New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 1628
Executive Department
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12 sections
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9 NYCRR 1628-1.1 - Budget preparation
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)All authorities are required to submit an operating budget for each project or consolidated projects for the period from the date of substantial completion to the end of the current fiscal year assigned to the authority, and annually thereafter. However, under certain conditions in consolidated project operations, the division may require a budget for each of the individual projects.
(b)Budgets will be prepared on forms provided by the Division of Housing and Community Renewal. A preliminary budget will be prepared in pencil and forwarded in duplicate, not later than 60 days prior to the beginning of the next succeeding fiscal year, to the Bureau of Management for review. Immediately upon return of the preliminary budget, the final budget will be prepared in four copies and forwarded for the formal approval of the Bureau of Management. Neither the preliminary nor the final budget will be forwarded to the Bureau of Management until it has been reviewed and approved by the local authority.
(c)Prior year actual expenses will be shown in the space provided in the case of preliminary budgets. Inasmuch as the preliminary budget will be prepared prior to the expiration of the fiscal year, the prior year actual figures will be for the year ending one calendar quarter earlier than the fiscal year.
(d)Budget should be in final approved form prior to commencement of its fiscal year. No matters will be considered for approval by the division unless approved budget is on file with the Bureau of Management.
9 NYCRR 1628-2.1 - Budget program
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)The budget is a plan of operation for the fiscal year. Every effort should be made to prepare a budget which presents a program designed to meet all the fiscal obligations and to keep the condition and appearance of the project up to high standards. In turn, the budget as approved should be adhered so that the plan of operation is properly executed. The budget is an important tool in the successful management of a project.
(b)The budget should be realistic. Projection of income and expenses should reflect past experience modified by any changes expected to occur during the budget year. Reasonable estimates must not be adjusted downward for the purpose of attaining a deficit within the limits of the maximum subsidy. If realistic estimates indicate a deficit in excess of maximum subsidy, effective economies or means of added income must be devised before preliminary budget is submitted to the Bureau of Management.
(c)Economy of operation is a constant objective, but it should be specially considered in developing the budget. The subsidy required for the deficit operation must be kept as low as possible. Section 73 of the Public Housing Law limits the amount of subsidy that may be paid by the State. Proper concern for the public funds involved demands that subsidy requirements be kept to a minimum by economical project operation, regardless of the maximum subsidy permitted. In any event, the estimated deficit of a proposed budget must be based on justifiable expenses and reserves, and must reflect income from rents which bear a fair share of the project's expenses, with due regard for the income levels of tenants and applicants.
9 NYCRR 1628-3.1 - Special approvals
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
The following budgetary items require special prior written approval from the division in addition to being included in the approved budget:
(a)any changes, regardless of amount, which affect (1) personnel, (2) salaries, (3) legal or fiscal fees, and (4) insurance;
(b)any commitment, contract or expenditure in excess of amount stated in budget approval letter; and
(c)any contract for personal services.
Approval of the above items will be requested by letter giving full justification and, in the case of contracts or purchases, copies of bids received and authority's recommendation as to award.
9 NYCRR 1628-3.2 - Revisions and overruns
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Requests for budget revisions to include additional items or to adjust for budget overruns in the major account categories, or for 20-percent overruns in any of the subaccounts, will be in the form of a letter justifying the requested revision. If the request is approved, the approval letter from the division will serve to amend the budget.
(b)Strict budget control should be maintained so that revisions are kept to a minimum. Requests for revisions, when necessary, should be submitted as promptly as possible. Requests to include additional items must be submitted at least 30 days prior to expiration of the fiscal year.
9 NYCRR 1628-4.1 - Earlier source heading: General
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
Current section text is not available here.
9 NYCRR 1628-4.2 - Purchases
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Purchases of materials and supplies will be made on a purchase order form of the authority. Purchases should be consolidated as much as possible, so that value of the purchase is sufficient to attract bidders and obtain quantity prices. Consolidation also reduces the amount of paper work. However, purchases should be only for immediate needs, generally not in excess of three to six months' requirements.
(b)Purchases of less than $10,000 do not require bidding under the following arrangements and, when economically feasible, should be utilized to the fullest extent possible. Although bidding is not required, approval of the division is necessary under all of these arrangements for any purchase in excess of amount stated in budget approval letter. Purchases in excess of $10,000 must be bid in accordance with section 151 of the Public Housing Law.
(1)Open contracts awarded by New York State Executive Department, Office of General Services, Albany, N.Y. An alphabetic index of commodities purchased by the Office of General Services is available from the Albany office upon request specifying the items in which authority is interested.
(2)Consolidated procurement contracts of the United States Department of Housing and Urban Development, Public Housing Administration.
(3)Items available from Prison Industries Board, Department of Correction, Albany, N.Y.
(4)Items available from Industries for the Blind.
9 NYCRR 1628-4.3 - Contracts for occasional requirements
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)The most recently revised and approved standard short form of contract, including official tender, bid bond and performance bonds together with specifications and plans for the specific work, will be used for all contracts covering occasional requirements.
(b)The inclusion of a schedule of prevailing wage rates for the trades expected to be employed under the contract is required in the standard short form of contract.
(c)Any change in a contract will be made by a change order detailing the change and indicating whether the cost is affected and, if it is, the amount of the increase or decrease. Change orders require division approval.
(d)It is the responsibility of an authority and its designated employees to make certain that contractors fulfill their obligations under contracts. Assistance in the discharge of this responsibility is available from representatives of the division.
9 NYCRR 1628-4.4 - Contracts for continuing requirements
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Specialized standard forms of contracts have been approved by the division for services for which there is a continuing requirement. Such contracts include exterminating services, elevator maintenance, laundry concession and fuel oil supply.
(b)Fuel oil contracts will be bid annually on standard proposals and specifications approved by the division. Bids are to be solicited on or about May 15th of each year since the term of the contract is from July 1st to June 30th of the following year. Contracts in excess of $10,000 must be publicly advertised at least once, not less than 20 days prior to bid opening date as required by section 151 of the Public Housing Law. Copies of bids received, verification of public advertising, if applicable, and authority's recommendation will be forwarded to the Bureau of Management for review and approval prior to award.
(c)Bids will be solicited for other service contracts for which there is a continuing requirement at least 90 days prior to the expiration of the current contract.
9 NYCRR 1628-4.5 - Payments due suppliers or contractors
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Payment due suppliers or contractors should be processed as promptly as possible and within the cash discount period, if applicable. Payment vouchers must be substantiated by receiving report or other document signed by authorized personnel, preferably by employee other than person signing the payment voucher and indicating that supplies or services were received as ordered. If there are any discrepancies, shortages, defective material, etc., payment must be withheld until matter is satisfactorily adjusted. However, in such cases, the supplier or contractor should be notified promptly so that corrective action can be taken immediately.
(b)Invoices must show adequate details of the charges. Invoices for work on a time and material basis will list labor separately from materials and will show dates and number of hours worked and hourly rate of pay.
(c)Any tax from which the authority is exempt must be excluded from any payments to suppliers or contractors. Tax exemptions are listed in Subpart 1640-6 of the accounting manual (Subchapter D of this Chapter). It is recommended that gasoline purchases for authority's automotive equipment be on the basis of credit card obtained from the gasoline company whose products are normally used. The monthly billing from the gasoline company will show the tax deductions for purchases being billed.
(d)Special attention should be paid to payments for fuel oil. Fuel oil contracts usually include a clause providing for price adjustments. These adjustments are generally based on prevailing prices posted in the New York Journal of Commerce. The Bureau of Management issues a memorandum of such prices at the end of any month in which there is a price change. The price shown on the contractor's invoice should be checked against the posted price on the day of delivery, as shown in the division's listing, adjusted by the constant differential stated in the contract. The quantity of fuel oil should be checked at each delivery. Printed meter delivery should be double checked by comparing with the quantity by which the amount in the storage tank is increased, either by stick reading or liquidometer reading. Nonmetered deliveries should be checked by ascertaining the quantity in the truck's tank or compartment at start of delivery and the quantity, if any, remaining at the end of the delivery. The calibration chart for the tank or compartment, required to be carried on the truck, should be used to convert the measured reading into gallons. Deliveries of preheated fuel oil require temperature correction to 60°F by reference to the standard table established for this purpose. The quantity delivered should be further checked by comparing with the increased quantity in the storage tank.
(e)Prior written approval by the division is required for final payments of contracts for occasional requirements (see section 1628-4.3 of this Subpart). Final payment is the payment of the full amount of the contract, or the remaining balance, due upon satisfactory completion of the total contract or purchase. The following documents, properly executed, and reviewed and approved by authority counsel as to form, will be included with letter requesting division approval for final payment:
(1)Certificate and release—three copies.
(2)Request for payment (final payment)—three copies.
(3)One copy of each request for payment (partial payment), if any.
(4)One copy of each change order, if any.
(f)Partial payments may be made if the amount, duration or other conditions of the contract or purchase warrant such payments. Request for payment (partial payment) will be prepared in triplicate to reflect the work or deliveries on which payment is being based. On all partial payments the authority will retain 10 percent of the sum which represents the completed work or deliveries where there is no payment or performance bond. If a payment or performance bond is provided then the authority will retain five percent of the sum which represents the completed work or deliveries. Partial payments do not require submission to the division for approval but do require the signature of the authorized representative of the division who will check the work or deliveries covered by the request for payment (partial payment) and approve the payment. However, a copy of each such request for payment (partial payment) will be included in the documents forwarded for division approval of final payment. When partial payments are planned, unit prices should be specified in the contract or order, or else a schedule of amounts for contract payments should be prepared, so that mutually satisfactory unit prices for completed work or deliveries are established with the contractor prior to the first partial payment.
(g)Advance notice of completed work or deliveries on which partial or final payment is desired should be given to the division as soon as possible.
9 NYCRR 1628-4.6 - Guarantees
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Records of the expiration dates of guarantees of a year or more will be maintained by project office personnel. The project manager is responsible for making certain that such records are properly kept and ascertaining any possible guarantee obligations before authorizing repairs on guaranteed items.
(b)Special note should be made of items which have a guarantee period and a warranty period of different duration.
(c)Any notices or information as to the start of the guarantee period required by the manufacturer should be forwarded to him as promptly as possible in accordance with the terms of the guarantee.
(d)Guarantees of short periods i.e., three to six months, may be recorded if desired. However, as such a short interval of time is involved, easy reference can be made to the purchase order or similar document so that a special guarantee record is not required. In any event, the project manager still has the responsibility of ascertaining whether the guarantee period has expired before authorizing repairs to guaranteed items.
(e)Records or information on guarantees should be arranged so as to alert the project manager 30 days prior to the expiration date of any guarantee so that repairs or adjustments, if needed, can be made before the expiration of the guarantee.
9 NYCRR 1628-5.1 - Inventory control
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Inventory records will be maintained for appliances, office and maintenance equipment, tools and similar project property of a nonexpendable nature.
(b)Entry on inventory record will be made by office personnel as soon as possible after receipt of property from information on the delivery receipt. Manufacturer's serial numbers will be shown for items having such numbers. Also, if considered necessary, an inventory control number can be affixed, by means of a decalcomania or other method of marking, to each item for positive identification at time of physical inventories.
(c)Inventory records will be maintained on an inventory card (Exhibit 36 of Appendix S-8) for each type of item. Cards will show the quantity on hand, location of the item, inventory control numbers if used, manufacturer's serial number if applicable, reference number of the voucher and date on which item was purchased, and quantity dropped from inventory and reason for it.
(d)Employees will be advised of the specific project items for which they are responsible. They will be required to advise their supervisor promptly of any loss, damage, etc. of items for which they are responsible. Tools, not assigned to a specific individual, will be controlled by having the employee using the tool responsible for its return when he is finished with it or at the end of his day's work. The maintenance superintendent or designated employee is responsible to insure that all such tools are on hand at the end of the work day and to advise the project manager of any that may be missing or damaged.
(e)Physical inventory of all items on which inventory must be maintained will be made at least once each year. Inventory cards will be adjusted to reflect any overages or shortages disclosed as a result of this annual inventory. Adjustment of shortages must be substantiated by any pertinent information and must be approved by the authority with the Bureau of Management being advised.
(f)Projects at which inventory records are not being presently maintained will conduct an initial inventory immediately and prepare inventory cards on the basis of the initial inventory.
(g)Approval of the authority is required for the dropping from inventory records of any item that is missing or damaged. Personnel responsible for the item which is lost or damaged should report promptly to the project manager so that he can initiate such investigation as the situation warrants. A report of the investigation and the project manager's recommendation will be submitted to the authority for action. A copy of the report and the authority's action will be forwarded to the Bureau of Management.
9 NYCRR 1628-6.1 - Disposal of excess equipment and supplies
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 15, 2021
(a)Equipment and supplies which are no longer needed or useful to the authority should be disposed of as quickly as possible. Disposal of items which had a unit cost of $50 or more at time of purchase will require the division's prior approval.
(b)If possible, such equipment should be turned in on replacement equipment. Solicitation for bids for the replacement equipment should request bidders to offer a trade-in allowance for the old equipment.
(c)If it is impossible to trade in the equipment or if it is more economical to purchase the new equipment without a trade-in, then the item should be disposed of by selling it on a competitive basis to secondhand dealers.
(d)If item can not be disposed of as outlined, then it should be considered scrap and sold on competitive basis to salvage yards. If no offers are received for the scrap then it may be discarded by trash pick-up or taken to the municipal dump. A listing of items so disposed will be certified to by the housing manager at the time of such disposal.
(e)Disposal of items carried on inventory records will be entered on such records and reference noted as to purchase order, cash receipt, or certification on which disposal was effected.