New York regulations
Title 9 Part 431
Executive Department
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9 NYCRR 431.1 - General project requirements
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Dates and status
- Compiling agency
- Executive Department
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- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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Approved projects will be financed with State general obligation bond proceeds, and therefore, must meet legal requirements for tax exempt bond financing, including, but not limited to, a determination that they are capital projects. In addition, in order to be eligible for State assistance under this Part, the entire project must:
(a)have a probable life of no less than 23 years from the date on which the final payment on the project is issued by the State Comptroller to assure compliance with the requirements of section 61 of the State Finance Law;
(b)be recommended to the commissioner by the governing body of the project sponsor, except that in the event the project sponsor is a State agency, public authority or public benefit corporation, the project must be recommended by the head of that agency, authority or corporation; and
(c)be located within the physical boundaries of the State of New York.
9 NYCRR 431.2 - Not-for-profit corporation requirements
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- Executive Department
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- Sep 15, 2021
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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A not-for-profit corporation must demonstrate to the satisfaction of the office that it is capable of operating and maintaining the completed project for the benefit of the public. The following documents will be required to verify a corporation's not-for-profit, tax-exempt status and provide evidence of such capability:
(a)a copy of the corporation's certificate of incorporation, by-laws, amendments and other operative organizational documents;
(b)a copy of a determination letter from the United States Internal Revenue Service verifying the corporation's tax-exempt status;
(c)verification of charities registration;
(d)financial statements, for the corporation's previous three fiscal years, audited when available, showing all expenditures and sources of income; and
(e)copies of IRS form 990 for the last complete fiscal year.
9 NYCRR 431.3 - Project sponsor's interest in real property for development projects
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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- Jun 6, 2026
If the project sponsor is not the sole owner of the unencumbered fee of land on which a development project will be undertaken, the following documents will be required to qualify the project sponsor's interest in the property for State assistance:
(a)the agreement of the owner to execute the project agreement and public benefit agreement as guarantor; and
(b)a copy of a lease, easement, contract or memorandum of understanding establishing the project sponsor's interest in the property. Such document shall:
(1)be of sufficient duration and stability to assure that the project sponsor will be able to comply with this Subchapter; and
(2)contain terms and conditions sufficient to ensure a period of public use of at least 23 years from the date on which the final payment on the project is issued by the State Comptroller.
9 NYCRR 431.4 - Funding provisions
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- Executive Department
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- Sep 15, 2021
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)State assistance towards the cost of a project shall not exceed 50 percent of the approved project cost. This limitation does not apply to municipal park projects for which a State agency, public benefit corporation or public authority is the project sponsor.
(b)For determining the amount of State assistance available for the project, the cost of a project shall be the amount approved by the commissioner. The State shall not be responsible for any increases in the cost of the project.
(c)State assistance will be available on a reimbursement basis. Project sponsors shall submit periodic invoices and requests for payment as work is performed and costs incurred. The amount of each State assistance payment will be in the same proportion as the State assistance bears to total project cost.
(d)A project sponsor may request an advance payment in an amount not to exceed 25 percent of the total amount of State assistance for the project or the amount of the sponsor's match which can be documented at the time of the request, whichever is smaller.
9 NYCRR 431.5 - Project sponsor's match
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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- Source snapshot
- Jun 6, 2026
The project sponsor's match may consist of the following:
(a)the fair market value in the project location of material which is procured by purchase or donation during the project term or within one year prior to the application deadline date;
(b)the fair market value in the project location of equipment which is procured by purchase or donation during the project term;
(c)rental expenses incurred at customary rental rates for the use of equipment in development and construction during the project term. The donated value at customary rental rate of equipment will qualify if used during the project term;
(d)the cost of labor employed in project development and construction during the project term;
(e)the cost of services, including professional services, or the value of donated services provided during the project term or within one year prior to the application deadline date; and
(f)the fair market value of real property or an interest in real property acquired by purchase or donation during the project term or within one year prior to the application deadline date. The value of previously owned lands converted from unrelated use to project purposes may qualify as the sponsor's match only if such conversion occurred during the project term or within one year prior to the application deadline date. The value of real property shall be established by an appraisal in accordance with section 431.6 of this Part.
9 NYCRR 431.6 - Appraisals
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
Appraisals shall be prepared according to the following requirements:
(a)Appraisals shall be prepared by a qualified appraiser in accordance with the guidelines of the office.
(b)Appraisers shall either be licensed or certified by the State of New York or appear on the New York State Department of Transportation's list of qualified appraisers.
(c)Appraisals must be conducted no more than 12 months prior to the acquisition of the property by the project sponsor.
(d)If the property is valued at $300,000 or more, two appraisals must be obtained.
(e)If the property is valued at less than $300,000, one appraisal is required.
(f)If the property is valued at less than $25,000, a shortform appraisal may be used at the discretion of the office.
(g)The office may change appraisal requirements to conform to any guidelines which may be issued by the State Comptroller.
9 NYCRR 431.7 - Application information and procedures
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source-only entry
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
9 NYCRR 431.8 - Rating criteria
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)All applications will be rated in accordance with the rating system established by the commissioner. Criteria used to rate projects will generally include the following:
(1)the extent to which the project site has suffered from physical deterioration, decay, vandalism, neglect or disinvestment or may be threatened with closure, demolition or inappropriate development;
(2)the relationship of the project to a local, regional and/or statewide planning document or other assessment of need;
(3)the extent to which the project protects, enhances or interprets natural, cultural or historic resources;
(4)the ability of the project sponsor to initiate and complete the project on a timely basis and operate or maintain the completed project; and
(5)program-specific factors established for park, historic preservation and heritage area projects and found in sections 432.3, 433.4 and 434.3 of this Title respectively.
(b)In addition, ratings shall take into account annual programmatic and funding priorities as established by the commissioner pursuant to section 430.3 of this Title. Specific rating factors for each grant cycle and their relative weights will be published in the State Register and made available with project applications.
9 NYCRR 431.9 - Review procedures
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)Within each program category, applications will be rated against applications for similar projects.
(b)Applications will receive staff review, including review at the regional level. The final decision on all applications will be made by the commissioner.
(c)In addition to the rating criteria listed in section 431.8 of this Part, the commissioner may consider the following factors in determining which projects to fund:
(1)the geographic distribution of other fundable projects in any given application cycle;
(2)the extent to which the project will maximize the use and accessibility of a facility;
(3)special engineering, environmental and historic preservation concerns or benefits; and
(4)the past performance, if any, of the project sponsor on previous projects, including its compliance with equal employment opportunity and minority- and women-owned business enterprise programs.
(d)The office will use its best efforts to review applications and announce the commissioner's funding decision within 120 days of the announced application deadline.
9 NYCRR 431.10 - Project agreements
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
(a)All projects must be undertaken pursuant to a project agreement with the office.
(b)All project agreements will require:
(1)a project term which shall commence on the date of the letter advising a project sponsor that its application has been selected for State assistance;
(2)performance standards, reporting requirements and timelines for initiating and completing project elements;
(3)that all contracts be publicly bid in accordance with section 103 of the General Municipal Law;
(4)that the project sponsor comply with the provisions of article 15-A of the Executive Law regarding equal employment opportunities for women and minorities and contracting opportunities for minority- and women business enterprises, as well as the Omnibus Procurement Act regarding participation of New York State businesses;
(5)that the project be accessible in accordance with the New York State Uniform Fire Prevention and Building Code and the Americans with Disabilities Act Guidelines (ADAAG—appendix A to 28 CFR part 36). The project sponsor is responsible for determining which of these standards, guidelines or codes apply to the project when there is a discrepancy with regard to a particular accessibility requirement;
(6)that changes will not be made to the project without the approval of the office. The office may re-rate a project if the sponsor proposes any changes and may disapprove changes which would cause the revised project rating to fall below the level at which it would have received funding;
(7)that a project sign or other suitable acknowledgment in a form to be determined by the office be installed on the property;
(8)provisions which assure that the expenditure of public funds on the project will result in a public benefit. Such provisions may include:
(i)a requirement that the public have reasonable access to or use of the project as specified by the office;
(ii)a requirement that the project sponsor not alter, demolish, sell, lease or otherwise convey the project, in whole or in part, without the prior written approval of the commissioner;
(iii)a requirement that all plans for restoration, rehabilitation, improvement, demolition or other physical change to the completed project be approved in writing by the office before work commences; or
(iv)program or project specific requirements which the office deems necessary.
9 NYCRR 431.11 - Maintenance of effort
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
Each recipient of funds made available under this Subchapter may be required to demonstrate to the satisfaction of the commissioner that the project will result in a net gain in public park, conservation, recreation, historic preservation or heritage area facilities.
9 NYCRR 431.12 - Alternate grant awards
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Dates and status
- Compiling agency
- Executive Department
- Text status
- Source receipt
- Compiled text through
- Sep 15, 2021
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Source snapshot
- Jun 6, 2026
In a given funding cycle, applications which rate highly but for which insufficient funds are available may be reserved as alternate grant awards. These applications will be retained by the office and may be used to select alternate projects to fund in the event that a project is cancelled by the office, abandoned by its sponsor or funds become otherwise available.