§ 62-05 Application Procedure and Documentation.
RCNY § 62-05
(a)Application Forms and Filing; Mandatory Electronic Filing. Prescribed forms and applications are available online on the HPD website. All applications must be submitted to HPD electronically on forms approved by HPD. Only applications complete in all detail will be considered for certification of eligibility and reasonable cost. All forms must be filled out fully by the applicant. Applications and supporting documentation may only be submitted to HPD for review and approval after the Completion Date.
(b)Notice of Intent. The notice of intent form required under subdivision h of the Act must be filed not less than fifteen days prior to the Commencement Date. If the scope of the work or the estimated cost changes materially, applicants must file a revised notice of intent. Applicants who fail to comply with the provisions of this subdivision (b) must pay a penalty at the time of issuance of a Certificate of Eligibility and Reasonable Cost of the greater of five hundred dollars ($500) or ten percent (10%) of the filing fee otherwise payable pursuant to subdivision (c) of this section, provided that HPD may waive the penalty for projects receiving Substantial Governmental Assistance or for Eligible Construction that constitutes Emergency Work, provided that such notice of intent shall be filed no later than the date of the filing of the application. The penalty prescribed by this subdivision (b) is in addition to the normal filing fees prescribed in 28 RCNY § 62-05(c).
(c)Documentation Required of All Applicants. All applicants must maintain documents relating to claimed costs as specified in 28 RCNY § 39-06(a), and all completed applications for Rehabilitation Program Benefits must include the following documentation of the applicant’s actual expenditures properly organized and collated in time sequence: (1) The application form; and (2) One of the following: (i) a report by an independent certified public accountant on the cost of the Eligible Construction in a form prescribed by HPD and in accordance with standards approved by HPD and based upon the books and records of the owner provided that the original records are retained as set forth in 28 RCNY § 62-08(a)(2)(iv)* and 28 RCNY § 39-06(a) and are available for audit purposes; or * Editor's note: As set forth in the rule enacting this chapter. Records retention is covered at 28 RCNY § 62-07(b)(3).
(ii)A Disposition of Funds Statement or certification by the Commissioner of the cost of the work based upon other program records, where applicable; or (iii) In the discretion of HPD, paid bills, cancelled checks, installment agreements, and the work contract and any change orders, indicating work, location of building, and quantity in appropriate unit of measurement all in a form corresponding to the individual items on the Certified Reasonable Cost Schedule so that the claimed costs can be audited by HPD against the specific items and allowances contained in such schedule; and (3) Plans and amendments, if any, approved by the Department of Buildings; and (4) Proof of Commencement Date: (i) Copy of a Building Permit; or (ii) HPD shall require that the Commencement Date be confirmed by an affidavit from a registered architect or licensed professional engineer, together with, at the discretion of HPD, such other information as HPD may require to substantiate such date, including, but not limited to, an affidavit from the owner, a copy of the work contract, invoices, cancelled checks or such other proof of payment as HPD shall require, and a contractor’s affidavit. If an application contains a series of work items, the Commencement of Construction date is that of the first work item for which Rehabilitation Program Benefits are claimed; and (5) Proof of Completion Date: (i) A Permanent Certificate of Occupancy; or (ii) A Temporary Certificate of Occupancy, and an affidavit from a registered architect or licensed professional engineer and the owner that the only work remaining to secure a Permanent Certificate of Occupancy is work to be performed or completed in space to be used exclusively for non-residential purposes; or (iii) A sign-off by the Department of Buildings as evidenced by the Department of Buildings certification form, a computer printout or such other official documentation as may be required by the Department of Buildings and is acceptable to HPD if issued in connection with Eligible Construction; or (iv) If none of the above are required by law, Completion Date must be confirmed by the submission of an affidavit of a registered architect or a licensed professional engineer, along with such other information as may be required by HPD, including, but not limited to, an affidavit from the owner, a copy of the work contract, invoices, cancelled checks or such other proof of payment as HPD shall require, Disposition of Funds Statements, certification by the Commissioner based on program records or inspection, and a contractor’s affidavit which confirm such Completion Date to the satisfaction of HPD.
(6)Proof of Compliance with the Housing Maintenance Code. For applications for which a Certificate of Occupancy has not been issued within one year of the date of submission of such application for all units for which benefits are claimed, if there are any violations of record which are classified as hazardous or immediately hazardous prior to the issuance of a Certificate of Eligibility and Reasonable Cost, the applicant must either clear the violations of record or submit affidavits: (i) from a registered architect, or a licensed professional engineer, certifying that the architect or engineer has inspected the premises and that work necessary to remove any hazardous or immediately hazardous violations has been completed. If a violation classified as hazardous or immediately hazardous was caused by a tenant and the tenant refuses to grant access to the applicant to correct the tenant-related violation, such violation will not preclude eligibility provided the applicant can establish these facts with clear and convincing evidence; and (ii) from the owner, certifying that the architect or engineer has inspected the premises and that work necessary to remove any hazardous or immediately hazardous violations has been completed. If a violation classified as hazardous or immediately hazardous was caused by a tenant and the tenant refuses to grant access to the applicant to correct the tenant-related violation, such violation will not preclude eligibility provided the applicant can establish these facts with clear and convincing evidence.
(7)Department of Buildings certification form or, if no permits from the Department of Buildings are required, at the option of HPD, alternative documentation to prove absence of Building Code violations.
(8)Proof that the building has been registered with HPD in accordance with the provisions of article two of subchapter four of the Housing Maintenance Code.
(9)An affidavit from the owner certifying that whenever any Household Appliance is installed or replaced with a new Household Appliance, such new appliance shall be certified as Energy Star. If applicable, such affidavit may instead certify that (i) an appropriately-sized Energy Star certified Household Appliance is not manufactured, such that movement of walls or fixtures would be necessary to create sufficient space for such appliance, and/or (ii) an Energy Star certified boiler or furnace of sufficient capacity is not manufactured.
(10)An affidavit of no harassment as provided for in paragraph 6 of subdivision c of the Act.
(d)Additional Documentation for Certain Eligible Construction. Certain Eligible Construction requires the approval of designated agencies and such additional documentation as HPD shall require. The “Schedule of Required Information, Permits and Sign-offs” set forth on the HPD website contains a list of the documentation from designated agencies that HPD requires for specific Eligible Construction.
(e)Additional Documentation for Buildings Owned as Cooperatives or as Condominiums. Buildings owned as Cooperatives or Condominiums must submit the following additional documentation: (1) An opinion of counsel which states that the building is a legal Cooperative or Condominium and which has a prospectus accepted for filing by the Attorney General, or was formed prior to the date a prospectus was required by law, or is exempt for other reasons from the filing requirements; and (2) As applicable, (A) a copy of the prospectus or offering plan which has been accepted for filing by the Attorney General, and all subsequent amendments which become effective prior to the time HPD issues a Certificate of Eligibility and Reasonable Cost for any Cooperative or Condominium eligible for Rehabilitation Program Benefits, or (B) a copy of the “no action” letter received from the Attorney General, or (C) documentation demonstrating that the building is not subject to the requirements of § 352(e) of the General Business Law.
(3)Evidence with respect to assessed valuation per dwelling unit as of the Commencement Date in a form prescribed by HPD.
(f)BLDS Inspections. The filing of an application for a Certificate of Eligibility and Reasonable Cost is deemed a representation by such applicant that all Eligible Construction claimed in such application has been completed. All such claimed items of Eligible Construction are subject to a BLDS inspection prior to HPD’s issuance of a Certificate of Eligibility and Reasonable Cost. Any Certificate of Eligibility and Reasonable Cost issued with respect to such application shall not include items of Eligible Construction claimed therein which, as determined by such BLDS Inspection, have not been completed or where the construction thereof was not carried out in conformity with all applicable provisions of law. If any claimed item of Eligible Construction cannot be verified upon the first inspection or attempted inspection by BLDS, such applicant must pay ten times the actual cost of any additional inspection needed to verify such claimed item of work.
(g)Voluntary Withdrawal of Application. At any time prior to the issuance of a Certificate of Eligibility and Reasonable Cost pursuant to subdivision h of this section, an applicant may notify HPD that the applicant is withdrawing its application from consideration. Such withdrawal shall preclude any further applications for the Eligible Construction claimed in such application.
(h)Issuance of a Certificate of Eligibility and Reasonable Cost.
(1)HPD shall review each application to determine if it is eligible for Rehabilitation Program Benefits.
(2)The Certified Reasonable Cost for all Eligible Construction shall be calculated as follows: (i) The Certified Reasonable Cost for all Eligible Construction shall be the lesser of the applicant’s actual cost, or the allowance set forth in the Certified Reasonable Cost Schedule.
(i)Filing Procedure With the Department of Finance.
