The Process: From Allegation to Resolution

1. The Process: From Allegation to Resolution

2. The Allegation • An allegation may be submitted by : • Any Person. • An allegation may be filed with the PLSB through: • The Department of Education • A Public School District • A Public School Superintendent

3. The Allegation • Must be signed under penalty of perjury. • Must be verified (validated) by the Chief Investigator. • Must be presented to the Ethics Subcommittee for authorization or denial to investigate the alleged violation(s).

4. Presentation to the Subcommittee • Upon presentation to the Subcommittee at its monthly meeting, the Subcommittee: • Authorizes an investigation based on a credible allegation, that if true, one or more of the Standards of Conduct have been violated. • Denies authority to investigate based on the conduct described not being a violation of the Code of Ethics. • Authorizes an investigation as to part of the allegation, but denies authorization in part.

5. The Complaint • Once the investigation is authorized by the Subcommittee, the allegation becomes a Complaint. • Within ten (10) calendar days of the date the investigation is authorized, the PLSB must notify the Educator that an investigation has been authorized, and must send a copy of the complaint with any attachments sent with the complaint. • The Educator has thirty (30) days from the actual receipt of the notice to provide an initial written response.

6. The Investigation • The Chief Investigator assigns an Investigator to conduct the investigation. • From the date of authorization of investigation by the Subcommittee, the PLSB has 150 days to complete the investigation and bring it to the Subcommittee for a Reasonable Belief Determination and Recommendation, and a total of 180 days for the PLSB to conclude its role in the process.

7. The Investigative Process • The Investigator will: • Determine what documents are needed and what witnesses should be interviewed, based on information furnished by the complainant and the Educator. • Obtain documents relevant to the investigation. • Interview all logical witnesses. • Prepare Investigative Notes for each person interviewed and each investigative activity.

8. The Investigative Process • After conducting the investigation, the Investigator will: • Provide the Educator the opportunity to be interviewed so that he or she can fully respond to the information developed. • Prepare a Final Report of Investigation. • Provide a copy of the Final Report of Investigation to the Educator by certified and regular mail. • The Educator has thirty (30) days after actual receipt of the Final Report of Investigation to provide any additional written response or documentation to be included with the Final Report when provided to the Ethics Subcommittee.

9. The Reasonable Belief Determination and Recommendation • The Investigator provides the Final Report of Investigation, including any response by the Educator, to the Subcommittee at its monthly meeting, and orally presents a summary of the case. • The Subcommittee makes a determination as to whether or not there is a Reasonable Belief that the Educator has violated the Standard(s) by the conduct alleged as stated in the Authorization for Investigation.

10. The Reasonable Belief Determination and Recommendation • If no Reasonable Belief that the violation occurred is determined, the case is closed and no record of the investigation is reflected against the Educator’s license. • If there is a determination of Reasonable Belief, the Subcommittee will specify which conduct alleged violated a specific Standard or Standards, and will make a recommendation to the State Board as to the action the State Board should take against the Educator’s license.

11. Recommendations the PLSB may make to the State Board • Written Warning • Written Reprimand and $50 Fine • Probation and $75 Fine • Probation may be for a term of months or years • Subcommittee may recommend certain conditions be met as a part of the probation • Suspension and $100 fine • Suspension may be for a term of months or years • Subcommittee may recommend conditions • Permanent Revocation of License

12. Actions Which Can Be Taken By the Subcommittee • Determination that No Reasonable Belief exists, and as a result, the case is dismissed. • Issue a Letter of Caution, with no action to be taken by the State Board, and no record of the action placed in the licensure file at the Department of Education. The Letter of Caution is private and not punitive, and may not be appealed.

13. Notice to the Educator • Within ten (10) calendar days of the Subcommittee’s determination and recommendation, the PLSB gives notice to the Educator of the Reasonable Belief determination and recommendation. • The Educator has thirty (30) days from the date of actual receipt of the notice to either accept the determination and recommendation, or to reject it and request an Evidentiary Hearing before the Subcommittee.

14. Acceptance • If the Educator accepts the determination and recommendation of the Subcommittee, the matter is placed on the consent agenda for the next available State Board meeting. • Two ways to accept: • Accept in writing within the 30 day period. • Fail to respond within 30 days of receiving notice.

15. Evidentiary Hearing • If the Educator rejects the determination and recommendation of the Subcommittee, in order to have an Evidentiary Hearing, he or she must submit a request in writing within 30 days of receiving actual notice. • A hearing is then scheduled at the next available date before the Subcommittee.

16. Evidentiary Hearing • Is a hearing before the Subcommittee, with both sides presenting testimony and exhibits, generally limited to thirty (30) minutes for each side, with a certified court reporter recording and transcribing the testimony. • The deliberations of the Subcommittee are conducted in a closed meeting. • After reaching a decision, the Subcommittee announces its decision to the parties, on the record.

17. Notice to the Educator after the Evidentiary Hearing • The PLSB Attorney, within ten (10) days of the decision of the Subcommittee, is to provide notice to the Educator of the Subcommittee’s decision. • The Educator has thirty (30) days from the date of actual notice to either accept or reject the Subcommittee’s determination and recommendation reached at the Evidentiary Hearing.

18. Acceptance after the Evidentiary Hearing • If the Educator accepts the determination and recommendation reached during the Evidentiary Hearing, the matter is placed on the next available consent agenda for the State Board. • Acceptance occurs: • By written acceptance by the Educator. • By failure to respond within thirty (30) days of the receipt of the notice.

19. Hearing Before the State Board • The Educator may request a hearing before the State Board of Education if he or she is not willing to accept the determination and recommendation of the Subcommittee at the Evidentiary Hearing. • The request for a hearing before the State Board must be received within thirty (30) days of the Educator’s actual receipt of the notice.

20. State Board Hearing • Unlike matters before the Subcommittee, the hearing before the State Board is a Public Hearing. • A redacted copy of the transcript of the Evidentiary Hearing is sent to the State Board. • Before the hearing date, both sides present written briefs to the State Board. • A party may request the opportunity to present a short oral argument to the State Board. • A court reporter records the proceeding and produces a transcript. • The decision of the State Board may be appealed to the Circuit Court of Pulaski County by the Educator, but is only an appeal on the record.

21. Final Note on Hearings • Each hearing is “de novo”. • That is, the hearing is a new proceeding. • The members at the next hearing, from the Evidentiary Hearing to the State Board, are not bound by the prior decision. • The hearing is completely a “new” hearing. Each body can make the same finding previously made, can dismiss the case, can make a lesser finding, or can make a more severe finding. • An appeal to the Circuit Court is only a review of the record to determine whether the decision was “arbitrary and capricious”.

22. Questions?