KRS § 325.360 — KY Code / Title XXVI / Chapter 325 / Section 325.360
325.360 Proceedings for violations of this chapter
Status: in_force

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.