Section 207 of the State Administrative Procedure Act (SAPA) requires that each State agency review each of its rules that is adopted on or after January 1, 1997 in the calendar year specified in the notice of adoption for the rule, provided that at a minimum every rule shall be initially reviewed no later than in the fifth calendar year after the year in which the rule is adopted, and, thereafter, every rule shall be re-reviewed at five-year intervals, in order to determine whether such rules should be modified or continued without modification.

Pursuant to SAPA section 207, the State Education Department submits the following list of its rules that were adopted during calendar years 2018, 2017, 2016, 2013, 2011, 2006 and 2001 and invites public comment on the continuation or modification of such rules. All section and part references are to Title 8 of the New York Code of Rules and Regulations. Comments should be sent to the respective agency representative listed below for each particular rule and must be received within 45 days of the date of publication of this Notice.

A. CALENDAR YEAR 2018 (3 YEAR REVIEW)

OFFICE OF P-12 EDUCATION

Section 100.7 Pathways to Graduation

Description of Rule: New pathway to a NYS high school equivalency diploma.

Need for Rule: To allow students to use passing scores on certain Regents examinations in lieu of certain TASC sub-tests.

Legal Basis for Rule: Education Law sections 101, 207, 208, 209, 305(1) and (2), 308, 309, and 3204(3).

Sections 135.1 and 135.3 Mental Health Education

Description of Rule: Mental health education in schools.

Need for Rule: To implement the provisions of Chapter 390 of the Laws of 2016 and Chapter 1 of the Laws of 2017 requiring health education in schools to include mental health education.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2), 308, 804(1)-(7), Chapter 401 of the Laws of 1998, Chapter 390 of the Laws of 2016, and Chapter 1 of the Laws of 2017.

Sections 100.5 Science Lab Requirements

Description of Rule: Laboratory experiences required to take a science regents examination for students in certain state agency educational programs.

Need for Rule: To provide flexibility in meeting the science laboratory requirements for students in certain state agency educational programs.

Legal Basis for Rule: Education Law sections 101, 207, 208, 209, 305(1) and (2), 308, 209, and 3204(3) and (4).

Section 100.2(kk) DASA

Description of Rule: Reports of incidents of harassment, bullying, and/or discrimination pursuant to the Dignity for All Students Act (DASA).

Need for Rule: To provide illustrative examples to the field to aid in the continued implementation of DASA.

Legal Basis for Rule: Education Law sections 11(1-7), 14(3), 15, 16, 101, 207, 305(1) and (2), and 2854(1)(b), and Chapter 482 of the Laws of 2010.

Sections 175.2 and 175.5 State Aid

Description of Rule: Minimum instruction requirement for State aid.

Need for Rule: To modify the manner in which minimum instructional time is calculated for State aid purposes.

Legal Basis for Rule: Education Law sections 101, 207, 1704, and 3604.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Kimberly Young Wilkins

Deputy Commissioner for P12 Instructional Support

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 486-1954

OFFICE OF HIGHER EDUCATION

Section 80-6.1 CTLE/Non-publics

Description of Rule: Continuing teacher and leader education (CTLE) for non-public school teachers.

Need for Rule: To implement Chapter 311 of the Laws of 2017 requiring mandatory continuing education for all holders of professional certificates in the classroom teaching service.

Legal Basis for Rule: Education Law sections 101, 207, 305, 3001 3004, 305, and 3006-a and Chapter 311 of the Laws of 2017.

Section 80-5.26 Puerto Rico Certificates

Description of Rule: Temporary Hurricane Maria certificate.

Need for Rule: To provide temporary certificates for teachers displaced from Puerto Rico and/or another US territory as a result of Hurricane Maria.

Legal Basis for Rule: Education Law sections 101, 207, 305, 3001, 3004, and 3009.

Section 80-5.25 Transitional H Certificate

Description of Rule: Transitional H Certificate Pathway.

Need for Rule: To establish a Transitional H Pathway for holders of a NYS license as a CPA to Pursue a School District Business Leader Certificate.

Legal Basis for Rule: Education Law sections 101, 207, 305, 3001, 3004, and 3009.

80-3.10 Educational Leadership Service

Description of Rule: Relates to requirements for certificates in the Educational Leadership Service.

Need for Rule: To revise program requirements for leadership programs necessary for certificates in Educational Leadership service.

Legal Basis for Rule: Education Law sections 207, 305, 3001, and 3004.

Section 52.21, Parts 30 and 80 Computer Science

Description of Rule: Teacher certification and tenure in computer science.

Need for Rule: To create a new certification area and tenure area in computer science.

Legal Basis for Rule: Education Law sections 101, 207, 210, 215, 305, 3001, 3004, and 3009.

Section 80-5.13 Transitional B Pathway

Description of Rule: Alternative teacher education models for Transitional B certification.

Need for Rule: To provide flexibility in alternative teacher education models for Transitional B certification.

Legal Basis for Rule: Education Law sections 101, 207, 305, 3001, 3003, 3004 and 3009.

Section 80-3.4 Mentoring Requirement

Description of Rule: Mentoring program for professional certification.

Need for Rule: To enable new teachers who are hired late in the academic year to have the same amount of time to participate in mentoring.

Legal Basis for Rule: Education Law sections 101, 207, 210, 215, 305, 3001, 3004, and 3009.

Sections 52.21 and 80-5.22 Transitional G Certificate and Pre-Professional Certificate

Description of Rule: Transitional G teaching certificate and pre-professional teaching assistant experience.

Need for Rule: To expand the certification areas for which a Transitional G certificate may be issued and allow certain pre-professional teaching assistant experience to be counted towards experience for a professional certificate.

Legal Basis for Rule: Education Law sections 101, 207, 305, 3001, 3004, and 3009.

Sections 27-1.1, 27-2.6 HEOP

Description of Rule: Higher Education Opportunity Program requirements.

Need for Rule: To amend existing requirements for the Higher Education Opportunity Program.

Legal Basis for Rule: Education Law sections 101, 207, 305, 6451, and 6452.

Sections 3.58, 3.59 Procedures for Not-for-Profits Institutions to Offer Degrees

Description of Rule: Authorization of an independent/not-for-profit higher education institution to offer programs leading to postsecondary degrees.

Need for Rule: To establish requirements and fees for the authorization of independent/not-for-profit higher education institutions to offer postsecondary degrees.

Legal Basis for Rule: Education Law section 207, 210, 215, 216, 218, and 224, State Finance Law section 97-llll, and Chapter 82 of the Laws of 1995.

Subpart 4-2 and Section 52.21 Accreditation

Description of Rule: Continuous accreditation requirement for education preparation providers.

Need for Rule: Allows institutions of higher education with registered educator programs to be accredited by accrediting associations seeking recognition.

Legal Basis for Rule: Education Law sections 101, 207, 210, 215, and 305.

Section 52.21 Graduate Admissions

Description of Rule: Graduate admission examination requirements.

Need for Rule: To implement Chapter 454 of the Laws of 2017 by clarifying that the graduate admission examination requirement does not apply to certified teachers and school administrators who already hold a graduate degree.

Legal Basis for Rule: Education Law sections 101, 207, and 210-a and Chapter 454 of the Laws of 2017.

Section 80-1.5 Safety Net Extensions

Description of Rule: Safety nets for teacher certification examination.

Need for Rule: To provide for an extension of all safety nets to allow candidates to complete all other certification requirements by June 30, 2018.

Legal Basis for Rule: Education Law sections 207, 305, 3001, 3003, 3004, and 3009.

Section 80-4.3 Special Education Certification Flexibility

Description of Rule: Grade-level extensions for certain candidates who hold a Students with Disabilities Generalist certificate.

Need for Rule: To expand the pool of qualified teachers of students with disabilities and to extend the grade levels in which they can teach.

Legal Basis for Rule: Education Law sections 101, 207, 210, 215, 305, 3001, 3004, and 3009.

Part 80 HOUSE Teacher Certification Flexibility

Description of Rule: Teacher certification requirements for teachers who hold Students with Disabilities Generalist (7-12) certificate and teach in a special class.

Need for Rule: To create limited extensions for teachers holding a Students with Disabilities Generalist certificate who teach a special class in grades 7-12 and a statement of continued eligibility for teachers holding a Students with Disabilities Generalist certificate who teach a special class in grades 7-12 and were previously allowed to teach in another content area by school districts using the HOUSSE rubric for federal aid purposes under the No Child Left Behind Act.

Legal Basis for Rule: Education Law sections 101, 207, 210, 215, 305, 3001, 3004, and 3009.

Sections 80-3.3 and 80-3.7 Individual Evaluation

Description of Rule: Individual evaluation pathway for teacher certification.

Need for Rule: To allow for individual evaluation in certain certificate titles.

Legal Basis for Rule: Education Law sections 101, 207, 210, 215, 305, 3001, 3004, and 3009.

Section 80-1.5 Library Media Specialists/EdTPA

Description of Rule: Safety Net for the revised library specialist teacher performance assessment.

Need for Rule: To establish a safety net for the library specialist teacher performance assessment.

Legal Basis for Rule: Education Law sections 207, 305, 3001, 3003, 3004, and 3009.

Section 80-1.5 Educational Technology Specialist Content Specialty Test Safety Net

Description of Rule: Reinstatement of the Educational Technology Specialists (ETS) Content Specialty Test (CST) safety net for candidates seeking certification.

Need for Rule: To allow candidates to take either the redeveloped CST or the predecessor CST.

Legal Basis for Rule: Education Law sections 207, 305, 3001, 3004, and 3009.

Section 80-3.16 Speech and Language Disabilities (SLD) Certificate

Description of Rule: Teacher certification in Speech and Language Disabilities (All Grades).

Need for Rule: To create a pathway allowing candidates who complete a speech-language pathology program accredited by the American Speech, Language, and Hearing Association (ASHA) to obtain an initial certificate in Speech and Language Disabilities (All Grades).

Legal Basis for Rule: Education Law sections 207, 305, 3001, 3003, 3004, and 3009.

Section 4-1.3 Institutional Accreditation

Description of Rule: Voluntary institutional accreditation for Title IV purposes.

Need for Rule: To require the agency to come into compliance within 12 months, and submit a compliance report 30 days after the 12 month period.

Legal Basis for Rule: Education Law sections 207, 210, 212, 214, 215, and 305.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

William Murphy

Deputy Commissioner of Higher Education

New York State Education Department

Office of Higher Education

Room 975, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 402-3620

OFFICE OF THE PROFESSIONS

Section 70.10 CPA Mandatory Peer Review Program (sponsoring organization)

Description of Rule: Relates to the mandatory peer review program in public accountancy.

Need for Rule: To revise the requirements for sponsoring organizations who facilitate peer review programs in public accountancy.

Legal Basis for Rule: Education Law sections 207, 6504, 6507 and 7410.

Section 75.2 Speech Language Pathology Limited License

Description of Rule: Relates to limited license in speech-language pathology.

Need for Rule: To subject applicants who have been issued a limited license, to the same experience requirements as applicants for a license.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 6504 (not subdivided), 6507(2)(a), 8205-a and Chapter 202 of the Laws of 2017.

Section 76.5 Occupational Therapy Scope of Practice Definition

Description of Rule: Definition of occupational therapy practice.

Need for Rule: To conform the definition of occupational therapy practice to changes to Education Law § 7901 by Chapter 460 of the Laws of 2011.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 6504 (not subdivided), 6507(2)(a), 7901 and Chapter 460 of the Laws of 2011.

Sections 29.10, 70.7, 70.8, 70.10 CPA Review Exemption

Description of Rule: Mandatory peer review program in public accountancy.

Need for Rule: To eliminate the exemption from the program for sole proprietorship and firms with two or fewer accounting professionals.

Legal Basis for Rule: Education Law sections 207, 6507(2)(a), 7408, 7410, and Chapter 364 of the Laws of 2017.

Sections 29.2, 52.8, 79-20 Licensure of Pathologists Assistants

Description of Rule: Licensing of licensed pathologists’ assistants.

Need for Rule: To establish the requirements for licensure including professional education, examination, fee, and limited permit requirements.

Legal Basis for Rule: Education Law sections 207, 212(3), 6504, 6507(2)(a), 6509(9), 8850, 8851, 8852, 8853, 8854, 8855, 8856, and Chapter 497 of the Laws of 2016.

Section 29.7 and 63.6 Biological Products

Description of Rule: Biological products in the profession of pharmacy.

Need for Rule: Establishes requirements for substitution of interchangeable biological products for prescribed products.

Legal Basis for Rule: Education Law sections 207, 6504, 6507(2)(a), 6802, 6810, and 6816-a, and Chapter 357 of the Laws of 2017.

Section 61.4 Dentists Licensure by Endorsement

Description of Rule: Endorsement requirements for licensure as a dentists.

Need for Rule: To permit dentists with licenses issued by a Canadian province to become licensed dentists in New York State by endorsement.

Legal Basis for Rule: Education Law section 207, 6504, 6506(6), 6507(2), and 6604(3).

Section 64.9 Advanced Home Health Aide

Description of Rule: Regulation of advanced home health aides (AHHAs).

Need for Rule: To implement the provisions of Chapter 471 of the Laws of 2016 relating to the regulation of AHHAs.

Legal Basis for Rule: Education Law sections 207, 212(3), 6504, 6507(2), 6906, 6908(2) and 6909(8) and Chapter 471 of the Laws of 2016.

Section 63.9 Pharmacist Vaccination

Description of Rule: The administration of certain vaccines by pharmacists.

Need for Rule: To implement the provisions of Part DD of Chapter 57 of the Laws of 2018 which permits pharmacists to administer certain vaccines.

Legal Basis for Rule: Education Law section 207, 6504, 6507(2), 6901(2), 6801(4), 6802(22), 6902(1), and 6909(7) and Part DD of Chapter 57 of the Laws of 2018.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Sarah S. Benson

Deputy Commissioner for the Professions

New York State Education Department

Office of the Professions

89 Washington Avenue

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 474-1431

[email protected]

OFFICE OF CULTURAL EDUCATION

Sections 90.2 and 90.16 Library System

Description of Rule: Standards for registration of public, free association and Indian libraries.

Need for Rule: To revise the standards for registration of public, free association and Indian libraries and to implement Education Law § 273.

Legal Basis for Rule: Education Law sections 207, 208, 215, 253 through 268, 271, 272, 273, 273-a, and 282 through 285.

Mark Schaming

Deputy Commissioner for Cultural Education

State Education Department

Cultural Education Center

Room 10C34

Albany, NY 12230

(518) 474-5930

OFFICE OF ADULT CAREER AND CONTINUING EDUCATION SERVICES (ACCES)

Part 126 BPSS Technical Changes

Description of Rule: Relates to the operation of licensed private career schools.

Need for Rule: To make technical amendments to Part 126 of the Commissioner’s regulations relating to the operation or license private career schools.

Legal Basis for Rule: Education Law sections 101, 207, and 5001 through 5010.

Part 147 Readers Aid

Description of Rule: Eligibility, funding and use of funds for the Readers Aid program.

Need for Rule: To implement Chapter 350 of the Laws of 2017 which provides for an expansion in eligibility, funding and use of the funds for the Readers Aid Program.

Legal Basis for Rule: Education Law sections 207, 305, and 4210 and Chapter 350 of the Laws of 2017.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Ceylane Meyers-Ruff

Assistant Commissioner

Office of Adult Career and Continuing Education Services

Room 575 EBA

89 Washington Avenue

Albany, New York 12234

(518) 474-2714

B. CALENDAR YEAR 2017 (4 YEAR REVIEW)

The State Education Department did not adopt any rules in the year 2017 to be initially reviewed in 4 years.

C. CALENDAR YEAR 2016 (5 YEAR REVIEW)

OFFICE OF P-12 EDUCATION

Section 100.5(h) Seal of Biliteracy

Description of Rule: New York State Seal of Biliteracy.

Need for Rule: To establish requirements for students to each a State Seal of Biliteracy.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 305(1) and (2), 308(not subdivided), 309(not subdivided) and 815(2)(b).

155.17 School Safety

Description of Rule: District-wide school safety plans and building-level emergency response plans.

Need for Rule: To implement the provisions of Part B of Chapter 54 of the Laws of 2016.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 305(1) and (2) and 807 and 2801-a, as amended by Chapter 54 of the Laws of 2016.

Section 100.19 Receivership/Community Schools

Description of Rule: Community school grants.

Need for Rule: To establish the criteria for community school grants to implement Chapter 53 of the Laws of 2016.

Legal Basis for Rule: Education Law sections 207(not subdivided), 305(1) and (2), 211-f, as added by Part EE, Subpart H of Chapter 56 of the Laws of 2015 and Chapter 53 of the Laws of 2016.

Section 100.5(a)(5) Graduation Requirements

Description of Rule: Social studies regents examinations.

Need for Rule: To provide additional pathway options for passing the social studies Regents examinations for a diploma.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1) and (2), 308 (not subdivided), 309(not subdivided).

Section 100.6 CDOS Assessment

Description of Rule: Assessments for the New York State Career Development and Occupational Studies (CDSO) commencement credential.

Need for Rule: To establish conditions and procedures for approval of work-readiness assessments for the CDOS credential.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1) and (2), 308 (not subdivided), 309(not subdivided).

Section 200.18 Rate Setting

Description of Rule: Establishment of tuition rates.

Need for Rule: To clarify that the Educaiton Department maintains discretion in establishing tuition rates based on a financial audit.

Legal Basis for Rule: Education Law 207, 4003, 4401, 4403, 4405, 4408 and 4410.

Sections 100.5(d) and 200.4(d) Superintendent Determinations

Description of Rule: Superintendent determination as to academic proficiency for certain students with disabilities to graduate with a local diploma.

Need for Rule: To expand the safety net options for students with disabilities to graduate with local diplomas when certain conditions are met.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1) and (2), 308 (not subdivided), 309(not subdivided), and 3204(3) and (4).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Kimberly Young Wilkins

Deputy Commissioner for P12 Instructional Support

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 486-1954

OFFICE OF HIGHER EDUCATION

Sections 100.2, 30-2, 30-3 APPR

Description of Rule: Annual professional performance reviews of classroom teachers and building principals.

Need for Rule: To implement Subparts D and E of Part EE of Chapters 20 and 56 of the Laws of 2015.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 215(not subdivided), 305(1) and (2), 3009(1), 3012-c(1-10) and section 3012-d(1-15), and Subparts D and E of Part EE of Chapters 20 and 56 of the Laws of 2015.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

William P. Murphy

Deputy Commissioner for Higher Education

New York State Education Department

Office of Higher Education

Room 975, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 4402-3620

OFFICE OF THE PROFESSIONS

Section 79-9.8 Mental Health Counseling CE

Description of Rule: Continuing education requirements for Licensed Mental Health Counselors.

Need for Rule: To implement mandatory continuing education requirements, establish standards for acceptable education and approval of providers.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 212 (3), 6504 (not subdivided), 6507(2)(a), and 8412, Chapter 486 of the Laws of 2013, and Chapter 15 of the Laws of 2014.

Section 79-10.8 Marriage & Family Therapy CE

Description of Rule: Continuing education requirements for Licensed Marriage and Family Therapists.

Need for Rule: To implement continuing education requirements, establish standards for acceptable education and approval of providers.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 212 (3), 6504 (not subdivided), 6507(2)(a), and 8412, Chapter 486 of the Laws of 2013, and Chapter 15 of the Laws of 2014.

Section 79-11.8 Creative Arts Therapy CE

Description of Rule: Continuing education requirements for Licensed Creative Arts Therapists.

Need for Rule: To implement mandatory continuing education requirements, establish standards for acceptable education and approval of providers.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 212 (3), 6504 (not subdivided), 6507(2)(a), and 8412, Chapter 486 of the Laws of 2013, and Chapter 15 of the Laws of 2014.

Section 79-12.8 Psychoanalysis CE

Description of Rule: Continuing education requirements for Licensed Psychoanalysts.

Need for Rule: To implement mandatory continuing education requirements, establish standards for acceptable education and approval of providers.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 212 (3), 6504 (not subdivided), 6507(2)(a), and 8412, Chapter 486 of the Laws of 2013, and Chapter 15 of the Laws of 2014.

Section 61.7 Dental Hygienists

Description of Rule: Licensing examination requirements for dental hygienists.

Need for Rule: To address a name-change by the testing agency for Part II of the licensing exam and to remove remedial education requirements.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 6504 (not subdivided), 6507(2)(a), 6606(1) and (2), 6608 (not subdivided), and 6609(4).

63.10 Pharmacists Collaborative Drug Therapy Management

Description of Rule: Extension and expansion of the Collaborative Drug Therapy Management (CDTM) demonstration program for pharmacists.

Need for Rule: To implement Chapter 238 of the Laws of 2015 to extend and expand the CDTM program for pharmacists.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 6504(not subdivided), 6507(2)(a), and 6801-a of the Education Law, Chapter 238 of the Laws of 2015 and Chapter 21 of the Laws of 2011.

64.7 TB Test Administration

Description of Rule: Execution by registered professional nurses of non-patient specific orders to administer tuberculosis tests.

Need for Rule: To authorize the administration of other tests to detect/screen for tuberculosis in addition to purified protein derivative (PPD) tests.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 6504(not subdivided), 6507(2)(a), 6527(6)(c), 6902(1), 6909(4)(c), and Chapter 464 of the Laws of 2015.

Section 71.3 Certified Shorthand Reporting Exam

Description of Rule: Licensing examination requirements for certified shorthand reporters.

Need for Rule: To permit the Department to accept a passing score on an exam determined by the State Board to be acceptable for licensure.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 6504(not subdivided), 6507(2)(a), 7501(not subdivided), and 7504(1).

Sections 29.3 and 52.46 and Part 68 Geology

Description of Rule: Licensure of Professional Geologists and Continuing Education for Land Surveyors.

Need for Rule: To establish the new profession of geology including licensure requirements, and to extend continuing education for land surveyors.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 6504(not subdivided), 6507(2)(a), 6509(9), 7200(not subdivided), 7204-a(not subdivided), 7204-b(not subdivided), 7206-b, 7205(not subdivided), 7207, 7208-a, 7209(1), (2) and (4), and Chapters 61 and 475 of the Laws of 2014 and Chapter 9 of the Laws of 2015.

Part 76 Occupational Therapy Assistants

Description of Rule: Licensure of Occupational Therapy Assistants (OTAs).

Need for Rule: To define the practice of OTAs, establish requirements for licensure, and alter the composition of the State Board.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 6504(not subdivided), 6507(2)(a), 7902-a, 7903, 7904-a, 7905(2), 7906(4), 7907 and Chapter 470 of the Laws of 2015.

Section 17.5(b) Pharmacy Disciplinary Consents

Description of Rule: Regulation of consent orders in disciplinary proceedings in the professions.

Need for Rule: To remove the requirement that the State Board of Pharmacy Executive Secretary agree to consent orders for pharmacists/pharmacies.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 6504(not subdivided), 6507(2)(a), 6509(9), 6510, and 6511(not subdivided).

Sections 29.2, 52.47, and 79-19 Perfusionists

Description of Rule: Licensure of Perfusionists.

Need for Rule: To establish licensure requirements for perfusionists, including education, experience and examination.

Legal Basis for Rule: Education Law §§ 207(not subdivided), 212, 6504(not subdivided), 6507(2)(a), 6509(9), 6630, 6631, 6632, 6633, 6634, 6635, 6636 and Chapter 409 of the Laws of 2013.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Sarah S. Benson

Deputy Commissioner for the Professions

New York State Education Department

Office of the Professions

89 Washington Avenue

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 474-1431

D. CALENDAR YEAR 2013 (3 YEAR INITIAL & 5 YEAR SUBSEQUENT REVIEW)

OFFICE OF P-12 EDUCATION

Section 100.8 Local Diploma Based on Experimental Programs

Description of Rule: Local high school equivalency diplomas based upon experimental programs.

Need for Rule: To extend until 6/30/15 the provision for awarding local high school equivalency diplomas based upon experimental programs.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided, 208(not subdivided), 209(not subdivided), 305(1) and (2), 309(not subdivided) and 3204(3).

Sections 100.5(b)(7)(i), 100.6 & 200.5(a)(5)(iii) Career Development and Occupational Studies Credentials

Description of Rule: New York State Career Development and Occupational Studies Commencement Credential.

Need for Rule: To establish criteria for award of the Credential to students with disabilities.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 305(1) and (2), 4402(1 - 7) and 4403(3).

Section 119.7 Charter School Charter Renewals

Description of Rule: Charter school charter renewals.

Need for Rule: To clarify standards for charter renewals of charter schools for which the Board of Regents is the authorizing entity.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 305(1), (2) and (20), 2851(4) and 2852(1), (2), (3), (5), (5-a), (5-b) and (6) and 2857(1).

Section 100.2(ee)(2) Academic Intervention Services (AIS)

Description of Rule: Academic Intervention Services (AIS).

Need for Rule: To establish modified requirements for AIS during the 2013-2014 school year.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 305(1) and (2), 308(not subdivided), 309(not subdivided) and 3204(3).

Section 135.4(c)(7)(ii)(d) Duration of Competition in High School Athletics

Description of Rule: Duration of competition in high school athletics.

Need for Rule: To eliminate the one additional season limit on waivers for students with disabilities to participate in athletic competition.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 305(1) & (2), 803(not subdivided), and 3204(2) & (3).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Kimberly Young Wilkins

Deputy Commissioner for P12 Instructional Support

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 486-1954

OFFICE OF HIGHER EDUCATION

Sections 80-3.3, 80-3.4, 80-3.10, 80-5.13, 80-5.15 and 80-5.20(a)(1)(v) Teacher and School District Leader Certification Examinations

Description of Rule: Teacher and school district leader certification examinations.

Need for Rule: To adopt technical changes to the certification examination requirements for certain teachers and school district leaders.

Legal Basis for Rule: Education Law sections 207, 305(1), 3001(2), 3006(1)(b) and 3009(1).

Sections 80-1.2(b), 80-1.6 and 80-2.1(a)(2)(k) and (ii) Definition of Date of Issuance of Certificates and Expiration of Certain Permanent Certificates from Expired Provisionals

Description of Rule: Definition of date of issuance of certificates and expiration of certain permanent certificates from expired provisional certificates.

Need for Rule: To amend the definition of effective date of a certificate to allow persons to be employed in their certificate area on the date their certificate is issued, rather than the February 1 or September 1 following the issuance date of their certificates. The proposed amendment also establishes an expiration date of October 1, 2014 for the issuance of a permanent certificate in the classroom teaching service or school administrator and supervisory service for candidates with an expired provisional certificate.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 305(1), 3001(2), 3006(1)(b) and 3009(1).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

William P. Murphy

Deputy Commissioner for Higher Education

New York State Education Department

Office of Higher Education

Room 975, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 4402-3620

OFFICE OF THE PROFESSIONS

Sections 63.11 and 63.12 Interpretations and Translations for Prescription Drugs, Standardized Labeling and Patient-Centered Data Elements for Medications

Description of Rule: Interpretations and translation for prescription drugs, standardized labeling & patient-centered data elements for medications.

Need for Rule: To implement Part V of Chapter 57 of the Laws of 2012.

Legal Basis for Rule: Sections 207(not subdivided), 6504(not subdivided), 6507(2)(a), 6829(1), (6), (7) and 6830(1) of the Education Law, and Part V of Chapter 57 of the Laws of 2012.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Sarah S. Benson

Deputy Commissioner for the Professions

New York State Education Department

Office of the Professions

89 Washington Avenue

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 474-1431

E. CALENDAR YEAR 2011 (5 YEAR REVIEW)

OFFICE OF P-12 EDUCATION

Section 100.2(ee)(2) Technical Amendment

Description of Rule: The purpose of the rule is to add language that was inadvertently omitted in a previous rule making.

Need for Rule: The rule is necessary because the rule concerning diploma credit for languages other than English (LOTE) and State assessments in Social Studies, that were adopted at the December 2010 Regents meeting (EDU-40-10-00022-A), inadvertently omitted language in section 100.2(ee)(2) that was added in a prior, separate amendment concerning Academic Intervention Services, that was permanently adopted at the October 2010 Regents meeting (EDU-31-10-00004-A). The rule is necessary to clarify and resolve this inconsistency by including the omitted language.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 305(1) and (2), 308(not subdivided), 309(not subdivided) and 3204(3).

Section 100.2(p)(14) Annual Measurable Objective

Description of Rule: Conforms the Commissioner's Regulations with recent amendments to New York State’s accountability plan that reset New York’s annual measurable objective (AMO) for grades 3-8 English language arts (ELA) and mathematics beginning in the 2010-11 school year, as prescribed in New York's approved accountability workbook.

Need for Rule: On February 14, 2011, Dr. Thelma Melèndez de Santa Ana, the Assistant Secretary of the Office of Elementary and Secondary Education of the United States Department of Education (USDE), informed Commissioner Steiner that USDE had approved New York’s request to amend its State accountability plan under Title I of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act (NCLB), to reset New York’s AMO for grades 3-8 ELA and mathematics beginning in the 2010-11 school year, as prescribed in New York's approved accountability workbook. As a result, New York was approved to reset the AMO to a Performance Index of 122 for ELA and a Performance Index of 137 for mathematics for 2010-11, and with annual equal increments up to 200 by 2013-14, as prescribed in New York's approved accountability workbook.

In August 2010, the proficiency cut scores were raised on the grades 3-8 ELA and math assessments based on the analyses that associated college readiness with cut scores of between 75 and 85 on the Regents exams. Proficiency means students will be college ready if they are able to meet high school exit examination requirements and pass first year college courses in ELA and math without the need for remediation. The purpose of the rule is to conform the Commissioner's Regulations with New York State's approved amended accountability plan. Adoption of the rule is necessary in order for New York to smoothly transition to the higher achievement standards for grades 3-8 in ELA and mathematics.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 210(not subdivided), 215(not subdivided), 305(1), (2) and (20), 309(not subdivided) and 3713(1) and (2).

Section 100.5(b)(7)(v) Regents Advanced Diploma Math Requirements

Description of Rule: Revises the mathematics requirements for earning a Regents diploma with advanced designation.

Need for Rule: The rule is necessary to provide for additional options for students to meet the Mathematics assessment requirements leading to a Regents Diploma with Advanced Designation.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1) and (2), 308(not subdivided), 309(not subdivided) and 3204.

Section 100.5(b)(7)(i) Local Diploma Appeals Process

Description of Rule: Clarifies an inconsistency in the Commissioner's Regulations relating to the award of Regents and local diplomas.

Need for Rule: The rule is necessary to resolve an inconsistency in the Commissioner's Regulations relating to Regents and local diplomas. Sections 100.5(b)(7) and 100.5(d)(7) are inconsistent in that 100.5(b)(7) does not allow for local diplomas, beginning with students who enter grade 9 in 2008, but 100.5(d)(7) permits students who first enter grade nine in September 2005 or thereafter to earn a local diploma through an appeals process as specified in the regulation. The rule would resolve this inconsistency by amending 100.5(b)(7)(i) to clarify that the local diploma option under 100.5(d)(5) continues to be available under the appeals process for general education students.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 210(not subdivided), 215(not subdivided), 305(1) and (2), and 309(not subdivided).

Section 100.5(d)(10) Online & Blended Course Credit

Description of Rule: Establishes criteria for awarding credit towards a Regents diploma for online and online/classroom coursework.

Need for Rule: The rule is necessary to establish criteria for awarding credit towards a Regents diploma for online and online/classroom coursework. Digital and Internet-connected technologies have increased access to a rich variety of educational opportunities, in the form of online content and instruction, for schools and students across New York State. These educational opportunities have resulted in a number of questions from school districts and educational organizations, and a need for the New York State Education Department (NYSED) to provide alternative pathways for school districts to provide students with opportunities to earn course credit through online instruction and content. A policy for awarding units of credit to students for their completion of online and blended courses is intended to provide guidance to public school districts and Boards of Cooperative Educational Services (BOCES) interested in offering new learning opportunities for students through online instruction. NYSED recognizes that concepts such as virtual learning, distance learning, online instruction, online courses, and online learning may have multiple meanings, which may evolve and change with the development of new technologies. This policy serves as an initial foundation for school districts and BOCES to develop, implement, and evaluate online and blended courses as alternative pathways for student completion of general education and diploma requirements.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1) and (2), 308(not subdivided), 309(not subdivided) and 3204(3).

Section 100.17 Distinguished Educator

Description of Rule: Prescribes requirements regarding appointment of distinguished educators to assist low-performing schools.

Need for Rule: The rule is necessary to implement Education Law §§ 211-c and 211-b by establishing criteria regarding the selection, roles, responsibilities, protocols and procedures, and expenses for distinguished educators.

Legal Basis for Rule: Education Law sections 207(not subdivided), 305(1), 211-b(1-5), 211-c(1-8) and section 1 of Part A of Chapter 57 of the Laws of 2007.

Section 119.5 Charter School Lottery

Description of Rule: Establishes procedures for the random selection process for Charter School student admissions required under Ed. L. 2854(2).

Need for Rule: The rule is necessary to establish procedures for the conduct of the random selection process for charter school admissions required under Education Law section 2854(2), as amended by Chapter 101 of the Laws of 2010, and to ensure that the process is performed in a transparent and equitable manner, consistent with the requirements of the statute.

Legal Basis for Rule: Education Law section 101(not subdivided), 206(not subdivided), 207(not subdivided), 305(1), (2) and (20) and 2854(2) and Chapter 101 of the Laws of 2010.

Section 155.17 School Safety Plans

Description of Rule: Amends the content requirements of each district-wide school safety plan and building-level school safety plan to reflect current confidentiality requirements and concerns.

Need for Rule: This rule is necessary to ensure that confidential information including the home telephone numbers of local education officials and the tactical strategies for responding to critical events such as building evacuation and sheltering are not disclosed to the public. The rule will also reinforce the strategies related to the public availability of strategic plans for responding to certain emergencies in schools, as well as the public availability of key information related to certain information about each educational agency located in the school district.

Legal Basis for Rule: Sections 207, 305, and 2801-a of the Education Law.

Section 156.3(b) & (h) MR School Transportation

Description of Rule: The purpose of the rule is to provide mandate relief through increased scheduling flexibility and by repealing certain monitoring/reporting requirements.

Need for Rule: The rule is necessary to amend section 156.3(b)(5)(iii) to provide mandate relief to school districts and afford greater flexibility to school bus drivers to complete required semi-annual school bus driver safety training, by allowing the training to be scheduled coincidental with other professional development days scheduled during the year.

Legal Basis for Rule: Education Law sections 207(not subdivided), 305(1), (2) and (20), 3624(not subdivided) and 3637(1), (2) and (3).

Section 155.6 MR School Facilities Report Card

Description of Rule: The purpose of the rule is to repeal the requirement that school districts and BOCES prepare school facility report cards.

Need for Rule: The rule is necessary to reduce costs and provide mandate relief to school districts and boards of cooperative educational services (BOCES), by repealing section 155.6 of the Commissioner's Regulations to eliminate a requirement that school districts and BOCES prepare a school facility report card for each occupied school building.

Legal Basis for Rule: Education Law sections 207(not subdivided), 305(1), (2) and (20), 409-d(1-3) and 409-e(1-4).

Section 200.1 & 200.4 "Intellectual Disability" Name Change

Description of Rule: Conforms the Commissioner's regulations to federal and State terminology changes for Special Education Programs and Services for Students with Disabilities.

Need for Rule: The rule is necessary to conform the Regulations of the Commissioner of Education to be consistent with a recent terminology change in federal law, by replacing the term "mental retardation" with "intellectual disability" in the Commissioner's Regulations.

The rule also makes technical revisions to replace the term "Commissioner of Mental Retardation and Developmental Disabilities" with "Commissioner of the Office for People With Developmental Disabilities" to conform to a recent State statutory change of name of the Office of Mental Retardation and Developmental Disabilities to the Office for People With Developmental Disabilities (OPWDD).

Legal Basis for Rule: Education Law sections 207, 305(1), (2) and (20), 4402 and 4403(3).

Parts 275 & 276 Charter School Co-location Appeals

Description of Rule: Establishes special procedures for appeals relating to New York City charter school location/co-location and building usage plans.

Need for Rule: The amendment is necessary to implement Chapter 101 of the Laws of 2010 by establishing procedures for expedited appeals relating to New York City charter school location/co-location and building usage plans brought pursuant to Education Law §§ 310 and 2853(3)(a-5).

Legal Basis for Rule: Education Law §§ 101, 207, 305(1) and (2), 310(1) and (7), 311 and 2853(3)(a-5) and § 15 of Chapter 101 of the Laws of 2010.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Kimberly Young Wilkins

Deputy Commissioner for P12 Instructional Support

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 486-1954

OFFICE OF HIGHER EDUCATION

Section 27-1.1 HEOP

Description of Rule: The purpose of the rule is to update criteria for determining student economic eligibility for the Higher Education Opportunity Program.

Need for Rule: The rule is needed in order to update criteria for determining student economic eligibility for the Higher Education Opportunity Program by: (1) taking into account inflationary conditions and changes in annual income; (2) accounting for New York State and local taxes and regional maintenance costs; (3) assuring consistency across the State-supported postsecondary opportunity programs; and (4) maintaining the continuing linkage of these eligibility criteria with federally approved methods of needs analysis.

The amendment updates the existing definition of "economically disadvantaged," which has become outdated because of inflationary factors. The rule is also needed to update the definition of an independent student, to be more consistent with the federal definition of independent student for purposes of the needs analysis for federal student financial aid programs.

Legal Basis for Rule: Education Law Sections 207 and 6451(1).

Subpart 30-1 Instructional Support Services

Description of Rule: Creates a new tenure areas for teachers performing instruction support services in boards of cooperative educational services.

Need for Rule: The rule is necessary to create new tenure areas for teachers performing instruction support services in boards of cooperative educational services.

Legal Basis for Rule: Section 207(not subdivided) of the Education Law.

Section 52.21(b)(5) Teacher Prep Pilot Program (MAT Degree)

Description of Rule: Clinically rich graduate level teacher preparation program.

Need for Rule: To amend the degree conferring requirements of the pilot program to provide program providers with flexibility to confer degrees.

Legal Basis for Rule: Education Laws Sections 207(not subdivided), 208(not subdivided), 210(not subdivided), 214(not subdivided), 216(not subdivided), 224(1), 305(1), (2) and (7), 3004(1) and 3006(1).

Section 52.21(c)(7) Principal Prep Pilot Program (Clinical Experience)

Description of Rule: Clinically rich graduate level principal preparation program.

Need for Rule: To amend the clinical experience requirement to provide program providers with the flexibility they need to be innovative.

Legal Basis for Rule: Education Law Sections 207, 208, 210, 214, 216, 224, 305(1), (2) and (7), 3004(1) and 3006(1).

Part 80-STEM Expedited Pathway

Description of Rule: Provides an expedited pathway for candidates with an advanced degree in STEM areas and postsecondary teaching experience.

Need for Rule: The rule is necessary to establish a transitional G certificate to create a mechanism for schools to employ applicants with a graduate degree or higher in science. technology, engineering or mathematics, and two years of experience teaching at the college level in the same area as the certificate requested, or in a closely related field as determined by the Commissioner, to address demonstrated shortage areas in these subjects.

Legal Basis for Rule: Education Law 207(not subdivided), 305(1) and (2), 3001(2), 3004(1) and (6) and 3006(1)(b).

Section 80-1.6 Teacher Certification Extensions (Residency)

Description of Rule: Extends the time validity of provisional or initial teacher certificates for those who have met all requirements except citizenship.

Need for Rule: The rule establishes a means for extending the time validity of Provisional or Initial certificates for those individuals who have met all academic, testing and experience requirements for Permanent or Professional certification, and are unable to receive such certification due to USCIS processing delays. The rule is needed to maintain the employment of experienced teachers and is in the interest of the New York State public schools and students.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 305(1) and (2), 3001(2), 3004(1) and 3006(1).

Section 80-3.7 Individual Evaluation

Description of Rule: Extends the expiration date for applicants seeking certification in the classroom teaching service through the individual evaluation pathway.

Need for Rule: The rule was necessary to extend the expiration date for applicants seeking certification through the individual evaluation pathway in all classroom titles except childhood education from February 1, 2012 to September 1, 2013, thus extending the time that the individual evaluation pathway remains available for these applicants. In 2003, the Board of Regents established requirements for teacher certification though the individual evaluation of candidates who have not completed registered teacher education programs. Under the individual evaluation pathway, candidates are required to submit evidence of course work and field experience to the State Education Department for evaluation and issuance of the certificate. The rule was therefore critical to facilitate the Department’s continuing ability to certify a sufficient number of properly qualified candidates to fill vacant teaching positions in the State’s public schools.

Legal Basis for Rule: Education Law Sections 207(not subdivided), 305(1), 3001(2), 3004(1), and 3006(1)(b) and (2).

Section 80-4.3 Teacher Certification Flexibility

Description of Rule: Provides teacher certification flexibility if it would provide for a more efficient operation of the school district or BOCES.

Need for Rule: The rule is necessary to provide teacher certification flexibility if it would provide for a more efficient operation of the school district or BOCES.

In 2010, the Board of Regents adopted an amendment to section 80-4.3 of the Commissioner’s regulations to provide school districts and BOCES with flexibility in certification when there was a demonstrated immediate fiscal crisis and the certification flexibility would avoid a reduction in force. The amendment eliminates the requirement that districts or BOCES demonstrate an immediate fiscal crisis or a reduction in force. The employing entity would only need to demonstrate that the certification flexibility would provide for a more efficient operation of the school district or BOCES. The amendment also eliminated a sunset provision in the prior regulation.

Legal Basis for Rule: Education Law sections 207, 3001, 3004(1).

Section 87.5 Employment Clearances Due Process Procedures

Description of Rule: Amends section 87.5(a)(5) of the Commissioner's Regulations to conform the Regulations of the Commissioner of Education to changes in the internal organization of the State Education Department by replacing references in the regulation to specific staff titles with the terms "designee of the Commissioner" or "Commissioner's designee," and thereby provide flexibility in responding to future changes in the internal organization of the Department, and avoid the necessity of amending the regulation each time such changes occur.

Need for Rule: The amendment is necessary to conform the Regulations of the Commissioner of Education to changes in the internal organization of the State Education Department. Under the prior Commissioner's Regulation [8 NYCRR section 87.5(a)(5)], Department determinations denying clearance for employment to prospective school employees and certification applicants may be appealed to the Assistant Commissioner of the Office of Teaching Initiatives (or, in one instance, to the executive director of such Office). The rule will replace references to the specific staff titles with the terms "designee of the Commissioner" or "Commissioner's designee." The rule thereby provides flexibility in responding to future changes in the internal organization of the Department, and avoids the necessity of amending the regulation each time such changes occur.

Legal Basis for Rule: Education Law sections 207(not subdivided), 305(1), (2) and (30), and 3035(3).

Section 100.2, Subpart 30-2 Teacher and Principal Evaluations

Description of Rule: Establishes requirements for conducting annual professional performance reviews of classroom teachers and building principals pursuant to Education Law section 3012-c.

Need for Rule: The rule is necessary to establish requirements for conducting annual professional performance reviews of classroom teachers and building principals. Education Law section 3012-c establishes a comprehensive evaluation system for classroom teachers and building principals. Although a new Education Law section 3012-d has been enacted to establish a revised comprehensive evaluation system for classroom teachers and building principals effective with the 2015-2016 school year, many school districts and BOCES are continuing to conduct annual professional performance reviews pursuant to Education Law section 3012-c while they complete the collective negotiations needed to implement section 3012-d. Therefore, the provisions of Subpart 30-2 continue to be needed.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided, 215(not subdivided), 305(1) and (2), and 3012-c(1) - (8), as added by Chapter 103 of the Laws of 2010.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

William P. Murphy

Deputy Commissioner for Higher Education

New York State Education Department

Office of Higher Education

Room 975, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 4402-3620

OFFICE OF THE PROFESSIONS

Sections 3.2, & 60.2 Oversight Committee for Clinical Clerkships

Description of Rule: Establishes an Advisory Committee on Long-Term Clinical Clerkships to recommend standards for placement of students into long-term clinical clerkships in New York.

Need for Rule: The rule is necessary to establish an Advisory Committee that would provide advice on matters related to the evaluation and approval of dual-campus international medical schools seeking authorization to place students in long-term clinical clerkships in New York State.

Legal Basis for Rule: Education Law sections 207(not subdivided), 6506(4), 6507(2) and (4) and 6508(1).

Section 29.7 Customized Packaging of Prescription Drugs

Description of Rule: Authorizes pharmacists to repackage drugs in customized patient packaging provided that certain requirements are met.

Need for Rule: The rule is necessary to authorize medications to be repackaged in customized patient medication packages, with the consent of the patient, the patient’s caregiver, or the prescriber. The rule would encourage patient compliance with complex medication protocols.

Legal Basis for Rule: Education Law sections 207, 6504, 6506(1), 6508(1), 6509(9) and 6510(1).

Sections 29.10, 70.7, 70.8 CPA Practice Privilege

Description of Rule: Implements Chapter 456 of the Laws of 2011 which establishes a practice privilege provision to permit practice in New York by certain CPAs licensed in other states.

Need for Rule: The rule is needed to implement Chapter 456 of the Laws of 2011. The new law repeals a statutory provision which enabled certain certified public accountants (CPAs) licensed in states other than New York to provide attest and compilation services in this state on a temporary and limited basis. It also repeals a provision which authorized certain out-of-state CPAs to provide non-attest services in New York. In lieu of these provisions, Chapter 456 establishes a practice privilege provision to permit practice in New York by certain CPAs licensed in other states.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 6504 (not subdivided), 6506(1), 6507(2)(a), Chapter 456 of the Laws of 2011.

Sections 29.19 & 79-5 Midwifery

Description of Rule: Removes unnecessary provisions and conforms the practice of midwifery to current law.

Need for Rule: The rule is necessary to conform the Commissioner’s regulations with current statute, and to update educational requirements for licensure as a midwife, in response to increasingly independent practice by licensed midwives.

Legal Basis for Rule: Education Law sections 207 (not subdivided), 6504 (not subdivided), 6507(2)(a), 6508(1) and 6509(9).

Section 59.14 Mental Health Corporate Practice Waivers

Description of Rule: Waiver of corporate professional practice restrictions for certain Mental Health professions to conform Commissioner's Regulations to Education Law section 6503-a, as amended by Ch. 187, L. 2011.

Need for Rule: Chapter 130 of the Laws of 2010 added a new Education Law section 6503-a, which authorizes the Department to issue waivers of the corporate professional practice restrictions to certain not-for-profit or educational corporations that were in existence on the effective date of the law and that apply for the waiver by a specified deadline. Chapter 187 of the Laws of 2011 amended Education Law section 6503-a to extend the time during which waiver applications can be submitted until February 1, 2012. The corporation could continue to provide services until the application is approved or denied, but if an application was denied by the Department, the entity had to cease providing professional services in New York.

The amendment of section 59.14 of the Commissioner’s regulations was necessary to conform the Commissioner's regulations to Education Law section 6503-a, as amended by Chapter 187 of the Laws of 2011. Consistent with the statute, the amendment merely extended to February 1, 2012 the date by which certain not-for-profit corporations and education corporations must apply for a waiver from corporate professional practice restrictions in the Education Law.

Legal Basis for Rule: Education Law sections 207(not subdivided), 6503-a(1)(a) and (c), 6504(not subdivided), 6507(2)(a), and Chapter 187 of the Laws of 2011.

Section 62.8 Veterinarian and Veterinary Technicians Continuing Education

Description of Rule: Implements statutory authority requiring continuing education for licensed veterinarians and veterinary technicians.

Need for Rule: The rule implements sections 6704-a and 6711-b of the Education Law, enacted by Chapter 328 of the Laws of 2010, which established mandatory continuing education requirements for veterinarians and veterinary technicians licensed in this State. The rule is necessary to implement these statutorily mandated continuing education requirements.

Legal Basis for Rule: Education Law sections 207, 6504, 6506, 6507(2)(a),6704-a, and 6711-b, and Chapter 328 of the Laws of 2010.

Sections 63.7 & 63.10 Collaborative Drug Therapy Management

Description of Rule: The purpose of the rule is to establish requirements to implement the Collaborative Drug Management Therapy Demonstration Program.

Need for Rule: The rule is necessary to implement Chapter 21 of the Laws of 2011, which established the Collaborative Drug Therapy Management (CDTM) Demonstration Program, which continues to operate.

Legal Basis for Rule: Education Law sections 207(not subdivided), 6801(1-a), 6507, 6801-a(1-6) and 6827(2) of the Education Law and Chapter 21 of the Laws of 2011.

Sections 68.11 and 68.12 Engineering continuing education

Description of Rule: Requires mandatory continuing education in ethics for Engineers and Land Surveyors.

Need for Rule: The amendments to sections 68.11(c)(1)(i) and 68.12(c)(1)(i) of the Regulations of the Commissioner are necessary to require mandatory continuing education in ethics for Engineers and Land Surveyors. This rule more closely aligns the New York State requirements for mandatory continuing education with current national standards established by the National Council of Examiners for Engineering and Surveying.

Legal Basis for Rule: Education Law Sections 207 (not subdivided), 6504 (not subdivided), 6507 (2)(a), 7211(4) and 7212(4).

Section 70.9(b)(5) Public Accountancy Continuing Education

Description of Rule: Requires the completion of continuing education requirements in ethics for Certified Public Accountants (CPA's) and Public Accountants (PA's) to be calculated on a calendar year basis.

Need for Rule: The current ethics continuing education requirement is aligned with the licensees’ month of birth thereby creating thirty-six separate reporting periods over the three year registration period. The rule is needed to align the ethics continuing education requirement with the calendar year reporting requirement contained in § 7409 of the Education Law, as amended by chapter 651 of the Laws of 2008.

Legal Basis for Rule: Education Law Sections 207 (not subdivided), 6501 (not subdivided), 6502 (not subdivided), 6504 (not subdivided), 6507 (not subdivided), 6508 (not subdivided) and 7409 (not subdivided).

Section 78.5 Massage Therapy

Description of Rule: Implements statutory authority requiring continuing education for licensed massage therapists.

Need for Rule: The rule is necessary to implement section 7807 of the Education Law, enacted by Chapter 463 of the Laws of 2010, which prescribes mandatory continuing education requirements for individuals licensed in the practice of massage therapy. The rule was necessary to implement these statutorily mandated continuing education requirements.

Legal Basis for Rule: Sections 207 (not subdivided), 6504 (not subdivided), 6507(2)(a) and 7807(2) of the Education Law, and section 2 of Chapter 463 of the Laws of 2010.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Sarah S. Benson

Deputy Commissioner for the Professions

New York State Education Department

Office of the Professions

89 Washington Avenue

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 474-1431

[email protected]

OFFICE OF CULTURAL EDUCATION

Section 3.27 Deaccessioning

Description of Rule: Clarifies restrictions on the deaccessioning of items and materials in collections held by museums and historical societies.

Need for Rule: The rule is necessary to implement Regents policy to protect the public’s interest in collections held by chartered museums and historical societies. Specifically, the amendment clarifies restrictions on the deaccessioning of items and materials in an institution's collections, consistent with generally accepted professional and ethical standards within the museum and historical society communities.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided), 215(not subdivided), 216(not subdivided) and 217(not subdivided).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Tom Ruller

Assistant Commissioner for the State Archives

New York State Education Department

Room 9B52 Cultural Education Center

Albany, New York 12230

(518) 474-6926

OFFICE OF ADULT CAREER AND CONTINUING EDUCATION SERVICES (ACCES)

Section 100.8 Local High School Equivalency Diploma Experimental Program

Description of Rule: Extends until June 30, 2012 the provision for awarding local high school equivalency diplomas based upon experimental programs.

Need for Rule: The rule is necessary to implement Regents policy to extend for one year the provision in section 100.8 of the Commissioner's Regulations that allows boards of education and BOCES to award local high school equivalency diplomas based upon experimental programs approved by the Commissioner. The extension will allow the continuance in New York State of the National External Diploma Program (NEDP), which is a complete assessment program that allows adults over age 21 to demonstrate and document the lasting outcomes and transferable skills for which a high school diploma is awarded. The one year extension ensures that all current NEDP students in the approximately 20 program sites across the State are provided with an opportunity to complete their programs and earn a local high school equivalency diploma.

Legal Basis for Rule: Education Law sections 101(not subdivided), 207(not subdivided, 208(not subdivided), 209(not subdivided), 305(1) and (2), 309(not subdivided) and 3204(3).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Ceylane Meyers-Ruff

Assistant Commissioner

Office of Adult Career and Continuing Education Services

Room 575 EBA

89 Washington Avenue

Albany, New York 12234

(518) 474-2714

OFFICE OF MANAGEMENT SERVICES

Section 3.8 Executive Deputy Commissioner

Description of Rule: Designates the Executive Deputy Commissioner as Deputy Commissioner of Education pursuant to Education Law section 101.

Need for Rule: The rule is necessary to conform the Rules of the Board of Regents to changes made in the internal organization of the State Education Department, relating to the designation of the Executive Deputy Commissioner as the deputy commissioner of education specified in Education Law section 101, who shall exercise the duties of the Commissioner of Education in his absence or disability, or when a vacancy exists in the office of Commissioner.

Legal Basis for Rule: Education Law section 101(not subdivided).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Julia Patane

Assistant Counsel

Office of Counsel

State Education Building Room 112

89 Washington Ave., Albany, NY 12234

(518) 474-6400

F. CALENDAR YEAR 2006

OFFICE OF P-12 EDUCATION

Sections 170.12, 170.2 and 170.3 of the Commissioner's regulations, regarding school district financial accountability

Description of rule: Establishes criteria for claims auditor, financial training for school district officers, internal audit function, request for proposals (RFP) process for contracting for annual audit, audit committees and annual audits.

Need for rule: the rule is needed to implement Chapter 263 of the Laws of 2005. The rule establishes systems and processes that provide for transparency and accountability in the conduct of district business, strengthens oversight, and increases accountability.

Legal basis for rule: Education Law sections 207(not subdivided), 215(not subdivided), 305(1) and (2), 1604(35), 1709(20-a), 1711(2)(e), 1950(4)(k), 2102-a(1) through (4), 2116-a(3), 2116-b(1) through (7), 2116-c(1) through (9), 2117(1), 2503(5), 2508(5), 2509(4), 2523(2), 2524(1), 2525(1) and (2), 2526(1), (1-a) and (2), 2527(not subdivided), 2554(2-a), 2562(2), 2566(6), 2573(4), 2576(1)(a), 2580(2) and 3713(1) and (2), and Chapter 263 of the Laws of 2005.

Section 175.5 of the Commissioner's Regulations, regarding length of school day

Description of rule: Amends section 175.5(b) of the Commissioner's Regulations to provide that the minimum daily sessions lengths set forth in section 175.5(a), for purposes of determining State aid, shall not apply to school days during which Regents examinations have been scheduled.

Need for rule: Pursuant to section 175.5(a) of the Commissioner's Regulations, in order for a school day to be counted for State aid purposes, students in Grades 7 through 12 must attend school for a minimum of five and one-half hours. Subdivision (b) of section 175.5 allows an exception to this rule where a school day of less than five and one-half hours is conducted because of certain circumstances specified in the subdivision. The proposed amendment to section 175.5(b) would add the scheduling of Regents examinations to the list of permissible circumstances allowing an exception.

As a result, schools would be able to count for State aid purposes a school day that includes a half-day Regents Examination session. In addition, the Department would be able to provide school districts and boards of cooperative educational services (BOCES) with a more flexible Regents examination schedule that minimizes the number of instances in which general education students and students with disabilities might be expected to take two examinations required for a diploma on the same day.

Legal basis for rule: Education Law sections 207(not subdivided) and 3602(1)(d).

Section 100.2(c) of the Commissioner's Regulations, regarding instruction in life safety

Description of rule: Establishes State learning requirements for injury prevention and life safety education.

Need for rule: To conform the Commissioner’s Regulations to Chapter 242 of the Laws of 2005, by requiring the addition of a course of instruction in injury prevention and life safety education to existing curricula.

Legal basis for rule: Education Law sections 101 (not subdivided), 207 (not subdivided), 305(1) and (2), 308 (not subdivided), 309 (not subdivided), 808(1) and 3204(3).

Section 100.5 of the Commissioner's Regulations, regarding mathematics graduation and diploma requirements

Description of rule: Revises mathematics graduation and diploma requirements consistent with policy adopted by the New York State Board of Regents.

Need for rule: The rule is necessary to implement revisions to the commencement level mathematics graduation and diploma requirements to align with the revised high school performance indicators for the following three mathematics courses: Integrated Algebra, Geometry, and Algebra 2 and Trigonometry.

Legal basis for rule: Education Law sections 101(not subdivided), 207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1) and (2), 308(not subdivided), 309(not subdivided) and 3204(3).

Sections 19.5, 200.1, 200.4, 200.7 and 200.22 of the Commissioner's Regulations, regarding aversive behavioral intervention

Description of rule: Establishes standards for behavioral interventions, including a prohibition on the use of aversive interventions; to provide for a child-specific exception to the prohibition on the use of aversive interventions; and to establish standards for programs using aversive interventions.

Need for rule: the rule is necessary to establish standards for behavioral interventions, including a prohibition on use of aversive behavioral interventions (ABIs); to provide for a child specific exception; and to establish standards for programs using ABIs. The rule ensures that ABIs are used only when necessary; in accordance with research-based practices; under conditions of minimal intensity and duration to accomplish their purpose; and in accordance with the highest standards of oversight and monitoring.

Legal basis for rule: Education Law sections 207(not subdivided), 210(not subdivided), 305(1), (2) and (20), 4401(2), 4402(1), 4403(3) and 4410(13).

Section 100.2(gg) of the Commissioner's Regulations, regarding uniform violent and disruptive incident reporting

Description of rule: Provides a ranking, standard for reporting, and more concise definition of reportable offenses as required by the uniform violent and disruptive incident reporting system for the reporting of incidents by school districts, BOCES, charter schools and county vocational education and extension boards, as required by Education Law section 2802, and to establish the use of a school violence index as a comparative measure of the level of school violence in a school.

Need for rule: The rule is necessary to provide a ranking, standard for reporting, and more concise definition of reportable offenses as required by the uniform violent and disruptive incident reporting system for the reporting of incidents by school districts, BOCES, charter schools and county vocational education and extension boards, as required by Education Law section 2802, and thereby assure to the extent practicable that the reports are uniform and comparable throughout the State with respect to the type of incidents reported and the actions taken in response to such incidents.

Legal basis for rule: Education Law sections 101(not subdivided), 207(not subdivided), 305(1) and (2), 2801(1) and 2802(2),(3),(4) and (6) and Chapter 402 of the Laws of 2005.

Section 100.2(p) of the Commissioner's Regulations, regarding school accountability

Description of rule: Conforms the Commissioner’s Regulations with New York's approved NCLB accountability plan by: (1) modifying the School Performance Index to incorporate the results from New York’s grade 3-8 assessment program in English language arts and mathematics; (2) revising the Annual Measurable Objectives in English language arts and mathematics to reflect the use of grade 3-8 test results; (3) combining the elementary and secondary science criteria into a single combined elementary-middle level science criterion; (4) revising the definition of the graduation cohort beginning with the 2003 graduation cohort to make schools accountable for students after they received five months of instruction in a school or district; (5) incorporating in the limited English proficient (LEP) subgroup students who had previously been considered LEP students during the prior one or two years in order to calculate Adequate Yearly Progress; (6) restricting the use of backmapping to schools serving exclusively students below grade three; (7) revising the timelines for schools and local educational agencies whose 2006-2007 accountability status is dependent on 2005-2006 grade 3-8 assessment results to take certain actions required of schools and local educational agencies identified as requiring academic progress or as in need of improvement; (8) indicating that the NYSESLAT will no longer be administered, in lieu of the required State assessment in English language arts, for accountability purposes beyond the 2005-2006 school year; and (9) restricting the use of the NYSESLAT, for participation rate purposes, to limited English proficient students who have attended school in the United States (not including Puerto Rico) for one year.

Need for rule: the rule establishes criteria and procedures to ensure State and local educational agency compliance with the provisions of the federal Elementary and Secondary Education Act, as amended by the No Child Left Behind Act of 2001 relating to academic standards and school/district accountability. While the Elementary and Secondary Education Act has been subsequently amended by the Every Student Succeeds Act or ESSA, and the Department has added section 100.21 to the Commissioner’s regulations to implement the Department’s ESSA accountability system, section 100.21 provides that the provisions of such section shall apply in lieu of the provisions of section 100.2(p)(1) through (11) and (14) through (16) during the period the Elementary and Secondary Education Act, as amended by ESSA is effective. Therefore, the amendments to section 100.2(p) of the Commissioner’s regulations are still necessary.

Legal basis for rule: Education Law sections 101(not subdivided), 207(not subdivided), 210(not subdivided), 215(not subdivided), 305(1), (2) and (20), 309(not subdivided) and 3713(1) and (2).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Kimberly Young Wilkins

Deputy Commissioner for P12 Instructional Support

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 486-1954

OFFICE OF HIGHER EDUCATION

Section 80-1.7 of the Commissioner's Regulations, regarding renewal of provisional certificate

Description of rule: Restores the opportunity for candidates to renew expired provisional certificates in the pupil personnel service and in the title school administrator and supervisor (authorizing service as a school building level administrator) and establish requirements for the renewal of these certificates.

Need for rule: To provide individuals holding such expired provisional certificates a one-time opportunity to renew these certificates for a five-year term to enable them to meet the experience requirement for the permanent certificate. The opportunity to renew provisional certificates was removed effective February 2, 2004. The Department believes that this opportunity should be restored because otherwise these individuals have no way to qualify for employment in the public schools for the purpose of meeting the experience requirement for the permanent certificate.

The rule also addresses regional shortages of school principals and pupil personnel professionals by expanding the pool of qualified candidates for such positions.

Legal basis for rule: Education Law sections 207(not subdivided); 305(1) and (7); 3001(2); 3004(1); 3006(1)(b); and 3009(1).

Section 80-5.6 of the Commissioner's Regulations, regarding teaching assistants

Description of rule: Establishes requirements for the certification of teaching assistants for service in the State's public schools.

Need for rule: To extend the validity of the entry-level certificate for teaching assistants, the Level I teaching assistant certificate, from one to three years. The rule is needed to allow holders of the Level I teaching assistant additional time to meet the experience and education requirements for the level II teaching assistant certificate.

The rule also establishes a new requirement for the renewal of the level I certificate: the candidate must submit to the State Education Department adequate evidence substantiating that the candidate has a commitment for employment in a teaching assistant position under the level I teaching assistant certificate. These changes allow candidates who were unable to find employment during the first term of the level I certificate, or have decided to delay entry into this field, the opportunity to obtain employment and meet the experience requirement for the level II certificate. It also ensures that candidates for the renewed level I certificate will be on track for meeting the experience requirement for the level II certificate.

The rule is needed to strengthen the education requirement for the level II teaching assistant certificate. After February 1, 2007, the candidate must have completed a total of nine semester hours of collegiate study for this certificate, instead of the current requirement of six semester hours. Candidates will have sufficient time to complete the additional coursework because of the change in the duration of the level I certificate.

The rule also increases the validity period of the level II teaching assistant certificate from two to three years in order to give candidates additional time to earn the remaining semester hours of collegiate study required for the level III teaching assistant certificate.

Finally, the rule is needed to clarify that the education requirement for each certificate level may be met by completing collegiate coursework creditable to an associate degree, as well as the baccalaureate degree. This is needed because teaching assistants often attend two-year colleges, which do not offer baccalaureate study.

Legal basis for rule: Education Law sections 207(not subdivided); 305(1), (2), and (7); 3001(2); 3004(1); 3006(1)(b); and 3009(1) and (2).

Section 7.1 of the Regents Rules and sections 52.21, 80-2, 80-3 & 80-5 of the Commissioner's Regulations, regarding certification in educational leadership

Description of rule: Establishes requirements for the certification of school administrators for service in New York State public schools.

Need for rule: To strengthen requirements that candidates must meet in order to be certified as school building leaders, school district leaders, and school district business leaders for service in New York State public schools.

Legal basis for rule: Education Law sections 207(not subdivided); 210(not subdivided); 305(1), (2), and (7); 3001(2); 3003(1), (3), and (5); 3004(1); 3006(1)(b); 3007(2); 3009(1); and 3604(8).

Section 52.21 of the Commissioner's Regulations, regarding accreditation of teacher preparation programs

Description of rule: Defines limited conditions under which registered teacher education programs leading to certification in the classroom teaching service may receive from the State Education Department a deferral of the date by which they must be accredited.

Need for rule: To provide the Department with regulatory flexibility to accommodate sound teacher preparation programs that demonstrate the ability to earn accreditation within the short term. The amendment is intended to provide needed flexibility to permit programs to address deficiencies, thereby limiting disruptions to students while helping to ensure improvements in program quality.

Legal basis for rule: Education Law sections 207(not subdivided); 210(not subdivided); 215(not subdivided); 305(1) and (2); 3001(2); and 3004(1).

Sections 3.46 & 3.58 of the Regents Rules, regarding proprietary colleges

Description of rule: Establishes requirements that a for-profit institution must meet for Regents authorization to confer degrees and that a prospective owner of a proprietary college must meet to obtain Regents consent to the transfer of the degree-conferring authority of the institution, and to establish requirements for the revocation and surrender of degree-conferring authority at proprietary colleges.

Need for rule: To strengthen the Regents and State Education Department's oversight of proprietary colleges, thereby helping to ensure high standards of academic quality at these institutions. The rule is needed in order to establish a procedure by which the State Education Department and the Regents will monitor and assess the on-going capacity of the new degree-granting proprietary college, before it is granted permanent authority to confer degrees. The rule is also needed to establish circumstances and procedures under which the Board of Regents may revoke or limit the degree-conferring authority of a proprietary college and procedures for the surrender of such degree-conferring authority. Finally, it is needed to establish institutional responsibilities upon the cessation of degree-granting authority.

Legal basis for rule: Education Law sections 207(not subdivided); 210(not subdivided); 215(not subdivided); 216(not subdivided); 218(1) and (2); 224(1)(a) and (b); and section 137 of Chapter 82 of the Laws of 1995.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

William P. Murphy

Deputy Commissioner for Higher Education

New York State Education Department

Office of Higher Education

Room 975, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 4402-3620

OFFICE OF THE PROFESSIONS

Sections 61.2 & 61.18 of the Commissioner's Regulations, regarding dental licensure

Description of rule: Establishes requirements relating to examination and residency programs for dental licensure.

Need for rule: To implement the requirements of Education Law section 6604(3) and (4) by requiring applicants for dental licensure to complete an accredited dental residency program and eliminating the option of their completing a clinical examination in dentistry instead of a residency program, effective January 1, 2007, to establish a definition of an acceptable national accrediting body for dental residency programs, and to add two specialties to the list of specialty residency programs that may be used to fulfill the residency program requirement for dental licensure.

Legal basis for rule: Sections 207(not subdivided); 6506(1); 6507(2)(a); 6601(not subdivided); 6604(3) and (4) of the Education Law; and Section (3) of Chapter 76 of the Laws of 2004.

Section 71.3 of the Commissioner's Regulations, regarding certified shorthand reporting

Description of rule: Makes a change in an examination requirement for licensure in certified shorthand reporting to partially eliminate the option that permits a candidate to transcribe shorthand notes in longhand during the examination, preserving the option only in the event the candidate's transcription equipment fails or malfunctions during the examination.

Need for rule: To align examination requirements with standard practice in this field, which requires certified shorthand reporters to produce transcripts of their shorthand notes through the use of typewriters or other transcription equipment.

Legal basis for rule: Education Law sections 207(not subdivided); 6504 (not subdivided); 6506(1); 6507(2)(a) and (3)(a);and 7504(4).

Section 29.10 of the Regents Rules, regarding unprofessional conduct in accountancy

Description of rule: Revises the definition of unprofessional conduct in accountancy by updating the names of entities that promulgate generally accepted auditing standards and generally accepted accounting principles, establishing reporting requirements, and setting forth definitions of unprofessional conduct based upon actions of the United States Securities and Exchange Commission (SEC) or the Public Company Accounting Oversight Board (PCAOB).

Need for rule: To align the regulation of the public accountancy profession in New York State with Federal laws and regulations and contemporary professional practice.

Legal basis for rule: Education Law sections 207(not subdivided); 6502(1) and (3-a); 6504(not subdivided); 6506(1); 6509(9); 6510(8); and 7401 (not subdivided).

Sections 52.36, 52.37, 52.38, 79-13, 79-14 and 79.15 of the Commissioner's Regulations, regarding clinical laboratory technology practitioners

Description of rule: Adds new sections 52.36, 52.37, and 52.38, and new Subparts 79-13, 79-14, and 79-15, relating to licensure as a clinical laboratory technologist and as a cytotechnologist and certification as a clinical laboratory technician.

Need for rule: To implement the provisions of Article 165 of the Education Law by establishing requirements for licensure as a clinical laboratory technologist or cytotechnologist and for certification as a clinical laboratory technician, requirements for limited permits in these fields, and standards for registered college preparation programs for these professions.

Legal basis for rule: Education Law sections 207 (not subdivided); 210 (not subdivided); 212(3); 6501 (not subdivided); 6504(not subdivided); 6507(2)(a), (3)(a), and (4)(a); 6508(1); 8605(1)(b) and (c) and (2) (b) and (c); 8606(2) and (3); 8607(1) and (2); and 8608.

Section 64.4 of the Commissioner's Regulations, regarding nurse practitioner

Description of rule: Phases out alternative criteria for certification in an additional specialty area of practice and requires candidates to complete the standard requirements for certification, which include completion of a registered master's degree or advanced certificate program in the area of specialty, or its equivalent; or certification as a nurse practitioner in the specialty area by a national certifying body acceptable to the Department.

Need for rule: To close what was intended to be a limited window of opportunity for nurse practitioners to qualify for certification in additional specialty areas through completion of 60 hours of continuing education in the specialty area and 1,000 hours of clinical practice in the specialty. These requirements were designed primarily to provide a route to certification in another specialty area of practice for certified nurse practitioners who were employed in the specialty area of practice before the effective date of this licensed profession. The objective was to provide experienced nurse practitioners a route to certification in another specialty area without requiring them to return to college to complete a master's degree or advanced certificate program in the specialty area. The Department believes that this option is no longer needed and that this change will strengthen the educational preparation of certified nurse practitioners.

The rule also makes several minor technical changes in the regulation, correcting the terminology for the titles "physician assistant" and "midwife" and a lettering error.

Legal basis for rule: Education Law sections 207(not subdivided); 6504(not subdivided); 6507(2)(a)and (3)(a); 6902(3)(a); and 6910(1)(c) and (5).

Section 79-1.5 of the Commissioner's Regulations, regarding landscape architecture

Description of rule: Establishes continuing education requirements that licensed landscape architects must complete to be registered to practice this profession in New York State and requirements for the approval of sponsors of such continuing education.

Need for rule: To clarify and implement the requirements of Education Law section 7328, as added by Chapter 683 of the Laws of 2005. As required by statute, the proposed regulation is also needed to establish continuing education requirements when there is a lapse in practice, requirements for licensees under conditional registration, and standards for the approval of sponsors of continuing education to licensed landscape architects. In addition, the regulation is needed to establish a fee for the review by the State Education Department of sponsors of courses of learning or educational activities in order to defray the cost of such review.

Legal basis for rule: Education Law sections 207(not subdivided); 212(3); 6504(not subdivided); 6507(2)(a); and 7328(1), (2), (3), (4), (5), and (6).

Sections 52.13, 70.1 and 70.4 of the Commissioner's Regulations, regarding public accountancy education and endorsement

Description of rule: Revises requirements for college programs leading to licensure in public accountancy, makes changes in the education requirements that applicants for licensure as a certified public accountant must meet, and revises requirements for licensure in this field through the endorsement of an out-of-state license.

Need for rule: To delete a 60 semester-hour liberal arts and sciences requirement for such registered programs, and instead permit the registered programs to provided liberal arts and sciences coursework in accordance with the requirements of Regents Rules for the type of degree conferred. The Department believes that this change provides accountants with sufficient liberal and sciences preparation, and removes a barrier to licensure for certified public accountants who are licensed in other states and have completed out-of-state programs, most of which do not include a similar liberal arts and sciences coursework requirement.

The rule also removes a requirement in the registered licensure-qualifying programs for a course in quantitative measurements or methods. This specific requirement does not exist in the education requirements for licensure in most other states. As a result, this requirement has been a barrier to licensure in New York State. The State Board for Public Accountancy has approved this change.

The rule makes a clarifying change in the requirements specifying content requirements for registered 150-semester hour programs leading to licensure. The language clarifies that the subjects listed under each content area must be completed in curricular content, meaning that the subjects may be provided in individual courses or within the curricular content of several courses. This change is needed to ensure that colleges have the flexibility to structure their registered programs as they see fit, provided that the prescribed subject matter is covered.

The rule also permits an applicant to meet the education requirement for licensure by completing an accountancy program that is accredited by an acceptable accrediting agency. The regulation defines an acceptable accrediting agency as an agency that has accreditation standards that are substantially equivalent to the requirements in Commissioner's Regulations for registered programs leading to licensure, among other requirements. This change eases access to licensure in New York State for applicants who have completed out-of-state accredited programs, streamlines the licensure process, and expedites the processing of licensure applications. It saves staff time because the Department no longer has to compare the course content of out-of-state programs to registered New York State programs, if the programs are accredited by an acceptable accrediting agency that the Department has already determined to have substantially equivalent standards to New York's.

The rule also changes requirements for the endorsement of an out-of-state license in this field. The rule changes the experience requirement for applicants who do not meet the regular education and/or experience requirement for licensure. It reduces from five years to four years in the preceding 10 years the number of years of professional experience that such an applicant for licensure through the endorsement of an out-of-state license must have. This is needed to ease access to licensure in New York State for experienced certified public accountants who are licensed in other jurisdictions. The change is consistent with the standard included in the Uniform Accountancy Act of the American Institute for Certified Public Accountants and the National Association of State Boards of Accountancy and with the experience requirement prescribed by many other jurisdictions for the endorsement of an out-of-state license.

Legal basis for rule: Education Law sections 207(not subdivided); 210(not subdivided, 6506(1) and (6); 6507(2)(a), (3)(a), and (4)(a); and 7404 (1)(2) and (2).

Sections 29.17 and 77.9 of the Commissioner's Regulations, regarding physical therapy

Description of rule: Implements the requirements of section 6731(d) of the Education Law by defining the experience requirement that a licensed physical therapist must meet to provide treatment without a referral, clarifying the content of the notice of advice provided to a patient prior to treatment without a referral, and establishing a definition of unprofessional conduct relating to such practice.

The rule establishes requirements that licensed physical therapists must meet in order to provide treatment without a referral and to provide uniformity and consistency in the information that must be contained in the written notice provided to a patient. The rule also establishes an additional definition of unprofessional practice in the practice of physical therapy: failing to meet the requirements of subdivision (d) of section 6731 of the Education Law and/or section 77.9 of the Commissioner's Regulations.

Need for rule: the rule is needed to implement the requirements of Education Law section 6731(d) by defining the experience requirement that a licensed physical therapist must meet to provide treatment without a referral, clarifying the content of the notice of advice provided to a patient prior to treatment without a referral, and establishing a definition of unprofessional conduct relating to such practice.

Legal basis for rule: Education Law sections 207(not subdivided); 6504(not subdivided), 6506(1), 6507(2)(a), 6509(9), and 6731(d).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Sarah S. Benson

Deputy Commissioner for the Professions

New York State Education Department

Office of the Professions

89 Washington Avenue

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 474-1431

[email protected]

OFFICE OF CULTURAL EDUCATION

Sections 185.5, 185.13 and 185.14 of the Commissioner's Regulations, regarding records retention

Description of rule: the rule substantially revises schedules CO-2 and MI-1 since they were last issued in 2002. The major revisions in both schedules are new Community College sections appearing in each, authorizing the disposition of records held by New York’s community colleges. In addition to updating the community college sections of the two schedules, other sections in Schedules CO-2 and MI-1 have also been updated based on changes to record keeping systems since the 2002 editions.

Need for rule: To make necessary changes and additions in order to update Records Retention and Disposition Schedule CO-2 and Records Retention and Disposition Schedule MI-1.

Legal basis for rule: Education Law sections 207 (not subdivided) and Arts and Cultural Affairs Law section 57.25(2).

Section 90.12 of the Commissioner's Regulations, regarding State aid for library construction

Description of rule: Prescribes eligibility requirements and criteria for applications for state aid for library construction, and conforms the Commissioner's Regulations to changes to Education Law section 273-a.

Need for rule: To ensure that the Commissioner's Regulations are in compliance with changes to Education Law section 273-a. Chapter 572 of the Laws of 2003 amended section 273-a to change the funding year from one year to three years and the payment year from 'January 1 through December 31' to 'July 1 through June 30.' Section 4 of Part O of Chapter 57 of the Laws of 2005 amended section 273-a to change the payment schedule from a 50/40/10 percent basis to a 90/10 percent basis. The rule also permits libraries greater flexibility in applying for grant funds. Projects that are not completed but are more than 60 percent complete are now eligible for funding. Projects that will not be ready to start for up to 180 days are now eligible for funding, as opposed to 90 days previously.

Legal basis for rule: Education Law sections 207(not subdivided), 215(not subdivided) and 273-a(5) and section 1 of Chapter 53 of the Laws of 2006.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the above proposed amendment by contacting:

Lauren Moore

Assistant Commissioner for Libraries and State Librarian

New York State Education Department

New York State Library

Room 10C34

Albany, NY 12230

(518) 474-5930

OFFICE OF OPERATIONS AND MANAGEMENT SERVICES

Section 3.2 of the Regents Rules, regarding Quality Committee name and responsibilities

Description of rule: Revised the provision on Regents standing committees to replace the Committee on Quality with a new Committee on Policy Integration and Innovation.

Need for rule: To conform the Regents Rules with changes to the committee structure of the Board of Regents.

Legal basis for rule: Education Law section 207(not subdivided).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Julia Patane

Assistant Counsel

Office of Counsel

State Education Building Room 112

89 Washington Ave., Albany, NY 12234

(518) 474-6400

G. CALENDAR YEAR 2001

OFFICE OF P-12 EDUCATION

Section 7.1 of the Regents Rules and section 135.4 of the Commissioner's Regulations, regarding professional coaching certificates

Description of Rule: Section 7.1 of the Regents Rules and section 135.4 of the Commissioner's Regulations establish a professional coaching certificate that is valid for three years to a candidate who has completed the first aid requirements as set forth in section 135.4 of the Commissioner’s Regulations and three course requirements established for coaching by the State Education Department, and has a minimum of three years coaching experience in a specific sport in a New York State interschool athletic program. The professional coaching certificate may be renewed for an additional three-year period if the candidate meets the requirements of section 135.4 and has received a satisfactory evaluation by the principal or athletic director for each of the preceding three years that the candidate coached in the specific sport.

Need for Rule: To comply with Regents policy. The rule provides flexibility to school districts to hire the most qualified candidates for interschool athletic coaching positions and to create a stable pool of qualified non-teacher coaching candidates to offset decreases in qualified certified teacher coaching candidates caused by teacher retirements.

Legal Basis for Rule: Education Law sections 101, 207, 212(3), 305(1) and (2), 803(5), 3006(1)(b) and (2)(a)(iii) and 3204(2).

Part 57 and section 100.2(dd)(2) of the Commissioner's Regulations, regarding training in school violence prevention and intervention

Description of Rule: Part 57 and section 100.2(dd)(2) of the Commissioner's Regulations establish standards for Department approval of providers of coursework or training in school violence prevention and intervention and require school districts and BOCES to include in their professional development plans provisions for training of employees holding a teaching certificate or license in the classroom teaching service, school service, or administrative and supervisory service in school violence prevention and intervention.

Need for Rule: To comply with the Safe Schools Against Violence in Education Act signed into law in July 2000. The rule establishes standards for Department approval of providers of course work or training in school violence prevention, and requires school districts to include such training in their professional development plans.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2) and 3004(3) and section 9 of Chapter 181 of the Laws of 2000.

Section 100.2(gg), (bb) and (cc) of the Commissioner's Regulations, regarding the Uniform Violent Incident Reporting System

Description of Rule: Section 100.2(gg), (bb) and (cc) of the Commissioner's Regulations establishes a Uniform Violent Incident Reporting System for the reporting of violent or disruptive incidents by school districts, BOCES and county vocational education and extension boards; prescribes the manner by which a summary of information provided in the annual report on violent and disruptive incidents submitted to the Commissioner concerning these incidents will be incorporated in school district and BOCES report cards; and provides for the confidentiality of all personally identifiable information to ensure that any such information which is collected is used only for its intended purpose.

Need for Rule: To implement Chapter 181 of the Laws of 2000 which requires the Commissioner of Educaiton, in conjunction with the division of criminal justice services to establish a statewide uniform violent incident reporting system which public school districts, boards of cooperative educational services, and county vocational education and extension boards shall follow.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2) and 2802(2), (3), (4) and (6) and section 5 of Chapter 181 of the Laws of 2000.

Section 100.2(hh) of the Commissioner's Regulations, regarding reporting of Child Abuse in an educational setting

Description of Rule: Section 100.2(hh) of the Commissioner's Regulations requires school administrators and superintendents, upon receipt of a written report alleging that a child has been abused in an educational setting, to promptly provide the parent of the child with a written statement setting forth parental rights, responsibilities and procedures, and requires each school district and BOCES to establish and implement on an ongoing basis a training program regarding the procedures for reporting of child abuse in an educational setting for all current and new teachers, school nurses, school counselors, school psychologists, school social workers, school administrators, other personnel required to hold a teaching or administrative certificate or license, and school board members. Section 100.2(hh) of the Commissioner’s Regulations was further modified to clarify that charter schools must also comply with these provisions.

Need for Rule: the rule is necessary to implement Chapter 180 of the Laws of 2000.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2), 1125(6), 1128(1), (2) and (3), 1128-a(1) and (2), 1132(2) and 3028-b and sections 12 and 13 of Chapter 180 of the Laws of 2000.

Section 100.5 and 100.2 of the Commissioner's Regulations, regarding Career and Technical Education programs and high school diploma requirements

Description of Rule: Section 100.5 and 100.2 of the Commissioner's Regulations create a process of program approval for career and technical education programs that will allow flexibility in the attainment of graduation requirements; provide for a diploma with a technical endorsement to be awarded to students who successfully complete certain requirements, including an industry-developed technical assessment of skills in a specific technical field; and correct technical errors concerning the units of credit for mathematics to meet graduation requirements.

Need for Rule: To implement Regents policy. The rule establishes criteria by which school districts and BOCES may operate career and technical education programs approved by the Commissioner and award high school diplomas to students who successfully complete such programs. Approved programs will provide students pursuing career and technical education programs with flexibility in attaining required units of credit for graduation and will provide for a technical endorsement on a Regents diploma, Regents diploma with advanced designation or a local diploma upon completion of an approved program. The rule is also necessary to correct certain technical errors concerning the units of credit requirement for mathematics and certain citation errors.

Legal Basis for Rule: Education Law sections 101, 207, 208, 209, 215, 305(1) and (2), 308, 309 and 3204(3).

Section 100.5(a)(5) and (b)(7) of the Commissioner's Regulations, regarding the State assessment system and diploma requirements for students with disabilities

Description of Rule: Section 100.5(a)(5) and (b)(7) of the Commissioner's Regulations extended for four years the existing provisions that permit students with disabilities who enter grade nine in or after September 2001 and prior to September 2005, and who fail one or more of the Regents examinations in English, mathematics, United States history and government, global history and geography, and science required for high school graduation, to meet local diploma requirements by passing the respective Regents Competency Tests or their equivalent in these subject areas.

Need for Rule: To implement Regents policy relating to State learning standards, State assessments and graduation and diploma requirements, to provide additional time to gather data on how students with disabilities are performing on required Regents examinations, including the effect of multiple tests, to increase the participation of students with disabilities in the general education curriculum, and to study the impact of academic intervention services for these students. The Board of Regents has since amended such section to extend the applicability to students entering grade 9 in or after September 2001 and prior to September 2011.

In July 2005, the Board of Regents adopted an amendment to section 100.5 to provide an additional safety net for all students with disabilities entering grade 9 in the 2005-06 school year, by allowing students with disabilities to meet local diploma requirements by achieving a passing score of 55-64 on the five required Regents examinations to meet local diploma requirements. In October 2016, the Board of Regents adopted an amendment to section 100.5 to provide an additional safety net for all students with disabilities entering grade 9 in 2005-06 school year, by allowing students with disabilities to meet local diploma requirements by compensating a score of 45-54 on a Regents examination with a score of 65 or higher on another required Regents examination provided certain conditions are met.

Legal Basis for Rule: Education Law sections 101, 207, 208, 209, 305(1) and (2), 308, 309, 3204(3) and 4403(3).

Section 104.1 of the Commissioner's Regulations, regarding pupil attendance recordkeeping

Description of Rule: Section 104.1 of the Commissioner's Regulations requires each school district, BOCES, charter school, and county vocational educational extension board to adopt a comprehensive attendance policy; keep records of each pupil’s presence, absence, tardiness and early departure in a register of attendance; record attendance of students in non-departmentalized kindergarten through grade 8 once per school day; record attendance in each period of scheduled instruction of students in grades 9-12 or in departmentalized schools at any grade level; record absences as excused or unexcused; establish local policy regarding student attendance and the awarding of course credit; annual review student attendance records and make revisions to the comprehensive attendance policy that are deemed necessary; and provide parents or persons in parental relation a summary of the attendance policy and each teacher with a copy of the attendance policy.

Need for Rule: To implement Regents policy to ensure effective school attendance programs by requiring that schools collect data through accurate attendance recordkeeping, and analyze attendance data to identify individual and group patterns so as to provide programs and services that will assist each student to successfully meet higher academic standards.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2), 3024, 3205(1), (2) and (3), 3210(1) and (2) and 3211(1).

Section 155.22 of the Commissioner's Regulations, regarding Qualified Zone Academy Bonds

Description of Rule: the rule establishes procedures for the reallocation of unused or unclaimed State limitation amount allocations of Qualified Zone Academy Bonds (QZABs).

Need for Rule: the rule is needed to establish a method for the Commissioner to reallocate any unused or unclaimed amounts of the State limitation amount for the issuance of QZABs so that such amounts may be applied towards qualified projects who otherwise would not be eligible to receive them. The federal Tax Cuts and Jobs Act (Pub. L. No. 115-97 (2017)) repealed the authority to issue tax credit bonds, including Qualified Zone Academy Bonds, after December 31, 2017, therefore this rule is no longer needed and can be repealed.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2) and 26 USC section 1397E.

Section 155.23 of the Commissioner's Regulations, regarding multi-year cost allowance for school district building aid

Description of Rule: Section 155.23 of the Commissioner's Regulations establishes the methodology school districts and BOCES must apply when establishing a multi-year cost allowance for computation of building aid and the procedures to appeal the determination.

Need for Rule: To comply with chapter 60 of the Laws of 2000, which requires the Commissioner to promulgate regulations prescribing the methodology for establishing a multi-year cost allowance for the purpose of computation of building aid to school districts and to establish procedures for school districts to appeal a determination that a building has not been adequately maintained.

Legal Basis for Rule: Education Law sections 207 and 3602(6) and section 5 of Part A of Chapter 60 of the Laws of 2000.

Section 155.24 of the Commissioner's Regulations, regarding school pesticide neighbor notification

Description of Rule: Section 155.24 of the Commissioner's Regulations requires public school districts, nonpublic elementary and secondary schools, and BOCES to establish a pesticide notification procedure to provide information to staff who regularly work at school facilities, and to persons in parental relation to children regularly receiving instruction at school facilities, to inform them that pesticide products may be used periodically throughout the school year and how to register to receive 48-hour advance notification of certain applications. The rule also establishes a procedure for individuals to notify the State Education Department of any school’s failure to comply with these requirements and authorizes the Commissioner to withhold State aid if schools fail to adopt notification procedures or otherwise fail to implement these requirements.

Need for Rule: the rule is necessary to implement Education Law section 409-h, as added by Chapter 285 of the Laws of 2000, by establishing the process by which the statue is implemented, including provisions relating to State notification and withholding of State aid with respect to a school's noncompliance with the statute.

Legal Basis for Rule: Education Law sections 101, 207, 305(1) and (2), 409(1) and 409-h(1) - (3) and section 6 of Chapter 285 of the Laws of 2000.

Sections 168.1, 168.2 and 168.6 of the Commissioner's Regulations, regarding Employment Preparation Education programs

Description of Rule: Sections 168.1, 168.2 and 168.6 of the Commissioner's Regulations establish criteria by which failure to demonstrate basic educational competencies is to be determined for the purpose of determining Employment Preparation Education Aid to enable school districts and BOCES to provide educational services to adults with limited basic skills who have previously been precluded for participating in the program.

Need for Rule: the rule is necessary to comply with section 23 of Chapter 60 of the Laws of 2000, as amended by section 15 of Part A of Chapter 57 of the Laws of 2007.

Legal Basis for Rule: Education Law sections 101, 207 and 3602(11)(a-1).

Section 170.3(k) of the Commissioner's Regulations, regarding career education instructional equipment reserve fund

Description of Rule: Section 170.3(k) of the Commissioner's Regulations establishes procedures for the establishment, use, maintenance and liquidation of BOCES career education instructional equipment reserve funds.

Need for Rule: the rule is necessary to be consistent with Education Law section 1950(4)(ee).

Legal Basis for Rule: Education Law sections 207 and 1950(4)(ee).

Section 175.10 of the Commissioner's Regulations, regarding statute of limitations on State aid payments

Description of Rule: Section 175.10 of the Commissioner's Regulations changes the requirement for submitting claims for building aid so that it is consistent with other statute of limitation requirements for all State aid claims.

Need for Rule: To eliminate an inconsistency for submission of State aid claims for building aid, by requiring more timely annual submissions, consistent with current statute of limitation requirements for other State aid claims.

Legal Basis for Rule: Education Law sections 207 and 3602(6).

Sections 200.1, 200.2, 200.5 and 200.21 of the Commissioner's Regulations, regarding the impartial hearing process for students with disabilities

Description of Rule: Establishes requirements relating to the impartial hearing process for students with disabilities, including the qualifications of impartial hearing officers, procedures for the appointment of an impartial hearing officer, procedures to conduct the hearing, data reporting requirements and procedures for the suspension or revocation of the impartial hearing officer determination.

Need for Rule: To ensure that impartial hearings are conducted in a timely manner consistent with Federal requirements by individuals who have the necessary and appropriate procedural and content knowledge and background to conduct an impartial hearing related to special education.

Legal Basis for Rule: Education Law sections 101, 207, 4403(3), 4404(1) and 4410(13).

Sections 200.1-200.7, 200.13, 200.16, 201.7, 201.11, 276.1 and 100.6 of the Commissioner's Regulations, regarding conforming and technical amendments to implement IDEA

Description of Rule: the rule relates to definitions; board of education responsibilities; membership on Committees on Special Education; procedures for referral, evaluation, Individualized Education Program (IEP) development, placement and review; due process procedures; continuum of services; students with disabilities being educated in private schools and State operated or State supported schools; educational programs for students with autism; educational programs for preschool students with disabilities; general procedures for suspensions and removals of students with disabilities; expedited due process hearings; procedures for appeals to the State Review Office; rules of practice; and local certificates.

Legal Basis for Rule: Education Law sections 101, 207, 3214(3), 4403(3) and (20), 4404(1) and (2) and 4410(13).

Sections 200.2 and 200.5 of the Commissioner's Regulations, regarding procedures for appointment of impartial hearing officers

Description of Rule: the rule establishes the time period for the board of education to appoint the impartial hearing officer and to ensure the State Education Department has the data to monitor the initiation and completion of impartial hearings.

Need for Rule: the rule is necessary to ensure the timely conduct of impartial hearings as required by the federal Individuals with Disabilities Education Act.

Legal Basis for Rule: Education Law sections 101, 207, 4403(3), 4404(1) and 4410(13).

Sections 200.4 and 200.7 of the Commissioner's Regulations, regarding technical amendments to conform to State and federal requirements

Description of Rule: Section 200.4(a) was amended to require that a referral include a written description of the interventions and strategies used to remediate the student's performance prior to referral. The rule also provides that the building administrator may request a meeting with the parents to determine if the referred student would benefit from other services designed to meet the learning needs of the student while maintaining the student in general education. Section 200.4(d)(2)(iv) and section 200.7(d)(1)(ii) were amended to correct certain cross citations.

Need for Rule: the rule is needed to conform the Commissioner's Regulations to State and federal requirements and to correct certain cross citations.

Legal Basis for Rule: Education Law sections 101, 207, 4401-a(2) and 4403(3).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning any of the above proposed amendments by contacting:

Kimberly Young Wilkins

Deputy Commissioner for P12 Instructional Support

New York State Education Department

Room 875, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 486-1954

OFFICE OF HIGHER EDUCATION

Section 3.12(d), Part 4, section 13.1 of the Regents Rules and Subpart 145-8 of the Commissioner's Regulations, regarding voluntary institutional accreditation for Title IV purposes

Description of Rule: Establishes standards and procedures that must be met by institutions of higher education that voluntarily seek institutional accreditation by the Commissioner of Education and the board of Regents for purposes of Title IV of the Higher Education Act of 1965, as amended, and deletes unnecessary provisions in the Rules of the Board of Regents and the Commissioner's Regulations.

Need for Rule: To establish standards consistent with federal requirements to ensure that institutions that are accredited by the Commissioner of Education and the Board of Regents, for purposes of their participation in Title IV federal student aid programs, are quality institutions. The rule also removed unnecessary provisions in the Regents Rules relating to the role of the State Education Department as a State Postsecondary Review Entity. This role does not exist because the federal law authorizing the designation of such entities was not reauthorized. Section 13.1 and Subpart 145-9 were subsequently repealed in a separate rule making, effective July 4, 2001.

Legal Basis for Rule: Education Law sections 207, 210, 214, 215 and 305(2).

Sections 4.2 and 4.5 of the Regents Rules, regarding voluntary institutional accreditation for Title IV purposes

Description of Rule: the rule clarifies the accreditation actions that may be taken pursuant to a voluntary institutional accreditation review of an institution of higher education for Title IV purposes, shortens timeframes for such review, and adds a new appeal procedure.

Need for Rule: the rule is needed to specify the accreditation actions that result from a review of an institution of higher education for Title IV purposes by the Commissioner and Board of Regents, to define the term "accreditation with conditions", to ensure that reviews are completed within a reasonable time period, and to comply with federal requirements for appeals of review determinations. Subparts 4.2 and 4.5 were renumbered to 4-1.2 and 4-5.2 pursuant to a separate rulemaking filed April 2002 and made effective May 16, 2002.

Legal Basis for Rule: Education Law sections 207, 210, 214 and 215.

Sections 52.21, 80-1.2 and 80-5.13 of the Commissioner's Regulations, regarding requirements for alternative teacher certification program

Description of Rule: Establishes alternative teacher certification programs.

Section 52.21(b)(3)(xvi) establishes the authority for the Commissioner of Education to register teacher preparation programs leading to professional certificates for individuals, including career changers and others, holding transitional C certificates and appropriate graduate academic or graduate professional degrees.

Section 52.21(b)(3)(xvii) establishes the authority for the Commissioner of Education to register teacher preparation programs leading to initial/professional certificates for individuals, including career changers and recent college graduates, who will begin teaching under transitional B certificates.

Section 80-1.2 establishes the authority for the Commissioner of Education to issue transitional certificates as of September 1, 2004.

Section 80-5.13 establishes the requirements for the “Transitional B” certificate. The Transitional B certificate is issued to candidates enrolled in alternative teacher education programs registered under section 52.21. Valid for three years, the Transitional B certificate leads to the first regular, or initial certificate, upon completion of the program.

Need for Rule: To increase the number of qualified individuals who will be attracted to teaching careers, improve the teacher preparation and mentoring provided through alternative teacher certification programs, and to extend the period of validity of transitional B certificates.

Legal Basis for Rule: Education Law sections 207, 210, 215, 305(1), (2) and (7), 3004(1) and 3006(1).

Section 80-1.11 and Part 87 of the Commissioner's Regulations, regarding fingerprinting and criminal history check of prospective school employees and applicants for teaching certification

Description of Rule: Establishes requirements and procedures for the fingerprinting and criminal history record check of prospective school employees and applicants for teaching certification in order to implement the requirements of Chapter 180 of the Laws of 2000.

Need for Rule: the rule is necessary to implement Chapter 180 of the Laws of 2000 to set forth requirements and procedures for fingerprinting and criminal history record checks of prospective school employees. The rule establishes requirements for applicants for certification, as well as the requirements for school employer's vis-à-vis prospective school employees. It also describes the Department's obligations with respect to issuing clearances for employment as well as due process considerations for individuals who may be denied clearance for employment. Additionally, the rule outlines the process for notifying school employers about subsequent arrests. Finally, it sets forth the fee amount, who is obligated to pay the fee, and sets forth the rules surrounding the destruction of an individual's criminal history record.

Legal Basis for Rule: Education Law sections 207, 305(3)(a) and (b), 1604(39) and (40), 1709(39) and (40), 1804(9) and (10), 1950(4), (11) and (mm), 2503(18) and (19), 2554(25) and (26), 2854(3)(a-2) and (a-3), 3004-b(1) and (2), 3004-c, 3035(1), (3) and (4) and Chapter 180 of the Laws of 2000.

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

William P. Murphy

Deputy Commissioner for Higher Education

New York State Education Department

Office of Higher Education

Room 975, Education Building Annex

89 Washington Avenue

Albany, New York 12234

(518) 4402-3620

OFFICE OF THE PROFESSIONS

Sections 52.30, 74.1, 74.2, 74.4 and 74.5 of the Commissioner's Regulations, regarding standards for licensure qualifying social work programs

Description of Rule: Establishes standards for licensure qualifying programs in social work, education and examination requirements for licensure, requirements for applicants for limited permits to practice as a certified social worker (CSW), and requirements that must be met by certified social workers to qualify for reimbursement under certain group health insurance policies for psychotherapy services.

Need for Rule: To establish such standards to ensure the quality of social work programs that are registered or seeking registration, to set criteria to measure the acceptability of social work programs offered outside the United States and its territories, to allow certain master's degree programs, within limitations, to permit students to use advanced standing credit for meeting their requirements, to ensure that candidates have adequate educational preparation prior to taking the licensing examination, to enable an applicant who has met the education requirement in substance to obtain employment in the social work field, and to clarify supervised experience requirements that must be met to qualify for reimbursement under certain group health insurance policies for psychotherapy services.

Legal Basis for Rule: Education Law sections 207, 210, 6504, 6507(1),(2)(a), and (4)(a); 6508(1); 7703, 7704(2) and (4), 7705 and Insurance Law sections 3221(l)(4)(A) and (D) and 4303(i) and (n).

Section 71.3 of the Commissioner's Regulations, regarding examination requirement for licensure as a certified shorthand reporter

Description of Rule: Changes the examination requirement for licensure as a certified shorthand reporter to reduce the amount of time the candidate must take dictation and to permit candidates to use transcription equipment to transcribe dictation.

Need for Rule: To conform to realistic testing requirements for the dictation portion of the licensure test, as recommended by the State Board for Certified Shorthand Reporting. The rule is also needed to update the examination to reflect current widespread use of computer assisted dictation equipment in the practice of certified shorthand reporter.

Legal Basis for Rule: Education Law sections 207, 6504, 6507(1), (2)(a) and (3)(a), 6508(1) and (2), 7503 and 7504(4).

Section 75.4 of the Commissioner's Regulations, regarding mandatory continuing competency for speech-language pathologists and audiologists

Description of Rule: Establishes continuing competency requirements and standards that licensed speech-language pathologists and/or audiologists must meet to be registered to practice in New York State and requirements for sponsors of continuing education.

Need for Rule: To clarify and implement the requirements of Education Law section 8209, as added by Chapter 266 of the Laws of 2000.

Legal Basis for Rule: Education Law sections 207, 212(3), 6502(1), 6504, 6507(2)(a), 6508(1) and 8209(1)(a), (b) and (c), (2), (3), (4), (5) and (6) and Chapter 266 of the Laws of 2000.

Agency representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Sarah S. Benson

Deputy Commissioner for the Professions

New York State Education Department

Office of the Professions

89 Washington Avenue

West Wing, Second Floor - Education Building

Albany, NY 12234

(518) 474-1431

[email protected]

OFFICE OF ADULT CAREER AND CONTINUING EDUCATION SERVICES

Part 247 of the Commissioner's Regulations, regarding conforming and technical amendments pertaining to the vocational rehabilitation program

Description of Rule: Enacts technical changes to conform the Commissioner's Regulations relating to the State vocational rehabilitation program to Title I of the Rehabilitation Act and the federal regulations promulgated under such Act.

Need for Rule: the rule is needed to conform to federal requirements.

Legal Basis for Rule: Education Law sections 101, 207 and 1004(1).

Agency representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Ceylane Meyers-Ruff

Assistant Commissioner

Office of Adult Career and Continuing Education Services

Room 575 EBA

89 Washington Avenue

Albany, New York 12234

(518) 474-2714

OFFICE OF STATE REVIEW

Sections 279.3 and 279.8 of the Commissioner's Regulations, regarding conforming and technical amendments to implement IDEA

Description of Rule: the rule relates to procedures for appeals to the State Review Office.

Section 279.3, as amended: (1) repealed language allowing a State Review Officer to base his or her decision on statements contained in a petition, which are deemed to be true, if an answer to the allegations in a petition is not served and filed according to the provisions of such regulations; and (2) authorized a State Review Officer to make a decision, that is considered final unless an aggrieved party seeks judicial review.

Section 279.8, as amended: (1) repealed language stating that oral argument before a State review officer is not permitted; (2) added language giving a State Review Officer the authority to determine if oral argument is necessary and to direct that such argument be heard at a time and place reasonably convenient to the parties; (3) authorized the State Review Officer to seek additional oral testimony or documentary evidence if determined necessary; (4) clarified that hearings to take additional evidence will be conducted before a State Review Officer at a time and place reasonably convenient to both parties; and (5) ensures that the procedures at such hearings are consistent with the due process requirements of section 200.5(i)(3).

Need for Rule: the rule is needed to conform the Commissioner's Regulations to the federal regulations implementing the Individuals with Disabilities Education Act.

Legal Basis for Rule: Education Law sections 101, 207, 3214(3), 4403(3) and (20), 4404(1) and (2) and 4410(13).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the above-proposed amendments by contacting:

Justyn P. Bates

Office of State Review

80 Wolf Road, Suite 203

Albany, New York 12203

(518) 485-9373

OFFICE OF MANAGEMENT SERVICES

Section 3.31 of the Regents Rules, regarding removal of trustees of education corporations

Description of Rule: Establishes procedures to be used in proceedings of the Board of Regents pursuant to Education Law § 226(4) to remove trustees of education corporations created by the Board of Regents, for misconduct, incapacity, neglect of duty and/or failure or refusal of the institution to carry into effect its educational purposes.

Need for Rule: the rule is needed to codify in the Regents Rules the procedures for removal of trustees of education corporations created by the Board of Regents, and thereby ensure the consistent, systemized practice with respect to such proceedings.

Legal Basis for Rule: Education Law section 101, 201, 202(1), 206, 207, 214, 215, 216 and 226(4).

Agency Representative:

Information may be obtained, and written comments may be submitted, concerning the modification or continuation of any of the above rules by contacting:

Julia Patane

Assistant Counsel

Office of Counsel

State Education Building Room 112

89 Washington Ave., Albany, NY 12234

(518) 474-6400

1. INTRODUCTION

Pursuant to Section 207 of the State Administrative Procedure Act, Review of Existing Rules, the Department (as defined below) must review, after five years and at five-year intervals thereafter, rulemakings adopted on or after January 1, 1998. In addition, effective January 1, 2013, for any rule that requires a regulatory flexibility analysis, rural area flexibility analysis, or job impact statement, the Department must initially review that rule in the third calendar year after the year the rule first was adopted. The purpose of the review is to analyze the need for and legal basis of the adopted rulemakings. Please note that all references to the “Department” and the “Superintendent” regarding rules adopted prior to October 3, 2011 mean, respectively, the former Insurance Department or Banking Department and the former Superintendent of Insurance or Superintendent of Banking, as appropriate to the context, and that the references to laws cited are as of the date of the amendment to the rules. For references to rules adopted thereafter, “Department” and “Superintendent” mean, respectively, the Department of Financial Services and the Superintendent of Financial Services.

Notice is hereby given of the following rules that the Department will review this year to determine whether they should be continued or modified. These rules were adopted in 2018, 2016, 2011, 2006, and 2001. These rules, as published in the State Register, contain a regulatory flexibility analysis, a rural area flexibility analysis or a job impact statement. If one or more of those analyses was not filed, a statement setting forth why one or all those analyses was unnecessary was published in the State Register. Public comment on the continuation or modification of the following rules is invited. Comments must be received within 60 days of the date of publication of this notice.

Unless otherwise noted, the Superintendent intends to continue the rules discussed herein without modification, while continually monitoring the rules to ensure that the provisions remain consistent with related statutory and regulatory requirements.

2. INSURANCE RULEMAKINGS

The following Insurance rulemakings were adopted in 2018:

• Amendment to Part 16 (Insurance Regulation 86) (Special Risk Insurance) of Title 11 NYCRR (May 16, 2018 State Register).

Statutory Authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301, 307 and 308 and Article 63.

The amendment incorporated the Class 2 Risk changes that were introduced by Public Notice, as published in the May 10, 2017 State Register. In addition, Class Code 2-04002 (Federal Crime Program-Excess on Commercial Risks) was deleted because the program was defunct.

• Amendment to Part 361 (Insurance Regulation 146) (Establishment and Operation of Market Stabilization Mechanisms for Certain Health Insurance Markets) of Title 11 NYCRR (State Register August 15, 2018).

Statutory Authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301, 1109, and 3233.

The amendment authorized the Superintendent to implement a market stabilization pool for the individual and small group health insurance markets if, after reviewing the impact of the federal risk adjustment program on this market, the Superintendent determined that a market stabilization mechanism is a necessary amelioration. This rule ameliorated a possible disproportionate impact that federal risk adjustment could have on insurers and health maintenance organizations, addressed the needs of the individual and small group health insurance markets in New York, and prevented unnecessary instability in the overall health insurance market.

• Amendment to Part 52 (Insurance Regulation 62) (Minimum Standards for Form, Content and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) of Title 11 NYCRR (State Register October 3, 2018).

Statutory authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301, 2606, 2607, 2608, 3201, 3221(h), 3231(a), 3232(g) and (h), 3240(b) and (d), 4303(ll), 4317(a), 4318(g) and (h), and 4328(b)(1).

The amendment required every individual and small group accident and health insurance policy or contract (other than a grandfathered health plan) delivered or issued for delivery in New York that provides hospital, surgical, or medical expense coverage and every student accident and health insurance policy or contract delivered or issued for delivery in New York to provide coverage of at least the enumerated ten categories of essential health benefits (“EHB”) if the EHB provisions in 42 U.S.C. Section 18022 and 45 C.F.R. 156.100 et seq. are no longer in effect or are modified to ensure that people covered under individual, small group, and student accident and health insurance policies and contracts will continue to have coverage for these benefits, as determined by the Superintendent. The rule also reiterated that no issuer of a small or large group or individual accident and health insurance policy that provides hospital, surgical, or medical expense coverage or a student accident and health insurance policy or contract delivered or issued for delivery in New York State may discriminate because of race, color, creed, national origin, sex, age, marital status, disability, or a preexisting condition, and clarified the scope of such prohibitions.

• Amendment to Part 52 (Insurance Regulation 62) (Minimum Standards for Form, Content and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) of Title 11 NYCRR (State Register October 31, 2018).

Statutory Authority: Financial Services Law Sections 202 and 302; Insurance Law Sections 301, 3201, 3217, 3221 and 4237; and General Municipal Law (“GML”) Section 205-cc.

The amendment established minimum standards for volunteer firefighter enhanced cancer insurance policies that, pursuant to GML Section 205-cc, every legally organized fire district, department or company in the State must provide and maintain for each eligible volunteer firefighter unless the fire district, department or company self-funds the benefits.

• Amendment to Part 52 (Insurance Regulation 62) (Minimum Standards for Form, Content and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) of Title 11 NYCRR (State Register September 26, 2018).

Statutory authority: Financial Services Law Sections 202 and 302; Insurance Law Sections 301, 3201, 3216(l), 3217, 3221(h), 3221(l)(7-a), 4303(l-1) and (ll), 4304(l), 4308(a), and 4328(b)(1), and Article 49; Public Health Law Article 49; and 45 C.F.R. section 156.122(c).

The amendment provided that every insurer that delivers or issues for delivery in the State an accident and health insurance policy that provides hospital, surgical, or medical expense coverage and provides coverage for medication for the detoxification or maintenance treatment of a substance use disorder shall include in the policy processes that allow a formulary exception and access to clinically appropriate medication for the detoxification or maintenance treatment of a substance use disorder not otherwise covered by the policy.

Part 52 was amended in 2019 (State Register June 12, 2019) to require an insurance policy or contract, including a child health insurance plan policy or contract, that provides coverage for direct access to maternal depression screening and referral performed by a provider of obstetrical, gynecologic, or pediatric services of the mother’s choice, to provide coverage for the screening and referral under the mother’s policy and also under the infant’s policy if the infant is covered under a different policy than the mother and a pediatric provider performs the screening and referral.

Part 52 was amended again in 2019 (State Register November 6, 2019), to require every policy or contract that provides medical, major medical, or similar comprehensive type coverage to provide broad contraceptive coverage, including coverage for all United States (“U.S.”) Food and Drug Administration-approved contraceptive drugs, devices, and other products and to establish a process, including time-frames, for an insured, an insured’s designee, or an insured’s health care provider to request coverage of a non-covered contraceptive drug, device, or product in conformity with Chapter 25 of the Laws of 2019 and Part M of Chapter 57 of the Laws of 2019.

Part 52 was amended in 2020 (State Register April 29, 2020) to clarify that discrimination prohibited by Insurance Law Sections 2607, 3243, and 4330 includes certain activities, such as including a policy clause that purports to deny, limit, or exclude coverage based on an insured’s sexual orientation, gender identity or expression, or transgender status or designating an insured’s sexual orientation, gender identity or expression, or transgender status as a pre-existing condition for the purpose of denying, limiting, or excluding coverage, and to implement Insurance Law Sections 3216(i)(17)(E), 3221(l)(8)(E) and (F), and 4303(j)(3) by clarifying that coverage for preexposure prophylaxis with effective antiretroviral therapy to persons who are at high risk of HIV acquisition is included within preventive care and screenings and specifying the timing for coverage of preventive care and screenings.

Part 52 was amended again in 2020 (State Register December 23, 2020) to set forth minimum standards for the content of health insurance identification cards to ensure greater disclosure of information relating to an insured’s health plan, and to provide easier access to such information, by standardizing the content of health insurance identification cards.

• Amendment to Part 60-2 (Insurance Regulation 35-D) (Supplementary Uninsured/Underinsured Motorists Insurance) of Title 11 NYCRR (State Register November 28, 2018).

Statutory Authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301 and 3420(f)(2-a).

Chapter 490 of the Laws of 2017 added a new Insurance Law Section 3420(f)(2-a) and Chapter 15 of the Laws of 2018 made amendments thereto. Insurance Law Section 3420(f)(2-a) requires an insurer that issues a motor vehicle liability insurance policy originally entered into on or after June 16, 2018, other than a commercial risk insurance policy, to provide Supplementary Uninsured/Underinsured Motorist (“SUM”) insurance coverage for bodily injury in an amount equal to the bodily injury liability insurance limits of coverage provided under the motor vehicle liability insurance policy, unless the first named insured declines the SUM insurance or selects a lower amount of coverage through a written, signed waiver. The rule amended Subpart 60-2 to comply with Insurance Law Section 3420(f)(2-a). The rule also clarified which policies are commercial risk policies and which are not, as well as how the law applies to transportation network company policies.

Part 60-2 was amended in 2020 (State Register March 25, 2020) to conform to the legislative amendment to Insurance Law Section 3420(f) by Chapter 59, Part III, Section 19 of the Laws of 2019 by requiring any policy insuring against loss resulting from liability imposed by law for bodily injury or death suffered by any natural person arising out of the ownership, maintenance, or use of an altered motor vehicle or stretch limousine, having a seating capacity of eight or more passengers and used in the business of carrying or transporting passengers for hire, provide SUM insurance for bodily injury in an amount of a combined single limit of $1.5MM for bodily injury or death of one or more persons in any one accident.

• Amendment to Part 60-3 (Insurance Regulation 35-E) (Transportation Network Companies: Minimum Provisions for Policies and Other Requirements) of Title 11 NYCRR (State Register December 19, 2020).

Statutory Authority: Financial Services Law Sections 202 and 302; Insurance Law Sections 301 and 3455; and Vehicle and Traffic Law (“VTL”) Section 1693(10).

The rulemaking amended 11 NYCRR 60-3.7(b) to extend, until July 1, 2019, the requirement that a group policy provide that the group policy is primary over a policy issued in satisfaction of VTL Article 6 to give insurers additional time to revise and implement their new policy forms. The amendment also changed an incorrect citation from 11 NYCRR Section 60-3.3(g)(2) to 11 NYCRR Section 60-3.3(h)(2).

• Amendment to Part 224 (Insurance Regulation 187) (Suitability in Life Insurance and Annuity Transactions) of Title 11 NYCRR (State Register August 1, 2018).

Statutory Authority: Financial Services Law Sections 202 and 302; Insurance Law Sections 301, 308, 309, 2103, 2104, 2110, 2123, 2208, 3209, 4224, 4226, 4525, and Article 24.

The amendment defined “suitability” and specified a best interest standard of care that applies to all annuity and life insurance transactions in New York State, regardless of the product type or source of funds, to ensure fair treatment of consumers purchasing both retirement and non-retirement annuity and life insurance products. The amendment also clarified the duties and obligations of insurance producers, or insurers when no producer is involved, by ensuring that recently proposed national standards for certain annuity contracts and life insurance transactions apply to all transactions in New York State regardless of the source of funds. In addition, the amendment added consumer protections by requiring an insurance producer to have a reasonable basis to believe that the consumer has the financial ability to enter into a transaction and prohibiting the producer from implying that any recommendation is part of an investment plan unless the producer has a specific certification or professional designation in that area. The amendment also added certain consumer disclosure requirements designed to increase awareness and prevent financial abuse.

The following Insurance rulemakings were adopted in 2016:

• Amendment to Part 52 (Insurance Regulation 62) (Minimum Standards for Form, Content, and Sale of Health Insurance, Including Standards for Full and Fair Disclosure) of Title 11 NYCRR (State Register July 20, 2016).

Statutory Authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301 and 3201(c).

The amendment added a new subdivision (n) to Section 52.16 to prohibit any insurer from providing coverage in any insurance policy or contract delivered or issued for delivery in New York for conversion therapy for any individual under the age of 18 years. Conversion therapy refers to any practice by a mental health professional that seeks to change an individual’s sexual orientation or gender identity, including efforts to change behaviors or gender expressions, or to eliminate or reduce sexual or romantic attractions or feelings toward individuals of the same sex.

• Amendment to Part 52 (Insurance Regulation 62) (Minimum Standards for Form, Content, and Sale of Health Insurance, Including Standards for Full and Fair Disclosure) of Title 11 NYCRR (State Register November 16, 2016).

Statutory Authority: Financial Services Law Sections 202 and 302, and Insurance Law Sections 301, 3201, 3217, 3221, and 4237.

The amendment allowed a blanket accident insurance policy that is issued in accordance with N.Y. General Business Law (“GBL”) Section 1015.11 to contain a provision that its benefits are excess or always secondary to any plan. GBL Section 1015.11 requires every licensed promoter of authorized combative sports and professional wrestling to provide accident insurance for the protection of licensed professionals and wrestlers appearing in authorized combative sports matches or professional wrestling exhibitions on and after September 1, 2016, and authorizes the State Athletic Commission (“SAC”) to promulgate regulations necessary to implement this legislation. In 2016, the SAC repealed and promulgated a new 19 NYCRR 208, which, among other things, provided that the accident insurance policy may be either primary or secondary to any other applicable insurance coverage held by the licensed professional or wrestler participant.

Part 52 was amended in 2017 (State Register June 21, 2017) to make explicit that individual, group and blanket insurance policies and contracts that provide hospital, surgical, or medical expense coverage delivered or issued for delivery in New York may not exclude coverage for medically necessary abortions and must provide such coverage at no cost sharing. The amendment also provided for an optional, limited exemption for religious employers and qualified religious organization employers while ensuring that medically necessary abortion coverage is maintained for all insureds at no premium to be charged to the certificate holder, religious employer, or qualified religious organization employer.

Part 52 was amended again in 2017 (State Register June 21, 2017) to require an insurer to allow, when the prescription so provides, for the dispensing of an initial three-month supply of a contraceptive to an insured and up to a 12-month prescribed supply for any subsequent dispensing of the same contraceptive prescribed by the same health care provider and covered under the same policy or contract or renewal thereof.

See rulemakings adopted in 2018, above, for additional amendments to Part 52.

• Addition of new Subpart 151-7 (Insurance Regulation 119) (Workers’ Compensation Safe Patient Handling Program) of Title 11 NYCRR (State Register November 23, 2016).

Statutory Authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301 and 2304(j).

The new Subpart fulfilled statutory mandates by requiring an insurer to provide a credit on each workers’ compensation insurance policy issued or renewed in New York State to a health care facility that implements and maintains a safe patient handling program pursuant to the requirements prescribed in the Public Health Law. The rule also required every workers’ compensation rate service organization to file certain information with the Superintendent by June 1 of each year so that the Superintendent may collect information for the reports due to the Legislature in 2018 and 2020.

• Addition of new Part 76 (Insurance Regulation 209) (Commercial Crime Coverage Exclusions) of Title 11 NYCRR (State Register December 21, 2016).

Statutory Authority: Financial Services Law Sections 202 and 302, and Insurance Law Sections 301 and 2307 and Articles 23, 24, and 34.

The new Part 76 advanced New York State’s public policy by prohibiting commercial crime policy exclusions for loss or damage caused by an employee who had been convicted of a criminal offense prior to employment by the employer when the employer hired such employee using the factors set forth in Correction Law Article 23-A. Correction Law Article 23-A establishes New York State’s public policy encouraging licensure and employment of persons previously convicted of a criminal offense. The law prohibits discrimination against such persons, unless there is a direct relationship between the previous offense and the employment sought or held, or if the granting or continuation of employment would involve an unreasonable risk to property or personal safety or welfare. However, commercial crime insurance policies often exclude coverage for loss or damage caused by an employee who was previously convicted of a criminal offense if the employer knew about the conviction prior to the loss or damage. This placed an employer in the position of either being unable to obtain insurance or violating the Correction Law by not hiring the individual, even though a review of the Correction Law factors weighs in favor of employment.

• Amendment to Part 83 (Insurance Regulation 172) (Financial Statement Filings and Accounting Practices and Procedures) of Title 11 NYCRR (State Register November 9, 2016).

Statutory Authority: Financial Services Law Sections 202 and 302; Insurance Law Sections 107(a)(2), 301, 307, 308, 1109, 1301, 1302, 1308, 1404, 1405, 1407, 1411, 1414, 1501, 1505, 3233, 4117, 4233, 4239, 4301, 4310, 4321-a, 4322-a, 4327 and 6404; Public Health Law Sections 4403, 4403-a, 4403-c(12) and 4408-a; Chapter 599 of the Laws of 2002 and Chapter 311 of the Laws of 2008.

All states require insurers to comply with the Accounting Practices and Procedures Manual (“AP&P Manual”) published each year by the National Association of Insurance Commissioners (“NAIC”), which establishes uniform practices and procedures for U.S.-licensed insurers. The amendment adopted the 2016 edition of the AP&P Manual As of March 2016, replacing the rule’s prior reference to the March 2015 edition. Adoption of the rule was necessary for the Department to maintain its accreditation status with the NAIC. The NAIC-accreditation standards require that state insurance regulators have adequate statutory and administrative authority to regulate insurers’ corporate and financial affairs, and that they have the necessary resources to carry out that authority.

Part 83 was amended in 2017 (State Register August 9, 2017) to update citations in Part 83 to the AP&P Manual as of March 2017, replacing the rule’s former reference to the March 2016 edition.

Part 83 was amended in 2020 (State Register December 30, 2020) to make technical corrections and adopt the AP&P Manual as of March 2020 with certain exceptions and modifications. Of note, Section 83.4 was amended by adding new subdivisions (t) and (u). Subdivision (t) takes an exception from the AP&P Manual’s treatment of certain investments in exchange traded funds (“ETFs”) and mutual funds as bonds instead of common stock. The Department has determined that bond treatment is not appropriate for all ETFs and bond mutual funds designated by the AP&P Manual for such treatment. However, the Department recognizes that certain investments in ETFs and mutual funds may warrant treatment that is different from the common stock treatment currently required by 11 NYCRR 83 for those investments. Accordingly, the Department is analyzing investments in ETFs and mutual funds to determine what subset of those investments may warrant treatment that is different from common stock and what that treatment should be. The Department expects a further amendment to 11 NYCRR 83 to be promulgated to implement appropriate changes to the treatment of investments in ETFs and mutual funds resulting from this analysis.

Subdivision (u) takes an exception from the AP&P Manual’s characterization of dividends and returns of capital. The Insurance Law permits a parent company to remove funds from its insurer-subsidiary by the taking of a dividend (either as an ordinary dividend, which is limited to the insurer-subsidiary meeting certain financial benchmarks and does not require Department approval, or as an extraordinary dividend, which is subject to Department approval) and by the return of capital (either as a stock redemption and retirement or as a reorganization, both of which require Department approval). A core Department function is to ensure insurer solvency for the benefit of policyholders. The AP&P Manual’s revision, in effect, blends the definitions of dividends and returns of capital, thus enabling an insurer-subsidiary to effect a return of capital without the Department’s approval. Additionally, the accounting for certain non-dividend returns of capital would not reduce the availability of funds for the parent company to take a further ordinary dividend (without Department approval), thereby allowing double-dipping (i.e., first taking a return of capital and then, after adding reinsurance, taking an ordinary dividend).

• Amendment to Part 94 (Insurance Regulation 56) (Valuation of Individual and Group Accident and Health Insurance Reserves) of Title 11 NYCRR (State Register February 24, 2016).

Statutory Authority: Financial Services Law Sections 202 and 302 and Insurance Law Sections 301, 1303, 1304, 1305, 1308, 4117, 4217, 4310, and 4517.

The rule was amended to adopt the 2012 Group Long-Term Disability Valuation Table for group long-term disability income claims incurred on or after January 1, 2017, or if optionally elected, on or after October 1, 2014, replacing the 1987 Commissioners Group Disability Table (87CGDT).

The rule was amended in 2017 (State Register July 19, 2017) to adopt the 2013 Individual Disability Income Valuation Table that was adopted by the NAIC in 2016. Adoption of the table resulted in the same reserve requirements for both domestic and non-domestic insurers doing business in New York.

The rule was amended in 2019 (State Register November 27, 2019) to adopt the 2016 Cancer Claim Cost Valuation Tables for first occurrence and hospitalization cancer expense benefit contracts issued on or after January 1, 2019, or if optionally elected, on or after January 1, 2018, replacing the 1985 NAIC Cancer Claim Cost Tables.

The following Insurance rulemakings were adopted in 2011:

• Amendment of Part 169 (Insurance Regulation 100) (Noncommercial Private Passenger Automobile Insurance Merit Rating Plans) of Title 11 NYCRR (State Register January 19, 2011).

Statutory Authority: Insurance Law Sections 201, 301, 2334, 2335, 2345, and 3425.

Part 169 was amended to comply with Chapter 277 of the Laws of 2010. Chapter 277 of the Laws of 2010 amended Insurance Law Section 2335 to raise from $1,000 to $2,000 the minimum threshold amount of property damage which, if exceeded in a motor vehicle accident, would allow an insurer to impose a policy premium charge. The minimum threshold amount of property damage for which insurers may impose a premium surcharge was based on the amount set forth in VTL Section 605 ($1,000).

• Amendment of Part 151-4 (Insurance Regulation 119) (Workers’ Compensation Insurance Rates: Reserves for Special Disability Fund Claims) of Title 11 NYCRR (State Register January 19, 2011).

Statutory Authority: Insurance Law Sections 201, 301, 1303 and 4117, and Workers’ Compensation Law (“WCL”) Section 32.

WCL Section 32 permits the chair of the Workers’ Compensation Board to procure one or more private entities to assume the liability for, and the management, administration or settlement of, all or a portion of the claims in the Special Disability Fund (“SDF”). No insurer, self-insured employer, or the State Insurance Fund (“SIF”) may assume liability for, management, administration or settlement of any claims on which it holds reserves, beyond such reserves as are permitted by regulation of the Superintendent.

The law mandates the Superintendent to set a reserve standard specific to transactions authorized by WCL Section 32. The amendment established the required reserve standards, including the amount of reserves that an insurer, self-insured employer, or the SIF may hold for claims for which an entity has waived its right to reimbursement from the SDF and for which it has assumed the liability, management, administration or settlement.

See rulemakings adopted in 2016, above, for additional amendment to Part 151-4.

• Amendment of Part 151-5 (Insurance Regulation 119) (Workers’ Compensation Insurance – Independent Livery Driver Benefit Fund) of Title 11 NYCRR (State Register January 19, 2011).

Statutory Authority: Insurance Law Sections 201, 301 and 3451.

Chapter 392 of the Laws of 2008 enacted Executive Law Article 6-G, establishing clear rules for determining when livery drivers in New York City, Westchester County and Nassau County are employees or independent contractors of livery bases, and establishing the Independent Livery Driver Benefit Fund (the “Fund”) to provide independent contractor livery drivers workers’ compensation benefits under certain circumstances when no-fault automobile insurance does not provide sufficient coverage. Before passage of this law, the only recourse for independent contractor livery drivers was no-fault automobile insurance, which resulted in delays in payment while no-fault insurers ascertained whether livery drivers were independent contractors and eligible for coverage.

Insurance Law Section 3451 permits the Superintendent to promulgate regulations authorizing an insurer licensed to write workers’ compensation and employers’ liability to provide coverage as authorized pursuant to Executive Law Article 6-G. The amendment was promulgated to ensure that the Fund has a choice of procuring coverage either from the SIF or an authorized insurer, which may provide savings to the Fund and ultimately the livery bases that pay for the coverage.

• Amendment to Part 100 (Insurance Regulation 179) (Determining Minimum Reserve Liabilities and Non-forfeiture Benefits) of Title 11 NYCRR (State Register March 16, 2011).

Statutory Authority: Insurance Law Sections 201, 301, 1304, 4217, 4218, 4221, 4224, 4240 and 4517, and Articles 24 and 26.

The amendment extended the use of the 2001 CSO Preferred Class Structure Mortality Table to policies issued on or after January 1, 2004 with the Superintendent’s approval, and if certain conditions were met by the insurer related to policies or portions of policies that were co-insured. Previously, the table only was permitted to be used for policies issued on or after January 1, 2007. The use of the table allowed for the reserves to better match the risks associated with different underwriting classifications. Also, the rule should result in lower reserve requirements for those insurers that elected to use the table for policies issued on or after January 1, 2004, and therefore, decrease the cost of doing business in New York. This standard had already been adopted in the AP&P Manual.

Part 100 was adopted as part of a consolidated rulemaking with 11 NYCRR 98 (Insurance Regulation 147), (State Register December 10, 2014) to modernize the current regulatory scheme for term life insurance reserves, as discussed in the Superintendent’s March 27, 2014 letter to state commissioners.

Part 100 was amended as part of a consolidated rulemaking with 11 NYCRR 98 (Insurance Regulation 147) (State Register April 1, 2015) to modernize the current regulatory scheme for universal life insurance with secondary guarantee reserves.

Part 100 was amended as part of a consolidated rulemaking with 11 NYCRR 98 (Insurance Regulation 147) (State Register May 17, 2017) to adopt the 2017 CSO Mortality Table as the minimum valuation standard for applicable life insurance policies issued on or after January 1, 2020, or if optionally elected, on or after January 1, 2017, replacing the 2001 CSO Mortality Table. The amendments specified that the Fifth and Sixth Amendments to Part 98 and the Third and Fourth Amendments to Part 100 only would apply to policies issued on or after January 1, 2015 and prior to January 1, 2017, or on or after January 1, 2015 and prior to January 1, 2018 with written notification provided to the Superintendent by June 30, 2017.

Part 100 was amended as part of a consolidated rulemaking with 11 NYCRR 98 (Insurance Regulation 147) (State Register January 2, 2019) to modify Parts 98 and 100 to specify that two prior amendments to the rules (i.e., the Fifth and Sixth Amendments to Part 98 and the Third and Fourth Amendments to Part 100) only would apply to policies issued on or after January 1, 2015 and prior to January 1, 2017, or on or after January 1, 2015 and prior to January 1, 2019 with written notification provided to the Superintendent by December 31, 2018. The concurrent amendments to Parts 98 and 100 would allow insurers to apply the two prior amendments, if optionally elected, for one additional year of issuing policies.

Part 100 was amended as part of a consolidated rulemaking with 11 NYCRR 98 (Insurance Regulation 147) (State Register April 22, 2020) to allow insurers that choose to continue using the 2015 reserve relief procedures to use them for one more year of issuing policies, until they must update their reserve procedures to comply with new Insurance Law Section 4217(g).

• Amendment to Part 98 (Insurance Regulation 147) (Valuation of Life Insurance Reserves) to Title 11 NYCRR (State Register March 16, 2011).

Statutory Authority: Insurance Law Sections 201, 301, 1304, 1308, 4217, 4218, 4240 and 4517.

The amendment removed restrictions on the mortality adjustment factors (known as “X” factors) in the deficiency reserve calculation. The former restrictions on the X factors prevented some insurers from using mortality rates with a slope similar to insureds’ expected mortality. The purpose of the X factor in the deficiency reserve calculation is to allow insurers to adjust the valuation mortality assumptions so that the mortality rates better reflect the experience mortality rates; removal of the former restrictions allows that to occur. The amendment also provided clarification in the calculation of the segment length and addressed whether recalculation is required when valuation mortality changes. These standards already had been adopted in the AP&P Manual.

Part 98 was amended as part of a consolidated rulemaking with 11 NYCRR 100 (Insurance Regulation 179) (State Register December 10, 2014) to modernize the current regulatory scheme for term life insurance reserves.

Part 98 was amended as part of a consolidated rulemaking with 11 NYCRR 100 (Insurance Regulation 179) (State Register April 1, 2015) to modernize the current regulatory scheme for universal life insurance with secondary guarantee reserves.

Part 98 was amended as part of a consolidated rulemaking with 11 NYCRR 100 (Insurance Regulation 179) (State Register May 17, 2017) to adopt the 2017 CSO Mortality Table as the minimum valuation standard for applicable life insurance policies issued on or after January 1, 2020, or if optionally elected, on or after January 1, 2017, replacing the 2001 CSO Mortality Table. The amendments specified that the Fifth and Sixth Amendments to Part 98 and the Third and Fourth Amendments to Part 100 would only apply to policies issued on or after January 1, 2015 and prior to January 1, 2017, or on or after January 1, 2015 and prior to January 1, 2018 with written notification provided to the Superintendent by June 30, 2017.

Part 98 was amended as part of a consolidated rulemaking with 11 NYCRR 100 (Insurance Regulation 179) (State Register January 2, 2019) to modify Parts 98 and 100 to specify that two prior amendments to the rules (i.e., the Fifth and Sixth Amendments to Part 98 and the Third and Fourth Amendments to Part 100) would only apply to policies issued on or after January 1, 2015 and prior to January 1, 2017, or on or after January 1, 2015 and prior to January 1, 2019 with written notification provided to the Superintendent by December 31, 2018. The concurrent amendments to Parts 98 and 100 allow insurers to apply the two prior amendments, if optionally elected, for one additional year of issuing policies.

Part 98 was amended as part of a consolidated rulemaking with 11 NYCRR 100 (Insurance Regulation 179) (State Register April 22, 2020) to allow insurers that choose to continue using the 2015 reserve relief procedures to use them for one more year of issuing policies, until they are required to update their reserve procedures to comply with new Insurance Law Section 4217(g).

• Amendment to Part 83 (Insurance Regulation 172) (Financial Statement Filings and Accounting Practices and Procedures) of Title 11 NYCRR (State Register March 16, 2011).

Statutory Authority: Insurance Law Sections 107(a)(2), 201, 301, 307, 308, 1109, 1301, 1302, 1308, 1404, 1405, 1411, 1414, 1501, 1505, 3233, 4117, 4233, 4239, 4301, 4310, 4321-a, 4322-a, 4327 and 6404; Public Health Law Sections 4403, 4403-a, 4403-c and 4408-a; and Chapter 599, Laws of 2002, and Chapter 311, Laws of 2008.

The purpose of the rule is to enhance the consistency of the accounting treatment of assets, liabilities, reserves, income, and expenses by regulated insurers, by clearly setting forth the accounting practices and procedures to be followed in completing annual and quarterly financial statements that must be filed with the Department. The NAIC had adopted a new AP&P Manual as of March 2010. The amendment updated the rule to conform to NAIC guidelines and statutory amendments and to clarify existing provisions. The amendment updated citations in Part 83 to the AP&P Manual as of March 2010.

Part 83 was amended (State Register May 2, 2012) to update citations in Part 83 to the AP&P Manual as of March 2011, replacing the rule’s former reference to the March 2010 edition.

Part 83 was amended (State Register December 4, 2013) to update the reference to the AP&P Manual published by the NAIC as of March 2012, replacing the rule’s former reference to the March 2011 edition.

Part 83 was amended (State Register April 2, 2014) to update citations in Part 83 to the AP&P Manual as of March 2013, replacing the rule’s former reference to the March 2012 edition.

Part 83 was amended (State Register November 19, 2014) to update citations in Part 83 to the AP&P Manual as of March 2014, replacing the rule’s former reference to the March 2013 edition.

Part 83 was amended (State Register September 23, 2015) to update citations in Part 83 to the AP&P Manual as of March 2015, replacing the rule’s former reference to the March 2014 edition.

See rulemakings adopted in 2016, above, for additional amendments to Part 83.

• Repeal and Addition of new Part 89 (Insurance Regulation 118) (Audited Financial Statements) to Title 11 NYCRR (State Register March 16, 2011).

Statutory Authority: Insurance Law, sections 201, 301, 307(b), 1109, 4710(a)(2) and 5904(b).

Part 89 was originally promulgated in 1984 to implement the provisions of Insurance Law Section 307(b). The rule was repealed, and a new rule was promulgated to continue to implement the provisions of Insurance Law Section 307(b), which requires all but specified small insurers to file annual statements with the Superintendent for review and oversight. The new rule added provisions modeled on those required pursuant to the Sarbanes-Oxley Act of 2002, 15 U.S.C. Section 7201 et seq., which imposes on publicly held companies a comprehensive regime of audits and internal management controls and reports designed to ensure greater transparency and accountability.

The new rule was closely patterned upon the NAIC model regulation that reflects a consensus of the insurance regulators of all states and territories of the United States as to scope, detail, needs and benefits. The new rule was promulgated to ensure that regulated companies engage in best practices related to auditor independence, corporate governance, and internal controls over financial reporting.

Part 89 was amended in 2020 (State Register May 13, 2020) to require authorized insurers, fraternal benefit societies, and managed care organizations that meet a certain premium threshold to establish and maintain an internal audit function. The internal audit function requirement became an NAIC accreditation standard as of January 1, 2020.

• Amendment to Part 52 (Insurance Regulation 62) (Minimum Standards for the Form, Content and Sale of Health Insurance, Including Full and Fair Disclosure) of Title 11 NYCRR (State Register March 30, 2011).

Statutory Authority: Insurance Law Sections 201, 301, 1109, 1117, 2601, 3217, 3234 and 4512.

Insurance Law Sections 1117 and 3217 grant the Superintendent the authority to promulgate regulations that establish minimum standards for the form, content and sale of health insurance, including long-term care insurance. The amendment adopted current best practices as the minimum standards applying to internal appeals for long-term care insurance across the industry. Specifically, the amendment established minimum standards for internal appeal procedures for long-term care insurance, nursing home and home care insurance, nursing home insurance only, and home care insurance only.

See rulemakings adopted in 2016 and 2018, above, for additional amendments to Part 52.

• Amendment to Part 27 (Insurance Regulation 41) (Excess Line Placements Governing Standards) of Title 11 NYCRR (State Register May 4, 2011).

Statutory Authority: Insurance Law Sections 201, 301, 2105, 2118 and Article 21.

Part 27 enables consumers who are unable to obtain insurance from authorized insurers to obtain coverage from unauthorized insurers if the unauthorized insurers are “eligible” and an excess line broker places the insurance. Although the Superintendent does not directly regulate excess line insurers and excess line insurers are not subject to the minimum capital surplus requirements applicable to authorized insurers, the Superintendent is responsible for ensuring that adequately and appropriately capitalized insurers provide coverage to consumers. The amendment established certain minimum financial standards and surplus to policyholders vis-à-vis excess line insurers to ensure the claims-paying viability of excess line insurers. Specifically, the rule increased the minimum surplus to policyholders that new and current excess line insurers are required to maintain.

The rule was amended in 2013 (State Register April 10, 2013) to update the export list of coverages set forth in 11 NYCRR 27 and to implement Chapter 61 of the Laws of 2011, which revised the Insurance Law to conform to the federal Nonadmitted and Reinsurance Reform Act of 2010.

The rule was amended in 2014 (State Register October 8, 2014) to further implement Chapter 61 of the Laws of 2011.

• Amendment to Part 65-1 (Insurance Regulation 68-A) and Part 65-2 (Insurance Regulation 68-B) (Regulations Implementing the Comprehensive Motor Vehicle Insurance Reparations Act) of Title 11 NYCRR (State Register May 11, 2011).

Statutory Authority: Insurance Law, Sections 201, 301, 2307, 5103 and 5221.

Chapter 303 of the Laws of 2010 amended Insurance Law Section 5103(b)(2) to prohibit a no-fault insurer from excluding from coverage necessary emergency health services rendered in a general hospital, including ambulance services attendant thereto and related to medical screening, for any person who is injured as a result of operating a motor vehicle while in an intoxicated condition or while the person’s ability to operate the vehicle is impaired by the use of a drug within the meaning of the VTL Section 1192. Chapter 303 also permits a no-fault insurer to maintain a cause of action against the covered person for the amount of first party benefits paid or payable on behalf of the covered person if such person is found to have violated VTL Section 1192.

The Mandatory Personal Injury Protection Endorsement (New York), Additional Personal Injury Protection Endorsement (New York) and the rights and liabilities of self-insurers provisions of Parts 65-1 and 65-2 were amended to comply with Chapter 303 of the Laws of 2010.

The following Insurance rulemakings were adopted in 2006:

• Amendment to Part 261 (Insurance Regulation 161) (Prepaid Legal Services Plans) of Title 11 NYCRR (State Register February 15, 2006).

Statutory Authority: Insurance Law Sections 201, 301, 1113(a)(29), 1116 and Article 23.

Part 261 establishes requirements for Prepaid Legal Service Plans authorized pursuant to Insurance Law Section 1116, including the recognition of groups to whom policies and certificates may be issued on a group basis. The amendment established that a group policy may be issued to a college, school or other institution of learning, or to the head or principal thereof (which or who shall be deemed the policyholder), covering the students of such college, school or other institution of learning.

• Amendment to Part 27 (Insurance Regulation 41) (Excess Lines Placements Governing Standards) of Title 11 NYCRR (State Register March 8, 2006).

Statutory Authority: Insurance Law Sections 201, 301, 2105, 2118 and Article 21.

Part 27 establishes excess line placement governing standards. The amendment restated Insurance Law Section 2118(b)(6) regarding the duty of an excess line broker to deliver a stamped declarations page or cover note evidencing insurance that is stamped by the excess line association. The amendment also updated the language on the notice that is required to be prominently displayed on written confirmations of placement of coverage with excess line insurers and the notice that is required on insurance policies issued by excess line insurers in this state. The two notices used previously were different. Such changes were necessary to facilitate the eventual conversion of the affidavit system of the Excess Line Association of New York to an electronic filing system.

In 2007, the rule was amended (State Register December 19, 2007) to change the amount of funds required to be held in trust by alien excess line insurers and an association of insurance underwriters.

In 2009, the rule was amended (State Register September 9, 2009) to add coverages to the export list and reduce the requisite declinations for several other coverages.

See rulemakings adopted in 2011, above, for additional amendments to Part 27.

• Amendment to Part 219 (Insurance Regulation 34-A) (Rulemakings Governing Advertisements of Life Insurance & Annuity Contracts) of Title 11 NYCRR (State Register October 11, 2006).

Statutory Authority: Insurance Law Sections 201, 301, 308, 1313, 2122, 2123, 2402, 4224, 4226 and 4240(d).

Insurance Law Section 2122(a)(2) prohibits any person from calling attention to an unauthorized insurer by any advertisement or public announcement in this state. Part 219 establishes requirements regarding advertisements, statements and representations of licensees used in the solicitation of life insurance, annuities and the reporting of financial information.

The amendment to the rule permitted “joint advertisements” in New York, which are advertisements that contain the names of, or references to, insurance policies sold by a New York authorized insurer and an affiliated insurer that is not authorized in New York. The amendment construed the terms “advertisement” and “public announcement” as used in the Insurance Law and prescribed, for the protection of New York consumers, rules and guidelines that require the truthful and adequate disclosure of all material and relevant information in joint advertisements.

• Adoption of Part 221 (Insurance Regulation 182) (Limitations upon and Requirements for the use of Credit Information for Personal Lines Insurance) of Title 11 NYCRR (State Register October 25, 2006).

Statutory Authority: Insurance Law Sections 201, 301, Article 28.

The Legislature, in enacting Chapter 215 of the Laws of 2004, codified as Insurance Law Article 28, sought to afford consumers certain protections regarding the use of credit information for personal lines insurance. To this end, the Legislature directed the Superintendent to promulgate a regulation that establishes limitations on, and requirements for, the permissible use of credit information by insurers doing business in this state to underwrite and rate risks for personal lines insurance business. The amendment clarified the prohibited and permitted uses of credit information in the underwriting and rating of personal lines insurance.

• Amendment to Part 68 (Insurance Regulation 83) (Charges for Professional Health Services) of Title 11 NYCRR (State Register November 15, 2006).

Statutory Authority: Insurance Law Sections 201, 301, 2601, 5221, Article 52.

Part 68 establishes maximum permissible charges for medical, hospital and other professional health services payable as no-fault insurance benefits. The amendment updated the addresses of the New York State Department of Health and the New York State Education Department for the purpose of reporting patterns of health provider overcharges, excessive treatment, or any other improper actions. The amendment also updated the name of the New York State Insurance Department bureau that was collecting the data.

In 2008, the rule was amended (State Register April 16, 2008) to repeal the fee schedules previously established by the Insurance Department for prescription drugs, durable medical equipment, medical/surgical supplies, orthopedic footwear, and orthotic and prosthetic appliances that were covered by the two fee schedules established by the Workers’ Compensation Board, and clarified that a pharmacy is deemed to be a provider of health services for purposes of eligibility of direct payments pursuant to Subpart 68-C.

In 2010, the rule was amended (State Register September 22, 2010) to adopt a new Workers’ Compensation Board Dental Fee Schedule.

In 2017, the rule was amended (State Register October 25, 2017) to limit insurers’ reimbursement of no-fault health care services provided outside the State at the election of a New York State eligible injured person to the lowest of: (1) the amount of the fee in the region in New York State that has the highest applicable amount in the fee schedule for that service; (2) the amount the provider charged; and (3) the prevailing fee in the geographic location of the provider. If the jurisdiction where the out-of-state provider rendered treatment had established a fee schedule for services rendered in connection with motor vehicle-related injuries, the prevailing fee would be the amount prescribed in that fee schedule for the respective service. The limit on reimbursement did not apply to services provided out-of-state that would constitute emergency care provided to a non-resident of this State or a resident of this State who, at the time of treatment, was residing in the jurisdiction where the treatment was being rendered for reasons unrelated to the treatment. The amendment was necessary because, under the former rule, there had been a marked increase in the submission of over-inflated claims from out-of-state providers, largely because of the lack of a uniform interpretation of the prevailing fees outside the State, and no-fault benefits available to injured persons were being depleted more quickly, to their detriment.

In 2019, the rule was amended (State Register August 7, 2019) to delay for 18 months the adoption of the workers’ compensation fee schedules for use pursuant to Insurance Law Section 5108.

In 2020, the rule was amended (State Register April 22, 2020) to delay until October 1, 2020 the adoption of workers’ compensation fee schedules for use in the no-fault system pursuant to Insurance Law Section 5108.

• Amendment to Part 218 (Insurance Regulation 90) (Prohibition Against Geographical Redlining and Discriminating in Certain Property/Casualty Policies) of Title 11 NYCRR (State Register November 29, 2006).

Statutory Authority: Insurance Law Sections 201, 301, 307, 308, 3429, 3429-a, 3430, 3433 and Article 34.

Part 218 is intended to make certain types of property/casualty coverage readily available in the voluntary market by implementing statutory prohibitions against companies engaging in geographical redlining practices and discrimination.

In enacting Chapter 259 of the Laws of 2005, the Legislature sought to prohibit insurance companies from canceling, refusing to issue, or refusing to renew a homeowner’s insurance policy, including fire insurance or fire and extended coverage insurance, based solely on the insured residing in an area that is serviced by a volunteer fire department, unless such action is based on sound underwriting and actuarial principles.

The amendment established procedures for notifying applicants or insureds of the insurer’s specific reasons for canceling or refusing to issue or renew such policies. The amendment advised that an applicant or insured may contact the insurance company with any questions and may file a complaint with the Department.

In 2013, the rule was revised twice as part of two consolidated amendments (State Registers April 10, 2013 and June 5, 2013) to correct out-of-date references resulting from the consolidation of the New York State Banking and Insurance Departments into the Department of Financial Services.

• Amendment to Part 217 (Insurance Regulation 178) (Prompt Payment of Health Insurance Claims) of Title 11 NYCRR (State Register December 27, 2006).

Statutory Authority: Insurance Law Sections 201, 301, 1109, 2403, 3224, and 3224-a.

Part 217 establishes minimum data element requirements for the submission of claims for payment of medical or hospital services that are submitted on paper. The amendment updated the fields required for the submission of health care claims in a paper format. The information was required by Medicare and was inadvertently omitted from the original promulgation of the rule.

As part of a consolidated rulemaking with 11 NYCRR 52 (Insurance Regulation 62) (State Register April 1, 2009) the rule was amended to establish guidelines for the processing of health care claims when the claimant is covered by more than one health insurance policy.

The following Insurance rulemakings were adopted in 2001:

• Amendment of Part 160 (Insurance Regulation 57) (Responsibilities in Construction and Application of Rates) of Title 11 NYCRR (State Register January 17, 2001.

Statutory Authority: Insurance Law Sections 201, 301, and 2336(h).

Insurance Law Section 2336(h) provides for premium reductions for certain commercial motor vehicles when such vehicles are equipped with factory-installed auxiliary running lamps. The statutory provision requires the Superintendent, after consultation with the Department of Motor Vehicles and the Department of Transportation, to promulgate regulations that establish the qualifications and standards for the approval, utilization and installation of such lamps. Chapter 475 of the Laws of 1998 added subsection (h) to Section 2336 to induce commercial risk insureds to reduce risk levels to their commercial motor vehicles. The amendment implemented the legislative objective of Chapter 475.

In 2002, the rule was amended (State Register June 26, 2002) to update it and to eliminate obsolete provisions.

• Adoption of Part 390 (Insurance Regulation 155) (Service Contracts) of Title 11 NYCRR, (State Register February 7, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1101, 7911 and Article 79.

Chapter 614 of the Laws of 1997 added a new Article 79 to the Insurance Law governing the making of service contracts by service contract providers, and service contract reimbursement insurance, which was added as a new kind of insurance under Section 1113(a)(28). Section 7911 specifically authorizes the Superintendent to promulgate regulations necessary to effectuate Article 79. Chapter 198 of the Laws of 1999 amended Insurance Law Section 1113(a)(28) to add indemnification coverage to the definition of service contract reimbursement insurance. Article 79 created a framework for regulating service contract providers. The new law also authorized service contract reimbursement insurance, which is intended to provide one of the three forms of financial security required to ensure that a provider will meet its obligations.

The rule established rules governing and regulating the service contract business and accomplished several goals. It established a procedure for the registration of providers, including the specification of minimum information necessary for the Superintendent to determine whether to register the provider. It established minimum provisions and requirements regarding service contract reimbursement insurance and service contracts. It also clarified the relationship of mechanical breakdown insurance to service contracts.

In 2003, the rule was amended (State Register March 5, 2003) to update two references to the address of the Department’s Albany office.

• Adoption of Part 410 (Insurance Regulation 166) (External Appeals of Adverse Determinations of Health Care Plans) of Title 11 NYCRR (State Register February 14, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1109, 3201, 3216, 3217, 3217-a, 3221, 4235, 4303, 4304, 4305, 4321, 4322, 4324, Articles 47 and 49, and Chapter 586 of the Laws of 1998.

Chapter 586 of the Laws of 1998 provided enrollees of managed care plans and insureds the right to an objective, independent external appeal of a final adverse determination made by their health care plan. The law was intended to provide consumers with the right to obtain a review of their health plans’ decisions through an objective body of medical experts, at the health plans’ expense.

In 2008, the rule was amended (State Register December 3, 2008) to provide that external appeal agents shall not be subject to legal proceedings to review their determinations.

• Repeal of Part 58 (Insurance Regulation 117) (Mortality Tables) and Adoption of Part 99 (Insurance Regulation 151) (Valuation of Annuity, Single Premium Life Insurance, Guaranteed Interest Contract and Other Deposit Reserves) of Title 11 NYCRR (State Register February 28, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1304, 4217, 4240 and 4517.

The adoption of 11 NYCRR 99 established an appropriate methodology to calculate and determine adequate reserves to help ensure the solvency of life insurers doing business in New York. The Insurance Law specifies mortality and interest standards but does not specify an explicit method to value annuities, single premium life insurance policies, or guaranteed interest contracts, and relies on the Superintendent to specify the method. Without this rule, there would be no standard method for valuing such products. This could result in inadequate reserves for some insurers, which would jeopardize the security of policyholder funds.

With the adoption of Part 99 (Regulation 151), Part 58 of 11 NYCRR (Regulation 117) was repealed. Part 58 was repealed because its mortality tables for determining liabilities for annuities and pure endowments had been updated for new business and included in new Part 99.

In 2009, Part 99 was amended (State Register December 9, 2009) to provide that external appeal agents shall not be subject to legal proceedings to review their determinations.

In 2012, Part 99 was amended (State Register April 11, 2012) to allow the use of substandard annuity mortality tables in valuing impaired lives under individual single premium immediate annuities, enabling insurers to keep costs at a lower level because they will not need to hold standard reserves for impaired lives and thus offer these annuities at a more competitive price to annuitants.

In 2014, Part 99 was amended (State Register August 27, 2014) to incorporate a new individual annuity mortality table, which had been adopted by the NAIC, that insurers are required to use to calculate reserves on individual annuities and pure endowments issued or purchased on or after January 1, 2015. Use of the new table’s mortality rates and projection scales are expected to result in increased reserves because mortality rates will be lower due to the expectation that lifetime annuitants will receive their income for longer periods of time.

• Adoption of Part 430 (Insurance Regulation 170) (Mechanism for the Equitable Distribution of Insureds Unable to Obtain Medical Malpractice Insurance) of Title 11 NYCRR (State Register March 7, 2001).

Statutory Authority: Insurance Law Sections 201, 301, and 5502, as amended by Chapter 147 of the Laws of 2000.

Pursuant to Insurance Law Section 5502, as amended by Chapter 147 of the Laws of 2000, the Superintendent dissolved the Medical Malpractice Insurance Association (“Association”). The Association had written medical malpractice insurance for health care providers who were unable to secure such coverage in the voluntary market. The amendment established the New York Medical Malpractice Insurance Plan (“Plan”) to provide for the equitable distribution required by the Legislature. Through the Plan, an eligible health care provider, as defined in the rule, that is unable to obtain insurance in the voluntary market, is assigned to an insurer writing the appropriate coverage in the insured’s geographical territory.

• Amendment of Part 52 (Insurance Regulation 62) (Minimum Standards for Form, Content, and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) of Title 11 NYCRR (State Register March 21,2001).

Statutory authority: Insurance Law Sections 201, 301, 3201, 3216, 3217, 3218, 3221, 3231, 3232, 4235, 4237, Article 43 and Federal Social Security Act (42 U.S.C. Section 1395ss).

The enactment of the Federal Omnibus Budget Reconciliation Act of 1990 (“the Act”) required the mandatory standardization and federal certification of policies of Medicare supplement insurance. As a result of the Act, states were required to amend their laws and regulations to conform to the federal standards for Medicare supplement insurance. The revisions contained in this amendment made technical corrections to New York’s Medicare supplement regulation to ensure continued compliance with federal standards.

In 2002, an amendment to Section 52.22 of the rule was adopted (State Register March 5, 2003) to make minor revisions to certain mandatory practices to be followed by insurers issuing Medicare supplement insurance policies that bring company practices into conformance with the Act.

In 2010, the rule was amended as part of a consolidated regulatory action (State Register May 5, 2010) to conform to the requirements of federal law. States were required to have a Medicare supplement insurance regulatory program that provided a minimum level of coverage as established by federal law, 42 U.S.C. Section 1395ss. The applicable federal laws were amended in 2008.

See rulemakings adopted in 2011, 2016 and 2018, above, for additional amendments to Part 52.

• Amendment of Part 89 (Insurance Regulation 118) (Audited Financial Statements) of Title 11 NYCRR (State Register May 9, 2001).

Statutory authority: Insurance Law Sections 201, 301, 307(b) and 4710(a)(2).

Insurance Law Section 307(b) provides for the audited financial statement of every licensed insurer, with certain exceptions, and of any subsidiary described therein, together with an opinion of an independent certified public accountant on the financial statement of the insurer and any subsidiary, to be filed on or before May 31 of each year. Section 307(b) was amended by Chapter 324 of the Laws of 1992 and necessitated an amendment to Part 89.

Part 89 was originally promulgated in 1984 to implement the provisions of Insurance Law Section 307(b). This amendment further implemented the provisions of Section 307(b), as amended by Chapter 324 of the Laws of 1992. It enabled the Department to continue to monitor the financial solvency of insurers licensed to do business in New York State.

See rulemakings adopted in 2011, above, for additional amendment to Part 89.

• Adoption of Part 83 (Insurance Regulation 172) (Financial Statement Filings and Accounting Practices and Procedures) of Title 11 NYCRR (State Register May 23, 2001).

Statutory Authority: Insurance Law Sections 107(a)(2), 201, 301, 307, 308, 1109, 1301, 1302, 1308, 1404, 1405, 1407, 1411, 1414, 1501, 1505, 3233, 4117, 4233, 4239, 4301, 4310, 4321-a, 4322-a, 4327 and 6404; Public Health Law Sections 4403, 4403-a, 4403-(c)(12) and 4408-a.

The purpose of the rule is to enhance the consistency of the accounting treatment of assets, liabilities, reserves, income and expenses by entities subject thereto, by setting forth the accounting practices and procedures to be followed in completing annual and quarterly financial statements required by law. Certain provisions of the Insurance Law provide that authorized insurers and other entities shall file financial statements annually and quarterly with the Superintendent, on forms prescribed by the Superintendent. Except for filings made by Underwriters at Lloyd’s, London, the Superintendent prescribed forms and Annual and Quarterly Statement Instructions that are adopted from time to time by the NAIC, as supplemented by additional New York forms and instructions. To assist in the completion of the Financial Statements, the NAIC also adopts and publishes from time to time certain policy, procedure and instruction manuals. One of these manuals, the AP&P Manual As of March 2000, includes a body of accounting guidelines referred to as Statements of Statutory Accounting Principles. The AP&P Manual was incorporated by reference into Part 83.

The AP&P Manual as of March 2000 was effective January 1, 2001. The AP&P Manual represents a compilation of current insurance statutory accounting principles. The AP&P Manual is designed as a comprehensive guide to statutory accounting principles for regulators, insurers and auditors. The AP&P Manual does not preempt state legislative or regulatory authority. Statutory financial statements continue to be prepared on the basis of accounting practices prescribed or permitted by the states. Auditors are permitted to continue to provide audit opinions on practices permitted by the insurance regulator of the state of domicile, even if those practices diverge from the AP&P Manual. In certain instances, a New York statute or regulation may preclude incorporation of particular provisions of the AP&P Manual. In a few instances, for various reasons, the Department has not incorporated provisions of, or revisions to, the AP&P Manual.

In 2003, the rule was amended (State Register March 26, 2003) to update citations in Part 83 to the AP&P Manual as of March 2002.

The rule again was amended in 2003 (State Register September 24, 2003) to update citations in Part 83 to the AP&P Manual as of March 2003, make a technical correction, and delete an obsolete provision regarding accident and health benefits in life insurance policies and annuities.

In 2004, the rule was amended (State Register May 19, 2004) to delete obsolete references to certain web sites.

The rule again was amended in 2004 (State Register September 15, 2004) to update citations in Part 83 to the AP&P Manual as of March 2004.

In 2007, the rule was amended (State Register January 10, 2007) to update citations in Part 83 to the AP&P Manual as of March 2005 and to make minor modifications to the rule regarding accounting treatment of certain insurer assets.

The rule again was amended in 2007 (State Register April 25, 2007) to update citations in Part 83 to the AP&P Manual as of March 2006.

See rulemakings adopted in 2011 and 2016, above, for additional amendments to Part 83.

• Amendment of Part 185 (Insurance Regulation 27A) (Credit Life Insurance and Credit Accident and Health Insurance) of Title 11 NYCRR (State Register May 30, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 3201, 4216 and 4235.

Insurance Law Sections 4216 and 4235 authorize the issuance of credit life insurance and credit accident and health insurance as permitted coverages in this state. One portion of the amendment removed a restriction on the use of termination based on age.

The rule, prior to the amendment, specified the rates for vendor business. The most common examples of vendor business are automobile dealerships. The rates specified in the rule for some blocks of vendor business were inadequate. Thus, part of the amendment allowed for the rates for blocks of vendor business to be based on their actual experience. Prior to this change, coverage was not available at some vendors.

Insurance Law Sections 4216 and 4235 also require that the premium not be unreasonable in relation to the benefits provided. Another part of the amendment balanced the legislative objective of making the product available with the legislative objective that insureds receive fair value for their premium dollar.

In 2002, the rule was amended (State Register December 11, 2002) to conform to Chapter 505 of the Laws of 2000 and Chapter 13 of the Laws of 2002, which created a new type of broker license, defined in Insurance Law Section 2104(b)(1)(A), allowing brokers to write the coverages set forth in the rule.

• Amendment of Part 70 (Insurance Regulation 101) (Medical Malpractice Insurance Rate Modifications, Provisional Rates, Required Policy Provisions and Availability of Additional Coverages) of Title 11 NYCRR (State Register June 20, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1113(a)(13) and (14), 3426, 3436, 5504, 5907, 6302, 6303 and Article 23, and Chapter 147 of the Laws of 1999 as amended by Part JJ of Chapter 407 of the Laws of 1999.

The amendment established medical malpractice insurance rates and appropriate surcharges for physicians and surgeons effective July 1, 2000, and established rules to collect and allocate surcharges to recover deficits based on loss experience. While the Superintendent continues to establish medical malpractice rates, the Superintendent no longer amends the rule to do so, and the old rates are no longer current. The Department reviews the rule each year to ensure that the provisions remain consistent with other related statutory and regulatory requirements.

• Amendment of Part 27 (Insurance Regulation 41) (Excess Line Placements Governing Standards) of Title 11 NYCRR (State Register July 11, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1101, 2105, 2117; Chapter 294 of the Laws of 1997, Chapter 597 of the Laws of 1999 and Chapter 578 of the Laws of 2000.

Insurance Law Section 1101(b) was amended by Chapter 597 of the Laws of 1999 to provide for a new paragraph (5). It permits an unauthorized insurer that is affiliated with an insurer licensed in this state to have an office in this state to provide services to support its insurance business. Insurance Law Section 2117 was also amended by Chapter 597 of the Laws of 1999 to provide for a new subsection (i) that allows an authorized insurer to provide support services from its office in New York to unauthorized affiliates, provided that the unauthorized insurer has satisfied all applicable requirements for placement by excess line brokers. Both sections of law require that any documents issued by an unauthorized insurer from an office in this state contain a prominent notice that the insurer is not licensed in New York, in accordance with regulations promulgated by the Superintendent.

The amendment revised the rule by establishing a mandatory and uniform notice instead of permitting each insurer to establish its own notice, to ensure that consumers receive the appropriate information. The amendment also required insurers to provide notice to the Superintendent of the existence of the New York office of an unauthorized insurer to allow the Superintendent to properly regulate their activities.

In 2003, the rule was amended (State Register February 19, 2003) to clarify the duties and responsibilities of excess line brokers, unauthorized insurers and the Excess Line Association of New York regarding excess line business placed in New York State.

See rulemakings adopted in 2006 and 2011, above, for additional amendments to Part 27.

• Adoption of Part 362 (Insurance Regulation 171) (The Healthy New York Program & the Direct Payment Stop Loss Relief Program) of Title 11 NYCRR (State Register July 18, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1109, 3201, 3216, 3217, 3221, 4235, 4303, 4304, 4305, 4318, 4321, 4321-a, 4322, 4322-a, 4326 and 4327.

The Legislature enacted Chapter 1 of the Laws of 1999 to provide for the Healthy New York Program, an initiative that was designed to encourage small employers that did not provide health insurance coverage to their employees to offer such coverage and to make coverage available to uninsured employees whose employers did not provide group health insurance coverage. By creating a standardized health insurance benefit package to be offered by all health maintenance organizations, which is made more affordable through the availability of state funded stop loss reimbursement, more small employers and uninsured employed individuals were encouraged to purchase health insurance coverage. The rule was necessary to clarify eligibility for, and establish procedures for enrolling in, the Healthy New York Program.

In 2004, the rule was amended (State Register February 11, 2004) to encourage small employers that did not currently provide health insurance coverage to their employees to offer such coverage, and to make coverage available to uninsured employees whose employers did not provide group health insurance. To encourage the goals stated above, the amendment clarified eligibility for the Healthy New York Program and simplified the application and administrative process for both enrollees and providers.

In 2007, the rule was amended (State Register January 31,2007) to reduce Healthy New York premium rates to enable more uninsured businesses and individuals to afford health insurance and generally improve the Healthy New York Program. The rule was amended again in 2007 to offer high deductible health plans in conjunction with the Healthy New York Program and to add benefits to the program.

In 2012, the rule was amended (State Register November 18, 2012) to mitigate large premium increases for current enrollees in Healthy New York by limiting new enrollees to the high deductible plan.

• Adoption of Part 101 (Insurance Regulation 164) (Standards for Financial Risk Transfer Agreements between Insurers and Health Care Providers) of Title 11 NYCRR (State Register August 22, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1102, 1109 and Articles 32, 41, 42 and 43; Public Health Law, Section 4403(1)(c).

Section 45 of Chapter 586 of the Laws of 1998 (“the Law”), commonly referred to as the external review law, gave the Commissioner of Health and the Superintendent of Insurance the authority to promulgate regulations to implement, inter alia, the financial risk transfer sections of the legislation. In particular, Sections 41-d and 41-e of the Law amended Insurance Law Sections 3217-b and 4325 to add a new paragraph (f) to each of those statutes. The amendments broadly discuss the requirement that no contract entered into between an insurer and a health care provider shall be enforceable if it includes terms that transfer financial risk to providers in a manner inconsistent with the provisions of Public Health Law Section 4403(1)(c).

Chapter 586 of the Laws of 1998 gave the Superintendent of Insurance and the Commissioner of Health broad powers to promulgate regulations regarding all aspects of the Law, including provisions that apply to the transfer of financial risk in contracts between an insurer and a health care provider. Based on this grant of authority, the Superintendent developed a rule, in consultation with the Commissioner of Health, to ensure that contractual arrangements between an insurer and a health care provider were consistent with Public Health Law Section 4403(1)(c).

Part 101 established minimum requirements by which an insurer, as defined in the rule, can assess the financial responsibility of a health care provider to ensure that such provider can fulfill its obligations under the financial risk transfer agreement. Previously, there were no regulatory requirements specifically addressing the method by which an insurer could determine the financial responsibility of the health care provider, and adequately protect itself and its subscribers against the risk of default by a health care provider and ensure fulfillment of the health care provider’s obligations under the financial risk transfer agreement.

In 2002, the rule was amended (State Register January 30, 2002) to provide mechanisms to assess the financial responsibility and capability of health care providers to perform their obligations under certain financial risk sharing agreements and set forth standards pursuant to which providers may adequately demonstrate such responsibility and capability to insurers.

• Amendment of Subpart 64-2 (Insurance Regulation 35-C) (Liability Insurance Covering All-Terrain Vehicles) of Title 11 NYCRR (State Register August 22, 2001).

Statutory Authority: Insurance Law Sections 201, 301 and 5103; VTL, Section 2407.

VTL Section 2407 requires that an all-terrain vehicle (“ATV”) be covered by a policy of liability insurance, which includes no-fault coverage for the pedestrian victims of ATV accidents. The amendment incorporated the applicable no-fault insurance forms into 11 NYCRR 65 (Insurance Regulation 68), which was adopted simultaneously.

In 2002, the rule was amended (State Register September 11, 2002) to update certain references in accordance with statutory amendments.

In 2004, the rule was amended (State Register May 19, 2004) to conform the fraud warning statement in the required no-fault claim forms with the text (as revised in the Fourth Amendment to 11 NYCRR 86 (Insurance Regulation 95)) as then written in Part 86 of 11 NYCRR, to correct any incorrect references, addresses and typographical errors, and to present the forms in a more easily readable format.

• Repeal of Part 65 (Insurance Regulation 68) and Adoption of New Part 65 (Insurance Regulation 68) (Regulations Implementing the Comprehensive Motor Vehicle Insurance Reparations Act) of Title 11 NYCRR (State Register August 22, 2001).

Statutory Authority: Insurance Law Sections 201, 301 2601, 5521 and Article 51; VTL Section 2407.

Part 65 contains provisions implementing Insurance Law Article 51, known as the Comprehensive Motor Vehicle Insurance Reparations Act and popularly referred to as the “no-fault” law. No-fault insurance was introduced to rectify many problems that were inherent in the existing tort system that were utilized to settle claims, and to provide for prompt payment of health care and loss of earnings benefits. The no-fault insurance coverage endorsement contained in Subpart 64-2, which was incorporated into Part 65 by the 2001 amendment, implemented VTL Section 2407, which affords no-fault coverage to the pedestrian victims of ATV accidents.

The adopted rule reduced the time periods from 90 days to 30 days for notice of claim by claimants and from 180 days to 45 days for submission of health care claims, respectively. The Superintendent recognized that in rare circumstances, a claimant will not be able to provide notice, or a medical provider may not be able to submit a claim, within the new time periods. In light of such recognition, the Superintendent repealed the former requirement that a provider or claimant show that compliance was impossible in order to file a claim outside of the time requirements, and replaced it with a more flexible “reasonableness” standard that allows additional time for notice or submission of a claim if reasonable justification is provided.

The adopted rule also reflected the transfer of the no-fault conciliation function from the Department to an organization designated by the Superintendent. By this amendment of the conciliation procedures, rather than diminishing its role in the process, the Department strengthened its regulatory function regarding compliance with the no-fault insurance statutes. The Department continues to monitor conciliation activity and analyzes trends via reports generated regularly by the designated organization on all aspects of the conciliation function, such as provider overcharges, dilatory claims handling by insurers and over-utilization of the arbitration system by claimants’ representatives.

Prior to the effective date of the rule (September 1, 2001), a lawsuit was filed in the New York State Supreme Court seeking a stay of enforcement of the revised rule. Ultimately, the new Part 65 became effective as of April 5, 2002.

In 2003, the Superintendent adopted consolidated amendments to Subparts 65-3 (Insurance Regulation 68-C) and 65-4 (Insurance Regulation 68-D) (State Register February 5, 2003) to update certain references in accordance with statutory amendments. Recognizing that disputes involving the responsibility for payment of no-fault benefits would occur, the Legislature included in Insurance Law Section 5106 the authority for the Superintendent to promulgate or approve simplified arbitration procedures in order to expedite the payment of those benefits. Pursuant to that authority, the Superintendent implemented a financial assessment system in Part 65, which provides that insurers bear the operating costs of the arbitration system. Further, pursuant to statutory authority, the Superintendent revised the financial allocation process so that arbitrators may apportion costs to applicants in those cases when applicants have submitted frivolous claims without any factual or legal merit.

The amendment to Subpart 65-3 updated provisions relating to Personal Injury Protection Benefits (“PIP”) in conformance with changes to requirements regarding forms to be used by insureds, claimants and providers. The amendment to Subpart 65-4 revised the rulemakings and requirements applicable to the arbitration of no-fault claims. It was intended to make the system more efficient for all participants.

In 2004, Subpart 65-4 was amended (State Register February 4, 2004) to correct an erroneous cross reference and insert a requirement that inadvertently was omitted from the previously revised rule: the long-standing administrative procedure that the designated administrator of the no-fault administration system will consult with the Department before making final determinations on requests to recuse an arbitrator for conflict of interest reasons. The rulemaking also required that determinations shall be in writing and in a format approved by the Department.

Also in 2004, Subpart 65-3 was amended (State Register May 19, 2004) to conform the fraud warning statement contained in no-fault claim forms with the statutory language contained in 11 NYCRR 86 (Insurance Regulation 95), amend any incorrect references and typographical errors, and present the forms in a more easily readable format.

In 2007, Subparts 65-3 and 65-4 were amended (State Register March 14, 2007) to conform the rules to Chapter 452 of the Laws of 2005. The legislation codified the rulemakings contained within Part 65 that are applicable when multiple insurers may be responsible to the claimant for the processing of the claim for first party benefits. It also enhanced the current arbitration procedures to include an expedited eligibility hearing option, when required, to designate the insurer for first party benefits.

In 2013, the Superintendent adopted an amendment to Part 65 (State Register November 13, 2013) that added Subpart 65-5 (Insurance Regulation 68-E) that established standards and procedures for investigating and suspending, or removing the authorization for, health service providers to demand or request payment for health services under Article 51 of the Insurance Law upon findings of certain unlawful conduct reached after investigation, notice, and a hearing pursuant to Insurance Law Section 5109.

Also in 2013, Subpart 65-3 was amended (State Register February 20, 2013) to reduce the number of automobile personal injury protection claims that would have remained open indefinitely by: (i) requiring an applicant for benefits to either submit any requested verification within the applicant’s control or possession, or provide reasonable justification for failing to do so within 120 calendar days from the date of the initial verification request; (ii) reducing litigation and arbitration by providing that a technical defect in an insurer’s verification request, notice, or claim denial does not discharge the recipient’s obligation to comply with the request or notice or invalidate an otherwise proper claim denial; and (iii) preventing an injured person’s policy limit from being unjustly depleted by providing that no payment is due for services to the extent the charges exceed the applicable fee schedules or when the services for which payment is requested were not rendered.

In 2015, Subpart 65-4 was amended (State Register February 4, 2015) to revise the fee structure awarded to attorneys who prevail in no-fault disputes on behalf of applicants.

• Amendment of Part 20 (Insurance Regulations 9, 18 and 29) (Brokers and Agents - General) of Title 11 NYCRR (State Register November 7, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 1109, 2103, 2104, 2109, 2112, 2119, 2120 and 2121.

Insurance Law Sections 2119 and 2120 require that an agent or broker keep records that reasonably demonstrate moneys collected from insureds and that those records demonstrate that the portion of those funds that are held on behalf of insurers represent net premiums (premiums paid less commissions earned). Insurance Law Section 2121 acknowledges that a broker, who traditionally represents the insured, will be an agent of the insurer who delivers a contract, for purposes of premium collection.

The amendment underscored the requirement that an insured’s payments to a Department licensee must be clearly identified in the agent’s or broker’s records and that those premiums, when so identified, will be deemed paid to the insurer for the protection of the insured. The amendment clarified the records that are necessary to keep the regulated parties in compliance with the law. This allows the licensee, the insurer, and the consumer to readily resolve questions and complaints without regulatory intervention.

• Adoption of Part 420 (Insurance Regulation 169) (Privacy of Consumer Financial and Health Information) of Title 11 NYCRR (State Register November 21, 2001).

Statutory Authority: Insurance Law Sections 201, 301, 308, 1505, 1608, 1712, 3217 and Article 24.

Title V of the Gramm-Leach-Bliley Act (“GLBA”), enacted into law by Congress as P.L. 106-102, required all “financial institutions” (including persons engaged in the insurance business) to comply with the privacy requirements contained therein. Pursuant to Section 505, Title V and regulations prescribed thereunder “shall be enforced. . . by the applicable State insurance authority. . . .” Failure by a state to establish rulemakings for privacy of consumer and customer financial information precludes the state from overriding the consumer protection regulations prescribed by a Federal banking agency under Section 45(a) of the Federal Deposit Insurance Act.

Section 501 of GLBA states that it “is the policy of the Congress that each financial institution has an affirmative and continuing obligation to respect the privacy of its customers and to protect the security and confidentiality of those customers’ nonpublic personal information.” The GLBA requires financial institutions to comply with certain obligations regarding disclosure of nonpublic personal information. State insurance authorities retain primary responsibility to regulate the activities of persons engaging in the business of insurance.

The rule assured that individual consumers and customers have an opportunity to prevent unwarranted disclosure of non-public personal financial and health information. Absent this rule, licensees of the Department would remain subject to the provisions of GLBA, but they would not have sufficient guidance to protect them from litigation challenging their attempts at compliance. In addition, consumers would not be adequately protected, because the Department would be unable to take action against licensees based upon violations of GLBA’s provisions.

Comments on Insurance rulemakings may be submitted to Camielle Barclay, Associate Attorney – [email protected]; (212) 480-5299; New York State Department of Financial Services, One State Street, New York, NY 10002.

3. BANKING RULEMAKINGS

The following Banking rulemakings were adopted in 2018:

There were no new Banking regulation amendments or adoptions in 2018.

The following Banking rulemakings were adopted in 2016:

• New Part 422 (Inspecting, Securing and Maintaining Vacant and Abandoned Residential Real Property)

a. Description of rule: This rule establishes rules necessary to implement Real Property Actions and Proceedings Law Section 1308.

b. Legal basis for the rule: Real Property Actions and Proceedings Law §§ 1306, 1308 and 1310.

c. Need for the rule: The rule is necessary to outline the informational and timing requirements for vacant and abandoned property reports required by Real Property Actions and Proceedings Law Sections 1308.

The following Banking rulemakings were adopted in 2011:

There were no new Banking regulation amendments or adoptions in 2011.

The following Banking rulemakings were adopted in 2006:

• Amendment of Part 6.8 of the General Regulations of the Superintendent (Superintendent’s Regulations: Additional Authority of Banks, Trust Companies, Savings Banks and Savings and Loan Associations Pursuant to Banking Law, Sections 14-g and 14-h: Overdraft Protection Charges)

a. Description of rule: This rule authorizes New York state-chartered banks, trust companies and thrift institutions to charge a daily overdraft or bounce protection fee on checks, other payment orders, or electronic transactions accepted or honored for which there are insufficient funds when an account does not have an overdraft line of credit pursuant to Section 108(5) of the Banking law or is not a linked account.

b. Legal Basis for the rule: Banking Law §§ 13.4, 14, 14-g and 14-h.

c. Need for rule: This rule is necessary to give New York state-chartered banks, trust companies and thrift institutions parity with national banks by providing them the ability to charge overdraft or bounce protection fees.

• Amendment of Part 6.9 of the General Regulations of the Superintendent (Superintendent’s Regulations: Additional Authority of Banks, Trust Companies, Savings Banks and Savings and Loan Associations Pursuant to Banking Law, Sections 14-g and 14-h: Merger of a Bank or Trust Company with a Nonbank Affiliate)

a. Description of rule: This rule permits New York state-chartered banks and trust companies to merge with non-bank affiliates with the bank or trust company as the surviving entity, to the same extent as national banks.

b. Legal Basis for the rule: Banking Law §§ 13.4, 14, 14-g and 14-h.

c. Need for rule: This rule is necessary to give New York state-chartered banks and trust companies parity with national banks by providing them the ability to merge with non-bank affiliates.

• Amendment of Part 6.10 of the General Regulations of the Superintendent (Superintendent’s Regulations: Additional Authority of Banks, Trust Companies, Savings Banks and Savings and Loan Associations Pursuant to Banking Law, Sections 14-g and 14-h: Investment in a Public Deposit Bank Subsidiary by a Savings Bank or Savings and Loan Association)

a. Description of rule: This rule permits New York state-chartered savings banks and savings and loan associations to invest in public deposit bank subsidiaries to same extent as federal thrift institutions.

b. Legal Basis for the rule: Banking Law §§ 13.4, 14, 14-g and 14-h.

c. Need for rule: This rule is necessary to give New York state-chartered savings banks and savings and loan associations parity with federal thrift institutions by providing them with the ability to charge overdraft or bounce protection fees.

• Amendment of Part 31 of the General Regulations of the Superintendent (Investments of Banks or Trust Companies in Certain Corporations: Atlantic Central Bankers Bank)

a. Description of rule: This rule permits New York state-chartered banks and trust companies to invest in the common stock of Atlantic Central Bankers Bank.

b. Legal Basis for the rule: Banking Law §§ 14.1(d) and 97.5.

c. Need for rule: This rule is necessary to give New York state-chartered banks and trust companies the ability to invest in the common stock of Atlantic Central Bankers Bank.

• Amendment of Part 32.1 of the General Regulations of the Superintendent (Maximum Charges for Payments Made Against Insufficient Funds, Uncollected Balances and Return Items: Certain Disclosures: Maximum Charges)

a. Description of rule: This rule provides New York state-chartered financial institutions guidance and limits regarding the charges that it may impose with respect to insufficient funds and return items.

b. Legal Basis for the rule: Banking Law §§ 14.1, 108.8, 202, 235-c and 383.13.

c. Need for rule: This rule is necessary to give New York state-chartered financial institutions clarity that the provisions pertaining to charges for checks subject to non-sufficient funds, return, and overdraft charges permit different charges to be imposed based on the type of the account, (e.g., consumer accounts, commercial accounts, etc.), to permit variation of the amount of such charges depending on whether the checks are paid, accepted or returned and to clarify that such charges all apply to electronic transactions and checks.

• Amendment of Part 32.1 of the General Regulations of the Superintendent (Maximum Charges for Payments Made Against Insufficient Funds, Uncollected Balances and Return Items: Certain Disclosures: Required Disclosures)

a. Description of rule: This rule states that New York state-chartered financial institutions must provide their depositors in writing the order in which it pays items drawn against a depositor’s account.

b. Legal Basis for the rule: Banking Law §§ 14.1, 108.8, 202, 235-c and 383.13.

c. Need for rule: This rule is necessary because it requires New York state-chartered financial institutions to provide notice to their depositors in writing the order in which it pays items drawn against a depositor’s account.

• Amendments of Part 41 of the General Regulations of the Superintendent (Restrictions and Limitations on High Cost Home Loans)

a. Description of rule: This rule outlines the restrictions and limitations imposed on lenders making high cost home loans pursuant to Banking 6-l.

b. Legal Basis for the rule: Banking Law §§ 6-i, 6-l,13 and 14.

c. Need for rule: This rule is necessary to conform the regulation to, and make it consistent, with Banking Law § 6-I which regulates the making of high cost home loans and establishes new penalties for violations of the law and certain remedies for homeowners who are affected by such violations.

• Amendments to Part 114 of the General Regulations of the Superintendent (Supervision and Regulation of Article XII Investment Company Holding Companies and Their Subsidiaries for Purposes of the European Union Financial Conglomerates Directive)

a. Description of rule: This rule sets forth the superintendent’s examination, supervision, regulation, and enforcement authority over certain financial conglomerates.

b. Legal Basis for the rule: Banking Law § 14, Article XII.

c. Need for rule: This rule clarifies the superintendent’s examination, supervision, regulation, and enforcement authority over certain financial conglomerates for purpose of carrying out equivalent supervision under the European Union Financial Conglomerates Directive.

• Amendments to Part 400 of the General Regulations of the Superintendent (Licensed Cashers of Checks)

a. Description of rule: This rule outlines the licensing requirements and business conduct of New York state licensed check cashers.

b. Legal Basis for the rule: Banking Law §§ 12, 37.3, 367, 371 and 372.

c. Need for rule: This rule implements and conforms Part 400 to changes in the Banking Law in relation to the cashing of checks for payees who are other than natural persons, additionally the rule incorporates the provisions of an earlier emergency regulation regarding the disclosure of check cashing fees.

• New Part 404 of the General Regulations of the Superintendent (Budget Planners/Delegation of Certain Activities)

a. Description of rule: This rule implements Article 12-C of the Banking Law regarding the licensing of Budget Planners in New York state and the Superintendent’s authorization to examine such licensees.

b. Legal Basis for the rule: Banking Law §§ 12 and 587.

c. Need for rule: This rule is needed to provide protection to debtors when a licensed budget planner utilizes a third party “outsourcer” in the process of paying debtor funds to creditors of the debtors.

The following Banking rulemakings were adopted in 2001:

There were no new Banking regulation amendments or adoptions in 2001.

Comments on Banking Rulemakings may be submitted to Christine Tomczak, Assistant Counsel – [email protected]; (212) 709-1642; New York State Department of Financial Services, One State Street, New York, NY 10002.

4. FINANCIAL SERVICES RULEMAKINGS

The following Financial Services rulemakings were adopted in 2018:

• Adoption of new Part 201 (Registration Requirements & Prohibited Practices for Credit Reporting Agencies) of Title 23 NYCRR (State Register July 3, 2018).

Statutory Authority: Financial Services Law Section 102, 201, 202, 301, 302 and 408

The rule was adopted to ensure that consumers and markets would be protected from unsafe and unsound practices of consumer credit reporting agencies and to ensure that those agencies would effectively address the ever-growing cybersecurity risks.

Comments on this rulemaking may be submitted to Eamon Rock, Assistant Counsel – [email protected]; (518) 402-3386; New York State Department of Financial Services, One Commerce Plaza, Albany, NY 12257.

There were no new or amended Financial Services rulemakings adopted in 2016 or 2011.