9 NYCRR Part 2620 - Executive Department

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Source version current through Sep 15, 2021

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9 NYCRR 2620.1 - General provisions

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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)Purpose.

(1)The purpose of the Urban Initiatives Program is to assist the efforts of eligible not-for-profit community-based organizations in community preservation and revitalization efforts, by providing funding for costs of urban initiatives projects, to foster the most effective use of public and private resources, and to promote innovative techniques to address the improvement of physical conditions of neighborhoods.

(2)The rules and regulations contained herein are applicable for defining eligible organizations and projects, selection criteria, and contract performance.

(3)Not-for-profit organizations participating in the program are eligible for contracts limited in duration up to a two-year term, with the possibility of extending the contract, at the commissioner's discretion.

(b)Definitions.

As used in these rules and regulations:

(1)Commissioner shall mean the commissioner of the New York State Division of Housing and Community Renewal.

(2)Community preservation activities or activitiesshall mean activities such as those designed to construct, maintain, preserve, repair, renovate, upgrade, improve, modernize, rehabilitate or otherwise prolong the useful life of residential dwelling accommodations; to restore abandoned and vacant as well as occupied housing accommodations to habitable and viable condition; to demolish structurally unsound or unsafe or otherwise unsightly or unhealthy residential structures which no longer serve or can economically be made to serve a useful purpose consistent with stabilizing or improving a neighborhood; to acquire and renovate buildings which contain housing accommodations; and to conduct similar activities with respect to retail, commercial, cultural, civic, and community establishments within neighborhoods, when carried out in connection with or incidental to a program of housing activities.

(3)Division shall mean the New York State Division of Housing and Community Renewal.

(4)Immediate family shall mean, with reference to an individual person, that person's parents, stepparents, spouse, brothers, stepbrothers, sisters, stepsisters, sons, stepsons, daughters and stepdaughters; and the spouses of each.

(5)Municipality shall mean any unit of local government within the State with a population of 20,000 or more.

(6)Neighborhood shall mean an area within the municipality identified by recognized or established boundaries consistent with a determination of neighborhood eligibility under article XVI of the Private Housing Finance Law, within which the company will carry out its proposed project.

(7)Persons of low income shall mean individuals and families whose annual incomes do not exceed 90 percent of the median annual income for all the residents of the municipality within which they reside, taking family size into account.

(8)Qualified applicant or applicant or applicantshall mean a not-for-profit corporation under contract pursuant to article XVI of the Private Housing Finance Law or a bona fide, community-based, not-for-profit organization, or a predecessor not-for-profit organization, which shall have been in existence either as a corporation or as an unincorporated organized group performing significant community preservation activities for at least one full year prior to entering into any contract with the commissioner.

(9)Urban initiatives project, proposed urban initiatives project or proposed project shall mean a specific community preservation activity, or a series of such activities, which the qualified applicant proposes to undertake in the neighborhood.

(c)Administrative procedures.

The commissioner may provide administrative procedures necessary and appropriate to carry out the policy and intent of the Urban Initiatives Program and these rules and regulations.

(d)Equal opportunity.

All activities funded in whole or in part under the Urban Initiatives Program shall be consistent with all relevant Federal and State equal employment opportunity, nondiscrimination, and fair housing laws.

9 NYCRR 2620.2 - Application process

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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)Request for proposals.

As funds are made available for the purposes of this program, the division may publish, or cause to be published, in the State Registerrequests for proposals and invite the submission of applications.

(b)Urban Initiatives Program packet.

An Urban Initiatives Program packet may be obtained from the regional offices of the division. Applicants shall complete such forms as the division may prescribe, and provide such additional information as the division may require, to enable the commissioner to make a determination that:

(1)the applicant has, or demonstrates that it can acquire, the capacity and expertise to undertake the proposed urban initiatives project;

(2)the neighborhood to be served is in need of revitalization; and

(3)the proposed project will contribute significantly toward the revitalization and general renewal of the neighborhood.

(c)Selection process.

(1)Applications must be completed in full. Incomplete applications will be returned and will not be considered in the funding cycle.

(2)Each application submitted in response to requests for proposals will be reviewed to determine compliance with the eligibility provisions of these rules and regulations.

(3)Each application that satisfies the eligibility provisions of these rules and regulations will be evaluated and ranked.

9 NYCRR 2620.3 - Applicant eligibility

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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 qualified applicant must demonstrate by its immediate past and current activities that it has the ability to engage in community preservation activities within the neighborhood.

(b)The applicant's officers, directors and members must be representative of the residents and other legitmate interests of the neighborhood.

9 NYCRR 2620.4 - Neighborhood eligibility

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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)Geographical identification.

The area within which the applicant proposes to undertake the proposed project must be defined by precise boundaries and be a recognized or an established neighborhood in the municipality, consistent with the determination of eligible neighborhood under article XVI of the Private Housing Finance Law.

(b)Neighborhood condition.

(1)Relevant, current, and verifiable data, including, but not limited to, the most recent census data, pertaining to the neighborhood must demonstrate the neighborhood has sustained physical deterioration, decay, neglect, or disinvestment.

(2)The neighborhood must contain a significant number of deteriorating or substandard buildings not being adequately repaired, renovated, upgraded, modernized, or rehabilitated under existing programs to provide sound housing, and retail and service establishments which are affordable to the residents and local business persons of such neighborhoods, respectively.

(c)Neighborhood population.

A substantial proportion of the residential population of the neighborhood must be persons of low income, and may include special population groups with unmet housing needs.

(d)Neighborhood need.

The neighborhood must be in need of active intervention to effect its preservation, stabilization, or improvement.

9 NYCRR 2620.5 - Funding

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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)Contracts.

(1)The qualified applicant must be incorporated as a not-for-profit corporation prior to execution of an urban initiatives program contract.

(2)A performance contract shall serve as the award mechanism. Such contract shall not be assigned or transferred, except upon written authorization of the commissioner.

(i)the term of the performance contract, which shall be for a period of two years, with the possibility of the commissioner in his/her discretion extending the contract;

(ii)the amount of urban initiatives funds awarded under the contract;

(iii)the specific location and description of the proposed project, including the approximate number of buildings and residential, commercial, community, or cultural units affected;

(iv)the exact scope of work to be performed and the specific terms and conditions required by the division;

(v)a detailed timetable for completion of the proposed project;

(vi)a listing of all other funding sources committed to the proposed project;

(vii)a detailed long-term plan for the management or disposition of the property improved by the qualified applicant;

(a)the division shall have the right to review and approve the tenant selection procedure, the terms and conditions of all initial leases, and the overall management plan for operating and maintaining the property; and

(b)the division shall have the right to review and approve any transfer of property acquired or improved, in whole or part, with urban initiatives funds, and to approve the future use of any urban initiatives funds recaptured by the qualified applicant through such transfer(s). Instruments, in addition to the urban initiatives contract, may be executed to ensure enforcement of this provision.

(viii)an agreement to guarantee future maintenance of the improvement subsequent to the termination of the performance contract.

(b)Program funds.

(1)Funds awarded to the qualified applicant may be in the form of a grant, a loan, or a combination of both.

(2)Use of funds.

(i)Program funds shall be for payment of material expenses related to the proposed project, incurred subsequent to contract execution, including:

(a)the costs of acquisition, construction, repair, renovation, rehabilitation, demolition, clearance and sealing of any building or other structure, provided that such funds may not be used for planning of any such activity or for operating an office to be used by the qualified applicant; and provided further that no funds shall be used for acquisition unless such acquisition is in conjunction with the construction, repair, renovation, rehabilitation, demolition, clearance or sealing of any building or other structure; and

(b)fees to consultants retained by the qualified applicant for eligible services listed in clause (a) of this subparagraph.

(ii)In no event shall program funds be used for:

(a)payment of salaries and wages to employees of the qualified applicant; or

(b)other costs or expenses directly related to the applicant's employees or consultants, including office rentals, office equipment, fringe benefits, office expenses, or other administrative expenses.

(3)All contracts entered into by the applicant for any services which are to be paid for, in whole or in part, with program funds shall be arms-length transactions and shall be entered into only after an appropriate evaluation of the experience and qualifications of the contracting firm or individual. All firms and individuals with whom such contracts are executed shall be experienced and qualified, and the contract price shall be fair and reasonable. The commissioner shall have the right to cancel any contract that, in the commissioner's sole judgment, does not comply with this paragraph.

(4)The qualified applicant shall not enter into any other contract, lease or other agreement whose terms or effect commit the use of program funds for a period of time in excess of the term of the performance contract.

(5)Payments shall be made by the division to the qualified applicant as needed to compensate such applicant for work completed on the proposed project. The Division may withhold payments if all required documentation is not presented or is incomplete.

(6)The qualified applicant shall maintain accurate books and records of all financial transactions which relate to the performance of the contract, in accordance with generally accepted accounting principles, and make these records available to the division upon request.

9 NYCRR 2620.6 - Contract performance

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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)Periodic review of contract performance.

(1)The division shall monitor and review, at periodic intervals, the performance of the qualified applicant under its respective contract(s) with the division. The qualified applicant shall provide program reports to facilitate the evaluation process and other such reports that the division may request from time to time.

(2)Should the commissioner find that there has been substantial nonperformance or other breach of the performance contract for reasons other than those over which the applicant can exercise no effective control, the commissioner shall have the right to terminate or modify the contract. Immediately upon such notice of termination, the group is to return all expended funds to the division.

(b)Conflict of interest.

(1)The following are restricted from holding voting board membership, serving as officers of the applicant and/or staff management positions, except where otherwise required by statute:

(i)State legislators and members of their staffs who hold policymaking positions;

(ii)commissioners and chairpersons of State departments and their deputies and assistants (including members or directors of public authorities, public benefit corporations, boards, commissions and councils);

(iii)staff of the Division of Housing and Community Renewal;

(iv)statewide elected officials, including the Governor, Lieutenant Governor, Attorney General and Comptroller, and members of their staffs who hold policy-making positions;

(v)chief executive officials and members of the legislative bodies of counties having a population of 275,000 or more, within which the project is located, or cities, towns and villages having a population of 20,000 or more, within the county in which the project is located, except where board membership for such persons is mandated by other relevant Federal or State statutes; and

(vi)political party chairpersons, party organization leaders and members of their executive committees in the State, counties having a population of 275,000 or more, within which the project is located, or cities, towns and villages having a population of 20,000 or more, within the county in which the project is located.

(2)The following shall not receive any compensation whatsoever from a recipient organization, directly or indirectly, for services or goods rendered to such organization unless the goods or services are provided pursuant to an award or contract let, unless otherwise required, after a good faith effort to obtain competitive prices is made, the results of which were reported in writing prior to the award of the contract and were approved by the Division of Housing and Community Renewal, which approval shall be based on comparison to arm's length transactions and the needs of the project:

(i)State legislators and members of their staffs who hold policymaking positions;

(iii)staff of the Division of Housing and Community Renewal;

(iv)statewide elected officials, including the Governor, Lieutenant Governor, Attorney General and Comptroller, and members of their staffs who hold policymaking positions;

(v)chief executive officials and members of the legislative bodies of counties, cities, towns and villages in which county the project is located;

(vi)political party chairpersons, party organization leaders and members of their executive committees in the State, counties, cities, towns and villages in which county the project is located;

(vii)voting board members and officers, except for salary payments of officers which shall require the approval of the commissioner, which approval shall be granted if the duties assigned to the officer correspond to duties normally assigned to an executive director;

(viii)staff members of the recipient organization, except for salary payments;

(ix)the immediate families of persons in subparagraphs (i)-(viii) of this paragraph; and

(x)any firm, association, corporation or partnership in which any individual listed in paragraph (1) or (2) of this subdivision holds an interest of 10 percent or more.

(3)These provisions apply to all persons and entities whether or not their involvement with, or compensation from, a recipient organization is related to the project funded pursuant to this program.

9 NYCRR 2620.7 - Technical 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)The division may render to qualified applicants such technical services and assistance to enable such applicants to comply with the intent and purposes of these rules and regulations.

(b)The division may contract with municipal and other public agencies and with private persons, firms and corporations for the rendering of technical services and assistance to qualified applicants.

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