Policies and Procedures

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

1.3. Procedure: Board Action on Reports and Complaints

  • Approved April 10, 2017

I. In advance of each of its regularly scheduled Board meetings, the Board will receive summaries of the Reports and Complaints as well as redacted copies of the full corresponding written rebuttals for those matters it will be reviewing at the Board meeting.

  1. If a member of the Board wants to review redacted copies of actual Reports and/or Complaints at the Board meeting, the Board member shall be given access to the full redacted case file on the day of the Board meeting.
  2. To the greatest extent possible, the Board member wishing to access the redacted case file shall make a request to the Executive Director, in advance of the Board meeting to give the EPSB staff sufficient time to redact the case file.

II. Board Review. At each regularly scheduled Board meeting, the Board will discuss the Reports and Complaints in closed session.

  1. When making a determination as to how to proceed, the Board shall consider the following factors:
    1. the seriousness of the alleged violation;
    2. whether the alleged misconduct was premeditated or intentional;
    3. attempted concealment of alleged misconduct;
    4. prior misconduct;
    5. whether training is appropriate to prevent further violations;
    6. whether the sanction is necessary to deter future violations; and
    7. any other relevant circumstances or facts.
  2. Permanent revocation may be warranted in some cases. Examples of some cases where permanent revocation may be warranted may include, but are not limited to, the following scenarios:
    1. engaged in any sexual contact with a student or minor;
    2. solicited any sexual contact with a student or minor;
    3. possessed or distributed child pornography;
    4. was registered as a sex offender;
    5. committed criminal homicide;
    6. transferred, sold, distributed, or conspired to possess, transfer, sell, or distribute any controlled substance, the possession of which would be at least a Class A misdemeanor under the Kentucky Revised Statutes, Chapter 218A, on school property; or
    7. sanctioned misconduct in another jurisdiction. The findings of fact contained in final orders from any other jurisdiction may provide the factual basis for EPSB action, if the underlying conduct for the administrative sanction of an educator’s certificate or license issued in another jurisdiction is a violation of Kentucky law.

III. Board Action. The Board may take action upon confirmation that a quorum exists. If a quorum exists, the Board may take one of the following actions by majority vote:

  1. Deferral. Deferral is appropriate when more information is needed before the Board can take action; the report or complaint will only be deferred until the next Board meeting.
    1. If, by majority vote, the Board decides that it would like additional information before taking any further action, the Board shall direct the EPSB staff to gather additional information from the reporting school district and/or from public sources and bring the case back before the Board as part of the Docket.
    2. The EPSB staff shall either provide the additional information sought by the Board at the next regularly scheduled Board meeting or, if the additional information is not available by the next regularly scheduled Board meeting, the EPSB staff shall be prepared to update the Board as to when the EPSB staff anticipates that the additional information will be received.
    3. A deferral does not constitute a final action.
  2. Dismissal. Dismissal is based on other factors including, but not limited to, lack of evidence, incomplete reporting, and refusal by witnesses to co-operate. A dismissal at this juncture does not prohibit the alleged conduct from being the subject of a new report or complaint brought back before the Board.
    1. An Order of Dismissal constitutes final action.
    2. The Board reserves the right to review the case file at a later date should additional information be received in the future.
    3. Orders of Dismissal are filed as part of the case file. Pursuant to the EPSB’s Records Retention Schedule, Educator Disciplinary Records must be retained one (1) year after notification of the educator’s death.
  3. Deferral for Training. Deferral for Training is appropriate when the Board determines that additional professional development of an educator is warranted. The Board shall require the educator to undergo specific training within a specific time period. Upon completion of training, the educator will be required to present written proof of training to the Board. The Board will then enter an Order of Dismissal if satisfied that the educator has satisfied the training requirement.
    1. If the educator fails to either complete training or fails to provide evidence to the Board of completed training during the required timeframe, the EPSB staff will put the case back on the Docket for possible further action by the Board.
    2. Deferral for Training does not constitute final action.
  4. Admonishment. The Board may issue a written admonishment to the educator if the Board determines, based on the evidence, a violation has occurred, but the violation is not of a serious nature. KRS 161.120(4).
    1. The EPSB staff shall send a copy of the written admonishment to the educator’s address on file with the EPSB.
    2. Upon receipt of the written admonishment, the educator may:
      1. Accept the written admonishment;
      2. Accept the written admonishment, but provide a response within thirty (30) days of receipt of the admonishment and have it placed in the educator’s case file along with the written admonishment; o
      3. Not accept the written admonishment and, within thirty (30) days of receipt of the admonishment, request that the matter be referred to hearing. Upon receipt of the request for hearing, the Board will set the admonishment aside and will refer the matter to a hearing.
    3. Once the period of time for the educator to respond has ended, the EPSB shall take one of the following actions:
      1. If the educator accepts the admonishment, the EPSB will place the admonishment and the educator’s response (if any) in the educator’s case file; or
      2. If the educator does not accept the admonishment and requests a hearing, the EPSB staff will recommend to the Board that the matter be referred for hearing.
    4. If the educator accepts the admonishment, the admonishment is considered final action.
    5. The EPSB staff, a hearing officer, and the Board may consider any past written admonishments when seeking, recommending, or ordering sanctions based on subsequently obtained evidence of similar improper or criminal conduct by the educator.
  5. Admonishment with Training. The Board may issue a written admonishment with training if the Board determines, based on the evidence, a violation has occurred, the violation is not of a serious nature, and that the additional professional development is warranted to prevent future violations. The Board shall require the educator to undergo specific training within a specific time period. Upon completion of training, the educator will be required to present written proof of training to the Board. If the educator fails to complete the training within the specified timeframe, the Board may consider taking additional action. In all other respects, the process for imposition of an Admonishment with Training will be handled in the same manner as the Admonishment alone.
  6. Referral for Attorney Review and Investigation. Referral for Attorney Review is appropriate when the alleged conduct, should it be substantiated, would warrant sanctions. During this phase, the assigned attorney will review and evaluate the evidence; determine if more evidence is needed; and prepare a recommendation for the Board as to whether the report or complaint should be referred to hearing.
    1. After the Board refers a report or complaint for attorney review and investigation, an attorney will be assigned to handle the report or complaint. The assigned attorney will be responsible for all aspects of the action through final disposition.
    2. The EPSB shall be responsible for sending a Notification of Referral for Attorney Review and Investigation (Notice of Referral) to the educator.
    3. Contents of Notice of Referral.
      1. The Notice of Referral shall notify the educator that the Board has referred the report or complaint for further review and investigation.
      2. The Notice of Referral shall notify the educator of the right to provide evidence that the educator’s conduct did not constitute a violation of law or ethics.
      3. The Notice of Referral shall be sent to the educator’s address on file with the EPSB.
    4. Review and Investigation.
      1. The assigned attorney will review the evidence contained in the investigative case file and determine what additional evidence is needed to evaluate the case.
      2. The assigned attorney will take all steps necessary to gather information or evidence necessary to evaluate case.
    5. Recommendations for Resolution
      1. Once the assigned attorney is satisfied that all information and evidence reasonably available has been collected, the attorney shall:
        1. recommend that the case be referred for hearing;
        2. recommend that an agreed order be approved; or
        3. recommend that the case be dismissed for lack of evidence or insufficiency of evidence.
      2. At any point after a report or complaint has been referred for investigation and review or referred to hearing, the EPSB staff has the authority to enter into discussions with an educator or an educator’s attorney to resolve the action by agreed order.
      3. An agreed order is appropriate when there is sufficient evidence that could result in a finding that the alleged misconduct did occur and the educator is willing to accept sanctions without going to the expense of a hearing.
      4. All agreed orders must be approved by a majority of the Board, and signed by the Board chair.
    6. The educator has the right to request a hearing at any point after an Agreed Order has been offered and rejected.
  7. Referral to Hearing. Referral to Hearing is appropriate when the Board is satisfied, based on the report provided by the EPSB staff that the alleged conduct occurred and that sanctions are warranted. Referral to Hearing is also appropriate when the educator requests a hearing after receiving a written admonishment.
  8. Notice of Board Action on Reports or Complaints. Once the Board has taken any of the actions set forth above, the Executive Director shall issue a Notice of Action on Report or Complaint to the educator.
    1. The Notice of Board Action on Reports or Complaints (Notice of Board Action) shall be signed by the Executive Director or the Board Chair.
    2. The Notice of Board Action will be sent as soon as practicable to the educator’s address on file with the EPSB.
    3. The Notice of Board Action will also be sent to the reporting party.