1. Spring BPSS Director Course April 12-14, 2016 New York State Education Building Albany, NY

2. Housekeeping Items Turn off all cell phones Return punctually after breaks and lunch No side conversations All learners participate actively No question is a dumb question Challenge each other respectively Maintain confidentiality Have fun!

3. Welcome and Introductions www.acces.nysed.gov/bpss/staff Deputy Commissioner Presentation Kevin Smith

4. Communication with BPSS, Overview of Law and Regulations, Annual Reporting Requirements: OEDS and Financials Ruth Singer, Supervisor of Educational Programs Connie Tully, Financial Evaluator

5. Communication with BPSS and Other Important Information Familiarize yourself with BPSS’ website and check “Cutting Edge News” weekly Home Page: http://www.acces.nysed.gov/bpss/ Cutting Edge News: http://www.acces.nysed.gov/bpss/news Email – Always include the name of your school in the subject line, be professional, respectful and truthful and expect the same NYSED is a large state agency. Always Notify BPSS by email if a document has been uploaded for review You may contact us for a status update after a reasonable amount of time - 5-7 business days. When requesting a status update be sure to list the dates prior materials was submitted. Emailing or calling every day does not speed up the review of your documents and actually takes time away from staff reviews

6. Understanding the Law: Statute and Regulations Laws are enacted by elected legislative representatives at the federal, state and local level Federal or state administrative agencies adopt, amend and repeal regulations under the authority granted to them by statutes. They are sometime referred to as codes or administrative rules NYCRR = New York Code Rules and Regulations Unless exempted from such, agencies must follow the procedures in the Administrative Procedure Act when adopting, amending or repealing regulations Both statute and Commissioner Regulations can be found on our website: http://www.acces.nysed.gov/bpss/laws-and-regulations Regulations are designed to flesh out the specifics of the statute and there are many more details, which further expand the statue, found in the regulations Both statute and regulations have the power of law

7. Education Law Sections 5001-5010 §5001: Licensed Private Career Schools Definitions of Licensed Private Career Schools (LPCS), ESL schools, and exempt schools Information on school licenses, including renewal applications, and fees Candidacy (adopted in 2012) Details on financial statements and statistical reports: Occupational Educational Data Surveys (OEDS) Transfer of ownership and requirements Closing a school – 30 days notice is required Tuition Assessments - to be paid by schools quarterly §5002: Standards for Licensed Private Career Schools Non-occupational courses School inspections for license renewal and required maintenance of student records Tuition liability and student refunds: term; quarter and mini Curriculum approval and re-approval including Nationally Recognized Vendors Time frame for field associate’s review and approval of catalogs and enrollment agreements (90 days) Advertising

8. §5003: Disciplinary actions, hearings and penalties Disciplinary action Hearings Penalties and sanctions §5004: Private school agent’s certificate §5005: Disclosure to students Enrollment agreement and catalog requires disclosures Financial aid information Pass rate of graduates Process for obtaining tuition refunds §5006: Teachout plans §5007: Tuition reimbursement account (TRA) LPCS only, not ESL schools Teachouts vs. refunds Management of the TRA (allocation of funds) Additional assessment, referred to as special assessment (this is in addition to quarterly Tuition Assessment payments) §5008: Trust Accounts §5009: Duties of the Commissioner §5010: Advisory Council

9. NYS Education Department Commissioner’s Regulations 8 CRR-NY 126.1-126.17 126.1…..Definitions 126.2…..Conduct of School 126.3…..Advertising 126.4…..Standards and Methods of Instruction 126.5…..Equipment and Housing 126.6…..Qualifications of Teaching and Management Personnel 126.7…..Enrollment Agreement and Student Refund Policies 126.8…..Resources (Financial Statements) 126.9…..Catalogs 126.10….School License; Licensing Procedure 126.11….Records 126.12….Private School Agent’s Certificate 126.13….Exemptions 126.14….Disciplinary Actions and Penalties 126.15….Disclosure to Students 126.16….Teachout Plans 126.17….Tuition Reimbursement Account

10. BPSS Policy Guidelines NameNumberDate IssDate Upd Nationally Recognized Vendors1-03003/1/007/6/09 Documentation of Entrance Requirements2-03003/1/002/25/16 Initial Licensure Process3-08008/23/00N/A Financial Information Reporting4-09009/25/007/3/15 Additional Curriculum Review Process5-110011/20/001/16/02 Ability to Benefit Testing6-02012/5/014/10/13 Specialized Curriculum Policies7-02012/22/0112/1/10 Orientation to Classroom Management8-03013/8/01N/A Curricula/ Courses Offered at No Cost9-03013/19/01N/A Late Starts10-03013/19/01N/A Quarters Approval and Capacities11-03013/19/01N/A Director Responsibilities12-03013/19/01N/A Recruitment Activities- Agent Licensure13-03013/21/01N/A Advanced Standing/ Transfer of Hours14-03013/21/01N/A

11. Factors Used to Determine Whether Curriculum is Being Taught as Approved 15-03013/23/01N/A Individualized Instruction16-03013/23/01N/A Instructional Equipment17-03013/23/01N/A Student-Teacher Instructional Ratios18-03013/23/015/2/14 Hourly Attendance19-03013/23/0110/3/13 Addendum for Nurse Aide Training Program20-03013/26/0110/4/13 Transfer of Hours for Cosmetology21-03013/26/0110/7/13 Tuition Discounts22-03013/26/0111/7/14 Submission of Curriculum Applications23-09029/9/02N/A School License Renewal Process24-09029/16/02N/A School Change of Status Requirements25-09028/6/15N/A School Licensure for Distance Education26-06036/26/0311/20/13 First License Renewal for Inactive Schools27-08048/4/04N/A Deadline for Filing Annual Financials28-09099/22/092/1/16 Agent ID & Signature Requirements on EA29-101110/12/1111/26/13 Required Vocational Nature of Curriculum30-05125/3/12N/A

12. Annual Reporting Requirements Occupational Educational Data Survey (OEDS) Reporting period is July 1-June 30 Due date is the following April 15 Forms and instructions, including uploading: http://www.acces.nysed.gov/common/acces/files/bpss/OEDS_Instructions2014_15.pdf Financial Statements Due date July 1 following end of school’s fiscal year $3,500 fine for late or incorrect type of submission Financial statement submitted must be prepared by an independent auditor who is a certified public accountant (CPA) licensed in NYS. CPA license number must be entered prior to uploading financial statement. The registration number of the firm where the CPA is employed must also be entered. Cannot upload a statement without this information

13. Financial Statement Overview Type of statement required (audited/ reviewed) Penalty for late filing CPA & accounting firm requirements Tuition assessments BPSS school responsibilities

14. Financial Statements Regulatory Citation: 8 NYCRR 126.8(b) Type of StatementCriteria Audited Financial Statement Prepared in accordance with Generally Accepted Accounting Principles (GAAP) Unaudited Reviewed Financial Statement Prepared in accordance with Generally Accepted Accounting Principles (GAAP) 1.Can be used for all schools but must be used for schools which have: Gross tuition income of $500,000 or more or 2.Combined Federal and State student financial aid in excess of $100,000 in a school fiscal year or 3.Gross tuition income less than $500,000 but the school filed a reviewed financial statement for the previous fiscal year Can only be used for schools which have: 1.Gross tuition income less than $500,000 or 2.Combined Federal and State student financial aid less than $100,000 in a school fiscal year and 3.Filed an audited financial statement for the previous fiscal year

15. 126.8(b) Financial reports 126.8(b)(1) The initial application for licensure of a school organized as or owned by a corporation or partnership shall be accompanied by the following financial reports: 126.8(b)(1)(i) a balance sheet of the corporate entity or partnership with a certification of accuracy signed by the individual shareholders of the corporation or partners, and dated not more than 30 days prior to the date of the license application; 126.8(b)(1)(ii) a certificate of incorporation for the corporate entity or a partnership agreement for the partnership; 126.8(b)(1)(iii) a statement indicating the location and type of all bank accounts held by the corporate owner or partners in their official capacity; 126.8(b)(1)(iv) a projected operating statement including projected profits and losses for the school for a 12-month period; 126.8(b)(1)(v) such other information as the commissioner may require.

16. 126.8(b)(2) The initial application for licensure of all other schools shall be accompanied by a financial report prescribed by the commissioner. 126.8(b)(3) Pursuant to section 5001(4)(e) of the Education Law, schools shall be required to submit to the commissioner an annual financial statement and shall meet the following requirements with respect to the submission of such annual financial statement: 126.8(b)(3)(i) Any school which received $500,000 or more in gross tuition or whose combined state and federal student financial aid is $100,000 or more in a school fiscal year shall submit an audited financial statement to the commissioner for that fiscal year. 126.8(b)(3)(ii) Any school which received less than $500,000 and less than $100,000 in combined Federal and State student financial aid in a school fiscal year shall submit either an unaudited reviewed financial statement in a format prescribed by the commissioner or an audited financial statement to the commissioner for that fiscal year provided that a reviewed financial statement cannot be submitted for two consecutive fiscal years. An audited financial statement must be filed for the year following the fiscal year for which a reviewed financial statement was filed.

17. The penalty for filing financial statements after the July 1 st due date is $3,500.

18. CPA & Accounting Firm Requirements A non-NYS licensed CPA, whose principal place of business is in NYS, is required to transfer (through the endorsement process) his/her CPA license to NYS. A non-NYS licensed CPA, whose principal place of business is NOT in NYS, is required to be properly licensed and registered as a CPA in the state where their principal place of business is located. NYS accounting firms providing regulated services are required to register their firms with the NYS Office of Professions. This includes sole proprietors. Non-NYS accounting firms providing regulated services are required to register their firms in their home state and the NYS Office of Professions. This includes sole proprietors. To check the NYS registrations of individuals and firms, the Office of Professions provides an online search engine at www.op.nysed.gov/opsearches.htm

19. CPA & Accounting Firm Requirements NYS Office of Professions 518-474-3817 Ext. 400 cpabd@nysed.gov

20. Quarterly Tuition Assessments The quarterly assessments are billed on the following dates: -May 1 -August 1 -November 1 -February 1 Payment is due within 30 days from date of invoice Payment options: -Credit card accepted up to $5,000 -By mail with check (payment coupon must be included with check) -Please include the name of the school and location in memo section

21. BPSS School Responsibilities Type of statement required (audited/reviewed) Timeliness of financial statement (July 1) Knowledge of CPA & Accounting firm registration Pay on time to avoid interest charges Connie.Tully@nysed.gov 518-474-3969

22. Q & A

23. BPSS Website Chelsea Hildebrandt

24. BPSS Computer System, my.ny.gov Kirk Howard

25. Curriculum Dr. Thomas Reimer, Curriculum Evaluator Kathleen Lucey, EPA 1

26. Instructions for Submitting Curriculum PRELIMINARIES: FAMILIARIZE YOURSELF WITH THE INSTRUCTIONS ON THE BPSS SYSTEM Click “Help” and “Curriculum Applications” in the Drop Down Menu. For technical assistance, call or email Kirk Howard or Chelsea Hildebrandt.

27. PRELIMINARIES: COMMUNICATION WITH BPSS about Curriculum Familiarize yourself with the BPSS website and check the Policy Guidelines and “Cutting Edge News” weekly, in case news about certain curricula is posted Home Page: http://www.acces.nysed.gov/bpss/ Cutting Edge News: http://www.acces.nysed.gov/bpss/news Email – If you email the curriculum unit at Thomas.Reimer@nysed.gov, always include the name of your school in the subject line and the topic of the query. During an overlap period ending in 2018, your curriculum may be approved in paper, but still will be new for the system. When uploading for renewal or amendment, upload as “New” and before paying email Chelsea Hildebrandt and Kirk Howard that this is an existing curriculum, so they will waive the fee. If really new, pay the fee. Unless either step is done, the curriculum is “Not Ready for Review” and I cannot work on it.

28. THE PATH TO NEW CURRICULUM APPROVAL: THE BASICS Upload curriculum in due time (90 days best) If you have a standard curriculum, make sure you have the latest version. Standard mandated curricula exist for Nurse Aide, Home Health Aide/Personal Care Aide, Cosmetology, Esthetics, Natural Hairstyling, Nail Tech, Waxing. Contact the curriculum unit to obtain a copy.

29. THE PATH TO CURRICULUM APPROVAL 2: NEW CURRICULUM Descriptive Title, no advertising in the title Adequate Length for the subject matter Adequate entrance requirements, which can be higher than High School in some case, or different. See also PG 2-0300 Students who left High School before graduating: Ability-to-Benefit tests. See also PG 6-0201 Graduates from Home Schools and Online High Schools: Depends on status under local state law. May require local superintendent validation, or using ATB or other tests (SAT) for validation.

30. Picking the right category: Classroom vs Individualized vs Distance education. See also PG 16-0301 Units in coursework—ideally not longer than 100 hours Detailed, list like course description (former 21a) showing how students progress through the curriculum, and then how you test (former 21b) as pdf under Coursework Details. See also PG 23-0902 Equipment List: Must be industry standard. Divide the list into Classroom equipment; Classroom expendables; Student Kit. See PG 17-0301 For classroom equipment, give the manufacturer and the model number For computers, also speed in MHz, size of RAM and Hard drive Textbooks and OTHER INSTRUCTIONAL AIDS—add the software, with version.

31. THE PATH TO CURRICULUM APPROVAL 3: VARIOUS ISSUES Reapprovals/amendments: Indicate any changes in a letter under Coursework Details Upload the complete previously approved curriculum incl. approval letter in one pdf under Coursework Details. Never use the category “other” Then upload the revised/amended curriculum as a second pdf If internship required, use correct form for affiliation agreement. For most subjects, upload one signed affiliation agreement and a list of other sites used. I need to approve every site for HHA, Nurse Aide, Ultrasound, Dental Assistant. We have guidelines that apply for all agreements, and standard forms you must use for HHA, Nurse Aide, Ultrasound, unlicensed dental assistant, licensed dental assistant.

32. Teaching in LOTE—have curriculum translated, and upload an English original with the translation in pdf, and a notarized affidavit where translator: 1) attests to their not being an employee or otherwise affiliated with the school 2) provides the name, address, email and phone number of the translator 3) that translator is knowledgeable of the English language and the language of the translation, and where it was learned 4) affirms that the translation is a “true and complete” translation of the original, which is identified by name—never as “the attached.” If it is a highly novel subject or teaching method, email me FIRST to discuss it Distance Ed and Blended Learning—discuss with me first if it is doable considering the subject matter. If OK, I must be able to log in and go through the online course, so you need a working prototype when you submit the application. Personal Enrichment courses (under 40 hours). Make sure are indeed non- vocational.

33. THE PATH TO CURRICULUM APPROVAL 4: SPECIAL POLICIES Expert evaluation by a BPSS expert evaluator, which will cost you a set fee Pre-evaluators chosen by the school, and which I must approve, see PG 5- 1100 Nationally Recognized Vendors curriculum. A NRV must provide curriculum (not just a textbook), license instructors, and not conduct courses in NYS for its own profit. However, BPSS also recognizes standard curriculum from reputable certifying organizations and other state agencies even if technically not “Nationally Recognized Vendors.” Such curriculum speeds up approval and lessens the need for expert evaluation. See PG 1- 0300. School to School transfers, see PG 7-0201. Need letter from the school transferring use of the curriculum to you. Upload that letter, plus a copy of the old curriculum incl. BPSS approval letter under Coursework Details, with a second pdf with your version.

34. Crossing the Line: Medical and other subjects that cannot be taught by BPSS schools (For example, BPSS schools can teach cosmetic Laser Hair Removal, but not Laser Spider Vein Removal or Laser Tattoo Removal, these are medical procedures). Medical Assistants may take out blood, but may not inject medicines. NO BPSS APPROVAL, EVEN WHEN GIVEN IN ERROR, CAN OVERRIDE THE LAW. YOU MUST BE FAMILIAR WITH THE LEGAL REQUIREMENTS IN YOUR OFFERING! The Homecare Registry for Home Health Aides. After approval needs another 4 to 6 weeks to create first a Commerce Unit account, then a Homecare Registry account. Registry for Nurse Aides through Prometrics/DOH. Some curricula require prior approval from other Agencies (Security Guard-DCJS; Real Estate-DOS; EMT-DOH, Certified Dental Assistant—SED-Office of the Professions) For some subjects, graduates must be registry-eligible in order to find jobs (Ultrasound, for example), which may require programmatic accreditation (for non- Financial Aid related purposes) and/or special prerequisites to fit the registry’s requirements. These requirement may change over time. For other fields, being eligible to take a skills validation test, such as through the National Healthcare Association; National Phlebotomy Association; American Medical Certification Association; National Medical Certification Association; COMPTIA; Microsoft;

35. Q & A

36. Educational Forms, Record Keeping, Equipment, Quarters and Field Visits Kathleen Lucey, Education Program Assistant Ruth Singer, Supervisor of Educational Programs

37. Processes and Required Administrative Forms

38. School Catalogs The catalog is a published document that describes all aspects of the institution including the courses offered, rules and regulations of the institution, graduation requirements, etc. Each prospective and enrolled student must receive a copy of the catalog and it must be published in the principle language used in the sales presentation to the student. What follows is a checklist which indicates all of the required components for a catalog to be approved.

39. School Catalogs Identifying Data (volume and date of publication) Name of school, governing body, officials and faculty, and other instructional personnel and their qualifications Calendar (including legal holidays, beginning and ending dates of each term, quarter, etc.) School policy and regulations on enrollment dates and entrance requirements for each course

40. School Catalogs School policy on leaves of absence, class cuts, make-up work, tardiness, etc. Standards of progress including marking periods, grading system, minimum satisfactory grade, conditions for interruption, probationary period, etc. School policy on student conduct and dismissal Detailed schedule of fees, tuition, books, supplies, etc. Refund policy on unused portion of tuition, fees, etc. Weekly Student Tuition Liability Chart

41. School Catalogs Description of available space, facilities and equipment including any special facilities for handicapped access Description of each course or curriculum including program objectives Policy for granting credit for previous education and training Financial assistance information or statement: (a) detailed description of all aid available (b) statement of student rights, responsibility and eligibility (c) designated employee or group of available employees to assist students in obtaining above information Data regarding student completion and job placement for the two most recent reporting periods (OEDS Data) Pass rate of school’s graduates for license of any certificate exam required by state or city for employment

42. School Catalogs Names of associations, agencies and governmental bodies which accredit, approve, register or license the school including the NYS Ed. Department. Description of complaint procedure Description of process for obtaining a tuition refund Disclosure statement – indicates student should review approved catalog for factual information Statement, "the failure of a student to immediately notify the school director in writing of the student’s intent to withdraw may delay a refund of tuition to the student pursuant to Section 5002(3) of the Education Law." College Credit – Disclaimer Statement - http://www.acces.nysed.gov/common/acces/files/bpss/catalog.pdf http://www.acces.nysed.gov/common/acces/files/bpss/catalog.pdf Licensed private career schools offer curricula measured in clock hours, not credit hours. Certificates of completion, i.e., school diplomas, are issued to students who meet clock hour requirements. The granting of any college credit to students who participated in and/or completed a program at a licensed private career school is solely at the discretion of the institution of higher education that the student may opt to subsequently attend.

43. Enrollment Agreements The enrollment agreement is the contract signed between the student and the institution. The agreement specifies the conditions under which the school will provide instruction to the student. It also specifies all costs a student must pay in order to enroll in a specific school program. A copy of the completed enrollment agreement must be given to the student upon execution of the enrollment agreement. The student and an authorized agent of the school must date and sign the agreement prior to the time instruction begins. In order to assist schools in developing enrollment agreements that comply with the requirements of the Education Law and the Commissioner's Regulations, the Department has developed a sample enrollment agreement. This enrollment agreement meets all of the requirements set forth in law and regulations. In using this form, a school must modify the information printed on each form, tailoring it to include its own school and program information. When languages other than English are used in the sales presentation, the modified sample enrollment agreement may be translated into the language of the sales presentation. In submitting such enrollment agreements for approval, the school must include a literal English translation of the foreign language enrollment agreement as well as a notarized attestation from the translator affirming the accuracy of the translation. If you have specific questions, contact the Education Team liaison to whom you are assigned when you file your school application and fee. Please note that we are no longer requesting the entire social security number on enrollment agreements due to issues of potential identity theft and securing student information. However, Federal grants or loans may require that information.

44. Enrollment Agreements Ten (10) point type or larger Name of school Title of curriculum as approved Length of curriculum (approved hours) Schedule of sessions (hours/week) (hours/day) Hours of school operation Specific student daily schedule Student name, social security number, and date of birth Tuition, registration fee, other fees, total cost

45. Enrollment Agreements Method of payment Practical experience (externships) Placement assistance service Rules, regulations, etc. Agent names and certificate numbers Disclosure material receipt Refund policy Reading level notice for ESL - vocational combined programs

46. Refund Calculation Forms The refund calculation form is a calculation sheet used to determine refunds owed to students who cease instruction, whether through withdrawal or termination, prior to the completion of the program.

47. Refund Calculation Forms

48. SCHOOL NAME SCHOOL LOCATION REFUND CALCULATION FORM (quarters) STUDENT NAME ____________________________________________________________ Social Security #: (last four digits only) XXX-XX-___________ D.O.B. ___/___/___ Program _______________________________________ Hours ____________ Start Date ___/___/___ Last Date of Physical Attendance ___/___/___ Scheduled Graduation Date ___/___/___ Hours Offered to Student __________ Schedule: _____ hours each week for _____ weeks This schedule divides the program into _____ quarters. The student’s last date of physical attendance occurred during week number _____ of quarter number ______. Total tuition for the program $__________ Tuition per Quarter $__________ Percentage of last quarter’s tuition retained __________% Student Tuition Liability (amount paid/owed to school) for the Last Quarter Attended: $_______________ Student Tuition Liability (amount paid/owed to school) for Previous Quarters Completed:$_______________ Student Liability for Textbooks Accepted: $_______________ Student Liability for Equipment and/or Student Kit (if required): $_______________ Non-Refundable Registration Fee: $_______________ Total Student Liability: $_______________ Total Student Payments Including Grant/Loan Payments $_______________ Refund Due if Payments Exceed Liability $_______________ Date of Refund ___/___/___ Check No. __________

49. Refund Calculation Forms SCHOOL NAME SCHOOL LOCATION REFUND CALCULATION FORM (mini-program) STUDENT NAME ___________________________________________________ Social Security #: (last four digits only) XXX-XX-___________ D.O.B. ___/___/___ Program _____________________________________________ Hours _______ Start Date ___/___/___ Last Date of Physical Attendance ___/___/___ Scheduled Graduation Date ___/___/___ Hours Offered to Student _____ Schedule: _____ hours each week for _____ weeks The student’s last date of physical attendance occurred after _____% of the program. Total tuition for the program $__________ Percentage of tuition retained ___________% Student Tuition Liability (Due to School): $_______________ Student Liability for Textbooks Accepted: $_______________ Student Liability for Equipment and/or Student Kit (if required): $_______________ Non-Refundable Registration Fee: $_______________ Total Student Liability: $_______________ Total Student Payments: $_______________ Refund Due if Payments Exceed Liability: $_______________ Date of Refund ___/___/___ Check No. _____

50. Progress Record Form The progress record form is the student report card which indicates how well the student is doing in the program being offered, whether the student is satisfactorily progressing, being placed on probation, or being dismissed.

51. Progress Record Form SCHOOL NAME SCHOOL LOCATION PROGRESS RECORD FORM Course ACourse BCourse CCourse D Midpoint Cumulative Probation L.O.A Comments

52. Student Receipt The receipt form for students is a receipt given to students to acknowledge payment of any fees to the institution.

53. Student Receipt SCHOOL NAME SCHOOL LOCATION Receipt Form Receipt # No. 0000000 Received From Address Program How Paid Amount of Account Amount Paid Balance Due Received By Received for tuition, books, registration fee, other (specify below)

54. Teacher Evaluation An evaluation of each instructor is to be done on a regular basis, both announced and unannounced, but no less than once a year. It is an opportunity for the director to become acquainted with the teacher’s instructional style and abilities. It may result in suggestions for improvement, as well as commendations for specific strengths. It is also an opportunity for the instructor to provide feedback on the evaluation and to develop dialog between the director and the instructor. An awareness of the quality of instruction in your institution may assist in preventing problems in the classroom.

55. Teacher Evaluation

56. Leave of Absence A leave of absence is to be granted only in extenuating circumstances, such as an accident, prolonged illness, maternity leave, or the death of a relative. The school is expected to explain the implications of a leave to the student. If the student fails to return on the agreed upon date, the student will be dismissed and a refund calculation performed. Experience has shown that most students do not return from a leave of absence. Some programs are too short to make a leave of absence practical. A retention evaluation upon return is to be performed when the leave extends beyond thirty (30) days. The school director is expected to review the student’s request, preferably in person with the student requesting the leave. Not all leave requests should be granted. All leaves of absence must be requested in writing and approved in writing.

57. Leave of Absence

58. Attendance Register I. Separate attendance register sections must be used for each class/section. Different subject and/or different levels of the same subject cannot be taught in the same classroom at the same time with out prior written approval from the Bureau of Proprietary School Supervision. II. Student sign-in sheets A. May only be used during the first week of instruction B. Shall be prepared by the teacher and contain all of the information as required by Section 126.4 of the Commissioner’s Regulations III. Summary attendance records—schools which convert the initial teacher attendance records into summary attendance records many continue to do so; however, such summary records do not replace the required daily attendance records. IV. Computer attendance records- use of computer maintained attendance records may be permitted, but require prior approval of Bureau of Proprietary School Supervision V. Making Entries A. The teacher shall make the entries in hard copy attendance registers for each class, lab, or session in ink. B. The teacher shall initial, in ink, the attendance register daily to attest to its accuracy C. Standardized school symbols must be used with a notation to their meaning in the attendance register (e.g., P = present; A = absent; L = late; M = make-up) D. Holidays and other non-scheduled days must be clearly marked. E. The teacher must clearly mark the beginning and ending dates of leaves of absence and note them as such rather than recording them as ordinary absences. F. The teacher must clearly indicate the last date of attendance for students who withdraw or are terminated. (N.B., For State financial aid purposes (the Tuition Assistance Program (TAP)), the Bureau of Audit and Control views a leave of absence as a withdrawal of pursuit of progress in a program. A student who returns from a leave of absence and re-enters a TAP-eligible program is not eligible for TAP for a one-year period of time unless the one-time TAP waiver is used.) VI. Make-up work A. Make-up work must be clearly differentiated from regular attendance B. Separate make-up attendance registers shall be maintained, meeting all of the requirements of Section 126.4 C. The make-up attendance must clearly show the date of regular attendance that is being made up.

59. Attendance Register

60. Certificate of Completion A Certificate of Completion is to be awarded to each student completing a course or curriculum. It is to reflect the name and address of the institution, the student’s name, the course/curriculum, number of hours, and the date of completion. The Certificate must be signed by the licensed Director and a school seal is required. The official school seal will ensure that the certificate cannot be duplicated without consent. Copies of the certificate of completion are to be kept in the student’s academic file. The certificate of completion is critical in assisting students upon school closure.

61. Certificate of Completion

62. Student Transcript A transcript is the final document listing the courses, grades, and final average as well as other permanent student record requirements set forth in Section 126.11(b) of Commissioner's Regulations.. Important information for future employment or continuing education is contained on the transcript. A final transcript is expected to be maintained in the student’s academic file. A final transcript is critical for student assistance when a school closes.

63. Student Transcript CourseHoursInstructorFinal Test Score Final GradeCompletion Date

64. Agent Training Manual Sections 5004 and 5005 of the Education Law Sections 126.12, 126.14 and 126.15 of the Regulations of the Commissioner of Education.

65. Ensuring Good Attendance Below is sample language regarding school attendance policy designed to ensure good attendance. Schools may develop their own policy. This is provided only as a sample. Whatever attendance policy is submitted and approved must also be listed in the school's catalog.

66. Ensuring Good Attendance

67. Student Ledger The student ledger card is the document that summarizes the financial transactions pertaining to each student’s attendance at the institution including a listing of all costs charged to the student and all fees received from the student or any other funding source on behalf of the student.

68. Student Ledger DateReceipt Number Description of TransactionAmount Charged to account Amount Credited to account Old BalanceBalance

69. Counseling Plan COUNSELING PLANS The counseling plan is a detailed description of the programs, remediation, and institutional support available for students at the institution, particularly those who have not completed a high school education or its equivalent. NOTE: The counseling plan is not required if the institution limits enrollment to students with a high school diploma or equivalent. EDUCATION LAW Section 5002(1)(d)(2) of the Education Law states that "Each school admitting students who do not possess a high school diploma or its equivalent shall develop a plan to be approved by the commissioner for the counseling of such students on an individual basis on matters including but not limited to the student’s ability to progress in the curriculum, the student’s financial aid rights and responsibilities, the availability of programs to earn a high school equivalency diploma, including programs provided at no cost to the student, and the potential of the training to prepare the student for available employment opportunities within the region." Furthermore, Section 5002(1)(d)(3)(A) states that "The commissioner shall monitor compliance with this paragraph and verify the examination and counseling process and student examination scores." Section 5002(1)(d)(3)(C) states that "In the event that the commissioner determines that the school is out of compliance with the examination process and counseling, the commissioner shall require that examinations and counseling for students admitted under the ability to benefit provision and the counseling required by subparagraph two of this paragraph be conducted off the premises of the school by an entity approved by the commissioner for such period of time as the commissioner deems appropriate, the cost of which shall be incurred by the school." Pursuant to Section 5002(2)(d)(2) of the Education Law, counseling plans must be reviewed and approved by the Department for schools who admit ability-to-benefit students. In order to assist schools to comply with the provision, the Department has prepared the enclosed guidelines for proprietary school owners and directors to use to develop an acceptable counseling plan. The guidelines provided on the following pages are meant to assist schools in developing their counseling plan required pursuant to Section 5002(1)(d)(2) of the Education Law. Although schools are allowed to include additional areas of information within their counseling plan, the information listed below must be included at the minimum. The counseling plan must be implemented for all students who are admitted based upon ability-to-benefit examinations. At the school’s discretion, the plan also may pertain to students entering with a high school diploma or its equivalent. Finally, there will be no prescribed format for the submission for the counseling plans. Each school will be permitted to use existing formats and forms in submitting its counseling plans to the Department.

70. Counseling Plan

71. Master Teacher Schedule Each school should always have a schedule of which teachers are scheduled for the week, as well as each room being utilized. This schedule helps to add organization to the school structure. Please complete as appropriate for your school and submit.

72. Master Teacher Schedule

73. Quarters Procedures and Forms

74. Bureau of Proprietary School Supervision Instructions for Completing an “Application for Approval – Quarters” http://www.acces.nysed.gov/common/acces/files/bpss/insQuarters.pdf The "Application for Approval - Quarters," BPSS-6, and required supporting documentation must be submitted in the following instances: 1. when an existing school moves; 2. when existing school quarters are renovated, expanded or reduced; 3. when adding a new type of curriculum to the existing programs offered at a school (i.e., adding health curricula to a previous non- health trade school) and; 4. when the ownership of a school is being transferred.

75. A school must have written quarters approval from the Bureau of Proprietary School Supervision prior to offering any instruction. Failure to do so is a violation of Education Law and the Regulations of the Commissioner of Education and may result in disciplinary action. The "Application for Approval - Quarters," BPSS-6, must be completed in full and sent with the documentation listed below. I. Basic Application Information, BPSS-6 School Name This is the approved name listed on your license or, in the case of a new school, the approved name your school will be using. Address This is the current address of the school. In the case of a new school, this may be the mailing address for the initial contact person. Location of these Quarters This is the address where the school will operate once approval is granted. Floor Level List the floor(s) on which the school will operate.

76. Room Number (from floor plan) Number all of the rooms, which your school will occupy, on the floor plan. Then list those same numbers in the left column. Proposed Use of Room List how you will use each particular room listed in the left hand column (i.e., reception area, student lounge, theory classroom, clinic, library, etc.) Floor Space in Square Feet List the square footage of each numbered room. Approval requested by Enter your name on this line. Title List your title (i.e., director, president, owner, etc.) Date List the date when the completed application is sent to the Bureau of Proprietary School Supervision.

77. Floor Plan Floor plans must be drawn to scale and the scale must be indicated on the drawing. Each room must be assigned a number and the proposed use of the room must be indicated, for example, "classroom", "shop" "computer lab," etc. The floor plans must show: 1. Dimensions of each room or unit of space; 2. Entrances and exits, stairways, corridors, fire escapes; 3. Windows; 4. Student stations, fixed equipment and machines, furniture including student desks and chairs; 5. Utilities - electrical outlets, sinks, etc. Certificate of Occupancy A Certificate of Occupancy is issued by local municipalities to verify that local building codes have been met and the building is suitable for occupancy. It further states the purpose for which the quarters are to be used (i.e., commercial, residential, factory, school, etc.). The premises, in which instruction will be offered, must be approved for use as a school by the municipality in which the school will be conducting business. Once the premises are approved, a Certificate of Occupancy will be issued listing the school quarters as approved for instructional purposes. Only that area used for the school needs to be approved for instructional purposes. Therefore, Certificates of Occupancy for multi-floor buildings often will list only the floor that the school occupies as approved for instructional purposes. This is acceptable.

78. Department of Health Approval* The premises in which instruction will be offered must be approved for occupancy by the health authority of the municipality in which the school will operate. The address listed on the approval must be the same address as the one listed on the Application for Approval - Quarters (BPSS-6). Schools outside New York City must arrange with their local Department of Health for the inspection and forward the letter of approval with the Application for Approval - Quarters (BPSS-6). Fire Approval* The premises in which instruction will be offered must be approved for occupancy by the fire authority of the municipality in which the school will operate. The address listed on the approval must be the same address as the one listed on the Application for Approval - Quarters (BPSS-6). Schools outside New York City must arrange with their local Department of Health for the inspection and forward the letter of approval with the Application for Approval - Quarters (BPSS-6). * If the school is or will be located in one of the boroughs of New York City, the Bureau of Proprietary School Supervision will arrange for the fire inspection once the Application for Approval - Quarters (BPSS-6), the floor plans, and the Certificate of Occupancy are received. No separate on-site health inspection is necessary unless the school has a cafeteria or provides instruction in food service or food preparation.

79. Quarters Application http://www.acces.nysed.gov/common/acces/files/bpss/appQuarters.pdf Floor plans must be drawn to scale and the scale must be indicated on the drawing. The Bureau reserves the right to request a different scale to make the plans readily legible. Each room must be assigned a number and the proposed use of the room must be indicated (e.g., "classroom," "shop," "computer lab," etc.) The floor plans must show: 1. Dimensions of each room or unit of space 2. Entrances and exits, stairways, corridors, fire escapes 3. Windows 4. Student stations, fixed equipment and machines, furniture 5. Utilities - electrical outlets, sinks, etc. Attach two copies of this application to your floor plans.

80. Quarters Information Found in Policy Guideline 11 Policy Guidelines In order to assist schools in properly implementing the new proprietary school laws and amended regulations, the Bureau of Proprietary School Supervision (BPSS) will periodically issue Policy Guidelines (PG's). http://www.acces.nysed.gov/bpss/policy-guidelines - Link to all Policy Guideline 11 - Quarters Approval and Capacities Number: 11-0301 Date Issued: 03/19/2001 The following Policy Guideline is designed to replace Informational Policy Memorandum (IPM) 53, issued March 3, 1993. Section 5002(1)(b)(3) states that "For every such school, the commissioner shall set forth in regulation standards governing all of the following... the equipment available for instruction with the maximum enrollment that such equipment and physical plant will accommodate..." Based upon the Department's work with the Proprietary School Advisory Council, listed below are the guidelines for setting quarters approval and capacities for all non-degree granting proprietary schools in New York State. In order to arrive at these guidelines, Bureau staff visited schools across the State to analyze room capacities.

81. Method 1 – Classroom Space When a school director requests the Bureau to assign a student capacity for a classroom with tablet arm chairs, the following calculations would be used to establish the total number of students approved to be in the classroom for instruction. Method 1 would permit the school to use 90 percent of the total square footage of the classroom. Ten percent of the total square footage would be allocated to instructional equipment and passage ways for students and the teacher. After the clear square footage is factored out of the classroom space, the capacity would be arrived at by dividing the usable space by 14, the square footage needed for each pupil.

82. Method 2 – Classroom Instruction Space This method is used when either of the following applies: (A) Classroom instruction takes place using desks or tables and chairs; or (B) Instruction takes place in such courses as business machines, keyboarding, computers, electric repair or small motors and appliances, electronic repairs, etc. Method 2 would permit the school to use 80 percent of the total square footage of the classroom. This method would dedicate 20 percent of the classroom space to instructional equipment and work space recognizing that teachers and students must move more frequently during the learning process and/or that tables and chairs take up more usable space than tablet arm chairs. After the clear square footage is factored from the classroom space, the capacity would be arrived at by dividing the usable space by seventeen (17), the square footage needed for each pupil. Seventeen square feet per work station is needed to ensure that space is adequate for the equipment and the study materials or manuals referred to by the student while using the equipment. Where no equipment is used in the classroom, the square footage for each pupil will range from fourteen (14) square feet to seventeen (17) square feet depending upon the size of the tables and chairs being used.

83. Method 3 – Non-Typical Classroom Instruction Space Method 3 would permit the school to use 75 percent of the total square footage of a non-typical classroom for instruction (i.e., irregularly shaped, design or architectural barriers, etc.). This method recognizes sight and hearing limitations as well as access and egress considerations. After the clear square footage is factored out of the classroom space, the capacity would be arrived at by dividing the usable space by a range of fourteen (14) to twenty (20) square feet needed for each pupil. This range is flexible to accommodate the variation of equipment and type of instruction offered in the room.

84. Method 4 – Laboratory, Clinic and Technology Instruction Space Method 4 is used to establish capacities in practical application areas such as vocational subjects, cosmetology, health, and medical and dental laboratory instruction. Method 4 would allow 75 percent of the total square footage to be used. This percentage is used for the lab and shop instructional areas since the equipment and movement in these areas occupies more usable space. After the clear square footage is established, the student capacity would be determined by dividing the space by a figure chosen from a range of thirty (30) to seventy (70) square feet per student depending on the type of instruction and equipment being used. The thirty (30) to seventy (70) square feet per pupil required under Method 4 is necessary because of frequent movement (teachers and students) and the inherent danger associated with such instructional equipment.

85. In Summary: School owners and directors need to be cautioned that the Bureau will not establish capacities that would impede a student's education. Classroom design which impedes a student's vision of the front of the classroom or makes it difficult for the student to hear the teacher will have an impact on the student capacity. Therefore, room capacities have to be examined on a case-by-case basis.

86. Enrolled Agents Armando Pabon Chelsea Hildebrandt

87. Personnel Licensing Heather Rookey Chelsea Hildebrandt

88. School Renewals, Moves, Name Changes, Change of Ownership & Opening an Additional Location Kirk Howard, Education Program Assistant 1 Samuel Jones, Education Program Assistant 1

89. Pop Quiz What do all of the following have in common? Renewals Name changes School moves Opening an additional location (School) Change of Ownership

90. Answer They all need an approved: Agent Teacher Director Curriculum Enrollment agreement Acceptable financials

91. School License Renewal How often are school renewals due? -2 years after the inception of the school, then every 4 years thereafter

92. When should the school renewal be filed? - Section 5001(4)(c) of the Education Law and Section 126.10(b) of the Commissioner’s Regulations state "An application for renewal of any license or registration shall be submitted at least one hundred twenty days prior to the expiration date of the current authorization to operate. A courtesy email is sent to the main contact’s email address at 150 days, 120 days, 90 days, 30 days prior to expiration. A final email is sent when the license has expired.

93. The application fee is based on the schools gross tuition income. The chart can be found under school renewal instructions. Annual Gross TuitionApplication Fee $0 - $199,999$750 $200,000 - $4999,999$1,500 $500,000 - $999,999$2,225 $1,000,000 - $4,999,999$4,500 $5,000,000 - $9,999,999$9,000 $10,000,000 or above$18,000

94. Note: It is important, no matter what type of application the school is filing, to update all of the school information on the web portal. This includes ownership, employees, curriculum, and OEDS. Also, ensure that your assessments and financial statements are up to date.

95. School Renewal Visit During the renewal process, the school will be visited by their field associate who will conduct an inspection of the school and the school record. This insures the compliance with the laws and regulations set forth by the State Education Department. - A positive visit will result in your field associate sending me a positive ARF (associate renewal form) recommending my issuing the renewal. - If there are minor issues that can be worked on and resolved in a timely manner, they will recommend a corrective action plan (CAP) with a date to which all things that need correction, must be completed. If there are major issues, the associate could recommend denial of the renewal.

96. What if everything is not completed before the school licenses expires? - The school may request a Letter of Continuous Authority, which grants you the ability to continue to operate until your field associate completes their portion of the process. The Letter of Continuous Authority is requested from the licensing supervisor.

97. School Moves First thing you MUST do is contact your field associate and tell them your intent to move. DO NOT MOVE WITHOUT BPSS APPROVAL!

98. Again…. What do all school applications need for a renewal, move or name change? Agent Teacher Director Curriculum Enrollment agreement Acceptable financials OEDS Up to date assessment payments

99. How do you file for a school move? You file the school move online and during that process, you will be asked to upload: Quarters Application Floor Plan Certificate of Occupancy Fire Inspection* Health Dept. Approval (if applicable) List of Teachers (registered ESL) * If school is located in NYC, BPSS will order fire inspection

100. School Name Changes First thing you MUST do is contact your field associate and tell them your intent to change your name. DO NOT USE THE NEW NAME WITHOUT BPSS APPROVAL!

101. How do you file for a school name change? -You file the school name change online and during that process, you will be asked to upload: Commissioner’s Consent Amended Incorporation papers or DBA Revised stock certificate/ ledger (if applicable) Revised secretary’s certificate (if applicable) Filing receipt List of teachers (registered ESL) -The school will also need to work with their field associate, which you already informed of the name change, to update the administrative documents.

102. ***Correspondence & School Contact Information BPSS contacts the person listed by the school, it is up to the school to ensure that the information on the school contact is up to date. This is your school; it is important that you keep this information up to date and respond in a timely manner to prevent your school application from being denied. If your school is denied, you will be subject to having to submit a new school application.

103. Opening an Additional Location To file for an additional location, the ownership must be the same as the approved ownership at the original location The school will file a new school application Fee for an additional location is $2,500 and will need to be mailed via USPS with the appropriate voucher

104. Ownership documents -If BPSS already has them, why do we need to upload them again and have them approved? Acceptable financials for a second location -Do my current school finances, have anything to do with opening an additional location?

105. Commissioner’s Regulations: Part 126 126.8(b)(1) The initial application for licensure of a school organized as or owned by a corporation or partnership shall be accompanied by the following financial reports: 126.8(b)(1)(i) a balance sheet of the corporate entity or partnership with a certification of accuracy signed by the individual shareholders of the corporation or partners, and dated not more than 30 days prior to the date of the license application; 126.8(b)(1)(iii) a statement indicating the location and type of all bank accounts held by the corporate owner or partners in their official capacity; 126.8(b)(1)(iii) a statement indicating the location and type of all bank accounts held by the corporate owner or partners in their official capacity; 126.8(b)(1)(iv) a projected operating statement including projected profits and losses for the school for a 12-month period; 126.8(b)(1)(v) such other information as the commissioner may require.

106. Curriculum ▫Sharing vs. Owning your own Administrative documents ▫Sharing vs. Owning your own Acceptable financials for second location ▫Do my current school finances have anything to do with opening an additional location Personnel ▫Agent – Can an agent work at both locations? ▫Teacher – How many do we need? ▫Director – Can I be director at both locations? Quarters

107. Change of Ownership (LPCS) New York State Education Law 101: 5001(7). No license granted under this section shall be transferable or assignable without the approval of the commissioner. Upon transfer or assignment of any interest totaling twenty-five percent or more, whether direct or indirect, in the total equity or assets of a school, such school shall be deemed a new school required to submit a new school application and obtain a new license pursuant to this article. Provided, however, that upon such a substantial change in interest, the previous school license shall remain in effect until the new license is issued or denied or the previous license expires or is revoked, whichever occurs first.

108. The new owner of a LPCS has up to 14 days after the transaction has occurred to submit a new school application The application fee is $5,000

109. Ownership Documents: In addition to uploading the schools information, BPSS will require: ▫A copy of the purchase contract ▫Documentation of ownership of items transferred under the sale, such as curriculum, administrative documents, website and other assets being transferred to the new ownership ▫Documentation that the new owner is accepting responsibility for the student records, enrolled students and student refunds ▫Such other information as the commissioner may require

110. Q & A

111. BPSS Investigations and Audit Unit Sr. Investigator Eileen Woessner Sr. Investigator Vincent Salvagio

112. Who are we? The Bureau of Proprietary School Supervision (BPSS) oversees and monitors non-degree granting proprietary schools in New York State. BPSS is responsible for ensuring that the overall educational quality of the programs offered will provide students with the necessary skills to secure meaningful employment and for protecting students' financial interests while attending proprietary schools. BPSS licenses/registers proprietary schools and credentials proprietary school teachers to ensure that appropriate standards are met. BPSS investigates student complaints and conducts comprehensive investigations of schools to assure compliance with Education Law and Commissioner's Regulations. Proprietary schools under BPSS jurisdiction include trade and business schools, computer training facilities, and for-profit English as a Second Language (ESL) schools.

113. BPSS Has Two Separate Offices Albany 518-474-3969NYC 212-643-4760 Licensing- Schools, Directors and Teachers Education Unit Curriculum Financials School Renewals Legal Investigations/ Audit Agent Licensing Education Unit

114. Legal Authority Section 215 of the New York State Education Law, authorizes the Commissioner of Education or his/her representatives to conduct audits and investigations of proprietary schools or their agents for trade, business, ESL schools, and computer training facilities that charge tuition fee. BPSS has no authority to conduct investigations with the respect to degree granting institutions.

115. Director Responsibilities In order to fulfill the duties of school director, the Department's belief is that a director must be present at the school during MOST of its operating hours and shall have designated someone with sufficient authority to function as director in his/her absence. The Department encourages schools, which have night and/or weekend classes, to have a second individual licensed as director. In order to supervise a school effectively, the Department expects a director to do the following:

116. Director Responsibilities, cont’d Be available during the normal operational hours of the school and have designated backup support available in the director's absence. Supervise admission's staff and certified agents to ensure that they are adhering to recruiting practices acceptable according to Education Law and Commissioner's Regulations. Evaluate the delivery of the school's educational programs. Evaluate the performance of teachers both through student feedback and classroom observation. Ensure that teachers are maintaining appropriate attendance records in compliance with Commissioner's Regulations. Ensure that the school license or registration is current and that application for renewal is submitted within the timeframe established by Education Law and/or Commissioner's Regulations. Ensure that all curricula/courses offered by the school are approved and that curriculum/course re-approval requests are submitted within the timeframe established by Education Law and/or Commissioner's Regulations.

117. Director Responsibilities, cont’d Ensure that all school personnel are appropriately licensed and that license requests and re-approvals are submitted within the timeframe established by Education Law and/or Commissioner's Regulations. Ensure that teachers take any prerequisite training prior to the expiration of their licenses so that they will be eligible to receive the next level of licensure. Adhere to Commissioner's Regulations by processing student refunds according to the terms of the approved enrollment agreement. Be responsive to inquiries from State Education Department staff at the time that the request is made. Be accessible to students and State Education Department staff in working to resolve student complaints. Have access to all student and school records which shall be maintained in accordance with Education Law and the Commissioner's Regulations and make them available to the Commissioner or the Commissioner's designee upon request during an on-site school inspection.

118. Section 126.6(d)(3) of the Commissioner’s Regulations, states that "Directors shall have the administrative and educational competency to operate a school, as determined by the commissioner. The factors considered by the commissioner in evaluating administrative and educational competency shall include, but not be limited to, patterns of violations of the duties and responsibilities of a director relating to the administration of a school, as set forth in this Part and Article 101 of the Education Law."

119. 126.6(d)(2) of the Commissioner’s Regulations states, Directors shall be of good moral character, as determined by the commissioner.

120. Types of Complaints Grading policies Program descriptions Admission policies Reasonable accommodations Placement services Student records Safety and health issues Equipment/ textbooks Faculty/ administrative personnel Conduct of the owner/ director Advertising/ promotion/ recruitment Refund policies Suspension/ termination/ dismissal Financial issues Discrimination School closing Diploma/ certificate/ transcript Harassment Attendance issues Other/ criminal

121. Now let’s review 2 complaint examples: Example 1- findings are in the school’s favor Example 2- findings are in the student’s favor

126. Investigation Procedure Review Complaint Interview Complainant Speak to the Director Go to school and review all documents, make copies of what is needed Interview Teachers, Students, and other School Staff Review ALL evidence Determine a finding Write up report and send out close out memo’s to school and complainant

127. Q & A

128. In House Assignment Kirk Howard Lisa Stiles-Roy

129. Wrap-up/ Q&A BPSS Staff