Frequently Asked Questions

There are numerous sources you should consult in determining whether there is a University policy, rule, or other written guidance which might govern a particular action. You can find the University’s Governing and Administrative Regulations, Human Resources Policy and Procedure, Business Procedures Manual, Senate Rules and several other policies at UK Regulations and Procedures. Depending on the nature of your question, you should also consult the Code of Student Conduct, or the Ethical Principles and Code of Conduct. If you are employed in the Medical Center, you should consult the various Medical Center Policies and Procedures. Finally, various colleges and departments may have additional policies and procedures specific to their units. The Office of Legal Counsel can assist you in determining if there are any college or department policies or rules that apply.

Whether the Open Meetings Act applies to a meeting of University employees or representatives depends on a complex set of factors. There are also circumstances in which an otherwise open meeting should be closed. For specific guidelines and examples of the types of meetings that are “open”, you should go to Open Records & Open Meetings Page. If after reviewing the guidelines, you are still uncertain whether your meeting is open, you should contact the Office of Legal Counsel for assistance.

No. We can not advise you about legal problems that are personal in nature, nor can we provide you with legal representation. The Office of Legal Counsel advises the President, Board of Trustees, Administrators, Faculty, Staff and Students strictly on legal matters involving the University.

All open records requests should be forwarded immediately to Ms. Kay Mobley, in the Office of Legal Counsel.Kentucky law mandates that the University must respond to requests for records within three (3) days of receipt. “Receipt” is from the date you or your office receives the request; not from the date when Ms. Mobley or the Office of Legal Counsel receives it. Therefore, it is imperative that you notify the legal office as soon as you receive a request for records so we can review the matter and respond in a timely manner. Ms. Mobley, on behalf of the official University records custodian, is responsible for determining whether the request is proper and whether any legal exemptions apply to the request. Ms. Mobley is also responsible for gathering the requested documents and then either arranging a time for inspection of the documents or for making copies available to the requestor. The official University records custodian is Frank Butler, Executive Vice President for Finance and Administration.

Ms. Mobley may be contacted at:

301 Main Building
Lexington, Kentucky 40506-0032
Phone (859) 257-6366
Fax (859)323-1062

For more information on open records, visit the Open Records & Open Meetings Page at the Office of the Attorney General of Kentucky.

You should contact the Office of Legal Counsel immediately, unless your unit has a specific procedure in place for handling subpoenas. Examples of such units are the University of Kentucky Hospital and the Kentucky Clinic Medical Records Departments. By law, the University must respond to subpoenas, summons, and court orders within a specified time period after you receive the court document. Therefore, it is imperative that you notify the Office of Legal Counsel as soon as you are served, so we can review the matter and respond in a timely manner. We will review the document to determine the University’s rights and responsibilities for compliance.

If someone appears with a subpoena, summons, court order, or other legal document call the Office of Legal Counsel immediately, (859) 257-2936, and ask to speak to an attorney. If you receive the legal document via regular or certified mail:

1. Note the date and time of receipt on the envelope and keep the envelope and certified mail receipt.
2. Immediately fax to (859) 323-1062, or personally deliver all of the documents that you received to the Office of Legal Counsel as soon as possible, because a limited time frame exists for responding to most legal notices.
3. Keep the contents of the documents confidential.

If you receive a subpoena that involves a request for medical records, please contact:

The University of Kentucky, Medical Records Department
(859) 323-5117
or
The Kentucky Clinic Medical Records Department
(859) 323-5561

If you are a physician or staff in the medical center, and the subpoena requests your appearance for a deposition or testimony at a civil or criminal trial and you believe you need assistance, please contact the Office of Legal Counsel at (859) 323-1161. For all other subpoenas, or if you have questions about a subpoena you receive, please contact Ms. Kay Mobley, Office of Legal Counsel, at (859) 257-6366.

You should contact the Office of Legal Counsel, who can advise you on how to respond.

You should contact the University’s Office of Public Relations at (859) 257-3303; or, if you are employed in the medical center, call the Office of Public Relations at (859) 323-6363.

The Family Educational Rights and Privacy Act (FERPA) is a federal law that establishes rules and regulations regarding access to and disclosure of a student’s education records. The University also maintains a student records policy. The University is required to comply with FERPA’s confidentiality protections and to adhere to procedures dealing with student education records and directory information. For more information on FERPA, go to Office of the Registrar - FERPA.

FERPA defines “education records” to include all the records maintained by an educational institution that directly relate to a current or former student. FERPA’s definition of education record is interpreted broadly to include written, electronic, video, audio and photographs. For more information on FERPA, go to Office of the Registrar - FERPA.

Generally, a college or university that receives federal funding cannot disclose education records to anyone other than the student (including the student’s parents), without the student’s written permission. However, FERPA does establish several exceptions that allow an institution to disclose education records without the student’s prior written consent. For more information on FERPA, go to Office of the Registrar - FERPA.

Yes. FERPA gives students the right to inspect and obtain a copy of their own educational records. You may be charged a fee covering the cost of copying, but not the search or retrieval of the records.

The Health Insurance Portability and Accountability Act (HIPAA) of 1996 is a federal law that requires medical providers to protect and secure individually identifiable patient health information in certain ways. HIPAA also governs how medical providers can use and disclose health information. For more information about HIPAA, visit Chandler Medical Center - HIPAA.

Purchases made by the University are subject to the Kentucky Model Procurement Code and the University’s Business Procedures Manual. Before you consider making any purchase, you should first review the University’s Business Procedures Manual. If after reviewing the Manual you need assistance, you should contact the University Purchasing Division at (859) 257-9100. The Purchasing Division staff will help you work through these procedures properly.

Only those persons authorized by the University’s Board of Trustees or the President may enter into contracts on behalf of the University. Please see University of Kentucky Administrative Regulations. II-1.3-4, Contract and Transaction Approval Authority provides guidance on contracting authority.

The agreement may be void and you may be held personally responsible for all damages.

From time to time, individual University employees are sued as a result of their activities as University employees. It is the University’s policy to defend you if you were acting in good faith to perform the responsibilities of your job. That means the University will provide for your legal defense if you were acting within the scope and course of your duties, and in compliance with state and federal law and University regulations and policy. If you are personally named as a defendant in a lawsuit, you should contact the Office of the Legal Counsel immediately.

If you are an employee and you are injured while carrying out the responsibilities of your job, you should contact the Employee Benefits Office in the University’s Human Resource department at (859)257-9519 x155.

If you suffer a personal injury or property damage that is unrelated to your employment responsibilities, you must file a claim with the Kentucky Board of Claims. The Board of Claims is responsible for deciding claims filed against the state by citizens who believe their person or property has been damaged through negligent acts on the part of the state. Because the University is a public institution, such claims against the University fall within the jurisdiction of the Board of Claims.

If you believe your claim is less than $100, you may file a claim directly with the Office of Legal Counsel Legal Office using the University Claim Form. If you believe your claim is $100 or more, you should file your claim directly with the Kentucky Board of Claims, in Frankfort, Kentucky, using their form. Both forms can be found at IT eForms. The $100 or more claim form is also available at the state Board of Claims website.

Your claim, in either event, must be filed within one year of the date of the loss, except for medical claims, in which case you should consult with the Board of Claims. You may be represented by an attorney if you so choose. The University is required to respond to your claim within 30 days after receipt of a copy of the Claim Form. The time required to process your claim may vary depending upon the complexity of your claim. Your recovery is limited to out-of-pocket expenses, including loss of earnings, but excluding mental distress, pain and suffering. Any third party payment (such as insurance) received by you will be credited against any award. For more information, visit the Board of Claims website.

The Board of Claims is responsible for deciding claims filed against the state by citizens who believe their person or property has been damaged through negligent acts on the part of the state. Because the University is a public institution, such claims against the University fall within the jurisdiction of the Board of Claims. For more information, visit the Board of Claims website.

Workers’ compensation is administered by the University’s Human Resources department in the Employee Benefits Office. For general questions about workers compensation, you should call the Employee Benefits Office at (859) 257-9519 x155.

To report a NON-EMERGENCY work-related injury, call UK Worker’s Care at 1-800-440-6285. UK Worker’s Care staff will collect information concerning the incident and the employee will be referred to a network physician. To report an EMERGENCY work-related injury call 911 first and then report the claim to UK Worker’s Care at 1-800-440-6285 as soon as possible.

Unemployment issues are handled by the University’s Human Resources department. All questions involving unemployment should be directed to Jeaune Hadl, at (859) 257-9555 x179.

You should contact your human resources employee relations specialists at (859) 257-9555 x128. Your human resources employee relations specialist will help you work through the appropriate steps properly. For more information, visit the Human Resources Policy and Procedure Manual.

You should contact the Office of Institutional Equity & Equal Opportunity at (859) 257-8927. The Institutional Equity staff can discuss your concerns, help you clarify your allegations, and work through various alternatives to resolve the matter. If you want to file a formal complaint, the staff will investigate and make a recommendation as to whether discrimination occurred, along with potential corrective action, to the administrators in your unit. For more information about sexual harassment and discrimination, visit the Office of Institutional Equity & Equal Opportunity.

You should contact the Office of Institutional Equity & Equal Opportunity at (859) 257-8927. Staff from the Office of Institutional Equity & Equal Opportunity will work with supervisors and administrators to review actions in light of claims of harassment or discrimination and to respond to those complaints. To be unlawful, discrimination must be based on a person’s race, creed, religion, national origin, sex, age, marital status, disability, public assistance status, veteran status, or sexual orientation. Any member of the University community who believes he/she has experienced sexual harassment or any form of discrimination may seek information and advice by contacting the Office of Institutional Equity & Equal Opportunity.

The First Amendment to the United States Constitution guarantees certain rights to citizens, including free speech, a free press, and freedom of religion. Freedom of speech is a treasured right in the academic community; however, in no setting is there an absolute right to free speech. The freedom of thought and belief are absolute, but other freedoms are not absolute and depend on time, place, and circumstances. Freedom of speech does NOT include freedom to use speech that is (a) slanderous or libelous, (b) lewd or obscene, (c) profane or blasphemous, (d) will result in breech of peace, (e) advocates commission of crime, (e) is insulting and constitutes “fighting words” or words that by their very nature cause injury, (f) constitutes a clear and present danger to the nation, or (g) openly advocates overthrow of the government. If you have a question as to whether an action you propose to take may implicate these issues, please contact the Office of the Legal Counsel before you act.

For more information, please see:

• Governing Regulation I(D)(2)(k) – Political Activity
• Governing Regulation I(H) – Civic Responsibility of the Individual
• Governing Regulation X(B)(3)(b) – Faculty Members as Scholars and Citizens
• Administrative Regulation II-8.3.4 – Regulations Governing Time, Place, and Manner of Meetings, Demonstrations, and Other Assemblies
• Student Rights and Responsibilities, Part III

For information about intellectual property issues, you should contact the University’s Intellectual Property Development & Technology Transfer Office at (859)257-2300 or go to Faculty Guide to IP & Tech Transfer.

Please also see:

• Governing Regulations, Part I(D)(2)(h) and Part X(A)(2)
• Administrative Regulation, II-1.1-3
• United States Copyright Office
• United States Patent and Trademark Office
• World Intellectual Property Organization