Regulations of the Commissioner of Education

Part 59, General Provisions

§59.1 Applicability | §59.2 Education requirements | §59.3 English proficiency requirement | §59.4 Citizenship or immigration status requirements | §59.5 Professional examinations | §59.6 License by endorsement | §59.7 Licenses and initial registrations | §59.8 Registration for professional practice | §59.9 Special service fees | §59.10 Professional service corporations | §59.11 Refunds | §59.12 Training regarding child abuse and maltreatment reporting | §59.13 Training regarding infection control practices | §59.14 Waiver for entities providing certain professional services | §59.15 Waiver for certain special education schools and early intervention agencies providing certain professional services

§59.1 Applicability.

  1. As used in this Subchapter, license shall mean a permanent authorization, issued pursuant to title VIII of the Education Law, to practice a profession or to use a professional title.
  2. The provisions of this Part shall apply to admission to the licensing examination and to the issuance of licenses in each of the professions supervised by the Board of Regents except as may otherwise be provided in this Subchapter with respect to specific professions.

§59.2 Education requirements.

  1. An applicant for a professional license shall satisfy all education requirements before being admitted to a professional licensing examination, except that the department may accept professional examination grades earned in another state or jurisdiction of the United States prior to completion of professional education if the applicant was licensed in that jurisdiction on the basis of said examination and both the grades and the examination satisfy requirements in this State. Education requirements for a professional license shall include any preprofessional education or experience required as a prerequisite for admission to a registered program of professional education. The department, in its discretion, may accept in satisfaction of a professional education requirement, the completion of an approved or registered program or a program accredited by a professional accreditation organization acceptable to the department. The department, in its discretion, may also accept graduation by a transfer student from such a program, provided such student has completed not less than the final year of professional education in such program subsequent to the date of approval, registration or accreditation of the program and approval of the accrediting organization by the department. The department may accept graduation by a transfer student from an unaccredited program of professional education, provided such student satisfies the educational requirements of statute and regulation in accordance with this Part and as otherwise provided in this Subchapter with respect to the specific profession, and further provided that such student completes not less than the final year in the unaccredited program to which he has transferred.
  2. Education and experience required for the issuance of a license or limited permit shall have been performed in accordance with all requirements of the jurisdiction in which it took place. The department may require contemporaneous evidence of the education and/or experience required for the issuance of a license or limited permit.
  3. Applicants who seek to meet the education requirement for licensure through programs that are not registered by the department or accredited by a professional accreditation organization acceptable to the department in accordance with this Subchapter, shall submit adequate evidence of verification of his or her educational credentials by an acceptable independent credentials verification organization, unless the department determines that such credentials are verified by an acceptable independent credentials verification organization through alternative means prescribed in this Subchapter for a particular profession or no acceptable independent credentials verification organization exists for the particular profession. An acceptable independent credentials verification organization shall mean an organization which the department determines is a reliable verifier of educational credentials and meets requirements that include but are not limited to the following: the organization is a verifier of educational credentials of applicants for licensure in the particular profession, has satisfactory procedures in place to ensure the accuracy of the information it collects, has satisfactory recordkeeping and reporting procedures, and verifies such credentials directly with the educational institution from which the credential was earned. Any cost of such independent verification shall be the responsibility of the applicant, pursuant to arrangements between the applicant and the independent credentials verification organization, and shall not be payable to the department. The verification of educational credentials by an acceptable independent credentials verification organization for authenticity purposes as prescribed in this subdivision shall not constitute a determination by the department that the licensure requirements have been met.

§59.3 English proficiency requirement.

An applicant for licensure whose application is based upon credit granted for the completion of courses of study in a country where English is not the principal language spoken shall demonstrate proficiency in English by passing an examination in English proficiency acceptable to the department or by passing a licensing examination acceptable to the department given in English.


§59.4 Citizenship or immigration status requirements.

In those professions where citizenship or immigration status is required for licensure, an applicant shall submit evidence satisfactory to the department of compliance with such requirement.


§59.5 Professional examinations.

  1. The department may develop its own examinations or may select in whole or in part examinations developed or administered by other organizations. Unless specifically authorized by the department, no examination shall be deemed acceptable which has been used in its entirety during the five years previous to the current administration.
  2. Applications for admission to a licensing examination, including all required fees shall be completed and filed not less than 60 days prior to the examination. When the department finds that the application is complete and that the requirements for admission to an examination have been met, it will issue to the applicant an admission card which will include the date, time and place of the examination and entitle the applicant to admission thereto.
    1. The department may accept applications for admission to department conducted examinations after the filing date for such examinations provided that the department is able to review and process such applications in a timely manner and that there are adequate examination facilities and materials available. Such applications shall require the payment of the late filing fee enumerated in Section 59.9 of this Part, which shall be in addition to the regular admission or reexamination fee. If, upon review of a late application, the department determines that the applicant is ineligible to be admitted to the examination, the department shall retain the late filing fee. In the event that the department is unable to review a late application, the late filing fee shall be refunded.
    2. The department may waive the late filing fee or delay the required date for filing in cases where notification to the applicant of the results of the previous examination are released less than 75 days prior to the next examination.
  3. For the purpose of identification for admission to the examination, the applicant shall present the current admission card with a photograph attached and, at the conclusion of the examination, return the card to the department representative conducting the examination. A candidate shall permit fingerprints to be taken during each part of an examination.
  4. Licensing examinations shall be held at times and places determined by the commissioner and conducted under the following conditions. Any candidate violating such conditions may be dismissed from the examination by the department representative, and the examination paper of such candidate shall be deemed a failure. At the discretion of the department, such candidate may be denied admission to subsequent licensing examinations.
    1. No candidate shall enter any examination more than 60 minutes after the scheduled admission time, nor shall any candidate leave the examination until 60 minutes have elapsed from the scheduled admission time. No candidate shall leave a department administered practical or clinical examination until dismissed by the chief examiner.
    2. Compensatory time may be granted candidates arriving late for an examination, at the discretion of the department.
    3. A candidate shall not obtain unauthorized possession of examination materials.
    4. During the examination, no candidate shall give or receive help, or communicate with any other candidate in any way, except upon the express permission of the department representative.
    5. A candidate shall bring into the examination room only such books and other materials as are indicated on the admission card and permitted by the department.
    6. A candidate shall not remove from the examination room any of the materials provided for an examination, and shall not reproduce or reconstruct any portion of the examination or answer paper, or aid in such reproduction or reconstruction by any means, unless authorized by the department. Such materials include examination booklets, individual examination questions, answer sheets or score sheets, instructions and any reference tables or papers which were provided by the department and which may have been used in the course of the examination.
  5. Papers will be scored and candidates notified of success or failure by the department or its designee. If the candidate has failed, the department will advise when and on what basis the candidate may be reexamined and of any procedure for review of the failed examination.
  6. The passing score in each component of each part of the licensing examination shall be determined as provided by law and shall be computed without rounding. In those examinations administered by the department, unless otherwise provided in the regulations pertaining to a specific profession, a candidate may retain credit for scores earned on examination parts for a period not to exceed five years from the examination date. A candidate who is reexamined in a part already passed shall not retain credit for such part from earlier examinations. In those professions which use national or regional examinations administered by the Department, this subdivision shall apply whether or not the examination is taken in the State of New York.
  7. In those professions where reviews of examination papers are permitted, candidates will be allowed to review only those parts of the examination which they failed with a score of 60 or higher. In those professions which permit candidates to pass on average all scores used in computing the average are reviewable. A request for review of an examination paper or score may be made in writing to the department not later than 30 days after examination grades are released by the department. A candidate shall not remove from the reviewing site any of the materials provided for the review of an examination given previously, and shall not reproduce or reconstruct any portion of the examination or the answer paper, or aid in such reproduction or reconstruction by any means, unless authorized by the department. No one other than the candidate will be permitted access to examination materials. Where examinations are offered under contract with testing agencies, reviews shall be consistent with these contracts, where applicable. All reviews shall be conducted at sites selected and supervised by the department or an authorized testing agency.
  8. An applicant who has been admitted to a professional licensing examination conducted by the department and subsequently fails to appear for such an examination twice shall forfeit any remaining fee credits for that examination. The applicant, upon subsequently applying for readmission to that examination, shall pay all required admission fees.

§59.6 License by endorsement.

An applicant for endorsement of a license issued by another jurisdiction shall establish that the applicant:

  1. meets all requirements of section 6506 (6) of the Education Law;
  2. has had satisfactory professional experience of at least two years following initial licensure, unless a different period is provided in the regulations pertaining to a particular profession; and
  3. has not attempted unsuccessfully a licensing examination used by the State of New York either prior to or after making application for licensure by endorsement, unless such applicant has later passed a comparable licensing examination.

§59.7 Licenses and initial registrations.

When the candidate fulfills all requirements for licensure, the department shall issue a first registration certificate and a license. The first registration shall be for the remainder of the applicable registration period. Pursuant to section 6502 of the Education Law the registration fee shall be prorated for those persons newly licensed and registered, or reactivating registration, during the second or third year of a registration period.


§59.8 Registration for professional practice.

  1. Each licensee shall be responsible for registering with the department. Failure to register shall subject the practitioner to the late fee set forth in section 6502 (3) of the Education Law. Any practitioner who willfully refuses to register shall be subject to the penalties set forth in section 6511 of such law.
  2. A licensee not practicing or using a restricted title in New York State or an individual practicing only in a setting which is exempt from licensure in accordance with law may allow registration to lapse without being subject to the late fee set forth in section 6502 of the Education Law, by notifying the department of their cessation of practice or exemption in the State. At such time as the licensee may choose to resume practice or enter practice in a nonexempt setting in New York State, a registration certificate may be issued upon the filing of a proper application and the payment of the required registration fee.
  3. Registration certificates shall be conspicuously displayed by each licensee in each office in which the profession is practiced. In instances where licensees regularly practice at more than one professional office, registration certificates shall be obtained for each office bearing the licensee's name and the exact address of each such office upon making proper application to the department and submitting a fee. Where practice is carried on in other than individual offices, each licensee shall have a current registration certificate available for inspection at all times.
  4. Registration periods for each profession shall be in accordance with schedules established by the department.
  5. Each professional practitioner shall notify the department in writing of any change of name or address not later than 30 days after such change.
  6. When an applicant or licensee pays a fee by a personal check and it is subsequently not honored by the issuing institution, the applicant or licensee must subsequently pay by a certified check, a bank check, or a money order. The replacement payment shall include any late and penalty charges required under section 6502 (3) and (7) of the Education Law.
  7. Any licensee who fails to submit a replacement registration payment as required in subdivision (f) of this section, shall have his or her registration voided 60 days from the date the department sends notification that said fee was not honored by the issuing institution.

§59.9 Special service fees.

The department will charge the following fees for special services not otherwise provided by Education Law:

  1. for the issuance of a trainee permit in ophthalmic dispensing, $25;
  2. for certification of completion of pharmacy internship, $20;
  3. for admission to the fundamental theory section of the examination in landscape architecture, $50 and for each subsequent reexamination, $50, the remainder of the fee set forth in section 7324 of the Education Law to be paid prior to admission to the remainder of the examination;
  4. for certification of licensure or examination grades to another jurisdiction, $20;
  5. for certification in acupuncture of a licensed physician or dentist, $150;
  6. for the issuance of an additional registration certificate, $10;
  7. for the issuance of a letter of eligibility to undertake clinical clerkships, $30;
  8. for the issuance of a Medical Science Knowledge Profile (MSKP) or satisfactory equivalent examination certificate to undertake clinical clerkships, $20;
  9. for review by the department of an examination conducted by the department, $25;
  10. for rescoring of an examination conducted by the department, $20;
  11. for verification by the department of the transcript of an applicant or licensee, $20;
  12. for admission to the Special Purpose Examination (SPEX) in medicine, $175;
  13. for late filing for admission to a licensing examination, $50;
  14. for written verification of licensure and/or registration status, $10;
  15. for reregistration of a licensee whose six-month registration has expired due to his or her failure to satisfy child support or combined child and spousal support obligations as prescribed in section 3-503 of the General Obligations Law, an amount equal to the licensee's registration fee; and
  16. for provision of a non-mandatory photo identification card for professionals licensed and registered pursuant to Title VIII of the Education Law, a fee not to exceed $35 for the cost of administration.

§59.10 Professional service corporations.

  1. Applications to the State Education Department for the issuance of a certificate pursuant to Business Corporation Law, section 1503 (b) (ii), shall be made by submitting to the department a fully executed certificate of incorporation which complies with the provisions of such section and of section 1512 of such law, and which sets forth or has annexed to it an affidavit of one of the original officers, directors or shareholders of the corporation setting forth the name of each individual who is to be one of the original shareholders, directors or officers of the corporation.
  2. If the name of a proposed professional service corporation contains the name of a deceased person, the certificate of incorporation, when submitted to the department for the issuance of a certificate pursuant to Business Corporation Law, section 1503 (b) (ii) shall be accompanied by an affidavit of one of the subscribers to the certificate of incorporation establishing compliance with the provisions of Business Corporation Law, section 1512 (a) (2).
  3. A certificate pursuant to Business Corporation Law, section 1503 (b) (ii) may be issued when:
    1. the proposed name of the corporation appropriately describes the profession practiced and the services to be provided; and
    2. if the proposed name of the corporation includes a reference to a specialized area of professional practice, satisfactory evidence is submitted of compliance with any provision of Part 29 of this Title, rules of the Board of Regents restricting or regulating the use of specialty titles or announcements of limitations of practice in the particular profession.

§59.11 Refunds.

Monies received by the State Education Department pursuant to section 110 of the Education Law, may be refunded as follows:

  1. Full refunds may be granted when:
    1. the fee submitted is an overpayment;
    2. the requested service cannot be provided;
    3. a written request for the refund of a registration fee is received prior to the beginning of that registration period; or
    4. a registrant who has paid a registration fee is deceased prior to the beginning of that registration period and a written refund request is received within one year of the date of death.
  2. Partial refunds not to exceed 50 percent of the licensure application fee may be granted if an applicant for any practice authorization elects to withdraw such application prior to the issuance or denial by the department of such authorization, and such applicant has not been admitted to a department conducted examination. Each applicant who has at any time withdrawn an application and received a refund shall be required to pay in full all fees upon submitting any subsequent application.

§59.12 Training regarding child abuse and maltreatment reporting.

  1. All persons applying on or after January 1, 1991 for the issuance or renewal of a license/registration or limited permit in medicine, chiropractic, dentistry, dental hygiene, registered professional nursing, podiatry, optometry, psychology and any other professions listed in section 6507 (3) (a) of the Education Law shall submit documentation acceptable to the department of the completion of two hours of coursework or training regarding the identification and reporting of child abuse and maltreatment and obtained either from a provider approved by the department pursuant to Part 57 of this Title or as a matriculant in a registered program under Section 52.2 (c) (12) of this Title, unless the applicant receives an exemption from such requirement as provided in subdivision (b) of this section.
  2. The department may exempt an applicant or licensee from the coursework or training requirement of subdivision (a) of this section upon receipt of a written application for such exemption establishing that there would be no need to complete the coursework or training because the nature of the applicant's/licensee's practice excludes contact with children. It is the professional responsibility of the licensee who holds an exemption to notify the department in writing, within 30 days, when the nature of the practice changes to the extent that the basis for the exemption ceases to exist.

§59.13 Training regarding infection control practices.

  1. Commencing July 2, 1994, all persons applying for the issuance of a license or renewal of a registration in dentistry, registered professional nursing, licensed practical nursing, podiatry, optometry, dental hygiene, or any other profession subject to the requirements of section 6505-b of the Education Law shall affirm to the department, and maintain and/or submit such documentation as the department may require, that they have completed, in the four years immediately preceding such application, course work or training in infection control and barrier precautions which is approved by the department, pursuant to Part 58 of this Title, or which is approved as part of a program registered pursuant to Part 52 of this Title. As provided in subdivision (b) of this section, an applicant may be exempted from the infection control and barrier precautions course work or training requirement; or as provided in subdivision (c) of this section, may be exempted from the requirement to document the completion of such course work or training.
  2. The department may exempt an applicant for registration from the course work or training required pursuant to subdivision (a) of this section either upon receipt of:
    1. a written application for such exemption establishing that there would be no need to complete the course work or training because the nature of the applicant's/licensee's practice does not require the use of infection control techniques or barrier precautions; or
    2. documentation satisfactory to the department that the applicant/licensee has completed course work or training equivalent to that approved by the department, pursuant to Part 58 of this Title.
  3. Maintenance or submittal of documentation pursuant to subdivision (a) of this section is not required of any dentist or podiatrist who is subject to the provisions of paragraph (f) of subdivision (1) of section 2805-k of the Public Health Law and who attests at the time of registration that documentation requirements have been met as required in the Public Health Law.
  4. If there are changes in the nature of the practice of a licensee who has been granted an exemption under paragraph (b) (1) of this section and such changes require the licensee to use infection control techniques or barrier precautions, the licensee shall notify the department in writing of the change within 30 days of such change. If the licensee has not taken approved course work or training in infection control and barrier precautions during the four years immediately preceding the change in practice, the licensee shall obtain such course work or training within 90 days of the change in practice.

§59.14 Waiver for entities providing certain professional services.

Effective September 20, 2011

  1. Applicability. Section 6503-a of the Education Law authorizes the Department to issue a waiver for certain entities to provide the following services:
    1. services provided under Articles 154 or 163 of the Education Law for which licensure would be required, or
    2. services constituting the provision of psychotherapy as defined in section 8401(2) of the Education Law and authorized and provided under article 131, 139, or 153 of the Education Law.
  2. Eligible entities. To be eligible for a waiver under this section, an entity must be in existence prior to June 18, 2010 and be either:
    1. a not-for-profit corporation formed for charitable, educational, or religious purposes or other similar purposes deemed acceptable by the Department; or
    2. an education corporation as defined in section 216-a of the Education Law.
  3. Application for a waiver.
    1. To provide the services described in subdivision (a) of this section, an eligible entity shall have applied to the Department for a waiver no later than February 1, 2012. The Department may issue a waiver to a qualified entity after July 1, 2012, regardless of the date on which the entity was created, upon a demonstration of need for the entity’s services satisfactory to the Department (e.g., the entity provides services to an underserved population or in a shortage area).
    2. No later than February 1, 2012, any entity described in subdivision (b) of this section providing services described in subdivision (a) of this section on or after June 18, 2010, shall submit an application for a waiver on forms prescribed by the Commissioner. Upon submission of an application for a waiver under this section, the entity may continue to operate and provide services until the Department either denies or approves the entity’s application.
    3. An application for a waiver under this section shall include:
      1. the name of the entity;
      2. (ii) evidence that the entity is either:
        1. a not-for-profit corporation that is formed for charitable, educational, or religious purposes, or other similar purposes deemed acceptable by the department; or
        2. an education corporation as defined in section 216-a(1) of the Education Law;
      3. evidence of the date the entity came into existence;
      4. the primary address, phone number, website and email address for the entity;
      5. contact information for the individual responsible for submitting the application for a waiver, including phone number and email address;
      6. the name and address of each director and officer of the entity;
      7. a copy of the certificate of incorporation or other documentation that authorizes the entity to provide the services described in subdivision (a) of this section;
      8. a listing of other jurisdictions in which the entity may provide the services described in subdivision (a) of this section;
      9. the information required in paragraph (1) of subdivision (e) of this section; and
      10. an attestation by an officer authorized by the entity to make such attestation that:
        1. identifies the scope of services to be provided by the entity;
        2. includes a list of professions under Title 8 of the Education Law in which professional services will be provided by such entity;
        3. includes a statement that only a licensed professional, a person authorized to provide such services, or a professional entity authorized by law to provide such services shall provide such professional services as are authorized under this section;
        4. the entity will comply with section 18 of the Public Health Law relating to patient access to records;
        5. the entity will make available any and all information requested by the Department relating to the entity’s eligibility for a waiver and the entity’s compliance with the requirements of this section and section 6503-a of the Education Law;
        6. includes a statement as to whether any application by the entity for an operating certificate or license with another state or federal agency, political subdivision, municipal corporation, or local government agency has been granted and such operating certificate or license is currently in effect; whether such application is pending or was disapproved; whether such a certificate or license was revoked; and whether a written authorization or contract was terminated for cause by one of such agencies;
        7. the entity has adequate fiscal and financial resources to provide such services;
        8. the statements on the application are true and accurate.
  4. Entities that do not require a waiver. In accordance section 6503-a of the Education Law, the following entities do not require a waiver under this section:
    1. any entity operated under an operating certificate appropriately issued in accordance with article sixteen, thirty-one, or thirty-two of the mental hygiene law, article twenty-eight of the public health law, or comparable procedures by a New York state or federal agency, political subdivision, municipal corporation, or local government agency or unit, in accordance with the scope of the authority of such operating certificate;
    2. a university faculty practice corporation duly incorporated pursuant to the not-for-profit corporation law;
    3. an institution of higher education authorized to provide a program leading to licensure in a profession defined under article 131, 139, 153, 154, or 163 of the Education Law, to the extent that the scope of such services is limited to the services authorized to be provided within such registered program;
    4. an institution of higher education providing counseling only to the students, staff, or family members of students and staff of such institution; or
    5. any other entity that is otherwise authorized by law to provide such services and only to the extent that services are authorized under any certificates of incorporation or such other organizing documents as may be applicable.
  5. Provision of professional services.
    1. The entity shall describe in the application the services that will be provided that would otherwise be restricted to individuals licensed or authorized under Articles 153, 154 or 163 of the Education Law. The description shall indicate the profession(s) in which services will be provided and shall include:
      1. An attestation that individuals authorized to provide professional services only under supervision will receive the required supervision;
      2. A description of how the services will be provided, including a description of whether the services will be provided by licensed or authorized individuals employed by the entity or provided through a contract with licensed professional(s) or a professional entity, as defined in Education Law section 6503-a(5); and
      3. An attestation that the entity will verify the licensure, limited permit or other authorization of individuals and professional entities providing services as employees of or on behalf of the entity.
    2. Unless otherwise authorized by law, an entity that holds a waiver under this section shall not provide services in any profession other than those authorized in 6503-a of the Education Law and included on the application for a waiver.
  6. Attestation of moral character.
    1. Each director and officer of the entity shall submit on forms prescribed by the Commissioner an attestation regarding whether:
      1. the individual has been found guilty after trial, or pleaded guilty, no contest or nolo contendere to a crime (felony or misdemeanor) in any court;
      2. the individual has criminal charges (felony or misdemeanor) pending in any court;
      3. any licensing or disciplinary authority has refused to issue a license or has ever revoked, annulled, cancelled, accepted surrender of, suspended, placed on probation, or refused to renew a professional license or certificate held by the individual now or previously, or has ever fined, censured, reprimanded or otherwise disciplined the individual;
      4. there are any pending charges against the individual in any jurisdiction for any sort of professional misconduct; or
      5. a hospital or licensed facility has restricted or terminated the individual’s professional training, employment or privileges, or whether the individual has ever voluntarily resigned or withdrawn from such association to avoid imposition of such measure.
    2. Any information included in the application that indicates that a director or officer of the entity has committed an act which raises a reasonable question as to the individual’s moral character shall be referred to the Director of the Office of Professional Discipline or his or her designee. The determination of whether a director or officer of the entity is of good moral character shall be made in accordance with the procedures specified in Subpart 28-1 of the Rules of the Board of Regents.
  7. Review of waiver applications. The application shall not be deemed acceptable if the entity has not submitted information identified in paragraphs (c), (e), and (f) of this section. The Department may deny an application based on the failure of the applicant to submit the required information within a reasonable period of time, as determined by the department. When, in the determination of the department, all necessary information has been received, a decision to approve or deny the waiver application shall be made within 90 days of such determination. If the waiver application is denied, then the entity shall cease the provision of professional services as defined in section 6503-a(1)(a) of the Education Law. The determination of the Department shall be final, and a copy thereof shall be forwarded to the applicant.
  8. Waiver certificates.
    1. An entity that has been issued a waiver under this section shall apply for a waiver certificate for each setting at which the entity provides professional services in New York.
    2. The application for additional certificates may be made as part of the initial application for a waiver or after the Department has approved the entity for a waiver under section 6503-a of the Education Law.
    3. Each waiver certificate shall display the name of the entity and the address of the site.
    4. Any entity that willfully fails to obtain a certificate of waiver for each site and/or to display the waiver certificate at each site shall be subject to the penalties set forth in section 6511 of the Education Law.
  9. Notification of changes.
    1. An entity that is issued a waiver pursuant to section 6503-a of the Education Law shall notify the Department within 60 days of any change in the information supplied to the department, including but not limited to a change in the:
      1. name and terms of officers or directors;
      2. site(s) at which professional services are provided; and
      3. person responsible for filing the waiver application on behalf of the entity or the contact information for such person; and/or
      4. a transfer or assignment of interest as set forth in subdivision (j) of this section, provided that the entity shall notify the Department immediately of such change.
    2. Notification shall be made in a form prescribed by the department.
  10. Transfer or assignment of waiver. A waiver issued by the Department pursuant to section 6503-a of the Education Law shall not be transferable or assignable. For purposes of this section, a transfer or assignment shall mean the conveyance of a waiver under this section from one entity to another entity by any means, including but not limited to a merger, consolidation, or a change in control of the entity.
  11. Triennial application. A waiver issued pursuant to this section shall be valid for three years. An entity that is issued a waiver pursuant to this section shall submit to the Department for review an application for renewal of the waiver every three years.

§59.15 Waiver for certain special education schools and early intervention agencies providing certain professional services.

Effective April 11, 2012

  1. Applicability.
    1. Section 6503-b(2)(a) of the Education Law authorizes the Department to issue a waiver for special education schools, as defined in section 6503-b(1)(a) of the Education Law, to provide the following services:
      1. conduct components of a multi-disciplinary evaluation as defined in section 6503-b(1)(d) of the Education Law; and
      2. related services, as defined in section 6503-b(1)(f) of the Education Law.
    2. Section 6503-b(2)(b) of the Education Law authorizes the Department to issue a waiver for early intervention agencies defined in section 6503-b(1)(b), to provide the following services:
      1. early intervention program services, as defined in section 6503-b(1)(c) of the Education Law,
      2. multi-disciplinary evaluations for purposes of an early intervention program, as defined in section 6503-b(1)(e) of the Education Law; and
      3. service coordination services.
  2. Eligible entities.
    1. To be eligible for a waiver under this section, an entity must be either:
      1. a special education school, as defined in section 6503-b(1)(a) of the Education Law, if seeking to provide the services set forth in paragraph (1) of subdivision (a) of this section; or
      2. an early intervention agency, as defined in section 6503-b(1)(b) of the Education Law, if seeking to provide the services set forth in paragraph (2) of subdivision (a) of this section.
    2. Entities that do not require a waiver. In accordance with section 6503-b of the Education Law, the following entities do not require a waiver under this section:
      1. a school district, board of cooperative educational services, municipality, state agency, or other public entity;
      2. a child care institution that conducts multi-disciplinary evaluations or provides related services through an approved private nonresidential school operated by such child care institution, provided that such school obtains a waiver pursuant to this section; and
      3. a special education school or an early intervention agency that is otherwise authorized by law to provide the applicable professional services.
  3. Application for a waiver.
    1. To be approved to provide the services described in subdivision (a) of this section, without having to demonstrate the need for the entity’s services, an eligible entity shall have obtained a waiver from the Department no later than July 1, 2013. The Department may, however, issue a waiver to a qualified entity after July 1, 2013, regardless of the date on which the entity was created, upon a demonstration of need for the entity’s services satisfactory to the Department (e.g., the entity provides services to an underserved population or in a shortage area).
    2. Within 120 days after the posting of the application form on the Department’s website, any entity described in subdivision (b) of this section providing services described in subdivision (a) of this section, shall submit an application for a waiver on forms prescribed by the Commissioner. Upon submission of an application for a waiver under this section, the entity may continue to operate and provide services until the Department either denies or approves the entity’s application.
    3. An application for a waiver under this section shall be accompanied by the application fee of $345, provided that where the applicant simultaneously applies for a waiver as a special education school and a waiver as an early intervention agency, the total waiver fee shall be $345. The application shall include:
      1. the name of the special education school or early intervention agency;
      2. evidence acceptable to the Department that the entity is either:
        1. a “special education school” as defined in section 6503-b(1)(a) of the Education Law; or
        2. an “early intervention agency” as defined in section 6503-b(1)(b) of the Education Law;
      3. the primary address, phone number, website and email address for the entity;
      4. contact information for the individual responsible for submitting the application for a waiver, including phone number and email address;
      5. the names and contact information of the directors, trustees and officers of the entity;
      6. a listing of other jurisdictions in which the entity may provide the services described in subdivision (a) of this section;
      7. an attestation by an officer authorized by the entity to make such attestation that:
        1. identifies the scope of services to be provided by the entity;
        2. includes a list of professions under Title VIII of the Education Law in which professional services will be provided by such entity;
        3. includes a statement that individuals authorized to provide professional services only under supervision will receive the required supervision;
        4. includes a description of how the services will be provided, including a description of whether the services will be provided by licensed or authorized individuals employed by the entity or provided through a contract with licensed professionals, individuals otherwise authorized to practice or a professional entity, as set forth in Education Law section 6503-b(6);
        5. includes a statement that only a licensed professional, a person otherwise authorized to provide such services, or a professional services entity authorized by law to provide such services shall provide such professional services as are authorized under this section;
        6. includes a statement that the entity will verify the licensure, limited permit or other authorization of individuals and professional entities providing services described in this section, as employees of or on behalf of the entity; and
        7. includes a statement that, unless otherwise authorized by law, the entity shall only provide services authorized under section 6503-b of the Education Law;
        8. the entity will comply with section 18 of the Public Health Law relating to patient access to records;
        9. the entity will comply with all applicable laws and regulations relating to privacy and access to records of any student, client or business record.
        10. the entity will make available any and all information requested by the Department relating to the entity’s eligibility for a waiver and the entity’s compliance with the requirements of this section and section 6503-b of the Education Law;
        11. the entity has adequate fiscal and financial resources to provide such services; and
        12. the statements on the application are true and accurate.
  4. Attestation of moral character.
    1. Each officer, director, and trustee of the entity shall submit, on forms prescribed by the Commissioner, an attestation regarding whether:
      1. the individual has been found guilty after trial, or pleaded guilty, no contest or nolo contendere to a crime (felony or misdemeanor) in any court;
      2. the individual has criminal charges (felony or misdemeanor) pending in any court;
      3. any licensing or disciplinary authority has refused to issue a license or has ever revoked, annulled, cancelled, accepted surrender of, suspended, placed on probation, or refused to renew a professional license or certificate held by the individual now or previously, or has ever fined, censured, reprimanded or otherwise disciplined the individual;
      4. there are any pending charges against the individual in any jurisdiction for any sort of professional misconduct; or
      5. a hospital or licensed facility has restricted or terminated the individual’s professional training, employment or privileges, or whether the individual has ever voluntarily resigned or withdrawn from such association to avoid imposition of such measure.
    2. Any information included in the application that indicates that a director or officer of the entity has committed an act which raises a reasonable question as to the individual’s moral character shall be referred to the Director of the Office of Professional Discipline or his or her designee. The determination of whether an officer, director or trustee of the entity is of good moral character shall be made in accordance with the procedures specified in Subpart 28-1 of the Rules of the Board of Regents.
  5. Provision of professional services.
    1. Notwithstanding any other provision of the law to the contrary, a special education school or early intervention agency operating under a waiver pursuant to section 6503-b of the Education Law may employ individuals licensed or otherwise authorized to practice a profession as defined under Title VIII of the Education Law, to the extent the services are authorized by the waiver.
    2. Unless otherwise authorized by law, an entity that holds a waiver under this section shall not provide services in any profession other than those authorized pursuant to section 6503-b of the Education Law and included on the application for a waiver.
  6. Review of waiver applications. The application shall not be deemed acceptable if the entity has not submitted information identified in subdivisions (c) and (d) of this section. The Department may deny an application based on the failure of the applicant to submit the required information within a reasonable period of time, as determined by the Department. When, in the determination of the Department, all necessary information has been received, a decision to approve or deny the waiver application shall be made within 90 days of such determination. If the waiver application is denied, then the entity shall cease the provision of professional services as defined in section 6503-b of the Education Law. The determination of the Department shall be final, and a copy thereof shall be forwarded to the applicant.
  7. Waiver certificates.
    1. An entity that has been issued a waiver under this section shall apply for a waiver certificate for each setting at which the entity provides professional services in New York.
    2. The application for additional certificates may be made as part of the initial application for a waiver or after the Department has approved the entity for a waiver under section 6503-b of the Education Law.
    3. Each waiver certificate shall display the name of the entity and the address of the site.
    4. Any entity that willfully fails to obtain a certificate of waiver for each site and/or to display the waiver certificate at each site shall be subject to the penalties set forth in section 6511 of the Education Law.
    5. An entity with an approved waiver may apply, on a form prescribed by the Commissioner, to amend the waiver to add additional professional services.
  8. Notification of changes.
    1. In the event that a change in the location of the chief administrative offices of a special education school or early intervention agency is contemplated, the owner shall notify the Department at least 30 days prior to relocation.
    2. An entity that is issued a waiver pursuant to section 6503-b of the Education Law shall notify the Department within 60 days of other changes in the information supplied to the Department, including but not limited to a change in the:
      1. name and terms of officers or directors;
      2. site(s) at which professional services are provided;
      3. person responsible for filing the waiver application on behalf of the entity or the contact information for such person; and/or
      4. a transfer or assignment of interest as set forth in subdivision (i) of this section, provided that the entity shall notify the Department immediately of such change. Notification shall be made in a form prescribed by the Department.
  9. Transfer or assignment of waiver. A waiver issued by the Department pursuant to section 6503-b of the Education Law shall not be transferable or assignable. For purposes of this section, a transfer or assignment shall mean the conveyance of a waiver under this section from one entity to another entity by any means, including but not limited to a merger, consolidation, or a change in control of the entity.
  10. Triennial application. A waiver issued pursuant to this section shall be valid for three years. An entity that is issued a waiver pursuant to this section shall submit to the Department for review an application for renewal of the waiver every three years with the triennial registration fee of $260, or a prorated portion thereof, as determined by the Department.
  11. Notwithstanding any other provision of law to the contrary, upon revocation or other termination by the commissioner of approval of the special education school pursuant to Article 89 of the Education Law and the provisions of this Title implementing such article or termination of the early intervention agency pursuant to Title 2-A of Article 25 of the Public Health Law and implementing regulations by the commissioner pursuant to section 4403(18) of the Education Law, the school's or early intervention agency's waiver pursuant to this section shall be deemed revoked and annulled.
Last Updated: April 3, 2012