sixty (60) day grace period, individuals with terminated credentials may reinstate their credential upon payment of the renewal fee and a reinstatement fee.
  5. A suspended credential shall be renewed as provided in this section; however, the credential holder shall not use the credential until the suspension has ended or has been removed by the board.
  6. A revoked credential may not be renewed. However, the credential holder shall pay the reinstatement and renewal fees as set forth in this section before the credential is reinstated.
  7. A person who fails to reinstate his or her credential within three (3) years after its termination may not have it renewed, restored, reissued, or reinstated. This person may apply for and obtain a new credential by meeting the current requirements of KRS 335.525 .
  8. The board may require that a person applying for renewal or reinstatement of his or her credential show proof of having completed continuing education requirements.

History. Enact. Acts 1996, ch. 364, § 8, effective July 15, 1996; 2002, ch. 79, § 7, effective July 15, 2002.

335.540. Standards of conduct — Disciplinary sanctions — Reinstatement.

  1. The board may refuse to issue a credential, or may suspend, revoke, impose probationary conditions upon, impose an administrative fine, or issue a written reprimand or admonishment if the credential holder has:
    1. Committed a dishonest or corrupt act, if in accordance with KRS Chapter 335B. If the act is a crime, conviction in a criminal proceeding shall not be a condition precedent to disciplinary action. Upon conviction of the crime, the judgment and sentence are presumptive evidence at the ensuing disciplinary hearing of the guilt of the credential holder or applicant. Conviction includes all instances in which a plea of no contest is the basis of the conviction;
    2. Misrepresented or concealed a material fact in obtaining or reinstating a credential;
    3. Committed any unfair, false, misleading, or deceptive act or practice;
    4. Been incompetent or negligent in the activities he has undertaken within his or her practice;
    5. Violated any state statute or administrative regulation promulgated pursuant to KRS 335.500 to 335.599 ;
    6. Failed to comply with an order issued by the board or an assurance of voluntary compliance;
    7. Violated the code of ethics; or
    8. Violated any applicable provisions of federal or state law, if in accordance with KRS Chapter 335B.
  2. Any person whose credential has been revoked for at least five (5) or more years may petition the board for reinstatement. The board shall investigate the petition and may reinstate the credential upon a finding that the individual has complied with the terms prescribed by the board and is able to competently engage in professional practice.
  3. The board may issue a written admonishment to the credential holder if the board determines based on the evidence, that a violation that is not serious has occurred. A copy of the written admonishment shall be placed in the permanent file of the credential holder. The credential holder may respond in writing to the admonishment within thirty (30) days of its receipt and may have it placed in his permanent credential file. Alternatively, the credential holder may file a request for a hearing with the board within thirty (30) days of the admonishment. 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.
  4. At any time during the investigative or hearing processes, the board may enter into an agreed order or accept an assurance of voluntary compliance with the credential holder.
  5. The board may consider, modify, or reverse its probation, suspensions, or other disciplinary action.

HISTORY: Enact. Acts 1996, ch. 364, § 9, effective July 15, 1996; 2002, ch. 79, § 8, effective July 15, 2002; 2017 ch. 158, § 84, effective June 29, 2017.

335.545. Hearing before sanctions.

Before suspending, revoking, imposing probationary or supervisory conditions upon, imposing an administrative fine, issuing a written reprimand, or performing any combination of these actions regarding any credential issued pursuant to KRS 335.500 to 335.599 , the board shall set the matter for hearing pursuant to the provisions of KRS Chapter 13B. After denying an application under KRS 335.500 to 335.599 , or issuing a written admonishment, the board shall grant a hearing to the denied applicant pursuant to the provisions of KRS Chapter 13B.

History. Enact. Acts 1996, ch. 364, § 10, effective July 15, 1996; 2002, ch. 79, § 9, effective July 15, 2002.

335.550. Appeal of disciplinary action.

Any party aggrieved by a disciplinary action of the board may bring an action in Franklin Circuit Court pursuant to the provisions of KRS Chapter 13B.

History. Enact. Acts 1996, ch. 364, § 11, effective July 15, 1996.

335.599. Penalties.

Any person who violates or aids in the violation of any of the provisions of KRS 335.500 to 335.599 shall be guilty of a misdemeanor and upon conviction shall be fined not less than five hundred dollars ($500) nor more than five thousand dollars ($5,000), or sentenced to jail for not less than ten (10) nor more than ninety (90) days, or both.

History. Enact. Acts 1996, ch. 364, § 12, effective July 15, 1996.

Research References and Practice Aids

Cross-References.

Designation of offenses, see KRS 532.020 .

Fines for misdemeanors, see KRS 534.040 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

Fee-Based Pastoral Counselors

335.600. Purpose of KRS 335.600 to 335.699 and KRE 506.

The purpose of KRS 335.600 to 335.699 and KRE 506 is to protect the public safety and welfare by providing for the licensure and regulation of persons engaged in the practice of pastoral counseling. As such, it is not the intent of KRS 335.600 to 335.699 and KRE 506 to advance or inhibit religion, to in any way affect the performance of ordinary duties or functions of the clergy, or to foster excessive government entanglement with religion.

History. Enact. Acts 1998, ch. 525, § 1, effective July 15, 1998; 2014, ch. 64, § 3, effective July 15, 2014.

335.605. Definitions for KRS 335.600 to 335.699.

As used in KRS 335.600 to 335.699 , unless the context requires otherwise:

  1. “Board” means the Kentucky Board of Licensure for Pastoral Counselors;
  2. “Kentucky licensed pastoral counselor” or “license holder” means an ordained minister or the denominational equivalent who:
    1. Has completed a master of divinity degree and an advanced degree program in pastoral counseling, or an equivalent course of study approved by the board, from an accredited seminary or other accredited educational institution;
    2. Is licensed by the board; and
    3. Engages in the practice of pastoral counseling;
  3. “Pastoral counseling” means the practice of pastoral counseling at an advanced level, equivalent to the standards of practice set by the American Association of Pastoral Counselors for the “fellow” level, that involves integrating spiritual resources with insights from the behavioral sciences; and
  4. “Ordained minister or the denominational equivalent” means a person who has been called, elected, or otherwise authorized by a church, synagogue, denomination, or faith group through ordination, consecration, or equivalent means, to exercise within and on the behalf of the denomination or faith group specific religious leadership and service that furthers its purpose and mission.

History. Enact. Acts 1998, ch. 525, § 2, effective July 15, 1998; 2014, ch. 64, § 4, effective July 15, 2014.

335.610. Kentucky Board of Licensure for Pastoral Counselors.

The Kentucky Board of Licensure for Pastoral Counselors is hereby created.

  1. The board shall be composed of five (5) members who shall be appointed by the Governor to serve four (4) year terms.
    1. Four (4) members shall be Kentucky licensed pastoral counselors actively engaged in the practice or teaching of pastoral counseling.
    2. One (1) member shall be a citizen at large who is not associated with, or financially interested in, the practice or business of pastoral counseling.
  2. All reappointments to the board and vacancies on the board shall be filled by the Governor from a list of three (3) nominees for each vacancy, submitted by the executive committee of the Kentucky Association of Pastoral Counselors. In selecting the three (3) nominees to be submitted to the Governor, the executive committee shall consider all nominations, including self-nominations, from all pastoral counselors licensed under the provisions of KRS 335.600 to 335.699 .
  3. No member shall serve more than two (2) consecutive terms.
  4. The chair of the board may not serve more than two (2) years.
  5. Each member shall serve until his or her successor is appointed and qualified.

History. Enact. Acts 1998, ch. 525, § 3, effective July 15, 1998; 2014, ch. 64, § 5, effective July 15, 2014.

335.615. Powers and duties of board.

The board shall meet at least twice a year. The board shall elect a chair at the fall meeting who shall serve a one (1) year term. The board shall:

  1. Approve or deny applications for licensure submitted according to the provisions of KRS 335.600 to 335.699 ;
  2. Approve the examination required of applicants for licensure, provide for the administration and grading of the examination, and provide for other matters relating to licensure in the profession of pastoral counseling as promulgated in administrative regulations;
  3. Review the credentials of license holders to determine eligibility for license renewal, including payment of fees authorized in KRS 335.625 ;
  4. License those pastoral counseling applicants who satisfy the requirements of KRS 335.600 to 335.699 , including payment of fees authorized in KRS 335.620 ;
  5. Adopt a code of ethics for Kentucky licensed pastoral counselors by promulgation of administrative regulations;
  6. Promulgate administrative regulations, in accordance with KRS Chapter 13A, to implement the purposes of KRS 335.600 to 335.699 ;
  7. Investigate suspected violations of KRS 335.600 to 335.699 ;
  8. Institute and maintain actions to restrain or enjoin persons who violate the licensure provisions of KRS 335.600 to 335.699 ; and
  9. Submit an annual report to the Governor and to the Legislative Research Commission by January 1 of each year, listing all hearings conducted by the board, any decisions rendered, and a current roster of all Kentucky licensed pastoral counselors.

History. Enact. Acts 1998, ch. 525, § 4, effective July 15, 1998; 2009, ch. 12, § 55, effective June 25, 2009; 2010, ch. 24, § 1698, effective July 15, 2010; 2014, ch. 64, § 6, effective July 15, 2014.

335.620. Application for licensure — Conversion of certificate to license.

  1. An applicant for licensure as a pastoral counselor shall:
    1. Pay the board an initial fee for licensure that shall be established by administrative regulation promulgated in accordance with KRS Chapter 13A;
    2. Be at least twenty-one (21) years of age;
    3. Reside or be employed in the Commonwealth of Kentucky;
    4. Have completed a master of divinity degree or its equivalent with a minimum of ninety (90) hours from a seminary accredited by the Association of Theological Schools or an equivalent course of study as defined by the board by promulgation of administrative regulations;
    5. Have completed each of the following:
      1. At least one thousand three hundred seventy-five (1,375) hours in the practice of supervised pastoral counseling acceptable to the board, subsequent to being granted a master’s degree; and
      2. A minimum of two hundred fifty (250) hours of clinical supervision acceptable to the board;
    6. Be an ordained minister or the denominational equivalent, as determined by the applicant’s denomination or faith group, and have been endorsed by that denomination or faith group to function as a pastoral counselor;
    7. Hold an advanced degree or its equivalent beyond the master of divinity degree with special concentration in the theory and practice of pastoral counseling and which requires at least one (1) year of academic work beyond the first professional degree; and
    8. Pass a written examination approved by the board.
  2. If an applicant has been issued a certificate in pastoral counseling by the board prior to January 1, 2015, and maintains that certificate in good standing, the board shall issue the applicant a license as a pastoral counselor upon the applicant’s payment of a renewal fee and completion of a renewal process as authorized by KRS 335.625 and as prescribed by the board through the promulgation of administrative regulations.

History. Enact. Acts 1998, ch. 525, § 5, effective July 15, 1998; 2014, ch. 64, § 7, effective July 15, 2014.

335.625. Renewal of licensure.

  1. Licensure issued under KRS 335.615 shall be renewed every three (3) years upon:
    1. Payment of a renewal fee established by the board and promulgated by administrative regulation in accordance with KRS Chapter 13A, but not to exceed three hundred dollars ($300); and
    2. Documentation of twenty (20) hours of continuing education completed since the date of last renewal or original issue, whichever is later.
  2. Any license not renewed within three (3) months of its renewal date shall expire. The board may reinstate the license upon payment of the renewal fee and meeting the continuing education requirement set forth in subsection (1)(b) of this section within one (1) year after the renewal date.

History. Enact. Acts 1998, ch. 525, § 6, effective July 15, 1998; 2014, ch. 64, § 8, effective July 15, 2014.

335.630. Use of title “Kentucky licensed pastoral counselor” — Construction of KRS 335.600 to 335.699.

  1. The provisions of KRS 335.600 to 335.699 shall not apply to persons licensed, certified, or registered under any other provision of the Kentucky Revised Statutes, including, but not limited to, physicians, social workers, psychologists, nurses, marriage and family therapists, art therapists, or students within accredited training programs of these professions. Except as provided in subsection (2) of this section, nothing in KRS 335.600 to 335.699 shall be construed to limit, interfere with, or restrict the practice, descriptions of services, or manner in which these persons hold themselves out to the public.
  2. No person shall use the title “Kentucky licensed pastoral counselor” or “KLPC,” or any title or abbreviation that is substantially the same, or hold himself or herself out as having this status or as a Kentucky licensed pastoral counselor, unless licensed by the board.
  3. Nothing in KRS 335.600 to 335.699 shall be construed to alter, amend, or interfere with the practice of employment counseling, job placement counseling, or school counseling.
  4. Nothing in KRS 335.600 to 335.699 shall be construed as regulating or limiting the ministry or services of a minister, including pastoral care and counseling, otherwise authorized by a church, denomination, or faith group to perform the ordinary duties or functions of the clergy.
  5. Nothing in KRS 335.600 to 335.699 shall be construed to apply to the activities and services of a student or trainee in pastoral counseling who is pursuing a program of studies in pastoral counseling at an accredited institution of higher learning if the activities are performed under supervision and constitute a part of the supervised program of study, and if the person is designated a pastoral counseling intern or student in training.
  6. The provisions of KRS 335.600 to 335.699 shall not apply to Christian Science practitioners.

History. Enact. Acts 1998, ch. 525, § 7, effective July 15, 1998; 2014, ch. 64, § 9, effective July 15, 2014.

335.635. Written complaint of violation — Investigation — Hearing — Appeal.

Any person or organization, including the board upon its own volition, may file with the board a written complaint alleging violation of any provision of KRS 335.600 to 335.699 . The board shall cause the complaint to be investigated.

  1. If the investigation reveals evidence supporting the complaint, the board shall set the matter for hearing in accordance with the provisions of KRS Chapter 13B before refusing to renew, revoking, reprimanding, imposing probation or an administrative fine, or any combination of actions regarding any license holder.
  2. After denying an application for licensure under KRS 335.600 to 335.699 , the board may grant a hearing to the denied applicant in accordance with the provisions of KRS Chapter 13B.
  3. The board may reconsider, modify, or reverse its decision on any disciplinary action.
  4. Any party aggrieved by a disciplinary action of the board may bring an action in Franklin Circuit Court in accordance with the provisions of KRS Chapter 13B.

History. Enact. Acts 1998, ch. 525, § 9, effective July 15, 1998; 2014, ch. 64, § 10, effective July 15, 2014.

335.640. Reinstatement.

A person whose license has been revoked may apply for reinstatement no earlier than one (1) year from the date of revocation, in accordance with the procedures established by the board by administrative regulation under KRS Chapter 13A.

History. Enact. Acts 1998, ch. 525, § 10, effective July 15, 1998; 2014, ch. 64, § 11, effective July 15, 2014.

335.645. Immunity from personal liability.

Members of the board and its agents shall be immune from personal liability in any action, civil or criminal, which is based upon any official act or acts performed reasonably and in good faith by the board member, agent, or employee.

History. Enact. Acts 1998, ch. 525, § 11, effective July 15, 1998.

335.650. Disposition of fees and other moneys.

The Board of Licensure for Pastoral Counselors fund is hereby created in the State Treasury. All funds received by the board under the provisions of KRS 335.600 to 335.699 shall be deposited with the State Treasurer for credit to the board fund. The fund shall be invested as all other state funds are invested, and income from investment of the fund shall be credited to the fund. The balance remaining in the fund at the end of any fiscal year shall not lapse to the general fund. The money in the board fund shall be appropriated to the board and shall be used for the purpose of carrying out the provisions of KRS 335.600 to 335.699 .

History. Enact. Acts 1998, ch. 525, § 12, effective July 15, 1998; 2014, ch. 64, § 12, effective July 15, 2014.

335.699. Penalties and sanctions for violations.

If the board finds any applicant or license holder whom it regulates under KRS 335.600 to 335.699 has violated the provisions of KRS 335.600 to 335.699 or any administrative regulation promulgated under the authority granted to the board, the board may issue an order imposing one (1) or more of the following penalties:

  1. Denial of an application for licensure, either temporarily or permanently;
  2. Revocation of a license or an application for licensure, either temporarily or permanently;
  3. Imposition of an administrative fine not to exceed one thousand dollars ($1,000);
  4. Imposition of a requirement for supervision of the applicant or license holder;
  5. Restriction of the license holder’s ability to supervise others; and
  6. Issuance of a reprimand.

History. Enact. Acts 1998, ch. 525, § 8, effective July 15, 1998; 2014, ch. 64, § 13, effective July 15, 2014.

Penalties

335.990. Penalties.

Any person who violates or aids in the violation of any provision of KRS 335.010 to 335.160 shall upon conviction be fined not less than fifty dollars ($50) nor more than five hundred dollars ($500), or imprisoned for not more than six (6) months, or both.

History. Enact. Acts 1974, ch. 279, § 17; 1996, ch. 369, § 17, effective July 15, 1996.

CHAPTER 335B Licensing and Public Employment Qualifications

335B.010. Definitions for KRS 335B.020 to 335B.070.

As used in KRS 335B. 020 to 335B. 070, unless the context requires otherwise:

  1. “Occupation” includes all occupations, trades, vocations, professions, businesses, or employment of any kind for which a license is required to be issued by the Commonwealth of Kentucky, its agencies, or political subdivisions.
  2. “License” includes all licenses, permits, certificates, registrations, or other means required to engage in an occupation which are granted or issued by the Commonwealth of Kentucky, its agents or political subdivisions before a person can pursue, practice, or engage in any occupation.
  3. “Public employment” includes all employment with the Commonwealth of Kentucky, its agencies, or political subdivisions.
  4. “Conviction of a crime” shall be limited to convictions of felonies or misdemeanors.
  5. “Hiring or licensing authority” shall mean the person, board, commission, or department of the Commonwealth of Kentucky, its agencies or political subdivisions, responsible by law for the hiring of persons for public employment or the licensing of persons for occupations.

History. Enact. Acts 1978, ch. 210, § 1, effective June 17, 1978; 2017 ch. 158, § 29, effective June 29, 2017.

NOTES TO DECISIONS

Cited in:

Fisher v. Commonwealth, 403 S.W.3d 69, 2013 Ky. App. LEXIS 88 (Ky. Ct. App. 2013).

Opinions of Attorney General.

The Department of Alcoholic Beverage Control should follow the guidelines established under KRS 243.100 , in its issuance of licenses, rather than those of this chapter. OAG 78-603 .

There is no conflict between the provisions of this chapter and KRS 243.100 , as amended in 1978 as regards to their licensing and public employment qualifications. OAG 78-603 .

335B.020. Disqualification from public or occupational license of ex criminal offenders prohibited — Exceptions.

  1. No person shall be disqualified from public employment, nor shall a person be disqualified from pursuing, practicing, or engaging in any occupation for which a license is required solely because of a prior conviction of a crime, unless the crime for which convicted directly relates to the position of employment sought or the occupation for which the license is sought.
  2. In determining if a conviction directly relates to the position of public employment sought or the occupation for which the license is sought, the hiring or licensing authority shall consider:
    1. The nature and seriousness of the crime for which the individual was convicted and the passage of time since its commission;
    2. The relationship of the crime to the purposes of regulating the position of public employment sought or the occupation for which the license is sought;
    3. The relationship of the crime to the ability, capacity, and fitness required to perform the duties and discharge the responsibilities of the position of employment or occupation.

HISTORY: Enact. Acts 1978, ch. 210, § 2, effective June 17, 1978; 2017 ch. 158, § 30, effective June 29, 2017.

NOTES TO DECISIONS

1.Relationship with Agency’s Internal Policy.

Kentucky Department of Housing, Buildings and Construction’s (DHBC) internal policy was null and void because the DHBC’s internal policy was to effectively presume that no one applying for a master plumber’s license had any kind of criminal conviction, the DHBC ignored the requirement that the DHBC first make a determination that the convicted felon had been successfully rehabilitated, and an administrative agency could not have by its own internal policy or other form of action limited the effect of a statute. Fisher v. Commonwealth, 403 S.W.3d 69, 2013 Ky. App. LEXIS 88 (Ky. Ct. App. 2013).

2.License Void.

Applicant’s master plumber’s license was void because Kentucky Department of Housing, Buildings and Construction (DHBC) was required to determine that the applicant had been successfully rehabilitated before a license could have been issued to the applicant because the applicant was convicted of three crimes, and, without making that prior determination, the DHBC lacked authority to issue the applicant a license. Fisher v. Commonwealth, 403 S.W.3d 69, 2013 Ky. App. LEXIS 88 (Ky. Ct. App. 2013).

Opinions of Attorney General.

The definitions and the qualification provisions of KRS 335B.010 to 335B.070 do not apply to applicants for licenses to do business in alcoholic beverages. OAG 78-603 .

A governor’s pardon or other type of rehabilitative action or law is not conclusive proof of rehabilitation of a convicted felon and does not automatically qualify that person for a motor vehicle dealer’s license since it is for the licensing authority to decide whether the applicant has been rehabilitated. OAG 80-388 .

If the Bureau (now Department) of Vehicle Regulation issues a license to a dealer or salesman knowing him to be a former felon and he later commits other crimes in the area of the activities for which the bureau licensed him, the Bureau has no liability since the members of a licensing board are immune from civil liability for the quasi-judicial decisions within the scope of their authority without regard for bad faith, malice or other evil motives. OAG 80-388 .

The Bureau (now Department) of Vehicle Regulation has the discretion to weigh all factors in an individual background, including felonies, before deciding to grant or deny a motor vehicle dealer’s license. OAG 80-388 .

The conviction of a felony requires a licensing board to deny a motor vehicle dealer’s license unless it determines that the applicant has been successfully rehabilitated and the applicant has the burden of demonstrating to the licensing authority that he has been rehabilitated. OAG 80-388 .

The implication of KRS Chapter 335B is that a licensing authority should look beyond the mere record of a felony conviction and should not arbitrarily refuse all former felons, although the chapter does not expressly order the authority to consider former felons, the better policy is to review each case on its merits and not to have a policy of arbitrary rejection. OAG 80-388 .

Research References and Practice Aids

Northern Kentucky Law Review.

2008 Criminal Law Issue: Note: Kentucky’s Statutory Collateral Consequences Arising From Felony Convictions: A Practitioner’s Guide, 35 N. Ky. L. Rev. 413 (2008).

335B.030. Written notice of denial of position of public employment based on prior criminal conviction — Disqualification of individual from occupation requiring license — Connection between prior conviction and license sought required — Hearings and appeals.

    1. If a hiring or licensing authority denies an individual a position of public employment solely because of the individual’s prior conviction of a crime, the hiring or licensing authority shall notify the individual in writing of the following: (1) (a) If a hiring or licensing authority denies an individual a position of public employment solely because of the individual’s prior conviction of a crime, the hiring or licensing authority shall notify the individual in writing of the following:
      1. The grounds and reasons for the denial or disqualification;
      2. That the individual has the right to a hearing conducted in accordance with KRS Chapter 13B, if written request for hearing is made within ten (10) days after service of notice;
      3. The earliest date the person may reapply for a position of public employment or a license; and
      4. That evidence of rehabilitation may be considered upon reapplication.
    2. Any party aggrieved by a final order issued by a hiring or licensing authority after a hearing under this subsection may appeal to Franklin Circuit Court in accordance with KRS Chapter 13B.
    1. Except as provided in paragraph (b) of this subsection, a hiring or licensing authority shall not disqualify an individual from pursuing, practicing, or engaging in any occupation for which a license is required solely because of the individual’s prior conviction of a crime, unless the authority provides the individual with a written notice that the authority has determined that the prior conviction may disqualify the person, demonstrates the connection between the prior conviction and the license being sought, and affords the individual an opportunity to be personally heard before the board prior to the board making a decision on whether to disqualify the individual. If the license is denied after the person was heard, the hiring or licensing authority shall notify the individual in writing of the following: (2) (a) Except as provided in paragraph (b) of this subsection, a hiring or licensing authority shall not disqualify an individual from pursuing, practicing, or engaging in any occupation for which a license is required solely because of the individual’s prior conviction of a crime, unless the authority provides the individual with a written notice that the authority has determined that the prior conviction may disqualify the person, demonstrates the connection between the prior conviction and the license being sought, and affords the individual an opportunity to be personally heard before the board prior to the board making a decision on whether to disqualify the individual. If the license is denied after the person was heard, the hiring or licensing authority shall notify the individual in writing of the following:
      1. The grounds and reasons for the denial or disqualification;
      2. That the individual has the right to a hearing conducted in accordance with KRS Chapter 13B, if a written request for hearing is made within ten (10) days after service of notice;
      3. The earliest date the person may reapply for a license; and
      4. That evidence of rehabilitation may be considered upon reapplication.
    2. If an individual’s prior conviction was for a Class A felony, a Class B felony, or any felony offense that would qualify the individual as a registrant pursuant to KRS 17. 500, there shall be a rebuttable presumption that a connection exists between the prior conviction and the license being sought.
    3. Any party aggrieved by a final order issued by a hiring or licensing authority after a hearing under this subsection may appeal to Franklin Circuit Court in accordance with KRS Chapter 13B.
  1. Except as provided in subsection (2)(b) of this section, in any administrative hearing or civil litigation authorized under this section, the hiring or licensing authority shall carry the burden of proof on the question of whether the prior conviction directly relates to the position of employment sought or the occupation for which the license is sought.

History. Enact. Acts 1978, ch. 210, § 3, effective June 17, 1978; 1996, ch. 318, § 312, effective July 15, 1996; 2017 ch. 158, § 31, effective June 29, 2017.

335B.040. Denial of license on ground of absence of good moral character. [Repealed]

HISTORY: Enact. Acts 1978, ch. 210, § 4, effective June 17, 1978; repealed by 2017 ch. 158, § 33, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 210, § 4, effective June 17, 1978) was repealed by Acts 2017, ch. 158, § 33, effective June 29, 2017.

335B.050. Review of denial by Franklin Circuit Court. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 210, § 5, effective June 17, 1978) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

335B.060. KRS 335B.020 to 335B.070 supersedes all other laws and regulations governing public employment of ex criminal offenders — Exceptions.

Except for peace officers and other law enforcement personnel and unless preempted by federal law, the provisions of KRS 335B. 020 to 335B. 070 shall prevail over any other laws, rules and regulations which purport to govern the granting, denial, renewal, suspension, or revocation of a license or the initiation, suspension, or termination of public employment on the grounds of conviction of a crime or crimes.

History. Enact. Acts 1978, ch. 210, § 6, effective June 17, 1978; 2017 ch. 158, § 32, effective June 29, 2017.

NOTES TO DECISIONS

Cited in:

Fisher v. Commonwealth, 403 S.W.3d 69, 2013 Ky. App. LEXIS 88 (Ky. Ct. App. 2013).

335B.070. Exceptions.

The provisions of KRS 335B.020 to 335B.060 shall not apply to:

  1. The practice of law; but nothing in this section shall be construed to preclude the Supreme Court in its discretion, from adopting the policies set forth in KRS 335B.020 to 335B.060 .
  2. Deputy sheriffs, deputy constables, patrol or other nonelective peace officers or deputy peace officers, for whom qualifications are set forth in KRS 61.300 .

History. Enact. Acts 1978, ch. 210, § 7, effective June 17, 1978.

Keep Americans Working Act of 2019

335B.080. Definitions for KRS 335B.080 to 335B.100.

As used in KRS 335B.080 to 335B.100 , unless the context otherwise requires:

  1. “Default” means the failure to repay a loan according to the terms agreed to in the promissory note;
  2. “Delinquency” means the failure to make loan payments when they are due;
  3. “License” means any license, permit, certificate, registration, or other means required to engage in an occupation that is granted or issued by the Commonwealth of Kentucky, its agents, or political subdivisions before a person may pursue, practice, or engage in any occupation;
  4. “Licensing authority” means the person, board, commission, or department of the Commonwealth of Kentucky, its agencies, or political subdivisions, responsible by law for the licensing of persons for occupations;
  5. “Scholarship” means an award of financial aid for a student to further the student’s education; and
  6. “Student loan” means a federally guaranteed or state-guaranteed loan for the purposes of postsecondary education.

HISTORY: 2019 ch. 6, § 1, effective June 27, 2019.

335B.090. Suspension or revocation of occupational license on the basis of scholarship or student loan default or delinquency is prohibited.

  1. For any person who is in default or delinquent in the payment of his or her student loan:
    1. The licensing authority that governs the person’s occupation shall not suspend or revoke the license it has issued to that person solely on the basis of the default or delinquency; and
    2. That person is encouraged to contact the appropriate student loan servicer to establish a voluntary pay agreement for the student loan.
  2. For any person who is in default or delinquent in satisfying the requirements of his or her work-conditional scholarship, the licensing authority that governs the person’s occupation shall not suspend or revoke the license it has issued to that person solely on the basis of the default or delinquency.

HISTORY: 2019 ch. 6, § 2, effective June 27, 2019.

335B.100. Purpose of KRS 335B.080 to 335B.100.

The purpose of KRS 335B.080 to 335B.100 is to ensure that hard-working Americans keep their occupational licenses while struggling to pay off student loan debt, keeping them out of welfare, out of poverty, and in the workforce.

HISTORY: 2019 ch. 6, § 3, effective June 27, 2019.