Source: http://www.op.nysed.gov/title8/part29.htm
Timestamp: 2014-08-22 23:34:16
Document Index: 605600578

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NYSED / OP / Rules of the Board of
/ Part 29 Rules of the Board of Regents
Effective October 5, 2011
§ 29.1 - General provisions. | §
29.2 - General provisions for health professions. | §
29.3 - General provisions for design professions. | §
29.4 - Special provisions for the profession of medicine. | §
29.5 - Special provisions for the professions of dentistry and dental
hygiene. | § 29.6
- Special provisions for the profession of veterinary medicine. | §
29.7 - Special provisions for the profession of pharmacy. | §
29.8 - Special provisions for the profession of optometry. | §
29.9 - Special provisions for the profession of ophthalmic dispensing. | §
29.10 - Special provisions for the profession of public accountancy. | §
29.11 - Special provisions for the profession of certified shorthand reporting. | §
29.12 - Special provisions for the profession of psychology. | §
29.13 - Special provisions for the profession of massage therapy. | §
29.14 - Special provisions for the profession of nursing. | §
29.15 - Special provisions for the professions of creative arts therapy,
marriage and family therapy, mental health counseling, and psychoanalysis. | §
29.16 - Special provisions for the social work professions. | §
29.17. Special provisions for the profession of physical therapy. | § 29.18. Unprofessional conduct in waived entities. | § 29.19. Special provisions for the profession of midwifery.
§ 29.1 General provisions.
Unprofessional conduct shall be the conduct prohibited by this
section. The provisions of these rules applicable to a particular
profession may define additional acts or omissions as unprofessional
conduct and may establish exceptions to these general prohibitions.
Unprofessional conduct in the practice of any profession licensed, certified
or registered pursuant to title VIII of the Education Law, except for
cases involving those professions licensed, certified or registered pursuant
to the provisions of Article 131 or 131-B of such law in which a statement
of charges of professional misconduct was not served on or before July
26, 1991, the effective date of Chapter 606 of the Laws of 1991, shall
willful or grossly negligent failure to comply with substantial
provisions of Federal, State or local laws, rules or regulations
governing the practice of the profession;
exercising undue influence on the patient or client,
including the promotion of the sale of services, goods,
appliances or drugs in such manner as to exploit the patient
or client for the financial gain of the practitioner or
directly or indirectly offering, giving, soliciting,
or receiving or agreeing to receive, any fee or other consideration
to or from a third party for the referral of a patient
or client or in connection with the performance of professional
permitting any person to share in the fees for professional
services, other than: a partner, employee, associate in
a professional firm or corporation, professional subcontractor
or consultant authorized to practice the same profession,
or a legally authorized trainee practicing under the supervision
of a licensed practitioner. This prohibition shall include
any arrangement or agreement whereby the amount received
in payment for furnishing space, facilities, equipment
or personnel services used by a professional licensee constitutes
a percentage of, or is otherwise dependent upon, the income
or receipts of the licensee from such practice, except
as otherwise provided by law with respect to a facility
licensed pursuant to Article 28 of the Public Health Law
or Article 13 of the Mental Hygiene Law;
conduct in the practice of a profession which evidences
moral unfitness to practice the profession;
willfully making or filing a false report, or failing
to file a report required by law or by the Education Department,
or willfully impeding or obstructing such filing, or inducing
another person to do so;
failing to make available to a patient or client, upon
request, copies of documents in the possession or under
the control of the licensee which have been prepared for
and paid for by the patient or client;
revealing of personally identifiable facts, data or information
obtained in a professional capacity without the prior consent
of the patient or client, except as authorized or required
practicing or offering to practice beyond the scope permitted
by law, or accepting and performing professional responsibilities
which the licensee knows or has reason to know that he
or she is not competent to perform, or performing without
adequate supervision professional services which the licensee
is authorized to perform only under the supervision of
a licensed professional, except in an emergency situation
delegating professional responsibilities to a person
when the licensee delegating such responsibilities knows
or has reason to know that such person is not qualified,
by training, by experience or by licensure, to perform
performing professional services which have not been
duly authorized by the patient or client or his or her
advertising or soliciting for patronage that is not in
Advertising or soliciting not in the public interest
shall include, but not be limited to, advertising
or soliciting that:
is false, fraudulent, deceptive or misleading;
guarantees any service;
makes any claim relating to professional
services or products or the cost or price therefore
which cannot be substantiated by the licensee,
who shall have the burden of proof;
makes claims of professional superiority
who shall have the burden of proof; or
offers bonuses or inducements in any form
other than a discount or reduction in an established
fee or price for a professional service or
The following shall be deemed appropriate means
of informing the public of the availability of professional
informational advertising not contrary to
the foregoing prohibitions; and
the advertising in a newspaper, periodical
or professional directory or on radio or television
of fixed prices, or a stated range of prices,
for specified routine professional services,
provided that if there is an additional charge
for related services which are an integral
part of the overall service being provided
by the licensee, the advertisement shall so
state, and provided further that the advertisement
indicates the period of time for which the
advertised prices shall be in effect.
all licensees placing advertisements shall
maintain, or cause to be maintained, an exact
copy of each advertisement, transcript, tape
or videotape thereof as appropriate for the medium
used, for a period of one year after its last
appearance. This copy shall be made available
for inspection upon demand of the Education Department;
a licensee shall not compensate or give anything
of value to representatives of the press, radio,
television or other communications media in anticipation
of or in return for professional publicity in
a news item;
Testimonials, demonstrations, dramatizations, or
other portrayals of professional practice are permissible
provided that they otherwise comply with the rules
of professional conduct and further provided that
the patient or client expressly authorizes
the portrayal in writing;
appropriate disclosure is included to prevent
any misleading information or imagery as to
the identity of the patient or client;
reasonable disclaimers are included as to
any statements made or results achieved in
a particular matter;
the use of fictional situations or characters
may be used if no testimonials are included;
fictional client testimonials are not permitted;
failing to respond within 30 days to written communications
from the Education Department or the Department of Health
and to make available any relevant records with respect
to an inquiry or complaint about the licensee's unprofessional
conduct. The period of 30 days shall commence on the date
when such communication was delivered personally to the
licensee. If the communication is sent from either department
by registered or certified mail, with return receipt requested,
to the address appearing in the last registration, the
period of 30 days shall commence on the date of delivery
to the licensee, as indicated by the return receipt;
violating any term of probation or condition or limitation
imposed on the licensee by the Board of Regents pursuant
to Education Law, Section 6511.
§ 29.2 General provisions for health professions.
Unprofessional conduct shall also include, in the professions
of: acupuncture, athletic training, audiology, certified dental
assisting, chiropractic, creative arts therapy, dental hygiene,
dentistry, dietetics/nutrition, licensed practical nursing, marriage
and family therapy, massage therapy, medicine, mental health
counseling, midwifery, occupational therapy, ophthalmic dispensing,
optometry, pharmacy, physical therapist assistant, physical therapy,
physician assistant, podiatry, psychoanalysis, psychology, registered
professional nursing, respiratory therapy, respiratory therapy
technician, social work, specialist assistant, occupational therapy
assistant, speech-language pathology, except for cases involving
those professions licensed, certified or registered pursuant
to the provisions of Article 131 or 131-B of the Education Law
in which a statement of charges of professional misconduct was
not served on or before July 26, 1991, the effective date of
Chapter 606 of the Laws of 1991:
abandoning or neglecting a patient or client under and
in need of immediate professional care, without making
reasonable arrangements for the continuation of such care,
or abandoning a professional employment by a group practice,
hospital, clinic or other health care facility, without
reasonable notice and under circumstances which seriously
impair the delivery of professional care to patients or
either physically or verbally;
failing to maintain a record for each patient which accurately
reflects the evaluation and treatment of the patient. Unless
otherwise provided by law, all patient records must be
retained for at least six years. Obstetrical records and
records of minor patients must be retained for at least
six years, and until one year after the minor patient reaches
using the word "Doctor" in offering to perform
professional services without also indicating the profession
in which the licensee holds a doctorate;
failing to exercise appropriate supervision over persons
who are authorized to practice only under the supervision
of the licensed professional;
guaranteeing that satisfaction or a cure will result
from the performance of professional services;
ordering of excessive tests, treatment, or use of treatment
facilities not warranted by the condition of the patient;
claiming or using any secret or special method of treatment
which the licensee refuses to divulge to the State Board
for the profession;
failing to wear an identifying badge, which shall be
conspicuously displayed and legible, indicating the practitioner's
name and professional title authorized pursuant to the
Education Law, while practicing as an employee or operator
of a hospital, clinic, group practice or multiprofessional
facility, registered pharmacy, or at a commercial establishment
offering health services to the public;
entering into an arrangement or agreement with a pharmacy
for the compounding and/or dispensing of coded or specially
marked prescriptions;
with respect to all professional practices conducted
under an assumed name, other than facilities licensed pursuant
to Article 28 of the Public Health Law or Article 13 of
the Mental Hygiene Law, failing to post conspicuously at
the site of such practice the names and the licensure field
of all of the principal professional licensees engaged
in practice at that site (i.e., principal partners, officers
or principal shareholders);
issuing prescriptions for drugs and devices which do
not contain the following information: the date written,
the prescriber's name, address, telephone number, profession
and registration number, the patient's name, address and
age, the name, strength and quantity of the prescribed
drug or device, as well as the directions for use by the
patient. In addition, all prescriptions for controlled
substances shall meet the requirements of Article 33 of
the Public Health Law;
failing to use scientifically accepted infection prevention
techniques appropriate to each profession for the cleaning
and sterilization or disinfection of instruments, devices,
materials and work surfaces, utilization of protective
garb, use of covers for contamination-prone equipment and
the handling of sharp instruments. Such techniques shall
wearing of appropriate protective gloves at all
times when touching blood, saliva, other body fluids
or secretions, mucous membranes, nonintact skin,
blood-soiled items or bodily fluid-soiled items,
contaminated surfaces, and sterile body areas, and
during instrument cleaning and decontamination procedures;
discarding gloves used following treatment of a
patient and changing to new gloves if torn or damaged
during treatment of a patient; washing hands and
donning new gloves prior to performing services for
another patient; and washing hands and other skin
surfaces immediately if contaminated with blood or
wearing of appropriate masks, gowns or aprons,
and protective eyewear or chin-length plastic face
shields whenever splashing or spattering of blood
or other body fluids is likely to occur;
sterilizing equipment and devices that enter the
patient's vascular system or other normally sterile
areas of the body;
sterilizing equipment and devices that touch intact
mucous membranes but do not penetrate the patient's
body or using high-level disinfection for equipment
and devices which cannot be sterilized prior to use
for a patient;
using appropriate agents, including but not limited
to detergents for cleaning all equipment and devices
prior a sterilization or disinfection;
cleaning, by the use of appropriate agents, including
but not limited to detergents, equipment and devices
which do not touch the patient or that only touch
the intact skin of the patient;
maintaining equipment and devices used for sterilization
according to the manufacturer's instructions;
adequately monitoring the performance of all personnel,
licensed or unlicensed, for whom the licensee is
responsible regarding infection control techniques;
placing disposable used syringes, needles, scalpel
blades, and other sharp instruments in appropriate
puncture-resistant containers for disposal; and placing
reusable needles, scalpel blades, and other sharp
instruments in appropriate puncture-resistant containers
until appropriately cleaned and sterilized;
maintaining appropriate ventilation devices to
minimize the need for emergency mouth-to-mouth resuscitation;
refraining from all direct patient care and handling
of patient care equipment when the health care professional
has exudative lesions or weeping dermatitis and the
condition has not been medically evaluated and determined
to be safe or capable of being safely protected against
in providing direct patient care or in handling patient
care equipment; and
placing all specimens of blood and body fluids
in well-constructed containers with secure lids to
prevent leaking; and cleaning any spill of blood
or other body fluid with an appropriate detergent
and appropriate chemical germicide; and
failing to adhere to applicable practice guidelines, as determined by the Commissioner, for the compounding of sterile drugs and products.
Unprofessional conduct shall also include, in those professions specified
in Section 18 of the Public Health Law and in the professions of acupuncture,
creative arts therapy, marriage and family therapy, massage therapy, mental
health counseling, and psychoanalysis, failing to provide access by qualified
persons to patient information in accordance with the standards set forth
in Section 18 of the Public Health Law. In the professions of acupuncture,
health counseling, and psychoanalysis, qualified persons may appeal the
denial of access to patient information in the manner set forth in Section
18 of the Public Health Law to a record access committee appointed by
the executive secretary of the appropriate State Board. Such record access
review committees shall consist of not less than three, nor more than
five members of the appropriate State Board.
§ 29.3 General provisions for design professions.
of architecture and landscape architecture, engineering and land
being associated in a professional capacity with any
project or practice known to the licensee to be fraudulent
or dishonest in character, or not reporting knowledge of
such fraudulence or dishonesty to the Education Department;
failing to report in writing to the owner or to the owner's
designated agent any unauthorized or improperly authorized
substantial disregard by any contractor of plans or specifications
for construction or fabrication, when professional observation
or supervision of the work is provided for in the agreement
between the owner and the design professional or when supervision
of the work is under the control of the design professional;
certifying by affixing the licensee's signature and seal
to documents for which the professional services have not
been performed by, or thoroughly reviewed by, the licensee;
or failing to prepare and retain a written evaluation of
the professional services represented by such documents
a licensee who signs and seals documents not prepared
by the licensee or by an employee under the licensee's
direct supervision shall prepare, and retain for
a period of not less than six years, a thorough written
evaluation of the professional services represented
by the documents, including but not limited to drawings,
specifications, reports, design calculations and
references to applicable codes and standards. Such
written evaluation shall clearly identify the project
and the documents to which it relates, the source
of the documents and the name of the person or organization
for which the written evaluation was conducted, and
the date of the evaluation, and the seal and signature
of the licensee shall also be affixed thereto; and
authorizing the practice of a design profession in
this State by persons other than those authorized
to practice pursuant to the provisions of Article
145, 147 or 148 of the Education Law;
failure by a licensee to maintain for at least six years
all preliminary and final plans, documents, computations,
records and professional evaluations prepared by the licensee,
or the licensee's employees, relating to work to which
the licensee has affixed his seal and signature;
having a substantial financial interest, without the
knowledge and approval of the client or employer, in any
products or in the bids or earnings of any contractor,
manufacturer or supplier on work for which the professional
has responsibility;
a professional firm or corporation, subcontractor or consultant.
This prohibition shall include any arrangement or agreement
whereby the amount received in payment for furnishing space,
facilities, equipment, or personnel services used by a
professional licensee constitutes a percentage of or is
otherwise dependent upon the income or receipts of the
licensee from such practice. This provision shall apply
in lieu of Section 29.1(b)(4) of this Part;
accepting any form of compensation from more than one
party for services on the same project without fully disclosing
the circumstances and receiving approval from all interested
participating as a member, advisor or employee or a government
body in those actions or deliberations which pertain to
services provided by the practitioner or his or her organization
for such government body; or
in the profession of land surveying, the revision, alteration,
or update of any existing boundary survey without adequate
confirmation of relevant boundary lines and monuments.
To be adequate, such confirmation shall include a reasonable
field verification and shall be sufficiently extensive
to reasonably ensure the accuracy of the revision, alteration,
or update, as appropriate to the circumstances of the revision,
alteration, or update.
Unprofessional conduct shall not be construed to include:
the employment, with the knowledge of the client, of
qualified consultants to perform work in which the consultant
has special expertise. This provision shall apply in conjunction
with Section 29.1(b)(9) of this Part; and
participation as a delegator, or delegatee in delegating
or accepting delegation, through an intermediate entity
not authorized to provide professional design services,
of specifically defined work involving the performance
of a design function requiring a professional license,
under the following terms, conditions and limitations:
such specifically defined design work shall be
limited to project components ancillary to the main
components of the project;
the delegator shall specify in writing to the delegatee
all parameters which the design must satisfy;
the design function shall be required to be performed
in accordance with performance specifications established
by the delegator;
the delegatee shall be required to be licensed
or otherwise legally authorized to perform the design
work involved and shall be required to sign and certify
any design prepared;
the delegator shall be required to review and approve
the design submitted by the delegatee for conformance
with the established specifications and parameters
and such determination shall be in writing; and
the delegator shall be required to determine that
the design prepared by the delegatee conforms to
the overall project design and can be integrated
into such design and such determination shall be
As used in paragraph (2) of this subdivision:
Delegator means a primary design team or team of
design professionals which may be composed of professional
engineers, land surveyors, architects and landscape
architects acting either alone or in combination,
licensed and registered in accordance with Articles
145, 147 or 148 of the Education Law, and authorized
to provide the services being delegated.
Intermediate entity means a person or entity, typically
a contractor or subcontractor, responsible for performing
the work under the contract for construction.
Delegatee means a design professional, licensed
and registered in accordance with Articles 145, 147
or 148 of the Education Law, who is employed or retained
by the intermediate entity to produce design work
in compliance with the performance requirements and
parameters specified by a delegator.
Certify means a written statement by a licensee
confirming responsibility for the work and attesting
that the work prepared meets the specifications (as
well as conforming to governing codes applicable
at the time the work was prepared), and conforms
to prevailing standards of practice.
§ 29.4 Special provisions for the profession of
Unprofessional conduct in the practice of medicine shall include
all conduct prohibited by Sections 29.1 and 29.2 of this Part
except as provided in this section, and shall also include the
knowingly or willfully performing a complete or partial
autopsy on a deceased person without lawful authority;
failing to comply with a signed agreement to practice
medicine in New York State in an area designated by the
Commissioner of Education as having a shortage of physicians
or refusing to repay medical education costs in lieu of
such required service, or failing to comply with any provision
of a written agreement with the State or any municipality
within which the licensee has agreed to provide medical
service, or refusing to repay funds in lieu of such service
as consideration of awards made by the State or any municipality
thereof for his or her professional education in medicine,
or failing to comply with any agreement entered into to
aid his or her medical education;
a physician who prescribes or dispenses lenses or frames
for the correction of vision shall be subject to the provisions
of Sections 29.8 and 29.9 of this Part relating to unprofessional
conduct in optometry and/or ophthalmic dispensing;
in the conduct of psychological research, failing to
undertake reasonable efforts to remove the possible harmful
aftereffects of emotional stress as soon as the design
of the research permits, or failing to inform prospective
research subjects or their authorized representatives fully
of the danger of serious aftereffects, if such danger exists,
before they are utilized as research subjects;
in the interpretation of the provisions of Section 29.1(b)(5)
of this Part and in the treatment of sexual dysfunction
as well as in other areas of the practice of psychiatry:
immoral conduct shall include any physical contact
of a sexual nature between physician and patient;
but immoral conduct shall not include the use of
films and/or other audiovisual aids with individuals
or groups in the development of appropriate responses
to overcome sexual dysfunction;
in therapy groups, immoral conduct shall include
activities which promote explicit physical sexual
contact between group members during sessions.
§ 29.5 Special provisions for the professions
of dentistry and dental hygiene.
Unprofessional conduct in the practice of dentistry and dental hygiene
shall include all conduct prohibited by Sections 29.1 and 29.2 of this Part
except as provided in this section, and shall also include the following:
Failing to comply with a signed agreement to practice dentistry
in New York State in an area designated by the Commissioner of
Education as having a shortage of dentists or refusing to repay
dental education costs in lieu of such required service, or failing
to comply with any provision of a written agreement with the
State or any municipality within which the licensee has agreed
to provide dental service, or refusing to repay funds in lieu
of such service as consideration of awards made by the State
or any municipality thereof for his or her professional education
in dentistry, or failing to comply with any agreement entered
into to aid his or her dental education.
Claiming professional superiority or special professional abilities,
attainments, methods or resources, except that a practitioner who has
completed a program of specialty training approved by the Board of Regents
in a specialty recognized as such by the Board of Regents, or who can
demonstrate to the satisfaction of the department the completion of the
substantial equivalent of such a program, may advertise or otherwise indicate
the specialty. A practitioner who has completed all of the requirements
for specialty qualification except an examination may advertise or otherwise
indicate the additional training which has been acquired. The phrase practice
limited to shall be deemed a claim of special professional abilities,
and may be used only by dentists who have completed specialty training
satisfactory to the department or dentists who have restricted their practice
to a dental specialty prior to January 1, 1979. This subdivision shall
apply in addition to Section 29.1(b)(12)(i)(f) of this Part.
§ 29.6 Special provisions for the profession of
Unprofessional conduct in the practice of veterinary medicine
shall include all conduct prohibited by Section 29.1 of this
Part except as provided in this section, and shall also include
for the Professions;
failing to exercise adequate supervision over persons
failing to maintain adequate records of visits, diagnoses
and prescribed treatments for a period of at least three
professional services without also indicating that the
licensee holds a doctorate in veterinary medicine;
claiming professional superiority or special professional
abilities, attainments, methods or resources, except that
a specialist may indicate a specialty that has been recognized
as such by the Board of Regents. This provision shall apply
in lieu of Section 29.1(b)(12)(i)(f) of this Part;
excessive administering of treatment or use of treatment
facilities not warranted by the condition of the animal
abandoning or neglecting an animal patient under and
in need of immediate care, without making reasonable arrangements
for the continuation of such care; or
marked prescriptions.
Distribution of information to members of a union, association or other
organized group which has a contractual arrangement with a practitioner
or practitioners for the provision of veterinary services at specific
prices, which state the details of the arrangement including the names,
addresses and telephone numbers of the participating practitioners, shall
be deemed an appropriate means of informing the public of the availability
§ 29.7 Special provisions for the profession of
The requirements of this section set forth for written prescriptions
shall also be applicable to electronic prescriptions,
as defined in Section 63.6(a)(7)(i)(a) of this Title, unless otherwise
indicated. For purposes of this section “signature” shall include an electronic signature, as defined in section 63.6(a)(7)(i)(c) of this Title, when applicable, and “sign” shall include the affixing of an electronic signature. Unprofessional conduct in the practice of pharmacy
shall include all conduct prohibited by Sections 29.1 and 29.2
of this Part except as provided in this section, and shall also
Dispensing a written prescription which does not bear
the name, address and age of the patient for whom it is
intended; the date on which it was written; the name, strength,
if applicable, and the quantity of the drug prescribed;
directions for use, if applicable; and, the name, address,
telephone number, profession and signature of the prescriber;
provided that the pharmacist may record on the prescription
the address and age of the patient, the strength and quantity
of the drug prescribed, the directions for use and the
prescriber's address, telephone number and profession if
these are missing or unclear. If the address and age of
the patient and the address, telephone number and profession
of the prescriber are missing from the prescription, the
pharmacist shall not be required to enter any of these
items on the prescription if the information is otherwise
readily available in the records of the pharmacy. Prescription
labels must be legible. An order for a drug to be dispensed
for an inpatient in a health care facility by the pharmacy
of that facility may be transmitted to the pharmacy in
accordance with written procedures approved by the medical
or other authorized board of the facility. The items of
information required by this paragraph which are found
in the records regularly maintained by the facility and
which are not essential to the execution of the order need
not appear on the order which is transmitted to the pharmacy.
A drug which is dispensed for an inpatient in a health
care facility by the pharmacy of that facility may be labeled
in accordance with the policy adopted by the medical or
other authorized board of the facility. That policy shall
insure that all the information required by law to be placed
on prescription labels is readily available to all concerned
parties and that accuracy and safety prevail in the dispensing
process. The address of a patient in a hospital or other
health care facility may, for the purpose of a prescription,
be that of the facility. An order for a drug for a particular
patient issued by a practitioner authorized to prescribe,
and transmitted to a pharmacy for dispensing, shall constitute
a prescription. Prescriptions written for controlled substances
shall meet the requirements of Article 33 of the Public
Failure by a pharmacist to reduce to writing, either
through written communication or electronic record, a prescription
transmitted orally, which writing or electronic record shall include all the
information required by paragraph (1) of this subdivision and the
signature, or the electronic equivalent of a signature, or readily identifiable
initials of the receiver of the oral prescription, provided
that oral prescriptions for controlled substances shall
meet the requirements of Article 33 of the Public Health
Failure by a pharmacist dispensing a prescription to
enter on the prescription the date of dispensing and to
sign or initial legibly the prescription in such a manner
as not to interfere with any other information on the prescription;
provided that when the prescription is dispensed by an
intern, the prescription shall bear the signature or readily
identifiable initials of the intern and of the pharmacist
who is supervising the intern.
Refilling a prescription without entering on the reverse
of the prescription or within the electronic record the date of the refill and the signature
or readily identifiable initials of the pharmacist and
of the intern, if applicable, dispensing the refill, except
as provided in paragraph (8) of this subdivision. As a
refill instruction, the pharmacist may accept a number
of times, a time period, such as one year, or the Latin
phrase pro re nata (abbreviated prn--meaning "as needed").
In the case of the latter, the pharmacist shall refill
the prescription once only. The pharmacist receiving on
oral order to refill a prescription shall reduce the order
to writing or to an electronic record and shall sign or initial it legibly as the
recipient of the oral order. When a prescription is refilled,
the date placed on the label shall be the date of the refill.
Using or substituting without authorization one or more
drugs in the place of the drug or drugs specified in a
prescription. Unauthorized use or substitution occurs if
the same is done without the knowledge and consent of the
prescriber. If other than the ingredients specified are
utilized by the pharmacist in compounding or dispensing
the prescription, improper substitution shall be presumed
unless there shall be entered upon the reverse of the original
prescription or within the electronic record information setting forth the facts of the
substitution, the date, time and manner in which authorization
for substitution was given and the signature of the pharmacist
who received such authorization.
Failure to identify a generic product dispensed on a
prescription by writing the name of the manufacturer and
of the distributor, if different, on the prescription and
on the label, except as otherwise provided in Education
Law, Section 6816-a(1)(c).
Failure to number prescriptions consecutively and file
them in a numerical or other form which provides for ready
retrieval of the prescriptions; provided that orders for
drugs to be dispensed for inpatients in a health care facility,
including but not limited to a general hospital, in the
pharmacy of that facility under a drug distribution system
approved by the medical or other authorized board of the
facility, need not be numbered if the orders are otherwise
readily available and retrievable; and, provided further
that prescriptions for controlled substances shall be filed
in accordance with the provisions of Article 33 of the
Failure to maintain in a form which provides for ready
retrieval of prescriptions a daily record of all prescriptions
filled and refilled which identifies clearly the practitioner
who ordered the prescription, the patient for whom the
prescription is intended, the signature or readily identifiable
initials of the pharmacist who filled or refilled the prescription,
and the number assigned to the prescription where applicable.
The record of the dispensing of a drug for an inpatient
in a health care facility, including but not limited to
general hospital, by the pharmacy of that facility may
be maintained in a form which is consistent with the record
of the total health service provided to the patient provided
the information required by this paragraph is readily retrievable
and available. Original prescriptions filed in accordance
with the provisions of paragraph (7) of this subdivision
may constitute the record of the initial filling of those
prescriptions. The daily record may be maintained by a
manual system or, alternatively, by an electronic data
processing system which meets the following requirements:
The system shall provide adequate safeguards against
improper manipulation or alteration of stored records.
Arrangements shall be made which assure completeness
and continuity of prescription records if the relationship
between a pharmacy and a supplier of data processing
services terminates for any reason.
The system shall provide retrieval of information
regarding original dispensing and the refilling of
A pharmacist, and a pharmacy intern, if applicable,
using a computerized system shall sign or initial
the original prescription at the time of the first
dispensing as provided in paragraph (3) of this subdivision
and the signature or initials of the pharmacist shall be entered
into the computer record of the dispensing.
For all refills of a prescription, the records
introduced into the system shall be sufficient if:
the signature or initials of the pharmacist who dispensed
the refill are entered by such pharmacist at
the time of dispensing; and
a printout or electronic record is produced of all prescriptions filled and refilled each day and the pharmacist(s) whose signature or initials appear(s) on the printout sign(s), either manually or electronically, the printout or electronic record to indicate that it is an accurate record.
A pharmacy that employs a computerized system shall
have an auxiliary procedure which shall be used for
documentation of all new and refilled prescriptions
dispensed during system downtime. The auxiliary procedure
shall provide for the entry into the computer of
all data collected during the downtime, and the pharmacist
shall insure that the maximum number of refills authorized
on the original prescription has not been exceeded.
Only pharmacists and pharmacy interns shall enter
prescription data into the computerized system and
access the data, except as provided in paragraph
(21) of this subdivision.
Except as otherwise provided in 16 CFR Part 1700 (Code
of Federal Regulations, 1984 edition, Superintendent of
Public Documents, U.S. Government Printing Office, Washington,
DC 20402: 1984, available at New York State Board of Pharmacy,
Office of the Professions, State Education Building - 2nd
floor, 89 Washington Avenue, Albany, New York 12234), failure
to package a drug in a child-resistant container unless
either the prescriber or the patient requests otherwise.
Such request shall be documented in the records of the
pharmacy. Child-resistant containers shall not be reused.
Failure by a supervising pharmacist to provide adequate
supervision of a registered establishment. A supervising
pharmacist must be a full-time employee of the establishment.
For the purposes of this section, full-time shall be deemed
to be 30 or more hours per week. In those circumstances
in which an establishment operates for less than 30 hours
per week, the supervising pharmacist shall be employed
for a majority of the hours that the establishment operates.
The State Board of Pharmacy shall be notified within seven
days of any change in the identity of the supervising pharmacist
of a registered establishment. Such notification shall
be made by the owner of the registered establishment.
Advertisements of the prices of prescription drugs which
do not comply with the following provisions:
The advertised price shall be in effect for a period
of time stated in the advertisement.
When the advertising of prescription prices forms
part of a larger advertisement which includes the
offering of general merchandise, the advertising
pertaining to prescription prices shall be separated
physically, such as by a box, from the advertising
pertaining to general merchandise.
Nothing in this subdivision shall be construed
to prevent the use in advertising of a statement
to the effect that the price for which any prescription
will be filled is available on request.
Such advertisement shall comply with the "Prescription
Drug Consumer Price Listing" requirements set
forth in Section 200.200 of Title 21 of the Code
of Federal Regulations (1984 edition, Superintendent
DC 20402: 1984, available at New York State Board
of Pharmacy, Room 3035, Cultural Education Center, Albany, NY 12230).
Advertising or soliciting professional practice by means
of providing physicians, or others authorized to prescribe,
with prescription blanks imprinted with either the name
of the pharmacist or the name of the pharmacy.
Failing to make prescription fee or price information
readily available by providing such information upon request
and upon the presentation of a prescription for pricing
or dispensing. Nothing in this section shall be construed
to prohibit the quotation of price information on a prescription
drug to a potential consumer by telephone.
Placing in stock of any pharmacy any part of any prescription
compounded or dispensed which is returned by a patient;
provided, however, that in a health care facility, including
but not limited to a general hospital, which has its own
pharmacy and in which unit-dose medication is dispensed
to inpatients, each dose being individually sealed and
labeled with the name of the drug, dosage strength, manufacturer's
control number and expiration date, the unused unit dose
of medication may be returned to the pharmacy of the facility
for redispensing; and provided further that unused medication
may be returned to pharmacies by residential health care
facilities in accordance with the provisions of 10 NYCRR
415.18(f) or by other facilities, including but not limited
to county correctional facilities, provided that such other
facilities utilize standards, policies and procedures determined
by the State Board of Pharmacy to be equivalent to those
enumerated in 10 NYCRR 415.18(f).
Repacking of drugs in a pharmacy, except by a pharmacist
or under his/her immediate and personal supervision. Labels
on repacked drugs shall bear sufficient information for
proper identification and safety. A repacking record shall
be maintained, including the name, strength, lot number,
quantity and name of the manufacturer and/or distributor
of the drug repacked, the date of the repacking, the number
of packages prepared, the number of dosage units in each
package, the signature of the person performing the repacking
operation, the signature of the pharmacist who supervised
the repacking, and such other identifying marks added by
the pharmacy for internal recordkeeping purposes. Drugs
repacked for in-house use only shall have an expiration
date 12 months, or 50 percent of the time remaining to
the manufacturer's expiration date, whichever is less,
from the date of repacking. For the repacking of drugs
by manufacturers and wholesalers, the provisions of Parts
210 and 211 of Title 21, Code of Federal Regulations (1984
edition, Superintendent of Documents, U.S. Government Printing
Office, Washington, DC 20402: 1984, available at New York
State Board of Pharmacy, Office of the Professions, State
Education Building - 2nd floor, 89 Washington Avenue, Albany,
New York 12234), shall apply. Repacking records shall be
maintained for five years and shall be made available to
the department for review and copying.
Repacking drugs in customized patient medication packages (patient med-pak or patient medication package) unless the following conditions are complied with:
medications are packaged in moisture-proof containers that are either non-reclosable or are designed to show evidence of having been opened;
medications are dispensed in containers that bear a label affixed to the immediate container in which the medications are dispensed in accordance with section 6810(1) of the Education Law. Such label shall include:
all information required by Education Law section 6810(1); the name, strength, physical description or identification, and quantity of each medication;
the address and telephone number of the dispenser; an expiration date for the customized patient medication package, which shall not be longer than the shortest recommended expiration date of the medications included therein, provided that in no event shall the expiration date be more than 60 days from the date of preparation of the package and shall not exceed the shortest expiration date on the original manufacturer's bulk containers for the dosage forms included therein;
a separate identifying serial number for each of the prescription orders for each of the drug products contained in the customized patient medication package and, unless such number provides complete information about the customized patient medication package, a serial number for the customized patient medication package itself; and
any other information, including storage instructions or any statements, or warnings required for the medications contained in the package;
medications shall not be repackaged for or reissued to any patient other than to the patient for whom they are originally dispensed;
medications shall not be dispensed in customized patient medication packages, without the consent of the patient, the patient's caregiver, or the prescriber, and the patient or caregiver shall be properly instructed in the use of such packages, in how to identify each medication, and in the steps to be taken in the event one of the medications is discontinued or the therapy otherwise altered;
controlled substances shall not be dispensed in customized patient medication packages;
medications that are unstable or therapeutically incompatible shall not be dispensed in customized patient medication packages; and
a record of each customized patient medication package shall be maintained by the pharmacist. Each record shall contain:
the serial number of the prescription order for each medication contained therein, or other means of individualized tracking system acceptable to the department;
the name of the manufacturer or labeler and the lot number for each medication contained therein;
information identifying or describing the design, characteristics, or specifications of the customized patient medication package sufficient to allow subsequent preparation of an identical customized patient medication package for the patient;
the date of preparation of the customized patient medication package and the expiration date that was assigned;
any special labeling instructions; and the name or initials of the pharmacist who prepared the customized patient medication package.
Holding for sale, offering for sale and selling adulterated
and/or misbranded drugs, devices and cosmetics. Any drug,
device or cosmetic shall be deemed to be adulterated and/or
misbranded if:
it is not manufactured in accordance with the good
manufacturing practices specified in Parts 210 and
211 of Title 21, Code of Federal Regulations (1984
edition, Superintendent of Documents, U.S. Government
Printing Office, Washington, DC 20402: 1984, available
at New York State Board of Pharmacy, Room 3035, Cultural Education Center, Albany, NY 12230), provided
that a drug manufactured by a pharmacy for in-house
use may be manufactured in accordance with protocols,
including documentation by means of a batch record,
which insure the meeting of established standards
for purity and potency; and
at any time it fails to meet standards for purity,
potency, labeling, safety and effectiveness established
under the Federal Food, Drug and Cosmetic Act, as
amended (June 1981, Superintendent of Public Documents,
U.S. Government Printing Office, Washington, DC 20402,
available at New York State Board of Pharmacy, Room 3035, Cultural Education Center, Albany, New York 12230).
Holding for sale, offering for sale, or selling:
any drug later than the date, if any, marked upon
the label as indicative of the date beyond which
the contents cannot be expected beyond reasonable
doubt to be safe and effective and/or the beyond use date, which shall mean the expiration date of the drug provided, however,
that when such drug is identified as an outdated
drug by segregation from regular stock or by other
means, the holding of such drug beyond its expiration
date shall not be deemed a violation of this paragraph.
When the expiration date is expressed by month and
year, the expiration date shall be the last day of
the month indicated; or
any drug, the nature of which requires storage
under special conditions of temperature control as
indicated either on the labeling, in the directions
for storage of said drug contained in an official
compendium, or as directed by common prudence, unless
such special condition of temperature control shall
have been complied with during the entire period
of time in which such drug has been held for sale.
The sale of drugs at auction without filing with the
State Board of Pharmacy, at least seven days prior to the
date of said auction, a notice giving the date, time and
place of the auction. At such auction, drugs in bulk or
in open containers may be sold in one lot only to a registered
pharmacy. The drugs shall be removed to the premises of
the purchaser promptly and the board notified as to the
disposition of such drugs; provided, however, that drugs
found, by the representative of the board assigned to such
auction, to be unfit for human use by virtue of age, adulteration
and/or misbranding shall be destroyed voluntarily in the
presence of the said representative or shall be quarantined
by the representative pending action for seizure and destruction.
Holding for sale, offering for sale, selling or distributing
a new drug or an investigational new drug, which is not
recognized as a new drug or an investigational new drug
under the provisions of Part 310 or 312 of Title 21, Code
of Federal Regulations (1984 edition, Superintendent of
Room 3035, Cultural Education Center, Albany, New York 12230).
Abandoning the premises of a registered establishment.
Premises shall be deemed abandoned if the registrant vacates
the premises without surrendering the certificate of registration
to the State Board of Pharmacy and without making appropriate
arrangements for the disposal of prescription-required
Aiding and abetting an unlicensed person to dispense
Subject to the limitations set forth in subparagraph
(ii) of this paragraph, an unlicensed person may
assist a pharmacist in the dispensing of drugs by:
receiving written or electronically transmitted
prescriptions, except that in the case of electronically
transmitted prescriptions the pharmacists or
pharmacy intern shall review the prescription
to determine whether in his or her professional
judgment it shall be accepted by the pharmacy,
and if accepted, the pharmacist or pharmacy
intern shall enter his or her initials into
the records of the pharmacy;
typing prescription labels;
keying prescription data for entry into a
computer-generated file or retrieving prescription
data from the file, provided that such computer-generated
file shall provide for verification of all
information needed to fill the prescription
by a pharmacist prior to the dispensing of
the prescription, meaning that the pharmacist
shall review and approve such information and
enter his or her initials or other personal
identifier into the record-keeping system prior
to the dispensing of the prescription or of
the prescription refill;
getting drugs from stock and returning them
getting prescription files and other manual
records from storage and locating prescriptions;
counting dosage units of drugs;
placing dosage units of drugs in appropriate
affixing the prescription label to the containers;
preparing manual records of dispensing for
the signature or initials of the pharmacist;
handing or delivering completed prescriptions
to the patient or the person authorized to
act on behalf of the patient after the pharmacist
or the pharmacy intern has met the requirements
of Section 63.6(b)(8) of this Title advising the patient or person authorized to act on behalf of the patient of the availability of counseling to be conducted by the pharmacist or pharmacy intern.
Limitations on assistance by an unlicensed person.
No pharmacist shall obtain the assistance
of more than two unlicensed persons in the
performance of the activities set forth in
clauses (i)(b)-(i) of this paragraph. The pharmacist
shall provide the degree of supervision of
such persons as may be appropriate to ensure
compliance with the provisions of this Part
and Part 63 of this Title. Individuals who
are responsible for the act of placing drugs
which are in unit-dose packaging into medication
carts as part of an approved unit-dose drug
distribution system for patients in institutional
settings shall be exempt from such ratio, provided
that such individuals are not also engaged
in performing the activities set forth in clauses
(i)(b)-(i) of this paragraph.
Unlicensed persons shall not be authorized
receive oral prescriptions from prescribers;
interpret and evaluate a prescription
for conformance with legal requirements,
authenticity, accuracy and interaction
of the prescribed drug with other known
prescribed and over-the-counter drugs;
make determinations of the therapeutic
equivalency as such determinations apply
to generic substitution;
measure, weigh, compound or mix ingredients;
sign or initial any record of dispensing
required to be maintained by law;
counsel patients; or
perform any other function involving
the exercise of professional judgment.
No drug which is dispensed with the assistance
of an unlicensed person, as provided in subparagraph
(i) of this paragraph, shall be dispensed without
the review and approval of the pharmacist.
Nothing in this Part shall be construed to prevent the ownership of
a firm or corporate practice in this State by an unlicensed person or
persons or to prevent any contractual arrangement computing the salary
of professional employees or the amount due the owner of such firm or
corporation or a person leasing space or equipment to such firm or corporation
on the basis of a percentage of the receipts from the performance of professional
services. This provision shall apply in lieu of Section 29.1(b)(4) of
The requirements of this section and sections 29.1 and 29.2 of this
Part shall be applicable to nonresident establishments, as defined in
section 6808-b of the Education Law, to the extent prescribed in section
63.8 of this Title.
§ 29.8 Special provisions for the profession of
Unprofessional conduct in the practice of optometry shall include
all conduct prohibited by Sections 29.1 and 29.2 of this Part,
advertisements of the prices of frames or lenses which
do not identify the lenses as single vision, bifocal or
trifocal; the specific type of bifocal or trifocal lenses;
and as either glass or plastic. Advertisements which indicate
that a number of frame types are available at a stated
price at an establishment shall not be prohibited; provided,
however, that stock sufficient to meet any demand which
may be reasonably expected must be maintained at the location.
Advertisements of the prices of contact lenses shall state
whether the lenses are hard or soft. Any advertised price
shall be in effect for a period of time stated in the advertisement;
aiding and abetting, directly or indirectly, the conduct
or advertising of any employer, firm or associate if such
conduct or advertising conflicts with the foregoing regulations
in this Part. It shall also be unprofessional conduct for
a licensee to continue in the employment of an employer
who has been found to have advertised in violation of this
Part after a preliminary hearing. Notice of such preliminary
hearing shall be given in writing to the licensee and to
the employer. It shall state the specific violation or
violations, and that continuation of the licensee's employment
after the charges are sustained may constitute unprofessional
conduct by the licensee. It shall also state that both
the licensee and the employer shall have the right to appear
at the preliminary hearing, the right to be represented
by counsel, and the rights set forth in Section 6510 of
failing to provide a patient, upon request, with the
patient's prescription, including the name, address and
signature of the prescriber and date of the prescription;
failing to adhere to standards for ophthalmic materials
as set forth in regulations of the Commissioner of Education;
failing to wear an identifying badge as required by Section
29.2(a)(10) of this Part, while working in an establishment
which dispenses eyeglasses or lenses to the public.
Nothing in this Part shall be construed to prevent the sale of eyeglasses
or lenses for the correction of vision by any person, firm or corporation
in accordance with the provisions of Section 7106(2) of the Education
Law, or to prevent any contractual arrangement between any such person,
firm or corporation, its professional employees, or a person leasing space
or equipment to such firm or corporation under which the amount due any
of such parties is computed on the basis of a percentage of the receipts
from the performance of professional services. This provision shall apply
in lieu of Section 29.1(b)(4) of this Part.
§ 29.9 Special provisions for the profession of
ophthalmic dispensing.
Unprofessional conduct in the practice of ophthalmic dispensing
of this Part, except as provided in this section, and shall also
trifocal; the specific type of bifocal or trifocal lenses,
conduct or advertising conflicts with the foregoing regulations.
It shall also be unprofessional conduct for a licensee
to continue in the employment of an employer who has been
found to have advertised in violation of these regulations
after a preliminary hearing. Notice of such preliminary
failing to fill the prescription in which the refractive
error of the eye at a vertex distance is indicated and
to dispense the proper effective power of the prescription
as adapted and fitted to the patient. Such prescription
may not be modified without the approval of the prescriber
and unless this approval is noted on the prescription;
failing to wear an identifying badge, as required by
Section 29.2(a)(10) of this Part, while working in an establishment
in accordance with the provisions of Section 7126(1) of the Education
§ 29.10 Special provisions for the profession of
public accountancy.
Unprofessional conduct in the practice of public accountancy
Part, except as provided in this section, and shall also include
in expressing an opinion on representations in the financial
statements which the public accountant examined:
failing to disclose a material fact known to the
licensee which is not disclosed in the financial
statements but disclosure of which is necessary to
make the financial statements not misleading;
failing to report any material misstatement known
to the licensee to appear in the financial statements;
failing to acquire sufficient information to warrant
the expression of an opinion, or the licensee's exceptions
are sufficiently material to negate the expression
of an opinion; or
failing to direct attention to any material departure
from generally accepted accounting principles or
to disclose any material omission of generally accepted
auditing procedures applicable in the circumstances;
allowing any person other than a partner or a duly authorized
employee to engage in the public practice of accountancy
in the licensee's name or in the name of his or her firm,
this paragraph not being intended to apply to the use of
firm names by successors;
issuing in the public accountant's name, or permitting
his or her firm to issue in its name, a report purporting
to be based upon an examination by the licensee or his
or her firm of financial statements, when any material
portion of the examination of such statements and related
records, including the examination of any material, financial
statements or data incorporated in the financial statements
reported upon, has not been made either:
by the public accountant or a partner or an employee;
with the approval of the public accountant or his
or her firm, by a certified public accountant of
a state, territory or possession of the United States
or the District of Columbia or the holder of an equivalent
certificate issued by the proper authorities of another
country, or a firm partially composed of such certified
public accountants or holders of equivalent certificates,
or by a public accountant of the State of New York;
making a written forecast of future transactions or permitting
such a forecast to be issued in the licensee's name or
his or her firm's name without setting forth:
the character of work performed;
the sources of information used and major assumptions
made, and the degree of responsibility taken with
a statement that the public accountant or firm
does not vouch for the achievability of the forecast;
expressing an independent opinion or knowingly permitting
his or her firm to express an opinion on financial statements
of an enterprise, whether such enterprise is a for-profit
or a not-for-profit enterprise, if the licensee or a partner
or employee in the firm is not independent with respect
to such enterprise. Independence will be considered to
be impaired if the public accountant, or a partner in the
firm, owns or is committed to acquire any direct or material
indirect financial interest in the enterprise or had a
direct or material indirect financial relationship with
any officer, director, employee or principal stockholder
of the enterprise. Independence will be considered to be
impaired if the licensee, a partner in the firm or a member
of his or her or the partner's immediate family, is or
has been a director or officer of the enterprise, or is
or has been involved in any situation creating a conflict
of interest, during the period covered by the examination
or at the time of issuance of a report;
offering or rendering professional services under a contingency
fee arrangement when serving a client for whom the licensee
performs: an audit or review of a financial statement;
or a compilation of a financial statement when the licensee
knows or has reason to know that a third party will use
the financial statement and the licensee's compilation
report does not disclose a lack of independence; or an
examination of prospective financial information; or an
original or amended tax return or claim for a tax refund;
or any public accounting services for a client during the
period in which the licensee is engaged in the foregoing
services for that client or for any period covered by historical
financial statements involving such foregoing services.
For the purposes of this paragraph, a contingency fee shall
mean a fee established for the performance of any service
pursuant to an arrangement whereby no fee, or lesser fee,
will be charged unless a specified finding or result is
attained, or where the fee is otherwise contingent upon
the finding or result of such service. Fees are not regarded
as contingent if fixed by courts or other public authorities
or, in tax matters, if determined on the basis of the results
of judicial proceedings or the findings of governmental
agencies. Fees charged may vary depending on the complexity
of the service rendered;
permitting the public accountant's name to be associated
with statements purporting to show financial position or
results of operations in such a manner as to imply that
he or she is acting as an independent certified public
accountant or public accountant, unless:
the licensee has complied with generally accepted
auditing standards. The State Board for Public Accountancy
may consider statements on auditing standards promulgated
by the United States Securities and Exchange Commission
or the Public Company Accounting Oversight Board
for licensees subject to such requirements, or a
recognized national accountancy organization whose
standards are generally accepted by other regulatory
authorities in the United States, including but not
limited to: the American Institute of Certified Public
Accountants to be interpretations of generally accepted
auditing standards. Departures from such standards,
or other standards considered by the State Board
to be applicable in the circumstances, must be justified
by a licensee who does not follow them; and
the licensee expresses an opinion on financial
statements or financial data presented in conformity
with generally accepted accounting principles. The
State Board for Public Accountancy may consider those
principles promulgated by a recognized national accountancy
organization whose standards are generally accepted
by other regulatory authorities in the United States,
including but not limited to: the Financial Accounting
Standards Board, the Government Accounting Standards
Board, and the International Accounting Standards
Board, to be generally accepted accounting principles.
If financial statements or data contain departures
from generally accepted accounting principles but
the licensee can demonstrate that the financial statements
or data would have been misleading had generally
accepted accounting principles been followed, the
licensee's opinion should describe the departure,
its approximate effect if practicable, and the reasons
why compliance with generally accepted accounting
principles would have otherwise been misleading;
refusing to furnish to a client upon request:
copies of tax returns; or
copies of reports or other documents that were
previously issued to or for such client; or
any accounting or other records belonging to or
obtained for the client which the public accountant
may have had occasion to remove from the client's
premises or to receive for the client's account;
but this shall not preclude making copies of such
documents when they form the basis for work done
by the licensee; but in no event shall the public
accountant have a lien on these accounting or other
copies of information contained in an accountant's
working papers, if such information would ordinarily
constitute part of the client's books and records
and is not otherwise available to the client. Such
information shall include client owned records or
records which the licensee receives from a client.
In addition, it shall include any records, tax returns,
reports, or other documents and information which
are contained in an accountant's working papers that
were prepared for the client by the accountant and
for which the accountant has received payment from
after the licensee has complied with the foregoing
requirements by providing information to a client,
it shall not constitute unprofessional conduct for
an accountant to refuse to provide the same information
to the client pursuant to a subsequent request by
that client;
this paragraph shall apply in lieu of Section 29.1(b)(7)
permitting any partner, or employee acting as such, to
perform any service for his or her client which the licensee
or the firm is not permitted to perform;
soliciting or advertising for clients in violation of
Section 29.1(b)(12) of this Part, which shall be interpreted
as follows: soliciting and advertising not in the public
interest shall include, but not be limited to, obtaining
clients through any other corporation or business used
as a "feeder"; using the title of certified public
accountant or public accountant together with that of any
other business or occupation on any letterhead, card, circular
or other media, if the certified public accountant or public
accountant conjointly engages in such business or occupation
with his or her public accounting practice; provided, however,
that nothing herein shall prohibit a certified public accountant
or public accountant licensed to practice another profession
from including such professional designation on his or
her letterhead or business card or upon any listing or
other designation of his or her office;
failing to maintain and/or submit work papers in accordance
Applicability of the requirement. The documentation
requirements of subparagraph (iii) shall apply to
work papers in support of work products issued on
or after January 3, 2003. The retention requirements
of subparagraph (iv) of this paragraph shall apply
to the licensee's work papers that exist on or after
Definition. As used in this paragraph:
Work papers means the licensee's records
of the procedures applied, the tests performed,
the information supporting, and the material
conclusions reached for a work product produced
in the practice of public accountancy as defined
in section 7401 of the Education Law, including
but not limited to an audit, review, compilation,
forecast or projection. Work papers may include,
but are not limited to, programs used to perform
professional services, analyses, memoranda,
letters of confirmation and representations,
copies or abstracts of company documents and
schedules or commentaries prepared or obtained
by the licensee. Work papers may be in handwritten,
typewritten, printed, photocopied, photographed,
or electronic form, or in any other form of
letters, words, pictures, sounds, or symbols.
Substantive alterations to work papers means
changes to work papers that alter the nature,
timing, extent, and results of the procedures
performed for the work product; alter the information
obtained and the conclusions reached for the
work product; and alter the identity of the persons
who performed and reviewed the work for the work
Documentation in work papers.
Work papers shall contain sufficient documentation
to enable a reviewer with relevant knowledge
and experience, but having no previous connection
with the specific work product, to understand
the nature, timing, extent, and results of
the procedures performed for the work product,
information obtained and conclusions reached
for the work product, and the identity of the
persons who performed and reviewed the work
for the work product.
Within 45 days of the issuance of the work
product, a complete set of work papers shall
be retained. Any substantive alteration to work
papers made subsequent to the issuance of the
work product shall be clearly documented by indicating
the subject of the alteration, the date of the
alteration, and the reason for the alteration.
Substantive alterations to work papers resulting
from post-issuance review procedures shall be
identified in an addendum to the work papers.
Such alterations shall be clearly documented
by indicating the subject of the alteration,
the date of the alteration, and the reason for
Retention of work papers.
Licensees shall ensure that a formal written
policy is established for the retention of
work papers that is in accordance with the
requirements of this subparagraph. Licensees
employed by an employer authorized to practice
public accountancy shall have met this requirement
for a formal written policy, for work papers
produced under such employment, if their employer
has established a formal written policy for
the retention of work papers that is in accordance
with the requirements of this subparagraph.
Such written policy shall identify the process
and authorization requirements for the destruction
of work papers after the expiration of the
Licensees shall ensure that work papers are
retained for a minimum of seven years after the
date of issuance of the work product, unless
licensees are required by law to retain such
records for a longer period. Work papers may
be retained for a period that is longer than
seven years from the date of the issuance of
the work product and may be retained permanently.
retained during the term of a New York State
Education Department investigation or disciplinary
proceeding by the New York State Education Department
that is reasonably related to such work papers.
Licensees shall not dispose of such work papers
until notified in writing by the New York State
Education Department of the closure of the investigation
or until final disposition of the disciplinary
If work papers are retained in an electronic
form, the licensee shall ensure that such work
papers are capable of being accessed, for read-only
purposes, throughout the required retention period
established for the work papers and are safeguarded
through sound computer security procedures to
prevent the unauthorized modification of the
Work papers shall not be destroyed or otherwise
disposed of at a time or in a manner that is
inconsistent with applicable requirements of
Availability of work papers to the department.
A licensee shall make available to the New York State
Education Department at its request work papers that
the department determines to be relevant to an inquiry
or complaint about a licensee's unprofessional conduct,
in accordance with the requirements of section 29.1(b)(13)
in determining "incompetence" or "negligence" within
the meaning of Section 6509(2) of the Education Law, the
Board of Regents and the Education Department may consider
among others, the generally accepted auditing standards
and accounting principles promulgated by the American Institute
of Certified Public Accountants and by the Financial Accounting
Standards Board (as referenced in paragraph [7] of this
subdivision);
failing to meet the competency requirements of this paragraph
when supervising attest or compilation services or signing
or authorizing someone to sign an accountant's report on
the financial statements of a client for such services.
Applicability of the requirement. Effective July 26, 2009, each licensee shall be subject to the competency requirements of this paragraph when supervising attest or compilation services or signing or authorizing someone to sign an accountant’s report on the financial statements of a client for such services, unless the certified public accountant or public accountant was licensed in New York State prior to July 26, 2009. For certified public accountants or public accountants licensed prior to July 26, 2009, the licensee shall be subject to the competency requirements of this paragraph beginning January 1, 2011.
Any licensee who supervises attest services or signs
or authorizes someone to sign an accountant’s report
on the financial statements of a client for such services
have at least 1,000 hours of experience within the previous five years in providing attest services or reporting on financial statements gained through employment in government, private industry, public practice or an educational institution satisfactory to the State Board for Public Accountancy; orbe employed by a firm registered with the Department pursuant to section 70.8 of the Regulations of the Commissioner of Education that has undergone a peer review satisfactory to the Department which indicates that the firm has received a rating of pass or pass with deficiencies; and
have completed at least 40 hours of continuing education in the area of accounting, auditing or attest during the prior three calendar years or in the calendar year in which the service is performed; and
have maintained the level of education, experience and professional conduct required by generally accepted professional standards as described in paragraph (7) of this subdivision, relating to the attest services performed.
Any licensee who supervises a compilation engagement or signs or authorizes someone to sign an accountant’s report on financial statements of a client for such compilation services shall:
have maintained the level of education, experience and professional conduct required by generally accepted professional standards as described in paragraph (7) of this subdivision, relating to the compilation services performed.
failing to maintain an active registration with the Department
in accordance with the requirements of this paragraph when
a licensee engages in the practice of public accountancy
pursuant to Education Law section 7401 or uses the title "certified
public accountant" or the designation "CPA" or
the title "public accountant" or the designation "PA".
Applicability of the requirement. Effective July
26, 2009, all certified public accountants and public
accountants licensed in New York State who are either
to Education Law section 7401 of the Education Law
or use the title "certified public accountant" or "public
accountant" shall register with the Department. Any certified public accountant or public accountant
licensed in New York State who is not practicing public
accountancy pursuant to Education Law section 7401
and does not use the title "certified public
accountant" or the designation "CPA" or
the title "public accountant" or designation "PA" may
request an inactive status and will not be required
to register with the Department.
Definition: As used in this paragraph:
inactive status shall mean that a certified
public accountant or public accountant has
requested, and the Department has approved,
an inactive status because the certified public
accountant or public accountant does not use
the title "certified public accountant" or
the designation "CPA" or the title "public
accountant" or designation "PA" and
does not practice public accountancy
pursuant to Education Law section 7401.
use of the title "certified public accountant" or "public
accountant" or designation "CPA" or "PA" shall
mean any representation that a person holds a license
as a certified public accountant or public accountant,
provided that representation is made by the licensee,
or by someone associated with the licensee who
the licensee has knowingly allowed to make such
representation, or by someone serving as the licensee's
agent who the licensee has knowingly allowed to
make such representation.
A representation shall include, but not be limited
to, any oral, electronic, or written communication
within the control of the licensee, indicating
that the person holds a license, including without
limitation the use of titles or designations on
letterheads, reports, business cards, brochures,
resumes, office signs, telephone directories, websites,
the Internet, or any other advertisement, news
article, publication, listing, tax return signature,
signature on experience certifications for licensure
applicants, the display of licenses as a certified
public accountant or public accountant from this
or any other jurisdiction, or the display of certificates
or licenses from other organizations which have
the designation "CPA" or "PA" or
accountant" with the licensee's name.
Unprofessional conduct shall also include permitting any person to share
in the income of a firm practicing public accountancy other than a person
authorized to practice public accountancy who is a sole proprietor, a
partner, or an officer, director or shareholder of a professional corporation
or an employee thereof. This prohibition shall not prevent the payment
of salaries or other compensation to employees of a public accounting
firm, provided that the total of salaries and other compensation of unlicensed
employees which is computed in whole or in part on the basis of a percentage
of the income or receipts of the firm does not exceed 35 percent of the
annual net income of the firm. For the purposes of this subdivision, annual
net income of the firm shall be computed without deduction for total compensation
paid to a sole proprietor, partners, or officers, directors or shareholders
of professional corporations. Except as provided in this subdivision,
it shall be unprofessional conduct for a licensee or professional accounting
firm to enter into any arrangement or agreement whereby the amount to
be paid for furnishing of space, facilities, equipment or personnel services
to the licensee or firm is computed in whole or in part on the basis of
a percentage of, or is otherwise dependent upon, the income or receipts
of the licensee or firm. The provisions of this subdivision shall apply
Unprofessional conduct shall also include revealing of personally identifiable
facts, data or information obtained in a professional capacity without
the prior consent of the client, except such information may be disclosed
as necessary to other licensees of the profession conducting professional
standards or ethics reviews, or as otherwise authorized or required by
The definitions of unprofessional conduct prescribed in sections 29.1
and 29.10 of this Part that apply to licensees shall also apply to public
accountancy firms, meaning any form of business organization that is authorized
to engage in the practice of public accountancy and is subject by law
to Regents disciplinary proceedings and penalties in the same manner and
to the same extent as licensees, unless public accountancy firms are specifically
exempted from the definitions of unprofessional conduct in such sections
Reportable events.
For purposes of this subdivision, public accountancy
firm shall have the meaning defined in subdivision (d)
shall include failure of a licensee or public accountancy
firm to submit a written report, as prescribed in paragraph
(3) of this subdivision, to the department within 45 days
of the occurrence of any of the following events, even
though all available appeals have not yet been exhausted,
unless exempted from disclosure pursuant to paragraph (5)
of this subdivision or excused for good cause as determined
by the department, such as a circumstance beyond the licensee's
or public accountancy firm's control that prevented timely
conviction of a licensee, a registered partnership,
or public accountancy firm in New York State or any
other jurisdiction of a crime that constitutes a
felony or misdemeanor in the jurisdiction of conviction.
For purposes of this subparagraph, conviction shall
include a plea of guilty or no contest, or a verdict
or finding of guilt that has been accepted and entered
by a court of competent jurisdiction;
receipt of a court decision awarding a monetary judgment
in excess of twenty-five thousand dollars in a civil
action brought in a court of competent jurisdiction
or an award in excess of twenty-five thousand dollars
in an arbitration proceeding in which the licensee,
the registered partnership, or public accountancy firm
is found to be liable for:
negligence, gross negligence, recklessness,
or intentional wrongdoing relating to the practice
of public accountancy in New York State;
fraud or misappropriation of funds relating
to the practice of public accountancy in New
breach of fiduciary responsibility relating
York State; or
preparation, publication, and/or dissemination
of false, fraudulent, and/or materially incomplete
or misleading financial statements, reports,
or information relating to the practice of
public accountancy in New York State;
receipt of written notice of imposition of a disciplinary
penalty upon the licensee, the registered partnership,
or public accountancy firm, including but not limited
to, censure, reprimand, sanction, probation, monetary
penalty, suspension, revocation, or other limitation
on practice, relating to the practice of public accountancy,
Commission or the Public Company Accounting
another agency of the United States government
that regulates the practice of public accountancy;
an agency of the government of another state
or territory of the United States that regulates
the practice of public accountancy; or
an agency of the government of another country
The report to the department shall consist of the following:
for a conviction as prescribed in subparagraph
(i) of paragraph (2) of this subdivision, the report
shall consist of a copy of the certificate of conviction,
or comparable document of the court;
for a court decision or arbitration award as prescribed
in subparagraph (ii) of paragraph (2) of this subdivision,
the report shall consist of a copy of the court decision
or arbitration award and any findings of facts or
special verdict form;
for a written notice of imposition of a disciplinary
penalty upon the licensee, as prescribed in subparagraph
(iii) of paragraph (2) of this subdivision, the report
shall consist of a copy of the notice; or
in lieu of the documentation described in subparagraphs
(i), (ii), or (iii) of this paragraph, a narrative
statement on a form prescribed by the department
setting forth information specified by the department,
including but not limited to the date and jurisdiction
of the court decision and/or judgment, conviction,
arbitration award, or notice of imposition of disciplinary
penalty, as applicable.
A public accountancy firm shall be responsible for reporting
reportable events relating to the public accountancy firm,
and shall designate an individual to make such reports.
An individual licensee shall be responsible for reporting
those reportable events specifically relating to the licensee.
Licensees who are partners in a registered partnership
may designate an individual to report reportable events
relating to the registered partnership, but each such licensee
shall be responsible for ensuring the reporting of the
Failure to submit a report which is subject to a confidentiality
order, clause or provision in a court decision or arbitration
award under subparagraphs (i) or (ii) of paragraph (2)
of this subdivision shall not be deemed to constitute unprofessional
conduct under the following conditions:
the court or arbitrator has included language in
such decision that specifically provides that the
decision shall not be reported to the department
pursuant to this subdivision; or
the licensee or firm demonstrates to the satisfaction
of the department that the licensee or firm explicitly
informed the court or arbitrator in writing prior to
execution of any confidentiality order, clause or provision
of the duty to report such decision to the department
and the effect of any confidentiality order, clause
or provision on such duty of disclosure, and the confidentiality
order, clause or provision does not expressly provide
for disclosure to the department.
Reports submitted to the department in accordance with
this subdivision shall be files of the department relating
misconduct and shall be confidential in accordance with
the provisions of subdivision (8) of section 6510 of the
Nothing in this subdivision shall have any effect upon
the duty of the licensee or firm to respond fully to all
questions on any re-registration application which shall
become due, or to respond to written communications from
the department pursuant to section 29.1(b)(13) of this
Unprofessional conduct in the practice of public accountancy shall include:
having admitted guilt to or having been found guilty
of improper professional practice or professional misconduct
in a disciplinary proceeding brought by the United States
Securities and Exchange Commission or the Public Company
Accounting Oversight Board, where the conduct upon which
the finding or admission of guilt was based would, if committed
in New York State, constitute professional misconduct under
the laws of New York State, provided that in any adversary
proceeding conducted pursuant to subdivision (3) of section
6510 of the Education Law, the individual licensee or public
accountancy firm shall have the rights set forth in that
having voluntarily consented to a revocation or temporary
or permanent suspension of the authority to appear or practice
as an accountant before the United States Securities and
Exchange Commission or the Public Company Accounting Oversight
Board, or having voluntarily surrendered such authority;
or having voluntarily consented to a revocation or temporary
or permanent suspension from further association with any
public accounting firm registered pursuant to Chapter 98
of Title 15 of the United States Code, or having voluntarily
surrendered such authority; or having voluntarily consented
to a revocation or temporary or permanent suspension of
registration under Chapter 98 of Title 15 of the United
States Code, or a voluntary surrender of such registration;
all after a disciplinary action was commenced by the United
States Securities and Exchange Commission or the Public
Company Accounting Oversight Board where any conduct charged
resulting in the consent to such revocation or temporary
or permanent suspension or surrender would, if committed
the laws of New York State; and where the date of such
consent or surrender is on or after January 1, 2007. In
any adversary proceeding conducted pursuant to subdivision
(3) of section 6510 of the Education Law, the individual
licensee or public accountancy firm shall have the rights
set forth in that subdivision.
Unprofessional conduct in the practice of public accountancy, as such
practice relates to the audit in the practice of public accountancy of
an issuer of publicly traded securities that is subject to the Federal
Sarbanes-Oxley Act of 2002, shall include, for purposes of subdivision
(f) of this section, a failure of a licensee or public accountancy firm,
as appropriate, to meet the standards prescribed in the following provisions
of Federal law: subdivisions (a), (b), (g), (h), (i), (j), (k), and/or
(l) of section 78j-1 of Title 15 of the United States Code (United States
Code, 2000 edition, Volume 7, and Supplement II, Volume 1 to the 2000
edition; Superintendent of Documents, U.S. Government Printing Office,
Stop SSOP, Washington, DC 20402-0001; available at the NYS Education Department,
Office of the Professions, 2M West Wing, Education Building, 89 Washington
Avenue, Albany, NY 12234). To the extent that the United States Securities
and Exchange Commission or the Public Company Accounting Oversight Board
have exempted or excepted licensees or public accountancy firms from these
standards, such exemptions or exceptions shall also apply to the requirements
Practice privilege.
Anyone practicing public accountancy under a practice privilege pursuant to subdivision 2 of section 7406 of the Education Law shall be subject to all applicable provisions of the Education Law and of this title relating to professional misconduct as if he or she is licensed to practice in New York.
Unprofessional conduct in the practice of public accountancy shall include the failure to provide notice as required by paragraph (6) or paragraph (7) of subdivision (b) of section 70.7 of this title.
i. As used in this subdivision, commission shall mean
any compensation, including a referral fee, paid by
a third party to the licensee and the public accounting
firm that employs such licensee, for recommending or
referring any product or service to be supplied by another
It shall be unprofessional conduct in the practice of public accountancy
a licensee or the public accountancy firm employing
such licensee to directly or indirectly, offer, give,
solicit, or receive or agree to receive, a commission
for the referral of any product or service to a client
if the licensee is performing any of the following
audit or review of a financial statement;
compilation of a financial statement when the
licensee expects, or reasonably might expect
that a third party will rely upon the financial
statements and the licensee's compilation report
does not disclose a lack of independence; or
and/or any other attest service.
except as otherwise provided in this subdivision, a licensee
to receive a commission for recommending the products or services
of a third party to his/her client without providing a written
disclosure to the client to notify the client of the receipt of
a commission in accordance with the provisions of paragraph (5)
This subdivision does not prohibit the receipt of a payment by a
licensee or firm for the purchase of a public accounting practice
or retirement payments paid to individuals presently or formerly engaged
in the practice of public accountancy or payments to their heirs or
These prohibitions apply during the period in which the licensee
is engaged to perform any of the services described in subparagraph
(i) of paragraph (2) of this subdivision and the period covered by
any financial, accounting or related statements involved in such services.
A licensee who is not performing any of services described in subparagraph
(i) of paragraph (2) of this subdivision for the client, but is performing
other professional services for that client, may accept a commission
for recommending the products or services of a third party to the
client, provided that the licensee discloses the receipt of the commission
to the client by way of a written disclosure statement in 12 point
type or larger containing the following information:
a description of the product(s) or services(s)
which the licensee is recommending to the client,
the identity of the third party that is expected
to provide the product or service, the business relationship
between the licensee and the third party, a description
of any commission which may be received by the licensee
and/or the licensee's firm. Where the product(s)
or service(s) cannot be specifically identified at
the time of the initial disclosure, this information
shall be included in a supplemental disclosure which
the licensee must provide to the client within 30
days of receipt of the commission; and
the dollar amount or value of the commission or the basis on
which such commission shall be computed.
The written disclosure statements prescribed in paragraph (5) of
this subdivision shall be on letterhead of the licensee, if a sole
proprietor, or otherwise on the letterhead of the firm authorized
to practice public accountancy that employs the licensee, and shall
be signed by the licensee. The disclosure statement shall be signed
and dated by the client and contain an acknowledgment by the client
that the client has read and understands the information contained
in the disclosure. Any supplemental disclosures described in subparagraph
(i) of paragraph (5) of this subdivision are not required to be signed
by the client or by the licensee. The licensee shall retain disclosure
statements for a period of seven years and shall provide copies to
clients upon request.
The provisions of this section do not apply to licensees who perform
accounting, management advisory, financial advisory, consulting or
tax services for an entity that is not required to register with the
department under Education Law section 7408.
This subdivision shall apply in lieu of section 29.1(b)(3) of this
§ 29.11 Special provisions for the profession of
certified shorthand reporting.
Unprofessional conduct in the practice of certified shorthand
reporting shall include all conduct prohibited by Section 29.1
of this Part, except as provided in this section. The provisions
of Section 29.1(b)(3) of this Part, except as it prohibits bribes,
and Section 29.1(b)(12)(i)(d), (e) and (g) of this Part shall
not apply to the practice of certified shorthand reporting.
§ 29.12 Special provisions for the profession of
Unprofessional conduct in the practice of psychology shall
include conduct prohibited by Sections 29.1 and 29.2 of this
of this Part and in the treatment of sexual dysfunction,
as well as in other areas of the practice of psychology:
of a sexual nature between psychologist and client;
activities which promote or allow explicit physical
sexual contact between group members during sessions;
the provisions of Section 29.2(a)(5) of this Part shall
apply to psychologists, who may also list in directories
and on professional stationery areas of specialization
and subspecialties recognized by the Board of Regents.
§ 29.13 Special provisions for the profession of
Unprofessional conduct in the practice of massage therapy shall
include all conduct prohibited by Sections 29.1 and 29.2 of this
advertising not in the public interest shall include
using pictures depicting an unclad or undraped
using any proper name under which the licensee
is not registered unless it is the name of the establishment,
firm, partnership, corporation, or professional limited
liability partnership or corporation;
licensed massage therapist, when advertising his or her
practice, from using the letters "LMT" or from
identifying areas of practice, such as, but not limited
to: shiatsu, acupressure, amma, bodywork, reflexology,
Swedish medical massage therapy, polarity, tuina, and connective
tissue massage, provided that such identified areas of
practice are within the scope of practice of massage therapy
as defined in Section 7805 of the Education Law.
nothing in this Part shall be construed to prevent the
ownership of a firm or corporation practicing massage therapy
in this State by an unlicensed person or persons, or to
prevent any contractual or employment arrangement between
such person or persons and the professional licensee conducting
such practice and computing the salary of professional
employees, or the amount due the owner of such firm, partnership,
or corporation on the basis of a percentage of the receipts
from the performance of professional services. This provision
shall apply in lieu of Section 29.1(b)(4) of this Part;
the provisions of Section 29.1(b)(5) of this Part prohibiting
immoral conduct shall apply in the practice of massage
therapy. Massage of genital areas and massage of a client
who is not properly draped for massage, or by a massage
therapist who is not properly dressed, shall be considered
§ 29.14 Special provisions for the profession
Unprofessional conduct in the practice of nursing shall include
Failure to adhere to any requirement prescribed in section
64.7 of this Title.
Administering an immunization agent or anaphylaxis treatment
agent, pursuant to section 64.7 of this Title, when:
such administration is after the agent's date,
if any, marked upon the label as indicative of the
date beyond which the contents cannot be expected
beyond reasonable doubt to be safe and effective.
the agent, the nature of which requires storage under
special conditions of temperature control as indicated
either on the labeling, in the directions for storage
of said agent contained in an official compendium,
or as directed by common prudence, has not been so
stored under special conditions of temperature control,
and the registered professional nurse has knowledge
or reasonably should have had knowledge that the agent
has not been so stored.
§ 29.15. Special provisions for the professions
of creative arts therapy, marriage and family therapy, mental health counseling,
Unprofessional conduct in the practice of creative arts therapy, marriage
and family therapy, mental health counseling and psychoanalysis shall include
conduct prohibited by sections 29.1 and 29.2 of this Part and, in accordance
with section 8407 of the Education Law, shall also include:
in the case of treatment of schizophrenia, schizoaffective
disorder, bipolar disorder, major depressive disorder, panic
disorder, obsessive-compulsive disorder, attention-deficit hyperactivity
disorder and autism, providing any mental health service for
such illness on a continuous and sustained basis without a medical
evaluation of the illness by, and consultation with, a physician
regarding such illness. Such medical evaluation and consultation
shall be to determine and advise whether any medical care is
indicated for such illness;
prescribing or administering drugs as a treatment, therapy, or professional
service in the practice of his or her profession; or
using invasive procedures as a treatment, therapy, or professional service
in the practice of his or her profession. For purposes of this subdivision,
invasive procedure means any procedure in which human tissue is cut, altered,
or otherwise infiltrated by mechanical or other means. Invasive procedure
includes, but is not limited to, surgery, lasers, ionizing radiation,
§ 29.16. Special provisions for the social work professions.
Unprofessional conduct in the practice of licensed master social work and
licensed clinical social work shall include conduct prohibited by sections
29.1 and 29.2 of this Part and, in accordance with section 7708 of the Education
Law, shall also include:
prescribing or administering drugs as a treatment, therapy,
or professional service in the practice of his or her profession;
§ 29.17. Special provisions for the profession of
Unprofessional conduct in the practice of physical therapy shall include
conduct prohibited by sections 29.1 and 29.2 of this Part. In addition,
failing to meet the requirements of subdivision (d) of section 6731 of the
Education Law and/or section 77.9 of this Title, when providing treatment
in the practice of physical therapy without a referral from a physician,
dentist, podiatrist, or nurse practitioner.
§ 29.18. Unprofessional conduct in waived entities.
An entity that is issued a waiver pursuant to section 6503-a or 6503-b of the Education Law and section 59.14 of this Title shall be under the supervision of the Board of Regents and subject to the disciplinary procedures and penalties set forth in subarticle 3 of Article 130 of the Education Law. Any such waiver shall be subject to suspension, revocation or annulment for cause, and any entity holding such a waiver shall be subject to disciplinary proceedings and penalties in the same manner, to the same extent, and for the same reasons as individuals and professional entities practicing the same profession, as provided in Title VIII of the Education Law and this Part. For purposes of this subdivision, a certificate of waiver shall be considered the same as a license to practice a profession.
Failure to disclose information. It shall be unprofessional conduct for an entity issued a waiver pursuant to sections 59.14 or 59.15 of this Title to have failed to disclose all information required by the Department in order to make an accurate determination of the entity’s waiver application. This shall include the failure to notify the Department that a director or officer of the entity has committed an act which raises a reasonable question as to moral character.
Professional services. It shall be unprofessional conduct for an entity operating under a waiver pursuant to section 6503-a or 6503-b of the Education Law to practice any profession licensed pursuant to Title VIII of the Education Law or to hold itself out to the public as authorized to provide professional services, except as authorized by section 6503-a or 6503-b of the Education Law or otherwise authorized by law.
In accordance with section 6503-b(7) of the Education Law, a special education school or early intervention agency granted a waiver under section 59.15 of this Title that conducts or contracts for a component of a multi-disciplinary evaluation that involves the practice of medicine by an individual subject to disciplinary proceedings in accordance with sections 230 and/or 230-b of the Public Health Law shall be subject to the pre-hearing procedures and hearing procedures as are provided with respect to individual licensees in Title 2-A of Article 2 of the Public Health Law. Penalties for professional misconduct. The Board of Regents may impose upon an entity found guilty of unprofessional conduct under this section those penalties and fines authorized in section 6511 of the Education Law. § 29.19. Special provisions for the profession of midwifery.
Unprofessional conduct in the practice of midwifery shall include all conduct prohibited by sections 29.1 and 29.2 of this Part, except as provided in this section, and shall also include:
failure to have collaborative relationships that provide for consultation, collaborative management and referral to address the health status and risks of his or her patients and that include plans for emergency medical gynecological and/or obstetrical coverage with: a licensed physician who is board certified as an obstetrician-gynecologist by a national certifying body;
a licensed physician who practices obstetrics and has obstetric privileges at a general hospital licensed under Article 28 of the Public Health Law; or
a hospital, licensed under Article 28 of the Public Health Law, that provides obstetrics through a licensed physician having obstetrical privileges at such institution; or failure to maintain documentation of such collaborative relationships, to make information about such collaborative relationships available to his or her patients, or to provide such documentation to the Department upon request. Last Updated: July 21, 2014