Selected Sections of the Rules of the Board of Regents (8 NYCRR)

Disclaimer:  Sections from the Rules of the Board of Regents are presented here for general informational purposes as a public service.  Although reasonable efforts have been made to ensure that these sections are current, complete and accurate, the State Education Department does not warrant or represent that this information is current, complete and accurate.  The rules are subject to change on a regular basis.  Readers are advised to consult  Title 8 of the Official Compilation of Codes, Rules and Regulations of the State of New York external link (8 NYCRR), published by the Department of State, and the State Registerexternal link for the official exposition of the text of these rules, as well as for amendments and any subsequent changes or revisions thereto.  

§3.20 Form of incorporation. The incorporation by the Regents, in accordance with the provisions of Education Law article 5, and of these rules, of colleges, universities and other post-secondary institutions of learning, of schools offering instruction at the levels from pre-kindergarten through secondary, and of libraries, museums and historical societies will be evidenced by the issuance of a charter. The incorporation of all other institutions and organizations having educational purposes deemed worthy of recognition and encouragement by the Regents will be evidenced by the issuance of a certificate of incorporation. All corporations created by the Regents, whether by the issuance of a charter or by the issuance of a certificate of incorporation, shall possess the corporate powers enumerated in and conferred by the charter or certificate of incorporation, together with those additional powers conferred by law upon corporations created pursuant to the provisions of the Education Law. (Last amended: 000000)

§3.21 Absolute charter. An absolute charter shall not be given to an institution, pursuant to section 216 of the Education Law, unless:

  1. in the judgment of the Regents such institution possesses resources and equipment available for its use and support and sufficient and suitable for its chartered purposes, and maintains an organization of usefulness and character satisfactory to the Regents, and
  2. in the case of an institution of higher or professional learning, including, but not limited to, colleges, universities, schools of law, medicine, dentistry, pharmacy, veterinary medicine, nursing, optometry, podiatry, chiropractic, architecture or engineering, the institution has submitted evidence in writing which, in the judgment of the Regents, makes it appear likely that the institution will be successful in achieving registration of its academic programs.

(Last amended: 000000)

§3.22 Provisional charter. A provisional charter shall be granted for a period not exceeding five years, but may be extended by the Regents, during which period the institution holding such charter shall have an opportunity to meet the requirements for an absolute charter. The institution shall have under such provisional charter all the powers, privileges and obligations that it would have under an absolute charter, except that it shall not have power to confer degrees. In the case of an institution of higher or professional learning, including, but not limited to, colleges, universities, schools of law, medicine, dentistry, pharmacy, veterinary medicine, nursing, optometry, podiatry, chiropractic, architecture or engineering, the institution shall submit evidence in writing which, in the judgment of the Regents, makes it appear likely that the institution will be successful in achieving registration of its academic programs. (Last amended: 000000)

§3.23 Application and fees. An education institution desiring incorporation or admission to the university or registration by the department shall file application giving the information required in such form and manner as shall be prescribed by the commissioner. The fee for a provisional charter shall be $100; for a Regents certificate of incorporation, $100; for an order of consolidation, $100; for an extension of a provisional charter, $60; for an absolute charter, $60; for an amendment of a charter, $60; and for an order dissolving a Regents corporation, $60. The fee, which shall accompany the filing of a request for the commissioner’s consent to the filing with the Secretary of State of a certificate of incorporation, a certificate of amendment of a certificate of incorporation, an application for authority to do business in New York, a certificate of dissolution of a corporation, or a certificate of merger of a corporation, or for a waiver of the need to secure such consents, shall be $20 for business corporations and $10 for not-for-profit corporations.
(Last amended: 000000)
Note: Additional information concerning commissioner’s consent to the filing with the Secretary of State is available on this web site.

§3.24 Execution of charters, decrees and certificates. The action of the Regents in incorporating institutions, changing their corporate names, altering, suspending or revoking their charters, dissolving their corporate existence, approving transfers of their property, approving the acceptance of conditional gifts, and all similar acts of the Regents shall, in addition to the record of their proceedings, be evidenced by charters, decrees, certificates or other appropriate instruments, which shall be executed by and in behalf of the university under its seal, be attested by the official signatures of the chancellor or the vice chancellor, or the senior Regent, and of the president, and a photostat copy thereof shall be filed in the office of the president as a public record. (Last amended: 000000)

§3.25 Representations as to corporate status. An institution or organization to which a charter, either provisional or absolute, or a certificate of incorporation has been issued by the Regents, shall make no statement as to its corporate status in its publications, letterheads, advertising or promotional material or other written materials prepared for distribution to or for the information of the public, except as follows:

  1. An institution or organization to which a provisional charter has been issued may make the statement “Provisionally chartered by the Regents of the University of the State of New York.”
  2. An institution or organization to which an absolute charter has been issued may make the statement “Chartered by the Regents of the University of the State of New York.”
  3. An institution or organization to which a certificate of incorporation has been issued may make the statement “Incorporated under the New York State Education Law.”

(Last amended: 000000)

§3.26 Consent to incorporation. [Additional statutory authority: Education Law §216] The commissioner, pursuant to Education Law section 216, may consent to the formation of a corporation under the Business Corporation Law, and to the amendment of the certificate of incorporation of a corporation so formed, whose purposes include the operation of a school or schools offering instruction in any of the grades one through 12, including instruction for the handicapped, or offering instruction at the kindergarten or prekindergarten level, if the proposed certificate of incorporation or amendment thereof specifically states that:

  1. The corporation and any school or educational program which it may conduct shall be subject to and comply with all of the statutory provisions, rules of the Regents and regulations of the commissioner which would be applicable to a corporation created by the Regents pursuant to section 216 of the Education Law for the same purpose or purposes.
  2. Within 30 days after receipt by the corporation of an order of the Board of Regents directing such action, the holders of a majority of all the outstanding shares of the corporation entitled to vote upon an amendment of the certificate of incorporation will cause to be filed with the Secretary of State a certificate of amendment to the certificate of incorporation deleting therefrom all provisions authorizing the corporation to operate such a school or schools, and changing the corporate name, if necessary, to delete therefrom any word or words which indicate that the corporation operates such a school or schools. Such an order of the Board of Regents shall be made only upon the same grounds and after the same procedures as are applicable to the revocation of a charter granted by the Regents pursuant to section 216 of the Education Law for the purpose of authorizing the corporation thereby created to operate a school or schools.

§3.27 Chartering and registration of museums and historical societies with collections.

(a) Definitions. Whenever used in this section, the following terms shall have the meanings indicated:

(1) Museum means an organized not-for-profit institution, including but not limited to halls of fame, zoos, aquariums, botanical gardens and arboretums, that is essentially educational or aesthetic in purpose, with professional staff, which ordinarily owns, exhibits, maintains, and/or utilizes artifacts, art, and/or specimens, including non-tangible electronic, video, digital and similar art, cares for them, and exhibits them to the public on some regular schedule.

(2) Historical society with collections means an organized not-for-profit institution, with purposes limited to a reasonable and clearly defined geographical area or to one or more specific subjects of interest, which gathers, preserves, advances or disseminates knowledge about the past through research, collections acquisition and management, preservation and/or interpretation, which carries on educational and public programs on a regular schedule, which makes its programs and resources accessible to the public, and which is appropriately and professionally staffed by paid and/or volunteer personnel who possess sufficient training and knowledge to meet the requirements of its mission and the needs of its collections.

(3) Institution means a museum or historical society with collections formed by the Board of Regents or otherwise incorporated as an education corporation under the laws of the State of New York.

(4) Accessible means the extent to which the institution ensures that its collections, interpretation, public and educational programming, and physical plant are reasonably convenient for the public to use, understand and enjoy.

(5) Accession means: (a) adding an object to an institution's collection or (b) the act of recording/processing an addition to an institution's collection.

(6) Catalogue means the systematic classification of objects or specimens in the collection according to accepted museological practice.

(7) Collection means one or more original tangible objects, artifacts, records or specimens, including art generated by video, computer or similar means of projection and display, that have intrinsic historical, artistic, cultural, scientific, natural history or other value that share like characteristics or a common base of association and are accessioned; for purposes of this section, historic structures owned by an institution shall be considered as part of a collection when so designated by the institution;

(8) Collection care means the responsibility and function of an institution that involves developing and implementing policies and procedures to protect the long-term integrity of objects, artifacts, records and specimens, as well as their associated data and documentation, for use in research, education and exhibits.

(9) Collection management means the responsibility and function of an institution, through its collections managers, subject specialists, curators, and other institutional administrators to foster the preservation, accessibility, and utility of the institution's collections and associated data, including recommending and implementing policy with respect to: artifact, record or specimen acquisition, collection growth, and deaccessioning; planning and establishing collection priorities; obtaining, allocating, and managing resources; and coordinating collection processes with the needs of curation, preservation, and collection use.

(10) Deaccession means: (a) removing an object from an institution's collection or (b) the act of recording/processing a removal from an institution's collection.

(11) Diversity means broadly inclusive participation in every aspect of governance, staff, operations and programs to represent the community and constituency served in terms of race, ethnicity, gender, economic background and geography.

(12) Education/public programs and exhibitions means the full range of mission-related educational activities in which the institution engages, to promote understanding and appreciation of a subject, and to support life-long learning.

(13) Hours of Operation means publicly stated and promoted regular hours during which the public has reasonably convenient access to the institution's education/public programs and exhibitions.

(14) Interpretation means the ways that the institution uses its collections, exhibits, and research to communicate meaning to the public

(15) Mission Statement means a statement modeled on and derived from the institution’s corporate purposes, as set forth in its charter or certificate of incorporation, that identifies the benefits derived from the institution’s activities.

(16) Operating budget means the amount of annual income or expenditures of the institution, excluding funds raised for capital improvements, funds received or designated for addition to endowments and funds raised or obtained from sale of collections.

(17) Professional staff means at least one paid employee who commands an appropriate body of special knowledge in the area for which he or she is employed, and the ability to reach museological decisions consonant with the experience of his/her peers and apply accepted standards of practice, and who also has access to and acquaintance with the expertise, best practices, literature and scholarship of the field; provided, however, that a museum with an operating budget of $100,000 or less shall be appropriately and professionally staffed by paid and/or volunteer personnel who possess sufficient training and knowledge to meet the requirements of its mission and the needs of its collections.

(18) Public trust means the responsibility of institutions to carry out activities and hold their assets in trust for the public benefit.

(19) Research means a studious inquiry conducted in support of an institution's stated purposes in order to bring to light new facts or to confirm or revise accepted conclusions.

(b) Requirements for museum and historical society chartering.

(1) Provisional charters. To be eligible for a provisional charter, a museum or historical society with collections shall submit to the Board of Regents a petition for a provisional charter together with evidence in writing which, in the judgment of the Board of Regents, makes it appear likely that the institution will be successful in achieving registration.

(2) Absolute charters. To be eligible for an absolute charter, a museum or historical society with collections shall submit a petition for an absolute charter together with evidence in writing establishing, in the judgment of the Board of Regents, the institution's compliance with the provisions of this section, including, but not limited to, the general requirements for museums and historical societies with collections under subdivision (c) of this section and the provisions for registration under subdivision (d) of this section.

(c) General requirements for museums and historical societies with collections. Each institution shall meet the following requirements:

(1) Organization. The institution shall:

(i) be in compliance with all applicable local, state, and federal laws and regulations; and

(ii) maintain a mailing address within New York State adequate for legal service;

(2) Mission. The institution shall:

(i) develop and adopt a written mission statement;

(ii) prioritize its activities to meet its mission statement; and

(iii) review, and revise as necessary, its mission statement at least every 5 years.

(3) Governance. The institution shall:

(i) have a board-approved set of by-laws and/or constitution;

(ii) have a board of trustees of which no more than one-third (1/3) of the members are related to each other by birth, marriage or domicile;

(iii) where there is a relationship between the institution and another corporation, society, organization, institution or association, in which the institution and the other entity are related by common membership, governing bodies, trustees, officers, shared finances, collections or facilities, the institution shall have a board of trustees of which no more than one-third (1/3) are officers and/or directors of the other entity at the same time, provided that this provision shall not apply to any unit of government; and

(iv) have a written, board-approved code of ethics applicable to trustees, administrators and staff and volunteers that addresses issues of public trust, conflict of interest and is reviewed each year.

(4) Finance. The institution shall:

(i) prepare an annual budget and financial statements that are regularly reviewed by the board;

(ii) have formal financial policies and maintain written records of financial transactions and reports pursuant to generally accepted accounting practices;

(iii) appoint a board-constituted audit committee, composed of a minimum of three board members other than the treasurer and president, to review the institution's financial transactions and reports; this requirement shall apply to every institution regardless of the size of its operating budget and regardless of whether the institution has conducted a financial review pursuant to subparagraph (iv) of this paragraph;

(iv) conduct a financial review in accordance with the following:

(a) if its annual operating budget exceeds $250,000, the institution shall cause to be conducted annually an independent audit by a certified public accountant, which shall include the auditor's report and the auditor's written opinion that the financial statements are presented fairly in all material respects and in conformity with generally accepted accounting principles applicable to not-for-profit organizations;

(b) if its annual operating budget is at least $100,000 but no more than $250,000, the institution shall cause to be conducted annually an independent review by a certified public accountant in conformity with generally accepted accounting principles applicable to not-for-profit organizations;

(c) if the annual operating budget of an institution is below $100,000, no independent audit or review shall be required; provided that nothing herein shall relieve an institution of its responsibility to appoint an audit committee to review the institution's financial transactions, pursuant to subparagraph (iii) of this paragraph;

(v) conduct its financial affairs in such a way that it does not jeopardize the ownership or integrity of its collection or any portion thereof; and

(vi) have obtained and continue to maintain, or shall have filed an application for, tax-exempt status under section 501(c)(3) or other section, as applicable, of the Internal Revenue Code or the corresponding provision of any future United States Internal Revenue Law.

(5) Facilities. The institution shall:

(i) have a physical plant that is accessible to individuals with disabilities to the extent required by law;

(ii) have adopted emergency action and disaster preparedness plans appropriate for the institution's facilities, exhibits and collections;

(iii) ensure that the physical plant is adequately insured; and

(iv) ensure that any structure or facility owned or leased by the institution that houses offices, classrooms, exhibits or collections is equipped with an adequate, working alarm system for detection of fire, smoke and intruders.

(6) Collections Care and Management. The institution shall:

(i) own, maintain and/or exhibit original tangible objects, artifacts, records, specimens, buildings, archeological remains, properties, lands and/or other tangible and intrinsically valuable resources that are appropriate to its mission;

(ii) ensure that the acquisition and deaccessioning of its collection is consistent with its corporate purposes and mission statement; 

(iii) have a written collections management policy providing clear standards to guide institutional decisions regarding the collection, that is in regular use, available to the public upon request, filed with the Commissioner for inspection by anyone wishing to examine it; and which, at a minimum, satisfactorily addresses the following subject areas:

(a) Acquisition. The criteria and processes used for determining what items are added to the collections;

(b) Loans. The criteria and processes used for borrowing items owned by other institutions and individuals, and for lending items from the collections;

(c) Preservation. A statement of intent to ensure the adequate care and preservation of collections;

(d) Access. A statement indicating intent to allow reasonable access to the collections by persons with legitimate reasons to access them; and

(e) Deaccession. The criteria and process (including levels of permission) used for determining what items are to be removed from the collections, and a statement limiting the use of any funds derived therefrom in accordance with subparagraph (vii) below;

(iv) ensure that collections or any individual part thereof and the proceeds derived therefrom shall not be used as collateral for a loan;

(v) ensure that collections shall not be capitalized; and

(vi) ensure that proceeds derived from the deaccessioning of any property from the institution's collection be restricted in a separate fund to be used only for the acquisition, preservation, protection or care of collections. In no event shall proceeds derived from the deaccessioning of any property from the collection be used for operating expenses or for any purposes other than the acquisition, preservation, protection or care of collections.

(7) Education and Interpretation. The institution shall offer programmatic accommodation for individuals with disabilities to the extent required by law.

(d) Requirements for registration of museums and historical societies with collections. An institution shall be deemed registered upon the granting of an absolute charter. To be eligible for registration, an institution shall meet the requirements for an absolute charter pursuant to subdivision (b) of this section and the following additional requirements:

(1) Organization. The institution shall:

(i) have been chartered, incorporated or in operation a minimum of five years;

(ii) have sufficient financial and physical resources to achieve its mission and meet the standards prescribed in this section; and

(iii) be open and accessible to the public on a regular basis, provided that institutions having an operating budget in excess of $100,000 per year shall be open to the public a minimum of 1,000 hours of operation per year.

(2) Governance. The institution shall:

(i) organize its governing authority, staff, financial resources, collections, public programs and other activities to effectively achieve its mission statement and fulfill its public trust obligations; and

(ii) effectively advance diversity of membership and participation in the institution's mission;

(3) Finance. The institution shall have obtained, and continue to maintain, tax-exempt status under section 501(c)(3) or other section, as applicable, of the Internal Revenue Code or the corresponding provision of any future United States Internal Revenue Law.

(4) Facilities. The institution shall:

(i) own or occupy through lease or other legally enforceable agreement safe, well-maintained and accessible facilities; any lease or agreement shall be sufficiently long as to be convenient for the public and accommodate the institution’s need for operational stability;

(ii) ensure that the physical plant is adequately maintained; and

(iii) ensure that any historic structure owned by the institution that is eligible for or listed on the State and/or National Registers of Historic Places will be restored and/or maintained according to accepted historic preservation practices.

(5) Education and Interpretation. The institution shall:

(i) use its collections to present programs, publications, and exhibitions that are consistent with the organization’s mission, based upon the highest standards of scholarship and offered to as broad a segment of the population served as possible, with consideration given to the learning styles of the audiences to be served;

(ii) present regularly scheduled, publicly stated and promoted programs and exhibits that are intrinsically educational and that use and interpret collections for the public’s benefit;

(iii) employ a variety of presentation and teaching techniques that acknowledge the ways audiences gather information and learn; and

(iv) ensure that any school programs conducted by the institution shall be based on the appropriate State learning standards, and with input from teachers and/or other educators.

(e) Annual reports. Each institution shall file with the Commissioner an annual report, in a form prescribed by the Commissioner, which records the educational and cultural activities of the institution and presents an accurate statement of all financial operations.

(f) Use of names.

(1) The name of the institution shall be consistent with and clearly indicative of its purpose, and shall not be identical with or so similar to the name of any existing entity as to cause confusion between the institution and any other entity incorporated under the laws of New York.

(2) The terms "National," "American," "United States," "World," "International," and similar geographically descriptive terms shall not be used in a corporate name unless the institution seeking to use such term can demonstrate that: (i) the institution has such coverage, scope of collections, breadth of exhibits, broad representation and sufficient recognition to warrant such term in the corporate name; or (ii) such term is used in a context that does not imply a geographical area that is served by the institution.

(3) No museum or historical society with collections shall use the word "library" and no historical society with collections shall use the word "museum" in connection with its operations unless authority to operate a library or museum is conferred by the charter of the museum or society and the library or museum operation meets the requirements of the Rules of the Board of Regents and the Regulations of the Commissioner of Education with respect to the operation and registration of a library or museum; provided that such prohibition with respect to the operation of a library shall not apply to collections of books and/or other materials maintained for reference use and not for public circulation.

(g) Dissolution. A museum or historical society with collections shall comply with all applicable state statutes, rules and regulations relating to dissolution and distribution of assets, and shall not disband or dissolve, nor distribute, spend down or otherwise dispose of its assets, except as provided thereunder.

§3.28 Amendment of charters to eliminate restrictions upon the admission of students of a particular sex. The charter of any institution of higher education, if issued by the Regents or by special act of the Legislature, which provides that admission to the institution shall be limited on the basis of sex shall, after approval by the commissioner of a plan for the admission of students of the opposite sex, including facilities, staff and program, and upon the filing with the Board of Regents of a resolution duly adopted upon the affirmative vote of no fewer than three-fourths of the whole number of trustees, deleting such limitation, be deemed to be amended accordingly.

§3.29 Use of the terms “college” and “university”. (a) No individual proprietorship, association, co-partnership or corporation, other than the State University of New York and the City University of New York and their respective component institutions, a community college as defined in section 6301 of the Education Law, and an institution chartered by the Regents or by special act of the Legislature for the purpose of offering registered undergraduate and/or graduate courses of study creditable toward a degree, shall use the words “college” or “university” in its name.

(b) This section shall not apply to corporations which are now using the word “college” in their corporate names and which had used the word “college” in their corporate names prior to the enactment of chapter 378 of the Laws of 1892, or to individual proprietorships, associations, co-partnerships or corporations which do not offer educational programs and whose name includes the word “college” or “university” in a context from which it clearly appears that such entity is not an educational institution.

(c) The commissioner, pursuant to Education Law section 216, may consent to the amendment of the certificate of incorporation of a corporation formed under the Business Corporation Law, whose purposes include the operation of a program or programs of postsecondary education, to include the word “college” in the corporate name, provided that:

  1. such corporation has been authorized by the Board of Regents to issue one or more academic degrees;
  2. the program or programs leading to such authorized degree or degrees have been registered by the Department;
  3. such corporation possesses full and current accreditation by an appropriate regional collegiate accrediting association acceptable to the commissioner;
  4. the corporation and any school or educational program which it may conduct shall be subject to and comply with all of the statutory provisions, rules of the Regents and regulations of the commissioner which would be applicable to a corporation created by the Regents pursuant to section 216 of the Education Law for the same purpose or purposes; and
  5. the proposed amendment of the certificate of incorporation specifically states that within thirty days after receipt by the corporation of an order by the Board of Regents directing such action, the holders of the majority of all the outstanding shares of the corporation entitled to vote upon an amendment of this certificate of incorporation will cause to be filed with the Secretary of State a certificate of amendment to the certificate of incorporation changing the corporate name to delete therefrom the word “college.” Such an order of the Board of Regents shall be made upon a finding that the corporation does not comply with one or more of the requirements of paragraphs (1) through (4) of this subdivision.

§3.30 Incorporation and registration of historical societies without collections and cultural agencies.

(a) Definitions. Whenever used in this section, the following terms shall have the meanings indicated:

(1) Historical society without collections means an organized not-for-profit corporation, with purposes limited to a reasonable and clearly defined geographical area or to one or more specific subjects of interest, which gathers, preserves, advances or disseminates knowledge about the past through research or interpretation, which carries on education and public programs on a regular schedule, which makes its programs and resources available to the public, and which is not authorized to own or hold collections, as defined in section 3.27(a)(7) of this Part, except to borrow items owned by others for brief periods of time for purposes of study or short-term, temporary exhibition.

(2) Cultural agency means an organized not-for-profit corporation, other than a museum or historical society, organized for the promotion of science, literature, art, history or other department of knowledge, or of education in any way; a friends group organized specifically to serve and support museums, historical societies, State, federal or local historic sites, or to serve and support any similar corporation chartered or incorporated by the Regents; an association of teachers, students, graduates of educational institutions; or an institution or association whose approved purposes are, in whole or in part, of educational or cultural value deemed worthy of recognition and encouragement by the Regents; and which is not authorized to own or hold collections, as defined in section 3.27(a)(7) of this Title, except to borrow items owned by others for brief periods of time for purposes of study or short-term, temporary exhibition.

(3) Corporation means a historical society without collections, or a cultural agency, formed by the Board of Regents or otherwise incorporated as an education corporation under the laws of the State of New York.

(4) Accessible means the extent to which the corporation ensures that its exhibits, interpretation, public and educational programming, and physical plant are reasonably convenient for the public to use, understand and enjoy.

(5) Diversity means broadly inclusive participation in every aspect of governance, staff, operations and programs to represent the community and constituency served in terms of race, ethnicity, gender, economic background and geography.

(6) Education means the full range of mission-related educational activities in which the corporation engages, to promote understanding and appreciation of a subject, and to support life-long learning.

(7) Hours of operation means publicly stated and promoted regular hours during which the public has reasonably convenient access to the corporation's public programs and exhibitions.

(8) Interpretation means any activity directed toward the enlightenment of the public concerning the significance of the event, object, structure, site, area, activity or other subject matter served by the society.

(9) Mission Statement means a statement modeled on and derived from the corporation’s purposes, as set forth in its certificate of incorporation, that identifies the benefits derived from the corporation’s activities.

(10) Operating budget means the amount of annual income or expenditures of the corporation, excluding funds raised for capital improvements and funds received or designated for addition to endowments.

(11) Public trust means the responsibility of institutions to carry out activities and hold their assets in trust for the public benefit.

(b) Requirements for incorporation. An historical society without collections or a cultural agency shall be incorporated by means of a certificate of incorporation issued by the Regents. To be eligible for a certificate of incorporation, the historical society without collections or cultural agency shall submit to the Board of Regents a petition for a certificate of incorporation together with evidence in writing which, in the judgment of the Board of Regents, establishes that the corporation meets the requirements of this section and makes it appear likely that the proposed corporation will be successful in fulfilling its purpose.

(c) Registration of a historical society without collections or a cultural agency. An historical society without collections or a cultural agency shall be deemed registered upon the granting of a certificate of incorporation by the Board of Regents. To be eligible for registration, a historical society without collections or a cultural agency shall meet the requirements for incorporation under subdivision (b) of this section and the following requirements:

(1) Organization. The corporation shall:

(i) be in compliance with all applicable local, state, and federal laws and regulations;

(ii) maintain a mailing address within New York State adequate for legal service; and

(iii) be open and accessible to the public on a regular basis, provided that corporations having an operating budget in excess of $100,000 per year shall be open to the public a minimum of 1,000 hours of operation per year.

(2) Mission. The corporation shall develop and adopt a written mission statement; shall prioritize its activities to meet its mission statement; and shall have a process to review, and revise, as necessary, its mission statement at least every five years.

(3) Governance. The corporation shall:

(i) organize its governing authority, staff, financial resources, collections, public programs and other activities to effectively achieve its mission statement and fulfill its public trust obligations;

(ii) have leadership that shall consist of at least one person, paid or unpaid, who commands an appropriate body of knowledge and the ability to plan and implement programs which are of educational benefit to the public and which reflect the purpose of the corporation;

(iii) have a board-approved set of by-laws and/or constitution;

(iv) have a board of trustees of which no more than one-third (1/3) of the members are related to each other by birth, marriage or domicile;

(v) Where there is a relationship between the corporation and another corporation, society, organization, institution or association, in which the corporation and the other entity are related by common membership, governing bodies, trustees, officers, shared finances, collections or facilities, the corporation shall have a board of trustees of which no more than one-third (1/3) are officers and/or directors of the other entity at the same time, provided that this provision shall not apply to any unit of government;

(vi) have a written, board-approved code of ethics applicable to trustees, administrators and staff and volunteers that addresses issues of public trust, conflict of interest and is reviewed each year; and

(vii) effectively advance diversity of membership and participation in the corporation's mission;

(4) Finances. The corporation shall:

(i) have sufficient income and assets to carry out the purposes for which it was established;

(ii) prepare an annual budget and financial statements that are regularly reviewed by the board;

(iii) have formal financial policies and maintain written records of financial transactions and reports pursuant to generally accepted accounting practices;

(iv) appoint a board-constituted audit committee, composed of a minimum of three board members other than the treasurer and president, to review the corporation’s financial transactions and reports; this requirement shall apply to every corporation regardless of the size of its operating budget and regardless of whether the corporation has conducted a financial review pursuant to subparagraph (v) of this paragraph;

(v) conduct a financial review in accordance with the following:

(a) if its annual operating budget exceeds $250,000, the corporation shall cause to be conducted annually an independent audit by a certified public accountant, which shall include the auditors report and the auditor's written opinion that the financial statements are presented fairly in all material respects and in conformity with generally accepted accounting principles applicable to not-for-profit organizations;

(b) if its annual operating budget is at least $100,000 but no more than $250,000, the corporation shall cause to be conducted annually an independent review by a certified public accountant in conformity with generally accepted accounting principles applicable to not-for-profit organizations;

(c) if the annual operating budget of an corporation is below $100,000, no independent audit or review shall be required; provided that nothing herein shall relieve a corporation of its responsibility to appoint an audit committee to review the corporation's financial transactions, pursuant to subparagraph (iv) of this paragraph;

(vi) have obtained, and continue to maintain, tax-exempt status under section 501(c)(3) or other section, as applicable, of the Internal Revenue Code or the corresponding provision of any future United States Internal Revenue Law;

(5) Facilities. The corporation shall:

(i) have physical facilities adequate for their purposes;

(ii) have facilities owned or occupied through lease or other legally enforceable agreement; such facilities shall be safe, well-maintained and accessible; any lease or agreement shall be sufficiently long as to be convenient for the public and accommodate the corporation’s need for operational stability;

(iii) have a physical plant that is accessible to individuals with disabilities to the extent required by law;

(iv) adopt emergency action and disaster preparedness plans appropriate for the corporation's facilities;

(v) ensure that the physical plant is adequately maintained and adequately insured;

(vi) provide adequate security for its natural sites and physical facilities, and ensure that any structure or facility owned or leased by the corporation that houses offices, classrooms or exhibits is equipped with an adequate, working alarm system for detection of fire, smoke and intruders; and

(vii) ensure that any historic structure owned by the corporation that is eligible for or listed on the State and/or National Registers of Historic Places will be restored and/or maintained according to accepted historic preservation practices;

(6) Collections. A historical society without collections or a cultural agency shall not be authorized to acquire, accession or own collections. In the event such corporation acquires, accessions or owns collections, for any reason, the corporation and such collections shall be treated and be subject to the provisions of section 3.27 of this Part with respect to collections, in particular, but not limited to, section 3.27(c)(6) and any applicable definitions in section 3.27(a) of this Part.

(7) Education and Interpretation. The corporation shall:

(i) ensure that its interpretation shall reflect the stated purpose of the corporation and shall be of educational benefit to the public;

(ii) ensure that its programs, publications, and exhibitions are consistent with the organization’s mission, based upon the highest standards of scholarship and offered to as broad a segment of the population served as possible, with consideration given to the learning styles of the audiences to be served;

(iii) present regularly scheduled, publicly stated and promoted programs and exhibits that are intrinsically educational for the public’s benefit;

(iv) maintain hours of operation that provide reasonably convenient access for the public to the corporation's public programs and exhibitions;

(v) employ a variety of presentation and teaching techniques that acknowledge the ways audiences gather information and learn;

(vi) offer programmatic accommodations for individuals with disabilities to the extent required by law; and

(vii) ensure that any school programs conducted by the corporation shall be based on the appropriate State learning standards, and with input from teachers and/or other educators.

(d) Annual reports. The corporation shall file with the commissioner an annual report, in a form prescribed by the commissioner, which records the educational and cultural activities of the corporation and presents an accurate financial statement of its operations.

(e) Use of names.

(1) The name of the corporation shall be consistent with and clearly indicative of its purposes, and shall not be identical with or so similar to the name of any existing entity as to cause confusion between the corporation and any other entity incorporated under the laws of New York.

(2) The terms "National," "American," "United States," "World," "International," and similar geographically descriptive terms shall not be used in a corporate name unless the corporation seeking to use such term can demonstrate that: (i) the corporation has such coverage, scope of collections, breadth of exhibits, broad representation and sufficient recognition to warrant such term in the corporate name; or (ii) such term is used in a context that does not imply a geographical area that is served by the corporation.

(3) No historical society without collections or cultural agency shall use either the words "library" or " museum" in connection with its operations unless authority to operate a library or museum is conferred by the charter of the society or agency and the library or museum operation meets the requirements of the Rules of the Board of Regents or the Regulations of the Commissioner of Education with respect to the operation and registration of a library or museum; provided that such prohibition with respect to the operation of a library shall not apply to collections of books and/or other materials maintained for reference use and not for public circulation.

(f) Dissolution. An historical society without collections or a cultural agency shall comply with all applicable State statutes, rules and regulations relating to dissolution and distribution of assets, and shall not disband or dissolve, nor distribute, spend down or otherwise dispose of its assets except as provided thereunder.

3.31 Removal of Trustees. The provisions of this section shall apply to a proceeding pursuant to Education Law section 226(4) for the removal of a trustee or trustees of a corporation ("institution") 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.

(a) Initiation of proceeding. An application seeking removal shall be made upon either a verified petition brought by a petitioner who is aggrieved by the actions of the trustee or trustees, or upon a proceeding brought by the Board of Regents of its own initiative. In the event such proceeding is instituted by the Board of Regents, it shall be commenced upon a vote by the Board and service of an order to show cause, and thereafter the procedure as set forth in this section shall be followed so far as applicable.

(b) Parties. The party making an application upon a verified petition shall be known as petitioner and any adverse party, as respondent. After an application is made in accordance with these rules, no party shall be joined or be permitted to intervene, except by leave or direction of the Board of Regents as provided herein.

(c) Pleadings.

(1) Types of pleadings. There shall be a petition, an answer, and, if new material is alleged in the answer, a reply thereto. No other pleading will be permitted, except as provided in paragraph (2) of this subdivision.

(2) Additional pleadings. The Counsel and Deputy Commissioner for Legal Affairs of the State Education Department ("the Counsel") may permit or require the service and filing of additional pleadings upon such terms and conditions as he or she may specify. An additional pleading may be served upon all other parties and filed with the office of counsel only with the prior written permission of the Counsel, granted upon application of the party desiring to submit such pleading. The proposed pleading shall accompany such application, and both the application and the proposed pleading shall be served upon all other parties in accordance with subdivision (g) of this section.

(3) Form of pleadings. All pleadings and affidavits shall be submitted in typewritten form, double spaced, on white paper 8 ½ by 11 inches in size, and shall set forth the allegations of the parties in numbered paragraphs. Such pleadings shall be addressed "To the Board of Regents of the University of the State of New York/ State Education Department", and shall be filed in accordance with the provisions of subdivision (h) of this section.

(d) Names of parties or attorneys to be endorsed on all papers. All pleadings and papers submitted to the Board of Regents in connection with an application seeking removal shall be endorsed with the name, post office address and telephone number of the party submitting the same, or, if a party is represented by counsel, with the name, post office address and telephone number of such party's attorney.

(e) Verification.

(1) All pleadings shall be verified. The petition shall be verified by the oath of at least one of the petitioners. An answer shall be verified by the oath of the respondent submitting such answer. If two or more respondents are united in interest, verification of the answer shall be made by at least one of them who is familiar with the facts.

(2) Affidavit of verification. The affidavit of verification shall be in the following form:

STATE OF NEW YORK )
  ) ss.:
COUNTY OF . . . . . )

 

. . . . . . . . . . . . . . . . . being duly sworn, deposes and says that (s)he is . . . . . . . . . . . . . in this proceeding; that (s)he has read the annexed . . . . . . . . . . . . and knows the contents thereof; that the same is true to the knowledge of deponent except as to the matter therein stated to be alleged upon information and belief, and as to those matters (s)he believes it to be true.

. . . . . . . . . . . . . . .

(signature)

Subscribed and sworn to before me

this . . . . day of . . . 20. . .

. . . . . . . . . . . . . . . . .

(signature and title of officer)

(f) Oaths. All oaths required by this section may be taken before any person authorized to administer oaths within the State of New York. The statement of an attorney admitted to practice in the courts of this State and appearing in an appeal as attorney of record or of counsel to the attorney of record, when subscribed and affirmed by him to be true under the penalty of perjury, may be served or filed in the appeal in lieu of and with the same force and effect as an affidavit.

(g) Service of pleadings and supporting papers.

(1) Petition. A copy of the petition, together with all of the petitioner's affidavits, exhibits, and other supporting papers, except a memorandum of law or affidavit in support of a reply, shall be personally served upon each named respondent, or, if a respondent cannot be found upon diligent search, by delivering and leaving the same at such respondent's residence with some person of suitable age and discretion, between six o'clock in the morning and nine o'clock in the evening, or as otherwise directed by the Counsel. Pleadings may be served by any person not a party to the proceeding and who is over the age of 18 years.

(2) Subsequent pleadings and papers. All subsequent pleadings and papers shall be served upon the adverse party, or if the adverse party is represented by counsel, upon such party's attorney. When the same attorney appears for two or more parties, only one copy need be served upon such attorney. Service of all pleadings subsequent to the petition shall be made by personal service, by United States mail or by private express delivery service. Service by mail shall be complete upon deposit of the paper enclosed in a postpaid properly addressed wrapper, in a post office or official depository under the exclusive care and custody of the United States Postal Service within the state. Service by private express delivery service shall be complete upon delivery of the paper enclosed in a properly addressed wrapper to an employee or agent of such private express delivery service or by deposit of such paper, properly addressed and wrapped, in a depository of such private express delivery service within the state. If the last day for service of any pleading or paper subsequent to the petition falls on a Saturday or Sunday, service may be made on the following Monday; and if the last day for such service falls on a legal holiday, service may be made on the following business day.

(h) Filing and fee.

(1) Within five days after the service of any pleading or paper, the original, together with the affidavit of verification and an affidavit proving the service of a copy thereof, shall be transmitted to the Office of Counsel, New York State Education Department, State Education Building, Albany, New York 12234. The affidavit of service shall be in substantially the following form and shall indicate the name and official character of the person upon whom service is made:

FORM FOR AFFIDAVIT OF
PERSONAL SERVICE

STATE OF NEW YORK )
  ) ss.:
COUNTY OF . . . . . )

 

. . . . . . . . . . . . . . . . being duly sworn, deposes and says that (s)he is over the age of eighteen years and is not a party in this proceeding; that on the . . . . day of . . . . . ., 20. . ., at No. . . . . . . Street, in the (city/village/town) of . . . . , county of . . . . ., State of New York, (s)he served the annexed . . . . . . . . on . . . . . . . . by delivering to and leaving with said . . . . . . . at said time and place a true copy thereof.

Deponent further says (s)he knew the person so served to be the said . . . . . . . . ., who is . . . . . . . . in said district.

 

. . . . . . . . . . . . . .  . . . . . .

(Signature)

Subscribed and sworn to before me

this . . . . day of . . . . , 20. . .

. . . . . . . . . . . . . . . . . . .

(Signature and title of officer)

FORM FOR AFFIDAVIT OF
SERVICE BY MAIL

STATE OF NEW YORK )
  ) ss.:
COUNTY OF . . . . . )

 

. . . . . . . . . . . . ., being duly sworn, deposes and says that (s)he is over the age of eighteen years and is not a party in this proceeding; that on the . . . . day of . . . . . ., 20. . ., deponent served the within . . . . . . . . upon . . . . . . in this action, at . . . . . . ., the address designated by . . . . for that purpose, by depositing a true copy of the same by mail, enclosed in a post paid properly addressed wrapper, in . . . . . . a post office . . . . . . . . . official depository under the exclusive care and custody of the United States Post Office Department within the State of New York.

. . . . . . . . . . . . . .  . . . . . .

(Signature)

Subscribed and sworn to before me

this . . . day of . . . . .20. . .

. . . . . . . . . . . . . . . . . . . . .

(Signature and title of officer)

FORM FOR AFFIDAVIT OF SERVICE OF

PRIVATE EXPRESS DELIVERY SERVICE

STATE OF NEW YORK )
  ) ss.:
COUNTY OF . . . . . )

 

. . . . . . . . . . . . . ., being duly sworn, deposes and says that (s)he is over the age of eighteen years and is not a party in this proceeding; that on the . . . day of . . . . 20. . ,

deponent served the within . . . . . . . upon . . . . . . . . in this action, at . . . . . . ., the address designated by . . . . for that purpose, (by delivering a true copy of the same, enclosed in a properly addressed wrapper, to an employee/agent of . . . (name of private express delivery service) . . . . . . . . ., for delivery to said party at said address) OR (by depositing a true copy of the same, enclosed in a properly addressed wrapper, in a depository of . . . (name of private express delivery service) . . within the state, for delivery to said party at said address)

. . . . . . . . . . . . . .  . . . . . .

(Signature)

 

Subscribed and sworn to before me

this . . . day of . . . . . ., 20. . .

. . . . . . . . . . . . . . . . . . . .

(Signature and title of officer)

(2) Filing Fee. A fee of $20, payable to the State Education Department, shall accompany the filing of a petition. The requirement of a filing fee may be waived, at the discretion of the Counsel, upon application by a petitioner in the form of an affidavit by petitioner or petitioner's attorney. Such affidavit shall set forth the amount and sources of all income of petitioner, whether taxable or not; shall list all property held by petitioner, including real estate, personal property and bank accounts, together with the total value of each category; and shall state that the petitioner is unable to pay the fee necessary to initiate the proceeding.

(i) Contents of petition.

(1)The petition shall contain a clear and concise statement of the petitioner's claim showing that the petitioner is entitled to relief, and shall further contain a demand for the relief to which the petitioner deems himself entitled. The relief granted by the Board of Regents may extend beyond the relief requested in the petition. Such statement of claim must be sufficiently clear to advise the respondent of the nature of petitioner's claim and of the specific act or acts complained of. The petition must distinctly state the alleged misconduct, incapacity, neglect of duty and/or failure or refusal of the institution to carry into effect its educational purposes, together with the facts by which such charges are established; such facts must be set forth with such certainty as to time, place and all other pertinent details, so as to furnish sufficient information for the respondent to adequately prepare and present a defense to the charges.

(2) The petition must include a notice to the respondent(s) in substantially the following form:

PLEASE TAKE NOTICE that the petition and affidavits, copies of which are herewith served upon you, will be presented to the Board of Regents at Albany, and application thereon made for your removal as trustee of . . . .(name of institution) . . . . ., and that you are required to transmit your answer to such application, duly verified, with an affidavit of service of a copy thereof upon petitioner, to the Office of Counsel, New York State Education Department, State Education Building, Albany, New York 12234, or the charges contained in such petition and affidavit will be deemed to be admitted by you.

Please take further notice that your answer must conform with the provisions of section 3.31 of the Rules of the Board of Regents relating to proceedings seeking the removal of trustees of corporations created by the Board of Regents, copies of which are available from the Office of Counsel, New York State Education Department, State Education Building, Albany, New York 12234. An answer to the petition must be served upon petitioner, or if he or she be represented by counsel, upon petitioner's counsel, within 20 days after the service of the petition, and that a copy of such answer must, within five days after such service, be filed with the Office of Counsel, New York State Education Department, State Education Building, Albany, New York 12234.

. . . . . . . . . . . . . .  . . . . . .

(Signature)

. . . . . . . . . . . . . .  . . . . . .

P.O. Address

 

(j) Contents of answer. The answer of each respondent shall contain a clear and concise statement of respondent's defenses to each claim in numbered paragraphs corresponding to the numbered paragraphs in the petition, and shall either admit, deny or deny knowledge of information sufficient to form a belief as to the truth of the allegations of the petition. In addition, each respondent may set forth affirmative defenses. If more than one respondent has been named and served and if common questions of law or fact are involved, the respondents, if otherwise united in interest, may submit a joint answer to the petition.

(k) Service of answer and supporting papers. Each respondent upon whom a copy of the petition has been served shall, within 20 days from the time of such service, answer the same, either by concurring in a statement of facts with the petitioner or by service in the manner set forth in paragraph (g)(2) of this section of an answer, together with all of respondent's affidavits, exhibits and other supporting papers, except a memorandum of law. The date upon which personal service was made upon respondent shall be excluded in computation of the 20-day period.

(l) Reply. The petitioner shall reply to each affirmative defense contained in an answer. The reply, together with any affidavits which shall be limited to support of such reply, shall be served within 10 days after service of the answer to which it responds in the manner set forth in paragraph (g)(2) of this section. If the answer has been served by mail upon petitioner or petitioner's counsel, the date of mailing and the four days subsequent thereto shall be excluded in computing the 10-day period.

(m) Limitation of time for initiation of proceeding. If, in the sound discretion of the Board of Regents, petitioner has unduly delayed in filing a petition, the Board of Regents may dismiss the petition.

(n) Amicus curiae. The Counsel may, in his or her sole discretion and upon written application submitted at or before oral argument, permit interested persons or organizations to submit memoranda of law amicus curiae in connection with a pending proceeding. Those permitted to submit memoranda amicus curiae shall not be considered parties to the proceeding and shall not be entitled to receive copies of pleadings and papers pertaining thereto or to participate in any hearings held in connection with such proceedings.

(o) Extensions of time to answer or reply. No extension of time to answer the petition or to reply to an answer will be granted by the Counsel unless timely application is made therefor, upon notice to all parties. Such application shall be in writing, addressed to the office of counsel, must be postmarked not later than five days prior to the date on which the time to answer or reply will expire, and shall set forth in full the reasons for the request. The time to answer a pleading may not be extended solely by stipulation of the parties or their counsel.

(p) Memoranda of law. Memoranda of law, consisting of the parties' arguments of law, shall be submitted by each party to the proceeding. The petitioner shall serve a copy of petitioner's memorandum of law upon every other party to the proceeding in the manner provided by paragraph (g)(2) of this section, and shall file such memorandum of law, with proof of service thereof, in accordance with paragraph (h) of this section, within 20 days after service of the answer. Each respondent shall serve a copy of respondent's memorandum of law, upon every other party in the manner provided by paragraph (g)(2) of this section and shall file such memorandum of law with proof of service thereof in accordance with subdivision (h) of this section, within 30 days after service of the answer. Where the answer is served upon petitioner or petitioner's counsel by mail, the date of mailing and the four days subsequent thereto shall be excluded in the computation of the 20-day period in which petitioner's memorandum of law must be served and filed. Reply memoranda shall be served and filed, with proof of service, in accordance with paragraph (g)(2) and subdivision (h) of this section, within 10 days after service of the adverse party's memorandum of law. Where the adverse party's memorandum is served by mail, the date of mailing and the four days subsequent thereto shall be excluded in the computation of such 10-day period for service of the reply memorandum. The Counsel, in his or her sole discretion, may permit the late filing of memoranda of law upon written application by a party, setting forth good cause for the delay and demonstrating the necessity of such memoranda to a determination of the proceeding, together with proof of service of a copy of such application upon all other parties to the appeal. Failure to comply with the filing deadlines set forth herein and in subdivisions (k) and (l) are grounds for rejection of said papers.

(q) Additional affidavits, exhibits and other supporting papers. The Counsel may permit or require the service and filing of affidavits, exhibits and other supporting papers, in addition to those served in accordance with subdivisions (g), (k) and (l) of this section, upon such terms and conditions as the Counsel may specify. Such affidavits, exhibits and other supporting papers may be served upon all other parties and filed with the office of counsel only with the prior permission of the Counsel, granted upon application of the party desiring to submit such document. The affidavits, exhibits and other supporting papers shall accompany such application, and the application, together with the affidavits, exhibits and other supporting papers, shall be served upon all other parties in accordance with paragraph (g)(2) of this section.

(r) Records and reports. Consistent with the provisions of subdivision (u)(2)(vi)(a)(3) of this section, the Board of Regents may, in its discretion, in the determination of the proceeding, take into consideration any official records or reports on file in the State Education Department which relate to the issues involved in such proceeding.

(s) Review by Counsel. Upon the filing of the pleadings, memoranda of law and any additional affidavits, exhibits and other supporting papers, the Counsel shall review the entire record. The Counsel may request from the parties and/or independently obtain additional information, through visitation of the institution by the Department or an independent third party or otherwise. Such information may, in the Counsel's discretion, be made a part of the record after notice and an opportunity to respond is provided to the parties.

(t) Recommendation. Upon completion and review of the record by the Counsel, the appropriate standing committee of the Board of Regents, as designated by the Chancellor of the Board of Regents, shall, after consultation with the Counsel, make a recommendation to the full Board of Regents as to whether or not a hearing should be conducted pursuant to Education Law §226(4). In determining whether a hearing is to be conducted, the Board of Regents may accept or reject the recommendations of the standing committee. The Board of Regents may determine that a hearing is not required where, among other things, petitioner has not raised facts which, if proven true, would warrant removal under Education Law §226. If the Board determines that a hearing is not required, it shall issue a written decision dismissing the application and such decision shall constitute the final determination of the Board in such proceeding.

(u) Hearing. If the Board determines that a hearing is required, the Chancellor shall designate no fewer than three members of the Board of Regents to convene as a panel to conduct a hearing in the proceeding to consider removal of the trustee or trustees. The Chancellor shall designate one of the panel members to be panel chair.

(1) Notice. Respondent trustee or trustees shall be given at least 10 days notice in writing of the time and place of such hearing.

(2)Hearing procedures.

(i) Motions. The panel chair, at his or her discretion, may entertain and rule upon dispositive motions.

(ii) Discovery. Formal discovery procedures and formal procedures for bills of particulars shall not apply. However, the panel chair may provide for discovery and depositions to the extent and in the manner appropriate to the proceedings.

Depositions may be permitted at the discretion of the panel chair upon a finding that they are likely to provide information relevant and material to the issues presented and to expedite the proceeding.

(iii) Subpoenas. Subpoenas may be issued by the panel chair or, with the consent of the panel chair, by any attorney for a party who has been duly admitted to the practice of law in the State of New York. Parties requesting the panel chair to issue a subpoena shall submit a written request describing with particularity the persons or items for which a subpoena is sought and establishing the necessity therefor. Subpoenas shall be served in any manner permitted by the Civil Practice Law and Rules. The party on whose behalf a subpoena is issued shall be responsible for serving the subpoena and for payment of all required fees.

(iv) Evidence.

(a) The panel chair shall make evidentiary rulings as may be necessary. Technical rules of evidence followed by a court of law need not be applied. Irrelevant or unduly repetitious evidence and/or cross-examination may be excluded at the discretion of the panel chair.

(b) Burden of proof/standard of proof. The petitioner shall have the burden of establishing the facts upon which petitioner seeks relief. The petitioner shall establish such facts and demonstrate by substantial evidence a legal right to the relief sought.

(v) Conduct of hearing.

(a) Each party shall have the right to present evidence and cross-examine witnesses.

(b) Before any evidence is offered, the petitioner and respondent may make an opening statement.

(c) The panel chair shall determine the order in which parties shall present evidence but shall generally require that the party with the burden of proof present its case first. Petitioner may present a rebuttal case with respect to any affirmative defenses presented by respondent. At the discretion of the panel chair, rebuttal cases may be allowed in other situations.

(d) The panel chair or hearing stenographer shall administer an oath or affirmation to each witness, who shall first be questioned by the party calling the witness (direct examination) and then examined by the opposing party (cross-examination). The panel chair, in his or her discretion, may allow redirect and recross of a witness. Members of the panel may also question witnesses.

(e) The panel chair shall determine the sequence in which the issues shall be tried and otherwise regulate the conduct of the hearing in order to achieve an expeditious and fair disposition of the matters at issue, including the scheduling and duration of the hearing.

(f) At the conclusion of the evidentiary hearing, the panel chair may give the parties an opportunity to make a closing statement and/or to file briefs.

(vi) Record of hearing.

(a) The record shall include: (1) all notices, pleadings, motions, intermediate rulings; (2) evidence presented; (3) a statement of matters officially noticed except matters so obvious that a statement of them would serve no useful purpose; (4) questions and offers of proof, objections thereto, and rulings thereon; (5) proposed findings and exceptions, if any; (6) any findings of fact, conclusions of law or other recommendations made by the panel chair; and (7) any decision, determination, opinion, order or report rendered.

(b) Testimony given and other proceedings at a hearing must be recorded verbatim. For this purpose and consistent with respondent's rights, the panel chair may use whatever means he or she deems appropriate, including, but not limited to, the use of stenographic transcriptions or recording devices. At the panel chair's discretion, part or all of the transcripts may also be required in electronic or other form.

(c) The Board of Regents shall prepare the record together with any transcript of proceedings within a reasonable time and shall furnish a copy of the record and transcript or any part thereof to any party as he or she may request. The Board of Regents shall charge not more than its cost for the preparation and furnishing of such record or transcript or any part thereof, or the rate specified in the contract between the agency and a contractor if prepared by a private contractor.

(d) Findings of fact shall be based exclusively on the evidence and on matters officially noticed.

(e) At any time prior to the issuance of the panel recommendation, the panel chair may direct that the hearing record be reopened to consider significant new evidence.

(3) Panel recommendation and Board determination. Upon conclusion of the evidentiary hearing, the panel shall make a written recommendation to the Board of Regents, which may adopt or reject the recommendation, or remand to the panel for further proceedings. The decision of the Board shall be in writing and shall constitute the final determination of the Board.

(4) Decisions to be filed. A copy of the decision of the Board of Regents with respect to the proceeding will be forwarded by the office of counsel to all the parties to the proceeding, or, if they be represented by counsel, to counsel for the respective parties, with instructions for service and filing as may be appropriate. A copy will also be sent those persons or organizations who have been granted leave to submit memoranda amicus curiae.

 

ADMISSION, PRIVILEGES AND GRADES OF SECONDARY SCHOOLS

§3.32 Requirements and privileges. Secondary schools and academic departments of school districts in the State of New York may upon proper application and after official inspection be admitted to the University by a vote of the Regents. Such school shall afford not less than 175 days in each year of approved academic instruction, equipment and teaching force, and may hold Regents academic examinations in the subjects covered by their approved courses of study for the grades for which they are admitted.

§3.33 Grades. Secondary schools shall be graded as junior high schools, middle high schools, industrial high schools, technical high schools, continuation high schools, and high schools, and the requirements therefor shall be as follows:

  1. A junior high school shall consist of the seventh, eighth and ninth grades, organized as a separate unit with approved courses of study and approved apparatus and library.
  2. A middle high school shall maintain an approved course of study covering one year of high school work above the eighth grade. It shall have approved apparatus and library.
  3. A high school (senior) shall maintain an approved four-year course of study above the eighth grade and shall have approved apparatus and library. Such term shall include the six-year high school, covering the work of grades seven to twelve.
  1. Industrial high schools may offer one-, two-, three- or four-year industrial or trade courses open to pupils who have completed the work of the eighth grade of the elementary schools. Such schools shall be organized as a separate unit with distinctive, approved courses of study and with approved equipment and facilities for industrial and trade education.
  2. Technical high schools may offer three- or four-year general or specialized technical courses of secondary school grade. Such schools shall be organized as a separate unit with distinctive, approved courses of study and approved equipment for technical work.
  3. Continuation high schools may offer general or specialized courses open to pupils 16 and 17 years of age who are not regularly enrolled in the full-time schools. Such schools shall be organized as a separate unit with distinctive courses of study and equipment and facilities adequate for providing the proper instruction for working children.

 

Library Extension

Section 11.1 Approved library requirements. The commissioner shall establish regulations for the registration of libraries and auxiliary units, for personnel, for quarters and equipment, for collections, for schedules of service and reports.

§11.2 Apportionments to free libraries. (a) A registered library unit shall be subject to visitation and inspection by the department, and so long as it maintains approved standards shall be entitled to the rights and privileges provided by the Education Law.

(b) Library units set up to provide for circulation of materials, and registered by the Regents, may receive annually, so far as the available appropriation permits, apportionments equal to the money raised by them from other sources. One first apportionment may be made to a newly incorporated library before it has been registered.

[Note: No State funds may be presently available for the purposes of subdivision (b).]

§11.3 Use of money. (a) The apportionments and the local equivalent must be spent for approved books, serials and other appropriate library materials, unless otherwise used by special written permission of the commissioner.

(b) A trustee of a free association, public or Indian library incorporated or registered by the Regents shall not take pay from such library for services rendered as an officer or employee thereof.

§11.4 Annual reports of libraries. Every library in the University, other than a school library, shall transmit to the department annually, on March 1st, a report for the previous year ending December 31st in such form as shall be prescribed by the commissioner; but a library may report for a year ending on some other date with the approval of the commissioner. Any library in the University whose annual report for the preceding year is not received by March 31st of the year following the expiration of such year shall not participate in any apportionments of library money for the ensuing State fiscal year unless such neglect is duly excused by the commissioner. Any library failing to report for two consecutive years shall be deemed to have discontinued its functions, and after due notice its registration may be rescinded, or its charter suspended.

§11.5 Library council. It shall be the duty of the library council to communicate annually to the Regents recommendations relating to the department’s service.

 

REGISTRATION AND LICENSING OF EDUCATIONAL INSTITUTIONS: QUALIFYING CERTIFICATES

Section 13.1 Regulations. The commissioner shall establish regulations governing the following:

  1. the registration of courses of study in colleges, professional, technical and other schools;
  2. the requirements for qualifying certificates;
  3. the approval of correspondence schools;
  4. professional licensing, certification and practice;
  5. the registration of private business schools;
  6. the registration of public and nonpublic high schools and public elementary schools, intermediate schools, middle schools, and junior high schools; and
  7. the title IV review of institutions by the New York State Education Department, acting as a State postsecondary review entity pursuant to 20 USC 1099a through 1099a-3, for participation of such institutions in Federal student assistance programs.

§13.2 Rescinding of registration. The commissioner may, after notice and opportunity to be heard, rescind the registration of any institution which fails to maintain the approved standards of equipment and instruction, to possess adequate resources, or to make the reports required by the department.

§13.11 Representations as to registration, licensing or approval. (a) An institution which is registered or licensed by the Regents or the commissioner, or whose courses of study are registered by the commissioner or the department, shall make no statement as to such licensing or registration in its publications, letterheads, advertising or promotional material or other written materials prepared for distribution to or for the information of the public, except as follows:

  1. An institution which is registered may make the statement “Registered by the New York State Education Department.”
  2. An institution whose courses of study are registered may make the statement, with respect only to such courses of study as are so registered, “Registered by the New York State Education Department.”
  3. An institution which is licensed may make the statement “Licensed by the New York State Education Department.”

(b) No institution or organization which is incorporated by the Regents or registered or licensed by the Regents or the commissioner, or whose courses of study are registered by the commissioner or the department shall, in its publications, letterheads, advertising or promotional material or other written materials prepared for distribution to or for the information of the public, use the word “approved” or its derivatives to describe or characterize the action of the Regents, the commissioner or the department with respect to such institution or organization, or its programs, except that:

  1. An institution whose programs have been approved for the training of veterans may, with respect only to such programs as are so approved, make the statement “Approved by the New York State Education Department for the training of veterans.”
  2. An institution whose programs have been approved for the training of the handicapped may, with respect only to such programs as are so approved, make the statement “Approved by the New York State Education Department for the training of the handicapped.”
Last Updated: February 11, 2014