cfr_sections
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328 rows where part_number = 401 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 14:14:4.0.2.7.2.0.24.1 | 14 | Aeronautics and Space | III | A | 401 | PART 401—ORGANIZATION AND DEFINITIONS | § 401.1 The Office of Commercial Space Transportation. | FAA | [Amdt. 401-3, 68 FR 35289, June 13, 2003] | The Office of Commercial Space Transportation, referred to in these regulations as the “Office,” is a line of business within the Federal Aviation Administration and is located in the Federal Aviation Administration Headquarters, 800 Independence Avenue, SW., Room 331, Washington, DC 20591. | |||||
| 14:14:4.0.2.7.2.0.24.2 | 14 | Aeronautics and Space | III | A | 401 | PART 401—ORGANIZATION AND DEFINITIONS | § 401.3 The Associate Administrator for Commercial Space Transportation. | FAA | [Doc. No. FAA-2006-24197, 72 FR 17016, Apr. 6, 2007] | The Office is headed by an Associate Administrator to exercise the Secretary's authority to license or permit and otherwise regulate commercial space transportation and to discharge the Secretary's responsibility to encourage, facilitate, and promote commercial space transportation by the United States private sector. | |||||
| 14:14:4.0.2.7.2.0.24.3 | 14 | Aeronautics and Space | III | A | 401 | PART 401—ORGANIZATION AND DEFINITIONS | § 401.5 Definitions. | FAA | [Doc. No. FAA-1999-5535, 65 FR 56656, Sept. 19, 2000, as amended by Amdt. 401-2, 65 FR 62861, Oct. 19, 2000; Amdt. 401-4, 71 FR 50530, Aug. 25, 2006; 71 FR 75631, Dec. 15, 2006; Amdt. 401-5, 72 FR 17016, Apr. 6, 2007; Amdt. 401-6, 73 FR 73782, Dec. 4, 2008; Amdt. 401-7, 77 FR 20532, Apr. 5, 2012; 80 FR 30151, May 27, 2015; Amdt. 401-8, 80 FR 31834, June 4, 2015; Doc. No. FAA-2019-0229, Amdt. 401-9, 85 FR 79707, Dec. 10, 2020; Doc. No. FAA-2023-1656, Amdt. No. 401-10, 89 FR 76725, Sept. 19, 2024] | For the purposes of parts 415, 417, 431, 435, 440, and 460 of this chapter, the following definitions apply: Act means 51 U.S.C Subtitle V, Programs Targeting Commercial Opportunities, chapter 509—Commercial Space Launch Activities, 51 U.S.C. 50901-50923. Associate Administrator means the Associate Administrator for Commercial Space Transportation, Federal Aviation Administration, or any person designated by the Associate Administrator to exercise the authority or discharge the responsibilities of the Associate Administrator. Casualty means serious injury or death. Contingency abort means cessation of vehicle flight during ascent or descent in a manner that does not jeopardize public health and safety and the safety of property, in accordance with mission rules and procedures. Contingency abort includes landing at an alternative location that has been designated as a contingency abort location in advance of vehicle flight. Crew means any employee or independent contractor of a licensee, transferee, or permittee, or of a contractor or subcontractor of a licensee, transferee, or permittee, who performs activities in the course of that employment or contract directly relating to the launch, reentry, or other operation of or in a launch vehicle or reentry vehicle that carries human beings. A crew consists of flight crew and any remote operator. Emergency abort means cessation of vehicle flight during ascent or descent in a manner that minimizes risk to public health and safety and the safety of property. Emergency abort involves failure of a vehicle, safety-critical system, or flight safety system such that contingency abort is not possible. Equivalent level of safety means an approximately equal level of safety as determined by qualitative or quantitative means. Expendable launch vehicle means a launch vehicle whose propulsive stages are flown only once. Experimental permit or permit means an authorization by the FAA to a person to launch or reenter a reusable suborbital rocket. Federal launch r… | |||||
| 14:14:4.0.2.7.2.0.24.4 | 14 | Aeronautics and Space | III | A | 401 | PART 401—ORGANIZATION AND DEFINITIONS | § 401.7 Definitions. | FAA | [Doc. No. FAA-2019-0229, Amdt. 401-9, 85 FR 79707, Dec. 10, 2020; Doc. No. FAA-2023-1656, Amdt. No. 401-10, 89 FR 76726, Sept. 19, 2024] | For the purposes of this chapter unless otherwise excepted, the following definitions apply: Act means 51 U.S.C Subtitle V, Programs Targeting Commercial Opportunities, chapter 509—Commercial Space Launch Activities, 51 U.S.C. 50901-50923. Anomaly means any condition during licensed or permitted activity that deviates from what is standard, normal, or expected, during the verification or operation of a system, subsystem, process, facility, or support equipment. Associate Administrator means the Associate Administrator for Commercial Space Transportation, Federal Aviation Administration, or any person designated by the Associate Administrator to exercise the authority or discharge the responsibilities of the Associate Administrator. Casualty means serious injury or death. Casualty area means the area surrounding each potential debris or vehicle impact point where serious injuries, or worse, can occur. Command control system means the portion of a flight safety system that includes all components needed to send a flight abort control signal to the on-board portion of a flight safety system. Contingency abort means a flight abort with a landing at a planned location that has been designated in advance of vehicle flight. Countdown means the timed sequence of events that must take place to initiate flight of a launch vehicle or reentry of a reentry vehicle. Crew means any employee or independent contractor of a licensee, transferee, or permittee, or of a contractor or subcontractor of a licensee, transferee, or permittee, who performs activities in the course of that employment or contract directly relating to the launch, reentry, or other operation of or in a launch vehicle or reentry vehicle that carries human beings. A crew consists of flight crew and any remote operator. Critical asset means an asset that is essential to the national interests of the United States. Critical assets include property, facilities, or infrastructure necessary for national security purposes, high priority civil space… | |||||
| 17:17:5.0.2.1.2.0.43.1 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.1 Exemption for organizations handling transactions in United States Savings Bonds. | SEC | An organization that handles United States Savings Bond transactions, including a qualified issuing or paying agent or an organization that accommodates customers or employees by forwarding requested transactions to qualified issuing or paying agents or the Treasury and whose transactions in government securities are limited to these transactions and such other activities that are exempted by the regulations under this subchapter, shall be exempt from the provisions of section 15C (a), (b) and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter. For the purposes of this section, the term “United States Savings Bond” means any savings-type security offered by the Treasury, including all series of United States Savings Bonds, United States Savings Notes and United States Savings Stamps. | ||||||
| 17:17:5.0.2.1.2.0.43.2 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.2 Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities. | SEC | (a) Subject to the requirements of paragraph (b) of this section, a depository institution that submits tenders or subscriptions for purchase on original issue of United States Treasury securities for the account of customers on a fully disclosed basis, whose transactions in government securities are limited to such transactions and such other activities as have been exempted by regulation under this subchapter shall be exempt from the provisions of section 15C (a), (b) and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter. (b) A depository institution that relies on the exemption contained in paragraph (a) of this section is required to comply with the regulations of part 450 of this chapter concerning custodial holdings of government securities. (c) For the purposes of this section, “depository institution” has the meaning stated in clauses (i) through (vi) of section 19(b)(1)(A) of the Federal Reserve Act (12 U.S.C. 461(b)(1)(A)(i)-(vi)) and also includes a foreign bank, an agency or branch of a foreign bank and a commercial lending company owned or controlled by a foreign bank (as such terms are used in the International Banking Act of 1978, Pub. L. 95-369, 92 Stat. 607). | ||||||
| 17:17:5.0.2.1.2.0.43.3 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities. | SEC | [52 FR 27930, July 24, 1987, as amended at 71 FR 54411, Sept. 15, 2006] | (a)(1) Subject to the requirements of paragraph (b) of this section, a financial institution shall be exempt from the provisions of sections 15C (a), (b), and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter, unless it acts as a government securities broker by: (i) Holding itself out as a government securities broker or interdealer broker; or (ii) Actively soliciting purchases or sales of government securities on an agency basis; (2) Notwithstanding the provisions of paragraph (a)(1) of this section, a financial institution shall not be regarded as acting as a government securities broker within the meaning of this section if it: (i) Effects fewer than 500 government securities brokerage transactions (other than transactions described in §§ 401.1 or 401.2) per year; or (ii) Effects all such transactions (other than transactions described in §§ 401.1 or 401.2) pursuant to a contractual or other arrangement with one or more government securities brokers or dealers each of which has registered or filed notice pursuant to section 15C(a)(1) of the Act (15 U.S.C. 78o-5(a)(1)) (each referred to as the “transacting government securities broker or dealer”) under which the transacting government securities broker or dealer will offer securities services on or off the premises of the financial institution, provided that: (A) The transacting government securities broker or dealer is clearly identified to customers as the person performing the securities services; (B) Financial institution employees perform only clerical and ministerial or order-taking functions in connection with government securities transactions unless such employees are associated persons (as defined in § 400.3 of this chapter) or registered representatives of the transacting government securities broker or dealer; (C) Financial institution employees do not receive compensation for government securities activities other than clerical or ministerial functions unless such employees are associated persons (as defi… | |||||
| 17:17:5.0.2.1.2.0.43.4 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.4 Exemption for financial institutions engaged in limited government securities dealer activities. | SEC | (a) Subject to the requirements of paragraph (b) of this section, a financial institution shall be exempt from the provisions of sections 15C (a), (b), and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter if its government securities dealer activities are limited to one or more of the following activities: (1) Sales or purchases in a fiduciary capacity; (2) The sale and subsequent repurchase and the purchase and subsequent resale of government securities pursuant to a repurchase or reverse repurchase agreement; and (3) Such other activities as have been exempted by regulation under this subchapter. (b)(1) A financial institution that relies on the exemption contained in paragraph (a) of this section is required to comply with: (i) The regulations of part 450 of this chapter concerning custodial holdings of government securities for customers; and (ii) Section 403.5(d) of this chapter concerning certain repurchase transactions with customers. (2) A branch or agency of a foreign bank that relies on the exemption contained in paragraph (a) of this section is in addition required to comply with § 403.5(e) of this chapter. (c) For the purposes of this section “financial institution” includes an insured credit union, as defined in 12 U.S.C. 1752(7). | ||||||
| 17:17:5.0.2.1.2.0.43.5 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions. | SEC | (a)(1) Subject to the requirements of paragraph (b) of this section, a corporate credit union shall be exempt from the provisions of section 15C (a), (b) and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations thereunder if its government securities dealer activities are limited to the sale and subsequent repurchase and the purchase and subsequent resale, each pursuant to a repurchase or reverse repurchase agreement, of government securities to other credit unions and such other activities as have been exempted by regulation under this part. (2) For the purposes of this section, “corporate credit union” means a credit union whose membership consists primarily of other credit unions and that is (i) a Federal credit union as defined in 12 U.S.C. 1752(1), (ii) an insured credit union as defined in 12 U.S.C. 1752(7), or (iii) a member of the National Credit Union Administration Central Liquidity Facility. (b) A credit union that relies on the exemption contained in paragraph (a) of this section is required to comply with: (1) The regulations of part 450 of this chapter concerning custodial holdings of government securities; and (2) Section 403.5(d) concerning certain repurchase transactions with customers. | ||||||
| 17:17:5.0.2.1.2.0.43.6 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore. | SEC | (a) Subject to the requirements of paragraph (b) of this section, a branch or agency of a foreign bank shall be exempt from the provisions of section 15C (a), (b), and (d) of the Act (15 U.S.C. 78o-5 (a), (b), (d)) and the regulations of this subchapter, if all the customers with or on behalf of whom it engages in government securities transactions are limited to foreign governments, agencies of foreign governments and other persons and entities who are not citizens of the United States and who reside or, in the case of a corporation, partnership or other entity, have their principal place of business, outside of the United States. (b) A branch or agency that relies on the exemption contained in paragraph (a) of this section is required to comply with the regulations of part 450 of this chapter concerning custodial holdings of government securities. | ||||||
| 17:17:5.0.2.1.2.0.43.7 | 17 | Commodity and Securities Exchanges | IV | A | 401 | PART 401—EXEMPTIONS | § 401.7 Exemption for certain foreign government securities brokers or dealers. | SEC | [55 FR 27462, July 3, 1990; 55 FR 29293, July 18, 1990, as amended at 60 FR 11026, Mar. 1, 1995; 71 FR 54411, Sept. 15, 2006. Redesignated at 79 FR 38455, July 8, 2014] | A government securities broker or dealer (excluding a branch or agency of a foreign bank) that is a non-U.S. resident shall be exempt from the provisions of sections 15C(a), (b), and (d) of the Act (15 U.S.C. 78o-5(a), (b) and (d)) and the regulations of this subchapter provided it complies with the provisions of 17 CFR 240.15a-6 (SEC Rule 15a-6) as modified in this section. (a) For purposes of this section, non-U.S. resident means any person (including any U.S. person) engaged in business as a government securities broker or dealer entirely outside the U.S. that is not an office or branch of, or a natural person associated with, a registered broker or dealer, a registered government securities broker or dealer or a financial institution that has provided notice pursuant to § 400.1(d) of this chapter. (b) Within § 240.15a-6 of this title, references to “security” and “securities” shall mean “government securities” as defined in § 400.3 of this chapter. (c) Section 240.15a-6(a) of this title is modified to read as follows: “(a) A foreign broker or dealer shall be exempt from the registration or notice requirements of section 15C(a)(1) of the Act to the extent that the foreign broker or dealer:” (d) Paragraph 240.15a-6(a)(2)(iii) of this title is modified to read as follows: “(iii) If the foreign broker or dealer has established a relationship with a registered broker or dealer for the purpose of compliance with paragraph (a)(3) of this rule, this relationship is disclosed in all research reports and all transactions with the foreign broker or dealer in securities discussed in the research reports are effected only through that registered broker or dealer, pursuant to the provisions of paragraph (a)(3); and” (e) Paragraph 240.15a-6(a)(3)(i)(B) of this title is modified to read as follows: “(B) Provides its appropriate regulatory agency (upon request or pursuant to agreements reached between any foreign securities authority, including any foreign government as specified in section 3(a)(50) of the Act, and … | |||||
| 20:20:2.0.1.1.2.1.1.1 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | A | Subpart A—General | § 401.5 Purpose of the regulations. | SSA | (a) General. The purpose of this part is to describe the Social Security Administration (SSA) policies and procedures for implementing the requirements of the Privacy Act of 1974, 5 U.S.C. 552a and section 1106 of the Social Security Act concerning disclosure of information about individuals, both with and without their consent. This part also complies with other applicable statutes. (b) Privacy. This part implements the Privacy Act by establishing agency policies and procedures for the maintenance of records. This part also establishes agency policies and procedures under which you can ask us whether we maintain records about you or obtain access to your records. Additionally, this part establishes policies and procedures under which you may seek to have your record corrected or amended if you believe that your record is not accurate, timely, complete, or relevant. (c) Disclosure. This part also sets out the general guidelines which we follow in deciding whether to make disclosures. However, we must examine the facts of each case separately to decide if we should disclose the information or keep it confidential. | |||||
| 20:20:2.0.1.1.2.1.1.2 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | A | Subpart A—General | § 401.10 Applicability. | SSA | (a) SSA. All SSA employees and components are governed by this part. SSA employees governed by this part include all regular and special government employees of SSA; experts and consultants whose temporary (not in excess of 1 year) or intermittent services have been procured by SSA by contract pursuant to 5 U.S.C. 3109; volunteers where acceptance of their services are authorized by law; those individuals performing gratuitous services as permitted under conditions prescribed by the Office of Personnel Management; and, participants in work-study or training programs. (b) Other entities. This part also applies to advisory committees and councils within the meaning of the Federal Advisory Committee Act which provide advice to: Any official or component of SSA; or the President and for which SSA has been delegated responsibility for providing services. | |||||
| 20:20:2.0.1.1.2.1.1.3 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | A | Subpart A—General | § 401.15 Limitations on scope. | SSA | The regulations in this part do not— (a) Make available to an individual records which are not retrieved by that individual's name or other personal identifier. (b) Make available to the general public records which are retrieved by an individual's name or other personal identifier or make available to the general public records which would otherwise not be available to the general public under the Freedom of Information Act, 5 U.S.C. 552, and part 402 of this title. (c) Govern the maintenance or disclosure of, notification about or access to, records in the possession of SSA which are subject to the regulations of another agency, such as personnel records which are part of a system of records administered by the Office of Personnel Management. (d) Apply to grantees, including State and local governments or subdivisions thereof, administering federally funded programs. (e) Make available records compiled by SSA in reasonable anticipation of court litigation or formal administrative proceedings. The availability of such records to the general public or to any subject individual or party to such litigation or proceedings shall be governed by applicable constitutional principles, rules of discovery, and applicable regulations of the agency. | |||||
| 20:20:2.0.1.1.2.1.1.4 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | A | Subpart A—General | § 401.20 Scope. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 65 FR 16812, Mar. 30, 2000; 72 FR 20939, Apr. 27, 2007] | (a) Access. Sections 401.30 through 401.95, which set out SSA's rules for implementing the Privacy Act, apply to records retrieved by an individual's name or personal identifier subject to the Privacy Act. The rules in §§ 401.30 through 401.95 also apply to information developed by medical sources for the Social Security program and shall not be accessed except as permitted by this part. (b) Disclosure —(1) Program records. Regulations that apply to the disclosure of information about an individual contained in SSA's program records are set out in §§ 401.100 through 401.200 of this part. These regulations also apply to the disclosure of other Federal program information which SSA maintains. That information includes: (i) Health insurance records which SSA maintains for the Health Care Financing Administration's (HCFA) programs under title XVIII of the Social Security Act. We will disclose these records to HCFA. HCFA may redisclose these records under the regulations applying to records in HCFA's custody; (ii) Black lung benefit records which SSA maintains for the administration of the Federal Coal Mine Health and Safety Act; (However, this information is not covered by section 1106 of the Social Security Act.) and (iii) Information retained by medical sources pertaining to a consultative examination performed for the Social Security program shall not be disclosed except as permitted by this part. (2) Nonprogram records. Section 401.110 sets out rules applicable to the disclosure of nonprogram records, e.g., SSA's administrative and personnel records. | ||||
| 20:20:2.0.1.1.2.1.1.5 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | A | Subpart A—General | § 401.25 Terms defined. | SSA | Access means making a record available to a subject individual. Act means the Social Security Act. Agency means the Social Security Administration. Commissioner means the Commissioner of Social Security. Disclosure means making a record about an individual available to or releasing it to another party. FOIA means the Freedom of Information Act. Individual when used in connection with the Privacy Act or for disclosure of nonprogram records, means a living person who is a citizen of the United States or an alien lawfully admitted for permanent residence. It does not include persons such as sole proprietorships, partnerships, or corporations. A business firm which is identified by the name of one or more persons is not an individual. When used in connection with the rules governing program information, individual means a living natural person; this does not include corporations, partnerships, and unincorporated business or professional groups of two or more persons. Information means information about an individual, and includes, but is not limited to, vital statistics; race, sex, or other physical characteristics; earnings information; professional fees paid to an individual and other financial information; benefit data or other claims information; the social security number, employer identification number, or other individual identifier; address; phone number; medical information, including psychological or psychiatric information or lay information used in a medical determination; and information about marital and family relationships and other personal relationships. Maintain means to establish, collect, use, or disseminate when used in connection with the term record ; and, to have control over or responsibility for a system of records when used in connection with the term system of records. Notification means communication to an individual whether he is a subject individual. ( Subject individual is defined further on in this section.) Program information means personal information and… | |||||
| 20:20:2.0.1.1.2.2.1.1 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.30 Privacy Act and other responsibilities. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20939, Apr. 27, 2007] | (a) Policy. Our policy is to protect the privacy of individuals to the fullest extent possible while nonetheless permitting the exchange of records required to fulfill our administrative and program responsibilities, and responsibilities for disclosing records which the general public is entitled to have under the Freedom of Information Act, 5 U.S.C. 552, and 20 CFR part 402. (b) Maintenance of records. We will maintain no record unless: (1) It is relevant and necessary to accomplish an SSA function which is required to be accomplished by statute or Executive Order; (2) We obtain the information in the record, as much as it is practicable, from the subject individual if we may use the record to determine an individual's rights, benefits or privileges under Federal programs; (3) We inform the individual providing the record to us of the authority for our asking him or her to provide the record (including whether providing the record is mandatory or voluntary, the principal purpose for maintaining the record, the routine uses for the record, and what effect his or her refusal to provide the record may have on him or her). Further, the individual agrees to provide the record, if the individual is not required by statute or Executive Order to do so. (c) First Amendment rights. We will keep no record which describes how an individual exercises rights guaranteed by the First Amendment unless we are expressly authorized: (1) By statute, (2) By the subject individual, or (3) Unless pertinent to and within the scope of an authorized law enforcement activity. (d) Privacy Officer. The Privacy Officer is an advisor to the Agency on all privacy policy and disclosure matters. The Privacy Officer coordinates the development and implementation of Agency privacy policies and related legal requirements to ensure Privacy Act compliance, and monitors the coordination, collection, maintenance, use and disclosure of personal information. The Privacy Officer also ensures the integration of privacy principles into infor… | ||||
| 20:20:2.0.1.1.2.2.1.10 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.75 Rights of parents or legal guardians. | SSA | For purposes of this part, a parent or guardian of any minor or the legal guardian of any individual who has been declared incompetent due to physical or mental incapacity or age by a court of competent jurisdiction is authorized to act on behalf of a minor or incompetent individual. Except as provided in § 401.45, governing procedures for verifying an individual's identity, and § 401.55(c) governing special procedures for notification of or access to a minor's medical records, if you are authorized to act on behalf of a minor or legal incompetent, you will be viewed as if you were the individual or subject individual. | |||||
| 20:20:2.0.1.1.2.2.1.11 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.80 Accounting for disclosures. | SSA | (a) We will maintain an accounting of all disclosures of a record for five years or for the life of the record, whichever is longer; except that, we will not make accounting for: (1) Disclosures under paragraphs (a) and (b) of § 401.110; and, (2) Disclosures of your record made with your written consent. (b) The accounting will include: (1) The date, nature, and purpose of each disclosure; and (2) The name and address of the person or entity to whom the disclosure is made. (c) You may request access to an accounting of disclosures of your record. You must request access to an accounting in accordance with the procedures in § 401.40. You will be granted access to an accounting of the disclosures of your record in accordance with the procedures of this part which govern access to the related record. We may, at our discretion, grant access to an accounting of a disclosure of a record made under paragraph (g) of § 401.110. | |||||
| 20:20:2.0.1.1.2.2.1.12 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.85 Exempt systems. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 82 FR 16510, Apr. 5, 2017; 83 FR 63416, Dec. 10, 2018; 84 FR 45901, Sept. 3, 2019; 87 FR 25141, Apr. 28, 2022] | (a) General policy. The Privacy Act permits certain types of specific systems of records to be exempt from some of its requirements. Our policy is to exercise authority to exempt systems of records only in compelling cases. (b) Specific systems of records exempted. (1) Those systems of records listed in paragraph (b)(2) of this section are exempt from the following provisions of the Act and this part: (i) 5 U.S.C. 552a(c)(3) and paragraph (c) of § 401.80 of this part which require that you be granted access to an accounting of disclosures of your record. (ii) 5 U.S.C. 552a (d) (1) through (4) and (f) and §§ 401.35 through 401.75 relating to notification of or access to records and correction or amendment of records. (iii) 5 U.S.C. 552a(e)(4) (G) and (H) which require that we include information about SSA procedures for notification, access, and correction or amendment of records in the notice for the systems of records. (iv) 5 U.S.C. 552a(e)(3) and § 401.30 which require that if we ask you to provide a record to us, we must inform you of the authority for our asking you to provide the record (including whether providing the record is mandatory or voluntary, the principal purposes for maintaining the record, the routine uses for the record, and what effect your refusal to provide the record may have on you), and if you are not required by statute or Executive Order to provide the record, that you agree to provide the record. This exemption applies only to an investigatory record compiled by SSA for criminal law enforcement purposes in a system of records exempt under subsection (j)(2) of the Privacy Act to the extent that these requirements would prejudice the conduct of the investigation. (2) The following systems of records are exempt from those provisions of the Privacy Act and this part listed in paragraph (b)(1) of this section: (i) Pursuant to subsection (j)(2) of the Privacy Act, the Investigatory Material Compiled for Law Enforcement Purposes System, SSA. (ii) Pursuant to subsection (k)(2) of t… | ||||
| 20:20:2.0.1.1.2.2.1.13 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.90 Contractors. | SSA | (a) All contracts which require a contractor to maintain, or on behalf of SSA to maintain, a system of records to accomplish an SSA function must contain a provision requiring the contractor to comply with the Privacy Act and this part. (b) A contractor and any employee of such contractor will be considered employees of SSA only for the purposes of the criminal penalties of the Privacy Act, 5 U.S.C. 552a(i), and the employee standards of conduct (see appendix A of this part) where the contract contains a provision requiring the contractor to comply with the Privacy Act and this part. (c) This section does not apply to systems of records maintained by a contractor as a result of his management discretion, e.g., the contractor's personnel records. | |||||
| 20:20:2.0.1.1.2.2.1.14 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.95 Fees. | SSA | (a) Policy. Where applicable, we will charge fees for copying records in accordance with the schedule set forth in this section. We may only charge fees where you request that a copy be made of the record to which you are granted access. We will not charge a fee for searching a system of records, whether the search is manual, mechanical, or electronic. Where we must copy the record in order to provide access to the record (e.g., computer printout where no screen reading is available), we will provide the copy to you without cost. Where we make a medical record available to a representative designated by you or to a physician or health professional designated by a parent or guardian under § 401.55 of this part, we will not charge a fee. (b) Fee schedule. Our Privacy Act fee schedule is as follows: (1) Copying of records susceptible to photocopying—$.10 per page. (2) Copying records not susceptible to photocopying (e.g., punch cards or magnetic tapes)—at actual cost to be determined on a case-by-case basis. (3) We will not charge if the total amount of copying does not exceed $25. (c) Other fees. We also follow §§ 402.155 through 402.165 of this chapter to determine the amount of fees, if any, we will charge for providing information under the FOIA and Privacy Act. | |||||
| 20:20:2.0.1.1.2.2.1.2 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.35 Your right to request records. | SSA | The Privacy Act gives you the right to direct access to most records about yourself that are in our systems of records. Exceptions to this Privacy Act right include— (a) Special procedures for access to certain medical records (see 5 U.S.C. 552a(f)(3) and § 401.55); (b) Unavailability of certain criminal law enforcement records (see 5 U.S.C. 552a(k), and § 401.85); and (c) Unavailability of records compiled in reasonable anticipation of a court action or formal administrative proceeding. The Freedom of Information Act (see 20 CFR part 402) allows you to request information from SSA whether or not it is in a system of records. | |||||
| 20:20:2.0.1.1.2.2.1.3 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.40 How to get your own records. | SSA | (a) Your right to notification and access. Subject to the provisions governing medical records in § 401.55, you may ask for notification of or access to any record about yourself that is in an SSA system of records. If you are a minor, you may get information about yourself under the same rules as for an adult. Under the Privacy Act, if you are the parent or guardian of a minor, or the legal guardian of someone who has been declared legally incompetent, and you are acting on his or her behalf, you may ask for information about that individual. You may be accompanied by another individual of your choice when you request access to a record in person, provided that you affirmatively authorize the presence of such other individual during any discussion of a record to which you are requesting access. (b) Identifying the records. At the time of your request, you must specify which systems of records you wish to have searched and the records to which you wish to have access. You may also request copies of all or any such records. Also, we may ask you to provide sufficient particulars to enable us to distinguish between records on individuals with the same name. The necessary particulars are set forth in the notices of systems of records which are published in the Federal Register. (c) Requesting notification or access. To request notification of or access to a record, you may visit your local social security office or write to the manager of the SSA system of records. The name and address of the manager of the system is part of the notice of systems of records. Every local social security office keeps a copy of the Federal Register containing that notice. That office can also help you get access to your record. You do not need to use any special form to ask for a record about you in our files, but your request must give enough identifying information about the record you want to enable us to find your particular record. This identifying information should include the system of records in which the record is… | |||||
| 20:20:2.0.1.1.2.2.1.4 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.45 Verifying your identity. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20939, Apr. 27, 2007] | (a) When required. Unless you are making a request for notification of or access to a record in person, and you are personally known to the SSA representative, you must verify your identity in accordance with paragraph (b) of this section if: (1) You make a request for notification of a record and we determine that the mere notice of the existence of the record would be a clearly unwarranted invasion of privacy if disclosed to someone other than the subject individual; or, (2) You make a request for access to a record which is not required to be disclosed to the general public under the Freedom of Information Act, 5 U.S.C. 552, and part 402 of this chapter. (b) Manner of verifying identity —(1) Request in person. If you make a request to us in person, you must provide at least one piece of tangible identification such as a driver's license, passport, alien or voter registration card, or union card to verify your identity. If you do not have identification papers to verify your identity, you must certify in writing that you are the individual who you claim to be and that you understand that the knowing and willful request for or acquisition of a record pertaining to an individual under false pretenses is a criminal offense. (2) Request by telephone. If you make a request by telephone, you must verify your identity by providing identifying particulars which parallel the record to which notification or access is being sought. If we determine that the particulars provided by telephone are insufficient, you will be required to submit your request in writing or in person. We will not accept telephone requests where an individual is requesting notification of or access to sensitive records such as medical records. (3) Electronic requests. If you make a request by computer or other electronic means, e.g., over the Internet, we require you to verify your identity by using identity confirmation procedures that are commensurate with the sensitivity of the information that you are requesting. If we cannot confi… | ||||
| 20:20:2.0.1.1.2.2.1.5 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.50 Granting notification of or access to a record. | SSA | (a) General. Subject to the provisions governing medical records in § 401.55 and the provisions governing exempt systems in § 401.85, upon receipt of your request for notification of or access to a record and verification of your identity, we will review your request and grant notification or access to a record, if you are the subject of the record. (b) Our delay in responding. If we determine that we will have to delay responding to your request because of the number of requests we are processing, a breakdown of equipment, shortage of personnel, storage of records in other locations, etc., we will so inform you and tell you when notification or access will be granted. | |||||
| 20:20:2.0.1.1.2.2.1.6 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.55 Access to medical records. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20939, Apr. 27, 2007] | (a) General. You have a right to access your medical records, including any psychological information that we maintain. (b) Medical records procedures —(1) Notification of or access to medical records. (i) You may request notification of or access to a medical record pertaining to you. Unless you are a parent or guardian requesting notification of or access to a minor's medical record, you must make a request for a medical record in accordance with this section and the procedures in §§ 401.45 through 401.50 of this part. (ii) When you request medical information about yourself, you must also name a representative in writing. The representative may be a physician, other health professional, or other responsible individual who will be willing to review the record and inform you of its contents. Following the discussion, you are entitled to your records. The representative does not have the discretion to withhold any part of your record. If you do not designate a representative, we may decline to release the requested information. In some cases, it may be possible to release medical information directly to you rather than to your representative. (2) Utilization of the designated representative. You will be granted direct access to your medical record if we can determine that direct access is not likely to have an adverse effect on you. If we believe that we are not qualified to determine, or if we do determine, that direct access to you is likely to have an adverse effect, the record will be sent to the designated representative. We will inform you in writing that the record has been sent. (c) Medical records of minors —(1) Request by the minor. You may request access to your own medical records in accordance with paragraph (b) of this section. (2) Requests on a minor's behalf; notification of or access to medical records to an individual on a minor's behalf. (i) To protect the privacy of a minor, we will not give to a parent or guardian direct notification of or access to a minor's record, even tho… | ||||
| 20:20:2.0.1.1.2.2.1.7 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.60 Access to or notification of program records about more than one individual. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20940, Apr. 27, 2007] | When information about more than one individual is in one record filed under your social security number, you may receive the information about you and the fact of entitlement and the amount of benefits payable to other persons based on your record. You may receive information about yourself or others, which is filed under someone else's social security number, if that information affects your entitlement to social security benefits or the amount of those benefits. | ||||
| 20:20:2.0.1.1.2.2.1.8 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.65 How to correct your record. | SSA | (a) How to request a correction. This section applies to all records kept by SSA (as described in § 401.5) except for records of earnings. (20 CFR 422.125 describes how to request correction of your earnings record.) You may request that your record be corrected or amended if you believe that the record is not accurate, timely, complete, relevant, or necessary to the administration of a social security program. To amend or correct your record, you should write to the manager identified in the notice of systems of records which is published in the Federal Register (see § 401.40(c) on how to locate this information). The staff at any social security office can help you prepare the request. You should submit any available evidence to support your request. Your request should indicate— (1) The system of records from which the record is retrieved; (2) The particular record which you want to correct or amend; (3) Whether you want to add, delete or substitute information in the record; and (4) Your reasons for believing that your record should be corrected or amended. (b) What we will not change. You cannot use the correction process to alter, delete, or amend information which is part of a determination of fact or which is evidence received in the record of a claim in the administrative appeal process. Disagreements with these determinations are to be resolved through the SSA appeal process. (See subparts I and J of part 404, and subpart N of part 416, of this chapter.) For example, you cannot use the correction process to alter or delete a document showing a birth date used in deciding your social security claim. However, you may submit a statement on why you think certain information should be altered, deleted, or amended, and we will make this statement part of your file. (c) Acknowledgment of correction request. We will acknowledge receipt of a correction request within 10 working days, unless we can review and process the request and give an initial determination of denial or compliance before that t… | |||||
| 20:20:2.0.1.1.2.2.1.9 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | B | Subpart B—The Privacy Act | § 401.70 Appeals of refusals to correct records or refusals to allow access to records. | SSA | [72 FR 20940, Apr. 27, 2007, as amended at 88 FR 1329, Jan. 10, 2023] | (a) General. This section describes how to appeal decisions we make under the Privacy Act concerning your request for correction of or access to your records, those of your minor child, or those of a person for whom you are the legal guardian. This section describes how to appeal decisions made by SSA under the Privacy Act concerning your request for correction of or access to your records, those of your minor child, or those of a person for whom you are the legal guardian. We generally handle a denial of your request for information about another person under the provisions of the Freedom of Information Act (see part 402 of this chapter). To appeal a decision under this section, your request must be in writing. (b) Appeal of refusal to correct or amend records. If we deny your request to correct an SSA record, you may request a review of that decision. As discussed in § 401.65(e), our letter denying your request will tell you to whom to write. (1) We will review your request within 30 working days from the date of the receipt. However, for a good reason and with the approval of the Executive Director for the Office of Privacy and Disclosure, we may extend this time limit up to an additional 30 days. In that case, we will notify you about the delay, the reason for it and the date when the review is expected to be completed. (2) If, after review, we determine that the record should be corrected, we will do so. However, if we refuse to amend the record as you requested, we will inform you that— (i) Your request has been refused and the reason for the refusal; (ii) The refusal is our final decision; and (iii) You have a right to seek court review of our final decision. (3) We will also inform you that you have a right to file a statement of disagreement with the decision. Your statement should include the reason you disagree. We will make your statement available to anyone to whom the record is subsequently disclosed, together with a statement of our reasons for refusing to amend the record. Also, we will… | ||||
| 20:20:2.0.1.1.2.3.1.1 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.100 Disclosure of records with the written consent of the subject of the record. | SSA | [72 FR 20940, Apr. 27, 2007] | (a) General. Except as permitted by the Privacy Act and the regulations in this part, or when required by the FOIA, we will not disclose your records without your written consent. (b) Disclosure with written consent. The written consent must clearly specify to whom the information may be disclosed, the information you want us to disclose (e.g., social security number, date and place of birth, monthly Social Security benefit amount, date of entitlement), and, where applicable, during which timeframe the information may be disclosed (e.g., during the school year, while the subject individual is out of the country, whenever the subject individual is receiving specific services). (c) Disclosure of the entire record. We will not disclose your entire record. For example, we will not honor a blanket consent for all information in a system of records or any other record consisting of a variety of data elements. We will disclose only the information you specify in the consent. We will verify your identity and where applicable (e.g., where you consent to disclosure of a record to a specific individual), the identity of the individual to whom the record is to be disclosed. (d) A parent or guardian of a minor is not authorized to give written consent to a disclosure of a minor's medical record. See § 401.55(c)(2) for the procedures for disclosure of or access to medical records of minors. | ||||
| 20:20:2.0.1.1.2.3.1.10 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.145 Safeguards against unauthorized redisclosure or use. | SSA | (a) The FOIA does not authorize us to impose any restrictions on how information is used after we disclose it under that law. In applying FOIA principles, we consider whether the information will be adequately safeguarded against improper use or redisclosure. We must consider all the ways in which the recipient might use the information and how likely the recipient is to redisclose the information to other parties. Thus, before we disclose personal information we may consider such factors as— (1) Whether only those individuals who have a need to know the information will obtain it; (2) Whether appropriate measures to safeguard the information to avoid unwarranted use or misuse will be taken; and (3) Whether we would be permitted to conduct on-site inspections to see whether the safeguards are being met. (b) We feel that there is a strong public interest in sharing information with other agencies with programs having the same or similar purposes, so we generally share information with those agencies. However, since there is usually little or no public interest in disclosing information for disputes between two private parties or for other private or commercial purposes, we generally do not share information for these purposes. | |||||
| 20:20:2.0.1.1.2.3.1.11 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.150 Compatible purposes. | SSA | [72 FR 20941, Apr. 27, 2007] | (a) General. The Privacy Act allows us to disclose information maintained in a system of records without your consent to any other party if such disclosure is pursuant to a routine use published in the system's notice of system of records. A “Routine use” must be compatible with the purpose for which SSA collected the information. (b) Notice of routine use disclosures. A list of permissible routine use disclosures is included in every system of records notice published in the Federal Register. (c) Determining compatibility —(1) Disclosure to carry out SSA programs. We disclose information for published routine uses necessary to carry out SSA's programs. (2) Disclosure to carry out programs similar to SSA programs. We may disclose information for the administration of other government programs. These disclosures are pursuant to published routine uses where the use is compatible with the purpose for which the information was collected. These programs generally meet the following conditions: (i) The program is clearly identifiable as a Federal, State, or local government program. (ii) The information requested concerns eligibility, benefit amounts, or other matters of benefit status in a Social Security program and is relevant to determining the same matters in the other program. For example, we disclose information to the Railroad Retirement Board for pension and unemployment compensation programs, to the Department of Veterans Affairs for its benefit programs, to worker's compensation programs, to State general assistance programs and to other income maintenance programs at all levels of government. We also disclose for health maintenance programs like Medicaid and Medicare. (iii) The information will be used for appropriate epidemiological or similar research purposes. | ||||
| 20:20:2.0.1.1.2.3.1.12 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.155 Law enforcement purposes. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20941, Apr. 27, 2007] | (a) General. The Privacy Act allows us to disclose information for law enforcement purposes under certain conditions. Much of the information in our files is especially sensitive or very personal. Furthermore, participation in social security programs is mandatory, so people cannot limit what information is given to us. Therefore, we generally disclose information for law enforcement purposes only in limited situations. The Privacy Act allows us to disclose information if the head of the law enforcement agency makes a written request giving enough information to show that the conditions in paragraphs (b) or (c) of this section are met, what information is needed, and why it is needed. Paragraphs (b) and (c) of this section discuss the disclosures we generally make for these purposes. (b) Serious crimes. SSA may disclose information for criminal law enforcement purposes where a violent crime such as murder or kidnapping has been committed and the individual about whom the information is being sought has been indicted or convicted of that crime. (c) Criminal activity involving the social security program or another program with the same purposes. We disclose information when necessary to investigate or prosecute fraud or other criminal activity involving the social security program. We may also disclose information for investigation or prosecution of criminal activity in other income-maintenance or health-maintenance programs (e.g., other governmental pension programs, unemployment compensation, general assistance, Medicare or Medicaid) if the information concerns eligibility, benefit amounts, or other matters of benefit status in a social security program and is relevant to determining the same matters in the other program. | ||||
| 20:20:2.0.1.1.2.3.1.13 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.160 Health or safety. | SSA | The Privacy Act allows us to disclose information in compelling circumstances where an individual's health or safety is affected. For example, if we learn that someone has been exposed to an excessive amount of radiation, we may notify that person and appropriate health officials. If we learn that someone has made a threat against someone else, we may notify that other person and law enforcement officials. When we make these disclosures, the Privacy Act requires us to send a notice of the disclosure to the last known address of the person whose record was disclosed. | |||||
| 20:20:2.0.1.1.2.3.1.14 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.165 Statistical and research activities. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20941, Apr. 27, 2007] | (a) General. Statistical and research activities often do not require information in a format that identifies specific individuals. Therefore, whenever possible, we release information for statistical or research purposes only in the form of aggregates or individual data that cannot be associated with a particular individual. The Privacy Act allows us to release records if there are safeguards that the record will be used solely as a statistical or research record and the individual cannot be identified from any information in the record. (b) Safeguards for disclosure with identifiers. The Privacy Act also allows us to disclose data for statistical and research purposes in a form allowing individual identification, pursuant to published routine use, when the purpose is compatible with the purpose for which the record was collected. We will disclose personally identifiable information for statistical and research purposes if— (1) We determine that the requestor needs the information in an identifiable form for a statistical or research activity, will use the information only for that purpose, and will protect individuals from unreasonable and unwanted contacts; (2) The activity is designed to increase knowledge about present or alternative Social Security programs or other Federal or State income-maintenance or health-maintenance programs; or is used for research that is of importance to the Social Security program or the Social Security beneficiaries; or an epidemiological research project that relates to the Social Security program or beneficiaries; and (3) The recipient will keep the information as a system of statistical records, will follow appropriate safeguards, and agrees to our on-site inspection of those safeguards so we can be sure the information is used or redisclosed only for statistical or research purposes. No redisclosure of the information may be made without SSA's approval. (c) Statistical record. A statistical record is a record in a system of records which is maintained only for sta… | ||||
| 20:20:2.0.1.1.2.3.1.15 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.170 Congress. | SSA | (a) We disclose information to either House of Congress. We also disclose information to any committee or subcommittee of either House, or to any joint committee of Congress or subcommittee of that committee, if the information is on a matter within the committee's or subcommittee's jurisdiction. (b) We disclose to any member of Congress the information needed to respond to constituents' requests for information about themselves (including requests from parents of minors, or legal guardians). However, these disclosures are subject to the restrictions in §§ 401.35 through 401.60. | |||||
| 20:20:2.0.1.1.2.3.1.16 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.175 Government Accountability Office. | SSA | [72 FR 20941, Apr. 27, 2007] | We disclose information to the Government Accountability Office when that agency needs the information to carry out its duties. | ||||
| 20:20:2.0.1.1.2.3.1.17 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.180 Disclosure under court order or other legal process. | SSA | [72 FR 20941, Apr. 27, 2007] | (a) General. The Privacy Act permits us to disclose information when we are ordered to do so by a court of competent jurisdiction. When information is used in a court proceeding, it usually becomes part of the public record of the proceeding and its confidentiality often cannot be protected in that record. Much of the information that we collect and maintain in our records on individuals is especially sensitive. Therefore, we follow the rules in paragraph (d) of this section in deciding whether we may disclose information in response to an order from a court of competent jurisdiction. When we disclose pursuant to an order from a court of competent jurisdiction, and the order is a matter of public record, the Privacy Act requires us to send a notice of the disclosure to the last known address of the person whose record was disclosed. (b) Court. For purposes of this section, a court is an institution of the judicial branch of the U.S. Federal government consisting of one or more judges who seek to adjudicate disputes and administer justice. (See 404.2(c)(6) of this chapter). Entities not in the judicial branch of the Federal government are not courts for purposes of this section. (c) Court order. For purposes of this section, a court order is any legal process which satisfies all of the following conditions: (1) It is issued under the authority of a Federal court; (2) A judge or a magistrate judge of that court signs it; (3) It commands SSA to disclose information; and (4) The court is a court of competent jurisdiction. (d) Court of competent jurisdiction. It is the view of SSA that under the Privacy Act the Federal Government has not waived sovereign immunity, which precludes state court jurisdiction over a Federal agency or official. Therefore, SSA will not honor state court orders as a basis for disclosure. State court orders will be treated in accordance with the other provisions of this part. (e) Conditions for disclosure under a court order of competent jurisdiction. We disclose information … | ||||
| 20:20:2.0.1.1.2.3.1.18 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.185 Other specific recipients. | SSA | In addition to disclosures we make under the routine use provision, we also release information to— (a) The Bureau of the Census for purposes of planning or carrying out a census, survey, or related activity; and (b) The National Archives of the United States if the record has sufficient historical or other value to warrant its continued preservation by the United States Government. We also disclose a record to the Administrator of General Services for a determination of whether the record has such a value. | |||||
| 20:20:2.0.1.1.2.3.1.19 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.190 Deceased persons. | SSA | We do not consider the disclosure of information about a deceased person to be a clearly unwarranted invasion of that person's privacy. However, in disclosing information about a deceased person, we follow the principles in § 401.115 to insure that the privacy rights of a living person are not violated. | |||||
| 20:20:2.0.1.1.2.3.1.2 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.105 Disclosure of personal information without the consent of the subject of the record. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20940, Apr. 27, 2007] | (a) SSA maintains two categories of records which contain personal information: (1) Nonprogram records, primarily administrative and personnel records which contain information about SSA's activities as a government agency and employer, and (2) Program records which contain information about SSA's clients that it keeps to administer benefit programs under Federal law. (b) We apply different levels of confidentiality to disclosures of information in the categories in paragraphs (a) (1) and (2) of this section. For administrative and personnel records, the Privacy Act applies. To the extent that SSA has physical custody of personnel records maintained as part of the Office of Personnel Management's (OPM) Privacy Act government-wide systems of records, these records are subject to OPM's rules on access and disclosure at 5 CFR parts 293 and 297. For program records, we apply somewhat more strict confidentiality standards than those found in the Privacy Act. The reason for this difference in treatment is that our program records include information about a much greater number of persons than our administrative records, the information we must collect for program purposes is often very sensitive, and claimants are required by statute and regulation to provide us with the information in order to establish entitlement for benefits. | ||||
| 20:20:2.0.1.1.2.3.1.20 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.195 Situations not specified in this part. | SSA | If no other provision in this part specifically allows SSA to disclose information, the Commissioner or designee may disclose this information if not prohibited by Federal law. For example, the Commissioner or designee may disclose information necessary to respond to life threatening situations. | |||||
| 20:20:2.0.1.1.2.3.1.21 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.200 Blood donor locator service. | SSA | (a) General. We will enter into arrangements with State agencies under which we will furnish to them at their request the last known personal mailing addresses (residence or post office box) of blood donors whose blood donations show that they are or may be infected with the human immunodeficiency virus which causes acquired immune deficiency syndrome. The State agency or other authorized person, as defined in paragraph (b) of this section, will then inform the donors that they may need medical care and treatment. The safeguards that must be used by authorized persons as a condition to receiving address information from the Blood Donor Locator Service are in paragraph (g) of this section, and the requirements for a request for address information are in paragraph (d) of this section. (b) Definitions. State means the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Commonwealth of Northern Marianas, and the Trust Territory of the Pacific Islands. Authorized person means— (1) Any agency of a State (or of a political subdivision of a State) which has duties or authority under State law relating to the public health or otherwise has the duty or authority under State law to regulate blood donations; and (2) Any entity engaged in the acceptance of blood donations which is licensed or registered by the Food and Drug Administration in connection with the acceptance of such blood donations, and which provides for— (i) The confidentiality of any address information received pursuant to the rules in this part and section 1141 of the Social Security Act and related blood donor records; (ii) Blood donor notification procedures for individuals with respect to whom such information is requested and a finding has been made that they are or may be infected with the human immunodeficiency virus; and (iii) Counseling services for such individuals who have been found to have such virus. New counseling programs are not required, and an entity may use existing counseling p… | |||||
| 20:20:2.0.1.1.2.3.1.3 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.110 Disclosure of personal information in nonprogram records without the consent of the subject of the record. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20940, Apr. 27, 2007] | The disclosures listed in this section may be made from our nonprogram records, e.g., administrative and personnel records, without your consent. Such disclosures are those: (a) To officers and employees of SSA who have a need for the record in the performance of their duties. The SSA official who is responsible for the record may upon request of any officer or employee, or on his own initiative, determine what constitutes legitimate need. (b) Required to be disclosed under the Freedom of Information Act, 5 U.S.C. 552, and 20 CFR part 402. (c) For a routine use as defined in § 401.25 of this part. Routine uses will be listed in any notice of a system of records. SSA publishes notices of systems of records, including all pertinent routine uses, in the Federal Register. (d) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of Title 13 U.S.C. (e) To a recipient who has provided us with advance written assurance that the record will be used solely as a statistical research or reporting record; Provided, that, the record is transferred in a form that does not identify the subject individual. (f) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value. (g) To another government agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of such government agency or instrumentality has submitted a written request to us, specifying the record desired and the law enforcement activity for which the record is sought. (h) To an individual pursuant to a showing of compelling circumstances affecting the health or safety of any individual if … | ||||
| 20:20:2.0.1.1.2.3.1.4 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.115 Disclosure of personal information in program records without the consent of the subject of the record. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20940, Apr. 27, 2007] | This section describes how various laws control the disclosure of personal information that we keep. We disclose information in the program records only when a legitimate need exists. For example, we disclose information to officers and employees of SSA who have a need for the record in the performance of their duties. We also must consider the laws identified below in the respective order when we disclose program information: (a) Some laws require us to disclose information (§ 401.120); some laws require us to withhold information (§ 401.125). These laws control whenever they apply. (b) If no law of this type applies in a given case, then we must look to FOIA principles. See § 401.130. (c) When FOIA principles do not require disclosure, we may disclose information if both the Privacy Act and section 1106 of the Social Security Act permit the disclosure. | ||||
| 20:20:2.0.1.1.2.3.1.5 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.120 Disclosures required by law. | SSA | [62 FR 4143, Jan. 29, 1997, as amended at 72 FR 20941, Apr. 27, 2007] | We disclose information when a law specifically requires it. The Social Security Act requires us to disclose information for certain program purposes. These include disclosures to the SSA Office of Inspector General, the Federal Parent Locator Service, and to States pursuant to an arrangement regarding use of the Blood Donor Locator Service. Also, there are other laws which require that we furnish other agencies information which they need for their programs. These agencies include the Department of Veterans Affairs for its benefit programs, U.S. Citizenship and Immigration Services to carry out its duties regarding aliens, the Railroad Retirement Board for its benefit programs, and to Federal, State and local agencies administering Temporary Assistance for Needy Families, Medicaid, unemployment compensation, food stamps, and other programs. | ||||
| 20:20:2.0.1.1.2.3.1.6 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.125 Disclosures prohibited by law. | SSA | We do not disclose information when a law specifically prohibits it. The Internal Revenue Code generally prohibits us from disclosing tax return information which we receive to maintain individual earnings records. This includes, for example, amounts of wages and contributions from employers. Other laws restrict our disclosure of certain information about drug and alcohol abuse which we collect to determine eligibility for social security benefits. | |||||
| 20:20:2.0.1.1.2.3.1.7 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.130 Freedom of Information Act. | SSA | The FOIA requires us to disclose any information in our records upon request from the public, unless one of several exemptions in the FOIA applies. When the FOIA requires disclosure (see part 402 of this chapter), the Privacy Act permits it. The public does not include Federal agencies, courts, or the Congress, but does include State agencies, individuals, corporations, and most other parties. The FOIA does not apply to requests that are not from the public (e.g., from a Federal agency). However, we apply FOIA principles to requests from these other sources for disclosure of program information. | |||||
| 20:20:2.0.1.1.2.3.1.8 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.135 Other laws. | SSA | When the FOIA does not apply, we may not disclose any personal information unless both the Privacy Act and section 1106 of the Social Security Act permit the disclosure. Section 1106 of the Social Security Act requires that disclosures which may be made must be set out in statute or regulations; therefore, any disclosure permitted by this part is permitted by section 1106. | |||||
| 20:20:2.0.1.1.2.3.1.9 | 20 | Employees' Benefits | III | 401 | PART 401—PRIVACY AND DISCLOSURE OF OFFICIAL RECORDS AND INFORMATION | C | Subpart C—Disclosure of Official Records and Information | § 401.140 General principles. | SSA | When no law specifically requiring or prohibiting disclosure applies to a question of whether to disclose information, we follow FOIA principles to resolve that question. We do this to insure uniform treatment in all situations. The FOIA principle which most often applies to SSA disclosure questions is whether the disclosure would result in a “clearly unwarranted invasion of personal privacy.” To decide whether a disclosure would be a clearly unwarranted invasion of personal privacy we consider— (a) The sensitivity of the information (e.g., whether individuals would suffer harm or embarrassment as a result of the disclosure); (b) The public interest in the disclosure; (c) The rights and expectations of individuals to have their personal information kept confidential; (d) The public's interest in maintaining general standards of confidentiality of personal information; and (e) The existence of safeguards against unauthorized redisclosure or use. | |||||
| 24:24:2.1.3.5.2.1.221.1 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | A | Subpart A—General Provisions; Eligibility | § 401.1 What is the purpose of part 401? | HUD | This part contains the regulations implementing the authority in the Multifamily Assisted Housing Reform and Affordability Act of 1997 (MAHRA) for the Mark-to-Market Program. Section 511(b) of MAHRA details the purposes, and section 512(2) details the scope, of the Program. | |||||
| 24:24:2.1.3.5.2.1.221.2 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | A | Subpart A—General Provisions; Eligibility | § 401.2 What special definitions apply to this part? | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000; 71 FR 2120, Jan. 12, 2006; 72 FR 66038, Nov. 26, 2007] | (a) MAHRA means the Multifamily Assisted Housing Reform and Affordability Act of 1997, title V of Pub. L. 105-65, 42 U.S.C. 1437f note. (b) Statutory terms. Terms defined in section 512 of MAHRA are used in this part in accordance with their statutory meaning. These terms are: comparable properties, expiring contract, expiration date, fair market rent, mortgage restructuring and rental assistance sufficiency plan, nonprofit organization, qualified mortgagee, portfolio restructuring agreement, participating administrative entity, project-based assistance, renewal, State, tenant-based assistance, and unit of general local government. (c) Other terms. As used in this part, the term— Affiliate means an “affiliate of the owner” or an “affiliate of the purchaser”, as such terms are defined in section 516(a) of MAHRA. Applicable Federal rate has the meaning given in section 1274(d) of the Internal Revenue Code of 1986, 26 U.S.C. 1274(d). Community-based nonprofit organization means a nonprofit organization that maintains at least one-third of its governing board's membership for low-income tenants from the local community, or for elected representatives of community organizations that represent low-income tenants. Comparable market rents has the meaning given in § 401.410(b). Disabled family has the meaning given in § 5.403(b) of this title. Elderly family has the meaning given in § 5.403(b) of this title. Eligible project means a project that meets the requirements for eligibility for a Restructuring Plan in § 401.100. HUD means a HUD official authorized to act under the provisions of MAHRA, and otherwise has the meaning given in § 5.100 of this title. NHA means the National Housing Act, 12 U.S.C. 1702 et seq. OAHP means the Office of Affordable Housing Preservation, and any successor office. Owner means the owner of a project and any purchaser of the project. PAE means a participating administrative entity as defined in section 512(10) of MAHRA, or HUD when appropriate in accordance wi… | ||||
| 24:24:2.1.3.5.2.1.221.3 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | A | Subpart A—General Provisions; Eligibility | § 401.3 Who may waive provisions in this part? | HUD | [68 FR 3363, Jan. 23, 2003] | The Assistant Secretary for Housing-Federal Housing Commissioner may waive any provision of this part, subject to § 5.110 of this title. | ||||
| 24:24:2.1.3.5.2.1.221.4 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | A | Subpart A—General Provisions; Eligibility | § 401.99 How does an owner request a section 8 contract renewal? | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) Requesting Restructuring Plan. An owner may request a section 8 contract renewal as part of a Restructuring Plan by, at least 3 months before the expiration date of any project-based assistance, certifying to HUD that to the best of the owner's knowledge: (1) Project rents are above comparable market rents; and (2) The owner is not suspended or debarred or has been notified by HUD of any pending suspension or debarment or other enforcement action, or, if so, a voluntary sale or transfer of the property is proposed in accordance with § 401.480. (b) Eligible but not requesting Restructuring Plan. If an owner is eligible for a Restructuring Plan but requests a renewal of project-based assistance without a Plan, in accordance with the applicable requirements in § 402.6 of this chapter, HUD will consider the request in accordance with § 402.4(a)(2) of this chapter. (c) Not eligible for Restructuring Plan. Section 402.5 of this chapter addresses renewal of project-based assistance for a Restructuring Plan. An owner of such a project may also request renewal under § 402.4 of this chapter. | ||||
| 24:24:2.1.3.5.2.1.221.5 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | A | Subpart A—General Provisions; Eligibility | § 401.100 Which projects are eligible for a Restructuring Plan under this part? | HUD | [71 FR 2121, Jan. 12, 2006] | (a) What are the requirements for eligibility? To be eligible for a Restructuring Plan under this part, a project must: (1) Have a mortgage insured or held by HUD; (2) Be covered in whole or in part by a contract for project-based assistance under— (i) The new construction or substantial rehabilitation program under section 8(b)(2) of the U.S. Housing Act of 1937 as in effect before October 1, 1983; (ii) The property disposition program under section 8(b) of the U.S. Housing Act of 1937; (iii) The moderate rehabilitation program under section 8(e)(2) of the United States Housing Act of 1937; (iv) The loan management assistance program under section 8 of the United States Housing Act of 1937; (v) Section 23 of the United States Housing Act of 1937 as in effect before January 1, 1975; (vi) The rent supplement program under section 101 of the Housing and Urban Development Act of 1965; (vii) Section 8 of the United States Housing Act of 1937, following conversion from assistance under Section 101 of the Housing and Urban Development Act of 1965; or (viii) Section 8 of the U.S. Housing Act of 1937 as renewed under section 524 of MAHRA; (3) Have current gross potential rent for the project-based assisted units that exceeds the gross potential rent for the project-based assisted units using comparable market rents; (4) Have a first mortgage that has not previously been restructured under this part or under HUD's Portfolio Reengineering demonstration authority as defined in § 402.2(c) of this chapter; (5) Not be a project that is described in section 514(h) of MAHRA; and (6) Otherwise meet the definition of “eligible multifamily housing project” in section 512(2) of MAHRA or meet the following three criteria: (i) The project is assisted pursuant to a contract for Section 8 assistance renewed under section 524 of MAHRA; (ii) It has an owner that consents for the project to be treated as eligible; and (iii) At the time of its initial renewal under section 524, it met the requirements of section 512(2)(A)… | ||||
| 24:24:2.1.3.5.2.1.221.6 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | A | Subpart A—General Provisions; Eligibility | § 401.101 Which owners are ineligible to request Restructuring Plans? | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66038, Nov. 26, 2007; 72 FR 73496, Dec. 27, 2007] | (a) Mandatory rejection. The request of an owner of an eligible project will not be considered for a Restructuring Plan if the owner is debarred or suspended under 2 CFR part 2424. (b) Discretion to reject. HUD may also decide not to accept a request for a Restructuring Plan if: (1) An affiliate is debarred or suspended under 2 CFR part 2424; or (2) HUD notifies the owner that HUD is engaged in a pending suspension, debarment or other enforcement action against an owner or affiliate, and the grounds for the pending action are included in § 401.403(b)(2)(ii). (c) Exception for sale. This section does not apply if a sale or transfer of the property is proposed in accordance with § 401.480. (d) Notice to tenants. The PAE or HUD will give notice to tenants of a rejection in accordance with §§ 401.500(f)(2), 401.501, and 401.502. | ||||
| 24:24:2.1.3.5.2.2.221.1 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.200 Who may be a PAE? | HUD | A PAE must qualify under the definition in section 512(10) of MAHRA. It must not have any outstanding violations of civil rights laws, determined in accordance with criteria in use by HUD. If the PAE is a private entity, whether nonprofit or for-profit, it must enter into a partnership with a public purpose entity, which may include HUD. A PAE may delegate responsibilities only as agreed in the PRA. | |||||
| 24:24:2.1.3.5.2.2.221.10 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.311 Standards of conduct. | HUD | (a) Minimum ethical standards for PAEs. In connection with the performance of any PRA and during the term of such PRA, a PAE or other restricted person (as defined in § 401.310) may not: (1) Solicit for itself or others favors, gifts, or other items of monetary value from any person who is seeking official action from HUD or the PAE in connection with the PRA or has interests that may be substantially affected by the restricted person's performance or nonperformance of duties to HUD; (2) Use improperly (or allow the improper use of) HUD property or property over which the restricted person has supervision or charge by reason of the PRA; (3) Use its status as PAE for its own benefit, or the financial or business benefit of a third party, except as contemplated by the PRA; or (4) Make any unauthorized promise or commitment on behalf of HUD. (b) 18 U.S.C. 201. Pursuant to 18 U.S.C. 201, whoever acts for or on behalf of HUD in connection with the matters covered by this part is deemed to be a public official. Public officials are prohibited from soliciting or accepting anything of value in return for being influenced in the performance of official actions. Violators are subject to criminal sanctions. (c) 18 U.S.C. 1001. Pursuant to 18 U.S.C. 1001, whoever knowingly and willingly falsifies a material fact, makes a false statement or utilizes a false writing in connection with a PRA is subject to criminal sanctions. Other Federal civil statutes also apply to making false statements to the United States. (d) 18 U.S.C. 207. Former Federal Government employees are subject to the prohibitions in 18 U.S.C. 207. | |||||
| 24:24:2.1.3.5.2.2.221.11 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.312 Confidentiality of information. | HUD | A PAE and every other restricted person (as defined in § 401.310) has a duty to protect confidential information, except as provided in §§ 401.500 through 401.503, and to prevent its use to further a private interest other than as contemplated by the PRA. As used in this section, confidential information means information that a PAE or other restricted person obtains from or on behalf of HUD or a third party in connection with a PRA but does not include information generally available to the public unless the information becomes available to the public as a result of unauthorized disclosure by the PAE or another restricted person. | |||||
| 24:24:2.1.3.5.2.2.221.12 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.313 Consequences of PAE violations; finality of HUD determination. | HUD | (a) Effect on PRA. If a PAE, potential PAE or other restricted person (as defined in § 401.310) violates §§ 401.310, 410.311, or 401.312, HUD may: (1) Find the potential PAE unqualified to enter into a PRA; (2) Find the PAE unqualified to receive additional projects for restructuring under an existing PRA; (3) Find the PAE in default under an existing PRA with the right of termination for cause under § 401.309; or (4) Seek from a PAE or other restricted person HUD's actual, direct, and consequential damages resulting from the violation. (b) Cumulative remedies. The remedies under this section are cumulative and in addition to any other remedies or rights HUD may have under the terms of the PRA, at law, or otherwise. (c) Finality of determination. Any determination made by HUD pursuant to this section is at HUD's sole discretion and is not subject to further administrative review. | |||||
| 24:24:2.1.3.5.2.2.221.13 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.314 Environmental review responsibilities. | HUD | HUD will retain all responsibility for environmental review under part 50 of this title. Compliance with part 50 of this title will be completed before any HUD approval of the Restructuring Commitment under § 401.405. | |||||
| 24:24:2.1.3.5.2.2.221.2 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.201 How does HUD select PAEs? | HUD | (a) Selection of PAE. HUD will select qualified PAEs in accordance with the criteria established in 513(b) of MAHRA and criteria established by HUD. The selection method is within HUD's discretion, including but not limited to a request for qualifications. (b) Priority for public agencies. HUD will provide a one-time priority period for State housing finance agencies and local housing agencies to qualify as the PAEs for their jurisdictions. If more than one agency qualifies for the same jurisdiction, HUD will provide an opportunity for the agencies to allocate responsibility for projects in the jurisdiction. If the agencies are unable to agree, HUD will choose a PAE in accordance with section 513(b)(2) of MAHRA. (c) Qualification for PAE by nonprofit and for-profit entities. After the priority period expires, HUD will consider other eligible entities as PAEs for jurisdictions in which no public agency has qualified as the PAE, or for projects that have not been assigned to a qualified public agency. (d) No PAE for project. If HUD does not select a PAE for a project, HUD may perform the functions of the PAE, or contract with other qualified entities to perform those functions. | |||||
| 24:24:2.1.3.5.2.2.221.3 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.300 What is a PRA? | HUD | A PRA is an agreement between HUD and a PAE that delineates rights and responsibilities in connection with development and implementation of a Restructuring Plan. The PRA must contain or incorporate by reference the matters required by section 513(a)(2) of MAHRA and §§ 401.301 through 401.314, as well as other terms and conditions required by HUD. | |||||
| 24:24:2.1.3.5.2.2.221.4 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.301 Partnership arrangements. | HUD | If the PAE is in a partnership, the PRA must specify the following: (a) The responsibilities of each partner regarding the Restructuring Plan; (b) The resources each partner will provide to accomplish its designated responsibilities; and (c) All compensation to each partner, whether direct or indirect. | |||||
| 24:24:2.1.3.5.2.2.221.5 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.302 PRA administrative requirements. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 80 FR 75936, Dec. 7, 2015] | (a) Inapplicability of certain requirements. Part 200 of 2 CFR and contract procurement requirements do not apply to a PRA. (b) Recordkeeping. The PAE must keep complete and accurate records of all activities related to the PAE's performance under the PRA. The PAE must retain the records for at least 3 years after the PRA terminates. (c) Inspection of records and audit. Upon reasonable notice, the PAE must permit the Comptroller General of the United States and HUD (including representatives of the HUD Office of Inspector General) to inspect, audit, and copy any records required to be retained under this section. | ||||
| 24:24:2.1.3.5.2.2.221.6 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.303 PRA indemnity provisions for SHFAs and HAs. | HUD | When a PRA requires HUD to indemnify a PAE in accordance with section 513(a)(2)(G) of MAHRA, any payment under this indemnity is contingent upon the availability of funds that are permitted by law to be used for this purpose. | |||||
| 24:24:2.1.3.5.2.2.221.7 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.304 PRA provisions on PAE compensation. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66038, Nov. 26, 2007] | (a) Base fee. (1) The PRA will provide for base fees to be paid by HUD. (2) HUD will establish a substantially uniform baseline for base fees for public entities. The base fee for a PAE will be adjusted, if necessary, after the first term of the PRA. (3) Private PAEs will be compensated based on the results of a competitive bid process which evaluates bidders' capability, timeliness, ability to work with tenant and community groups, and cost. (b) Incentives. The PRA may provide for incentives to be paid by HUD. While individual components may vary between PAEs (both public and private), the total amount potentially payable under the incentive package will be uniform. Objectives may include maximizing savings to the Federal Government, timely performance, tenant satisfaction with the PAE's performance, the infusion of public funds from non-HUD sources, and other benchmarks that HUD considers appropriate. (c) Expenses. The PRA will identify expenses incurred by the PAE that will qualify for reimbursement by HUD. Limits on these expenses will be established annually by HUD, but HUD may waive the limits for high-cost areas. (d) Other matters. HUD will retain the right of final approval of any fee schedule. HUD will publish the standard form of PRA and the compensation package annually on its Internet Web site. | ||||
| 24:24:2.1.3.5.2.2.221.8 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.309 PRA term and termination provisions; other provisions. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66038, Nov. 26, 2007] | (a) 1-year term with renewals. The PRA will have a term of 1 year, to be renewed for successive terms of 1 year with the mutual agreement of both parties. The PRA will provide for HUD to pay final compensation to the PAE and to assign responsibility for continuing activities if the PRA is not renewed. (b) Termination for cause or convenience of Federal Government —(1) Termination for cause. HUD may terminate a PRA at any time for cause, with payment required by HUD as provided in the PRA only for matters authorized by the PRA and performed by the PAE to the date of termination. HUD will retain the right of set-off against any payments due as well as such other rights afforded at law and in equity. (2) Termination for convenience of Federal Government. HUD may terminate a PRA, and may remove an eligible property from a PRA, at any time in accordance with the PRA or applicable law, regardless of whether the PAE is in default of any of its obligations under the PRA, if such termination is in the best interests of the Federal Government. The PRA will provide for payment to the PAE of a specified percentage of the base fee authorized by § 401.304(a) and amounts for reimbursement of third-party vendors to the PAE authorized by § 401.304(c). (3) Transfer to another PAE; temporary waiver of rights. If a PRA is terminated: (i) HUD may order an immediate transfer of some or all of the PAE's duties to another PAE designated by HUD; and (ii) HUD may temporarily waive its right of immediate termination in order to allow an orderly transfer of duties and responsibilities under a PRA, without waiving the right of termination after the transfer has been completed to HUD's satisfaction. (c) Liability for damages. During the term of a PRA, and notwithstanding any termination of a PRA, HUD may seek its actual, direct, and consequential damages from any PAE for failure to comply with its obligations under PRA. (d) Cumulative remedies. The remedies under this section are cumulative and in addition to any other rem… | ||||
| 24:24:2.1.3.5.2.2.221.9 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | B | Subpart B—Participating Administrative Entity (PAE) and Portfolio Restructuring Agreement (PRA) | § 401.310 Conflicts of interest. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) Definitions. (1) Conflict of interest means a situation in which a PAE or other restricted person: (i) Has a financial interest, direct or indirect, that prevents or may prevent the PAE or other restricted person from acting at all times in the best interests of HUD; (ii) Has one or more personal, business, or financial interests or relationships that would cause a reasonable person with knowledge of the relevant facts to question the integrity or impartiality of those who are or will be acting under the PRA; or (iii) Is taking an adverse position to HUD or to an owner whose project is covered by a PRA in a lawsuit, administrative proceeding, or other contested matter. (2) Control means the power to vote, directly or indirectly, 25 percent or more of any class of the voting stock of a company; the ability to direct in any manner the election of a majority of a company (or other entity's) directors or trustees; or the ability to exercise a controlling influence over the company or entity's management and policies. For purposes of this definition, a general partner of a limited partnership is presumed to be in control of that partnership. (3) Restricted person means a PAE; any management official of the PAE; any legal entity that is under the control of the PAE, is in control of the PAE, or is under common control with the PAE; or any employee, agent or contractor of the PAE, or employee of such agent or contractor, who will perform or has performed services under a PRA with HUD. (b) General prohibitions. (1) The PAE may not permit conflicts of interest to exist without obtaining a waiver in accordance with this section. (2) The PAE must establish procedures to identify conflicts of interest and to ensure that conflicts of interest do not arise or continue, subject to waiver under paragraph (c) of this section. (3) HUD will not enter into PRAs with potential PAEs who have conflicts of interest associated with a particular project, or permit PAEs to continue performance under existing PRAs when… | ||||
| 24:24:2.1.3.5.2.3.221.1 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.400 Required elements of a Restructuring Plan. | HUD | (a) General. A PAE is responsible for the development of a Restructuring Plan for each project included in its PRA. (b) Required elements. The Restructuring Plan must contain a narrative that fully describes the restructuring transaction. The Restructuring Plan must include the elements required by section 514(e) of MAHRA. The Restructuring Plan must describe the use of any restructuring tools listed at sections 517(a) and (b) of MAHRA, and must contain other requirements as determined by HUD. | |||||
| 24:24:2.1.3.5.2.3.221.10 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.410 Standards for determining comparable market rents. | HUD | (a) When are comparable market rents required? The Restructuring Plan must establish restructured rents for project-based assistance at comparable market rents unless the PAE finds that exception rents are necessary under § 401.411. (b) Comparable market rents defined. Comparable market rents are the rents charged for properties that the PAE determines to be comparable properties (as defined in section 512(1) of MAHRA, but also excluding section 202 or section 811 projects assisted under part 891 of this title). For purposes of section 512(1), other relevant characteristics include any applicable rent control and other characteristics determined by the PAE. The PAE may make appropriate adjustments when needed to ensure comparability of properties. (c) Methodology for determining comparable market rents. If the PAE is unable to identify at least three comparable properties within the local market, the PAE may: (1) Use non-comparable housing stock within that market from which adjustments can be made; or (2) If necessary to go outside the market, use comparable properties as far outside the local market as it finds reasonable, from which adjustments can be made. (d) Using FMR as last resort. If the PAE is unable to identify enough properties under paragraph (c) of this section, comparable market rents must be set at 90 percent of the Fair Market Rents for the relevant market area. | |||||
| 24:24:2.1.3.5.2.3.221.11 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.411 Guidelines for determining exception rents. | HUD | (a) When do exception rents apply? (1) The Restructuring Plan may provide for exception rents established under section 514(g)(2) of MAHRA for project-based assistance if the PAE determines that project income under the rent levels established under § 401.410 would be inadequate to meet the costs of operating the project as described in paragraph (b) of this section and that the housing needs of the tenants and the community could not be adequately addressed. (2) In any fiscal year, the PAE may not request HUD to approve Restructuring Plans with exception rents for more than 20 percent of all units covered by the PRA, except that HUD may approve a waiver of this 20 percent limitation based on the PAE's narrative explanation of special need. (b) How are exception rents calculated? (1) Exception rents must be set at a level sufficient to support the costs of operating the project. The PAE must take into account the following cost items: (i) Debt service on the second mortgage under § 401.461(a) or a rehabilitation loan included in the Restructuring Plan; (ii) The operating expenses of the project, as determined by the PAE, including: (A) Contributions to adequate reserves for replacement; (B) The costs of maintenance and necessary rehabilitation; (C) Other eligible costs permitted under the section 8 program; (iii) An adequate allowance for potential operating losses due to vacancies and failure to collect rents, as determined by the PAE; (iv) A return to the owner to the extent permitted by § 401.461(b)(3)(ii)(A); and (v) Other expenses determined by the PAE to be necessary for the operation of the project. (2) The exception rent must not exceed 120 percent of the Fair Market Rent for the market area, except that HUD may approve an exception rent greater than 120 percent of Fair Market Rent, based on a narrative explanation of special need submitted by the PAE, subject to the 5 percent limitation in section 514(g)(2)(A) of MAHRA. | |||||
| 24:24:2.1.3.5.2.3.221.12 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.412 Adjustment of rents based on operating cost adjustment factor (OCAF) or budget. | HUD | [89 FR 14590, Feb. 28, 2024] | (a) OCAF. (1) The Restructuring Plan must provide for annual adjustment of the restructured rents for project-based assistance by an OCAF determined by HUD. (2) Application of OCAF. HUD will apply the OCAF to the previous year's contract rent less the portion of that rent paid for debt service. This paragraph applies to renewals of contracts that receive restructured rents under either section 514(g)(1) or (2) of MAHRA. (b) Budget-based. Rents will be adjusted to the lesser of budget-based rents or the comparable market rents for the market area instead of OCAF not more often than once every ten years upon request of an owner or purchaser who (1) Demonstrates that: (i) Project income is insufficient to operate and maintain the project, and no rehabilitation is currently needed, as determined by the Secretary; or (ii) The rent adjustment or renewal contract is necessary to support commercially reasonable financing (including any required debt service coverage and replacement reserve) for rehabilitation necessary to ensure the long-term sustainability of the project, as determined by the Secretary, and in the event the owner or purchaser fails to implement the rehabilitation as required by the Secretary, the Secretary may take such action against the owner or purchaser as allowed by law; and (2) Agrees to: (i) Extend the affordability and use restrictions required under 514(e)(6) for an additional twenty years; and (ii) Enter into a binding commitment to continue to renew such contract for and during such extended term, provided that after the affordability and use restrictions required under 514(e)(6) have been maintained for a term of 30 years: (A) An owner with a contract for which rent levels were set at the time of its initial renewal under section 514(g)(2) shall request that the Secretary renew such contract under section 524 for and during such extended term; and (B) An owner with a contract for which rent levels were set at the time of its initial renewal under section 514(g)(1) may request… | ||||
| 24:24:2.1.3.5.2.3.221.13 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.420 When must the Restructuring Plan require project-based assistance? | HUD | The Restructuring Plan must provide for the section 8 contract to be renewed as project-based assistance, subject to the availability of funds for this purpose, if: (a) The PAE determines there is a market-wide vacancy rate of 6 percent or less; (b) At least 50 percent of the units in the project are occupied by elderly families, disabled families, or elderly and disabled families; or (c) The project is held by a nonprofit cooperative ownership housing corporation or nonprofit cooperative housing trust. | |||||
| 24:24:2.1.3.5.2.3.221.14 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.421 Rental Assistance Assessment Plan. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) Plan required. For any project not subject to mandatory project-based assistance under § 401.420, the PAE must develop a Rental Assistance Assessment Plan in accordance with section 515(c)(2) of MAHRA to determine whether assistance should be renewed as project-based assistance or whether some or all of the assisted units should be converted to tenant-based assistance. (b) Matters to be assessed. The PAE must include an assessment of the impact of converting to tenant-based assistance and the impact of renewing project-based assistance on: (1) The ability of the tenants to find adequate, available, decent, comparable, and affordable housing in the local market; (2) The types of tenants residing in the project (such as elderly families, disabled families, large families, and cooperative homeowners); (3) The local housing needs identified in the applicable Consolidated Plan developed under part 91 of this title; (4) The cost of providing assistance, comparing the applicable payment standard to the rent levels permitted by §§ 401.410 and 401.411; (5) The long-term financial stability of the project; (6) The ability of residents to make reasonable choices about their individual living situations; (7) The quality of the neighborhood in which the tenants would reside; and (8) The project's ability to compete in the marketplace. (c) Conversion may be phased in. Any conversion from project-based assistance to tenant-based assistance may occur over a period of not more than 5 years if the PAE decides the transition period is needed for the financial viability of the project. (d) Reports to HUD. The PAE must report to HUD on the matters specified in section 515(c)(2)(C) of MAHRA at least semi-annually. | ||||
| 24:24:2.1.3.5.2.3.221.15 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.450 Owner evaluation of physical condition. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) Initial evaluation. The owner must evaluate the physical condition of the project and provide the following information to the PAE in a form acceptable to the PAE: (1) All work items required to bring the project to the standard in § 401.452, including any work items needed to ensure compliance with applicable requirements of part 8 of this title concerning accessibility to persons with disabilities; (2) The capital repair or replacement items that will be necessary to maintain the long-term physical integrity of the property; (3) A plan for funding the rehabilitation work included in paragraph (a)(1) of this section, which work must be completed in a timely manner after closing the restructuring transaction, that identifies the source of the required owner contribution of non-project funds; and (4) An estimate of the initial deposit, if any, and the estimated monthly deposit to the reserve for replacement account for the next 20 years. (b) Use of CNA. An owner may comply with paragraph (a) of this section by submitting a comprehensive needs assessment in accordance with title IV of the Housing and Community Development Act of 1992 (12 U.S.C. 1715z-1a note) if the CNA: (1) Was completed or updated within 1 year; and (2) Contains all of the matters required by paragraph (a) of this section. (c) Reconsideration and modification of evaluation. If the PAE, after its independent review under § 401.451, determines that the owner's evaluation either fails to address specific necessary work items or fails to propose a cost-effective approach to rehabilitation, the owner may modify its evaluation to satisfy the concerns of the PAE. | ||||
| 24:24:2.1.3.5.2.3.221.16 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.451 PAE Physical Condition Analysis (PCA). | HUD | (a) Review and certification of owner evaluation. (1) The PAE must independently evaluate the physical condition of the project by means of a PCA. If the PAE finds any immediate threats to health and safety, the owner must complete those work items immediately, or the PAE must evaluate the project's eligibility in accordance with § 401.403(b)(2)(iii). (2) After consultation with the owner and an opportunity for the owner to modify its evaluation performed under § 401.450, the PAE must either certify to the accuracy and completeness of the owner's evaluation performed under § 401.450 for each project covered by the PRA, or state that the evaluation fails to address certain items or does not propose a cost effective approach. (b) Rejection due to inaccurate or incomplete owner evaluation. If the PAE cannot certify to the accuracy and completeness of the owner's evaluation due to its failure to address specific work items or because it does not propose a cost effective approach, the PAE must notify HUD. If HUD agrees with the PAE's determination, the PAE must notify the owner that the request for a Restructuring Plan is rejected. (c) Rejection due to poor condition of the project. Based on the completed PCA, the PAE must determine whether proceeding with a Restructuring Plan with necessary rehabilitation is more cost-effective in terms of Federal resources than rejecting the Request for a Restructuring Plan under § 401.403(b)(2)(iii) and providing tenant-based assistance for displaced tenants under § 401.602. HUD will provide guidance to PAEs for making the determination. If the PAE concludes that a request for a Restructuring Plan should be rejected because of lack of cost-effectiveness due to poor condition of the project, it must also consider the effect on tenants and the community and advise HUD of the effect. HUD will make the final decision after considering the PAE's recommendation. (d) Dispute and appeal of rejection. The dispute and appeal provisions of subpart F of this part apply to rejection… | |||||
| 24:24:2.1.3.5.2.3.221.17 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.452 Property standards for rehabilitation. | HUD | [72 FR 66038, Nov. 26, 2007] | The restructuring plan must provide for the level of rehabilitation needed to restore the property to the non-luxury standard adequate for the rental market for which the project was originally approved. If the standard has changed over time, the rehabilitation may include improvements to meet the current standards. The rehabilitation also may include the addition of significant features, in accordance with § 401.472. The result of the rehabilitation should be a project that can attract non-subsidized tenants, but competes on rent rather than on amenities. When a range of options exists for satisfying the rehabilitation standard, the PAE must choose the least costly option considering both capital and operating costs and taking into account the marketability of the property and the remaining useful life of all building systems. Nothing in this part exempts rehabilitation from the requirements of part 8 of this title concerning accessibility to persons with disabilities. | ||||
| 24:24:2.1.3.5.2.3.221.18 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.453 Reserves. | HUD | The Restructuring Plan must provide for reserves for capital replacement sufficient to ensure the property's long-term structural integrity so that the property can be maintained as affordable housing in decent, safe, and sanitary condition meeting the standards of § 401.558. | |||||
| 24:24:2.1.3.5.2.3.221.19 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.460 Modification or refinancing of first mortgage. | HUD | (a) Principal amount. As part of the Restructuring Plan, the PAE will determine the size of the restructured first mortgage that will result from the modification or refinancing of the existing FHA-insured or HUD-held first mortgage. The restructured first mortgage must be in the amount that can be supported by net operating income based on the lower of the restructured section 8 rents or the rents allowed by the Use Agreement under § 401.408. Neither the outstanding principal balance of the existing first mortgage, nor the monthly principal and interest payments on that debt, may be increased through modification under the Restructuring Plan. The debt service coverage used by the PAE must be adequate for purposes of the Restructuring Plan and for the requirements of any refinancing. (b) Fully amortizing. The modified or refinanced first mortgage must be fully amortizing through level monthly payments. (c) Rates and other terms. Interest rates and other terms of the modified or refinanced first mortgage must be competitive in the market. (d) Fees. Any fees or costs associated with mortgage modification or refinancing determined by the PAE to be above normal processing fees must be paid by the owner from non-project funds and must not be included in the modified or refinanced first mortgage. (e) Refinancing. (1) The owner must contact the mortgagee to determine the mortgagee's willingness to consider a modification and re-amortization of the existing first mortgage through a Restructuring Plan before considering any other source of first mortgage financing. If the mortgagee does not agree to modify and re-amortize in accordance with the Restructuring Plan, the loan must be refinanced. (2) The refinancing may be either without credit enhancement or with credit enhancement under one of the following: (i) FHA mortgage insurance. If the Restructuring Plan provides for FHA mortgage insurance for the refinanced first mortgage, the insurance will be provided in accordance with all usually applicable FHA… | |||||
| 24:24:2.1.3.5.2.3.221.2 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.401 Consolidated Restructuring Plans. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66038, Nov. 26, 2007] | A PAE may request HUD to approve a Consolidated Restructuring Plan that presents an overall strategy for more than one project included in the PRA. HUD will consider approval of a Consolidated Restructuring Plan for projects having common ownership, geographic proximity, common mortgagee or servicer, or other factors that contribute to more efficient use of the PAE's resources. Notwithstanding the more efficient use of a PAE's resources, HUD will not approve any Consolidated Restructuring Plans that have a detrimental effect on tenants or the community, or a higher cost to the Federal Government. HUD's decision to approve or disapprove a Consolidated Restructuring Plan will be made on a case-by-case basis. | ||||
| 24:24:2.1.3.5.2.3.221.20 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.461 HUD-held second mortgage. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66038, Nov. 26, 2007] | (a) Amount. (1) The Restructuring Plan must provide for a second mortgage to HUD whenever the Plan provides for either payment of a claim under section 541(b) of the National Housing Act (541(b) claim) or the modification or refinancing of a HUD-held first mortgage that results in a first mortgage with a lower principal amount. The term “second mortgage” in this section also includes a new HUD-held first mortgage (not a refinancing mortgage), if a full payment of claim is made under § 401.471 or if a full payment of claim is unnecessary because surplus project accounts are available to facilitate the Restructuring Plan, pursuant to section 517(b)(6) of MAHRA, or if § 401.460(a) does not permit a restructured first mortgage in any amount. (2) The second mortgage must be in a principal amount that does not exceed the lesser of: (i) The amount the PAE reasonably expects to be repaid based on objective criteria such as the amount of anticipated net cash flow, trending assumptions, amortization provisions, and expected residual value of the property; and (ii) The greater of: (A) The section 541(b) claim (or the difference between the unpaid principal balance on HUD-held mortgage debt immediately before and after the restructuring), plus surplus project accounts from residual receipts accumulated pursuant to 24 CFR 880.205(e), 881.205(e), or 883.306(e) and derived from an expiring Section 8 Housing Assistance Payments contract and not otherwise distributed to the owner and made available to facilitate the Restructuring Plan pursuant to section 517(b)(6) of MAHRA, and (B) The difference between the unpaid balance on the first mortgage immediately before and after the restructuring. (b) Terms and conditions. (1) The second mortgage must have an interest rate of at least one percent, but not more than the applicable Federal rate. (2) The second mortgage must have a term concurrent with the modified or refinanced first mortgage, if any. HUD may provide that if there is no first mortgage, the second mortgage may … | ||||
| 24:24:2.1.3.5.2.3.221.21 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.471 HUD payment of a section 541(b) claim. | HUD | HUD will pay a section 541(b) claim from the appropriate insurance fund to the insured mortgagee on behalf of the mortgagor. The mortgagee must use the claim payment to prepay the principal balance of the insured mortgage, in whole or in part, as provided in the Restructuring Plan. All section 541(b) claims will be paid in cash. Part 207 of this title and sections 207(g) and 541(a) of the NA do not apply to a section 541(b) claim. | |||||
| 24:24:2.1.3.5.2.3.221.22 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.472 Rehabilitation funding. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66039, Nov. 26, 2007] | (a) Sources of funds —(1) Project accounts. The Restructuring Plan for funding rehabilitation must include funds from the project's residual receipts account, surplus cash account, replacement reserve account, and other project accounts, to the extent the PAE determines that those accounts will not be needed for the initial deposit to the reserves. (2) Debt restructuring. The Restructuring Plan may provide for funding of rehabilitation through a new first mortgage in conjunction with a payment of a section 541(b) claim. The payment of claim may be in an amount necessary to facilitate the funding of the rehabilitation, by reducing the existing first mortgage debt to make refinancing proceeds available to fund rehabilitation. (3) Section 236(s) rehabilitation grant. The Restructuring Plan may include a direct grant from HUD under section 236(s) of the NA made in accordance with § 401.473, to the extent that HUD has determined that funding is available for such a grant. (4) Section 8 budget authority increase. The Restructuring Plan may include funding of rehabilitation from budget authority provided to HUD for increases in section 8 contracts, to the extent that HUD has determined that funding from this source is available. (b) Statutory restrictions. Any rehabilitation funded from the sources described in paragraph (a) of this section is subject to the requirements in section 517(c) of MAHRA for an owner contribution. (1) Addition of significant features. With respect to significant added features, the required owner contribution will be as proposed by the PAE and approved by HUD, and not to exceed 20 percent of the total cost. Significant added features include the addition of air conditioning (including conversions from window air conditioning to central air conditioning), an elevator, or additional community space. (2) Cap on owner contribution. If a restructuring plan includes additions other than those specified, and the PAE considers the additions significant, the PAE may propose to make… | ||||
| 24:24:2.1.3.5.2.3.221.23 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.473 HUD grants for rehabilitation under section 236(s) of NA. | HUD | HUD will consider a direct grant for rehabilitation under section 236(s) of the NA only if the owner provides an acceptable work schedule and cost-analysis that is consistent with the owner's evaluation of physical condition under § 401.450, as certified by the PAE. The owner must execute a grant agreement with terms and conditions acceptable to HUD. If the PAE is a State or local government, or an agency or instrumentality of such a government, the PAE and HUD may agree that the PAE will be delegated the responsibility for the administration of any grant made under this section. HUD may make grant funding available for the cost of administration if HUD has determined that such funding is available. | |||||
| 24:24:2.1.3.5.2.3.221.24 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.474 Project accounts. | HUD | (a) Accounts from other projects. The accounts listed in § 401.472(a)(1) may be used for other eligible projects only if: (1) The projects are included in a Consolidated Restructuring Plan under § 401.401; and (2) The funds are used for rehabilitation or to reduce a section 541(b) claim paid by HUD under § 401.471. (b) Distribution to owner. The Restructuring Plan may provide for a one-time distribution to the owner, not to exceed 10 percent of the excess funds in project accounts, to be released after completion of the rehabilitation required by the Restructuring Plan. | |||||
| 24:24:2.1.3.5.2.3.221.25 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.480 Sale or transfer of project. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66039, Nov. 26, 2007] | (a) May the owner request a Restructuring Plan that includes a sale or transfer of the property? The owner may request a Restructuring Plan that includes a condition that the property be sold or transferred to a purchaser acceptable to HUD in a reasonable period needed to consummate the transaction. The failure to consummate a sale or transfer of the property requested under paragraph (a) of this section will neither adversely affect an owner's eligibility for a Restructuring Plan nor exempt the owner from the requirements of § 401.600. There are no priority purchaser requirements for a voluntary sale or transfer by an owner that is eligible for a Restructuring Plan. (b) When must the restructuring plan include sale or transfer of the property? If the owner is determined to be ineligible pursuant to § 401.101 or § 401.403, or if the property is subject to an approved plan of action under the Emergency Low Income Housing Preservation Act of 1987 or the Low Income Housing Preservation and Resident Homeownership Act of 1990, as described in section 524(e)(3) of MAHRA, the property must be sold or transferred as a condition of implementation of a restructuring plan, which must include a condition that the owner sell or transfer the property to a purchaser acceptable to HUD, in accordance with paragraph (c) of this section. Such sale or transfer shall be a condition to the implementation of the Restructuring Plan. (c) Owner's notice of intent to sell or transfer. (1) The owner must provide notice to the PAE affirming the owner's intent to sell or transfer the property. This notice must be received by the PAE no later than 30 days after a notice of rejection under § 401.101 or § 401.403 has become a final determination under subpart F of this part. (2) The owner must cooperate in selling or transferring the property. Failure to do so will result in the PAE's determination to reject the owner's request for a Restructuring Plan. The owner must distribute and publish, in an appropriate publication, a notice to po… | ||||
| 24:24:2.1.3.5.2.3.221.26 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.481 Subsidy layering limitations on HUD funds. | HUD | (a) PAE subsidy layering certification required for Restructuring Plan. The PAE must certify to HUD that any Restructuring Plan for which it submits a proposed Restructuring Commitment meets the requirements of either paragraph (d) or (e) of this section. (b) Purpose of subsidy layering certification. The purpose of the subsidy layering certification is to ensure that any HUD assistance provided to the owner of a project pursuant to a Restructuring Plan is no more than is necessary to permit the project to continue to house tenants with an income mix comparable to the income mix of the project before the Restructuring Plan is implemented, after taking into account other Government assistance described in section 102(b)(1) of the Department of Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3545(b)(1)). This section does not limit a PAE from presenting for approval a Restructuring Plan that includes project reconfiguration ( e.g., conversion of efficiency units to one-bedroom units) where necessary to meet the needs of the community, provided the conditions of § 401.452 are also met. (c) Relationship to section 102(d) of HUD Reform Act. HUD is not required to perform a separate subsidy layering analysis under section 102(d) of the Department of Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3545(d)), section 911 of the Housing and Community Development Act of 1992 (42 U.S.C. 3545 note), or § 4.13 of this title for any HUD assistance that is included in the Restructuring Plan. HUD will adopt the PAE certification under this section if a HUD certification otherwise would be required under section 102(d). (d) Certification under existing HUD guidelines. If the PAE has delegated authority from HUD to make section 102(d) subsidy layering certifications in accordance with section 911 of the Housing and Community Development Act of 1992, the PAE may comply with this section by using a procedure substantially similar to the procedure described in the Administrative Guidelines published… | |||||
| 24:24:2.1.3.5.2.3.221.27 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.500 Required notices to third parties and meeting with third parties. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 66040, Nov. 26, 2007] | (a) General. The PAE must solicit, and document the consideration of, tenant and local community comments. As a minimum, the notices described in paragraphs (b), (c) and (f) of this section, in form and substance acceptable to HUD, must be provided. The PAE may require the owner to give the notices if permitted by HUD. (b) Notice of intent to restructure and consultation meeting. (1) This notice must include at a minimum: (i) The project, including its name and FHA Project Number; (ii) The responsible PAE and contact person, including the address and telephone number; (iii) The owner's notice of intent to restructure through the Mark-to-Market Program; and (iv) The date of expiration of the project-based assistance. (2) This notice must state how comments may be provided to the PAE regarding any of the following: the physical condition of the property, whether the rental assistance should be tenant-based or project-based, any proposed sale or transfer of the property, and other matters regarding the property and its management. The notice must establish the date, time, and place for a public meeting to be held no sooner than 20 days and no later than 40 days following the date of this notice. The public may provide written comments up to the date of the meeting. (c) Access to Restructuring Plan. (1) The PAE must make the Restructuring Plan available to the parties identified in § 401.501 at least 20 days before the PAE submits the Restructuring Plan to HUD (subject to any Federal, State, or local laws restricting access to any information in the Plan or related documents). (2) As soon as the PAE determines that the Restructuring Plan is substantively complete and ready for submission to HUD, notice of the following must be provided: (i) The location of the Plan for inspection and copying; and (ii) The date, time, and place of a public meeting to be held at least 10 days before the PAE submits the Plan to HUD. (3) When the PAE gives notice under this section, it must make the Plan available during… | ||||
| 24:24:2.1.3.5.2.3.221.28 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.501 Delivery of notices and recipients of notices. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) Whom must the owner or PAE notify? The PAE must notify, or ensure that the owner notifies, each tenant and any tenant organization for the project, and post a notice in the project, for all notices required by §§ 401.500 and 401.502. (b) Whom must the PAE notify? The PAE must notify: (1) The Chief Executive Officer of the unit of local government and the Executive Director of the Public Housing Authority with jurisdiction over the project location; (2) The recipient of any Outreach and Training Grant (OTAG) or Intermediary Technical Assistance Grant (ITAG) for the project location; and (3) Other appropriate neighborhood representatives and other affected parties. | ||||
| 24:24:2.1.3.5.2.3.221.29 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.502 Notice requirement when debt restructuring will not occur. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) PAE responsibility. If an owner of an eligible project requests a renewal of a section 8 contract without a Restructuring Plan under § 402.4 of this chapter, HUD or the PAE must notify, or ensure that the owner notifies, all parties identified in § 401.501 of the request and of: (1) The availability (as provided in § 401.500(c)(3)) of the following information: (i) The owner evaluation of physical condition (OEPC), or a comprehensive needs assessment (CNA) if used instead of an OEPC, as required by § 401.450 and § 402.6(a)(3) of this chapter; (ii) The market analysis required by § 402.6(a)(2) of this chapter, but without addresses (or other specific information indicating location) for comparable properties; and (iii) The items identified in § 401.500(b)(1)(i), (ii), and (iv); and (2) A procedure for submitting public comments regarding this information. (b) Expense and profit/loss information. The PAE should remove project expense, property valuation, and profit and loss information before disclosing any information obtained by the PAE directly from an owner or project manager, unless the owner has given written consent to disclosure with that information included. (c) Consideration of comments. The PAE must consider written public comments on the information listed in paragraph (a) of this section, if the comments are submitted within 30 days after giving notice under paragraph (a), and document the consideration for HUD. No public meeting is required. | ||||
| 24:24:2.1.3.5.2.3.221.3 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.402 Cooperation with owner and qualified mortgagee in Restructuring Plan development. | HUD | A PAE must comply with section 514(a)(2) of MAHRA by using its best efforts to seek the cooperation of the owner and qualified mortgagee or its designee in the development of the Restructuring Plan. If the owner fails to cooperate (as demonstrated by reasonable progress in development of a Restructuring Plan) to the satisfaction of the PAE and HUD agrees, the PAE must notify the owner that the PAE will not develop a Restructuring Plan. This notice will be subject to dispute and administrative appeal under subpart F of this part. If the qualified mortgagee does not cooperate in modifying the mortgage, the PAE and owner may continue to develop a Restructuring Plan to restructure the loan using alternative financing. | |||||
| 24:24:2.1.3.5.2.3.221.30 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.503 Access to information. | HUD | (a) PAE responsibilities. The PAE must provide to parties entitled to notice under § 401.501 access to information obtained by the PAE about the project and its management if the PAE determines that such information is reasonably likely to contribute to effective participation by those parties in the restructuring process, or if HUD requires the PAE to provide access to the information. The PAE is not required to make public any information received from the owner or manager that the PAE reasonably characterizes as confidential or proprietary information that would not ordinarily be made public, except: (1) Owner evaluation of physical condition (OEPC), or a comprehensive needs assessment (CA) if used instead of an OEPC, as required by § 401.450; (2) Owner-prepared 1-year project rent analysis; and (3) As directed by HUD. (b) Information on expenses and profit/loss. Before disclosing any information, the PAE must remove any information obtained by the PAE directly from the owner or project manager that is related to project expenses, property valuation, or profit and loss, unless the owner gives written consent to disclosure with that information. | |||||
| 24:24:2.1.3.5.2.3.221.4 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.403 Rejection of a request for a Restructuring Plan because of actions or omissions of owner or affiliate or project condition. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 72 FR 73496, Dec. 27, 2007] | (a) Ongoing determination of owner and project eligibility. Notwithstanding an initial determination to accept the owner's request for a Restructuring Plan, the PAE is responsible for a further more complete and ongoing assessment of the eligibility of the owner and project while the Restructuring Plan is developed. The PAE must advise HUD if at any time any of the grounds for rejection listed in paragraph (b) of this section exist. (b) Grounds for rejection —(1) Suspension or debarment. Neither a PAE nor HUD will continue to develop or consider a Restructuring Plan if, at any time before a closing under § 401.407, the owner is debarred or suspended under 2 CFR part 2424. (2) Other grounds. HUD may elect not to permit continued consideration of the Restructuring Plan at any time before closing under § 401.407, if: (i) An affiliate is debarred or suspended under 2 CFR part 2424; (ii) HUD or the PAE determines that the owner or an affiliate has engaged in material adverse financial or managerial actions or omissions as described in section 516(a) of MAHRA, including any outstanding violations of civil rights laws in connection with any project of the owner or affiliate; or (iii) HUD or the PAE determines (under § 401.451(c) or otherwise) that the project does not meet the housing quality standards in § 401.558 and that the poor condition of the project is not likely to be remedied in a cost-effective manner through the Restructuring Plan. (3) Exception for sale. This paragraph does not apply (except (2)(iii)) if a sale or transfer is proposed under § 401.480. (c) Dispute and appeal. An owner may dispute a rejection under this section and seek administrative review under the procedures in subpart F of this part. | ||||
| 24:24:2.1.3.5.2.3.221.5 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.404 Proposed Restructuring Commitment. | HUD | A PAE must submit a Restructuring Plan and a proposed Restructuring Commitment to HUD for approval, prior to submitting the Commitment to the owner for execution. The submission may not occur earlier than 10 days after the public meeting required by § 401.500(d). The proposed Restructuring Commitment must be in a form approved by HUD, incorporate the Restructuring Plan, and include the following: (a) The lender, loan amount, interest rate, and term of any mortgages or unsecured financing for the mortgage restructuring and rehabilitation, and any credit enhancement; (b) The amount of any payment of a section 541(b) claim; (c) The type of section 8 assistance and the section 8 restructured rents; (d) The rehabilitation required, the source of the owner contribution, and escrow arrangements; (e) The uses for project accounts; (f) The terms of any sale or transfer of the project; (g) A schedule setting forth all sources and uses of funds to implement the Restructuring Plan, including setting forth the balances of project accounts before and after restructuring; (h) All consideration, direct or indirect, received or to be received by the PAE or a related party, if known, in connection with any matter addressed in the Restructuring Commitment, except amounts paid or to be paid by HUD; and (i) Other terms and conditions prescribed by HUD. | |||||
| 24:24:2.1.3.5.2.3.221.6 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.405 Restructuring Commitment review and approval by HUD. | HUD | HUD will either approve the Restructuring Commitment as submitted, require changes as a condition for approval, or reject the Plan. If the Plan is rejected, HUD will inform the PAE of the reasons for rejection, and the PAE will inform the owner. HUD's rejection of the Plan is subject to the dispute and administrative appeal provisions of subpart F of this part. | |||||
| 24:24:2.1.3.5.2.3.221.7 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.406 Execution of Restructuring Commitment. | HUD | When HUD approves the Restructuring Commitment, the PAE will deliver the Restructuring Commitment to the owner for execution. The Restructuring Commitment becomes binding upon execution by the owner. An owner who does not execute the Restructuring Commitment may appeal its terms and seek modification under subpart F of this part. | |||||
| 24:24:2.1.3.5.2.3.221.8 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.407 Closing conducted by PAE. | HUD | After the owner has executed the Restructuring Commitment, the PAE must arrange for a closing to execute all documents necessary for implementation of the Restructuring Plan. The PAE must use standard documents approved by HUD, with modifications only as necessary to comply with applicable State or local laws, or such other modifications as are approved in writing by HUD. | |||||
| 24:24:2.1.3.5.2.3.221.9 | 24 | Housing and Urban Development | IV | 401 | PART 401—MULTIFAMILY HOUSING MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) | C | Subpart C—Restructuring Plan | § 401.408 Affordability and use restrictions required. | HUD | [65 FR 15485, Mar. 22, 2000, as amended at 65 FR 53900, Sept. 6, 2000] | (a) General. The Restructuring Plan must provide that the project will be subject to affordability and use restrictions in a Use Agreement acceptable to HUD. The Use Agreement must be recorded and in effect for at least 30 years. It must include at least the provisions required by paragraphs (b) through (j) of this section. (b) Use restriction. The project must continue to be used for residential use with no reduction in the number of residential units without prior HUD approval. (c) Affordability restrictions. Except during a period when at least 20 percent of the units in a project receive project-based assistance: (1) At least 20 percent of the units in the project must be leased to families whose adjusted income does not exceed 50 percent of the area median income as determined by HUD, with adjustments for household size, at rents no greater than 30 percent of 50 percent of the area median income; or (2) At least 40 percent of the units in the project must be leased to families whose adjusted income does not exceed 60 percent of the area median income as determined by HUD, with adjustments for household size, at rents no greater than 30 percent of 60 percent of the area median income. (d) Comparable configuration. The type and size of the units that satisfy the affordability restrictions of paragraph (c) of this section must be comparable to the type and size of the units for the project as a whole. (e) Nondiscrimination against voucher holders. An owner must comply with the nondiscrimination provisions of § 401.556. (f) Enforcement. The Use Agreement must contain remedies for breach of the Use Agreement, including monetary damages for non-compliance with paragraphs (c) and (g) of this section. (g) Compliance with physical condition standards. The Use Agreement must require that the property be maintained in compliance with the requirements of § 401.558. (h) Reporting. The Use Agreement must contain appropriate financial and other reporting requirements for the owner. These reports mu… |
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