New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 431
Executive Department
Browse the NYCRR by title, part, and section.
12 sections
Title 9 is open to everyone.
Ask LawEngine about the NYCRR →Create a free account →All 23 titles. No credit card required.Source versions current through Sep 15, 2021 - Mar 15, 2023 across sections
Sections in this Part carry different compiled dates; each section shows its own.
9 NYCRR 431.1 - General project requirements
Source version current through Sep 15, 2021
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
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
Source version current through Sep 15, 2021
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 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
Source version current through Sep 15, 2021
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
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
Source version current through Sep 15, 2021
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)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
Source version current through Sep 15, 2021
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 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
Source version current through Sep 15, 2021
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
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
Source version current through Mar 15, 2023
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
- Mar 15, 2023
(a)Outreach and technical services.
The office will provide outreach and technical services to assist project applicants in preparing applications that are complete and which address the commissioner's annual funding priorities. Applicants may contact the appropriate representative of the office to schedule a pre-application conference.
(b)Performance timelines.
(1)The office and the project sponsor will develop specific performance timelines for inclusion in the project agreement that are feasible for the project sponsor and acceptable to the office. Timelines will address the steps necessary to initiate, progress or complete a project, including raising the project sponsor's match; submitting appraisals, plans and specifications; obtaining permits or other approvals; submitting documents necessary to verify compliance with article 15-A of the Executive Law; or submitting interim and final project reports.
(2)Timelines must provide that a development project will be initiated no later than six months after a project agreement is executed and approved by the State Comptroller, and completed no later than two years subsequent to such approval. Acquisitions are required to be completed within one year of the State Comptroller's approval of the project agreement. The office may vary these timelines when it is deemed appropriate for a particular project.
(3)The office, in its discretion, may cancel projects which do not adhere to mutually established timelines. Sponsors of projects which are so cancelled may reapply in the next appropriate funding cycle.
(c)Forms.
Applications shall be made on forms to be provided by the office. Forms may be obtained from the headquarters of any of the office's 11 park regions or, for projects within the Catskill or Adirondack Parks, the Department of Environmental Conservation.
(d)Application documentation.
The application shall include the following minimum documentation:
(1)general applicant information;
(2)a narrative description of the proposed project, its expected public benefit, the applicant's commitment to maintaining or operating the project and how the project conforms to the commissioner's funding priority for the cycle in which the application is submitted;
(3)a budget detailing the total cost of the project, and sources of the applicant's match;
(4)the agreement of any co-owner of the land and of the holder of any mortgage or other lien on the project site to subordinate that interest to assure compliance with the public benefit agreement required by sections 431.10(b)(8), 432.4, 433.5 and 434.4 of this Title;
(5)anticipated performance timelines for initiating and completing the project;
(6)for projects other than acquisitions, either the deed to the property or documentation of the project sponsor's interest in the project site as set forth in section 431.3 of this Part, together with an affidavit of title (if the applicant is a not-for-profit corporation) or an opinion letter of counsel (if a municipality);
(7)for projects where the project sponsor is a municipality or a State agency, public authority or public benefit corporation, environmental information including a description of existing natural and cultural resources, an evaluation of the project's environmental impact and documentation showing compliance with the State Environmental Quality Review Act (SEQRA); for projects where the project sponsor is a not-for-profit corporation, environmental information including a description of existing natural and cultural resources, an evaluation of the project's environmental impact and such other information as the office shall require to make a final SEQRA determination;
(8)a copy of a resolution or other document of the governing body of the project sponsor, or if the project sponsor is a State agency, public authority or public benefit corporation, a letter from its head, recommending the application to the commissioner and authorizing an official of the project sponsor to execute documents necessary to the project;
(9)program specific information required by sections 432.2, 433.3 and 434.2 of this Title respectively; and
(10)such other information as may be required by the commissioner in order to accommodate requirements arising from annual program priorities.
(e)The complete application shall be submitted to the appropriate regional park office of the office listed in section 461.6 of this Title. For projects within the Catskill or Adirondack Parks, the application should be submitted to the Department of Environmental Conservation, Division of Lands and Forests, 50 Wolf Road, Albany, NY 12233. Applications should be submitted as early as possible but in no event later than the deadline specified in the announcement and application for any given funding cycle. Applications received after the specified deadline will not be accepted.
9 NYCRR 431.8 - Rating criteria
Source version current through Sep 15, 2021
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 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
Source version current through Sep 15, 2021
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)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
Source version current through Mar 15, 2023
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
- Mar 15, 2023
(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
Source version current through Sep 15, 2021
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
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
Source version current through Sep 15, 2021
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
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.