9 NYCRR Part 440 - Executive Department

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Source version current through Sep 15, 2021

All 13 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 440.1 - General project requirements

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

In order to be eligible for State assistance under this Part, the entire project must be:

(a)recommended to the commissioner by the governing body of the project sponsor or where the project sponsor is a State agency, its chief executive; and

(b)located within the physical boundaries of the State of New York.

9 NYCRR 440.2 - Not-for-profit corporation requirements

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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 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:

(1)a copy of the corporation's certificate of incorporation;

(2)a copy of a determination letter from the United States Internal Revenue Service verifying the corporation's tax-exempt status; and

(b)materials demonstrating that the not-for-profit corporation is up-to-date with all pertinent filing under section 501 of the United States Internal Revenue Code, and either article 7-A of the New York Executive Law, or section 8-1.4 of the New York Estates, Powers and Trusts Law, or section 1508 of the New York Not-for-Profit Corporation Law, or section 215 of the New York Education Law.

9 NYCRR 440.3 - Project sponsor's interest in real property for development 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

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)except with respect to property owned by the State, 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 which establishes to the satisfaction of the commissioner that the project sponsor's interest in the property is of sufficient duration and stability to assure that the project sponsor will be able to comply with this Subchapter.

9 NYCRR 440.4 - Funding 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)Except for projects undertaken by the office at State historic properties, State assistance towards the cost of a project shall not exceed 50 percent of the approved project cost, provided however, in the case of a project located in an area which according to the most recent census data available has a poverty rate of at least 10 percent for the year to which the data relates, State assistance payments toward the cost of any such project shall in no event exceed 75 percent of the approved project cost.

(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 match the project sponsor can document at the time of the request, whichever is smaller.

9 NYCRR 440.5 - Project sponsor's match

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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 three years 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 three years 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 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 440.6 of this Part.

9 NYCRR 440.6 - Appraisals

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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 must 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 short-form 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 440.7 - Application information and procedures

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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)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 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)Application informatian.

Application information may be obtained from the office’s web site at www.nysparks.com/grants or from the Albany office or from the regional grants administrator at the appropriate regional office listed below:

Western New York Region - Allegany, Cattaraugus, Chautauqua, Erie and Niagara

OPRHP, Beaver Island State Park, 2136 West Oakfield, Grand Island, NY 14072

(716)773-5292, FAX (716) 773-4150

Finger Lakes Region - Genesee, Livingston, Monroe, Ontario, Orleans, Seneca, Wayne, Wyoming and Yates

OPRHP, Allegany State Park

ASP Route 1, Salamanca, NY 14779

(716)354-9101, FAX (716) 354-2255

Long Island Region - Nassau and Suffolk

OPRHP, Belmont Lake State Park

P.O. Box 247, Babylon, NY 11702

(631)321-3543, FAX (631) 321-3721

New York City Region - Bronx, Kings, New York, Queens and Richmond

OPRHP, Adam Clayton Powell, Jr. State Office Building

163 West 125th Street, 17th Floor, New York, NY 10027

(212)866-2599, FAX (212) 866-3186

Capital District Region - Albany, Columbia, Greene, Rensselaer, Saratoga, Schenectady, Warren and Washington

OPRHP, Saratoga Spa State Park

19 Roosevelt Drive, Saratoga Springs, NY 12866-6214

(518)584-2000, FAX (518) 584-5694

Central New York Region - Cayuga, Cortland, Madison, Onondaga and Oswego

OPRHP, Clark Reservation State Park

6105 East Seneca Turnpike, Jamesville, NY 13078-9516

(315)492-1756, FAX (315) 492-3277

Southern Tier Region - Broome, Chemung, Chenango, Delaware, Schuyler, Steuben, Tioga and Tompkins

OPRHP, 2221 Taughannock Park Road, Trumansburg, NY 14886

(607)387-7041, FAX (607) 387-3390

Mohawk Valley Region - Fulton, Herkimer, Montgomery, Oneida, Otsego and Schoharie

OPRHP, Clark Reservation State Park

6105 East Seneca Turnpike, Jamesville, NY 13078-9516

(315)492-1756, FAX (315) 492-3277

Mid-Hudson Region - Dutchess, Orange, Putnam, Rockland, Sullivan, Ulster and Westchester

OPRHP, Taconic Regional Office

9 Old Post Road, Staatsburg, NY 12580

(845)889-3866, FAX (845) 889-8321

North Country Region - Clinton, Essex, Franklin, Hamilton, Jefferson, Lewis, and St. Lawrence

OPRHP, Keewaydin State Park, Alexandria Bay, NY 13607

(315)482-2593, FAX (315) 482-9413

(d)Application documentation.

Except as set forth in subdivision (e) of this section, the grant application shall include the following:

(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 section 440.10(b)(9) of this Part;

(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 440.3 of this Part;

(7)for projects where the project sponsor is a municipality, 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 commissioner shall require to make a final SEQRA determination;

(8)program specific information required by sections 441.2, 442.3 and 443.2 of this Title respectively; and

(9)such other information as may be required by the commissioner in order to accommodate requirements arising from annual program priorities.

(e)The application process shall be announced prior to each grant round. Applications received after the specified deadline will not be accepted. At the discretion of the office, paragraphs (d)(4), (6) and (8) of this section may be submitted after the application is submitted but prior to execution of the project agreement with the project sponsor, however, such late submission may be a negative factor in the rating criteria.

9 NYCRR 440.8 - Rating criteria

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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)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 areas and found in sections 441.3, 442.4 and 443.3 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 439.3 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 440.9 - Review procedures

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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)Within each program category, applications will be rated against applications for similar projects.

(b)All 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 440.8 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 440.10 - Project agreements

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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)All projects must be undertaken pursuant to a project agreement with the office.

(b)All project agreements will require:

(1)a copy of a resolution or other document of the governing body of the project sponsor recommending the application to the commissioner and authorizing an official of the project sponsor to execute documents necessary to the project;

(2)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;

(3)performance standards, reporting requirements and timelines for initiating and completing project elements;

(4)that contracts and procurement policies and procedures of a municipality comply with sections 103 and 104-b of the General Municipal Law;

(5)that a not-for-profit corporation has policies for procuring quality goods and services in a way that assures prudent and economical use of public money in the best interests of the taxpayers.

(6)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;

(7)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;

(8)that changes will not be made to the project without the approval of the commissioner. 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;

(9)that a project sign or other suitable acknowledgment in a form to be determined by the office be installed on the property;

(10)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 commissioner;

(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 commissioner before work commences; or

(iv)program or project specific requirements which the commissioner deems necessary.

9 NYCRR 440.11 - Maintenance of effort

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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 440.12 - Alternate grant awards

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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 selected as alternate grant awards. These applications may 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.

9 NYCRR 440.13 - Earlier source heading: [Repealed]

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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.

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