N.Y. Comp. Codes R. & Regs. tit. 9 § 1920.4

Current through Register Vol. 46, No. 45, November 2, 2024

Section 1920.4 - Conflict of interest

(a) 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:

(1) State legislators and members of their staffs who hold policy making positions;

(2) 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);

(3) Staff of the Division of Housing and Community Renewal;

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

(5) 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

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

(b) The following shall not receive any compensation whatsoever from a recipient organization, directly or indirectly, for services or goods rendered or delivered to such organization, only if 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 Corporation, which approval shall be based on comparison to arm's length transactions and the needs of the project:

(1) State legislators and members of their staffs who hold policy making positions;

(2) 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);

(3) Staff of the Division of Housing and Community Renewal;

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

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

(6) 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;

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

(8) Staff members of the recipient organization, except for salary payments;

(9) The immediate families of persons in categories in paragraphs (1) to (8) of this subdivision; and

(10) Any firm, association, corporation or partnership in which any individual listed in subdivision (a) or (b) of this section holds an interest of ten percent or more.

(c) 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.

(d) All or some of the provisions of subdivisions (a), (b) and (c) of this section may be waived by the Corporation if, in its discretion, it determines that:

(1) the eligible applicant or eligible owner is in conflict with said provisions as a result of requirements of statute or governmental agreement; or

(2) the primary activities of the eligible applicant or eligible owner are unrelated to programs funded by the Corporation or the Division of Housing and Community Renewal and that there are sufficient safeguards to protect the interests of the proposed project and the Corporation. The Corporation may establish conditions and qualifications for any such waiver issued.

(e) The provisions of subdivision (b) of this section shall not apply to individual occasions of compensation for goods or services rendered which do not exceed $2,500 unless the accumulation of said compensation should exceed $2,500 within a year.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 1920.4