July 15, 2024 Meeting Agenda
EPSB Mission Statement
The Education Professional Standards Board, in full collaboration and cooperation with its
education partners, promotes high levels of student achievement by establishing and enforcing
rigorous professional standards for preparation, certification, and responsible and ethical
behavior of all professional educators in Kentucky.
EPSB Special Meeting Agenda
VIDEO TELECONFERENCE MEETING
This meeting will be held via video teleconference. Members of the public may view the meeting
on the Kentucky Department of Education’s Media Portal.
Monday July 15, 2024
9:00 AM ET
Call to Order
Roll Call
Action Items
A. Kentucky Educator Mentorship Program Guidance and Standards (Mr. Todd
Davis)
B. 16 KAR 1:030. Procedures for Educator Certificate Surrender, Revocation,
Suspension, Reinstatement and Reissuance, and for Application Denial,
Amendment (Ms. Cassie Trueblood)
C. Procedures Relating to EPSB Action on an Educator’s Certification (Ms.
Trueblood)
D. Education Professional Standards Board Meeting Schedule (Ms. Trueblood)
E. 16 KAR 2:030. Substitute Teachers, Amendment (Ms. Trueblood)
F. 16 KAR 5:040. Extension of Student Teacher Waivers (Ms. Trueblood)
Adjournment
July 15, 2024 Meeting Action Item A
KENTUCKY DEPARTMENT OF EDUCATION
STAFF NOTE
Action Item:
Kentucky Educator Mentorship Program Guidance and Standards
Staff Recommendation:
The Education Professional Standards Board (EPSB) should approve the guidance for the Kentucky
Educator Mentorship Program to comply with the requirements of Senate Bill 265.
Rationale:
Senate Bill 265 of the 2024 legislative session creates a new teacher induction and mentor program.
The legislation, which became effective on the Governor’s signature, requires the EPSB to develop
standards and guidance for the program and directs districts to provide an induction program for
teachers in their first year of teaching beginning in the 2024-2025 school year.
Action Question:
Should the EPSB approve the Kentucky Educator Mentorship Program guidance?
Applicable Statute or Regulation:
KRS 161.028, KRS 161.030, 16 KAR 7:010
History/Background:
Existing Policy: Section 2 of SB 265 creates a new teacher induction and mentor program. The
EPSB is tasked with developing standards and guidance for the program, and districts are directed
to provide an induction program for teachers in their first year of teaching.
Summary: The new teacher induction and mentor program is established to provide new teachers
with the assistance and support necessary to begin a successful teaching career through a mentoring
relationship during their first year of employment. This program will assist new teachers and
teachers new to a district in further understanding of the teaching techniques, procedures,
requirements, and expectations of their specific grade level or subject area assignment. Staff
presented the statutory requirements of the program and draft guidance documents to the EPSB at
the June meeting and engaged the EPSB in a discussion on the vision for the program. Following
the meeting, staff met with stakeholders to review and develop the guidance document. A copy of
the guidance is included for EPSB review.
Budget Impact: No appropriation was provided for this program. There will be costs associated
with staff time for the development of the guidance and required reports. Costs for implementation
of the program will fall to the districts.
Contact Person:
Todd Davis, Division Director
Division of Educator Preparation and Certification
Office of Educator Licensure and Effectiveness
(502) 564-4606
Email: [email protected]
Kentucky Educator
Mentorship Program
(KEMP) Guidance
Office of Educator Licensure and Effectiveness
Kentucky Department of Education
7/15/24
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Contents
Introducon .................................................................................................................................................. 2
Requirements for Inducon and Mentoring Programs ................................................................................. 2
Orientaon Program ................................................................................................................................. 3
Mentor Assignment .................................................................................................................................. 4
Support Team ............................................................................................................................................ 5
New Teacher Workshops and Training ...................................................................................................... 6
Mentor Workshops and Training............................................................................................................... 7
Meeng Time ............................................................................................................................................ 8
Networks ................................................................................................................................................... 8
Formave and Summave Evaluaons ..................................................................................................... 9
Denions ................................................................................................................................................... 10
Resources .................................................................................................................................................... 10
Essenal Roles and Responsibilies ............................................................................................................ 11
Role of a Mentor Teacher ........................................................................................................................ 11
Responsibilies of a Mentor Teacher ...................................................................................................... 12
Roles of an Administrator ....................................................................................................................... 12
Responsibilies of an Administrator ....................................................................................................... 13
Role and Responsibilies of the New Teacher ........................................................................................ 13
Role of Educaon Cooperaves (Co-ops) ................................................................................................ 13
Role of Educaon Preparaon Providers (EPPs) ..................................................................................... 14
New Teacher Evaluaon .............................................................................................................................. 14
Inducon/Mentoring and Evaluaon Alignment ........................................................................................ 16
Reporng ..................................................................................................................................................... 20
EPSB Reporng Requirements and District Contribuon ....................................................................... 20
Contact Informaon .................................................................................................................................... 24
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Introducon
With the passage of Senate Bill (SB) 265 in the 2024 legislative session, revisions were made to KRS
161.??? requiring all school districts to create and implement an induction and mentoring plan for new
teachers in the profession as well as new teachers to a district. The following information provides the
requirement per the statute as well as guidance as districts create plans designed to meet district needs.
The purpose of new teacher induction and mentoring programs is to provide a teacher new to the
profession the assistance and support necessary to begin a successful teaching career through a
collaborative relationship throughout their first year of employment in a district. The program will assist
new teachers in acquiring a deeper understanding of instructional strategies, teaching techniques,
district and building procedures, requirements, as well as expectations specific to grade level or subject
area assignment.
The guidance provided in this document is to deliver districts an overview of the statutory requirements
for each district-level induction and mentoring program as well as considerations to include in their plan.
For districts that are currently operating an induction and mentoring program, the information provided
can serve as a checkpoint to identify current practices and ensure the minimum requirements are met in
the current plan. While districts have extreme flexibility in developing their local induction and
mentoring programs, there are some minimum requirements all plans must meet. This guidance is
intended to help districts create and implement induction and mentoring plans to improve pedagogical
skills of new teachers; retain new teachers by providing support; and assist new teachers as they
transition from preservice to a professional career.
Requirements for Inducon and Mentoring Programs
Per KRS 161.???
The Education Professional Standards Board shall develop standards and guidance for local districts to
implement new teacher induction and mentor programs. All school districts shall provide an induction
program for teachers in their first year of teaching.
The guidance in this document is centered around the requirements outlined in KRS 161.???. The
guidance includes each required component that all districts must include in their induction and
mentoring programs. Each component will provide the minimum requirements along with additional
information for districts to consider adding to their plans.
• An orientation program for new teachers and other incoming teachers to be provided at the
beginning of and throughout the first year of employment.
• Assignment of a mentor teacher to a new teacher within the first two weeks of teaching and
remaining with the new teacher for the first year of the new teacher’s employment in the
school. The mentoring relationship shall be composed of activities that the new teacher and
mentor participate in together, including but not limited to co-teaching, lesson planning, and
observation.
• The creation of a support team to provide assistance for new teachers, including focus on each
new teacher’s individual professional growth and development plan.
• New Teacher Workshops and training - professional development opportunities specifically
designed for the new teacher that provides vital information on topics relevant during the first
year in the classroom.
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• Mentor Workshops and training for mentors prior to assignment to a new teacher on the skills
necessary for effective mentoring.
• Designated Meeting Time - Opportunities for the new teacher to meet with the assigned
mentor to share successes and troubleshooting strategies.
• Support teams to link the new teacher with a network of teachers in the school or district, in
addition to their mentor, that the new teacher can rely on for assistance and guidance,
especially for content specialization.
• Formative and summative evaluations to provide feedback for a new teacher to gain an
understanding of his or her strengths and weaknesses and to grow professionally.
Orientaon Program
Per KRS 161.???
An orientation program for new teachers and other incoming teachers to be provided at the beginning
of and throughout the first year of employment.
Required
• Orientation program for new teachers to the profession and district
Consideration for Orientation Programs
When developing or revising an orientation program for new teachers, it's crucial to move beyond
traditional steps associated with the new hire process. The following are some focal points for districts
to consider:
Purpose and Vision Setting
• Clearly communicate the purpose of the orientation program to welcome new teachers and
integrate them into the district processes and culture to set them up for success.
• Align the orientation program with the district's educational vision and goals. Help new
teachers understand how their role contributes to these broader objectives.
Holistic Onboarding Approach
• Go beyond administrative tasks (like paperwork and benefits orientation) to include sessions
that emphasize the district's commitment to growth, support and professional
development.
• Include sessions or activities that foster community-building among new teachers and with
existing staff members.
Comprehensive Sharing
• Provide critical information about district policies, procedures and expectations in a clear
manner.
• Equip new teachers with foundational knowledge needed to navigate their roles as an
effective teacher and team member.
Support Systems and Resources
• Introduce new teachers to district support systems, such as the induction and mentorship
program, counseling services and professional learning communities and networks.
• Provide information on district technology, tools, instructional resources and curriculum
resources that will support their instructional practices.
Professional Growth Opportunities
• Highlight opportunities for ongoing high quality professional learning and possible career
advancement opportunities within the district.
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• Encourage new teachers to set personal career goals and discuss pathways for
advancement.
Feedback and Continuous Improvement
• Solicit feedback from new teachers about their orientation experience to identify strengths
and areas for improvement.
• Use feedback information to identify strengths and areas of growth to ensure orientation
meets the needs of new hires.
Orientation Beyond Day One
• Consider extending orientation activities beyond the initial day to provide ongoing support
for new teachers.
• Provide follow-up sessions for new teachers to check in and address questions or concerns
that arise after the initial onboarding period.
Through strategic design, districts have an opportunity to create a comprehensive orientation program
that not only fulfills mandated requirements, but it can also provide opportunities to cultivate an
environment of support and continuous growth for new teachers.
Mentor Assignment
Per KRS 161.???
Assignment of a mentor teacher to a new teacher within the first two weeks of teaching and
remaining with the new teacher for the first year of the new teacher’s employment in the school. The
mentoring relationship shall be composed of activities that the new teacher and mentor participate in
together, including but not limited to co-teaching, lesson planning and observation.
Required
• A mentor must be assigned within two weeks of teaching.
• Have at least three full years of experience under a professional certificate.
• Received training to support a new teacher.
Identifying and assigning mentors to work with and support new teachers is a critical step in establishing
a strong induction and mentoring program. While providing daily support and advice, a mentor will take
on additional duties and responsibilities to help ensure the new teacher has a successful first year in
both the school and community.
Considerations for Mentor Assignment
Steps to Identifying Mentors:
• Define Mentor Criteria
o Experience - Choose teachers with three years or more of successful teaching
experience.
o Skills - Look for teachers with strong communication, leadership and interpersonal skills.
o Commitment - Ensure potential mentors are willing to dedicate time and effort to
support new teachers.
• Recruitment Process
o Volunteering - Encourage experienced teachers to volunteer as mentors.
o Nomination - Allow staff to nominate colleagues who they believe would make excellent
mentors.
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o Application - Have interested teachers fill out an application outlining their interest and
qualifications.
• Selection Process
o Review Applications - A committee should review applications or nominations based on
predefined criteria.
o Interviews - Conduct interviews to assess candidates’ suitability and commitment to the
mentoring role.
• Matching Process
o Compatibility - Match mentors and new teachers based on subject area, grade level and
personality compatibility.
o Proximity - Consider the physical proximity of classrooms to facilitate daily interactions.
Other considerations
Assign mentors prioritizing teachers:
1. with the same certification in the same school
2. with the same certification in the same district
3. in the same school
4. in the same district
5. in an adjacent school district.
Through intentional selection and assignment of mentors, providing high quality resources and
maintaining ongoing support, schools can create a robust induction and mentoring program that helps
provide positive experiences and ensures new teachers thrive in their first year and beyond.
Support Team
Per KRS 161.???
The creation of a support team to provide assistance for new teachers, including focus on each new
teacher’s individual professional growth and development plan.
Required
• Support team to provide assistance for new teachers
• Support centered around the new teacher’s professional growth plan (PGP)
While this team may look similar to the makeup of the former Kentucky Teacher Internship Program
(KTIP) Committee, districts have the autonomy to structure their support teams based on need and
structure. It is advisable for districts to include members who can assist new teachers in identifying their
needs and offer coaching to foster ongoing professional growth. Districts also have the flexibility to
determine support team structures such as meeting times and frequency to best support their new
teachers. The composition of these teams should be deliberate and strategic, aiming to assemble
individuals with diverse expertise and experience relevant to supporting educators.
Ideally, support teams could consist of experienced teachers who excel in mentoring, instructional
coaches who specialize in pedagogical strategies and implementation of the district adopted high-
quality instructional resources; administrators with leadership and instructional expertise; and possibly
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specialized staff such as counselors or technology integrators. Each team member should bring unique
insights and skills that complement the new teacher's development goals.
Considerations for Support Team Membership
• Mentor
• Leadership – principal, assistant principal, dean of students
• Instructional Coach
• Teacher Leaders
• EPPs
• Co-ops
Intentionally selecting team members who can provide targeted support and guidance, districts and
schools can create an environment conducive to continuous improvement and professional
development. This approach not only enhances the effectiveness of mentoring programs, but it also
helps promote a culture of collaboration and shared learning for educators.
New Teacher Workshops and Training
Per KRS 161.???
Workshops and training including professional development opportunities specifically designed for the
new teacher that provides vital information on topics relevant during the first year in the classroom.
Required
• Workshops and trainings
• Professional Development
Effective mentoring programs for new teachers hinge on comprehensive training and professional
development opportunities tailored to cultivate effective classroom teaching skills. Each district's plan
should prioritize initial training for new teachers, coupled with ongoing professional learning
opportunities that provide vibrant adult learning experiences for navigating the first year of teaching.
(i.e., launch professional learning for the adopted high-quality instructional resources and/or classroom
management strategies). This structured approach not only establishes clear expectations and practices
within the induction and mentoring program but also enables a deeper understanding and proactive
addressing of common challenges faced by new educators.
Furthermore, on-going professional learning provides new teachers with valuable insights into tools and
resources that support effective classroom practices. By integrating yearly planned high-quality
professional learning structures (workshops, professional learning communities, communities of
practice, etc.), districts can empower new teachers with the knowledge and strategies needed to
succeed in their roles. This holistic approach to professional development fosters a supportive
environment where new teachers can thrive, continuously improve and contribute positively to student
learning experiences and outcomes.
Resource: High Quality Professional Learning
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Considerations
When identifying and designing professional learning opportunities for new teachers, districts may
collaborate or partner with:
• EPPs
• Education Cooperatives
• Neighboring Districts
• State or National organizations
Mentor Workshops and Training
Per KRS 161.???
Mentor Workshops and training for mentors prior to assignment to a new teacher on the skills
necessary for effective mentoring.
Required
• Workshops and training for mentors
Effective mentoring programs are crucial for supporting mentors in their role of guiding adults,
necessitating comprehensive training and ongoing professional development opportunities. Mentors
benefit significantly from learning strategies rooted in adult learning theory, enhancing their ability to
effectively communicate and build relationships with new teachers. Additionally, coaching techniques
and effective conversation strategies empower mentors to navigate diverse mentoring dynamics
adeptly.
Mentors may engage in professional learning focused on content-driven topics such as unit and lesson
internalization for adopted High Quality Instructional Resources (HQIR), evidence-based instructional
practices, Instructional Practice Guides (IPGs) for the content areas and peer observation protocols.
Understanding data-driven teaching practices and student assessment methods equip mentors to assist
new teachers in implementing high-quality standards-aligned instruction. Collaboration with faculty and
professionals from higher education institutions may help enrich mentor professional development,
ensuring they possess current knowledge and resources to support new teachers seamlessly through
their journey from pre-service to in-service teaching roles. By continuously refining their skills through
targeted training, mentors can effectively guide and empower educators, fostering a supportive and
growth-oriented learning environment.
Considerations
When identifying district needs and designing professional learning opportunities for mentors, districts
may collaborate or partner with:
• EPPs
• Education Cooperatives
• Neighboring Districts
• State or National organizations
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Meeng Time
Per KRS 161.???
Opportunities for the new teacher to meet with the assigned mentor to share successes and
troubleshooting strategies.
Required
• Allocated time for the mentor and new teacher to meet for feedback and coaching.
While each district must designate time for mentor/new teacher meetings to occur, there is flexibility
for the structures for meeting implementation.
Considerations
To ensure effectiveness, mentors and new teachers require adequate time and opportunities for
coaching sessions and collaborative activities. This can be facilitated through various means such as
professional learning communities, dedicated professional development days, and utilizing before or
after school time, planning periods or substitutes as needed, tailored to the preferences and needs of
the district or school.
• Districts have flexibility in structuring mentoring programs with no statutory requirements for
specific hours or days for mentor meetings.
o meeting frequency
o time of day
o length requirements
o location
o other opportunities for the mentor and new teacher to engage in support activities.
• Creative approaches can be adopted to align with the unique needs of districts and new
teachers.
• Options include scheduled mentoring times weekly, monthly or per semester, or flexible
arrangements at the school or individual level.
• Emphasis can be placed on ensuring a sufficient number of meaningful contacts between
mentors and new teachers rather than strict time requirements.
• Prioritizing quality and impactful mentoring interactions supports the professional growth and
development of new teachers.
By leveraging flexibility and focusing on meaningful engagement, districts can create mentoring
programs that are responsive, supportive and conducive to the success of new teachers.
Networks
Per KRS 161.???
Support teams to link the new teacher with a network of teachers in the school or district, in addition
to their mentor, that the new teacher can rely on for assistance and guidance, especially for content
specialization.
Required
• Network of teachers for new teacher support
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Support network teams of teachers expand beyond the previously mentioned support teams, offering
leaders and teachers the ability to connect with colleagues who possess specific expertise beneficial to
new teachers. Examples include those who are experts in (1) content or discipline-specific knowledge,
(2) establishing a positive learning climate, (3) pedagogical practices, (4) HQIR implementation, (5) data
analysis, (6) classroom management strategies and (7) other local priorities or initiatives. This network-
based approach enables involvement from educators across and outside the district, fostering
collaboration and resource-sharing opportunities within the community. This creates opportunities in
identifying teachers and other education professionals who align closely with the new teacher’s
professional needs, enhancing personalized support and development.
Moreover, districts may opt to collaborate with Educator Preparation Programs to supplement support
and provide valuable feedback opportunities. This partnership serves as a crucial bridge between
student teaching and the first year of teaching, offering insights and guidance rooted in both academic
theory and practical classroom experience. By leveraging this dual approach—district-wide teacher
networks and partnerships with EPPs—educators receive comprehensive support that enhances their
effectiveness and promotes ongoing professional growth throughout their careers.
Considerations for Network Membership
• Instructional Coaches
• District teachers with strengths in
o content
o discipline-specific knowledge
o classroom learning management/climate
o pedagogical practices
o HQIR
o data analysis for instructional design
• EPPs
• Co-ops
Formave and Summave Evaluaons
Per KRS 161.???
Formative and summative evaluations to provide feedback for a new teacher to gain an
understanding of his or her strengths and weaknesses and to grow professionally.
Required
• Formative evaluations
• Summative evaluations
While formative and summative evaluations are a required component, the purpose of mentoring plans
is to serve as assistance and support necessary for new teachers to begin a successful teaching career
through a collaborative relationship throughout their first year of employment. Using common
formative feedback tools such as Kentucky Framework for Teaching (KY FfT), Learning Walks, IPGs or
other district created tools may establish common language, creating consistency in instructional
practices and coaching. However, maintaining confidentiality and building trust are crucial in
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mentor/new teacher relationships. It is imperative that the mentor be viewed as a trusted colleague
rather than an evaluator or judge.
Considerations for Mentoring vs. Evaluation
• Collegial vs. Hierarchical - Mentoring focuses on a supportive, collegial relationship where both
parties collaborate as peers. Evaluation, on the other hand, typically involves hierarchical
judgment and assessment.
• Ongoing vs. Defined by Policy - Mentoring is often continuous and adaptable to the needs of
the new teacher, whereas evaluation is often structured by specific policies and frameworks set
by districts or provinces.
• Encouraging Growth vs. Judging Performance - Mentoring aims to foster self-reliance and
personal growth in the new teacher, while evaluation tends to assess and judge individual
performance against predetermined standards.
• Confidentiality vs. Judgment - Mentoring interactions often involve confidential discussions
aimed at personal and professional development, whereas evaluation uses data to make
judgments and decisions that can impact careers.
• Value Judgments by Mentor/New Teacher vs. Supervisor - In mentoring, value judgments
about progress and goals are collaboratively made between the mentor and new teacher.
Evaluation typically involves judgments made by supervisors or external assessors based on
specific criteria.
These distinctions highlight why trust and a supportive, non-judgmental atmosphere are crucial in
effective mentoring relationships, fostering an environment conducive to growth and development.
Resource: “Mentoring New Teachers A fresh look”
Denions
Per KRS 161.???
A "Mentor" is defined as an educator who has at least three full years of experience under a professional
certificate and who has been trained to assist a beginning educator in the same professional role with his
or her professional responsibilities and general school and district procedures.
Per KRS 161.???
“New teacher induction and mentor program" means a multiyear, structured program of mentorship
and professional development in which trained mentors provide constructive feedback to new teachers.
Resources
Curriculum-Based Professional Learning Guidance Document
Curriculum Implementation Framework
Evidence-Based Instructional Practices (EBIPS)
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High Quality Instructional Resources - HQIR/
High Quality Professional Learning
Instructional Practices Guide - The Instructional Practice Guides describe core instructional practices
shown to improve student outcomes and are aligned to the Kentucky Academic Standards (KAS) for the
specific content area. The IPGs support curriculum-focused:
• Observation-based feedback on classroom practice contributing to student outcomes;
• Reflection on instructional practices and shifts; and
• Identification of professional learning needed to support standards-aligned practice.
IPGs:
• Math IPG -
https://education.ky.gov/curriculum/standards/kyacadstand/Documents/Math_IPG.doc
x
• K-12 Comprehension in Reading and Writing IPG
- https://education.ky.gov/curriculum/standards/kyacadstand/Documents/K-
12_Reading_Writing_IPG.docx
• K-3 Foundational Skills IPG -
https://education.ky.gov/curriculum/standards/kyacadstand/Documents/K-
3_Foundational_Skills_IPG.docx
• Science IPG -
https://education.ky.gov/curriculum/standards/kyacadstand/Documents/Science_IPG.d
ocx
Kentucky Framework for Teaching – KY FfT
Learning Walk Protocol
“Mentoring New Teachers A fresh look” - How can renewed approaches to mentoring help new
teachers? (SREB)
Essenal Roles and Responsibilies
Role of a Mentor Teacher
A mentor’s role is to provide assistance through guidance and support for new teachers. While a
mentor’s qualifications are a school and/or district decision, it is recommended that the mentor has
been identified as an effective educator by school/district leadership through formative and summative
evaluation. Additionally, per KRS 161:???, a mentor must also have a minimum of three years of full-
time teaching experience. Mentors should exhibit the appropriate skills and dispositions necessary for
supporting and coaching new teachers to the profession.
The role of the mentor is to:
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• Understand the common needs and challenges of new teachers.
• Develop and use a variety of strategies and practices to assist the new teacher.
• Demonstrate best practices and strategies through modeling and co-teaching.
• Learn and utilize effective one-on-one coaching techniques.
• Focus on areas of need for new teachers.
• Be accessible to support new teachers.
Responsibilies of a Mentor Teacher
• Serve as a professional role model.
• Participate in New Teacher Orientation to facilitate onboarding and promote
understanding of district and school context, policies and procedures, including content
area instructional visions.
• Assist the new teacher in understanding and meeting the responsibilities of the
profession.
• Meet formally and informally with the new teacher and administrator on a regular basis
throughout the school year to support new teacher needs.
• Collaborate with the new teacher to:
• Identify areas of strength(s) and areas for growth through a self-assessment
process related to the KY FfT.
• Utilize the self-assessment process to help the new teacher develop a
Professional Growth Plan (PGP) to address areas of growth.
• Monitor implementation of the PGP providing support and feedback throughout
the year.
• Observe the new teacher in instructional settings. Provide non-evaluative formative and
summative feedback to promote continuous growth.
• Engage with teachers in professional learning (PL) to develop a shared understanding of
the curriculum and HQIR(s).
• Assist the new teacher in developing and implementing effective practices for classroom
management, unit and lesson internalization, lesson rehearsal, and student work
analysis.
• Support the new teacher in understanding school, district and community resources.
• Maintain confidentiality regarding all aspects of the mentoring program, including the
observations, conversations, etc. with the new teacher.
• Participate in program evaluation for continuous growth.
Roles of an Administrator
The role of school administration is to provide support by facilitating the components of the mentor
program and providing the new teacher and mentor with the necessary time and resources to fulfill
their respective responsibilities. The school principal and leadership team are in a position to identify
mentor and new teacher partnerships based on the needs of the new teacher and strengths of school
staff.
The role of the school administrator is to:
• Facilitate the process of mentorship within the school. Principals need to initiate mentorship
programs based on individual needs.
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• Inform potential mentors and new teachers about the process and program.
• Facilitate the use of time and resources for the mentorship program.
• Assign/approve mentorship partnerships early in the school year or prior to the start of the year.
At a minimum, mentors must be assigned within two weeks of teaching for hires.
Responsibilies of an Administrator
• Assist teachers new to the district/assigns from a pool of mentors with emphasis to building
proximity, same-subject and/or grade level teaming when possible.
• Orient the entire building faculty regarding the school district’s mission and the mentor
program’s purpose.
• Recruit individuals to serve as mentors. Match new faculty with mentors based on strengths and
needs.
• Provide release time or joint planning time to facilitate mentor/new teacher interaction.
• Allow for release time to complete mentor/new teacher classroom visits.
• Provide professional learning for mentors/new teachers on coaching, classroom observations,
targeted feedback, and model classroom visits anchored in HQIR(s).
• Share resources for professional learning opportunities aligned to meet the specific needs of the
mentor(s) and new teacher(s).
• Re-assign a mentor if necessary.
• Reflect on the year and offer suggestions to improve the mentor program.
• Ensure that the mentor relationship and the evaluation process for new teachers is seamless
and centered on professional growth.
Role and Responsibilies of the New Teacher
The roles and responsibilities of the new teacher are to:
• Be an active participant in the mentoring relationship.
• Be a reflective educator who identifies areas he/she needs assistance with from the mentor,
building administrator and support team.
• Be willing to seek out help and understand that he/she needs to communicate what is needed.
• Be open to feedback from others to continue to enhance professional growth.
• Be willing to observe effective teachers and be willing to be observed for support.
• Participate regularly in meetings with the mentor as well as other support team members in the
district.
• Engage in on-going PL and use curriculum and HQIR(s) as designed in instruction.
• Work collaboratively to prepare for lesson delivery through unit/lesson internalization and
lesson rehearsal.
• Receive feedback and guidance on use of the curriculum, HQIR(s) and instructional practices.
• Provide input and evaluation of the mentor program.
Role of Educaon Cooperaves (Co-ops)
Districts are encouraged to partner with their regional educational cooperatives to support both their
new teachers and mentors. The educational cooperatives will provide new teacher and mentor
networking to build community and provide “real time” support. The educational cooperatives will also
provide professional learning opportunities for new teachers to help prepare and support them in the
following areas: beginning of the school year preparedness, classroom environment, professional
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responsibility, standards-aligned instruction, planning and intellectual preparation for use of HQIRs,
inclusive education, assessment, classroom procedures, collaboration, stress management, organization,
student-centered learning, technology and innovation, culturally responsive teaching, student feedback,
student engagement, and communication. The educational cooperatives will also train administrators in
cognitive coaching to improve student outcomes through evidenced-based practices for improving
teacher efficacy.
Role of Educaon Preparaon Providers
Districts are also encouraged, when possible, to partner with local colleges and universities to help
provide peer networks and support content and subject area expertise, strategies for monitoring and/or
evaluating the program, teacher recruitment assistance, etc. EPP networks can help provide teachers
with safe spaces to process their first-year experiences, discuss challenges, reflect and problem solve in
a familiar community facilitated by EPP faculty and staff. Additionally, EPPs can help assist in designing
and delivering professional learning opportunities for mentors as well as new teachers. Because EPPs
know how their alumni have been trained, EPPs are in a unique position to create a bridge between
preparation and first-year growth.
New Teacher Evaluaon
Per KRS 161.???
(4) The Education Professional Standards Board shall develop evaluations and rubrics aligned to state
academic standards and state and local procedures that shall be based on the following standards of
effective teaching:
(a) Curriculum, content mastery, planning and assessment;
(b) Teaching all students; and
(c) Family engagement.
(5) Rubrics shall describe practice in detail at different levels of performance.
(6) Categories of evidence shall be included to assess educator performance, including multiple
measures of student learning, observation, and additional relevant evidence.
(7) Evaluations shall include new teacher self-assessment, individual goal setting and plan
development, implementation of the plan, formative assessment, and a summative evaluation.
Along with the induction and mentoring requirement in SB 265, the bill also requires that the Education
Professional Standards Board develop:
• evaluations and rubrics aligned to state academic standards and state and local procedures
based on the following standards of effective teaching:
• Curriculum, content mastery, planning and assessment;
• Teaching all students; and
• Family engagement.
• Rubrics shall describe practice in detail at different levels of performance.
• Categories of evidence shall be included to assess educator performance, including multiple
measures of student learning, observations and additional relevant evidence.
• Evaluations shall include new teacher self-assessment, individual goal setting and plan
development, implementation of the plan, formative assessment, and a summative evaluation.
In Kentucky, teacher evaluation requirements are governed by statute (KRS 156.557) and regulation
(704 KAR 3:370). These statutes mandate that district Certified Evaluation Plans (CEP) align with the
15 | P a g e
Kentucky Framework for Teaching (KY FfT). The required components of SB 265—curriculum, content
mastery, planning, assessment, teaching all students, and family engagement—are integrated within the
four domains of the KY FfT. Although the purposes of induction and mentoring differ from those of
teacher evaluation, with induction and mentoring focusing on support and development, and evaluation
concentrating on performance assessment, common practices and evidence make it possible to create a
system where these elements work seamlessly together.
Considerations for Making Induction/Mentoring and Evaluation Work Together
To help make new teacher inducon and mentoring programs work seamlessly with teacher evaluaon
systems, it is crucial to establish a consistent and supporve structure that integrates the following
elements eecvely:
• Unified Vision and Goals:
o Ensure the objecves of inducon, mentoring and evaluaon are consistently aligned to
support teacher development, enhance instruconal pracces and improve student
outcomes.
o Communicate a consistent and clear vision to all stakeholders, including new teachers,
mentors and evaluators, to help foster a shared understanding and commitment.
• Structured Framework:
o Develop comprehensive plans detailing how induction, mentoring and evaluation will
intersect, including timelines, roles, responsibilities and expected outcomes.
o Use consistent criteria and language across all programs to ensure coherence, with
evaluation criteria reflecting the competencies and skills emphasized in induction and
mentoring.
• Collaborative Relationships:
o Encourage regular meetings and communication between mentors and evaluators to
ensure alignment regarding new teacher progress and needs.
o Create support teams that include mentors, evaluators and new teachers to facilitate
regular reviews of progress, goal setting and addressing challenges together.
• Balanced Feedback:
o Integrate formative feedback from mentors and networks, focusing on ongoing
development, with summative feedback from evaluators, providing a broader
assessment of performance.
o Encourage reflective practice, allowing new teachers to use feedback from all supports
such as mentors, evaluators and teacher networks to inform their professional growth.
• Supportive Evaluation Practices:
o Emphasize development and growth in evaluations, especially for new teachers.
o Tailor evaluations to account for the unique needs and experiences of new teachers,
recognizing that they are in a developmental phase of their careers. This developmental
focus helps create a supportive environment conducive to professional growth.
• Continuous Improvement and Reflection:
o Regularly review the integration of induction, mentoring and evaluation to identify
areas for improvement.
o Hold reflective sessions where new teachers, mentors and evaluators can discuss their
experiences, providing valuable insights for ongoing refinement.
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Maintaining clear communication and support structures is essential. Open lines of communication
between new teachers, mentors and evaluators help ensure everyone has a common understanding of
the processes and expectations. Establishing support networks where new teachers can seek advice and
assistance from both mentors and peers allows for further enhancement of the supportive environment.
Through strategic implementaon, schools and districts can create a cohesive system that supports new
teachers through inducon and mentoring while also seamlessly integrang the district evaluaon
system. This approach helps promote connuous professional growth, strong instruconal pracces, and
posive student outcomes.
Inducon/Mentoring and Evaluaon Alignment
The following tables provide a crosswalk alignment of the required standards of effective teaching in SB
265 and the KY FfT Components. For each component referenced in the crosswalk, the KY FfT provides
detailed performance level indicators showcasing a continuum of practice from Ineffective, Developing,
Accomplished and Exemplary. Possible Examples and Critical Attributes aligned to each performance
level are also included.
Standards for Effective Teaching and Primary Alignment to Kentucky Framework for Teaching
Components
a. Curriculum, content mastery, planning
and assessment
• 1A: Knowledge of Content and Pedagogy
• 1C: Setting Instructional Outcomes
• 1E: Designing Coherent Instruction
• 1F: Designing Student Assessment
• 3A: Communicating with Students
• 3D: Using Assessment in Learning
• 4E: Growing and Developing
Professionally
b. Teaching all students
• 1B: Demonstrating Knowledge of Students
• 2A: Creating an Environment of Respect
and Rapport
• 2B: Establishing a Culture for Learning
• 3B: Questioning and Discussion
Techniques
• 3C: Engaging Students in Learning
• 3E: Demonstrating Flexibility and
Responsiveness
• 4F: Showing Professionalism
c. Family engagement
• 4C: Communicating with Families
• 4D: Participating in a Professional
Community
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Self-Assessment
Primary Alignment to
Kentucky Framework for
Teaching Components
Considerations
Self-assessment is a critical
component of an educator’s
growth and evaluation process
because it provides educators
the opportunity to reflect and
create a personalized
continuum of professional
growth.
• 4A: Reflecting on
Teaching
• 4E: Growing and
Developing
Professionally
• Is self-reflection a required
evidence source for your CEP? If
so, what instrument is used?
• How might a self-assessment
using the Ky FfT be used to
support a professional growth
plan, evidence collection during
an observation and a
personalized plan for
instructional support?
• Why might it be difficult for a
new teacher to engage in
an honest and transparent
examination of current practice?
What practices might be
implemented to ensure this
occurs?
• How might the mentor,
principal, or school culture
support/impede an honest and
transparent examination of
practice?
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Individual Goal Setting and
Plan Development
Primary Alignment to
Kentucky Framework
for Teaching
Components
Considerations
Through an honest and
transparent examination of
current practice, educators are
able to develop a plan for
professional learning and
needed support that addresses
specific and individual learning
needs.
• 4A: Reflecting on
Teaching
• 4E: Growing and
Developing
Professionally
• Is the development of a
Professional Growth Plan a
required evidence source for
your CEP? If so, what template is
used? How might the template
be used to support the unique
professional needs of new
teachers?
• How might collaboration among
teacher, mentor and principal be
utilized during this process to
support the individualized goals
of the new teacher?
• How might there be an
alignment to building and
district goals?
• What process is in place to
ensure that multiple needs of a
new teacher do not become
overwhelming or unattainable?
• How might strategic
professional learning structures
be utilized to support new
teachers?
• How do mentors use the new
teacher’s goals and action plans
to inform and guide their
mentoring?
Implementation
Primary Alignment to
Kentucky Framework for
Teaching Components
Considerations
Implementation of
evidenced-based practices
aligned with identified
needs.
• 4A: Reflecting on
Teaching
• 4E: Growing and
Developing
Professionally
• How might a continuous cycle of
feedback, reflection, refinement,
be used during the
implementation phase?
• What data and relevant evidence
might be most useful for
measuring progress?
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Implementation
Primary Alignment to
Kentucky Framework for
Teaching Components
Considerations
• How might regular observations
be a tool to support plan
implementation?
• What structures might be most
conducive to feedback that
advances practice?
Formative Assessment: Informal, cyclical data collection
system focused on supporting teacher growth.
• Mentor and supervisors provide feedback
regarding progress toward teacher goals
• Ongoing and focused on growth
• Evidence used to inform planning
Summative Evaluation: Required by the
district’s Certified Evaluation Plan.
• Conducted by primary supervisor
• Uses data to inform performance
ratings
• Occurs at end of cycle
Considerations
• How can mentors work in partnership with new teachers and their school leaders to recognize
the alignment between the formative assessment process and a teacher’s summative evaluation
while still respecting confidentiality?
• How might the formative assessment system be aligned with the district’s instructional priorities
and practices for teacher evaluation?
• How might the formative assessment process support the principal’s summative evaluation
focus?
• How might the intersection of new teacher development and teacher evaluation be
articulated?
Considerations for Principals
• How might you evidence your commitment to being a true partner in the mentorship program
at your school?
• How might you facilitate growth planning for the mentor and new teacher?
• How might you provide common release time for the new teacher and mentor to focus on
either instructional or non-instructional issues on a regular and ongoing basis?
• How might you recruit mentors who meet determined criteria?
• How might you ensure structures are in place to ensure the mentorship program is effective?
• How might intentional communication structures be enacted to ensure all parties are on the
same page and demonstrate a deep level of investment in the growth and development of new
teachers?
• How might you ensure mentors help new teacher proactively more often than reactively?
• How might a mentor's teaching duties be altered to support mentoring activities?
• How might defined logistics about the mentor’s time and activities each week encourage
mentoring that is well-planned and occurs regularly?
• How might you Identify barriers to consistent, quality mentoring and use human capital
structures to address the challenges?
20 | P a g e
• Check that selection criteria communicate mentors' crucial role in helping new teachers
acclimate to their school community and the culture of teaching. Mentors need to be
empathetic and understanding about the concerns and challenges new teachers have.
• Inspect existing induction activities for unintentional stressors. New teacher induction programs
often include orientation sessions to attend early in the year and portfolios to assemble
throughout the year. These activities can compound the stress new teachers feel and detract
from the intended purpose.
• Prioritize the availability of mentors to help new teachers get physically and mentally prepared
for the school year. Seemingly mundane practices, such as setting up their classrooms and
making copies, will allow new teachers to begin the school year feeling positive, calm and
focused.
Reporng
Per KRS 161.???
Beginning Oct. 1, 2024, and by Oct. 1 each year thereafter, the Education Professional Standards
Board shall provide a report to the Legislative Research Commission for referral to the Interim Joint
Committee on Education. The report shall include but not be limited to:
(a) The number of mentor teachers and the educator preparation programs that were
attended by the mentor teachers;
(b) The number of new teachers and the educator preparation programs that were attended
by the new teachers;
(c) An analysis of how prepared new teachers are upon entering the profession;
(d) The types of training utilized by districts to train new teachers, mentors and support teams;
(e) The types of remediation or supports needed by districts for new teachers that were not
covered in the educator preparation programs;
(f) The major components of each new teacher induction and mentor program;
(g) How new teacher induction and mentor programs are operated and funded;
(h) How long new teachers receive mentor support;
(i) The estimated annual amount spent per new teacher;
(j) Measures being utilized to gauge the new teacher induction and mentor program’s
effectiveness; and
(k) Impact on teacher retention.
(9) The Education Professional Standards Board shall accumulate long-term data for analysis of the
impact of teacher induction and mentor programs on new teacher retention.
EPSB Reporng Requirements and District Contribuon
As mandated, the Educaon Professional Standards Board (EPSB) is required to submit a report to the
Legislave Research Commission for referral to the Interim Joint Commiee on Educaon by Oct. 1 of
each year, detailing each of the data points idened in the statute. In determining the methodology for
collecng this data and developing the required report, EPSB/OELE must collaborate with districts to
gather the necessary informaon to present to the legislature.
21 | P a g e
Understanding that mentoring plans are developed and implemented based on district needs, the
following consideraons and resources are provided for districts to use when supplying informaon on
local inducon and mentoring programs.
Consideraons
The number of mentor teachers and the educator preparation programs that were attended by the
mentor teachers
Possible resources to identify the number of mentors:
o District Point of Contact for the Mentoring Program
o Director of Human Resources
o MUNIS – if stipends are provided
Office of Educator Licensure & Effectiveness (OELE)/EPSB, along with the stakeholder
workgroup continue to work on identifying possible data sources for easily reporting the
education preparation programs mentors attended.
• The number of new teachers and the educator preparation programs that were attended by
the new teachers
Possible resources to identify the number of new teachers:
o District Point of Contact for the Mentoring Program
o Director of Human Resources
o MUNIS
o New Teacher Orientation
OELE/EPSB, along with the stakeholder workgroup continue to work on identifying possible data
sources for easily reporting the education preparation programs new teachers attended.
• An analysis of how prepared new teachers are upon entering the profession
Possible resources to determine new teachers’ preparedness:
o Support team meetings
o Network team meeting
o Formative feedback loops from the mentoring program for the
▪ new teacher
▪ mentor teacher
▪ administrator
OELE/EPSB, along with the stakeholder workgroup continue to work on identifying possible
data sources for easily reporting how prepared new teachers are for entering the profession.
• The types of training utilized by districts to train new teachers, mentors and support teams
Possible resources to determine trainings for new teacher, mentors and support teams:
o District Point of Contact for the Mentoring Program
o District Professional Development Coordinator
22 | P a g e
o Education Cooperatives
o Education Preparation Providers
OELE/EPSB, along with the stakeholder workgroup continue to work on identifying possible
data sources for easily reporting the types of trainings districts use for training new teachers,
mentors and support team members.
• The types of remediation or supports needed by districts for new teachers that were not
covered in the educator preparation programs
Possible resources to determine the types of remediation needed for new teachers:
o Support team meetings
o Network team meeting
o Formative feedback loops from the mentoring program for the
▪ new teacher
▪ mentor teacher
▪ administrator
OELE/EPSB, along with the stakeholder workgroup continue to work on identifying possible
data sources for easily reporting the types of remediation needed to support new teachers.
• The major components of each new teacher induction and mentor program
Possible resources to determine the major components of the new teacher induction and
mentoring program:
o District Point of Contact for the Mentoring Program
o Induction and Mentoring Plan
OELE/EPSB, along with the stakeholder workgroup continue to work on identifying possible
methods for reporting the major components of each induction and mentoring program.
• How new teacher induction and mentor programs are operated and funded
Possible resources to determine how induction and mentoring programs are funded:
o District Point of Contact for the Mentoring Program
o Director Finance Officer
o Director of Federal Programs – Title funds
o MUNIS
OELE/EPSB, along with the stakeholder workgroup continue to work on identifying possible
methods for reporting how districts are operated and funded.
• How long new teachers receive mentor support
Possible resources to determine how long new teacher receive mentor support:
o District Point of Contact for the Mentoring Program
o Induction and Mentoring Plan
23 | P a g e
OELE/EPSB, along with the stakeholder workgroup, continue to work on identifying possible
methods for reporting how districts are operated and funded.
• The estimated annual amount spent per new teacher
Possible resources to determine how much is spent on supporting each new teacher:
o District Point of Contact for the Mentoring Program
o Director Finance Officer
o MUNIS
OELE/EPSB, along with the stakeholder workgroup, continue to work on identifying possible
methods for reporting the cost of supporting each new teacher in the program.
• Measures being utilized to gauge the new teacher induction and mentor program’s
effectiveness
Possible resources to determine the mentor program’s effectiveness:
o District Point of Contact for the Mentoring Program
o Support team meetings
o Network team meeting
o Formative feedback loops from the mentoring program for the
▪ new teacher
▪ mentor teacher
▪ administrator
OELE/EPSB, along with the stakeholder workgroup, continue to work on identifying possible
methods for reporting mentor program effectiveness.
• Impact on teacher retention
Possible resources to identify how the mentor program impacts teacher retention:
o District Point of Contact for the Mentoring Program
o Director of Human Resources
o MUNIS
o Building administrators
OELE/EPSB, along with the stakeholder workgroup, continues to work on identifying possible
data sources for easily reporting how the mentor programs impact teacher retention.
While EPSB/OELE continues to collaborate with the stakeholder workgroup and the field, districts are
encouraged to utilize the provided guidance to align with local plans and practices. This will help in
developing quality assurance processes and procedures for evaluating program impact and fostering
continuous growth. Offering robust induction and mentoring support throughout a new teacher’s first
year can significantly impact teacher retention, enhance classroom instruction and climate, and
positively affect student success.
24 | P a g e
Contact Informaon
For questions of support on the induction and mentoring guidance, please contact the Office of
Educator Licensure and Effectiveness at 502-564-5846 or email:
Todd Davis – t[email protected]ov
Sharon Salsman – sharon.salsman@education.ky.gov
July 15, 2024 Meeting Action Item B
KENTUCKY DEPARTMENT OF EDUCATION
STAFF NOTE
Action Item:
16 KAR 1:030. Procedures for Educator Certificate Surrender, Revocation, Suspension,
Reinstatement, and Reissuance, and for Application Denial, Emergency and Ordinary
Amendment
Staff Recommendation:
The Education Professional Standards Board (EPSB) should approve the emergency and
ordinary amendment and accompanying ordinary amendment to 16 KAR 1:030 to comply with
the amendments to KRS 161.120 in House Bill 300.
Rationale:
House Bill 300 from the 2024 legislative session amends KRS 161.120 to impose strict timelines
on the review and processing of complaints of educator misconduct. This includes the
requirement that staff for the EPSB conduct an initial review of a completed complaint within
thirty (30) calendar days of receipt to determine whether there is sufficient evidence that a
violation has occurred. The bill also provides for the dismissal of complaints that are not
reviewed by the EPSB in the timelines prescribed by the bill. The proposed amendment to 16
KAR 1:030 is necessary to comply with the requirements of House Bill 300 and provide
additional clarity.
Action Question:
Should the EPSB approve the emergency and ordinary amendment to 16 KAR 1:030?
Applicable Statute or Regulation:
KRS 13A, KRS 13B, KRS 161.028, KRS 161.120, KRS 161.175, KRS 218A.010,16 KAR 1:030
History/Background:
Existing Policy: During the 2024 legislative session, the General Assembly passed House Bill
300 and the Governor signed it into law on April 18, 2024. This legislation, which is slated to
become effective on July 15, 2024, amends the process by which the EPSB handles complaints
against certificate holders under KRS 161.120. 16 KAR 1:030 is the regulation that governs
procedures for certificate revocation, suspension, reinstatement, reissuance, and application
denial.
KRS CH 13A.190 allows for the promulgation of an emergency administrative regulation to
meet an imminent deadline for the promulgation of an administrative regulation that is
established by state statute. This emergency administrative regulation will be replaced by an
ordinary administrative regulation because the requirements for certification under this route are
expected to remain in statute. The ordinary administrative regulation is identical to this
emergency administrative regulation.
July 15, 2024 Meeting Action Item B
Summary: The proposed amendment to 16 KAR 1:030 includes changes to the existing language
to comply with the requirements of House Bill 300 as well as to the formatting and order of
sections. Sections were added to address the handling of complaints received prior to July 15,
2024, and those received on or after July 15, 2024. Additionally, updates were made regarding
the notices to complainants to comply with House Bill 300. A copy of the proposed amendment
is included for EPSB review.
Budget Impact: There are costs associated with hiring two additional staff members and
updating the Kentucky Educator Credentialing System (KECS). Projected costs for the first year
are $226,509 and $197,529 for subsequent years.
Contact Person:
Cassie Trueblood, Counsel and Policy Advisor
Office of Educator Licensure and Effectiveness
(502) 564-4606
Email: [email protected]
Statement of Emergency
16 KAR 1:030 E
This emergency administrative regulation is being promulgated to meet an imminent deadline for
the promulgation of an administrative regulation that is established by state statute. During the
2024 legislative session, the General Assembly passed House Bill 300 and the Governor signed it
into law on April 18, 2024. This legislation, which is slated to become effective on July 15, 2024,
amends the process by which the Education Professional Standards Board (EPSB) handles
complaints against certificate holders under KRS 161.120. As there are only eighty-eight (88) days
between the Governor signing this bill into law and its effective date, the ordinary administrative
regulation process would not allow the EPSB time to promulgate an ordinary administrative
regulation to be effective when the bill goes into effect. Therefore, the emergency regulation is
necessary to comply with the process for handling complaints against certificate holders when the
bill goes into effect. This emergency administrative regulation will be replaced by an ordinary
administrative regulation because the process is expected to remain in statute. The ordinary
administrative regulation is identical to this emergency administrative regulation.
________________________________
Andy Beshear, Governor
________________________________
Justin Mitchell, Chair
Education Professional Standards Board
1
EDUCATION AND LABOR CABINET 1
Education Professional Standards Board 2
(Emergency Amendment) 3
16 KAR 1:030E. Procedures for educator certificate surrender, revocation, suspension, 4
reinstatement, and reissuance, and for application denial. 5
RELATES TO: KRS Chapter 13B, 160.380, 161.010-161.100, 161.102, 161.120, 218A.010 6
STATUTORY AUTHORITY: KRS 161.028(1), 161.120(1), 161.175(2) 7
NECESSITY, FUNCTION, AND CONFORMITY: KRS 161.028(1) authorizes the Education 8
Professional Standards Board (EPSB) to establish standards and requirements for obtaining and 9
maintaining an educator's certificate; revoke, suspend, or refuse to issue or renew a certificate; 10
impose probationary or supervisory conditions upon a certificate; issue a written reprimand or 11
admonishment; or any combination of those actions regarding any certificate issued to Kentucky 12
certified educators for reasons delineated in KRS 161.120(1). KRS 161.175(2) authorizes the 13
EPSB to promulgate administrative regulations requiring an educator whose certificate has been 14
suspended or revoked by the EPSB to submit to drug testing when[because] the educator 15
engaged in misconduct involving the illegal use of controlled substances[ to submit to drug 16
testing]. This administrative regulation identifies the conditions for initiating a disciplinary action 17
against an educator's certificate and establishes procedures for certificate reinstatement, 18
reissuance, and application denial. 19
Section 1. Purpose. 20
2
(1) In order to support the mission of the EPSB, the EPSB may take action against an educator's 1
certificate in an effort: 2
(a) To ensure that an educator has an understanding of an educator's professional duties and 3
responsibilities; and 4
(b) To protect students, parents of students, school personnel, or school officials. 5
(2) The EPSB may take action against any certificate issued under KRS 161.010 to 6
161.102[161.100] for any of the reasons set forth in KRS 161.120(1). 7
Section 2. Complaints and Reports. 8
(1) A complaint may be made by any person, organization, or entity. The complaint shall be in 9
writing and shall be signed by the person offering the complaint. The complaint shall be sent to 10
the EPSB and contain: 11
(a) The name, phone number, and address of the person making the complaint, and the name of 12
the educator against whom the complaint is made. If known, the person making the complaint shall 13
include the address of the school district where the educator works; [and] 14
(b) A clear and concise description of the issues of fact; and,[.] 15
(c) Any supporting documentation necessary to provide sufficient credible evidence that a 16
violation may have occurred. This may include but is not limited to signed witness 17
statements, audio, video, contact information for eyewitnesses, or other documentary 18
evidence. 19
(2) A report shall be sent to the EPSB by superintendents of local school districts pursuant to KRS 20
161.120(3)[161.120(2)(a)]. 21
3
(a) A superintendent's duty to report shall include the reporting of criminal convictions discovered 1
by the district pursuant to KRS 160.380, even if the conviction occurred prior to the date the 2
educator's certification was issued. 3
(b) The superintendent shall have thirty (30) calendar days from the date the superintendent is 4
made aware[receives notice] of the criminal conviction to report that criminal conviction to the 5
EPSB pursuant to KRS 161.120(3)(a)[161.120(2)(a)]. 6
(c) Failure of the superintendent to provide the full facts and circumstances or to forward copies 7
of all relevant documents and records in the superintendent's possession pursuant to KRS 8
161.120(3)(b)[161.120(2)(b)], may result in action against the superintendent's certificate pursuant 9
to 161.120(1)(j). 10
(d) The superintendent shall supplement the report in writing within thirty (30) calendar days of 11
the superintendent receiving the additional information or supporting documentation. 12
(3) For complaints and reports received prior to July 15, 2024, EPSB staff shall do an initial 13
review of all complaints and reports to determine whether there is sufficient credible evidence that 14
a violation of KRS 161.120(1) may have occurred. If the report or complaint contains sufficient 15
credible evidence that a violation of KRS 161.120(1) may have occurred, EPSB staff shall open a 16
file and assign that file a number. 17
(a) The EPSB staff shall send a copy of these complaints and reports by certified mail to the 18
educator's address on file with EPSB. 19
(b) The educator shall have the right to file a rebuttal with the EPSB within thirty (30) calendar 20
days from the date the educator receives the complaint or report from the EPSB unless the 21
parties agree to extend that deadline. 22
4
(c) EPSB staff shall add the case to the EPSB's docket and prepare the file for EPSB review by 1
redacting all the educator's identifiers if one (1) of the following occurs: 2
1. The educator's rebuttal is received; 3
2. The notice is returned as undeliverable; or 4
3. The educator: 5
a. Fails to file a rebuttal with the EPSB; and 6
b. Has not requested to extend the thirty (30) day deadline. 7
(d) The EPSB shall determine whether the nature and quality of the alleged violation warrants 8
deferral, dismissal, training, admonishment, further investigation, or initiation of a hearing. 9
(e) In making its determination, the EPSB shall consider if the allegation, if proven, would 10
warrant sanction by the EPSB. 11
(4) For complaints and reports received on or after July 15, 2024, the EPSB shall use the 12
process established in KRS 161.120(2). 13
(a) A complaint shall be considered complete when the complainant indicates that the 14
complaint contains all information in the complainant’s possession and is complete. 15
(b) If the initial review under KRS 161.120(2)(a) finds sufficient evidence that a violation 16
may have occurred, EPSB staff shall open a file and assign that file a number. 17
(c) Notices to the certificate holder and superintendents required by KRS 161.120(2)-(3) 18
shall be made using the Kentucky Educator Credentialing System (KECS). Notices to non-19
superintendent complainants shall be sent to the contact information provided by the 20
complainant. 21
5
(d) To extend the rebuttal period an additional thirty (30) days, the written request under 1
KRS 161.120(2)(b) shall be received by EPSB staff on or before 12:00 p.m. eastern time on 2
the date the rebuttal period expires. 3
(e) Conferences with certificate holders under KRS 161.120(2)(d) shall be virtual unless 4
both parties agree to hold the conference in-person. 5
(5)[(f)] When making a determination as to the level of sanctions warranted, the EPSB shall 6
consider the following factors: 7
(a)[1.] The seriousness of the alleged violation; 8
[2. Whether the alleged violation was premeditated or intentional;] 9
(b)[3.] Whether an attempt to conceal the alleged violation was made; 10
(c)[4.] Whether there were any prior violations; 11
(d)[5.] Whether training is appropriate to prevent further violations; 12
(e)[6.] Whether the sanction is necessary to deter future violations; or 13
(f)[7.] Other relevant circumstances or facts. 14
(6)[(4) 15
(a)] If after further investigation occurs, the EPSB determines that sanctions may be[are] 16
warranted, and an agreed upon resolution could not be achieved, the EPSB shall initiate a[refer 17
the matter to]hearing. 18
(a)[(b)] If the EPSB votes to initiate a[refers the matter to] hearing, the EPSB shall, by majority 19
vote, approve the issuance of a notice of hearing and the statement of charges. The statement of 20
charges shall include specific reasons for the EPSB's proposed action, including the: 21
1. Statutory or regulatory violation; 22
2. Factual basis on which the disciplinary action is based; and 23
6
3. Penalty sought. 1
(b)[(c)] The parties may agree to resolve the matter informally at any time, in accordance with 2
KRS 161.120(9)[161.120(8)]. Any agreement to resolve the matter shall be memorialized in an 3
agreed order. To be valid, the agreement shall be approved by the EPSB. The agreed order shall be 4
signed by the educator, the educator's attorney, if any, and the EPSB chair. 5
(c)[(d)] The EPSB staff shall initiate the hearing process by filing the statement of charges with 6
the hearing officer, in accordance with KRS Chapter 13B, [within thirty (30) days] after the EPSB 7
refers the matter to hearing. 8
Section 3. Hearing Process. 9
(1) The hearing shall be held in accordance with KRS Chapter 13B. 10
(2) [Either party may be entitled to a reasonable continuance of the hearing date for good cause. 11
(3)] The educator has the right to request a private in-person hearing, in accordance with KRS 12
161.120(6)(c)[161.120(5)(b)]. 13
(a) The educator shall waive the right to a private in-person hearing if the educator fails to 14
specifically make a written request for a private in-person hearing at least five (5) days prior to the 15
hearing. 16
(b) Even if the educator elects to proceed with a private, in-person hearing, the hearing transcript 17
for that hearing shall be subject to disclosure after the EPSB issues its final order unless exempt 18
from disclosure by law. 19
(c) All hearings shall be conducted in the office of the EPSB unless a new location is agreed upon 20
by the parties. 21
(3)[(4)] The hearing officer's recommended order shall include a discussion of the factors set forth 22
in Section 2(5)[Section 2(3)(f)] of this administrative regulation if recommending sanctions. 23
7
(4)[(5)] A party may file any exceptions to the recommended order within fifteen (15) calendar 1
days from the date the recommended order is mailed. 2
(a) This time limit shall not be extended, and responses to exceptions shall not be considered by 3
the EPSB. 4
(b) Any disagreement with a factual finding or conclusion of law in the recommended order not 5
contained in the exceptions shall be waived. 6
Section 4. Final Decision. 7
(1) The EPSB may delegate to the EPSB chair the authority to sign a decision made or order issued 8
under this section on behalf of a majority of the EPSB members. 9
(2) After the EPSB chair certifies that a quorum is present, a majority of the voting members 10
present shall be required to make a final decision on the recommended order, agreed order, or 11
request for the issuance of an order of default judgment. 12
(3) In making a final order in accordance with KRS 13B.120, the EPSB shall consider the record 13
including the recommended order and any exceptions filed.[ ]] 14
Section 5. Procedure for Suspension, Surrender, or Revocation of a Certificate. 15
(1) When the EPSB issues a final decision, the EPSB staff shall upload a copy to the certificate 16
holder’s KECS account. Final orders issued pursuant to KRS 13B.120 shall also be sent to 17
the certificate holder[mail a copy of the final decision to the educator] by certified mail using the 18
address the educator provided to the EPSB, or any other means permitted by law. 19
(2) A record of EPSB action shall become part of the educator's official records maintained by 20
EPSB staff. 21
(3) If the EPSB final decision impacts the certificate holder’s eligibility for employment, the 22
EPSB staff shall notify the certificate holder’s employing district of the action 23
8
taken.[Immediately following the issuance of the EPSB final decision, the EPSB staff shall notify 1
the reporting parties of the action taken.] 2
(4) EPSB staff shall also ensure that the suspension, surrender, or revocation is noted on the 3
EPSB's website[Web site]. 4
(5) EPSB staff shall also ensure that the information is provided to the National Association of 5
State Directors of Teacher Education and Certification (NASDTEC) for inclusion in the 6
NASDTEC Clearinghouse, which is a searchable database administered by NASDTEC relating to 7
educator certification and discipline. 8
Section 6. Procedure for Reinstatement of a Suspended Certificate. 9
(1) Reinstatement of a suspended certificate for reasons other than misconduct involving the illegal 10
use of controlled substance as defined in KRS 218A.010 shall be subject to the following 11
requirements: 12
(a) A certificate that has been suspended by the EPSB shall not be reinstated until the certificate 13
holder has met all conditions and requirements ordered by the EPSB. 14
(b) If a certificate lapses during a period of suspension, the certificate holder shall apply for 15
renewal of the certificate at the end of the suspension period. The EPSB shall renew the 16
certification if the certificate holder has met all educational requirements for renewal and has 17
completed all of the conditions and requirements ordered by the EPSB. 18
(c) The burden to initiate the process to reinstate a suspended certificate shall be on the 19
certificate holder. 20
1. If the suspension does not include conditions, the EPSB staff shall remove all references of 21
the suspension from the website[Web site] at the conclusion of the suspension period. 22
9
2. If the suspension includes conditions, the certificate holder shall provide the EPSB proof 1
that all conditions have been met. 2
a. The EPSB shall reinstate the certificate at the conclusion of the suspension period once 3
the EPSB receives evidence from the certificate holder demonstrating that the conditions of 4
suspension were met. 5
b. The EPSB shall remove from its website[Web site] any reference to the suspension once 6
the certificate holder has provided evidence that the conditions of suspension have been met. 7
(d) The record of suspension as well as reinstatement of the certification shall become part of 8
the educator's official certification records, but the record of suspension shall not be referenced 9
on any certificate subsequently issued to the certificate holder. 10
(2) Reinstatement of a suspended certificate for misconduct involving the illegal use of controlled 11
substance as defined in KRS 218A.010 shall be subject to the following requirements: 12
(a) In addition to conditions for reinstatement of a suspended certificate established in 13
subsection (1) of this section, the certificate holder shall provide written evidence that the 14
certificate holder has submitted to a drug test at the certificate holder's own expense 15
administered by a drug testing facility approved by the EPSB within thirty (30) days of 16
reinstatement. 17
(b) The certificate holder shall arrange for the drug testing facility to send the results of the drug 18
test directly to the EPSB. 19
(c) A certificate holder subject to the terms of this subsection may petition the EPSB to approve 20
a state approved drug testing facility of the certificate holder's choice. 21
1. Petition to Approve Drug Testing Facility. The petition shall contain the following 22
information: 23
10
a. The drug testing facility's name and location; 1
b. The name and telephone number for the director of the facility; 2
c. The method of test specimen collection; 3
d. The drug testing facility's method of assuring identity of the test subject; 4
e. Procedures for testing specimens, including forensic testing methods; and 5
f. Chain of custody protocols. 6
2. The drug testing facility shall test at a minimum for the following named controlled 7
substances: 8
a. Marijuana; 9
b. Cocaine; 10
c. Opiates; 11
d. Amphetamines; 12
e. Phencyclidene; 13
f. Morphine; 14
g. MDMA (Ecstasy); 15
h. Methadone; 16
i. Benzodiazepines; 17
j. Barbiturates; and 18
k. Oxycodone. 19
(d) If the results of the drug test indicate illegal drug use by the certificate holder, the certificate 20
shall not be reinstated. 21
Section 7. Procedure for Reissuance of a Certificate after Revocation. 22
11
(1) If revocation was for reasons other than misconduct involving the illegal use of controlled 1
substance as defined in KRS 218A.010, the conditions established in this subsection shall apply. 2
(a) The former certificate holder shall complete the same application that all educators in Kentucky 3
shall complete to obtain certification. 4
(b) The former certificate holder shall bear the burden of proving that the certificate holder is fit 5
for practice. 6
(c) The former certificate holder shall satisfy all current educational requirements for the certificate 7
sought. 8
(d) The EPSB may include terms and conditions that the EPSB reasonably deems appropriate as a 9
condition of reissuance in accordance with KRS 161.120(12)(b)[161.120(11)(b)] if reissuing the 10
certificate. 11
(2) If revocation was for misconduct involving the illegal use of controlled substance as defined 12
in KRS 218A.010, the former certificate holder shall: 13
(a) Comply with the requirements established in Section 6(1) of this administrative regulation; and 14
(b) Submit to drug testing as established in Section 6(2) of this administrative regulation. 15
(3) Regardless of the reason for the revocation, the revocation shall be noted on the certificate that 16
is issued and shall remain on the EPSB website[Web site]. 17
Section 8. Denial of Application for a Certificate. If the EPSB denies an individual's application 18
for a Kentucky certificate pursuant to this administrative regulation, the applicant may file an 19
appeal in accordance with KRS 161.120(6)(a)2[161.120(5)(a)2]. 20
Section 9. Motion to Reconsider. 21
(1) In accordance with KRS 161.120(10)[161.120(9)], the EPSB may reconsider, modify, or 22
reverse its decision of its own volition. 23
12
(2) Under exceptional circumstances, the EPSB may reconsider, modify or reverse its decision on 1
any disciplinary matter upon a motion by one (1) of the parties. 2
July 15, 2024 Meeting Action Item C
KENTUCKY DEPARTMENT OF EDUCATION
STAFF NOTE
Action Item:
Procedures Relating to EPSB Action on an Educator’s Certification, Amendment
Staff Recommendation:
The Education Professional Standards Board (EPSB) should approve the amendments to the
procedures to align with the amendments to KRS 161.120 in House Bill 300 and the resulting
amendments to 16 KAR 1:030.
Rationale:
The proposed amendment to the Procedures Relating to EPSB Action on a Certificate Holder’s
Certification is necessary to provide further clarification regarding the EPSB’s processes related
to educator cases and appeals, and to streamline staff processes in an effort to improve efficiency
based on the increased timelines created by House Bill 300 of the 2024 legislative session.
Action Question:
Should the EPSB approve the amended procedures?
Applicable Statute or Regulation:
KRS 161.028, KRS 161.120, 16 KAR 1:020, 16 KAR 1:030
History/Background:
Existing Policy: In 1998, the EPSB began compiling policies and procedures to fill in gaps of
applicable statutes and administrative regulations and to ensure consistent action. In the years
since, various amendments have been made to the EPSB’s Policy and Procedures Manual. In
2007, the EPSB created procedures titled Determining Probable Cause to Take Disciplinary
Action. In 2017, the EPSB approved the Procedures Relating to Board Action on an Educator’s
Certification to set forth a comprehensive set of procedures regarding proceedings relating to
certification. The EPSB further amended these procedures in 2021.
Summary: The proposed amendment adds further clarity to the new requirements of KRS
161.120 as amended by House Bill 300. It provides information regarding notices via the
Kentucky Educator Credentialing System (KECS) portal and adds clarifying language on
electronic service, rebuttal extensions, staff initial review of complaints, staff follow up review
of complaints, Potential Resolution Conference procedures, the closed session review docket,
filing a recommendation for a sanction (“administrative charges”), potential Board sanctions, the
EPSB’s probationary process, motions to reconsider and drug testing. The procedures were
presented to the EPSB at the June meeting. In subsequent meetings with the KECS vendor, it
was determined that certain system updates included in the first draft of the procedures would
not be available. Additionally, portions on Character and Fitness, admonishment appeals, and the
fit for duty packets were removed from the current version of the procedures to allow staff
additional time to develop. The amended procedures are included for EPSB review.
July 15, 2024 Meeting Action Item C
Budget Impact: There are costs associated with hiring two additional staff members and
updating KECS. Projected costs for the first year are $226,509 and $197,529 for subsequent
years.
Contact Person:
Cassie Trueblood, Counsel and Policy Advisor
Office of Educator Licensure and Effectiveness
(502) 564-4606
Email: [email protected]
1
Education Professional Standards Board
PROCEDURES RELATING TO EPSB
ACTION ON A CERTIFICATE
HOLDER’S CERTIFICATION
Effective: July 15, 2024
Section 1. Purpose
The Education Professional Standards Board (“EPSB”) has the authority to take action
upon any certificate or license issued under KRS 161.010 to KRS 161.100 for any of the
reasons set forth in KRS 161.120(1). The EPSB is charged by statute with the vitally
important public trust of administering a system of professional standards that will ensure
that Kentucky school children receive a quality education from well-qualified
professionals. The EPSB may take action against a certificate holder’s certificate in an
effort to either ensure that a certificate holder has an understanding of a certificate holder’s
professional duties and responsibilities; and/or protect students, parents of students, school
personnel, or school officials. 16 KAR 1:030. The EPSB may initiate any combination of
the actions set forth below. KRS 161.120 and KRS 161.028.
1
Section 2. Complaints and Reports
The EPSB receives reports or complaints against a certificate holder or certificate holders
alleging a violation or violations of KRS 161.120(1) from superintendents, under KRS
161.120(3)(a), and from other sources under KRS 161.120(3)(d). Complaints may be made by
any person, organization, or entity provided that they are in writing and signed by the person
or representative of the organization or entity offering the complaint. An electronic signature
will satisfy the requirement of a signed complaint. 16 KAR 1:030.
I. Intake
A. Superintendents of local school districts have a duty, pursuant to KRS 161.120(3),
to file written reports with the EPSB 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 a certificate holder’s certificate under KRS 161.120(1). Complaint
submissions shall be made in the online complaint portal (KECS) and will not be
reviewed until the superintendent or his/her designee indicates the complaint
contains all of the information in the possession of the district, and is complete.
Failure to submit a complete report within the thirty (30) calendar days may result
in action against the superintendent’s certificate pursuant to KRS 161.120(1)(j).
B. A filing of the complete complaint begins the disciplinary process.
C. The EPSB may consider reports or complaints from any other source, including but
not limited to parents/guardians, certificate holders, media postings, and other
1
To the extent the procedures are inconsistent with the statutory or regulatory language, the statutes and regulations
control.
2
government entities such as the Attorney General’s Office, Office of Education
Accountability, and the Cabinet for Health and Family Services. Other source
Complaints should be sent by mail or email and shall be signed by the reporting
source. Anonymous complaints will not be accepted. The certificate holder that is
the subject of the complaint will receive a complete copy of the complainant's
signed complaint.
D. When to Report
i. A superintendent shall submit a report to the EPSB within 30 calendar days
of the event giving rise to the duty to report. KRS 161.120(3)(a);
1. If additional information is obtained by the superintendent after the
initial report, the superintendent shall supplement the report. KRS
161.120(3);
ii. A superintendent’s duty to report includes reporting those convictions
committed by a certificate holder that occurred prior to the date a certificate
holder’s certificate was issued. KRS 161.120(3)(b);
1. If the event giving rise to the duty to report relates to a certificate
holder’s criminal conviction, then the superintendent must submit a
report to the EPSB within 30 calendar days after the superintendent
became aware of the criminal conviction(s);
iii. A superintendent is required to report allegations that have already been
reported in the media.
1. A report of an allegation by the media does not absolve a
superintendent of their duty to report the allegation to the EPSB.
2. If the certificate holder resigns amidst allegations of misconduct, the
superintendent still has a duty to determine whether the employee
may have engaged in any actions or conduct while employed in the
school district that might reasonably be expected to warrant
consideration for action against the certificate. For example, if an
educator was alleged to have inappropriately communicated with a
student, but resigned upon notification of the allegations, an
investigation must still be conducted into whether the allegations
were true. In the event that the Kentucky State Police, local law
enforcement, or Cabinet for Health and Family Services take charge
of the investigation, the Local Educational Agency shall take all
reasonable steps to preserve all evidence for the outside
investigating agency and provide all evidence to the EPSB at the
conclusion of the investigation. Failure to do so may result in
action against the superintendent’s certificate pursuant to KRS
161.120(1)(j).
E. Contents of Report
i. The report must contain the employee’s full name, most recent contact
information on file for the employee including address and phone number,
3
social security number and position title. KRS 161.120(3)(a). If the school
district has a personal email address on file for the employee, the
superintendent shall include the email address in the report;
ii. The report must contain the full facts and circumstances of the conduct.
KRS 161.120(3)(b). An allegation without any supporting facts or
documentation is an insufficient report that may result in action against a
superintendent’s certificate pursuant to KRS 161.120(1)(j). Only when the
superintendent or their designee has uploaded all information about the
allegation in their possession, including a completed district investigation,
shall the complaint be marked as complete.
iii. The superintendent shall forward all relevant documents and records in the
superintendent’s possession. This includes but is not limited to the
investigative report, witness statements and contact information,
disciplinary letter, security camera footage, screenshots or pictures, police
reports/citations, school district policies, and interview transcripts, unless
prohibited by law.
iv. The superintendent shall preserve any records, including audio or video, in
the district’s possession related to the reported conduct. Failure to preserve
the records and submit with the report may result in action against a
superintendent’s certificate pursuant to KRS 161.120(1)(j).
v. The duty to report exists without regard to any disciplinary action, or lack
thereof, by the superintendent. KRS 161.120(3)(a).
vi. Other source complaints shall include as much of the above information as
possible.
II. Initial Review
A. 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.
i. Staff shall review a complaint within 30 calendar days of receipt of a
completed complaint to determine whether sufficient credible evidence
exists.
B. Within seven (7) business days of the initial complaint review, regardless of the
determination, a full copy of the complaint will be uploaded to the certificate
holder’s KECS account and notification will be sent to the certificate holder via the
KECS portal. Notice will also be sent to the superintendent if the complaint was
submitted by the superintendent pursuant to KRS 161.120 (3).
C. Reports or complaints that relate to a certificate holder 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 staff determine there is insufficient evidence that a
violation occurred.
D. Reports or complaints that relate to a non-certified individual will be kept on file
for one (1) year after notification of the death of that individual per the EPSB’s
4
Records Retention Schedule.
E. Reports or complaints are not subject to disclosure pursuant to KRS 61.878(1)(i)
and (j). See OAG 17-ORD-198.
III. Notice to Certificate Holder
A. If the report or complaint contains insufficient credible evidence that conduct may
have occurred that would constitute a violation of KRS 161.120(1) at the initial
review, staff will close the complaint as insufficient, and the complainant may
submit a new complaint if additional information has been obtained.
i. The certificate holder will receive notice and a copy of the full complaint
even if it contains insufficient credible evidence.
B. If the report or complaint contains insufficient credible evidence that a violation of
KRS 161.120(1) may have occurred, EPSB staff shall upload a copy of the
complete written complaint alleging violations of KRS 161.120(1) along with a
Notification of Report to the certificate holder’s KECS account.
i. The Notification shall:
1. Notify the certificate holder that the EPSB has received a report or
complaint pursuant to KRS 161.120(1);
2. Notify the certificate holder that a complete copy of the report or
complaint, subject to relevant laws, has been uploaded to the
certificate holder's KECS account.
3. Notify the certificate holder that staff has conducted an initial review
to determine whether there is sufficient evidence that a violation of
KRS 161.120(1) has occurred.
4. Notify the certificate holder that the initial review determination
decision was insufficient.
C. If the report or complaint contains sufficient credible evidence that a violation of
KRS 161.120(1) may have occurred, staff will open a case file and assign that file
a number.
i. When the EPSB staff opens a case file, the staff shall upload a copy of the
complete written complaint alleging violations of KRS 161.120(1) along
with a Notification of Report to the certificate holder’s KECS account. The
Notification shall:
1. Notify the certificate holder that the EPSB has received a report or
complaint pursuant to KRS 161.120(1);
2. Notify the certificate holder that a complete copy of the report or
complaint, subject to relevant laws, has been uploaded to the
certificate holder's KECS account.
3. Notify the certificate holder that staff has conducted an initial review
to determine whether there is sufficient evidence that a violation of
KRS 161.120(1) has occurred.
5
4. Notify the certificate holder that the initial review determination
decision was sufficient.
5. Notify the certificate holder that the certificate holder has thirty (30)
calendar days from the date the certificate holder receives the
Notification to provide the EPSB with a written rebuttal.
6. Notify the certificate holder that the rebuttal period shall only be
extended thirty (30) calendar days upon written request, as long as
staff receives the written request prior to 12:00 p.m. EST on the date
of expiration.
7. Notify the certificate holder that a follow up review will occur once
the rebuttal period expires.
D. The date of the certificate holder's receipt of the Notification shall be the date KECS
sends notification to the certificate holder's email address(es) on file. The certificate
holder shall be solely responsible for updating his/her account with a valid personal
email address and viewing any notices sent to the email address on file.
E. If multiple reports or complaints contain sufficient credible evidence that a
violation of KRS 161.120(1) may have occurred, the complaints will continue as
separate complaint numbers and can be consolidated during Final Resolution.
i. An agreed resolution will list all complaint numbers it intends to resolve.
ii. A referral for hearing will list all complaints it resolves. The hearing officer
will assign a consolidated case number, which upon Final Order will resolve
all listed complaints.
IV. Rebuttal
A. The certificate holder shall have the right to file a written rebuttal with the EPSB
within thirty (30) calendar days from the date the certificate holder receives the
notice of complaint or report from the EPSB via the KECS portal.
i. To request a rebuttal extension, the certificate holder or their attorney shall
send their request in writing to the EPSB’s Clerk of Court. The request may
be sent by email or KECS
ii. A thirty (30) calendar day extension shall be granted upon written request,
as long as the written request was received by staff by 12:00 P.M. EST on
the date of expiration.
B. Rebuttals, including ones submitted by an attorney, should contain a statement
that the certificate holder affirms the veracity of the statements made in the
rebuttal to the best of their knowledge.
V. Follow Up Review
A. Within ten (10) business days of the end of the response period established in
Subsection IV of this section, EPSB staff shall conduct another review of the
complaint to determine if sufficient credible evidence exists to support a
violation.
6
i. If the follow up complaint review determines the information is
insufficient to support a violation of KRS 161.120(1), staff shall
recommend dismissal of the complaint and send notice to the certificate
holder via KECS within seven (7) business days that dismissal will be
recommended to the EPSB. Notice will also be sent to the complainant.
ii. If EPSB staff determine that evidence is sufficient to warrant EPSB
review, then the certificate holder will receive a notification via KECS
within seven (7) business days that further proceedings will occur. The
notification will also include next steps for a potential resolution
conference (“PRC”). The complainant will also receive notice stating
further proceedings shall occur.
VI. Potential Resolution Conference
A. An EPSB attorney shall meet with the certificate holder during the scheduled PRC
to discuss a potential agreed resolution to be presented to the EPSB for approval.
The certificate holder may have an attorney present at the PRC.
B. An EPSB attorney may extend an offer of resolution to be presented to the EPSB
for approval. The certificate holder shall have until the deadline provided by the
EPSB attorney to accept or decline the offer. If the signed offer is not returned prior
to the deadline, the offer is considered declined, and the matter will be presented to
the EPSB for action during closed session review.
C. The certificate holder may decline the PRC. If the certificate holder fails to attend
at his/her scheduled time, the PRC will be considered waived. No extensions or
rescheduling will be granted, due to statutory timeline requirements.
VII. Closed Session Review Docket
A. Timeline
i. All complaints that have completed the PRC phase, either by attendance or
waiver, shall be placed on the next available docket for EPSB review.
ii. In order to provide the EPSB with sufficient time to review all closed
session materials, the Closed Session Review Docket closes at 12:00 P.M.,
Eastern Time, five (5) days prior to the scheduled EPSB meeting. EPSB
members will receive a docket list of certificate holders’ names with links
to the relevant files five (5) days prior to the scheduled EPSB meeting date.
B. Contents
i. Closed session review includes, but is not limited to the following:
1. Reports and complaints received pursuant to KRS 161.120 found
to contain sufficient credible evidence and any corresponding
rebuttals submitted;
2. Certification applications that are required to be reviewed by the
EPSB pursuant to the Procedures Relating to Character and
Fitness Applications;
7
3. Agreed Orders of settlement;
4. Recommended Orders received pursuant to KRS 13B.110, if the
period to file exceptions has lapsed; and
5. Motions to Reconsider received pursuant to KRS 161.120(10).
C. EPSB Review
i. The EPSB will discuss the reports and complaints in closed session.
ii. When making a determination as to how to proceed, the EPSB shall
consider the following actions:
1. Dismissal with Prejudice: Dismissal with Prejudice is
appropriate when the merits of the case do not warrant any action
by the EPSB. Dismissal with Prejudice is also appropriate after
the certificate holder has completed the training requested by the
EPSB through Deferral for Training and provided written proof
to the EPSB.
a. An Order of Dismissal with Prejudice constitutes Final
Action.
b. Orders of Dismissal with Prejudice are filed as part of the
case file. Pursuant to the EPSB’s Records Retention
Schedule, certificate holder Disciplinary Records must be
retained one (1) year after notification of the certificate
holder’s death.
2. Dismissal without Prejudice: The EPSB determines that action
is not warranted at the time of review and the decision can be
reconsidered at a future date. Dismissal without Prejudice is
based on other factors including, but not limited to, incomplete
reporting and / or lack of cooperation by witnesses.
a. A dismissal at this juncture does not prohibit the alleged
conduct from being the subject of a new report or
complaint.
3. Conditional Dismissal upon Completion of Training (Defer
for Training): The EPSB determines that additional professional
development of a certificate holder is warranted. The EPSB may
offer the certificate holder an opportunity to complete specific
training within a specified time period. If the certificate holder
completes the training within the time period, the certificate
holder shall present written proof of training to the EPSB. The
EPSB will then enter an Order of Dismissal with Prejudice if the
EPSB determines that the certificate holder has satisfactorily
completed the training requirement.
a. The certificate holder shall have six (6) months to
complete the training from the date the EPSB makes the
8
recommendation. An extension shall only be granted in
cases of extraordinary circumstances and shall be at the
discretion of the EPSB.
b. It is the certificate holder’s responsibility to identify and
seek appropriate approval for training. If the certificate
holder takes a training course that has been pre-approved
by the EPSB, no additional approval is required. If the
certificate holder locates a training that has not been pre-
approved by the EPSB, the certificate holder should
request one- time approval prior to completing the training
by following the instructions on the most recent EPSB
training list on the EPSB website.
c. Deferral for Training does not constitute final action.
iii. Admonishment: An admonishment is a written censure issued by the
EPSB pursuant to KRS 161.120(5). An admonishment is placed in the
case file of the certificate holder.
1. The Educator may appeal an admonishment pursuant to KRS
161.120(5).
2. If the educator does not file a request for a hearing on the
admonishment within thirty (30) calendar days, the
admonishment is considered final action.
iv. Further Investigation: During this action, the assigned attorney will
review and evaluate the evidence; gather information and prepare a
recommendation for the EPSB in the form of a recommended agreed
resolution, recommendation for sanction, or dismissal.
v. Initiation of a Hearing: Upon receipt of a recommendation for sanction,
the EPSB shall either vote to initiate the hearing or send the matter back
for further investigation.
vi. Approve or Deny a Recommended Agreed Resolution: The EPSB is
presented with an agreed-upon proposed resolution and can either
approve or deny the resolution. If the EPSB accepts the resolution, the
matter shall be closed subject to the terms of the resolution. Acceptance
of a recommended agreed resolution is considered final action. If the
EPSB denies the resolution, the case shall be sent for further investigation
or other EPSB action.
vii. Deferral, Pending Proceeding: The matter may be held in abeyance.
This action may be appropriate when the content of the complaint is
subject to an ongoing: Criminal investigation or proceedings; Child
abuse, dependency, or neglect investigation by an authorized state
agency; or Teacher tribunal process as provided in KRS 161.790. A
deferral is not considered final action.
viii. Deferral, Agreement: The EPSB and the certificate holder agree to hold
9
the matter in abeyance in writing. A deferral is not considered final
action.
D. Potential Sanctions
i. Admonishment: An admonishment is a written censure issued by the
EPSB pursuant to KRS 161.120(5). An admonishment is placed in the
case file of the certificate holder.
ii. Reprimand: a reprimand is a formal written censure. A reprimand may
only be utilized in an Agreed Order or a Final Order.
iii. Suspension: a suspension is a process by which the EPSB temporarily
deactivates a certificate holder’s certification for a specified period of
time, not to exceed two years. KRS 161.120(11). At the conclusion of the
specified period of time, the EPSB’s staff is required to reactivate the
certificate upon a demonstration that the certificate holder has complied
with any reinstatement conditions that may be set forth in an agreed order
or final order. KRS 161.120(11).
iv. Permanent Revocation: a revocation is a permanent forfeiture of an
educator’s certification for the time period of the certificate holder’s
natural lifespan. Any application submitted for the certificate holder at
any time in the future shall be denied.
1. Permanent revocation may be warranted in some cases. Examples
of some cases revocation may be warranted may include, but are
not limited to, the following scenarios:
a. engaging in any sexual contact with a student or minor;
b. soliciting any sexual contact with a student or minor;
c. possessing or distributing child pornography;
d. being registered as a sex offender;
e. committing criminal homicide;
f. transferring, selling, distributing, or conspiring 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,
g. receiving disciplinary action or having the issuance of a
certificate denied or restricted by 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 action is a violation of
Kentucky law.
v. Revocation: a revocation is a permanent forfeiture of a certificate
holder’s certification for a period no less than 3 years. The EPSB is
10
required to establish the minimum period of time before an applicant can
reapply for a new certificate. KRS 161.120(12). Once the period of time
has expired, the EPSB may consider a former educator’s re-application
for certification upon demonstration by the applicant that the former
educator is again fit for practice. KRS 161.120(12).
vi. Voluntary Surrender: a surrender occurs when an educator voluntarily
agrees to a permanent forfeiture of the educator’s certificate. Voluntary
surrender acts as a permanent revocation of the certificate.
vii. Probationary Conditions: the EPSB also has the authority to impose
probationary or supervisory conditions upon an educator’s certificate.
KRS 161.120(1). This authority shall include but is not limited to the
authority to require training, drug testing, and fit for duty assessments.
VIII. Notice of EPSB Action
A. The notice of EPSB action will be uploaded electronically to the KECS portal
and an electronic notice will be sent within seven (7) business days of the EPSB
meeting.
i. Service of Notice of EPSB Action will be via an email to the account on
file within the KECS system as well as an alert on the dashboard.
ii. The Receipt of Notice date shall be the date that the notice is uploaded to
KECS and electronic notice issued.
B. Notice of EPSB action will be sent to the superintendent if the complaint was
submitted by the superintendent.
C. Notice of EPSB action will be sent to the employing superintendent if they were
the complainant pursuant to KRS 161.120(3)(c) or if the action impacts the
certificate holder’s eligibility for employment.
Section 3. Hearing Process
The EPSB must initiate a due process hearing before sanctions are imposed upon a
certificate holder’s certificate, unless sanctions are agreed to by the parties. KRS
161.120(6)(a), KRS 161.120(7). A hearing may also be initiated upon timely request of the
certificate holder after receiving an admonishment or after the certificate holder’s
application for certification has been denied. KRS 161.120(6)(a). The administrative
hearing shall be conducted in conformance with the provisions of KRS Chapter 13B. In all
cases, the EPSB shall initiate the administrative hearing process through a “Notice of
Hearing and Statement of Charges and Issues” (Statement of Charges) that informs the
certificate holder of the specific reason for the proposed action including the statutory
and/or regulatory violation(s), the factual basis on which the action is based, and the penalty
the EPSB is seeking. The hearing process begins once the EPSB approves and issues a
Statement of Charges prepared by the assigned attorney.
I. Agreed Orders
A. At any point during the hearing process, the EPSB staff has the authority to enter
11
into discussions with a certificate holder or a certificate holder’s attorney to
resolve the action by agreed order. KRS 161.120(7). If the certificate holder enters
into an agreed order, the certificate holder waives the due process rights afforded
under KRS 161.120 and KRS 13B.
II. Filing Statement of Charges
A. Once the EPSB has voted the case to further investigation and the assigned
attorney has investigated the matter thoroughly, made an offer of settlement that
was declined or waived due to failure to comply with the set deadline, the
assigned attorney shall draft a recommendation either for sanction or dismissal
for the EPSB to review. A recommendation for sanction shall be accompanied
by a Statement of Charges.
B. The EPSB will review, and if the EPSB determines sanctions may be warranted,
they will vote to initiate a hearing and approve the Statement of Charges.
C. Upon determination that sanctions may be warranted, the original Statement of
Charges shall be filed with the EPSB’s Clerk of Court within two (2) business
days.
i. A copy shall be sent to the certificate holder’s last known address by
certified mail, return receipt requested.
ii. A copy of the Statement of Charges shall also be sent to the certificate
holder’s attorney, if any.
iii. The EPSB staff shall forward a copy of the Statement of Charges to an
appointed hearing officer as set forth in KRS Chapter 13B.
III. Timing
A. In any administrative hearing, the Hearing Officer shall conduct the hearing as
soon as practicable.
B. If after the hearing is scheduled, the certificate holder or applicant submits a
request for an expedited hearing, and the hearing shall be conducted within sixty
(60) calendar days of the request.
IV. Record
A. The original of all filings shall be submitted to the EPSB’s Clerk of Court by
email ([email protected] and copies of any filed item
shall be served on all parties and the hearing officer by email, or any other
means permitted by law.
V. Location of Hearing
A. Unless otherwise agreed to by the parties, all hearings shall be conducted in the
offices of the EPSB.
VI. Right to a Private Hearing
A. The certificate holder may request in writing a public or private hearing pursuant
to KRS 161.120(6)(c). If the certificate holder fails to specifically request a private
hearing in writing at least five days prior to the hearing, the certificate holder is
12
deemed to have waived the right to a private hearing and a public hearing will be
conducted.
VII. Burden of Proof [KRS 13B.090(7)]
A. The EPSB has the burden of proof on any proposed action on a certificate that
is currently held, was held at the time the violations were alleged to have
occurred, or if a certificate was granted and new information was discovered
that was undisclosed in the application process. .
B. The EPSB must demonstrate by a preponderance of the evidence in the record
that the penalty sought is appropriate.
C. The EPSB may consider the following when determining the appropriateness
of the sanctions:
i. The seriousness of the alleged violation;
ii. Whether there were any prior violations;
iii. Whether training is appropriate to prevent further violations;
iv. Whether the sanction is necessary to deter future violations; or
v. Other relevant circumstances or facts.
D. The EPSB does not have the burden of proof on an Applicant’s appeal of the
EPSB’s denial of an application of certification, or any other entitlement sought
by the applicant.
i. The applicant has the burden of proof and the ultimate burden of
persuasion as to that issue.
ii. The applicant must demonstrate by a preponderance of the evidence in
the record entitlement to the benefit sought.
VIII. Recommended Order
A. Sanctions. The hearing officer’s Recommended Order shall include only those
sanctions that are permitted pursuant to KRS 161.120(1) and shall not exceed
the time limits set forth in KRS 161.120(11) - (12).
B. Factors. The hearing officer shall determine whether the requested penalty is
appropriate, and, if not, make an appropriate penalty recommendation based on
the evidence and factors listed in 16 KAR 1:030 Section 3(4).
C. Filing of Exceptions.
i. Service. A party may file any exceptions to the Recommended Order
within 15 days of the date the Recommended Order is mailed in
accordance with KRS 13B.110(4), if applicable. The original shall be
filed with the EPSB’s Clerk of Court by email
([email protected]) and copies shall be served on
all parties and the hearing officer by email, or any other agreed upon
means permitted by law.
ii. Waiver. Any disagreement with a factual finding, conclusion of law, or
13
recommended disposition in the Recommended Order not contained in
an exception to the Recommended Order shall be waived.
iii. Form of Exceptions. Each exception to a finding of fact, conclusion of
law, or recommended disposition shall be concisely stated and should
summarize the evidence in support of each exception.
1. Any evidence or arguments relied upon shall be grouped under
the exceptions to which they relate.
2. In summarizing evidence, the parties shall include a specific
citation to the hearing record where such evidence appears or
shall attach the relevant excerpts from the hearing record.
3. Arguments should be logical and coherent and citations to
authorities shall be complete.
iv. Basis for Exceptions. Exceptions to the Recommended Order may
include the following:
1. the hearing officer has made an incorrect conclusion of law;
2. the hearing officer has failed to make an essential finding of fact;
3. the hearing officer applied the incorrect burden or standard of
proof;
4. the findings of fact do not support the conclusions of law;
5. the hearing officer has made a finding of fact that is not
supported by the preponderance of the evidence; or
6. the hearing officer recommended a sanction not permitted by
law.
IX. Disclosure of Record Before Final Order Issued
A. Regardless of whether a certificate holder elects to proceed with a private or
public hearing, the Recommended Order and hearing transcript is considered
preliminary and, therefore, exempt from disclosure pursuant to KRS 61.878
until the EPSB issues its Final Order. After the EPSB issues its Final Order, all
records, not otherwise exempt by law, will be subject to disclosure pursuant to
Kentucky’s Open Records Act.
X. Issuance of Final Order
A. Closed Session. All recommended orders, and any duly filed exceptions, shall
be reviewed by the EPSB in closed session. KRS 61.810 (1)(c) and (j).
B. Final Order. Once the EPSB has returned to open session, and the EPSB chair
has certified that a quorum is present, the EPSB shall vote in accordance with
KRS 13B.120.
C. Signature Authority. The EPSB may delegate to the chair the authority to sign
on behalf of a majority of the EPSB members a decision made, or order issued.
D. Copies. A copy of the Final Order shall be sent to the certificate holder by
14
certified mail, return receipt requested. A copy shall also be sent to the
certificate holder’s attorney, if any, the reporting party, the appointed hearing
officer, and the EPSB attorney by email or any other agreed upon means
permitted by law. If the reporting party was a superintendent, they shall also
receive a copy of the Final Order. If the Final Order impacts the certificate
holder’s eligibility for employment, the EPSB staff shall also send a copy to the
certificate holder’s employing district.
E. Disclosure of Case File After Final Order Issued. Regardless of whether a
certificate holder elected to proceed with a public or private hearing, the case
file including, but not limited to, the Final Order, the Recommended Order, and
the hearing transcript, is subject to disclosure upon the EPSB’s issuance of its
Final Order unless specifically closed by the hearing officer pursuant to a
provision of law.
F. Redaction. Prior to the public disclosure of the case file in accordance with KRS
61.870, et seq., staff shall ensure that any information otherwise prohibited from
disclosure by law or regulation is redacted.
G. Administrative Finality. All Final Orders are appealable to Franklin Circuit
Court or the circuit court of the county in which the certificate holder was
employed when the incident occurred as outlined in KRS Chapter 13B and KRS
161.120.
Section 4. Suspension, Surrender, or Revocation of a Certificate
The EPSB has the authority to suspend or revoke a certificate holder’s certificate under KRS
161.120(1). Suspension of a certificate shall be for a specific period of time, not to exceed two
years and may be reinstated after the suspension period, if all required conditions are met. KRS
161.120(11). Revocation of a certificate is a permanent forfeiture of the certificate. If the
revocation is for a term of years, an applicant may apply for a new certificate at the end of the
revocation period, if all required conditions are met. KRS 161.120(12).
I. When the EPSB issues an order of suspension, surrender, or revocation, staff provide a
copy of the order to the certificate holder. Copies shall also be sent to the certificate
holder’s attorney, if any, the appointed hearing officer, if any, and the reporting
superintendent, if any. For prospective suspensions, surrenders, and revocations, the
EPSB staff shall also send a copy to the certificate holder’s employing district.
II. The order of suspension, surrender, or revocation of a certificate shall become part of
the certificate holder’s case file maintained by the EPSB.
III. Following each EPSB meeting, staff shall ensure that:
A. The suspension, surrender, or revocation is noted on the EPSB website.
B. The period of suspension shall only be noted on the website while the certificate
is suspended.
C. The period of revocation shall be noted on the certificate and shall remain on
the EPSB website.
15
D. The suspension, surrender, or revocation is noted in the National Association of
State Directors of Teacher Education and Certification (NASDTEC)
Clearinghouse.
E. The Clearinghouse is a searchable database administered by NASDTEC relating
to certificate holder certification and discipline. Only NASDTEC members have
access to the Clearinghouse.
Section 5. Reinstatement of a Suspended Certificate or Reissuance of a Certificate after
Revocation
I. Reinstatement. Upon reinstatement, staff shall ensure that:
A. The suspension is no longer noted on the website; and
B. The reinstatement of the suspended certificate is noted in the NASDTEC
Clearinghouse.
II. Reissuance. Upon reissuance, the EPSB staff shall ensure the reissuance of a revoked
certificate is noted in the NASDTEC Clearinghouse.
Section 6. Probationary Conditions
The EPSB has the authority to impose probationary or supervisory conditions upon a
certificate holder’s certificate under KRS 161.120(1). Probationary or supervisory
conditions may be imposed through an Agreed Order pursuant to KRS 161.120(9) or a
Final Order pursuant to KRS 13B.120.
I. Compliance
A. The certificate holder shall provide written proof of compliance with the
probationary or supervisory conditions within the timeframe specified in the
Agreed Order or Final Order.
B. Proof of compliance shall be uploaded to staff via the KECS portal unless
another method is agreed upon by both parties.
C. It is the certificate holder’s responsibility to ensure written proof of the
condition has been received by staff.
D. It is the certificate holder’s responsibility to ensure their KECS account
information is up to date including but not limited to mailing address, email
address, and phone number.
E. Using a work or district email or mailing address is not advised with KECS. If
a certificate holder is terminated or suspended, their access to those methods is
also likely suspended.
F. It is the certificate holder’s responsibility to regularly check their KECS account
and/or the email address the certificate holder has noted in KECS.
II. Noncompliance.
A. If the certificate holder fails to provide written proof of compliance with the
16
probationary or supervisory conditions within the timeframe specified in the
Agreed Order or Final Order, staff shall send the certificate holder a ten-day
letter (Letter) via the KECS portal. The Letter shall:
i. Notify the certificate holder that the certificate holder has failed to
comply with a probationary or supervisor condition(s);
ii. Restate the probationary or supervisory condition(s) that the certificate
holder has failed to comply with, in full;
iii. Inform the certificate holder that the certificate holder has ten (10)
calendar days from the date the Letter is uploaded to the KECS portal to
submit written proof of compliance with the probationary or supervisory
conditions to the EPSB or the certificate holder’s certificate will be
sanctioned according to the terms of the Agreed Order or Final Order;
and,
iv. Provide a point of contact.
B. If the certificate holder provides written proof of compliance with the
probationary or supervisory conditions after receiving the Letter, the certificate
holder’s certificate will not be sanctioned.
C. If the certificate holder fails to provide written proof of compliance with the
probationary or supervisory conditions after the ten (10) calendar days has
lapsed, the EPSB staff shall sanction the certificate holder’s certificate in
accordance with the terms of the Agreed Order or Final Order and notify the
certificate holder of the sanction.
III. Drug Testing
A. If a certificate holder has been ordered, through an Agreed Order or a Final
Order, to submit to drug testing, staff shall send the certificate holder a Notice
of Drug Testing Letter (Drug Testing Letter) via the KECS portal. The Drug
Testing Letter shall:
i. Notify the certificate holder that the certificate holder is required to
complete drug testing at a state approved facility;
ii. Restate the drug testing condition in the Agreed Order or Final Order,
in full;
iii. Provide a point of contact for receipt of the drug test results;
iv. Inform the certificate holder that the certificate holder has 48 hours from
the date and time the Drug Testing Letter is uploaded to the KECS
portal, to submit a sample to a state approved facility, and to sign a
confidentiality waiver for the EPSB to receive the drug test results; and,
v. If the certificate holder fails to submit a sample to an EPSB approved
facility within 48 hours, staff shall sanction the certificate holder’s
certificate in accordance with the terms of the Agreed Order or Final
Order and notify the certificate holder of the sanction.
17
Section 7. Motions to Reconsider, Modify or Reverse
The EPSB may reconsider, modify, or reverse its decision on any disciplinary matter upon
a motion by one of the parties or on its own volition. KRS 161.120(10). A certificate holder
or the certificate holder’s attorney may request that the EPSB reconsider, modify, or reverse
its decision on any disciplinary matter by filing a motion with the EPSB.
I. Timing. A motion may be filed at any time to be included in the next available Closed
Session Review Docket.
II. Standard. A motion to reconsider may only be granted on grounds of extraordinary
circumstances and is at the discretion of the EPSB.
III. Evidence. The motion may include any evidence that circumstances have changed
since the disciplinary action was taken, any evidence that the certificate holder has been
rehabilitated or paid restitution for past actions, and any other relevant facts and
circumstances. Evidence submitted may include but is not limited to sworn affidavits,
court or medical records, and letters of support.
July 15, 2024 Meeting Action Item D
KENTUCKY DEPARTMENT OF EDUCATION
STAFF NOTE
Action Item:
Education Professional Standards Board Meeting Schedule
Rationale:
To ensure that educator cases are not dismissed for failure to comply with the timelines created by
House Bill 300 from the 2024 legislative dession, the Education Professional Standards Board (EPSB)
will need to update the board meeting scheduled.
Action Question:
Should the EPSB approve the updated meeting schedule?
Applicable Statute or Regulation:
KRS 161.028, KRS 161.120
History/Background:
Existing Policy: The current schedule calls for the EPSB to meet on the second Monday of even
numbered months (February, April, June, August, October, and December), except for the months of
June and August. In June and August, the EPSB shall meet on the third Monday of the month.
Summary: Last Fall, the EPSB began discussing the meeting schedule and the possibility of moving
the meetings to the third Monday of even numbered months. The Board also discussed permanently
adding a meeting towards the end of July to resolve pending certification issues before the start of
each school year. As the legislative session progressed, the EPSB tabled this discussion to monitor
HB 300. The final version of HB 300, amended KRS 161.120 to include strict timelines for review
and action on complaints of educator misconduct including the provision that if the EPSB “fails to
act on the complaint within the thirty (30) calendar days, then the complaint shall be considered
dismissed.” To avoid dismissal of cases, the EPSB will need to increase the frequency of meeting.
At the June meeting, the EPSB discussed a proposed meeting schedule that set regular meetings on
the third week of even numbered months and added virtual meetings between regular meetings to
focus on educator cases. At the meeting, the Board also discussed moving the regular meetings from
Mondays to another day of the week. The proposed schedule sets regular meetings on the third
Tuesday of even numbered months and sets virtual meetings for Monday afternoons from 4:00-6:00
PM ET. A copy of the meeting schedule is included for EPSB review.
Budget Impact: There will be costs associated with meeting more frequently.
Contact Person:
Cassie Trueblood, Counsel and Policy Advisor
Office of Educator Licensure and Effectiveness
(502) 564-4606
Email: cassie.trueblood@education.ky.gov
-Full Board Meeting Dates -Closed Session Review (2HR Virtual Meeting)
- KBE Meetings
2024-2025
Calendar
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July 15, 2024 Meeting Action Item E
KENTUCKY DEPARTMENT OF EDUCATION
STAFF NOTE
Action Item:
16 KAR 2:030. Substitute Teachers, Emergency and Ordinary Amendment
Staff Recommendation:
The Education Professional Standards Board (EPSB) should approve the emergency amendment
and accompanying ordinary amendment to 16 KAR 2:030 to update the standards and
requirements for certification for substitute teaching to comply with the amendments to KRS
161.102 in House Bill 387.
Rationale:
This emergency administrative regulation is being promulgated to meet an imminent deadline for
the promulgation of an administrative regulation that is established by state statute. During the
2024 legislative session, the General Assembly passed HB 387 and the Governor signed it on April
19, 2024. This legislation becomes effective on July 15, 2024; therefore, an emergency amendment
is needed to set the application requirements for the three certificates for substitute teaching created
by this bill. The ordinary amendment is identical to the emergency amendment.
Action Question:
Should the EPSB approve the emergency and ordinary amendment to 16 KAR 2:030?
Applicable Statute or Regulation:
KRS 13A.190, KRS 161.028, KRS 161.020, KRS 161.102, 16 KAR 2:030
History/Background:
Existing Policy: On April 19, 2024, Governor Beshear signed House Bill 387 into law. This bill
becomes effective on July 15, 2024. House Bill 387 amends KRS 161.102 to create and set the
education requirements for three certificates for substitute teaching: a one (1) year emergency
certificate for substitute teaching, a five (5) year certificate for substitute teaching, and a ten (10)
year certificate for substitute teaching. 16 KAR 2:030 is the administrative regulation promulgated
by the EPSB to set the standards for the certificate for substitute teaching and the priority selection
process.
KRS CH 13A.190 allows for the promulgation of an emergency administrative regulation to meet
an imminent deadline for the promulgation of an administrative regulation that is established by
state statute. This emergency administrative regulation will be replaced by an ordinary
administrative regulation because the requirements for certification under this route are expected
to remain in statute. The ordinary administrative regulation is identical to this emergency
administrative regulation.
July 15, 2024 Meeting Action Item E
Summary: The proposed amendment to 16 KAR 2:030 sets the application requirement for the
three certificates for substitute teaching in line with the education requirements for each certificate
established in KRS 161.102. The amendment also updates the priority selection process to account
for the new certificates and removes the emergency noncertified personnel program since those
candidates are now eligible for a one (1) year emergency substitute certificate. A copy of the
amended regulation and guidelines is included for EPSB review.
Budget Impact: There is no budgetary impact.
Contact Person:
Cassie Trueblood, Counsel and Policy Advisor
Office of Educator Licensure and Effectiveness
(502) 564-4606
Email: cassie.trueblood@education.ky.gov
Statement of Emergency
16 KAR 2:030 E
This emergency administrative regulation is being promulgated to meet an imminent deadline for
the promulgation of an administrative regulation that is established by state statute. During the
2024 legislative session, the General Assembly passed House Bill 387 and the Governor signed it
into law on April 19, 2024. This legislation, which is slated to become effective on July 15, 2024,
amends KRS 161.102 to create three certificates for substitute teaching to be issued by the
Education Professional Standards Board (EPSB). As there are only eighty-seven (87) days between
the Governor signing this bill into law and its effective date, the ordinary administrative regulation
process would not allow the EPSB time to promulgate an ordinary administrative regulation to be
effective when the bill goes into effect. Therefore, the emergency regulation is necessary to set the
standards and requirements for issuance of the certificates for substitute teaching when the bill
goes into effect. This emergency administrative regulation will be replaced by an ordinary
administrative regulation because the certificates for substitute teaching are expected to remain in
statute. The ordinary administrative regulation is identical to this emergency administrative
regulation.
________________________________
Andy Beshear, Governor
________________________________
Justin Mitchell, Chair
Education Professional Standards Board
1
EDUCATION AND LABOR CABINET 1
Education Professional Standards Board 2
(Emergency Amendment) 3
16 KAR 2:030E. Substitute teachers[and emergency school personnel]. 4
RELATES TO: KRS 161.020, 161.028(1)(a), (f), 161.030[(1), (9)], 161.100 5
STATUTORY AUTHORITY: KRS 161.020, 161.028(1)(a), (f), 161.030[(1), (9)], 161.100, 6
161.102 7
NECESSITY, FUNCTION, AND CONFORMITY: KRS 161.020, 161.028, and 161.030 require 8
that a teacher and other professional school personnel hold a certificate of legal qualifications for 9
the respective position issued by the Education Professional Standards Board(EPSB). KRS 10
161.102 creates a one (1) year, five (5) year and ten (10) year certificate for substitute 11
teaching.[KRS 161.100 provides for the issuance of an emergency certificate]. This administrative 12
regulation establishes the requirements for the issuance of the certificates for substitute 13
teaching and[a Certificate for Substitute Teaching,] the priority selection process for employing 14
a substitute teacher.[, and the Emergency Noncertified School Personnel Program.] 15
Section 1. One (1) Year Emergency Certificate for Substitute Teaching. 16
(1) The superintendent of the local school district and the board of education may 17
establish the need for emergency substitute teachers on the basis of anticipated shortages of 18
regularly certified teachers and substitute teachers. 19
2
(2) A one (1) year emergency certificate for substitute teaching may be issued to a 1
candidate who possesses a minimum of a high school diploma or high school equivalency 2
diploma. 3
(3) A local school district shall review the qualifications and transcripts for each applicant 4
for an emergency substitute certificate and verify to the EPSB that the candidate possesses a 5
minimum of a high school diploma or a high school equivalency diploma. 6
(4) Application for the one (1) year emergency certificate for substitute teaching shall be 7
submitted to the EPSB and shall: 8
(a) Contain verification of an offer of employment in a Kentucky school district; 9
(b) Contain verification that the candidate possesses a minimum of a high school diploma 10
or high school equivalency; and, 11
(c) Be in compliance with 16 KAR 2:010, Section 3(1). 12
Section 2. Five (5) Year Certificate for Substitute Teaching 13
(1) A five (5) year certificate for substitute teaching may be issued to a candidate who 14
possesses a bachelor’s degree from a regionally or nationally accredited postsecondary 15
education institution. 16
(2) Application for the five (5) year certificate for substitute teaching shall be submitted 17
to the EPSB and shall: 18
(a) Contain an official transcript from the college or university attended resulting in a 19
bachelor’s degree; and 20
(b) Be in compliance with 16 KAR 2:010, Section 3(1). 21
(3) Application for renewal of the five (5) year certificate for substitute teaching shall be 22
submitted to the EPSB and be in compliance with 16 KAR 2:010, Section 3(1). 23
3
(4) The five (5) year certificate for substitute teaching shall be issued at a Rank IV. 1
Section 3. Ten (10) Year Certificate for Substitute Teaching 2
(1) A ten (10) year certificate for substitute teaching may be issued to a candidate who: 3
[(1) The Certificate for Substitute Teaching shall be issued in accordance with the pertinent 4
Kentucky statutes and administrative regulations of the Education Professional Standards Board 5
to an applicant who:] 6
(a) Holds a valid statement of eligibility for a Kentucky teaching certificate; [or] 7
(b) Has previously held a Kentucky certificate for classroom teaching for which the completion 8
(c) Currently holds or previously held a valid out-of-state teaching certificate for which 10
the completion of a four (4) year program of teacher preparation and a bachelor's degree 11
were required. 12
(2) Application for the ten (10) year certificate for substitute teaching shall be submitted 13
to the EPSB and shall: 14
(a) Contain an official transcript from the college or university attended resulting in a 15
bachelor’s degree; and 16
(b) Be in compliance with 16 KAR 2:010, Section 3(1). 17
(3) Application for renewal of the ten (10) year certificate for substitute teaching shall be 18
submitted to the EPSB and be in compliance with 16 KAR 2:010, Section 3(1). 19
(4) A teacher holding a valid Kentucky teaching certificate shall be issued a ten (10) year 20
certificate for substitute teaching at the rank designated on the teacher's regular certificate. 21
4
(5) A teacher holding or previously holding a valid out-of-state teaching certificate shall 1
be issued a ten (10) year certificate for substitute teaching at the rank corresponding to the 2
teacher's regular certificate. 3
[(2) The Certificate for Substitute Teaching shall be issued initially for a duration period of five 4
(5) years and may be reissued or renewed upon recommendation of the employing school district 5
superintendent. 6
(3) The Certificate for Substitute Teaching shall: 7
(a) Be valid for substitute teaching; and 8
(b) Not be valid: 9
1. For continuous part-time employment for classroom teaching; or 10
2. As a permanent replacement for a teacher of record for the remainder of the school year.] 11
Section 5[Section 2]. To employ a substitute teacher during the temporary absence of the 12
teacher of record for a position, priority in selection and employment shall be given in accordance 13
with the following order: 14
(1) A teacher who holds appropriate regular certification corresponding to the grade level of the 15
teaching assignment; 16
(2) A teacher who holds regular certification for classroom teaching at any grade level; 17
(3) A teacher who holds the ten (10) year certificate for substitute teaching[Certificate for 18
Substitute Teaching]; 19
(4) A candidate who holds the five (5) year certificate for substitute teaching; 20
(5) A candidate who holds the one (1) year emergency certificate for substitute teaching. 21
5
[(4) Except as provided in subsection (5) of this section, a person certified on an emergency basis 1
for substitute teaching pursuant to 16 KAR 2:120, who shall be called according to the following 2
descending order relating to the amount of college hours completed: 3
(a) A Bachelor's degree; 4
(b) At least ninety-six (96) semester hours of college credit; 5
(c) From sixty-four (64) to ninety-five (95) semester hours of college credit; 6
(5) A person certified on an emergency basis for substitute teaching in a health, technical, or 7
industrial occupation with a minimum of four (4) years of occupational experience in the area to 8
be taught and a high school diploma or its equivalent as determined by evidence of a passing 9
score on the General Education Development Test. 10
Section 3. If a district is unable to employ a substitute teacher using the priority selection process 11
established in Section 2 of this administrative regulation, a district may utilize a person through 12
the Emergency Noncertified School Personnel Program established by the Education Professional 13
Standards Board. A district seeking participation in this program shall apply to and receive 14
approval from the Education Professional Standards Board on an annual basis. 15
(1) A district shall submit a written letter of application for participation in the Emergency 16
Noncertified School Personnel Program. A district may make application at any time during the 17
school year. The application letter shall be reviewed for approval by the Education Professional 18
Standards Board based upon the following documented components: 19
(a) The number of teaching days not filled with an appropriately certified teacher or 20
appropriately certified emergency substitute in the preceding school year; 21
(b) The extent and anticipated usage of emergency school personnel; 22
(c) A plan to eliminate the need for emergency school personnel in the future; 23
6
(d) The steps taken by the district to recruit and retain emergency certified personnel; 1
(e) The recruitment of persons with a high school diploma or its equivalent as determined by 2
evidence of a passing score on the General Education Development Test, age twenty-five (25) 3
or over, except an individual enrolled in an approved teacher education program who may be 4
less than twenty-five (25) years old; 5
(f) Recruitment of parents or other paraprofessionals assigned to the school; 6
(g) A detailed outline of a minimum eighteen (18) clock hour orientation program including 7
emphasis on student safety, district policies, and procedures; and 8
(h) An outline of the district screening process, including the required criminal record and 9
reference check. 10
(2) Upon Education Professional Standards Board approval of the plan for the school year, the 11
district shall: 12
(a) Submit a list, by name, Social Security number, and school, of personnel meeting the 13
requirements established in subsection (1) of this section; 14
(b) Submit a quarterly report to the Education Professional Standards Board identifying the 15
number of days personnel were utilized under this plan; 16
(c) Submit a summary evaluation of the program at the end of the school year for which 17
approval was received from the Education Professional Standards Board; and 18
(d) 19
1. Utilize emergency school personnel in a single school for which the staff member has been 20
approved and assigned by the district; or 21
7
2. If the staff member participated in the district's Emergency Noncertified School Personnel 1
Program the previous school year, the district may choose to utilize the staff member in more 2
than one (1) school in the district. 3
(3) A district that was approved by the Education Professional Standards Board to operate an 4
Emergency Noncertified School Personnel Program the preceding year may file Form TC-EN 5
requesting renewal for continuation of the program. Renewal shall be contingent upon: 6
(a) Demonstration of the continued need for the program; and 7
(b) Successful evaluation of the previous year's program pursuant to reporting requirements of 8
this administrative regulation. 9
Section 4. Incorporation by Reference. 10
(1) Form TC-EN, May 2002, is incorporated by reference. 11
(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at 12
the Education Professional Standards Board, 100 Airport Road, 3rd Floor, Frankfort, Kentucky 13
40601, Monday through Friday, 8 a.m. to 4:30 p.m.] 14
July 15, 2024 Meeting Action Item F
KENTUCKY DEPARTMENT OF EDUCATION
STAFF NOTE
Action Item:
16 KAR 5:040. Extension of Student Teacher Waivers
Staff Recommendation:
flexibilities for the 2024-2025 school year.
Rationale:
The EPSB has previously approved waivers allowing experience that a student teacher acquired
as an emergency certified substitute teacher to meet the requirements of student teaching,
allowing student teachers to maintain classified employment, and allowing all student teaching
observations to be performed remotely for all educator preparation programs. The EPSB has also
indicated that future amendments to 16 KAR 5:040 should incorporate these flexibilities.
Action Question:
Should the EPSB extend the student teaching flexibilities through the 2024-2025 school year?
Applicable Statute or Regulation:
KRS 161.010, KRS 161.028, KRS 161.042, 16 KAR 5:040
History/Background:
Existing Policy: KRS 161.010(6) defines student teacher as “an adult who has completed the
prerequisite teacher preparation as prescribed by the accredited teacher education institution in
which he or she is enrolled, and who is jointly assigned by the institution and a local school
district to engage in a period of practice teaching under the direction and supervision of the
administrative and teaching staff of the school district and the institution.” KRS 161.042 further
sets out the role of the student teacher but tasks the EPSB with promulgating administrative
regulations on the specifics of the utilization of student teachers and the requirements for the
supervising teacher, school and school district. Through 16 KAR 5:040, the EPSB has set forth
the requirements for admission, placement and supervision in student teaching.
Summary: Since 2020, the EPSB has approved waivers allowing experience that a student
teacher acquired as an emergency certified substitute teacher to meet the requirements of student
teaching and allowing all student teaching observations to be performed remotely for all educator
preparation programs. Due to the positive feedback, the EPSB has continued to approve these
waivers annually. Additionally, at the July 2023 meeting, the EPSB approved a waiver to allow
student teachers to maintain classified employment for the 2023-2024 school year. The EPSB
reviewed proposed amendments to 16 KAR 5:040 at the February EPSB meeting that
incorporated these waivers. The EPSB indicated that they wanted the waivers to be incorporated
into 16 KAR 5:040. That amendment was originally slated to go before the EPSB for action in
April 2024; however, House Bill 162 was passed in April and placed additional requirements on
field experience and student teaching. While staff works to update 16 KAR 5:040 to also include
these new requirements, it is recommended that the EPSB approve the following waivers for the
2024-2025 school year:
July 15, 2024 Meeting Action Item F
• Approve remote student teaching observations for all educator preparation programs
under 16 KAR 5:040, Section 4(1).
• Conditionally waive 16 KAR 5:040, Section 5(7) to allow student teachers to maintain
classified employment and allow student teachers to receive funds from the student
teacher stipend program.
• Conditionally waive 16 KAR 5:040, Section 5(6) & (7) to allow experience that a student
teacher acquires as an emergency certified substitute teacher to meet the requirements of
student teaching.
Budget Impact: There is no budgetary impact.
Contact Person:
Cassie Trueblood, Counsel and Policy Advisor
Office of Educator Licensure and Effectiveness
(502) 564-4606
Email: [email protected]
