THE STATE EDUCATION DEPARTMENT / THE UNIVERSITY OF THE STATE OF NEW YORK / ALBANY, NY 12234

 

 

TO:

The Honorable the Members of the Board of Regents

Cultural Education Committee

 

FROM:

Carole Huxley

SUBJECT:

Trusteeship Meeting

 

DATE:

May 30, 2006

 

STRATEGIC GOAL:

Goals 2,3,4 and 5

 

AUTHORIZATION(S):

 

 

Executive Summary

 

Issue for Discussion

 

          Are the plans, funding and operations of the State Archives, State Library and State Museum aligned with the priorities set by the Regents and by recently enacted law?  What are the greatest challenges in moving ahead?

 

Proposed Handling

 

          The second meeting of the Cultural Education Committee in its trusteeship role will focus on issues related to the new Cultural Education Trust Fund ($40 million), as well as a review of the operating budget for the institutions, staffing capacity and educational programming.

 

Procedural History

 

          At their annual retreat last July, after the review of a trusteeship document Regent Dawson distributed to the Board (Appendix I), the Regents agreed that exercising its role as trustees for the three major cultural institutions under its direct oversight required an extended meeting at least three times a year. That meeting would be specifically devoted to the Regents fiduciary responsibilities. The June trusteeship meeting follows directly after the conclusion of the regular June Regents meeting. The third meeting of the year will be in October.  

 

 

 

 

 

Background Information

 

          In the recently passed budget for 2006/7, the work of several years by the Regents and the OCE leadership came to fruition with $40 million made available to renew the exhibit program in the Museum and to begin work on a new facility for research and collections. Along with the funding authorization, the bill called for the establishment of a Cultural Education Trust, with a Board of 5 persons (Appendix II). The Trust Board will approve and recommend to the Board of Regents the plans for both the renewal and the new facility for the Regents approval. Appendix III is a short report on the status of plans for the new facility and for the renewal of the Museum.

 

Of the five members, the Governor and each branch of the legislature appoint one member. The Board includes two Regents; the Chancellor serves as Chair and an additional member from the Regents is to be appointed by the Commissioner.  At your meeting, we will review the role of the Trust Board and its relationship with the Board of Regents, as well as the funding purposes and restrictions. 

 

Appendix IV gives the operating budgets of the three institutions for 2006/7 and related information on sources of funding. Discussion will center on the alignment of funding and staff with the institutional priorities.  The Committee will also have an opportunity to review the educational programs of the Museum, Library and Archives and to interact with the staff that organizes these efforts before returning to the conference room to raise additional issues and recommend to the Chair agenda items for the October meeting.

 

Appendix V is the Trusteeship agenda for the June meeting.

         

Recommendation

 

           The Regents should direct the staff in development of any additional information needed in advance of the possible opportunity to consider the Cultural Education Trust Boards recommendations for the new research and collections facility and the renewal of the Museum exhibits in October.

 

Timetable for Implementation

 

Cultural Education Trust:

 

          If the Cultural Education Trust Board is in place by mid summer with enough time to review and approve plans for presentation to you in October, the implementation of those plans would begin almost immediately after your approval.  Both will be multi-year plans with benchmarks to be determined within each plan.

 

2007/2008 Budget:

 

          Approval of the Regents budget recommendations for 2007/8 related to the operations of the Archives, Library and Museum will be a part of your approval in September of the overall SED budget request.

 

 

Attachments

Appendix I

 

 

Cultural Institutions Trusteeship

 

          Cultural institutions operate in the public interest. If they hold collections - whether books, documents and manuscripts, artifacts or specimens - they do so in trust for, and on behalf of, the public. That is true whether they are private non-profit institutions or publicly funded ones. Local, state and Federal governments forgo substantial revenues by exempting them from property or income tax, subsidizing them, and often providing them additional public funds, in return for their stewardship and services to the public.

 

          Therefore, trustees of these institutions must see themselves as agents of the public, ensuring that all policy, fiscal and programmatic decisions serve public, not private, interests. The trustees fiduciary responsibility is expressed in standards now being considered by the Regents for amended regulations. The elements of trustee responsibility as they apply to the State Archives, Library and Museum include:

 

     Compliance with all local, state and federal laws and regulations.

     Adoption of a clear mission statement.

     Priorities that align with the statement.

     Securing sufficient financial and physical resources to achieve the mission and to meet generally accepted operational and stewardship standards.

     A clear board-approved code of ethics and conflict of interest policy, reviewed and signed by trustees annually.

     Annual budget approved and financial statements regularly reviewed by the board.

     Formal financial policies and a board-constituted audit committee, with an annual independent audit.

     A well-maintained and accessible facility.

     An adopted emergency action and disaster preparedness plan.

     A written collections care and management plan, meeting generally accepted professional standards.

     Educational and informational programs, services and access commensurate with its mission and with generally accepted standards.

     Personal support of the institution and advocacy for financial support from others.

     Full knowledge and study of the issues before the board.

     Appoint and support the chief executive officer and staff and holding them accountable for results.

     Promote diversity on the board and among staff.

     A written collections development (scope of collecting) and deaccessioning plan, meeting generally accepted professional standards.

Appendix II

 

 

TITLE P

     8                   NEW YORK STATE CULTURAL EDUCATION TRUST

     9                                 ARTICLE 40

    10                   NEW YORK STATE CULTURAL EDUCATION TRUST

 

    11  Section 40.01. Short title.

    12          40.03. Definitions.

    13          40.05. New York state cultural education trust.

    14          40.07. Purpose of trust.

    15          40.09. Reports.

    16          40.11. Assistance of other agencies.

    17          40.13. Members not to profit.

    18      40.01.  Short  title. This title shall be known and may be cited as

    19  the "New York state cultural education trust act".

    20    40.03. Definitions. When used or referred to in this  title,  unless

    21  otherwise  specified, the following terms shall have the following mean-

    22  ing:

    23    1. "Trust" shall mean the trust  created  by  section  40.05  of  this

    24  title.

    25    2.  "Board" shall mean the board of the trust created by section 40.05

    26  of this title.

    27    3. "Board of regents" shall mean the board of regents of the universi-

    28  ty of the state of New York.

    29    40.05. New York state cultural education trust. 1.  A  trust  to  be

    30  known as the "New York state cultural education trust" is hereby created

    31  under  the jurisdiction of the state education department and its exist-

    32  ence shall commence with the appointment of the members of the board  as

    33  provided herein.

    34    2.  The board shall consist of five members as follows: the chancellor

    35  of the board of regents of the university of the state of New York,  who

    36  shall  serve  as  the  chair;  one member of the board of regents, to be

    37  appointed by the commissioner of education; one member appointed by  the

    38  governor; one member appointed by the majority leader of the senate; and

    39  one  member  appointed  by  the  speaker of the assembly. Members of the

    40  board, other than the representative of the board of regents,  shall  be

    41  appointed  to the board based on their knowledge and background as rele-

    42  vant to the purposes of the trust, or, due to their experience and know-

    43  ledge in the fields of New York state history,  collection  display  and

    44   management or other related fields.

    45    3.  The  member  of  the board of regents appointed to the board shall

    46  serve at the pleasure of the commissioner of education and shall serve a

    47  term equivalent to his or her term as a member of the board of  regents.

    48  The  commissioner  may reappoint the same member of the board of regents

    49  as his or her appointee for so long as such regent remains a  member  of

    50  the board of regents.

    51    4. The initial terms of the appointees of the governor, the speaker of

    52  the  assembly  and the majority leader of the senate shall be staggered,

    53  with the governor's appointment expiring after one  year,  the  majority

    54  leader  of  the  senate's  appointment  expiring after two years and the

        A. 10256                           46

 

     1  speaker of the assembly's appointment expiring after  three  years.  All

     2  subsequent appointments shall be for three years.

     3    5.  Members  may  be  reappointed  and  may serve two consecutive full

     4  terms, in addition to the terms of their original appointments, but  not

     5  more  than nine consecutive years.  Each member shall continue in office

     6  until such member's successor has been appointed and  qualifies.    Such

     7  continuation  in  office  shall  not be counted in determining whether a

     8  member has served nine consecutive years.   In the event  of  a  vacancy

     9  occurring  in  the  office of any member of the board, other than by the

    10  expiration of a member's term, such vacancy  shall  be  filled  for  the

    11  balance  of the unexpired term, if applicable, in the same manner as the

    12  original appointment.

    13    6. The members of the board  shall  serve  without  compensation,  but

    14  shall  be  entitled  to  reimbursement  of  their  actual  and necessary

    15  expenses incurred in the performance of their official duties.

    16    7. The powers of the trust shall be  vested  in  and  exercised  by  a

    17   majority of the members thereof.

    18      40.07.  Purpose of the trust.  The purpose of the trust shall be to

    19   prepare and recommend a plan, in cooperation with  the  commissioner  of

    20  education,  to  the director of the budget regarding projects to enhance

    21  the public display of the collections and exhibits of the state  museum,

    22  library and archives.

    23    40.09. Reports.  Not later than ninety days following the end of the

    24  state  fiscal  year the trust shall annually submit to the governor, the

    25  majority leader of the senate and the speaker of the assembly  a  report

    26  on the priorities and finances of the trust.

    27      40.11.  Assistance  of other agencies.  The trust board may request

    28  from any state agency or political subdivision of the state and the same

    29  are authorized to provide such assistance and information as will enable

    30  it to carry out its purpose and powers pursuant to this title.

    31    40.13. Members not to profit.  No member of the trust shall  receive

    32  or  may  be  lawfully  entitled to receive any pecuniary profit from the

    33  operation of the trust.

Appendix III

 

Status of Plans for Research/Collections Facility

 

 

 

 

Status of Plans for Renewal of Museum Exhibits

 

 

 

Appendix IV

 

 

 

 

 

 

 

 

 

 

Fiscal

 

And

 

Staffing Charts

 

 

Office of Cultural Education
Number of Staff by Program Area
Deputy ETV   Library   Archives       Museum Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Professional Staff 9 3 7 20 55 5 4 24 18 4 40 45 13 247
Support Staff 3 2 5 5 97 4 1 24 11 4 20 2   178
Total Regular Payroll 12 5 12 25 152 9 5 48 29 8 60 47 13 425
Deputy ETV   Library   Archives       Museum Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Total Special Payroll* 0 1 1 1 5 0 0 0 8   8 62   86
Approximate Full-time Equivalent (FTE) Staff by Program Area
Deputy ETV   Library   Archives       Museum Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Professional Staff 9 2.5 6.5 20 54.1 4.8 3.8 23.8 16.9 4 35.5 44 13 237.9
Support Staff 3 1.85 4.55 4.5 93 4 1 23.3 11 4 20 2   172.2
Total Regular Payroll 12 4.35 11.05 24.5 147.1 8.8 4.8 47.1 27.9 8 55.5 46 13 410.1
Deputy ETV   Library   Archives       Museum Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Total Special Payroll* 0 1 1 0.5 3 2     3.5   11 54.25   76.25

 

Cultural Education Account Projected Spending Levels
Fiscal Year 2006-07
Program   Personal Service   Non-Personal Service   Total
State Library 5,126,539 $565,000 $5,691,539
State Archives 1,762,143 $210,000 $1,972,143
State Museum 7,777,136 $1,585,000 $9,362,136
Public Broadcasting/ETV 424,713 $31,000 $455,713
Deputy Commissioner's Office/OCE Management Services 923,767 $30,000 $953,767
Central Charges*   -   $1,389,897   $1,389,897
Subtotal for Program Operations 16,014,298 $3,810,897 $19,825,195
Book Budget   -   $3,952,800   $3,952,800
Total allocation** 16,014,298 $7,763,697 $23,777,995
*  Central charges allocation supports cross-cutting expenditures such as postage, telephones, computer maintenance, security, records management, and special projects that impact OCE-wide priorities.
** Additional OCE funds will be expended during 2006/07 for Fringe benefits (@ 45.81% of Personal Service cost), SED and General Indirect costs (@ 22.27%, rate not yet finalized) and ITS chargeback.  Approximate total cost $11,000,000

 

OCE FUNDING SOURCES BY PROGRAM
Funding is not totalled because funding periods and purposes vary
OCE-wide
Revenue Accounts
OCE Revenue Account -- OCE-wide functions allocation* $2,343,664
Capital Funds
Capital Fund -- Matching fund for capital projects $4,632,654
Capital Fund -- For construction of new collections storage facility $20,000,000
Capital Fund -- For collections stewardship $1,000,000
   
   
Archives
Revenue Accounts
Cultural Education Account -- Archives allocation* $1,972,143
Local Government Records Management Improvement Fund (LGRMIF) $16,002,000
Archives Record Management/Internal Service Account $1,530,000
Education Archives Account $77,625
Grants
Save America's Treasures (SAT) grant-Conservation for Revolutionary  War Collection  $81,990
National Endowment for the Humanities grant (NEH)-Creating an online Research Collection on NY's Latino/Hispanic History $300,000
National Historical Publications and Records Commission (NHPRC) - Documents Regrant $289,613
Wallace Foundation-States Impact on Federal Education Policy Project $750,000
Affiliated Organizations
Archives Partnership Trust (APT) $755,000
   
 
Public Broadcasting/Educational Television
Revenue Accounts
Cultural Education Account -- PB/ETV allocation* $455,713
Local Assistance
Local assistance to stations $16,830,000
One-time capital funding -- Local assistance to stations $15,000,000
   
 
Library
Revenue Accounts
Cultural Education Account -- Library allocation* $5,691,539
Cultural Education Account -- Book budget allocation* $3,952,800
Education Library Account $203,000
Local Assistance
State Aid to libraries $97,200,000
State Aid to libraries for capital construction projects $14,000,000
Grants
LSTA grant -- For State library operations and grants to libraries $9,146,249
Institute of Museum and Library Services (IMLS) 21st Century Grant $995,630
National Endowment for the Humanities $1,000
National Endowment for the Humanities (NEH)-New York State Newspaper Project grant $680,866
National Endowment for the Humanities (NEH) grant-New Netherland Project $150,000
Gates Grant $304,890
Bequests
Alice O'Toole Bequest $242,000
Vito Pelligrino Bequest $8,200
Cunningham Bequest $36,400
Cammett Bequest $5,200
Special Purpose Funding
Love Your Library Fund $5,590
Community Projects-TBBL Special Legislative Funds $64,000
Affiliated Organizations
Friends of the NYS Newspaper Project $37,216
New Netherland Institute $259,442
Friends of the NYS Library $14,169
Museum
Revenue Accounts
Cultural Education Account -- Museum allocation* $9,362,136
Education Museum Account $484,217
Grants
Bender Grant $26,000
US Geological Survey (USGS)-2005 State Map Grant $48,846
National Science Foundation (NSF) Grant- Leafhopper Systematics $750,000
United States Department of Energy (USDOE) Grant - Zebra Mussel Fouling Project  $1,060,688
US Department of Energy Grant via University of West Virginia $308,000
Celerity Foundation Grant $120,000
Special Purpose Funding
Cultural Resource Survey Program (CRSP) $7,161,000
Affiliated Organizations
Museum Institute $349,785
* The Cultural Education Account is used to support activities in all areas of OCE. This chart shows only the portion that is directly allocated for personal and non-personal service operations of OCE.  The full 2006-2007 appropriation totals $56,000,000, of which $20,000,000 is allocated for renewal of the Museum, Archives, and Library.  Additional funds are allocated for fringe benefits and indirect costs and a portion remains unallocated at present.
Office of Cultural Education
Number of Staff by Program Area
Deputy  ETV   Library     Archives        Museum    Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Professional Staff 9 3 7 20 55 5 4 24 18 4 40 45 13 247
Support Staff 3 2 5 5 97 4 1 24 11 4 20 2   178
Total Regular Payroll 12 5 12 25 152 9 5 48 29 8 60 47 13 425
Deputy  ETV   Library     Archives        Museum    Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Total Special Payroll* 0 1 1 1 5 0 0 0 8   8 62   86
 
Approximate Full-time Equivalent (FTE) Staff by Program Area
Deputy  ETV   Library     Archives        Museum    Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Professional Staff 9 2.5 6.5 20 54.1 4.8 3.8 23.8 16.9 4 35.5 44 13 237.9
Support Staff 3 1.85 4.55 4.5 93 4 1 23.3 11 4 20 2   172.2
Total Regular Payroll 12 4.35 11.05 24.5 147.1 8.8 4.8 47.1 27.9 8 55.5 46 13 410.1
Deputy  ETV   Library     Archives        Museum    Total OCE
Deputy/ OCE Mgt Services/ OCE ITS Educ. TV/ Pub. Broad. Library Operations Library Dev Research Library Archives Admin./IT Services Public Programs Govt. Records Services Archival Services Museum Admin./ Chartering Exhibits/ Public Programs Research & Colls Security Total OCE
Total Special Payroll* 0 1 1 0.5 3 2     3.5   11 54.25   76.25
*Includes Cultural Resources Survey seasonal staff and Challenge Fund temporary staff.

Appendix V

 

Regents Trustee Meeting

TUESDAY

 JUNE 20, 2006

Librarians Room

 

AGENDA

 

Topic

Item(s)

Timeframe

 

Review of new Cultural Education Trust legislation

      Funding & purpose

      Role & relationship of Trust board to CE Committee and Regents

      Status for planning for funds

 

 

45 minutes

 

Operating budget for 2006/07

      Alignment with priorities

      Staffing capacity

      Gaps

 

30 minutes

 

 

 Walking review of educational programs

      Museum

      Archives

      Library

 

90 minutes

 

Issues and Questions

      Operations

      Plans

      Capacity

 

20 minutes

 

Background Information to be provided to Board: