EDUCATION AND WORKFORCE DEVELOPMENT CABINET

Education Professional Standards Board

(Amendment)

 

      16 KAR 4:040.[Recency and] Certification Fees.

 

      RELATES TO: KRS 161.020, 161.027, 161.028, 161.030, 161.046, 161.048, 161.053

      STATUTORY AUTHORITY: KRS 161.028, 161.030

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 161.020, 161.028, and 161.030 require that educators[a teacher and other professional school personnel] hold a certificate of legal qualification for his or her respective position to be issued upon completion of a program of educator preparation prescribed by the Education Professional Standards Board (EPSB); furthermore, an educator preparation provider[a teacher education institution] is required to be approved for offering a preparation program corresponding to a particular certificate on the basis of standards and procedures established by the EPSB[Education Professional Standards Board]. KRS 161.030 establishes additional testing and internship requirements for certification.[This administrative regulation establishes requirements for the issuance of the limited initial certificate; the beginning teacher internship program; certificate renewal; and filing a certificate application.] This administrative regulation establishes fees to be charged for the issuance, reissuance, and renewal of a certificate.

 

      Section 1. (1) Application for teacher certification shall be made to the Division of Certification.

      (2)[The] Application shall be accompanied by an official transcript showing all college credits necessary for the requested certification.

 

      Section 2.[Recency. Teacher certification issued initially under the provisions of 16 KAR 2:010 or 16 KAR 2:020 shall comply with the provisions of KRS 161.030 and the following requirements and procedures:

      (1) There shall be a recency of preparation prerequisite for the issuance of a certificate covered by this section, as follows:

      (a) Except as provided in paragraphs (b) and (c) of this subsection, an out-of-state applicant for initial Kentucky certification shall have prepared as a teacher or completed six (6) semester hours of graduate credit within the five (5) years preceding the application.

      (b) An out-of-state applicant for initial Kentucky certification who has completed a Planned Fifth-year Program shall be exempt from taking the six (6) additional hours, if the applicant has completed two (2) years of successful teaching experience within the last ten (10) years.

      (c)1. A certificate shall be issued for a one (1) year period ending June 30 of the next calendar year if the applicant:

      a. Does not meet the recency of preparation requisite;

      b. Has not previously held a Kentucky teaching certificate;

      c. Otherwise qualifies for certification; and

      d. Agrees that six (6) semester hours of credit applicable toward the usual renewal requirement shall be completed by September 1 of the year of expiration.

      2. To renew a certificate issued under subparagraph 1 of this paragraph, the applicant shall comply with the requirements for renewal established in subsection (2) of this section.

      (2)(a) A teaching certificate described in this section shall be issued for a duration period of five (5) years and with provisions for a subsequent five (5) year renewal, as established in 16 KAR 7:010.

      (b) Semester hour credit for certificate renewal shall be earned after the issuance of the certificate. Credit earned in excess of the minimum requirement for a renewal period shall accumulate and be carried forward to apply toward a subsequent renewal.

 

      Section 3. (1) Reissuance.

      (a) If a certificate has lapsed as a result of the applicant's failure to meet the renewal requirements, the certificate shall be reissued at a later date for a one (1) year period if the applicant completes at least six (6) semester hours of graduate credit applicable toward the Planned Fifth-year Program.

      (b) The applicant shall complete an additional nine (9) semester hours of credit applicable toward the planned fifth-year program by September 1 of the year of expiration to qualify for extending the certificate for the remaining four (4) years of the first five (5) year renewal period.

      (c) At the end of the renewal period established in paragraph (b) of this subsection, the applicant shall have completed the Planned Fifth-year Program to qualify for the next five (5) year renewal. After the renewal period established in this paragraph, the regular renewal schedule of three (3) years of successful teaching experience with evidence of continuing growth documented in a portfolio as required by 16 KAR 4:060 or six (6) semester hours of additional graduate credit each five (5) year period shall apply.

      (2) An applicant who has already completed the Planned Fifth-year Program and whose certificate lapses shall have the certificate reissued after completing another six (6) semester hours of graduate credit. The certificate shall be issued for a five (5) year period and subject to the renewal schedule of three (3) years of successful teaching experience or completion by September 1 of the year of expiration of at least six (6) semester hours of additional credit for each five (5) year period.

      (3) Pursuant to KRS 161.030 (3) and (4), successful experience shall be in a position directly corresponding to the type of teaching certificate for which the application is being made and shall be defined as follows:

      (a) Employment shall be at least on a half-time basis;

      (b) A full year of experience shall include at least 140 days of employment performed within the academic year; and

      (c) A half year of experience shall include at least seventy (70) days of employment performed within an academic semester.

 

      Section 4.] Fees. (1) The Education Professional Standards Board shall assess a fee of eighty-five (85) dollars for the issuance, reissuance, or renewal of a certificate except under the following circumstances[following fees for teaching certificates shall apply]:

      (a) Issuance of an initial statement of eligibility for internship - no charge;

      (b) Issuance or reissuance of a[Limited] one (1) year certificate - no charge;

      (c) Renewal of a statement of eligibility – fifty (50) dollars[Issuance, reissuance, or renewal of a regular certificate - fifty (50) dollars, which shall include all previously approved certifications and endorsements];

      (d) Issuance of a five (5) year substitute certificate – fifteen (15) dollars;

      (e) Issuance[Reissuance] of a[limited] four (4) year certificate[certification] – fifty (50)[thirty-five (35)] dollars; and

      (f) A duplicate copy of the certificate - twenty-five (25) dollars.

      (2) If a certificate holder is renewing or adding a new certification, he or she may align all certification renewal dates to the same date for each of the certificate holder’s certificates for a fee of fifteen (15) dollars in addition to the fee established in subsection (1) of this section.

      (3) All fees paid to the EPSB shall be nonrefundable if application for certification is denied.

      (4)[A refund of the certification fee shall be provided to an unsuccessful certification applicant, less a ten (10) dollar processing fee.

      (3)] The appropriate fee shall:

      (a) Accompany[the] application; and

      (b) Be paid through electronic payment on the EPSB’s Web site[received in the form of a certified check or money order made payable to the Kentucky State Treasurer].

 

DAVID WHALEY, Board Chair

      APPROVED BY AGENCY: December 12, 2016

      FILED WITH LRC: December 13, 2016 at 3 p.m.

      PUBLIC HEARING AND PUBLIC COMMENT PERIOD: A public hearing on this administrative regulation shall be held on January 23, 2017, at 10:00 a.m. at 100 Airport Road, Third Floor, Frankfort, Kentucky 40601. Individuals interested in being heard at this hearing shall notify this agency in writing by five workdays prior to the hearing, of their intent to attend. If no notification of intent to attend the hearing was received by that date, the hearing may be cancelled. This hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted until January 31, 2017 at 11:59 p.m. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.

      CONTACT PERSON: Lisa K. Lang, General Counsel, 100 Airport Road, Third Floor, Frankfort, Kentucky 40601, email LisaK.Lang@ky.gov, phone (502) 564-4606, fax (502) 564-7080.

 

REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT

 

Contact Person: Lisa K. Lang

      (1) Provide a brief summary of 16 KAR 4:040

      (a) What this administrative regulation does: This administrative regulation establishes fees to be charged for the issuance, reissuance, and renewal of a certificate.

      (b) The necessity of this administrative regulation: KRS 161.028(1)(q) requires that the Education Professional Standards Board (EPSB) establish reasonable fees for the issuance, reissuance, and renewal of certificates. The proceeds are to be used to meet a portion of the costs of the issuance, reissuance, and renewal of certificates, and the costs associated with disciplinary action against a certificate holder under KRS 161.120. Additionally, the biennium budget enacted in 2016, notwithstanding KRS 161.028 (1)(q), allows use of these funds to support the Kentucky Teacher Internship Program (KTIP).

KRS 13A.221 requires that a separate regulation be promulgated for each topic.

      (c) How this administrative regulation conforms to the content of the authorizing statutes: KRS 161.020, 161.027, 161.028, 161.030 and 161.048 require that an educator hold a certificate of legal qualification for his or her respective position to be issued upon completion of a program of preparation, internship and appropriate assessments prescribed by the EPSB; this administrative regulation establishes fees to be charged for the issuance, reissuance, and renewal of an educator’s certificate issued under KRS 161.010-161.100.

      (d) How this administrative regulation currently assists or will assist in the effective administration of the statutes: This administrative regulation establishes fees to be charged for the issuance, reissuance, and renewal of a certificate. This regulation is applicable to all certificates issued under KRS 161.010-161.100.

      (2) If this is an amendment to an existing administrative regulation, provide a brief summary of:

      (a) How the amendment will change this existing administrative regulation: This administrative regulation will increase certain fees to be charged for the issuance, reissuance, and renewal of an educator’s certificate. The amendment adds a certificate renewal synchronization option for educators wishing to align multiple certification renewal dates. This administrative regulation proposes to also change the means by which fees will be accepted by the EPSB.

This administrative regulation also removes language regarding recency and reissuance requirements. The topics of recency and reissuance will be included in new regulations that the agency is in the process of initiating.

      (b) The necessity of the amendment to this administrative regulation: This administrative regulation has not been updated since 1997. The fees that are presently included in the administrative regulation are no longer reasonable or adequate given the significant budgetary cuts implemented since 2008. After careful review of the certification fees and the necessary expenditures needed to continue efficient operations related to the issuance, reissuance, and renewal of certificates; action(s) against a certificate holder under KRS 161.120; and support use of these funds to additionally support the Kentucky Teacher Internship Program (KTIP) as allowed under passage of the current biennium budget this administrative regulation must be amended to increase certain certification fees so that the fees are more closely in range to meet the current fiscal needs identified above. This administrative regulation is also being amended to bring the regulation in compliance with KRS 13A.221(1) which provides that agencies shall promulgate separate regulations for each topic.

      (c) How the amendment conforms to the content of the authorizing statutes:

KRS 161.020, 161.028, and 161.030 require that educators hold a certificate of legal qualification for his or her respective position to be issued upon completion of a program of preparation prescribed by the EPSB. Further, KRS 161.028(1)(q) requires that the EPSB establish reasonable fees for the issuance, reissuance, and renewal of certificates. These changes are applicable to all certificates issued under KRS 161.010-161.100. The amendment to this administrative regulation will increase certain fees to be charged for the issuance, reissuance, and renewal of a certificate and will change the means by which fees will be accepted.

      (d) How the amendment will assist in the effective administration of the statues: The amendment to this administrative regulation will increase certain fees already charged for the issuance, reissuance, and renewal of educator certificates.

      (3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation: This amendment will impact the EPSB; educators applying for the issuance, reissuance, or renewal of an educator certificate (approximately 40,000 educators apply for the issuance, reissuance, or renewal of their certificates each year while the number of individual credentials issued each year is over 100,000); and higher education educator preparation programs of the twenty-five (25) colleges/universities who submit Kentucky certification recommendations on behalf of educator certification candidates. Indirectly, Kentucky public school districts may see benefit from these changes.

      (4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:

      (a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment: Some educators may see an increase in the amount of money paid for the issuance, reissuance, and renewal of certain certificates. However, the certificate renewal alignment option provides a convenience and can offer great cost savings to those educators who meet renewal requirements and choose to synchronize staggered renewal dates for multiple certificates to the same renewal date. Educators have asked for the ability to synchronize multiple certificate renewal dates. So, instead of paying the full renewal fee for each certificate every time a certificate expires, educators can choose the option to align them all to the same 5 year renewal cycle. Approved educator preparation programs at Kentucky public colleges/universities will not be negatively impacted by this amendment. Additional monies collected by the agency will be utilized to streamline the certification process related to costs for the issuance, reissuance, and renewal of certificates; action(s) against certificate holders under KRS 161.120; and to additionally support the KTIP as allowed under passage of the current biennium budget to ensure that all first year teachers can participate in KTIP during year one. Additionally, the certificate renewal alignment option should help create greater agency operational efficiencies by not having to repeatedly handle separate certificates and credentials over staggered years for a single educator.

      (b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):

      (c) As a result of compliance, what benefits will accrue to the entities identified in question (3): The amendment to this administrative regulation will help ensure that there are sufficient funds necessary to support the associated costs for the issuance, reissuance, and renewal of certificates; action(s) against a certificate holder under KRS 161.120; and to support the KTIP as allowed under passage of the current biennium budget. This amendment not only supports new teachers, but it also supports school districts and the students of the Commonwealth. By increasing certain certification fees so that the fees are more closely in range to meet the current fiscal needs identified above, the agency can continue streamlining its process for issuing, reissuing, and renewing certificates while also supporting school districts that need properly credentialed educators hired in a timely fashion before the school year begins. Educators who meet renewal requirements and who choose to synchronize renewal dates for multiple certificates to the same renewal date are not only are provided a convenience, but they may accrue great cost savings over the life of their certificates. Educators have asked for the ability to synchronize multiple certificate renewal dates.

Approved educator preparation programs (EPPs) at Kentucky public colleges/universities may also experience benefit by the streamlining of the certification and licensure processes as EPPs offer preparation programs that correspond to specific certificates issued by the EPSB. Additionally, the certificate renewal alignment should create greater agency operational efficiencies over time by better utilizing resources.

      (5) Provide an estimate of how much it will cost to implement this administrative regulation:

      (a) Initially: There is no initial cost for the agency associated with the amendment to this administrative regulation. Upon enactment of the regulation, there may be an increased cost to those educators applying for issuance or renewal of certain certifications. The amount for issuance, reissuance, or renewal of a regular certificate will rise from fifty (50) dollars to eighty-five (85) dollars; and the amount for issuance of a four (4) year certification will rise from thirty-five (35) dollars to fifty (50) dollars. The amendment also provides a certificate renewal synchronization option for educators wishing to align multiple certification renewal dates for the eighty-five (85) dollar renewal fee plus the fifteen (15) dollar synchronization fee for a total of one hundred (100) dollars. The synchronization option will result in a savings to an educator over the lifetime of an educator’s certificate(s).

      (b) On a continuing basis: There is no anticipated continuing cost for the agency associated with the implementation of the amendment to this administrative regulation.

      (6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation: The funding used for the implementation and enforcement of this administrative regulation is the certification fees collected pursuant to this regulation.

      (7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change, if it is an amendment: The amendment to this administrative regulation may increase fees already charged for the issuance, reissuance, and renewal of certain certificates. Additionally, the amendment establishes a fee for the optional certificate renewal date synchronization.

      (8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees: This administrative regulation may increase fees for issuing, reissuing, and renewing certain certifications. It also establishes a fee for a certificate renewal synchronization option for educators wishing to align multiple certification renewal dates.

      (9) TIERING: Is tiering applied? Tiering is not applied because it applies to educators in an equal manner.

 

FISCAL NOTE ON STATE OR LOCAL GOVERNMENT

 

      (1) What units, parts or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation? This amendment will impact the Education Professional Standards Board (EPSB) because it will further support EPSB operations. Indirectly, Kentucky public school districts may see a benefit from this amendment because the EPSB will have the ability to ensure that all first year teachers can be included in the Kentucky Teacher Internship Program (KTIP).

      (2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation. KRS 161.020, 161.027, 161.028, 161.030 and 161.048 require that educators hold a certificate of legal qualification for his or her respective position to be issued upon completion of a program of preparation, internship and appropriate assessments prescribed by the EPSB; This administrative regulation establishes fees to be charged for the issuance, reissuance, and renewal of an educator’s certificate issued under KRS 161.010-161.100. KRS 161.028(1)(q) requires that the EPSB establish reasonable fees for the issuance, reissuance, and renewal of certificates. The proceeds are to be used to meet a portion of the costs of the issuance, reissuance, and renewal of certificates, and the costs associated with disciplinary action against a certificate holder under KRS 161.120. Additionally, the biennium budget enacted in 2016, notwithstanding KRS 161.028 (1)(q), allows use of these funds to support the KTIP.

      (3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect. The EPSB will have a direct increase in restricted fund revenues with the proposed fee increases. Expenditures for implementation should be absorbed in the regular day to day operations as certification activities are already occurring. It is also anticipated that the certificate renewal alignment option will lead to operational efficiencies if utilized by eligible educators. Other state or local government agencies should not be impacted by these changes.

      (a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year? The EPSB estimates that the changes to this administrative regulation will increase its restricted fund revenues by $460,300 based upon the numbers of educators who applied for the related types of certificate issuance, reissuance, or renewal. (The amount for issuance, reissuance, or renewal of a regular certificate will rise from fifty (50) dollars to eighty-five (85) dollars and the amount for issuance of a four (4) year certification will rise from thirty-five (35) dollars to fifty (50) dollars.) It is not possible at this time to estimate how many educators may wish to utilize the option for certificate renewal date synchronization or if it will be fully utilized by eligible educators.

      (b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years? The EPSB estimates that the changes to this administrative regulation will increase its restricted fund revenues by $475,000 based upon the numbers of educators who applied for the related types of certificate issuance, reissuance, or renewal. (The amount for issuance, reissuance, or renewal of a regular certificate will rise from fifty (50) dollars to eighty-five (85) dollars and the amount for issuance of a four (4) year certification will rise from thirty-five (35) dollars to fifty (50) dollars.) It is not possible at this time to estimate how many educators may wish to utilize the option for certificate renewal date synchronization or if it will be fully utilized by eligible educators.

      (c) How much will it cost to administer this program for the first year? KRS 161.028(1)(q) requires that the EPSB establish reasonable fees for the issuance, reissuance, and renewal of certificates and that the proceeds be used to cover the costs of certificate issuance, reissuance, and renewal as well as the EPSB’s costs relating educator disciplinary action pursuant to KRS 161.120.

It is not possible at this time to subdivide the elements of these statutorily mandated activities. Educator certification spans the agency and the work is multifaceted. The amount of expenditures related to disciplinary actions may vary dependent upon the number of cases brought before the Board.

      Additionally, the biennium budget enacted in 2016, notwithstanding KRS 161.028 (1)(q), allows use of these funds to support the KTIP. The number of first year teachers who have been deferred entrance into KTIP due to lack of funds varies. The number of new teacher deferrals ranges between 200 and 300. Due to the increase in funding from the certification fee increase, the EPSB will not have to defer KTIP for some first year teachers. EPSB will be able to ensure that all first year teachers will be able to enter KTIP during their first year.

      (d) How much will it cost to administer this program for subsequent years? KRS 161.028(1)(q) requires that the EPSB establish reasonable fees for the issuance, reissuance, and renewal of certificates and that the EPSB use the proceeds to cover the costs of the issuance, reissuance, and renewal of certificates as well as the costs associated with disciplinary action against a certificate holder under KRS 161.120.

      Additionally, the biennium budget enacted in 2016, notwithstanding KRS 161.028 (1)(q), allows use of these funds to support the KTIP. The number of first year teachers who have been deferred entrance into KTIP due to lack of funds varies. The number of new teacher deferrals ranges between 200 and 300. Due to the increase in funding from the certification fee increase, the EPSB will not have to defer KTIP for some first year teachers. EPSB will be able to ensure that all first year teachers will be able to enter KTIP during their first year.

      Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.

      Revenues (+/-): Approximately $475,000 to restricted funds.

      Expenditures (+/-): No anticipated additional expenditures.

      Other Explanation: See responses above.