101 KAR 2:221. Employee Educational Assistance Program.
RELATES TO: KRS 18A.110(7)(i),164.357
STATUTORY AUTHORITY: KRS 18A.030(2) and
18A.110(7)(i)
NECESSITY, FUNCTION, AND CONFORMITY: KRS 18A.110(7)(i)
requires the Secretary of the Personnel Cabinet to promulgate administrative
regulations which govern the development and operation of programs to improve
the work effectiveness of employees in the state service, including training, health,
welfare, counseling and employee relations. This administrative regulation
establishes the requirements for employee participation in and the agency
reporting obligations relating to the Employee Educational Assistance Program to
ensure that agencies are maintaining and reporting required usage data.
Section 1. Definitions. (1) "Educational
assistance" means the financial assistance provided to an employee by the employee’s
cabinet or agency for the purpose of continuing the employee’s education or
training, based on the educational needs of the workforce, which results in an
improved workforce and assists the employee in the achievement of individual
career goals.
(2) "Educational providers"
means accredited public or private degree-granting postsecondary education
institutions, educational television, accredited correspondence or online
schools, secondary schools, General Educational Development (GED) preparatory programs,
Kentucky Virtual Campus (KYVC), or other approved education or training providers.
(3) "Employee Educational Assistance
Program" means the program established by this administrative regulation.
(4) "Satisfactory Grade" means:
(a) a grade of "C" or higher
for undergraduate or law school courses;
(b) a grade of "B" or higher
for graduate-level or other professional studies courses; or
(c) "Pass" for courses which
are graded on a "Pass/Fail" basis.
(5) "Service obligation" means the
six (6) month minimum period of time that an employee is obligated to work in
state government following the receipt of educational assistance, beginning:
(a)1. On the educational provider’s
published end date of the academic term in which the employee is receiving
educational assistance; or
2. If no published end date exists, on
the date of the last class activity, such as the final exam, the date a final
paper is submitted, or the last scheduled class session; and
(b) If the employee has achieved a satisfactory
grade on the current coursework.
(6) "Special-Purpose Educational
Assistance Program" means coursework or specified training that has been
predetermined by a cabinet or agency to be mandatory or job related that is
required to meet accreditation, or certification or professional standards.
Section 2. Employee Educational
Assistance Program. (1) The Governmental Services Center (GSC) shall be responsible
for issuing, administering, and monitoring the Employee Educational Assistance
Program.
(2) A cabinet or agency may adopt an Educational
Assistance Policy to specify the terms and conditions of the agency or
cabinet’s participation in the Employee Educational Assistance Program.
(a) A cabinet or agency’s education assistance
policy shall not conflict with the employee educational assistance program.
(b) A cabinet or agency’s educational
assistance policy shall be subject to the approval of the Executive Director of
GSC or the Executive Director’s designated agent.
(c) A copy of the cabinet or agency’s
current educational assistance policy shall be filed with the GSC upon approval
by the Executive Director of GSC or the Executive Director’s designated agent.
(d) A cabinet or agency shall utilize
this administrative regulation if no other Educational assistance policy is
filed with the GSC for that cabinet or agency.
(3) Eligibility requirements.
(a) A permanent, full-time classified
employee shall be eligible for the Employee Educational Assistance Program if
the employee:
1. Is in full-time active work status;
and
2. Has satisfactorily completed the
initial probationary period.
(b) The requirements established in
paragraph (a) of this subsection may be waived by a cabinet or agency on an
individual basis if the nature of the work justifies providing educational assistance.
1. If a cabinet or agency waives any
requirement for an employee, the agency shall maintain justification
documentation.
2. Documentation shall include:
a. The employee’s application for educational
assistance;
b. The specific education or training
requested; and
c. The written determination by the
cabinet or agency that waiver of one or more requirements is justified based on
the nature of the employee’s work.
3. Documentation shall be maintained in
the cabinet or agency’s Educational Assistance Policy file and made available
during periodic audits conducted by the GSC.
4. An employee who has an outstanding
reimbursement obligation in accordance with subsection (8) of this section
shall not receive further educational assistance until the outstanding
obligation is satisfied.
5. The cabinet’s or agency’s Education
Assistance Policy shall not apply to programs providing scholarships or other
educational assistance to individuals who are not qualifying employees of the executive
branch of Kentucky state government.
(4) Employee Educational Assistance
Program.
(a) Funding.
1. Funding for educational assistance
shall come from a cabinet or agency's budget.
2. Cabinet or agency participation in the
Employee Educational Assistance Program shall be based on the availability of cabinet
or agency funds.
(b) Approved educational assistance funds.
1. Educational assistance shall be granted
to pay for tuition and other related expenses, such as:
a. Laboratory fees;
b. Basic and normal costs charged by the
institution for course registration;
c. Computer usage fees;
d. Required texts and other required
course supplies;
e. Examination fees; or
f. Records and transcript fees required
by the institution.
2. Educational assistance may be granted
for educational testing for credit, such as General Educational Development (GED),
College Level Examination Program (CLEP), or Defense Activity for
Non-Traditional Education Support (DANTES).
3. Educational assistance shall be
available for educational testing which is an entry requirement by an
educational provider, such as ACT, SAT, GRE, GMAT, or LSAT.
4. A cabinet or agency may elect to cover
additional or other types of educational expenses.
a. Additional or other types of
educational expenses by a cabinet or agency shall not require pre-approval from
the GSC.
b. Documentation of a cabinet or agency’s
approval of expenses shall be maintained in the cabinet or agency’s Educational
Assistance Policy file and made available during periodic audits conducted by
the GSC.
(c) Limits of funding.
1. Educational assistance provided for
coursework at an accredited in-state private college, out-of-state college, or
out-of-state university shall be limited by the then-current costs at the four
(4) year state university located in Kentucky nearest to the employee’s county
of employment.
a. The educational assistance provided
per semester hour of credit shall not exceed the then-current cost per semester
hour at the four (4) year state university located in Kentucky nearest the employee’s
county of employment.
b. Educational assistance based on semester
quarter-hours of credit shall not exceed two-thirds (2/3) of the then-current
cost per semester hour at the four (4) year state university located in Kentucky
nearest the employee’s county of employment.
2. Educational assistance provided per
semester hour of credit for an online course or program shall be limited to the
higher of:
a. The then-current costs per semester
hour for an online course or program offered by a Kentucky public
post-secondary educational institution which is delivered directly by that
institution; or
b. The then-current costs per semester
hour for an online course or program offered by a Kentucky public postsecondary
educational institution which is delivered through the Kentucky Virtual Campus
(KYVC).
3. Educational assistance based on semester
quarter-hours of credit for an online course or program shall not exceed
two-thirds (2/3) of the higher of:
a. The then-current costs per semester
hour for an online course or program offered by a Kentucky public postsecondary
educational institution which is delivered directly by that institution; or
b. The then-current costs per semester
hour for an online course or program offered by a Kentucky public postsecondary
educational institution which is delivered through KYVC.
4. Each cabinet or agency shall verify that
the selected university or college has:
a. Conducted regular assessments to
accredit each academic, academic support, and nonacademic programs;
b. Assessment results which substantiate that
the academic activities are aligned with institutional mission and goals; and
c. Provided information specifying the
source of the accreditation information on the Employee Educational Assistance
Program Form.
(5) Payments of funds to educational
providers.
(a) The cabinet or agency shall pay educational
assistance funds directly to the educational provider if:
1. The employee’s application for educational
assistance was timely filed;
2. The application meets cabinet or agency
approval; and
3. A GSC exception request is approved if
necessary.
(b) Financial assistance from any other financial
aid program shall not be duplicated under this program.
1. If eligible for tuition waiver or
student fee waiver, the employee shall apply for these programs first.
2. If additional allowable costs remain
after the utilization of the Tuition Waiver or Student Fee Waiver, the employee
may seek additional funding from the educational assistance program to cover
those remaining costs.
(6) Approved courses.
(a) Each course, program, or degree for
which educational assistance is provided shall have a clear and direct
relationship to: 1. The work of the cabinet or agency;
2. Improving the employee’s effectiveness
in his or her present
position;
3. Preparing the employee for a position
to which the employee can reasonably aspire; or
4. A requirement for a degree or program
on the cabinet or agency’s approved list of courses, programs, and degrees.
(b) Approved Lists of courses, programs
and degrees.
1. A cabinet or agency shall establish approved
lists of courses, programs, and degrees for which educational assistance may be
granted.
a. A cabinet or agency’s approved list of
courses, programs and degrees shall be based on the recognized educational
needs of the workforce in the agency.
b. A cabinet or agency may establish
different approved lists for work units or job classifications.
c. A cabinet or agency may grant educational
assistance for courses that do not qualify an individual to meet the minimum requirements
for a job outlined on the official class specification.
2. Each approved list shall be made
available for review by cabinet or agency employees.
3. A copy of a cabinet or agency’s current
approved list shall be provided to the GSC.
4. The cabinet or agency shall
periodically review the approved list and make revisions as necessary and
appropriate.
5. A request by an employee for an
exception or addition to the approved list shall be made in writing to the
cabinet or agency’s designated agent.
(c) Courses taken through the Employee Educational
Assistance Program shall not be applied toward an Educational Achievement Award.
(7) Maximum courses allowed.
(a) Educational assistance provided for undergraduate
and post-graduate studies shall not exceed the following:
1. For undergraduate studies, a maximum
of eight (8) courses per year, with a limit of:
a. Three (3) courses in any regular
semester session;
b. Two (2) courses in any regular quarter
session; and
c. One (1) course in any summer session
or inter-session; and
2. For post-graduate studies (including
graduate level professional studies), a maximum of six (6) courses per year,
with a limit of:
a. Two (2) courses in any regular
semester session;
b. One (1) course in any regular quarter
session; and
c. One (1) course in any summer session
or inter-session.
(b) An appointing authority or designated
agent may make an exception to the maximum course load if:
1. The exception is necessary for an
employee to complete the approved program; and
2. The exception will not adversely
affect the cabinet or agency’s service or the employee’s performance.
(c) Documentation of a cabinet or agency’s
exception to the maximum course load shall be maintained in the cabinet or agency’s
Educational Assistance Program file and made available during periodic audits
conducted by the GSC.
(8) Kentucky State University Requirement pursuant
to KRS 164.357.
(a) The following employees shall receive
educational assistance only for classroom, online or independent study courses
at Kentucky State University (KSU), unless the course, program or degree required
is not available or offered at KSU:
1. Employees who live in Franklin County
or an adjoining county; or
2. Employees whose work station is in
Franklin County or an adjoining county.
(b) This KSU requirement shall apply
uniformly unless the Executive Director of the GSC or designee waives the
requirement for a particular employee or course by written approval to an exception
request.
(9) Employee obligations.
(a) To be eligible for educational
assistance funds or to continue to receive those funds, the employee shall:
1. Sign the Employee Educational
Assistance Program Form;
2. Continue to work on a full-time basis;
3. Provide the agency, within thirty (30)
calendar days upon completion of a course, evidence of a satisfactory grade;
and
4. Complete the minimum six (6) month
service obligation. The employee shall be required at a minimum to comply with requirements
established in this paragraph in order to qualify for and maintain educational assistance
funds:
1. The employee shall continue to work on
a full-time basis;
2. The employee shall sign the Employee Educational
Assistance
3. Program Form and comply with the terms
of the form;
4. The employee shall provide the agency
within thirty (30) calendar days upon completion of a course evidence of a Satisfactory
Grade; and
5. The employee shall complete the minimum
six (6) month service obligation.
(b) A cabinet or agency shall recover
from an employee the full amount of educational assistance funds expended on
that employee’s behalf if:
1. The employee’s application form
contains any material falsification;
2. The employee fails to provide the
agency, within thirty (30) calendar days upon completion of a course, evidence
of a satisfactory grade;
3. The employee drops a course, regardless
of cause, without prior approval of the appointing authority or designated
agent; or
4. The employee receives duplicate
payment for the same course from any other source, such as a scholarship,
Veteran’s Educational Payments, or an Educational Achievement Award.
(c) A cabinet or agency shall recover
from an employee the educational assistance funds expended on that employee’s behalf
if the employee resigns, retires or is dismissed for cause prior to completion
of the six (6) month minimum service obligation.
1. Any amount of educational assistance
funds a cabinet or agency seeks to recover pursuant to an employee’s failure to
complete the six (6) month minimum service obligation shall be prorated according
to the portion of the service obligation the employee has fulfilled.
2. The six (6) month minimum service
obligation shall not apply to an employee who is laid-off.
(d) If an employee for whom a cabinet or
agency has paid educational assistance transfers from one cabinet or agency to
another through the Internal Mobility Program while enrolled in the course or
prior to completion of the employee’s six (6) month minimum service obligation,
the employee shall not be required to repay educational assistance funds,
unless previously agreed to by other contract.
(e) An approved course
should be taken on the employee's own time. If a course is only offered only
during working hours, eligible employees must request an Exception for Benefit
of the Public Interest as set forth in Section 4 of this administrative
regulation.
(10) Records and forms.
(a) The cabinet or agency shall maintain
complete and accurate records relating to its Employee Educational Assistance
Program and Special-Purpose Educational Assistance Program if applicable.
(b) A cabinet or agency’s appointing
authority or designated agent shall be responsible for maintenance and accuracy
of all records relating to a cabinet or agency’s Employee Educational Assistance
Program or Special-Purpose Educational Assistance Program.
(c) A cabinet or agency shall utilize the
Employee Educational Assistance Authorization Form as the key record for the Employee
Educational Assistance Program.
(d) A cabinet or agency’s Educational
Assistance Policy or Special-Purpose Educational Assistance Program records shall
be made available for GSC periodic audits or upon request.
(e) The cabinet or agency shall maintain
all records and forms associated with this program in the agency personnel file
of the employee and shall forward the
records to the receiving cabinet or agency if
the employee transfers.
(f) Administration in the GSC shall be responsible
for retaining comprehensive statewide records, on a fiscal year basis, of Educational
Assistance Program activity.
1. This information shall be reported
annually to the Secretary of the Personnel Cabinet or as needed upon request
and shall include the following:
a. The number of employees participating
in the program;
b. The amount (tuition and fees)
reimbursed;
c. The number of employees granted educational
leave;
d. The number of employees taking courses
at each cabinet’s or agency's request;
e. The number of employees taking courses
for required certification; and
f. A summary of the annual reporting data
required by Section 5(3)(a) through (h) of this administrative regulation.
2. GSC may request additional information
from cabinets or agencies as needed to assist in the administration or monitoring
of the program.
Section 3. Special-Purpose Educational
Assistance Program. (1) A cabinet or agency may create a Special-Purpose
Educational Assistance Program which provides educational assistance for an
employee to obtain a specific degree or certification that is in the interest
of the cabinet or agency.
(2) A cabinet or agency and employee may
set different terms and obligations other than those established in the Educational
Assistance Program.
(a) A Special-Purpose Educational
Assistance Program may grant the employee the opportunity to use paid work
hours to attend class or to complete coursework.
(b) A cabinet or agency shall not waive
the proration requirement for recovery of educational assistance funds if the employee
fails to complete the six (6) month minimum service obligation.
(3) Approval of a cabinet or agency’s
Special-Purpose Educational Assistance Program shall be subject to the written approval
of the Executive Director of the GSC or designee.
Section 4. Exceptions for Benefit of the Public
Interest. (1) The Executive Director of the GSC or designee may grant exception
upon request by the cabinet or agency to any portion of the Educational Assistance
Program in which the power of exception is not expressly granted to the cabinet
or agency.
(2) A request for exception from the cabinet
or agency shall, at a minimum, meet the following guidelines and include the
following information:
(a) The request from the cabinet or agency’s
appointing authority or designated agent shall be in writing;
(b) The request shall include the completed
Employee Educational Assistance Authorization Form from the cabinet or agency’s
appointing authority or designated agent; and
(c) The request shall include the
specific nature of the exception, the reason for the exception, and an explanation
as to why the exception would be in the cabinet or agency’s interest or in the public's
interest.
(3) The request for exception shall be
mailed or sent electronically by email to the Executive Director of the GSC.
(4) A request for exception shall be received
by the GSC:
(a) Prior to the start of the educational
course for which the exception is requested; or
(b) Prior to the date by which the cabinet
or agency seeks to take any action subject to the exception requested.
(5) An agency shall not be required to
file requests for exception if proposing a Special- Purpose Educational Assistance
Program for approval by the GSC.
(a) Upon the approval of a cabinet or agency’s
Special-Purpose Educational Assistance Program, any exceptions contained within
the Special-Purpose Educational Assistance Program which establish terms and
obligations different than those terms and obligations established in the Employee
Educational Assistance Program, shall be deemed approved.
(b) Exceptions within a cabinet or agency’s
Special-Purpose Educational Assistance Program shall be approved for the remainder
of the respective fiscal year.
Section 5. Program Audits. (1) The GSC shall
conduct annual audits of cabinet or agency compliance with the Employee Educational
Assistance Program from a representative sample selected by GSC.
(2) In the course of the audits, the GSC shall
review a cabinet or agency’s Educational Assistance Program and Special-Purpose
Educational Assistance Program documents and records.
(3) Cabinets and agencies shall maintain
the following data and reports in the cabinet or agency's Educational Assistance
Program and Special-Purpose Educational Assistance Program file:
(a) Total dollar expenditures for educational
assistance;
(b) Total number of employees utilizing educational
assistance provided by the agency;
(c) Total dollar expenditures by educational
provider by the cabinet or agency;
(d) Approved Lists of course titles,
degrees, or programs;
(e) A list of all course titles, degrees,
programs, certification or Special-Purpose Educational Assistance Program for
which educational assistance is provided on a fiscal year basis;
(f) The completed Employee Educational
Assistance Authorization Form, which is required for approval provided to the GSC
if an exception to the Employee Educational Assistance Program is requested or
required;
(g) A list of all outstanding
reimbursement obligations; and
(h) A list of all employees that have
completed degree requirements during the current fiscal year.
Section 6. Equal Opportunity. Each
participating cabinet or agency shall ensure that its Employee Educational Assistance
Policy is administered fairly, consistently, and equitably for all employees.
Section 7. Incorporation by Reference. (1)
"Employee Educational Assistance Program Form", June 2008, is
incorporated by reference.
(2) This material may be inspected,
copied, or obtained, subject to applicable copyright law, at the Personnel
Cabinet, 501 High Street, 3rd Floor, Frankfort, Kentucky 40601, Monday through
Friday, 8 a.m. to 4:30 p.m. (34 Ky.R. 2487; Am. 35 Ky.R. 16, eff. 8-1-2008.)
