9 NYCRR Part 1803 - Executive Department

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Source version current through Sep 15, 2021

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9 NYCRR 1803.1 - Eligibility for State financial assistance

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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 contract for a State loan and subsidy may be made, within appropriation therefor, with respect to

(1)a program of urban renewal when a municipality has contracted with the federal government for a capital grant on or after April 30, 1959, or

(2)the additions to a program commenced prior to May 1, 1959 as to which the federal capital grant has been increased pursuant to contract amendment entered into on or after such date.

(b)A contract for a State capital grant may be made, within appropriations therefor, with respect to

(1)a program of urban renewal when a municipality has contracted with the federal government for a capital grant subsequent to December 31, 1960,

(2)the additions to a program commenced prior to May 1, 1959 as to which the federal capital grant has been increased pursuant to contract amendment entered into on or after such date,

(3)a program undertaken and carried out by a Municipal Urban Renewal Agency, established by special act of the Legislature, duly and validly organized, provided the federal government has issued a capital grant contract with respect thereto, or

(4)a non-federally assisted urban renewal project to meet the cost of surveys and plans for such project and the administrative and other related expenditures incurred in undertaking and completing such project.

(c)A contract for a State community renewal program grant may be made within appropriations therefor, when a municipality or Municipal Urban Renewal Agency has entered into a contract with the federal government after August 2, 1966 for a community renewal program grant.

(d)A contract for a State concentrated code enforcement grant may be made under the provisions of chapter 681 of the Laws of 1968, within appropriations therefor, when a municipality has entered into a contract with the federal government on or after June 16, 1968 for a concentrated code enforcement grant under the provisions of section 117 of Title I of the Federal Housing Act of 1949.

9 NYCRR 1803.2 - Applications

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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)One signed original and two conformed copies of the respective forms hereinafter mentioned shall be submitted to the commissioner in connection with a request for financial assistance, except that where no federal financial assistance is involved, no federal forms, documents or contracts and no federal approvals are required:

(1)Application for financial assistance.

The application is to be submitted with two certified copies of the capital grant contract between the municipality and federal government; or loan and grant contract between the Municipal Urban Renewal Agency and federal government and cooperation agreement between the municipality and the Municipal Urban Renewal Agency; two copies of each of the following: Project Cost Estimate and Financial Plan, HUD form H-6200, Project Expenditures Budget, HUD form H-6220, as approved with attached explanation of differences; Schedule of Urban Renewal Insurance Coverage, HUD form H-6206, or a certificate of insurance showing all federally required coverage; and the workable program requirements as contained in section 1806.1.

(2)In the case of a municipality, a resolution authorizing the submission adopted by the governing body.

(3)In the case of a Municipal Urban Renewal Agency,

(i)a resolution authorizing the submission adopted by the governing body of the municipality,

(ii)a resolution authorizing the submission adopted by the Municipal Urban Renewal Agency.

(4)Schedule supporting the request for assistance.

(b)Three duplicate originals or certified copies of the following documentation shall be submitted to the commissioner with a request for community renewal program grant:

(1)The application for the community renewal program grant submitted to HUD.

(2)Amendatory application, if any.

(3)Local Approved Data—Community Renewal Program, including community renewal program in duplicate.

(4)Federal community renewal program grant contract.

(5)Resolution of governing body approving application for State community renewal program grant.

(6)If applicant is not the municipality, in addition to resolution required in the preceding paragraph (5), supra, a resolution by agency authorizing submission of the application for State community renewal program grant.

(7)Opinion of counsel for applicant with respect to application to the State for community renewal program grant.

(c)Three duplicate originals or certified copies of the following documents should be submitted to the commissioner with the request for a concentrated code enforcement grant:

(1)The application for a concentrated code enforcement grant submitted to HUD, including HUD Forms H-6170 and H-6171, or alternates.

(2)Amendatory application, if any.

(3)Designation of urban renewal area.

(4)Urban renewal plan.

(5)Federal grant contract for code enforcement.

(6)HUD authorization to incur costs.

(7)

(i)Evidence of public hearing on urban renewal plan by commission.

(ii)Resolution of commission, approving urban renewal plan, showing vote thereon.

(iii)Evidence of public hearing on urban renewal plan by governing body.

(iv)Resolution of governing body, approving urban renewal plan, showing vote thereon.

(8)Application for State capital grant for concentrated code enforcement.

(9)Resolution of governing body approving application for State capital grant for concentrated code enforcement.

(10)Opinion of counsel of municipality with respect to application for State capital grant contract for concentrated code enforcement.

9 NYCRR 1803.3 - Transfer of projects

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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)When the State has issued a capital grant to a municipality and the project is to be transferred to a Municipal Urban Renewal Agency, the following shall be submitted in duplicate (originals or certified copies):

(1)A novation agreement among HUD, the municipality and the Municipal Urban Renewal Agency, and

(2)A novation agreement among the State, the municipality and the Municipal Urban Renewal Agency, and

(3)A cooperation agreement between the municipality and the Municipal Urban Renewal Agency. Where a State capital grant has been issued to a municipality the cooperation agreement shall recite that a novation agreement among the State, the municipality and Municipal Urban Renewal Agency, has been entered into.

(4)Two copies of the loan and grant contract entered into between HUD and the Municipal Urban Renewal Agency.

(5)A resolution of the governing body approving the novation agreement among the State, the municipality and the Municipal Urban Renewal Agency and authorizing execution thereof by a specified municipal official.

(6)A resolution of the governing body approving the cooperation agreement between the municipality and Municipal Urban Renewal Agency and authorizing the execution thereof by a specified municipal official.

(7)A resolution of the Municipal Urban Renewal Agency authorizing execution of the novation agreement among the State, the municipality and the Municipal Urban Renewal Agency by a specified official.

(8)A resolution of the Municipal Urban Renewal Agency authorizing execution of the cooperation agreement between the municipality and the Municipal Urban Renewal Agency by a specified official.

(9)Evidence of transfer of all project assets from the municipality to the Municipal Urban Renewal Agency.

(b)When the State has issued a capital grant contract to a Municipal Urban Renewal Agency and the project is to be transferred to the municipality, the following shall be submitted in duplicate (originals or certified copies):

(1)A novation agreement among HUD, the municipality and the Municipal Urban Renewal Agency, and

(2)A novation agreement among the State, the municipality and the Municipal Urban Renewal Agency, and

(3)Two copies of the grant contract entered into between HUD and the municipality.

(4)A resolution of the governing body approving the novation agreement and authorizing the execution thereof by a specified municipal official.

(5)A resolution of the Municipal Urban Renewal Agency authorizing execution of the novation agreement by a specified official.

(6)A financial statement audited by HUD, when a federal grant contract has been issued, and audited by the commissioner, when a State grant contract has been issued, showing:

(i)funds received by the agency

(ii)expenditures made

(iii)obligations outstanding

(iv)contracts for financial assistance which are still in effect.

(7)Evidence of transfer of all project assets from the Municipal Urban Renewal Agency to the municipality.

(c)When the State has issued a capital grant contract to a municipality for a non-federally assisted project, and the project is to be transferred to the Municipal Urban Renewal Agency, the following shall be submitted in duplicate (originals or certified copies):

(1)A novation agreement among the State, the municipality and the Municipal Urban Renewal Agency.

(2)A cooperation agreement between the municipality and the Municipal Urban Renewal Agency which should recite that a novation agreement among the State, municipality and Municipal Urban Renewal Agency has been entered into.

(3)A resolution of the governing body approving the novation agreement among the State, the municipality and the Municipal Urban Renewal Agency and authorizing execution thereof by a specified municipal official.

(4)A resolution of the Municipal Urban Renewal Agency authorizing execution by a specified official of the novation agreement among the State, the municipality and the Municipal Urban Renewal Agency.

(5)A resolution by the governing body of the municipality approving the cooperation agreement between the municipality and the Municipal Urban Renewal Agency and authorizing execution thereof by a specified municipal official.

(6)A resolution of the Municipal Urban Renewal Agency authorizing execution by a specified official of the cooperation agreement between the municipality and the Municipal Urban Renewal Agency.

(7)Evidence of transfer of all project assets from the municipality to the Municipal Urban Renewal Agency.

(d)When the State has issued a capital grant contract for a non-federally assisted urban renewal project to the Municipal Urban Renewal Agency and the project is to be transferred to the municipality, the following shall be submitted in duplicate (originals or certified copies):

(1)A novation agreement among the State, the municipality and the Municipal Urban Renewal Agency.

(2)A resolution of the governing body approving the novation agreement and authorizing execution thereof by a specified municipal official.

(3)A resolution of the Municipal Urban Renewal Agency authorizing the execution thereof by a specified official.

(4)Evidence of transfer of all project assets from the Municipal Urban Renewal Agency to the municipality.

(e)After the transf of project assets,

(1)Opinion of agency counsel that the project assets have been properly transferred and delivered, and the documents effecting such transfer are valid and binding in all respects in accordance with the terms, and are legally enforceable.

(2)Copies of the executed documents effecting such transfer of project assets, showing date and place where recorded, of instruments showing transfer of project real property.

9 NYCRR 1803.4 - Determination of amount

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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)State assistance under loan and subsidy contracts may not exceed one-half of the local grants-in-aid for a program, as recognized by the federal government, under any of the following:

(1)The two-thirds—one-third formula for the sharing of costs between the federal government and the municipality.

(2)The three-fourths—one-fourth formula for the sharing of costs between the federal government and the municipality, for municipalities having a population of 50,000 or less, or is located in a labor market area designated as a redevelopment area. In such case costs incurred for legal, administrative and planning activities are part of and may be included for the purpose of computing amount of State assistance.

(3)The three-fourths—one-fourth formula for the sharing of costs between the federal government and the municipality, for municipalities other than as described in paragraph (2) of this subdivision. In such case expenditures made for legal, administrative and planning services are not part of gross project costs and will not be included for purpose of computing amount of State assistance.

(b)State assistance under a capital grant contract may not exceed one-half of the net cost of the program to the municipality or Municipal Urban Renewal Agency, exclusive of any federal aid or assistance, under any of the following:

(1)The two-thirds—one-third formula for sharing of costs between the federal government and the municipality or Municipal Urban Renewal Agency.

(2)The three-fourths—one-fourth formula for the sharing of costs between the federal government and the municipality or Municipal Urban Renewal Agency.

Regardless of population the State capital grant under paragraph (2) of this subdivision (b) will be made on the same basis as in paragraph (1). In such case municipalities, under the three-fourths—one-fourth formula, that do not qualify as a municipality having a population of 50,000 or less, or is located in a labor market area designated as a redevelopment area, may have expenditures recognized by the State for the purpose of determining the net cost of the program to the municipality even though such expenditures are excluded from net project cost for the purpose of computing the federal capital grant.

(c)State assistance under a community renewal program grant contract may not exceed one-half of the cost of such program to the municipality or agency, exclusive of any federal or State aid or assistance therefor.

(d)State assistance under a non-federally assisted capital grant contract may not exceed the lowest of the following amounts:

(1)one-half of the net cost of the project;

(2)one-half of the costs of surveys and plans and administrative and other related expenditures incurred in undertaking and completing the project; or

(3)$500,000;

exclusive of any other State aid or assistance provided under any other program which shall be deducted in computing the amount of the State capital grant therefor. Eligibility of costs for a non-federally assisted project are the same as for a project federally financially assisted. Costs may include but are not limited to:

(i)Survey and planning documentation, but not the cost of preparation of the survey and planning application.

(ii)Final project report documentation and application for capital grant contract (Part I).

(iii)Local project approval data (Part II).

9 NYCRR 1803.5 - Financial aid 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

(a)Notwithstanding anything contained in these regulations to the contrary, the following non-cash grant-in-aid credits, are not eligible for inclusion in any computation to determine the amount of financial assistance:

(1)Subdivision (b) of section 107 of Title I, of the Housing Act of 1949, as amended and supplemented, with respect to a low rent housing project built on land acquired as part of an urban renewal project.

(2)Section 112 of Title I, of the Housing Act of 1949, as amended and supplemented, with respect to expenditures made by or on behalf of an educational institution or hospital, except expenditures made by a private voluntary hospital and/or by a private college or private university within, adjacent to, or in the immediate vicinity of an urban renewal project which are recognized as non-cash grant-in-aid credits by federal government may be recognized by the commissioner, within statutory limits, provided the federal capital grant contract (or loan and grant) was executed after June 30, 1966 and provided further that such expenditures were made in conformity with a plan or undertaking for the clearance, replanning, reconstruction or rehabilitation of a substandard or insanitary area, adjacent to or in the immediate vicinity of an urban renewal project which plan or undertaking shall conform to the comprehensive community plan for the development of the community as a whole, the plan or undertaking is to be submitted to the commissioner in support of a request for non-cash grant-in-aid.

(i)The plan or undertaking for clearance, replanning or rehabilitation of a substandard or insanitary area or areas upon which the section 112 non-cash grant-in-aid credits are based, including a map showing relationship of section 112 area to urban renewal project area. The criteria used in determining area to be substandard or insanitary are to accompany plan as an appendix.

(ii)A certified copy of the report rendered on the plan by the commission, including a finding that the plan or undertaking is in conformity with the comprehensive plan for the development of the community as a whole. The report is to state the date when the plan was submitted to the commission and also the date when delivered to the governing body as well as showing the vote thereon and whether

(a)approved

(b)approved with qualifications or

(c)disapproved.

(iii)Two certified copies of resolution of the governing body, approving the plan or undertaking showing the date thereof and the vote thereon.

(3)Subdivision (d) of section 110 of Title I of the Housing Act of 1949, as amended and supplemented, with respect to

(i)Offsite clearance areas donated to an urban renewal project, unless the survey and planning application submitted in connection therewith received Federal approval prior to January 1, 1961, and

(ii)that portion of any demolition or removal work, improvement or facility to be paid for from any aid, grant or contribution under any other State program, or

(iii)a publicly owned facility, construction of which was commenced after November 2, 1963 to the extent it is not financed with municipal funds.

(b)Notwithstanding anything contained in these regulations to the contrary, State financial assistance for a concentrated code enforcement program otherwise financially aided shall be reduced by such amount and excluded in determining the State financial assistance for the concentrated code enforcement program.

9 NYCRR 1803.6 - Progress payments

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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 progress payment of 85 percent on account of the urban renewal grant may be requested upon acquisition of title to, or control of at least 10 percent (based on estimated cost) of real property to be acquired for the project, exclusive of donated land. The final payment of the urban renewal grant will be made upon request after satisfactory evidence of the unqualified federal closeout of the project, is submitted.

(b)Acquisition shall be deemed to occur when:

(1)condemnation proceedings are instituted for the purpose of obtaining title or an order of immediate possession is obtained;

(2)a binding, enforceable contract for the purchase of the real property is entered into; or

(3)an enforceable option to purchase is obtained.

(c)Such payment may be made at any stage during project execution provided the following documents are submitted in satisfactory form:

(1)Three duly certified copies of a resolution duly adopted by the governing body or Municipal Urban Renewal Agency authorizing chief fiscal officer to file requisitions, together with necessary supporting documents and execute all papers in connection therewith and to do and perform all other things and acts required to be done or performed in order to obtain such payments (see definition of chief fiscal officer, section 1800.3[d]).

(2)A requisition for capital grant or loan funds consisting of an original and two certified copies of the following items:

(i)In the case of a progress payment of capital grant funds

(a)Urban Renewal Grant Voucher.

(b)Schedule Supporting Request for Capital Grant Progress Payment.

(c)No-Litigation Certificate.

(d)Physical Progress Quarterly Report (HUD form H-6000). (Only page 1 [summary page] will be required.)

(e)Report on Budgetary Status, HUD form H-6250.

(f)Project Balance Sheet, HUD form H-6251.

(ii)In the case of loan funds

(a)Urban Renewal Loan Voucher.

(b)Request for Project Loan Progress Payment.

(c)Schedule Supporting Request for Loan Progress Payment.

(d)No-Litigation Certificate.

(e)Physical Progress Quarterly Report (HUD form H-6000). (Only page 1 [summary page] will be required.)

(f)Report on Budgetary Status, HUD form H-6250.

(g)Project Balance Sheet, HUD form H-6251.

(3)With each request for loan funds, in addition to the foregoing, there shall also be submitted Evidence of the Indebtedness of the Municipality.

(4)Payments shall be deposited in the “Project Expenditures Bank Account” (insert assigned Federal project number).

(d)Community renewal program.

(1)A progress payment of 85 percent on account of the community renewal program grant may be requested at any time after the effective date of the State capital grant. The final payment of the community renewal program grant will be made after satisfactory evidence of the unqualified federal closeout of the community renewal program is submitted. The following documents shall be submitted in satisfactory form:

(i)Three duly certified copies of a resolution duly adopted by the governing body or Municipal Urban Renewal Agency authorizing its chief fiscal officer to file requisitions, together with necessary supporting documents, and execute all papers in connection therewith and to do and perform all other things and acts required to be done or performed in order to obtain such payments.

(ii)A requisition for community renewal grant funds consisting of an original and two certified copies of the following items:

(a)Community Renewal Grant Voucher.

(b)Schedule Supporting Request for Capital Grant Progress Payment.

(c)No-Litigation Certificate.

(d)Certified copy of Community Renewal Program Budget, HUD form H-6410, approved by HUD.

(2)Community renewal payments shall be deposited in a bank account entitled “Community Renewal Fund, ” (insert assigned federal project number).

(e)

(1)A progress payment of 85 percent on account of the State capital grant in a non-federally assisted project, may be requested upon local approval of the urban renewal plan after acquisition of 10 percentum of the land. Final payment may be requested upon completion of the project and determination of the final net cost by the commissioner. The following documents shall be submitted in satisfactory form:

(i)Three duly certified copies of a resolution duly adopted by the governing body of the municipality or the Municipal Urban Renewal Agency authorizing its chief fiscal officer to file requisitions, together with necessary supporting documents, and to execute all papers in connection therewith and to do and perform all other things and acts required to be done or performed in order to obtain such payments.

(ii)A requisition for funds consisting of an original and two certified copies of the following items:

(a)Urban Renewal Grant Voucher.

(b)Schedule Supporting Request for Capital Grant Progress Payment.

(c)No-Litigation Certificate.

(iii)Certificate of Completion and of Gross and New [sic ] Project Cost which must be submitted within six months from the date of completion of the project.

(2)Such payments shall be deposited in an account entitled “State-local Assistance Fund, NYSUR- (NF)” (insert assigned New York State No.).

(f)

(1)Progress payments on account of a State capital grant contract for concentrated code enforcement may be requested as follows:

(i)Upon the first anniversary of the federal grant contract for code enforcement, or date of HUD authorization to incur costs, whichever is earlier, 50 percent of the State capital grant contract amount, or total municipal contribution earned, whichever is less.

(ii)During the second year of the federal grant contract for code enforcement, or date of HUD authorization to incur costs, whichever is earlier, 85 percent of the State capital grant contract amount, less previous progress payment, at such time as total municipal contribution earned equals 85 percent of the contract amount. In any event, on the second anniversary of the State contract, 85 percent of the contract amount, less previous progress payment or total municipal contribution earned, less previous progress payment, whichever is less.

(iii)Balance upon final audit by commissioner.

(2)The following forms shall accompany the requisition:

(i)Urban Renewal Grant Voucher.

(ii)No-Litigation Certificate.

(iii)Copy of quarterly Statement of Financial Condition for most recent quarterly period.

(iv)Copy of HUD form H-6173, “Combined Cost Control and Statement of Accountability”, for the most recent quarterly period.

(v)Copy of HUD form H-6172, “Semi-Annual Progress Report”, for most recent period.

(vi)Copy of latest approved HUD form H-6171, “Code Enforcement Project Budget”.

(3)Concentrated code enforcement payments shall be deposited in a bank account entitled “Concentrated Code Enforcement Fund, ” (insert assigned Federal number).

9 NYCRR 1803.7 - Accounts, records and audits

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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 municipality or Municipal Urban Renewal Agency shall:

(a)Keep and maintain records and accounts in accordance with and in the manner as may be prescribed by the State Comptroller.

(b)Submit within 60 days after the close of the fiscal year, an annual report of its financial condition, to the commissioner and the State Comptroller, in such form as the Comptroller shall require.

(c)Furnish additional information as may be required from the agency or any officer thereof, at any time, by the commissioner or the State Comptroller.

(d)Submit for examination the books and accounts of the agency including its receipts, disbursements, contracts, reserve funds, sinking funds, investments and any other matter relating to its finances or financial standing to the State Comptroller or his legally authorized representative.

(e)Be subject to an examination to be conducted by the State Comptroller at least once in every five years. In lieu of such examination, an external examination of the books and accounts, made at the request of the agency, may be accepted by the State Comptroller.

9 NYCRR 1803.8 - Approval and audit of program costs

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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 net cost of the program shall be certified by the municipality, or by the Municipal Urban Renewal Agency, as the case may be, to, and shall be subject to audit and approval of, the commissioner.

(b)The cost of the community renewal or concentrated code enforcement program shall be certified by the municipality, or by the Municipal Urban Renewal Agency, as the case may be, to, and shall be subject to audit and approval of, the commissioner.

(c)Any financial assistance furnished under either subdivisions (a) or (b) of this section in excess of statutory limitations, the pertinent contract or these regulations shall, as soon as the amount is finally determined by the commissioner, be returned to the State immediately upon notification to the municipality, or Municipal Urban Renewal Agency, as the case may be, of the determination.

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