9 NYCRR Part 1627 - Executive Department

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9 NYCRR 1627-1.1 - Procedure for processing applications

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NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

The following procedure is to be used in processing applications for occupancy in State-aided projects and all projects (irrespective of the source of the aid) operated by an authority which also operates one or more State-aided projects. Authorities operating more than one project will process applications on a central basis, unless otherwise authorized by the commissioner:

(a)Applicant will complete one copy of Preliminary Application for Apartment (Exhibit A, Appendix S-4) and return it in person or by mail to the authority's office responsible for processing of applications. Applications will be consecutively numbered as received and a control card (Exhibit B, Appendix S-4) prepared for each application. This control card shall be filed alphabetically by applicant's surname. Each step in processing application shall be entered in appropriate place on card, thus serving as ready reference for current disposition of application. (A supply of preliminary application forms normally should be maintained by each project; however, local authority may make additional arrangements for distribution if situation warrants.)

(b)Preliminary application forms will be screened and separated into two categories—apparent eligibles and apparent ineligibles. Those applicants appearing to be ineligible shall be notified by mail (Exhibit C, Appendix S-4) and informed that they may be apprised of the reasons for ineligibility at a personal interview at the office of the authority. A duplicate copy of the letter will be attached to the preliminary application which will then be transferred to the ineligible file and filed numerically. Preliminary application forms which appear to indicate eligibility should be separated according to size dwelling unit required and filed numerically according to date of return of completed application.

(c)Further processing of apparently eligible applications may be deferred whenever the waiting list of eligible applicants for the appropriate accommodations substantially exceeds the number of apartments expected to be available within a reasonable time. Processing will be resumed when the authority determines the waiting list of eligible applicants for the appropriate accommodations has been sufficiently reduced to warrant resumption of processing. In all cases where processing of apparently eligible applications is deferred, applicants will be notified promptly that preliminary application forms indicate apparent eligibility but that further processing is deferred. (See Exhibit C-1, Appendix S-4, as applicable.) When processing is resumed, applications deferred as provided herein will be processed consecutively within the category of the size unit needed, according to their control number in accordance with subdivisions (d) to (m) below.

(d)Mail interview letter (Exhibit D, Appendix S-4) and required verification list (Exhibit E, Appendix S-4) to those applicants who appear eligible. At time of scheduled interview, tenant selection personnel will fill out Dwelling Application (Exhibit F, Appendix S-4) with applicant, using documents listed in Required Verification (Exhibit E, Appendix S-4) as proof of statements. Dwelling application will be given the same number assigned the preliminary application. If applicant is found ineligible at that time, he shall be so told and given the reason or reasons therefor. In addition, confirming letter (Exhibit C, Appendix S-4) will be mailed to applicant. (See subdivision [e] below.)

(e)After interview, all dwelling applications shall be classified and those found ineligible so notified by mail (see subdivision [d] above). A duplicate copy of the letter will be attached to the preliminary application forms of those found ineligible at interview or after classification which will then be filed in ineligible file and the dwelling application filed in an ineligible dwelling application file.

(f)Mail to employers of those applicants who appear to be eligible two copies of the Employers Report (Exhibit G, Appendix S-4); completed report will supplement dwelling application.

(g)In case of those applicants who own a business or who are self-employed, a Certificate of Income Received from Operation of Business (Exhibit H, Appendix S-4) will be completed in duplicate by applicant and will supplement dwelling application.

(h)In case of those applicants who receive aid from a public or private welfare agency, two copies of the Social Agency Report form (Exhibit I, Appendix S-4) will be mailed to contributing agency for completion.

(i)One completed and signed copy of applicable form, as referred to in subdivisions (f), (g) or (h) will be returned to authority's management office by person, corporation or agency involved; duplicate copy retained for their own file if desired.

(j)Data from completed forms will be assembled in authority's management office and transcribed to Dwelling Application forms (Exhibit F, Appendix S-4). The data should be checked carefully and reviewed for completeness and reasonableness, with further investigation made if indicated. Any applicant found ineligible on the basis of this data review will be notified and application filed as provided in subdivision (e) above. Those applicants found eligible for tenancy in a project will be put on a waiting list in the order of their application number, and except for admission preference cases, will be notified upon availability of apartment, and advised to report to the authority to sign lease (Exhibit J^*, Appendix S-4) and make rent deposits and security deposit payments in such order.

(k)Upon refusal by an applicant of the apartment offered to him, an application shall be deemed void and a notation of such refusal made on his progress or control card (Exhibit B, Appendix S-4). Before being reconsidered, the application must be reprocessed completely beginning at subdivision (a).

(l)Eligible applications should be reviewed annually by mailing an inquiry to the applicant in order to determine his present interest as well as any change in the information on the application. Failure of the applicant to respond within 15 days of this or any correspondence in connection with the processing of the application can be considered by the authority as a basis for placing the application in the ineligible file.

(m)Selection of tenants for intra-project or inter-project transfer will be made on an equitable basis. Request for such transfer will be on a locally developed form providing the following information as a minimum:

(1)tenants' name and address;

(2)age and sex of persons residing in apartment;

(3)date of request.

The request will be submitted to the authority's office responsible for processing of applications and such request will be consecutively numbered as received. The extent of over-occupancy, as compared with the authority's occupancy standards, will determine the urgency of transfer. Transfers will be made on the basis of the greatest degree of urgency. Within the same degree of urgency, intra-project transfers will precede inter-project transfers; where all conditions are equal, the lower numbered request will prevail.

9 NYCRR 1627-2.1 - General

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NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Proper determination of income is extremely important as it constitutes one of the chief qualifications necessary under law for admission or continued occupancy of a person or family in State-aided low rent projects. The procedures involved in determining income are identical, whether for admission or continued occupancy; however, the maximum amount of income permitted, differs in each case.

9 NYCRR 1627-2.2 - Responsibilities of local housing authority

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NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

It is responsibility of local housing authority to:

(a)determine, prior to admission, aggregate annual income of all members of applicant's household;

(b)restrict admission to such persons or families whose aggregate annual income is within applicable admission limits prescribed by law;

(c)review at least once a year, aggregate annual income of persons or families in possession;

(d)assess and collect surcharges in accordance with approved schedules from persons and families whose income warrants such surcharges;

(e)require persons or families to remove in accordance with section 156 of Public Housing Law when their incomes exceed legal or administrative limits.

9 NYCRR 1627-2.3 - Definitions

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NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Aggregate annual income is sum of all income received by one person during a 12-month period. The total of all such income received by all members of family, both adult and minor, is aggregate annual family income.

(b)The word anticipated when used in connection with annual income refers to income expected to be received during coming 12 months from date income is reported. It is the projection over a 12-month period, of income being currently received, with any adjustments thereto as indicated by prior annual income, nature of employment and similar factors.

(c)Assets are cash or other property readily convertible to cash owned by an applicant or tenant or member of his household. The local housing authority should ascertain that total of such assets does not exceed maximum amount of assets permitted for admission or continued occupancy.

(d)Chief wage earner is person who is legally or morally responsible for dependents in household, whose income is generally from employment or self-employment and usually exceeds income of any other adult member of household. However, any question as to determination of chief wage earner should be resolved, if possible, on basis of affording advantage to applicant or tenant as to admission or continued occupancy limits.

(e)Deductions are amounts administratively determined and approved by Commissioner of Housing as proper exclusions in determination of aggregate annual income.

(f)Effective date of rent change is one of the following dates, as applicable:

(1)For annual income re-examinations under either policy of rent adjustment, rent adjustments, both increases and decreases, will be effective on first day of first month of calendar quarter following quarter in which annual income re-examination was scheduled except that, in case of rent decrease, information must first be verified. If such verification has not been received by above date, effective date will be first day of month in which verification is received.

(2)For quarterly income reviews, and on occasion of any change under interim rent adjustment policy and under noninterim rent adjustment policy, rent increase will be effective on first day of month following 30 calendar days from date of change if change is reported within 15 days of its occurrence. If change is not reported within 15 days, rent increase will be effective on first day of month in which change occurred, with a retroactive charge being assessed if necessary.

(3)Rent decreases in all cases listed under paragraph (2) above will be effective on first day of month in which verification of reported change is obtained. It is the responsibility of the authority to be prompt in requesting verification of reported changes.

(g)Exemptions are amounts of certain income permitted by law to be deducted from “aggregate annual income”.

(h)Fixed income is income where factors influencing it are of a regular nature so that tenant's income can be anticipated for a 12-month period with a reasonable degree of accuracy.

(i)Income is that recurrent gain or benefit, measured in money which proceeds to a person from any source, although usually from his labor, business or property. See also, lump sum additions to assets, subdivision (l) below.

(j)Income of minors is income accruing to a minor as a result of his employment or payments in lieu of employment, such as unemployment insurance benefits, and also any other payments made for benefit of minor but not available for use of family or support of minor. Income available for support of minor or for family use, whether paid to parents or to minor, will be considered as family income and will not be deductible.

(k)Interim rent adjustment policy is that policy whereby rent charges are adjusted at any time a change in income or family composition occurs which effects rent determination. Such policy requires tenants to advise of any change within 15 days of its occurrence and in addition, to submit requested information at time of annual income reexamination. (See also subd. [o] below, noninterim rent adjustment policy.) This policy requires an authority to conduct annual income re-examination of all tenants. It also requires an authority to conduct quarterly income reviews of all tenants with nonfixed income. An authority may also conduct quarterly income reviews of all or any portion of its tenants with fixed income, if it so desires.

(l)Lump sum addition to assets is a nonrecurrent gain or benefit proceeding to a person; for example, payments on insurance claims, capital gains, settlements for personal or property losses and casual or irregular gifts. Such additions are not included in income.

(m)Net annual income and net annual family income are aggregate incomes less exemptions and authorized deductions.

(n)Nonfixed income is income where factors influencing it, such as rate of pay, number of hours of work per week, number of weeks worked per year, present no pattern of regularity, making it difficult to project for other than short periods of time.

(o)Noninterim rent adjustment policy.

(1)Is that policy whereby rent charges are adjusted only at time of annual income reexamination or on occasion of change due to one of the following conditions:

(i)Tenant or member of family is placed upon or removed from public assistance by department of welfare.

(ii)Member of tenant's family starts permanent full time employment; full time employed person permanently joins family; full time employed person permanently leaves family.

(iii)When a full time employed member of the tenant's family becomes unemployed for one full calendar month or more; and when such member is subsequently re-employed.

(2)This policy requires tenant to submit requested information at time of annual income re-examination and to advise of any of the above listed changes within 15 days of their occurrence. It requires the authority to conduct an annual income re-examination of all tenants.

Note:

Interim rent adjustment policy (see subd. [k] above) and noninterim rent adjustment policy are alternate policies; only one of these policies may be adopted by an authority.

(p)The word prior when used in connection with annual income refers to income received during 12-month period immediately preceding time income is reported. Prior annual income is considered as a basis, where indicated, for projecting income expected to be received during coming 12 months. It is also basis for assessing retroactive surcharges where such prior annual income grossly exceeds income anticipated for that period and such difference is directly attributable to tenant's neglect or misrepresentation.

(q)Secondary wage earner is any gainfully employed, adult member of the household other than the chief wage earner. It is not necessary for the chief wage earner to be gainfully employed for another household member to qualify as a secondary wage earner. (See definition of chief wage earner, subdivision [d] of this section.)

(r)Vietnam veterans are persons who

(1)have served in the armed forces of the United States for a period of at least six months (or any shorter period which terminated due to death or injury incurred in such service), provided some portion of the period of service was between August 5, 1964 and May 7, 1975, the official date of the termination of the conflict in Vietnam; and

(2)have been thereafter discharged or released therefrom under conditions other than dishonorable, or died in such service, not more than five years prior to the time of application for admission.

9 NYCRR 1627-2.4 - Exemptions

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NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

[Additional statutory authority: Public Housing Law, § 156] The following exemptions are authorized:

(a)Social security payments and income received from private pension funds by any female 62 years of age or more, or by any male 65 years of age or more, shall be excluded from annual income up to a total maximum amount of $75 per month (Public Housing Law, § 156).

(b)A proportion of income of adult members, other than chief wage earner, may be deducted from annual income in an amount adopted by the authority and approved by the Commissioner of Housing for the purpose of determining eligibility for admission or continued occupancy, or for establishing rental of such family, or for all such purposes (Public Housing Law, § 156). The maximum amount presently approved by the commissioner is $2,000 per secondary wage earner per year per adult member, other than the chief wage earner, per year, but authorities may establish a limit lower than this maximum.

(c)The minor's income above $2,000 (or lower limit that an authority may establish) is to be included in determining the family's aggregate annual income solely for the purpose of establishing the rent to be paid, in accordance with the authority's rent schedule. This income shall not be included in determining the eligibility for admission or continued occupancy of applicants or tenants, as the case may be.

9 NYCRR 1627-2.5 - Deductions

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NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

The only deduction presently approved is the following: money received by a veteran from a governmental agency to cover tuition, books and similar costs of educational courses being pursued by him under provisions of any veterans benefit act.

9 NYCRR 1627-2.6 - Determination of income

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)General.

An object of income projection is to determine anticipated income for coming 12 months, current rate of pay per stated unit (i.e., hour, day, week, month) shall be multiplied by number of stated units in coming 12 months; this total shall be modified by any conditions which past experience indicates are likely to occur during 12 month projected period. Such projection will apply to both fixed and nonfixed income when possible. Under interim rent adjustment policy, projections for non-fixed income shall be reviewed quarterly with most recent quarter added while income of least recent quarter is dropped. Total of new four consecutive quarters is then projected as anticipated income for coming 12 months. Additional information on income projection is contained in following paragraphs.

(b)Fixed income.

(1)Annual salaries.

Anticipated income will be projected on basis of annual salary as of date of income projection. Such projection will not include any expected raise or increment before it is actually received.

(2)Weekly, daily and hourly rate of pay. Anticipated income will be projected by determining the income for a current normal week and multiplying by the number of work weeks in the year. This number is usually 52 although it can be less as in the case of vacation without pay, yearly close down for model change over, etc.

(3)Overtime.

(i)Overtime which occurs on a regular basis, as evidenced by past experience or notation on employer's report of earnings, will be included in projecting anticipated income by multiplying weekly overtime earnings by 52.

(ii)Overtime which occurs irregularly or seasonally will not be included in projecting anticipated income unless prior annual income indicates that such overtime exceeds $200 per year in which case the amount in excess of $200 per year will be included in anticipated income.

(iii)In reviewing prior annual income, care should be taken to note overtime as it may not be separately stated. The reported gross earnings less computed straight time earnings will give tenants overtime earnings during stated period.

(iv)Income from secondary employment will be considered and treated as regular or irregular overtime depending on whether such secondary employment is regular or irregular. Sporadic secondary employment, i.e. of short duration and not likely to be repeated, will not be included in projecting anticipated income.

(4)Pay raises and increments.

(i)Under interim rent adjustment policy, expected pay raises and increments will not be included in anticipated income until effective date of such raise or increment. However, if raise or increment is granted retroactively, effective date will be first day of pay period reflecting retroactive pay increase.

(ii)Under noninterim rent adjustment policy, expected pay raises and increments will not be included in anticipated income. These pay raises and increments will be projected only at time of annual reexamination following date on which such increase was received and no retroactive charge will be levied against tenant.

(c)Nonfixed income.

(1)Determination of nonfixed income.

(i)The determination as to whether income is in fixed or nonfixed category must be made with regard to particular job of employee. Following, are examples of occupations generally associated with nonfixed income:

(a)Seasonal work.

(b)Piece work.

(c)Work on commission basis or on combination salary and commission.

(d)Work where employee is subject to call as a substitute worker.

(e)Work on a per diem basis.

(f)Self-employed work.

(ii)Projection of nonfixed income should be based on an average week's earnings multiplied by 52 the number of work weeks in year. This number is usually 52 but it can be less as in the case of vacation without pay, yearly close down for model changeover, etc. The period on which weekly average is based should be at least of 12 weeks duration, if possible. Under the interim made at end of succeeding calendar quarters. Earnings during such quarters rent adjustment policy, reexamination of such nonfixed earnings should be shall be added to previous earnings and a new weekly average obtained based on this extended period. Notice of ineligibility for excess income will not be sent to a tenant whose total income reflects earnings from nonfixed employment until four full quarters in nonfixed employment have been completed and over-income status thereby sustained. Under noninterim rent adjustment policy, at time of annual reexamination, anticipated income shall be based on either average weekly earnings from nonfixed employment multiplied by 52 or total income from all sources during previous 12-month period, whichever sum more closely reflects tenant's probable income during coming 12 months.

(2)Tips and other considerations.

Value of tips and other considerations will be included in income determination. Amount projected should be greatest valuegiven in either tenants certificate, employer's report, Social Security Board findings or in following list which is to be used as a guide in ascertaining actual value.

(i)Taxicab drivers—45 percent of commissions.

(ii)Taxicab owners—20 percent of bookings.

(iii)Barbers—20 percent of salary.

(iv)Manicurists, beauty parlor workers—25 percent of salary.

(v)Waiters—from not less than three dollars in tips per working day in less expensive restaurants, to not less than $12 in tips per working day in finest grade restaurants and night clubs. For all waiters, earnings, including tips, should equal a minimum of $12 a day.

(vi)Busboys—from two dollars to four dollars in tips per working day.

(vii)Bellhops, pullman porters, baggage porters—not less than four dollars in tips per working day.

(viii)Doormen—from not less than one dollar in tips per working day for apartment houses to two dollars in tips per working day in hotels and clubs.

(3)Bonuses.

Bonuses of a recurring nature in a fixed amount shall be included in anticipated income. Such bonuses include night work differential, Christmas bonuses in those businesses where such bonuses are an established practice of employment, and similar bonuses which follow a discernible pattern as to frequency and amount. A bonus which is earned regularly but varies in rate or amount, such as a production incentive bonus, is a variable bonus and shall be treated as irregular overtime. A bonus which is given without any indication that it will recur is a nonrecurring bonus. It will not be included in anticipated income.

(4)Overtime.

Overtime earnings in nonfixed employment are usually included in totals from which average weekly rate is ascertained. Consequently, projection of average weekly rate will reflect such overtime. However, if there is a pattern to the overtime indicating that it is not of a regular or predictable nature, it will be treated the same as irregular overtime in fixed income employment, i.e. only the amount in excess of $200 per year will be included in anticipated income.

(5)Welfare assistance Rents for households receiving monetary welfare assistance will be determined as indicated below unless the local housing authority requests otherwise and such alternate is approved by the division.

(i)Rents for households all of whose members are covered by the monetary welfare assistance (whether full or supplemental) shall be determined in accordance with a schedule of fixed rents based upon the size, by number of bedrooms, of the dwelling unit occupied, but not in excess of the following schedule except when a modified schedule is approved by the New York State Department of Social Services and the division for a specific housing authority:

Apartment size Monthly rent

(by number of bedrooms) (dollars)

0 65

1 77

2 90

3 101

4 107

5 110

(ii)Rent for a non-welfare family having welfare recipients in the household. The rent for a non-welfare family having welfare recipients in the household will be their normal rent plus a proportion of the fixed welfare rent applicable to the occupied apartment. The normal rent will be based on the income of the family of the tenant of record excluding any income or allowances of the welfare recipients. The proportion of the fixed welfare rent will be the ratio that the number of welfare recipients in the household bears to the total number of persons in the household.

(iii)Income reviews are optional where all of the members of the household are receiving monetary welfare assistance (whether full or supplemental). Close liaison should be maintained with the appropriate local social services agency furnishing assistance for exchange of information as to start or discontinuance of welfare assistance, income, household composition, nonpayment of rent, problems of tenancy and other matters. Income reviews are required where some of the members of the household are receiving monetary welfare assistance and others of them are not.

(iv)Other public assistance. Tenants receiving Federal supplemental security income are to be charged rent as provided below:

(a)Tenants who are transferred to the SSI program from welfare on January 1, 1974, shall continue to be treated as public assistance recipients, for purpose of determining scheduled rent, until the time of their next income review after which they shall be treated as nonwelfare tenants.

(b)Tenants who become eligible for SSI for the first time after January 1, 1974, whether or not they were previously on welfare, shall be treated as nonwelfare tenants for purpose of determining scheduled rent.

(c)Tenants who are SSI recipients who move in after January 1, 1974 shall be treated as nonwelfare tenants.

(d)Changes in rents stemming solely from receipt of SSI should be made at the time of regular annual review. Interim changes should not be made unless they would have been made for some other prescribed reason.

(6)Income from own business and self-employment.

(i)General. Income from own business or self-employment will be projected on basis of income and expense statement properly prepared from books of accounts adequately maintained. However, income from own business or self-employment will automatically be considered as in excess of maximum admission or continued occupancy limits if any one of following conditions exist:

(a)Gross receipts from a business engaged predominately in personal services are in excess of $6,000 for admission or $9,000 for continued occupancy (i.e., a business where value of personal service rather than cost of goods is dominant price factor).

(b)Gross receipts from a business engaged predominately in other than personal services are in excess of $12,000 for admission or $18,000 for continued occupancy.

(c)If tenant or applicant employs one or more regular full-time persons in his business, it shall be considered prima facie evidence of ineligibility for either admission or continued occupancy.

(ii)Basis for projecting income. Projection of income must be based on examination of applicant's or tenant's books of accounts. Books of accounts must cover business or self-employment for a period of one year immediately preceding date of income projection. If applicant has been in business for less than one year or does not have properly prepared books of accounts for required period, application shall be deferred and reconsidered when necessary figures are available. If tenant initiates business or self-employment, his income shall be projected and rent established on basis of either his prior earnings or his estimated [earnings] in business, whichever is higher. Under noninterim rent adjustment policy, rent shall not be adjusted until time of annual reexamination or on occasion of one of the three sets of conditions listed under this policy. Under interim rent adjustment policy, however, a report of income and expense will be furnished quarterly by tenant until at least four full quarters have been reported. Tenants income will be projected on basis of these quarterly statements and interim rent changes will be based on these projections. However, no determination of ineligibility for continued occupancy will be made until four full quarters have been completed.

(iii)Determination of present income from self-employment. Net income from self-employment shall be determined by deducting only expenses which are directly connected with business and which are necessary for producing of income therefrom, except that depreciation and provisions for reserves are not allowable deductions. Any expenses which are jointly personal and business shall be apportioned on a pro rata basis. Incomes from self-employment require close scrutiny. Records and income tax returns should be reviewed in complete detail. Note that deductions for depreciation and reserves permitted on income tax returns are not deductible in determining net income for purposes of admission or continued occupancy. The Division of Housing, upon request, will offer assistance in any case where there is doubt as to income from self-employment.

(7)Workmen's compensation.

Income from a workmen's compensation award will be projected on a 52-week basis; that is, 52 times current weekly rate of award. If award is in form of lump sum, amount will be considered as a lump sum addition to assets and will not be projected. Under interim rent adjustment policy, however, when compensation rate changes or payments cease, an interim rent change is made. Under this policy, income is also reviewed quarterly to determine if benefits are still being received.

(8)Disability benefits.

Income from New York State disability benefits covering off-the-job accidents and sickness will be projected on 52-week basis. Under interim rent adjustment policy, tenant is responsible for reporting any change in status. Under this policy, income is also reviewed quarterly to determine if any change in situation has occurred.

(9)Unemployment insurance benefits.

Income from unemployment insurance benefits, Korean veterans' readjustment assistance and from unemployment benefits accruing to members from unions, fraternal organizations, etc., will be projected on 52-week basis. Under interim rent adjustment policy, tenant is responsible for advising of any change in status. In addition, income should be reviewed quarterly to ascertain that tenant is still unemployed.

(10)Servicemen's pay.

All income received by a serviceman, including basic pay, extra pay (i.e., flight pay, hazardous service, unusual responsibility, special proficiency, etc.), subsistence allowance, allowance for quarters, and government's share of family allotment, if any, will be included in projection of his income. Exemptions and deductions are same as those applicable to any applicant or tenant. Total income of a serviceman who is head of a family will be included in total family income whether he is residing at home or not. However, where he is residing away from home because of his service assignment, a deduction not exceeding $50 per month may be allowed for extra costs incurred by his residing away from home. Total income of a serviceman who is not head of family will be included in total family income only if he is residing at home. If he is away from home, only that income, including government's share of any allotment, which he sends home will be included in family income.

(11)Other income.

All other income of tenant or any member of his family shall be included in projection of annual income. Such miscellaneous income includes alimony, pensions from any source (note exemptions), dividends, interest and regular contributions by a relative or any other person to support of family.

(12)Payments for foster children.

Payments made to tenants for child care by State, county or other governmental agencies for care of foster children in tenants homes constitute reimbursement to foster parents for money expended by the foster parent on behalf of the child. Such monies are therefore not to be included when determining probable aggregate annual income.

9 NYCRR 1627-2.7 - Declaration of income

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Under interim rent adjustment policy, it is responsibility of applicant or tenant to report any change in income or family composition at time such change occurs, and for tenant to submit an application for continued occupancy whenever requested to do so. Under noninterim rent adjustment policy, it is responsibility of tenant to submit an application for continued occupancy at time of annual re-examination. This application for continued occupancy should include the following information:

(1)Name, address and apartment number of tenant.

(2)Family composition (every member of family should be listed):

(i)Name

(ii)Relationship to head of household

(iii)Age

(iv)Social security number

(v)Employed, unemployed, in school, in service.

(3)List of all members of family employed during prior 12-month period:

(i)First name of person employed

(ii)Dates employed

(iii)Rate of pay

(iv)Name and address of employer

(v)Total earnings during prior 12-month period including overtime.

(4)Whether any member of family owns an interest in or is related to owners or officers of the firms listed.

(5)Information pertaining to any other income.

(6)Deductions claimed.

A close check should be made of this application form; no entry is to be left unanswered.

(b)It is responsibility of authority to review income and family composition of applicant at time lease is to be signed to insure that no change in these matters has occurred since time of application. It is also authority's responsibility to review income and family composition of tenants at least once annually by requiring tenants to file a properly prepared application for continued occupancy. Under [continued] interim rent adjustment policy, authority must also conduct quarterly income reviews of tenants with nonfixed income and may conduct quarterly income reviews of tenants with fixed incomes.

9 NYCRR 1627-2.8 - Verification of income

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)All items of income used as a basis for calculating anticipated income of tenant in connection with his annual income re-examination must be verified. Verification of reported decreases must be obtained before rent is decreased. However, where tenants reports an increase in income which results in a rent increase, the rent will be increased on the effective date of rent change (see Definitions, § 1627-2.3) without waiting for the return of the requested verification. In the event the verification shows a higher or lower increase than reported by tenant, the rent will be further adjusted.

(b)Tenants are required to cooperate fully in obtaining verification of income. (See also § 1627-2.11 below.)

(c)Following are various methods of verification. Note that more than one method may be needed to obtain acceptable verification.

(1)Employer's statement completely filled out and signed by officer or responsible party of firm. If several tenants are employed by same firm, a request for verification of a consolidated listing of tenants may be made.

(2)Photostat of income tax report on file with Internal Revenue Service and supported by books of account, pay stubs, etc.

(3)W-2 form may be used as supplemental verification of current pay envelopes, pay stubs and employer's statement. It is not always adequate by itself as it indicates wages received during the past year from only one employer, whereas, in some cases, wages may have been received from more than one employer.

(4)Current pay stubs and pay envelopes if they identify recipient clearly and provide a basis for determining rate of pay. Tenants should be advised to retain all such stubs or envelopes.

(5)Referee's report in case of workmen's compensation.

(6)Tenant's unemployment insurance card, tenant's notification of benefits, D.P.U.I. tables and check stubs.

(7)Military pay tables, allotment tables, allotment checks, statement from commanding officer of unit to which assigned in case of servicemen.

(8)Affidavit from person or persons making contributions in case of contributions by relatives or other persons. Dates and amounts of contributions should be specified.

(9)Employer's report or standard allotments for tips and other considerations.

(d)The Social Security Board maintains records of earnings reported to board for all employees having social security numbers. However, requests for social security statements are to be submitted only where earnings cannot otherwise be conclusively verified, such as tenants who claim not to have worked, or are employed by relatives. Request for social security statement must be submitted on Social Security Administration form OAR-7004 and must show tenant's home address as return address. It is responsibility of tenant to deliver report to authority office upon receipt. Social security records are usually not available until six months after completion of quarter.

9 NYCRR 1627-2.9 - Annual re-examination procedure

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Re-examination of eligibility for continued occupancy is to be conducted at least once a year. Such re-examination should be conducted during first calendar quarter unless size of project makes it unfeasible. If re-examination can not be conducted in one quarter, then work should be divided into four quarters and re-examinations scheduled accordingly.

(b)Proper scheduling of work in connection with re-examination is necessary to insure completion in an efficient manner. When re-examinations are spaced on a quarterly basis, control cards should be prepared for all tenants with different colored cards being used for each quarter.

(c)Appropriate forms should be distributed to tenants by 20th day of first month of quarter. Each tenant should receive one copy of instructions for completing forms and two copies of tenant's application for continued occupancy. Forms should be returned to authority within two weeks of their issuance and this fact should be clearly stated on tenants instruction sheet. Follow-up should be made of any forms not received by scheduled date.

(d)Upon receipt of form from tenant, form should be carefully reviewed and any omissions or errors corrected. Any insertions or corrections made as result of review should be made by tenant returning form. However, whether corrections or insertions are made by tenant or reviewer, they must be initialed by tenant. If additional information is needed, written request to that effect should be forwarded to tenant and a copy of request attached to tenants application for continued occupancy. Date on which information should be returned must be shown on notice and should normally be less than one week.

(e)Verification of income items should be as prompt as possible although if a number of tenants have same employer, requests for verification may be accumulated and forwarded to employer under one covering letter. Upon receipt of verification, income should be projected and rent adjustment, if indicated, made as of effective date of rent change (see definition, § 1627-2.3).

(f)If verification is not returned promptly, follow-up should be made. If there is an extended delay in return of verification, however, unverified information may be projected where a rent increaseis indicated so that rent can be increased by effective date of rent change. However, such re-examination will not be considered complete until satisfactory verification is received.

(g)Tenant's income record should be prepared upon completion of re-examination. Any interim change during year resulting from quarterly review, tenants reporting of change, etc., will be shown in space provided.

9 NYCRR 1627-2.10 - Quarterly review procedure

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Authorities which have adopted interim rent adjustment policy are required to conduct quarterly reviews of income for all tenants with nonfixed employment, for all unemployed tenants, and for any other tenants whose incomes are of an irregular nature. In addition, such authorities may conduct quarterly income reviews for all or any per cent of other tenants, as considered necessary, whose incomes are of a regular nature.

(b)The procedure for quarterly reviews is same as for annual re-examination except that verification of tenants statements is not required unless a rent decrease is indicated. In case where rent decrease is indicated, verification shall be made before decrease takes effect. (See Verification of income, § 1627-2.8.)

(c)Any rent change resulting from quarterly reviews will be made as of effective date of rent change (see definition, § 1627-2.3).

9 NYCRR 1627-2.11 - Tenant's refusal to cooperate in income determination

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

The failure, neglect or refusal of a tenant to furnish information concerning his income or that of any member of his household, or to cooperate in the verifying of such reported income will be considered as non-cooperation and will be assumed to indicate excess income. Such tenant will be notified of his ineligibility, increased to the vacating rent, and legal action taken to obtain his eviction as not complying with the rules and regulations of the authority. However, upon submission of proper documents, surcharges, if any, will be assessed on basis of verified income. In no event will credit be given for excess surcharges already assessed as a result of failure, neglect or refusal of tenant to cooperate in income determination as set forth in this section.

9 NYCRR 1627-3.1 - Eligibility requirements in addition to income limitations

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

In addition to income limitations, applicants must also meet the following requirements for admission:

(a)Compliance with bona fide residency and family composition requirements as stated in master management resolution adopted by authority. Bona fide residency can be established by voting records, utility company records and bills, postmarked letters addressed to applicant, etc. Family relationships can be established by marriage and birth certificates.

(b)Existence of one of the following occupancy conditions in applicant's present housing:

(1)Substandard housing conditions (i.e., conditions which are unhealthy, unsanitary, overcrowded, causing extreme hardship, etc.).

The existence of any one of these conditions must be verified by a home visit by an authority representative.

(2)Excessive rent (i.e., present rent is in excess of 25 percent of total family income).

Satisfactory proof of such rent must be submitted by applicant.

(3)Inadequacy of present housing to accommodate member of applicant's family suffering from serious physical disability, disease or illness.

Satisfactory proof of such disability in form of doctor's certificate must be submitted.

(4)Site or offsite residency.

Applicant must have resided on project site or offside clearance area for a period of at least one year prior to date of acquisition of said areas.

(5)Impending eviction (i.e., legal action has been taken to evict applicant from his or her present housing for a reason other than rent delinquency or undesirable tenancy and a final order has been granted by the court or actual eviction effected).

Satisfactory proof of eviction cause must be submitted by applicant.

(6)Emergency situations where a fire, explosion or other catastrophe has made existing housing uninhabitable.

(7)Lack of adequate housing causing families to be separated. Authority must determine that alleged housing situation has been adequately substantiated.

9 NYCRR 1627-3.2 - Admission preference

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Site and offsite residents.

Under section 17 of the Public Housing Law, all eligible onsite and offsite residents shall be granted first preference over all other applicants.

9 NYCRR 1627-3.3 - Admission preference within classifications

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Within the veteran and nonveteran listings of each eligible classification, preference shall be granted in the following order, except that whenever possible, as between families equally in need of housing and equally entitled to preference, first preference shall be given to families with lower income:

(a)families without housing or under court order to vacate;

(b)families with health conditions;

(c)families residing in substandard housing; and

(d)families paying excessive rent.

9 NYCRR 1627-4.1 - General

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)A lease for the apartment being assigned an eligible family or person will be executed before that family or person takes possession. The standard form of lease will be prepared in duplicate, one copy of which shall be given to the lessee.

(b)The signatures of both spouses are required, although possession may be granted on one signature. In such cases, however, the second signature should be obtained as soon as possible, usually within two weeks of moving in. The signing of the lease by the lessee shall be witnessed by a designated authority employee. An authority member or the manager shall sign for the authority.

(c)Leases shall be executed upon the following occasions:

(1)initial admission to project;

(2)transfer to another apartment; and

(3)change in basic rent.

9 NYCRR 1627-4.2 - Initial date and duration of lease

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Leases shall be on a month-to-month basis and shall always start on the first day of the month. Where tenant takes possession after the first day of the month, lease shall show term starting as first day of the following month.

(b)A full month's rent shall always be collected prior to admission, regardless of the day of month tenant takes possession. Necessary adjustments to reflect partial month's rent shall be made in the following months.

9 NYCRR 1627-4.3 - Rent entered on lease

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Rent entered on lease form shall be actual rent, including surcharges if any, being assessed tenant at the time the lease is signed. Any later increase or decrease from this actual rent resulting from a change in tenant's income shall be handled by a rent change authorization which will be an amendment to the lease. Changes in actual rent for any other reason shall require execution of a new lease.

9 NYCRR 1627-4.4 - Security deposits

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)The authority shall require tenants to pay a security deposit in advance as a condition of occupancy to insure faithful compliance with the terms of the lease and the rules and regulations. Provided, however, a recipient of public assistance, supplemental security income benefits or additional State payments as defined in section 300 of the Social Services Law, shall not be required to pay such security deposit if the authority is secured against nonpayment of rent or damages by any appropriate agreement executed by a local social services official, pursuant to subdivision 1(a) of section 143-c of the Social Services Law. The authority shall accept such an agreement in lieu of a security deposit if such agreement is offered by a local social services official.

(b)Security deposits shall be placed in separate interest-bearing accounts. Such money, with interest accruing thereon, shall continue to be the money of the tenant making such deposit and shall be held in trust for them by the authority and not mingled with other funds.

(c)The tenant shall be notified in writing of the name and address of the bank in which the security deposit is being held and the amount of the security deposit.

(d)Collection of security deposits may be on an installment basis if the authority adopts such a procedure. Under this arrangement, a reasonable part of the total shall be collected prior to admission, and the remainder in equal monthly sums covering a period not to exceed six months from date of admission.

(e)Security deposits may not be applied against loss or damage while tenant remains in occupancy. Necessary charges are to be collected on a current basis; only upon termination of tenancy are deductions to be applied against security deposits, with the balance, if any, being refunded to tenant. Security deposits are trust funds under New York State law, and must be handled in accordance with such law and the requirements of Subpart 1642-5 of the accounting manual (Subchapter D of this Chapter).

9 NYCRR 1627-4.5 - Leasing interview

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

At time of lease signing, tenant should be informed of his rights and obligations under the lease. Prompt payment of rent should be stressed. Tenant should be advised of the rules and regulations of tenancy, with special emphasis on the more important ones. Information should be available on activities conducted in project, location of schools and churches, necessity for notifying post office as to address change, and any other matters which might be helpful in his adjustment to his new home. Finally, he should be urged to ask any questions he might have.

9 NYCRR 1627-4.10 - General

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Rules and regulations of tenancy should be established by the authority to provide reasonable control over tenant actions which might infringe on rights of other tenants to peaceful possession of their apartments or tend to impair residential character of project. Suggested rules and regulations are available from the division, but they should be reviewed and modified to meet local conditions. A copy of the rules and regulations adopted by the authority is to be filed with the division.

9 NYCRR 1627-4.11 - Enforcement

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

The effectiveness of the rules and regulations of tenancy depends on their impartial enforcement. Prompt handling of infractions is essential; persons concerned should realize that the authority will not tolerate any disregard for personal and property rights of other tenants or the authority.

9 NYCRR 1627-5.1 - Rent determination

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)General.

(1)Section 156 of the Public Housing Law limits admission to persons or families whose probable aggregate annual income does not exceed six times the annual rent in cases of persons or families with three or fewer dependents, and seven times the annual rent in cases of persons or families with four or more dependents; except that in the case of Vietnam veterans, their widows or families, such persons or families shall be eligible for admission if their probable aggregate annual income does not exceed seven times the annual rental (including the value or cost to them of heat, light, water and cooking fuel) in the case of persons or families with three or fewer dependents, and eight times the annual rental in the case of persons or families with four or more dependents.

(2)Administrative limits for continued occupancy will be established by the authority, subject to the approval of the commissioner. Under section 156 of the Public Housing Law, these limits cannot exceed 50 percent of admission limits currently in effect or in effect at time of tenant's admission, whichever is greater. Tenants, whose incomes increase over the admission limits, but not over the limits established for continued occupancy, may continue in occupancy. Their rent, however, will be increased in proportion to their ability to pay.

(b)Rent schedules.

(1)Rents to be assessed tenants are determined by reference to rent schedules adopted by the authority under the master management resolution. These rent schedules are known as schedule A, which lists rents based on admission incomes, and schedule B, which lists rents based on continued occupancy incomes. After ascertaining gross family income, reference to schedule A or B, as applicable, will show rent to be charged.

(2)Rent schedules are established by the authority, subject to division approval. The division will render assistance in the preparation of rent schedules upon request. Such schedules should have as their objectives:

(i)the providing of sufficient revenues which, together with State subsidy, will meet the costs of efficient project operation, including reasonable reserves and debt payments; and

(ii)the establishment of rents within the means of low income families.

(c)Definition of rent schedule terms.

(1)Minimum admission rent is lowest rent (including value or cost of heat, light, water and cooking fuel) charged for particular type apartment. No tenant may be charged less than minimum. However, in some rent schedules, minimum and maximum admission rents are identical.

(2)Maximum admission rent is rent charged for particular type apartment on which maximum income limits for admission are based. Applicants with income in excess of these limits may not be admitted except under section 153 of the Public Housing Law.

(3)Maximum continued occupancy rent is the highest rent which can be charged to a tenant who is still eligible for continued occupancy.

(4)Vacating rent is that rent charged according to the approved schedule to a tenant whose income exceeds the continued occupancy limit pending his removal or eviction for over-income. In the event a tenant is eligible for a larger apartment because of family size or composition, he shall not be declared ineligible on the ground of excess income until his income exceeds the continued occupancy limit for the larger apartment. Once his income exceeds the continued occupancy limit for the apartment actually occupied, however, the rent to be charged shall be in accordance with the rent schedule of the larger apartment for which he is eligible. In the event his income exceeds the continued occupancy limit of the larger apartment, he is to be declared ineligible because of excess income and the vacating rent to be charged shall be in accordance with the vacating rent schedule applicable to the larger apartment.

(5)Welfare rent.

Welfare rent will be the rent determined pursuant to the provisions of section 1627-2.6(c)(5).

(6)Surcharge rent refers to rent graduations established between minimum admission rent and maximum continued occupancy rent. These graduations, based on income, are shown in schedules A and B.

9 NYCRR 1627-5.2 - Rent collection

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Tenants in occupancy.

(1)Payment of rent promptly by tenants can be made a matter of habit. This fact should be emphasized at all times, and most strongly in the case of new tenants. Thus, at time of prospective tenant's interview, managers should stress emphatically that rent is payable on first day of month and that late payment will not be tolerated. Tenants who allege inability to pay rent because of financial difficulties should be referred to the bureau of welfare or other social agency during first month of delinquency rather than granting a delay in payment, so that no problem in paying back rent develops.

(2)In the event that rent payment is not made properly, a three-day notice should be served as soon as the authority deems advisable, but not later than the 10th of the month. At expiration of three-day period, summary proceedings should be initiated without delay. Under supervision of counsel, precept and petition can be prepared by the manager or a member of his staff. Counsel for the authority should continue to prosecute proceeding unless full payment from tenant has been received within prescribed time.

(3)Tenant may be charged for service and filing fees in connection with such proceedings, as well as any court costs authorized under the law. Where rules and regulations do not clearly set forth this fact, they should be revised to include such provision.

(4)It is the responsibility of the manager to see that proceedings are diligently followed, up to point of eviction if necessary, and that counsel pursues collection of any judgment rendered by the court. The responsibility of the manager by no means ends when the account is turned over to counsel. He should keep in frequent contact with him.

(5)All tenants owing retroactive surcharges should be personally interviewed by the manager and a schedule for monthly amortization of indebtedness agreed upon. A memorandum of such agreement should be signed by the tenant, in which it is stipulated that the amount to be paid monthly is to be considered additional rent.

(6)It is the policy of the division that tenants should be billed currently for surcharges.

(b)Vacated tenants.

Where a tenant has vacated, whether voluntarily or involuntarily, it is still the responsibility of the manager and counsel to locate such tenant and to collect all sums due the authority. In achieving this end, consideration should be given to utilizing the services of a credit bureau to locate a vacated tenant, ascertain his current employment and discover available assets, if any. Judgments should be secured, and garnishee placed if indicated.

(c)Write-offs of uncollectible accounts.

(1)Every effort should be made by manager and counsel to locate the tenant, discover his available assets and collect the indebtedness, before recommending a vacated tenant's accounts receivable as a collection loss write-off.

(2)Where collection efforts on the part of the authority and counsel have not been successful, division approval to turn over uncollected accounts to a collection agency may be obtained on request. The agreement between the authority and the collection agency must be approved by the division.

(3)Where all efforts as outlined above prove to be unsuccessful and account appears to be uncollectible, write-off should be handled as follows:

(i)Accounts receivable up to $100 may be written off at discretion of project manager.

(ii)Accounts receivable from $100 up to $300 may be written off by resolution of authority acting upon recommendation of counsel.

(iii)Accounts receivable from $300 to $500 may be written off with the approval of the management bureau of the division upon resolution of authority acting upon recommendation of housing authority counsel.

(iv)Accounts receivable in excess of $500 may be written off only after approval by the legal bureau of the division. Requests for such approval must be supported by the following:

(a)Form HM 56 “Uncollected Account Write-off Approval” must be completely filled out with all requested information shown.

(b)Specific collection efforts must be detailed. The efforts of the manager and the counsel should be shown. Dates of letters sent and nature of mailing (e.g., return receipt requested) should be included. Efforts at personal contact, information from employer or other sources should be listed, with a negative indication shown, if such efforts were not made or were unavailing.

(c)If judgment was not obtained, give reason.

(d)If judgment was obtained but no garnishee made, give reason.

(e)A clear, concise statement indicating the basis on which it was concluded that the account was uncollectible.

(f)A signed copy of the recommendations of housing authority counsel based on his efforts to collect, specifying such efforts to collect, specifying such efforts.

(g)A statement as to whether the account was turned over to a collection attorney or agency approved by the division. If so, include their report.

(h)Attach copy of authority's resolution requesting write-off approval. Said resolution should be duly executed by an authorized member of the authority.

(v)Except for cases of fraud and misrepresentation, counsel to an authority may be permitted to compromise and settle all accounts of vacated tenants turned over to him regardless of the amount involved when such compromise and settlement are of an urgent nature and are approved by the chairman of the authority or in his absence, the vice chairman. The division must be advised of such settlements in cases where indebtedness exceeded $500.

9 NYCRR 1627-6.1 - General

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Leases provide for termination of lease and tenancy thereunder by either authority or tenant at the end of any monthly term. Under normal circumstances, it is required that the party requesting termination provide the other with at least one month's notice in writing.

9 NYCRR 1627-6.2 - Termination by tenant

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Tenants intending to vacate must sign a completed notice of intent to vacate. This notice shall include reason(s) for vacating.

(b)Tenants should be encouraged to give as much advanced notice as possible; however, at least one month's written notice is required as they are liable for rent until the end of the required period of notice or until the effective date of the new lease, whichever is earlier.

(c)Possession of apartments abandoned by tenants may be recovered by the authority without legal proceedings. However, if tenant has left any possessions or if there is any doubt as to whether the apartment has actually been abandoned, the authority's counsel shall be contacted for advice as to what action should be taken to gain possession.

9 NYCRR 1627-6.3 - Termination by authority

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Grounds for instituting summary proceedings.

Following are grounds upon which summary proceedings should be instituted by the authority to recover possession:

(1)nonpayment of rent;

(2)willful misrepresentation or concealment by tenant of any material fact which would affect eligibility for admission or continued occupancy or rent to be paid;

(3)breach of rules and regulations of tenancy;

(4)noncooperation;

(5)chronic delinquency in payment of rent;

(6)nonverifiable income;

(7)under- or over-occupancy and refuses offer of transfer;

(8)residual single person occupant contrary to authority's policy on single person occupancy;

(9)assignment or transfer of possession by tenant of record to other person or persons, without authority, permission or consent, after tenant of record has moved from apartment;

(10)nondesirability; and

(11)contingent liability arising from use of apartment for illegal purposes.

(b)Responsibilities of manager and counsel.

(1)Actions by the authority to recover possession will be processed by the authority's counsel based on information furnished by the manager. The manager is responsible for the accuracy of that information and, where applicable, that all other reasonable efforts have been made to correct the situation.

(2)The authority's counsel is responsible for insuring that necessary notices and other papers are properly and timely prepared and served. Preparation and service of such papers, as directed by authority's counsel, should be accomplished by project personnel where practicable, especially in the case of nonpayment or other rent action.

(3)Actions for nonpayment of rents must follow the schedule outlined in Subpart 1627-5, Rent Determination and Collection. The schedule of legal action, including three days' notice, should be such as to have the case in court during the first month of delinquency. In holdover proceedings, i.e., actions other than for nonpayment of rent, necessary legal action should be scheduled as soon as possible after authority authorization has been obtained. Where authorization to institute holdover proceedings is required, it is the responsibility of the manager to submit to the authority, as promptly as possible, full information, including his efforts to resolve the matter by other means. If matter is urgent, authorization can be obtained by contracting authority chairman and members, with such authorization being officially ratified at authority's next meeting.

(4)It is essential that all statutory requirements and procedures established by the authority are strictly followed in the case of termination proceedings so that action is not impaired. The authority's counsel should insure that authority personnel concerned are aware of applicable statutory requirements. No payments of rent should be accepted once proceedings have been instituted, unless such acceptance is approved by the authority's counsel.

9 NYCRR 1627-6.4 - Termination of lease at time of general rent change

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

At time of a general rent change, a notice of intent to terminate current lease must be forwarded to tenant at least one month prior to effective date of such general rent change. A letter of information will be issued in conjunction with such notice, advising tenants that if they desire to continue in occupancy, they must report to the project's office to sign a new lease at the changed rent.

9 NYCRR 1627-7.1 - Policy

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

All authorities shall create and maintain an environment conducive to the good health, safety, morals, welfare and comfort of authority tenants. Persons whose conduct and behavior create effects and influences adverse and detrimental to the project and persons residing therein, interfere with and prevent the achievement of the objectives of the Public Housing Law. In order to effectuate the policy hereinabove set forth, to protect the property of the authority and to facilitate proper administration by the authority of its projects, the standard of desirabilityhereinafter set forth (see section 1627-7.2 of this Part) shall be followed by authorities in approving eligibility for admission or continued occupancy.

9 NYCRR 1627-7.2 - Standard for admission or continued occupancy

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: HCR-29-15-00002-A · Adopted rule
Related notice published: Oct 21, 2015
Related notice effective date: Oct 21, 2015

(a)In addition to income eligibility, an authority may establish standards for use in approving eligibility for admission or continued occupancy of a household in any authority project. Such standards shall include that the household will not, or does not, constitute:

(1)a detriment to the health or safety of its neighbors or the community;

(2)a source of danger to the peaceful occupation of the other tenants;

(3)a source of danger or cause of damage to residents, personnel, property or premises of the authority; or

(4)such other lawful and non-discriminatory eligibility or continued occupancy criteria as may be established by the authority.

(b)An authority may admit or continue the tenancy of a household which might otherwise be ineligible under subdivision (a) of this section due to behavior that does not result in a criminal conviction if:

(1)the person responsible for the prohibited action demonstrates rehabilitation or good conduct, demonstrated by, among other things, completion of a credible rehabilitation program;

(2)the household demonstrates to the authority’s satisfaction that the person is no longer engaging in drug or alcohol-related activity, if the behavior stemmed from the use or abuse of drugs or alcohol in a way that interfered with the health, safety, or right to peaceful enjoyment of the premises by other residents; or

(3)the household member(s) determined to have engaged in the behavior will not reside in the unit. If the member is a minor, the authority may consider individual circumstances including the advice of Juvenile Court officials.

(c)In determining a household’s eligibility for admission or continued occupancy, an authority may give consideration to a household member’s criminal convictions that involved physical violence to persons or property or that adversely affected the health, safety and welfare of other people. The authority may not reject an applicant or remove a tenant based solely on that fact that a household member has such a conviction(s) but must conduct an individualized assessment of each household member who has such convictions, taking into account:

(1)the time which has elapsed since the criminal conviction(s);

(2)the age of the person at the time of the conviction(s);

(3)the seriousness of the conviction(s);

(4)any information produced by the household member, or produced on his or her behalf, in regard to rehabilitation and good conduct, including, but not limited to, evidence of completion of treatment, rehabilitative programming, history of employment and tenancy, volunteer or community activity, and letters of reference from employers, landlords, community members or others who could speak to the person’s conduct since the conviction; and

(5)where termination of continued occupancy is considered, the effects that termination of occupancy would have on household members who do not have convictions.

If, after conducting this assessment, the authority determines that the household is not eligible for tenancy, it must be able to articulate its reasoning with specificity. The authority shall communicate its decision to the household, together with the reasons for its determination.

(d)Notwithstanding subdivision (c) of this section, household members with the following convictions shall be ineligible for occupancy in an authority project:

(1)Convictions that lead to lifetime registration in a State Sex Offender Registration Program. Provided however, if such lifetime registration requirement is removed, the underlying convictions will be assessed in accordance with subdivision (c) of this section.

(2)Convictions for the manufacture or production of methamphetamine on premises of assisted housing (including privately owned units occupied by Section 8 Voucher Program participants).

9 NYCRR 1627-7.3 - Authority board of review

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)All housing authorities, except the New York City Housing Authority, shall establish by resolution an authority board of review, hereinafter referred to as the board. The board shall consist of at least three members of the authority and be appointed by the chairman of the authority. The members shall select a chairman from among themselves. The board shall meet at such times and places as fixed by the chairman of the board. A quorum of the board shall consist of a majority of the members of the board. A majority vote of the members of the board shall be required for a decision by the board. The housing project manager and/or authority counsel, if requested by the board, shall be present at the board meetings for the purpose of making available to the board such information and advice as it may require.

(b)The board shall review appeals by tenants from any administrative ruling or finding of ineligibility for continued occupancy in any authority project. Such review will be had upon the written demand of the tenant for a hearing by the board, made within 30 days after written notice to the tenant of the administrative ruling or finding of ineligibility for continued occupancy. At such hearing the tenant may appear by counsel or other qualified representative of his choice. The board shall also review appeals by applicants from any administrative ruling or finding of ineligibility for admission upon written demand of the applicant, made within 30 days after the interview granted in accordance with the provisions of section 156-a of the Public Housing Law. The applicant, at the time of such interview, shall be apprised of his right to a review by the board of review. Such review shall be in the form of an informal hearing, at which the applicant may appear by counsel or any other qualified representative of his choice, and present, either orally or in writing, material relevant to said appeal.

(c)A decision of a majority of the board shall be final, subject only to review by appropriate judicial proceeding. Failure of the board to reach a majority decision shall be cause for a remand of the matter to a formal meeting of the authority members called for the purpose of hearing and determining the matter. A decision by a majority of the members of the authority at such hearing shall have the same effect as a decision of the majority of the board.

(d)Minutes shall be kept of all meetings or hearings of the board and the authority in these matters. Such minutes do not necessarily have to be stenographic or in haec verba.

(e)A written demand for review by the tenant shall not affect any legal action taken by the authority to terminate tenancy, but the authority shall not evict any tenant whose appeal has not been finally determined.

(f)The resolution establishing the authority board of review, as well as any rules adopted to implement such resolution, are subject to the approval of the division. All housing authorities may establish by resolution an exception to the procedure set forth herein to appeal a declaration of nondesirability where the grounds therefor are the unlawful possession, trade, manufacture, distribution, storage and/or sale of a controlled substance or marijuana, or the unlawful possession, use or display of a weapon.

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