Policies and Procedures

1. Proceedings Relating To Action On An Application For Certification Or An Educator’s Certification

1.2. Procedure: Intake and Review of Reports and Complaints

  • Approved April 10, 2017

I. Intake. The EPSB receives reports or complaints alleging conduct listed in KRS 161.120(1). KRS 161.120(2)(a) and 161.120(2)(c).

  1. Superintendents of local school districts have a duty pursuant to KRS 161.120(2) to file with the EPSB reports in writing that contain the full facts and circumstances leading to the contract termination or nonrenewal, resignation, or other absence, conviction, or otherwise reported actions or conduct that might reasonably warrant action against an educator’s certificate under KRS 161.120(1).
    1. A superintendent’s duty to report includes reporting those convictions committed by an educator that occurred prior to the date an educator’s certificate was issued. KRS 161.120(2)(b).
      1. A superintendent must submit a report to the EPSB within 30 days of the event giving rise to the duty to report. KRS 161.120(2)(a).
      2. If the event giving rise to the duty to report relates to an educator’s criminal conviction, then the superintendent must submit a report to the EPSB within 30 days after the superintendent or designee became aware of the criminal conviction.
      3. The duty to report exists without regard to any disciplinary action, or lack thereof, by the superintendent. KRS 161.120(2)(a).
  2. B. Pursuant to KRS 161.120(2)(c), the EPSB may consider complaints or reports from any other source, but the EPSB will only accept written, signed complaints.

II. Review. The EPSB’s Executive Director and the EPSB staff will review all reports and complaints to determine whether the report or complaint contains sufficient credible evidence that a violation of KRS 161.120(1) may have occurred.

  1. If the report or the complaint contains insufficient credible evidence that conduct may have occurred that would constitute a violation of KRS 161.120(1), the EPSB staff will gather additional information or facts through public sources.
  2. After an attempt has been made to obtain additional information or facts from public sources, the EPSB’s Executive Director and the EPSB staff will re-evaluate the report or complaint to determine if there is sufficient credible evidence to establish that a violation of KRS 161.120(1) may have occurred. If there is still insufficient credible evidence that a violation of KRS 161.120(1) has occurred, no further action will be taken, but the report or complaint will be kept on file in the event additional information is received.
    1. Reports or complaints that relate to an educator where there is insufficient credible evidence that a violation of KRS 161.120(1) occurred will be kept on file for five (5) years from the date the EPSB’s Executive Director and the EPSB staff determined there is insufficient evidence that a violation occurred.
    2. Reports or complaints that relate to a non-certified individual will be kept on file for one (1) year after the notification of the death of that individual.
    3. Reports or complaints kept on file are not subject to disclosure pursuant to KRS 61.878(1)(h). See OAG 91-198.

III. Notice to Educator.

  1. A. If the report or complaint contains sufficient credible evidence that a violation of KRS 161.120(1) may have occurred, the EPSB staff will open a case file and assign that file a number.
    1. If multiple reports or complaints are received regarding an educator before any action is taken by the Board, all of the reports and/or complaints will be consolidated into a single case file;
    2. If multiple reports or complaints are received regarding an educator after the Board has issued a dismissal; a deferral for training; an admonishment (and the educator has not requested that the matter be referred to hearing); or an admonishment with training (and the educator has not requested that the matter be referred to hearing) and the matter is otherwise closed, the reports or complaints will be given a new case file number; or
    3. If an additional report or complaint is received by the EPSB staff after the Board has referred the matter for Attorney Review and Investigation, the additional report or complaint will be consolidated with the existing case file.

      When a complaint or report is consolidated with an existing case file, a copy of the complaint or report will be sent to the educator or the educator’s attorney. The educator or the educator’s attorney will be given the opportunity to submit a rebuttal. If a rebuttal is submitted, it will be included in the educator’s case file.
  2. When a case file is opened, the EPSB staff shall ensure that the educator is served with a copy of the written complaint or report alleging violations of KRS 161.120(1) along with a Notification of Report or Complaint (Notification) to the educator’s last known address on file with the EPSB. The Notification shall:
    1. Notify the educator that the EPSB has received a report or complaint pursuant to KRS 161.120(1);
    2. Provide the educator with a copy of the report or complaint;
    3. Notify the educator that the educator has thirty (30) days from the date the educator receives the Notification to provide the EPSB with a written rebuttal.
    4. Notify the educator that the Board will review the report or complaint and written rebuttal to determine whether further action is necessary.
    5. Notify the educator that the report or complaint is deemed confidential and should not be disclosed by the educator for any other purpose other than for preparing a rebuttal.
    6. Notify the educator that all names, addresses, and counties will be redacted in order to protect the confidentiality of the educator and witnesses.

IV. The educator shall have the right to file a rebuttal with the EPSB within thirty (30) days from the date the educator receives the complaint or report from the EPSB, unless the parties agree to extend the time.

V. The EPSB staff shall add the case to the EPSB's docket and prepare the case file for the Board to review by redacting all the educator's identifiers if one (1) of the following occurs:

  1. the educator’s rebuttal is received;
  2. the Notice is returned as undeliverable; or
  3. the educator:
    1. fails to file a rebuttal with the EPSB; and
    2. has not requested to extend the thirty (30) day deadline.