Appendix A: Economic Development Areas

The following are eligible Community Development areas:

Manhattan 
Inwood – Census Tracts 291, 293, excluding 289, 295, 301, 303, 307
North Washington Heights – Census Tracts 269, 271, 277, 279, 285, excluding 267, 273, 275, 281, 283, 287
South Washington Heights – Census Tracts 239, 241, 243.01, 245, 247, 249, 251, 253, 255, 261, 263, 265
Hamilton Heights – Census Tracts 231.01, 233, 235.01, 237
Polo Gardens – Census Tracts 235.02, 243.02
Harlem River Houses – Census Tracts 231.02, 234 excluding 236
Manhattanville – Census Tracts 213.01, 217.01, 219, 221.01, 223, 225, 227.01, 229
St. Nicholas – Census Tracts 213.02, 217.02, 221.02, 224, 226, 227.02, 228, 230, 232
Harlem River Drive – Census Tracts 210, 212, excluding 214
Morningside Heights – Census Tracts 197.01, 209.01, 211, excluding 199, 201.01, 203, 205, 207.01
West Harlem – Census Tracts 197.02, 201.02, 207.02, 209.02
Millbank-Frawley – Census Tracts 186, 190, 200, 216, 218, 220, 222
Upper West Side – Census Tracts 189, 193, 195, excluding 187, 191
West Side – Census Tracts 183, excluding 161, 163, 165, 167, 169, 171, 173, 175, 177, 179, 181, 185
Lincoln Square – Census Tracts 147, 151, excluding 145, 149, 153, 155, 157, 159
Clinton – Census Tracts 115, 117, 121, 127, 129, 133, 135, excluding 139
Chelsea – Census Tracts 83, 89, 99, 103, 111, excluding 81, 87, 91, 93, 97
Midtown – Census Tracts 84, 102, 109, 113, 119, 125, excluding 92, 94, 96, 100, 104, 131
Union-Herald – Census Tracts 56, 58, 76, 95, 101, excluding 52, 54, 74
Gramercy – Census Tracts 68, excluding 44, 48, 50, 60, 64, 66
East Village – Census Tracts 20, 24, 26.01, 26.02, 28, 32, 34, 38, 40, excluding 42
West Village – Census Tracts 53, 69, excluding 51, 55.01, 57, 59, 61, 63, 65, 67, 71, 73, 75, 77, 79
Soho/Noho/Tribeca – Census Tracts 55.02, excluding 33, 47, 49
Battery Park – Census Tracts 21, 39, 317, excluding 13
Lower Manhattan – Census Tracts 7, 9, 31, excluding 15.01, 15.02, 319
Chinatown-Little Italy – Census Tracts 27, 29, 41, 43, 45
Lower East Side – Census Tracts 12, 14.02, 16, 18, 22.01, 22.02, 30.01, 30.02, 36.01, 36.02, excluding 14.01
Two Bridges – Census Tracts 2.01, 2.02, 6, 8, 10.02, 25, excluding 10.01
Yorkville – Census Tracts 154, 156.01, 158.02, excluding 135, 138, 140, 142, 144.01, 144.02, 146.01, 148.01, 148.02, 150.01, 150.02, 152, 158.01, 160.01, 160.02
Lower East Harlem – Census Tracts 156.02, 162, 164, 166, 168, 170, 172.01, 172.02, 174.01, 174.02
Upper East Side – Census Tracts 178, 180, 182, 184, 188, 192, 194, 196, 198, 202, 204, 206, 208

Brooklyn
Fort Hamilton-Dyker Beach – Census Tracts 164, excluding 154
Bush Terminal – Census Tract 018
Greenpoint Industrial Area – Census Tracts 465, 581, 483, 577, 579, excluding 455, 473, 589
Brighton Beach – Census Tracts 360.01, 360.02, 362, 366, 610.01, excluding 364, 610.02
Coney Island – Census Tract 325, 328, 330, 342, 348.01, 352, excluding 340
West Brighton – Census Tract 348.02, excluding 350, 354, 356
Sheepshead Bay – Census Tract 590, excluding 570, 572, 576, 578, 580, 586, 592, 594.01, 594.02, 596, 598, 600, 608, 626
Homecrest – Census Tract 582, excluding 370, 374, 388, 390, 392, 394, 396, 414.01, 414.02, 416, 418, 554, 556, 584, 588, 606
Gravesend – Census Tract 582, excluding 370, 374, 388, 390, 392, 394, 396, 414.01, 414.02, 416, 418, 554, 556, 584, 588, 606
Bath Beach – Census Tract 292, excluding 168, 174, 176, 280, 282, 286
Bensonhurst – Census Tracts 178, 276, excluding 170, 172, 180, 182, 184, 186, 188, 190, 256, 258, 260, 262, 264, 266, 268, 270, 274, 278, 284, 288, 290, 294, 296, 298, 300, 302, 304
Dyker Heights – Census Tract 120, excluding 128.01, 132, 140, 144, 146, 148, 150, 156, 158, 194, 196, 198, 200, 202, 204, 206, 208, 210, 212
Sunset Park – Census Tracts 002, 020, 022, 072, 074, 076, 078, 080, 082, 084, 088, 090, 092, 096, 098, 100, 101, 102, 106, 118, 122, 143, 145, 147, excluding 086, 104, 108
Red Hook – Census Tracts 055, 057, 059, 085
Columbia Street – Census Tracts 047, 051
Cobble Hill – Census Tract 049, excluding 045
Carroll Gardens – Census Tracts 075, 077, excluding 063, 065, 067
Gowanus – Census Tracts 069, 070, 117, 121, 123, 125, 127
Boerum Hill – Census Tracts 039, 041, 043
Park Slope – Census Tracts 129.01, 129.02, 131, 133, 135, 137, 139, 141, 149, 151, 159, 167, 173, excluding 153, 155, 157, 165, 169, 171, 502.01, 502.02
Ocean Parkway – Census Tract 486, excluding 460.01, 462.01, 480, 482, 484, 488, 490, 492, 494
Flatbush – Census Tracts 506, 508, 510, 516, 790, 792, 794, 796, 818, 820, 822, 824, 826, 828, excluding 460.02, 512, 514, 518, 520, 522, 524, 526, 528, 754, 766, 770, 772, 774, 786, 788
Starrett City – Census Tract 1058
North Canarsie – Census Tract 974, excluding 962, 968, 970
Farragut – Census Tract 942, excluding 780, 782, 830, 832, 834, 836, 838, 840, 842, 844, 846
Ramsen Village – Census Tract 888, excluding 928, 930, 934
North East Flatbush – Census Tracts 882, 884, 886, 890, 892
Wingate – Census Tract 874.01, 878, excluding 876, 880
Broadway Junction – Census Tracts 365.02, 367, 1138
Rugby – Census Tracts 814, 816, 860, 862, 866, 868, 870, excluding 848, 850, 852, 854, 856, 858, 864, 872, 938, 940
Lefferts Gardens – Census Tracts 327, 329, 800, 802, 804, 806, excluding 798, 810
Crown Heights – Census Tracts 213, 217, 219, 221, 223, 225, 307, 311, 317.02, 319, 321, 323, 325, 331, 333, 337, 339, 343, 347, 349, 351, 353, 355, 357, 359, excluding 335
Weeksville – Census Tracts 309, 345
Brower Park – Census Tracts 313, 315, 317.01, 341
Prospect Heights – Census Tracts 161, 163, 203, 205, 207, 215
Fulton Ferry – Census Tracts 021, 023
Downtown – Census Tracts 011, 025, 027, 033, 035, 037, excluding 013
Fort Greene – Census Tracts 029.01, 179, 181, 183, 185.01, 187, 191, 199, 201, 231, excluding 029.02, 031
Clinton – Census Tract 197, excluding 193, 195
Tompkins Park – Census Tracts 251, 263, 279
Stuyvesant Heights – Census Tracts 271.02, 273, 297
Southern Williamsburg – Census Tracts 237, 239, 507, 509, 529, 531, 533, 535, 537, 539, 545
South Side – Census Tracts 513, 523, 525, 527, 547, 549, 551
North Side – Census Tracts 515, 517, 519, 555, 557
Bedford Stuyvesant – Census Tracts 227, 229, 233, 235, 241, 243, 245, 247, 249, 253, 255, 257, 259.01, 259.02, 261, 265, 267, 269, 271.01, 275, 277, 281, 283, 285.01, 285.02, 287, 289, 291, 293, 295, 299, 381, 383, 385, 387
Greenpoint – Census Tracts 563, 575, excluding 499, 559, 565, 567, 569, 571, 573, 591, 593
Ridgewood – Census Tracts 429, 431, 441, 443, 445, 447
Bushwick – Census Tracts 389, 391, 393, 395, 397, 399, 401, 405, 409, 411, 413, 415, 417, 419, 421, 423, 425, 427, 433, 435, 437, 439, 453, 487
Ocean Hill – Census Tracts 301, 303, 361, 363, 365.01, 369, 371, 373, 375, 377, 379
North Williamsburg – Census Tracts 495, 497, 503, excluding 477, 501
Brownsville – Census Tracts 894, 896, 898, 900, 902, 904, 906, 908, 910, 912, 914, 918, 920
East New York – Census Tracts 1114, 1118, 1120, 1122, 1124, 1126, 1128, 1130, 1132, 1134, 1136, 1138, 1148, 1150, 1152, 1154, 1156, 1158, 1160, 1162, 1164, 1166, 1168, 1170, 1192, 1194
Highland Park – Census Tracts 1142.01, 1146, 1172.01, 1172.02, 1174, excluding 1142.02
City Line – Census Tracts 1188, 1190, 1196, 1200, 1208, 1210, excluding 1186, 1202
Fresh/Spring Creek – Census Tracts 1040, 1070, 1214, excluding 1220
New Lots – Census Tracts 982, 1100, 1102, 1110, 1172, excluding 1078, 1106
Cypress Hill – Census Tracts 1176.01, 1176.02, 1178, 1184, excluding 1182.01, 1182.02
Boro Park – Census Tracts 110, 112, 192, 218, 220, 222, 226, 228, 230, 232, 238, 240, 472, 478, excluding 114, 116, 214, 216, 224, 234, 236, 242, 470, 474, 476
Central Williamsburg – Census Tracts 489, 491, 493, 505, 511

Queens
South Jamaica – Census Tracts 182, 184.01, 184.02, 186, 188, 190, 192, 272, 274, 276, 278, 284, 288, 788, 790, excluding 792
Springfield Gardens North – Census Tracts 330, 768, excluding 292, 334.02
Springfield Gardens South – Census Tracts 766, excluding 304, 320
Hollis – Census Tracts 500, 502.01, 508, excluding 482, 484, 502.02, 510
St. Albans – Census Tracts 334.01, 352, 398, 404, 504, 522, 524, 526, 528, excluding 280, 282, 366, 368, 376, 384, 394, 400, 402, 420, 422, 424, 426, 432, 506, 518, 520, 530, 532
Breezy Point and Roxbury – Census Tracts 916.02, excluding 916.01, 918
Rockaway Park/Seaside – Census Tract 942.01, excluding 938
Hammels – Census Tract 942.02, excluding 942.03
Arverne-Edgemere – Census Tract 952, excluding 962, 964, 972, 992
Far Rockaway – Census Tract 1032, excluding 998, 1010
Broad Channel – Census Tract 1072.01, excluding 1072.02
Forest Hills – Census Tract 725, excluding 645, 707, 709, 711, 713.01, 719, 727, 729, 731, 733, 735, 737, 739, 741, 743, 745, 747, 757, 769.01, 769.02, 771
Ridgewood – Census Tracts 545, 553, 559, 589, excluding 539, 547, 549, 551, 555, 557, 581, 583, 585, 587, 591, 593, 595, 603, 613
Flushing – Census Tracts 867, 871, 875, excluding 797, 845, 851, 853, 855, 865, 889, 907, 1161
Corona – Census Tracts 411, 413, 415, 427, 439, excluding 437, 443, 455
North Corona – Census Tracts 375, 377, 379, 401, 403, 405, 407, 409, excluding 381
East Elmhurst – Census Tracts 353, 361, 365, 369, 373, excluding 355, 363, 367, 371
Jackson Heights – Census Tracts 273, 275, 277, 279, 281, 283, 285, 287, 289, 291, 309.02, 327, 329, 337, 339, 347, 351
Maspeth – Census Tracts 535, excluding 205.01, 205.02, 219, 229, 243, 489, 493.01, 493.02, 495, 497, 511, 513, 515, 517, 521, 525, 527, 529, 599, 601, 667
Sunnyside – Census Tracts 179, 197, 235, excluding 169, 171, 181, 183, 185, 187, 189, 191, 253
Hunter's Point – Census Tract 019, excluding 001, 007
Queens Village – Census Tracts 516, 540, excluding 496, 512, 536, 538, 542, 548, 552, 554, 556, 558, 560, 562, 564, 566, 568, 578, 580, 588
Jamaica Hills – Census Tracts 446.02, excluding 448, 450, 452, 454, 456
Briarwood – Census Tracts 236, 238, excluding 214, 220.01, 220.02, 230, 779.05
Richmond Hill – Census Tracts 142.01, 142.02, 152, excluding 024, 026, 028, 098, 108, 110, 118, 120, 122, 124, 126.01, 126.02, 128, 130, 132, 144, 148, 150, 154, 156
South Ozone Park – Census Tracts 158, 174, 178, 180, 814, 818, excluding 094, 096, 100, 102, 104, 106, 164, 166, 168, 170, 172, 176, 838, 840, 846.01, 846.02, 864
Ozone Park – Census Tract 050, excluding 032, 034, 036, 038, 040.01, 040.02, 042, 044.01, 052, 054, 058, 086, 088, 112, 114, 116, 878
Lindenwood – Census Tract 044.02, excluding 062
Jamaica – Census Tracts 194.01, 194.02, 196, 198, 202, 204, 206, 208, 212, 240, 244, 246, 248, 250, 252, 258, 260, 262, 264, 266, 270, 410, 414, 440, 442, 460, excluding 434, 446.01, 462, 468, 470, 480
Woodside – Census Tracts 163, 297, excluding 245, 247, 249, 251, 255, 257, 259, 261, 263, 293, 295, 299
Astoria – Long Island City – Census Tracts 025, 029, 035, 043, 055, 079, 081, 087, 141, 155, 157, 161, excluding 027, 031, 037, 041, 045, 047, 049, 051, 053, 057, 059, 061, 063, 065, 069, 071, 073, 075, 077, 083, 091, 143, 145, 147, 149, 151, 153, 159
Laurelton – Census Tracts 328, 358, excluding 616.01, 618, 620, 624, 626, 630, 632, 646, 650, 682

Bronx
Bathgate – Census Tracts 165, 167, 375.01, 377, 385
Baychester, Historic Village of – Census Tract 302
Bedford Park – Census Tracts 403.01, 403.02, 405, excluding 407.01, 407.02, 411, 413, 415
Belmont – Census Tracts 387, 389, 391, 393, 397
Bronxdale – Census Tracts 336, 338, 340, excluding 324, 328, 330, 332
Bronx River – Census Tracts 062, 064, 066, 214, 054, 056, excluding 058
Castle Hill – Census Tracts 086, 088, excluding 074, 084, 102
Claremont – Census Tracts 145, 147, 169
Concourse Village – Census Tracts 059.02, excluding 061
East Concourse – Census Tracts 173, 175, 177, 179, 181, 183
East Tremont – Census Tracts 359, 361, 363, 365.01, 365.02, 367, 369.01, 369.02, 371, 373, 375.02, 375.03
Fordham – Census Tracts 237.01, 237.02, 239, 383, 399.01, 399.02, 401
Highbridge – Census Tracts 189, 193, 199, 201, 211, 213.02, 219
Hunt's Point – Census Tracts 089, 099, 115.01, 115.02, 119, 121.01, 121.02, 123, 125, 127.01, 127.02, 129.02, 153, 155, 157, 161, excluding 081, 091, 097, 105
Jerome Park – Census Tract 273, excluding 267, 277, 279, 281, 409
Kingsbridge Heights – Census Tracts 263, 265, excluding 261, 269, 271.02
Longwood – Census Tracts 083, 085, 087, 129.01, 131
Melrose – Census Tracts 065, 067, 069, 139, 141, 143
Morris Heights – Census Tracts 205, 213.01, 215.01, 215.02, 217.01, 243, 245
Morrisania – Census Tracts 135, 149, 151
Mott Haven – Census Tracts 023, 025, 027.01, 027.02, 031, 033, 035, 037, 039, 041, 043, 047, 049, 071, 073, 075, 077, 079
Mount Eden – Census Tracts 225, 227.03, 229.02, excluding 171
Mount Hope – Census Tracts 227.01, 229.01, 231, 233.01, 233.02, 235.01, 235.02, 241, 379, 381
Norwood – Census Tract 431, excluding 419, 421, 423, 425, 429.01, 429.02
Olinville – Census Tracts 374, 376, excluding 370, 372
Park Stratton – Census Tract 218, excluding 216.01
Port Morris – Census Tracts 011, 015, 017
Parkchester – Census Tract 206.02, excluding 208, 210, 212, 216.02
Soundview – Census Tracts 016, 020, 036, 038, 046, excluding 024, 028, 040.02
Soundview/Bruckner – Census Tracts 044, 048, 050, 052, 068, 070, excluding 040.01, 072
Throgs Neck – Census Tracts 110, 144, excluding 130, 132, 154, 156, 158, 162, 164, 166
University Heights – Census Tracts 247, 251, 253, 255, 257, excluding 249
Van Nest – Census Tracts 230, 242, excluding 232, 234, 236, 240
Wakefield – Census Tract 446, excluding 410, 414, 418, 428, 430, 432, 436, 438, 440, 442
West Concourse – Census Tracts 057, 059.01, 195, 197, 217.02, 221, 223, 227.02, excluding 187
West Farms – Census Tracts 060, 220
Williamsbridge – Census Tracts 390, 406, excluding 368, 378, 380, 382, 388, 392, 394, 396, 398, 404, 408, 420, 422, 424
Woodstock – Census Tracts 133, 137

Staten Island
Arlington – Census Tract 319.02
Clifton/Fox Hills – Census Tract 40
New Brighton – Census Tract 77, excluding 81
Port Richmond – Census Tract 207, excluding 213, 219, 247
St. George – Census Tracts 7, 11, excluding 3, 9
Stapleton – Census Tracts 15, 21, 27, 29
West Brighton/Bodine Creek – Census Tracts 133.01, 133.02, excluding 65, 105, 121, 125, 141
Posebank/Arrochar – Census Tract 74, excluding 8, 20.01, 20.02, 36

Appendix B: Maps of Economic Development Area

Manhattan Economic Development 1 of 5

Manhattan Economic Development 2 of 5

Manhattan Economic Development 3 of 5

Manhattan Economic Development 4 of 5

Manhattan Economic Development 5 of 5

Brooklyn Economic Development 1 of 11

Brooklyn Economic Development 2 of 11

Brooklyn Economic Development 3 of 11

Brooklyn Economic Development 4 of 11

Brooklyn Economic Development 5 of 11

Brooklyn Economic Development 6 of 11

Brooklyn Economic Development 7 of 11

Brooklyn Economic Development 8 of 11

Brooklyn Economic Development 9 of 11

Brooklyn Economic Development 10 of 11

Brooklyn Economic Development 11 of 11

Queens Economic Development 1 of 17

Queens Economic Development 2 of 17

Queens Economic Development 3 of 17

Queens Economic Development 4 of 17

Queens Economic Development 5 of 17

Queens Economic Development 6 of 17

Queens Economic Development 7 of 17

Queens Economic Development 8 of 17

Queens Economic Development 9 of 17

Queens Economic Development 10 of 17

Queens Economic Development 11 of 17

Queens Economic Development 12 of 17

Queens Economic Development 13 of 17

Queens Economic Development 14 of 17

Queens Economic Development 15 of 17

Queens Economic Development 16 of 17

Queens Economic Development 17 of 17

Bronx Economic Development 1 of 8

Bronx Economic Development 2 of 8

Bronx Economic Development 3 of 8

Bronx Economic Development 4 of 8

Bronx Economic Development 5 of 8

Bronx Economic Development 6 of 8

Bronx Economic Development 7 of 8

Bronx Economic Development 8 of 8

Staten Island 1 of 9

Staten Island 2 of 9

Staten Island 3 of 9

Staten Island 4 of 9

Staten Island 5 of 9

Staten Island 6 of 9

Staten Island 7 of 9

Staten Island 8 of 9

Staten Island 9 of 9

Appendix C: 1989 Lower Living Standard Income Level Table

 

Family Size	Non-Metropolitan Areas1	Metropolitan Areas2	Buffalo MSA3	New York City MSA4
1	5,160	5,250	4,780	5,410
2	8,450	8,600	7,870	8,870
3	11,610	11,800	10,750	12,180
4	14,330	14,570	13,270	15,040
5	16,910	17,190	15,660	17,750
6 5	19,780	20,110	18,310	20,760

 

 

1. Non-Metro SDAs:	Clinton-Essex-Franklin-Hamilton; St. Lawrence, Jefferson-Lewis; Ulster; Sullivan; Chenango-Delaware-Otsego; Cayuga-Cortland-Tomkins a; Allegheny-Cattaraugus-Chautauqua
2. Metro SDAs:	Albany-Rensselaer-Schenectady; Columbia-Greene; Saratoga-Warren-Washington; Fulton- Montgomery-Schoharie; Oneida-Herkimer-Madison; Oswego; City of Syracuse; Balance of Onondaga; Broome-Tioga-Tompkins a; Chemung-Schuyler-Steuben; Ontario-Wayne-Seneca-Yates; Genesee-Livingston-Orleans-Wyoming; Monroe
3. Buffalo MSA SDAs:	Erie; Niagara
4. NYC MSA SDAs:	Hempstead-Long Beach; Oyster Bay; Suffolk; New York City; City of Yonkers, Balance of Westchester; Rockland; Dutchess-Putnam; Orange
5.	For families larger than six persons, an amount equal to the difference between the six and the five person family income levels should be added to the six person family income level for each additional in the family.

Note: UDSOL Has Indicated That These Tables Are Only Valid for the Purpose of Determining Eligibility for Applicable JTPA and TJTC Programs.

Effective: May 4, 1989

a   Effective July 1, 1989, Tompkins will merge with Broome-Tioga to form the Broome-Tioga-Tompkins SDA. Until June 30, 1989, Tompkins must use the non-metro area income guidelines. As of July 1, 1989, the metro income guidelines are to be used by Tompkins intake staff.

1989 POVERTY INCOME GUIDELINES
Size of Family Unit	Poverty Guidelines
1	$5,980
2	$8,020
3	$10,060
4	$12,100
5	$14,140
6	$16,180
7	$18,220
8	$20,260

 

For family units with more than 8 members, add $2,040 for each additional member.

Effective Date: February 16, 1989

Subchapter B: Minority- and Women-Owned Business Enterprise Certification Program

§ 11-21 Definitions.

As used in this subchapter, the following terms have the following meanings:

   Applicant. "Applicant" means a business enterprise which has applied for certification as an MBE and/or WBE.

   Audit. "Audit" means an examination of a business enterprise to determine whether the business enterprise is eligible for certification as an MBE and/or WBE, and may include an examination of books, records, physical facilities and interviews of applicants.

   Business enterprise. "Business enterprise" means any entity, including a sole proprietorship, partnership or corporation which is authorized to and engages in lawful business transactions in accordance with the laws of New York State.

   Certified business. "Certified business" means a business enterprise which has been approved for certification as an MBE and/or WBE in accordance with the procedures set forth in 66 RCNY § 11-22, subsequent to verification that the business enterprise is owned, operated, and controlled by minority group members as defined in 66 RCNY § 11-21, or women.

   Certification director. "Certification director" means the director of the minority- and women-owned business enterprise program or his or her designee or his or her successor in function.

   Certification letter. "Certification letter" means the letter sent by DSBS to an applicant notifying it of its certification as an MBE and/or WBE.

   City. "City" means the City of New York.

   Commissioner. "Commissioner" means the Commissioner of the New York City Department of Small Business Services or his or her designee or his or her successor in function.

   Day. "Day" means a calendar day unless otherwise specified.

   Denial or denied. "Denial" or "denied" means a determination by DSBS that a business enterprise is not eligible for certification as an MBE and/or WBE because it does not meet the criteria for certification.

   Division. "Division" means the division of economic and financial opportunity within the department of small business services.

   DSBS. "DSBS" means the New York City Department of Small Business Services or its successor in function.

   Geographic Market. "Geographic market" of the City means the following counties: Bronx, Kings, New York, Queens, Richmond, Nassau, Putnam, Rockland, Suffolk and Westchester within the State of New York; and Bergen, Hudson, and Passaic within the State of New Jersey.

   Graduate MBE and/or graduate WBE. "Graduate MBE" and/or "graduate WBE" means an MBE and/or WBE which has been awarded contracts by one or more agencies within the past three years where the total city funding from the expense and capital budgets for such contracts was equal to or greater than fifty million dollars and whose size has exceeded the size standards established for its industry by the United States small business administration for three years.

   Minority group member. "Minority group member" means a United States citizen or lawfully admitted permanent resident who is, and can demonstrate membership in, one of the following groups:

      (1)   Black persons having origins in any of the Black African racial groups;

      (2)   Hispanic persons of Mexican, Puerto Rican, Dominican, Cuban, Central or South American descent of either Indian or Hispanic origin, regardless of race;

      (3)   Asian and Pacific Islander persons having origins in any of the Far East countries, South East Asia, the Indian Subcontinent or the Pacific Islands; or

      (4)   Native American persons who originate from any of the original peoples of North America and who maintain cultural identification through tribal affiliation or community recognition.

   Minority-owned business enterprise or MBE. "Minority-owned business enterprise" or "MBE" means a minority-owned business enterprise that is certified in accordance with Section 1304 of the Charter.

   Minority- and women-owned business enterprise certification application or certification application. "Minority- and women-owned business enterprise certification application" or "certification application" means the form that DSBS requires an applicant to submit for purposes of applying for certification as an MBE and/or WBE.

   Non-certified firm. "Non-certified firm" means a business enterprise that has not been certified as an MBE and/or WBE in accordance with Section 1304 of the Charter.

   Principal office or place of business. "Principal office or place of business" means where the main office and regular meeting place of the board of directors that manages, conducts, and directs the business is located.

   Rejected or rejection. "Rejected" or "rejection" means the refusal by DSBS to certify a business enterprise as an MBE and/or WBE due to an insufficiency in documentation submitted by the applicant.

   Women-owned business enterprise or WBE. "Women-owned business enterprise" or "WBE" means a woman-owned business enterprise that is certified pursuant to Section 1304 of the Charter.

(Amended City Record 5/25/2021, eff. 6/24/2021)

§ 11-22 Eligibility Criteria.

The following standards will be used to determine whether a business enterprise is eligible for certification as an MBE and/or WBE.

   (a)   Nexus. In order to be eligible for certification as an MBE and/or WBE, a business enterprise must have a real and substantial business presence in the geographic market for the city of New York. An MBE and/ or WBE which meets one of the following conditions will be deemed to have a real and substantial business presence in the geographic market for the city of New York:

      (1)   the business enterprise's principal office or place of business or headquarters is located within the City; or

      (2)   the business enterprise maintains full-time employees in one or more of the business enterprise's offices within the City to conduct or solicit business in the City the majority of their working time; or

      (3)   the business enterprise's principal office or place of business or headquarters is located within the geographic market of the City, and (i) has transacted business more than once in the City within the last three years, or (ii) has sought to transact business more than once in the City within the last three years; or

      (4)   twenty-five percent (25%) of the business enterprise's annual gross receipts for the last three years were derived from transacting business in the City; or

      (5)   the business enterprise's principal office or place of business or headquarters is not located within the geographic market of the City but the business enterprise has demonstrated two or more of the following indicia of a real and substantial presence in the market for the City of New York: (i) the business enterprise has maintained a bank account or engaged in other banking transactions in the City; (ii) the business enterprise, or at least one of its owners, possesses a license issued by an agency of the City to do business in the City; (iii) the business enterprise has transacted or sought to transact business in or with the City more than once in the past three years.

   (b)   Ownership. For the purposes of determining whether an applicant should be certified as an MBE and/or WBE, or whether such certification should be revoked, the following rules concerning ownership will be applied:

      (1)   The equity interest of minority group member(s) and/or women owners must be proportionate to the contribution of the minority group member(s) and/or women owners;

      (2)   A sole proprietorship must be owned by a minority group member and/or woman;

      (3)   A partnership must demonstrate that minority group members and/or women have a fifty-one (51%) percent or greater share of the partnership; and

      (4)   A corporation must have issued at least fifty-one (51%) percent of its issued and authorized voting and all other stock to minority group members and/or women shareholders.

   (b-1)   (1)   For the purposes of subdivision b of this section, the term "contribution" shall include:

         (i)   contributions of money, property, equipment or relevant expertise to a business enterprise in furtherance of the legitimate business objectives of such business enterprises; and

         (ii)   payments to other persons or entities in consideration for an equity interest in a business enterprise.

      (2)   Notwithstanding any provision of this subdivision, the term "contribution" shall not include:

         (i)   a payment to a person or entity in exchange for an equity interest in a business enterprise where such payment is made from the proceeds of a promissory note or loan for which the balance outstanding is over 50% of the total note or loan amount;

         (ii)   the receipt of an equity interest as a gift; or

         (iii)   payments from a bank account over which the minority and/or women owners cannot demonstrate control.

   (c)   Control. Determinations as to whether minority group members and/or women control the business enterprise will be made according to the following criteria:

      (1)   Decisions pertaining to the operations of the business enterprise must be made by minority group members and/or women claiming ownership of that business enterprise. The following will be considered in determining whether the minority group members and/or women are making such decisions:

         (i)   whether minority group members and/or women have experience and technical competence in the business enterprise seeking certification;

         (ii)   whether minority group members and/or women demonstrate the working knowledge and ability needed to operate the business enterprise; and

         (iii)   whether minority group members and/or women show that they devote time on an ongoing basis to the daily operation of the business enterprise.

      (2)   Articles of incorporation, corporate by-laws, partnership agreements, business certificates, corporate tax returns, unincorporated business tax returns, partnership tax returns and other agreements, including, but not limited to, loan agreements, lease agreements, supply agreements, credit agreements or other agreements must permit minority group members and/or women who claim ownership of the business enterprise to make those decisions pertaining to operations of the business enterprise without restrictions.

      (3)   Minority group members and/or women must demonstrate control of negotiations, signature authority for payroll, leases, letters of credit, insurance bonds, banking services and contracts, and other business transactions through production of relevant documents.

   (d)   Additional eligibility provisions. The following provisions apply to all applicants seeking certification as an MBE and/or WBE:

      (1)   Documentation may be required to substantiate the claim of membership in a minority group. This documentation may include, but is not limited to, birth certificates, foreign passports, naturalization papers, registration on Native American tribal rolls and nonresident visas;

      (2)   Where the actual management of the business enterprise is contracted out to individuals other than minority group members and/or women, minority group members and/or women must demonstrate that they have the ultimate power to hire and fire these managers, that they exercise this power and make other substantial decisions which reflect control of the business enterprise;

      (3)   Documentation of one (1) year's business activity will be required in order to provide sufficient information upon which certification can be reasonably made. The commissioner, in his or her discretion, may permit documentation for a lesser period;

      (4)   Any business enterprise that satisfies the eligibility criteria as set forth in 66 RCNY § 11-22, is presumptively eligible for certification as an MBE and/or WBE under these rules; provided that the commissioner may decline to certify, or revoke the certification of, any business enterprise on the ground that there is not a firm basis for believing that there is a compelling state interest to justify certification of that business enterprise under these rules.

   (e)   Graduate MBE and/or WBE determinations. The division will, upon reviewing applications for certification and recertification, determine whether a business enterprise qualifies as a graduate MBE and/or WBE. The division will make such determinations in accordance with the following procedures:

      (1)   In the event that the division determines a business enterprise seeking new certification as an MBE and/or WBE qualifies as a graduate MBE and/or WBE pursuant to 66 RCNY § 11-21, the division will provide a written notice of such determination to the applicant business enterprise stating the reason(s) for such determination and the procedures for challenging the graduate MBE and/or WBE determination.

      (2)   In the event that the division determines a certified MBE and/or WBE qualifies as a graduate MBE and/or WBE pursuant to 66 RCNY § 11-21, the division will provide a written notice of such determination to the business enterprise seeking recertification setting forth the reason(s) for such determination and the procedures for challenging the graduate MBE and/or WBE determination.

      (3)   In the event that the division determines a business enterprise seeking new certification or a certified MBE and/or WBE to be a graduate MBE and/or WBE pursuant to 66 RCNY § 11-21, the business enterprise may challenge such a determination pursuant to the procedures set forth in 66 RCNY §§ 11-24 and 11-25.

      (4)   In the event that the division has determined a business enterprise to be a graduate MBE and/or WBE, and the business enterprise has not made a timely challenge to that determination, or has made such a challenge and the department has affirmed its determination, the business enterprise may not apply to have the designation lifted for at least two years from the date of the original determination notice. The division will lift the designation if the firm demonstrates that (i) it has not been awarded contracts by one or more agencies within the past three years where the total city funding from the expense and capital budgets for such contracts was equal to or greater than fifty million dollars; and (ii) it has been below the size standards established by the United States small business administration for its industry for a period of two years or more.

   (f)   Certification as both an MBE and a WBE. In order to be certified as both an MBE and a WBE, a business enterprise must show that the ownership standard described in subdivision b of this section and the control standard described in subdivision c of this section are met by women who are minority group members.

   (g)   Certification decision for firms held in trust. 

      (1)   Notwithstanding any other provision of this subchapter, the Division may determine a business enterprise that does not meet all of the eligibility criteria set forth in subdivisions (b), (b-1), and (c) of this section is nevertheless eligible for certification as an MBE or WBE if the business enterprise previously met all the eligibility criteria set forth in subdivisions (b), (b-1), and (c) of this subdivision, regardless of whether such business enterprise previously sought or obtained certification during the time period in which such business enterprise met all such criteria, and if the minority group or women owner or owners subsequently transferred some or all of such owner's or owners' shares into one or more trusts for estate planning purposes, provided that in determining whether to certify such business entity, the commissioner shall consider whether such certification would advance the purposes of this subchapter, based on the following factors:

         (i)   the degree to which transfers of shares to the trust or trusts resemble common estate planning practices;

         (ii)   the degree to which the former owner or owners have a bona fide estate planning interest in selecting the trust beneficiaries and trustees;

         (iii)   the degree to which day-to-day management obligations, including control of negotiations, signature authority for payroll, leases, letters of credit, insurance bonds, banking services and contracts, and other business transactions, and the ability to hire and fire employees, are retained by women or members of a minority group.

         (iv)   the degree to which voting shares are retained by minority group members or women;

         (v)   the degree to which the business entity has provided to the Division adequate and transparent documentation memorializing the trust relationship;

         (vi)   the degree to which the trust or trusts are revocable; and

         (vii)   the degree to which the former owner or owners retain any liabilities or other legal exposure for the entity.

      (2)   Any determination of eligibility pursuant to this subdivision shall be made in writing and shall include:

         (i)   a written statement that the Division has considered each of the factors set forth in paragraph (1) of this subdivision; and

         (ii)   for each criterion set forth in subdivisions (b), (b-1), or (c) that a business enterprise does not satisfy, an explanation of why such business enterprise's failure to satisfy such criterion is exclusively attributable to the transfer of shares into one or more trusts in furtherance of a bona fide estate planning interest.

(Amended City Record 5/25/2021, eff. 6/24/2021; amended City Record 5/12/2023, eff. 5/12/2023)

§ 11-23 Application Intake and Verification.

   (a)   Minority- and/or women-owned business enterprise certification applications may be obtained from, and must be returned to DSBS or may be submitted electronically, to the extent an online application process is available. DSBS will record the date that each application is received.

   (b)   An applicant must submit such information or documentation as may be required by DSBS in connection with its certification as an MBE and/or WBE. Failure to submit such information or documentation may result in the rejection or revocation of such certification.

   (c)   If a certification application is received by DSBS and required documents are missing, questions are unanswered or the certification application is not properly signed, DSBS will send to the applicant, within 45 days of the date the application was received by DSBS, a notice of status and deficiency (the "Notice"), stating any deficiency arising from missing documents, unfinished questions or deficiencies in signature. An applicant may cure the noticed deficiency by providing DSBS with documents or information requested in the Notice, within 30 days of the date of the Notice.

   (d)   When the applicant cures a noticed deficiency, pursuant to procedures set forth in 66 RCNY § 11-23(c), DSBS will have an additional forty-five (45) days to advise the applicant of any further deficiency which may be cured in accordance with 66 RCNY § 11-23(c).

   (e)   If the applicant does not cure a noticed deficiency, pursuant to procedures set forth in 66 RCNY § 11-23(c), and the certification application remains incomplete for at least forty-two (42) days of the date of the Notice, unless such time is extended by the division, the applicant must be sent a notice stating that its certification application has been rejected and will not be processed, together with its rejected certification application.

   (f)   An applicant whose certification as an MBE and/or WBE is rejected may not reapply for certification for at least one hundred twenty (120) days of the date of the notice of rejection of its application.

   (g)   Applicants may be required to consent to inquiries of their bonding companies, banking institutions, credit agencies, contractors, affiliates, clients and other entities to ascertain the applicant's eligibility for certification. Refusal to permit such inquiries will be grounds for rejection of a certification application.

   (h)   All applicants and certified businesses will be subject to an audit at any time. An applicant's or certified business' refusal to facilitate an audit will be grounds for denial of its certification application or revocation of its certification.

   (i)   A certification application may be withdrawn by an applicant without prejudice at any time prior to an audit. Following the withdrawal of a certification application, the applicant may not reapply for certification for a period of at least one hundred twenty (120) days from the date of withdrawal of the application.

   (j)   All applicants and certified businesses may be required to provide documentation to substantiate that the business has the skill and expertise to perform in the particular area of work for which it is requesting listing or is listed on the M/WBE Directory.

   (k)   The division will conduct site visits for at least 5% of all MBE and/or WBE certification applications received during a fiscal year to verify that such business enterprises are eligible for certification under these rules.

(Amended City Record 5/25/2021, eff. 6/24/2021)