1、31 Office of the Secretary, HUD 4.3 Subpart FProcedures 3.600 Notice of covered programs. Within 60 days of September 29, 2000, each Federal agency that awards Fed-eral financial assistance shall publish in the FEDERAL REGISTER a notice of the programs covered by these Title IX regulations. Each suc
2、h Federal agency shall periodically republish the notice of covered programs to reflect changes in covered programs. Copies of this no-tice also shall be made available upon request to the Federal agencys office that enforces Title IX. 3.605 Enforcement procedures. The investigative, compliance, and
3、 enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (Title VI) are hereby adopted and applied to these Title IX regulations. These procedures may be found at 24 CFR part 1. 65 FR 52880, Aug. 30, 2000 PART 4HUD REFORM ACT Subpart AAccountability in the Pro
4、vision of HUD Assistance Sec. 4.1 Purpose. 4.3 Definitions. 4.5 Notice and documentation of assistance subject to section 102(a). 4.7 Notice of funding decisions. 4.9 Disclosure requirements for assistance subject to section 102(b). 4.11 Updating of disclosure. 4.13 Limitation of assistance subject
5、to sec-tion 102(d). Subpart BProhibition of Advance Disclosure of Funding Decisions 4.20 Purpose. 4.22 Definitions. 4.24 Scope. 4.26 Permissible and impermissible disclo-sures. 4.28 Civil penalties. 4.30 Procedure upon discovery of a viola-tion. 4.32 Investigation by Office of Inspector General. 4.3
6、4 Review of Inspector Generals report by the Ethics Law Division. 4.36 Action by the Ethics Law Division. 4.38 Administrative remedies. AUTHORITY: 42 U.S.C. 3535(d), 3537a, 3545. SOURCE: 61 FR 14449, Apr. 1, 1996, unless otherwise noted. Subpart AAccountability in the Provision of HUD Assistance 4.1
7、 Purpose. The provisions of this subpart A are authorized under section 102 of the De-partment of Housing and Urban Devel-opment Reform Act of 1989 (Pub. L. 101235, approved December 15, 1989) (42 U.S.C. 3537a) (hereinafter, Section 102). Both the provisions of Section 102 and this subpart A apply f
8、or the purposes of Section 102. Section 102 contains a number of provisions designed to en-sure greater accountability and integ-rity in the way in which the Depart-ment makes assistance available under certain of its programs. 4.3 Definitions. Applicant includes a person whose ap-plication for assi
9、stance must be sub-mitted to HUD for any purpose includ-ing approval, environmental review, or rent determination. Assistance under any program or discre-tionary fund administered by the Sec-retary is subject to Section 102(a), and means any assistance, under any pro-gram administered by the Departm
10、ent, that provides by statute, regulation or otherwise for the competitive distribu-tion of funding. Assistance within the jurisdiction of the Department is subject to Section 102(b), and means any contract, grant, loan, cooperative agreement, or other form of assistance, including the insurance or
11、guarantee of a loan or mortgage, that is provided with respect to a spe-cific project or activity under a pro-gram administered by the Department, whether or not it is awarded through a competitive process. Assistance within the jurisdiction of the Department to any housing project is sub-ject to Se
12、ction 102(d), and means: (1) Assistance which is provided di-rectly by HUD to any person or entity, but not to subrecipients. It includes as-sistance for the acquisition, rehabilita-tion, operation conversion, moderniza-tion, renovation, or demolition of any property containing five or more dwell-in
13、g units that is to be used primarily VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00041 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-32 24 CFR Subtitle A (41
14、11 Edition) 4.5 for residential purposes. It includes as-sistance to independent group resi-dences, board and care facilities, group homes and transitional housing but does not include primarily nonresiden-tial facilities such as intermediate care facilities, nursing homes and hospitals. It also inc
15、ludes any change requested by a recipient in the amount of assist-ance previously provided, except changes resulting from annual adjust-ments in Section 8 rents under Section 8(c)(2)(A) of the United States Housing Act of 1937 (42 U.S.C. 1437f); (2) Assistance to residential rental property receivin
16、g a tax credit under Federal, State or local law. (3) For purposes of this definition, as-sistance includes assistance resulting from annual adjustments in Section 8 rents under Section 8(c)(2)(A) of the United States Housing Act of 1937, un-less the initial assistance was made available before Apri
17、l 15, 1991, and no other assistance subject to this subpart A was made available on or after that date. Housing project means: (1) Property containing five or more dwelling units that is to be used for primarily residen-tial purposes, including (but not lim-ited to) living arrangements such as indep
18、endent group residences, board and care facilities, group homes, and transitional housing, but excluding fa-cilities that provide primarily non-res-idential services, such as intermediate care facilities, nursing homes, and hos-pitals. (2) Residential rental property re-ceiving a tax credit under Fe
19、deral, State, or local law. Interested party means any person in-volved in the application for assist-ance, or in the planning, development or implementation of the project or ac-tivity for which assistance is sought and any other person who has a pecu-niary interest exceeding the lower of $50,000 o
20、r 10 percent in the project or activity for which assistance is sought. Selection criteria includes, in addition to any objective measures of housing and other need, project merit, or effi-cient use of resources, the weight or relative importance of each published selection criterion as well as any
21、other factors that may affect the selection of recipients. 4.5 Notice and documentation of as-sistance subject to section 102(a). (a) Notice. Before the Department so-licits an application for assistance sub-ject to Section 102(a), it will publish a Notice in the FEDERAL REGISTER de-scribing applica
22、tion procedures. Not less than 30 calendar days before the deadline by which applications must be submitted, the Department will publish selection criteria in the FEDERAL REG-ISTER. (b) Documentation of decisions. HUD will make available for public inspec-tion, for at least five (5) years, and be-gi
23、nning not less than 30 calendars days after it provides the assistance, all doc-umentation and other information re-garding the basis for the funding deci-sion with respect to each application submitted to HUD for assistance. HUD will also make available any written indication of support that it rec
24、eived from any applicant. Recipients of HUD assistance must ensure, in accordance with HUD guidance, the public avail-ability of similar information sub-mitted by subrecipients of HUD assist-ance. 4.7 Notice of funding decisions. HUD will publish a Notice in the FEDERAL REGISTER at least quarterly t
25、o notify the public of all decisions made by the Department to provide: (a) Assistance subject to Section 102(a); and (b) Assistance that is provided through grants or cooperative agree-ments on a discretionary (non-formula, non-demand) basis, but that is not pro-vided on the basis of a competition.
26、 4.9 Disclosure requirements for as-sistance subject to section 102(b). (a) Receipt and reasonable expectation of receipt. (1) In determining the thresh-old of applicability of Section 102(b), an applicant will be deemed to have re-ceived or to have a reasonable expecta-tion of receiving: (i) The to
27、tal amount of assistance re-ceived during the Federal fiscal year during which the application was sub-mitted; (ii) The total amount of assistance requested for the fiscal year in which any pending application, including the VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00042 Fmt 8010 S
28、fmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-33 Office of the Secretary, HUD 4.11 current application, was submitted; and (iii) For the fiscal year described in paragraph (a)(1)(ii)
29、 of this section, the total amount of assistance from the Department or any other entity that is likely to be made available on a for-mula basis or in the form of program income as defined in 24 CFR part 85. (2) In the case of assistance that will be provided pursuant to contract over a period of ti
30、me (such as project-based assistance under Section 8 of the United States Housing Act of 1937), all amounts that are to be provided over the term of the contract, irrespective of when they are to be received. (b) Content of disclosure. Applicants that receive or can reasonably be ex-pected to receiv
31、e, as defined in para-graph (a) of this section, an aggregate amount of assistance that is in excess of $200,000 must disclose the following information: (1) Other governmental assistance that is or is expected to be made avail-able, based upon a reasonable assess-ment of the circumstances, with re-
32、spect to the project or activities for which the assistance is sought; (2) The name and pecuniary interest of any interested party; and (3) A report of the expected sources and uses of funds for the project or ac-tivity which is the subject of the appli-cation, including governmental and non-governm
33、ental sources of funds and private capital resulting from tax ben-efits. (c) In the case of mortgage insurance under 24 CFR subtitle B, chapter II, the mortgagor is responsible for making the disclosures required under Section 102(b) and this section, and the mort-gagee is responsible for furnishing
34、 the mortgagors disclosures to the Depart-ment. (Approved by the Office of Management and Budget under control number 25100011) 4.11 Updating of disclosure. (a) During the period in which an ap-plication for assistance covered under Section 102(b) is pending, or in which such assistance is being pro
35、vided, the applicant must report to the Depart-ment, or to the State or unit of general local government, as appropriate: (1) Any information referred to in Section 102(b) that the applicant should have disclosed with respect to the application, but did not disclose; (2) Any information referred to
36、in Section 102(b) that initially arose after the time for making disclosures under that subsection, including the name and pecuniary interest of any person who did not have a pecuniary interest in the project or activity that exceeded the threshold in Section 102(b) at the time of the application, b
37、ut that subse-quently exceeded the threshold. (b) With regard to changes in infor-mation that was disclosed under Sec-tions 102(b) or 102(c): (1) For programs administered by the Assistant Secretary for Community Planning and Development: (i) Any change in other government assistance covered by Sect
38、ion 102(b) that exceeds the amount of all assist-ance that was previously disclosed by the lesser of $250,000 or 10 percent of the assistance; (ii) Any change in the expected sources or uses of funds that exceed the amount of all previously disclosed sources or uses by the lesser of $250,000 or 10 p
39、ercent of previously disclosed sources; (2) For all other programs: (i) Any change in other government assistance under Section 102(b)(1) that exceeds the amount of assistance that was previously disclosed; (ii) Any change in the pecuniary in-terest of any person under Section 102(b)(2) that exceeds
40、 the amount of all previously disclosed interests by the lesser of $50,000 or 10 percent of such in-terest; (iii) For all projects receiving a tax credit under Federal, Sate or local law, any change in the expected sources or uses of funds that were previously dis-closed; (iv) For all other projects
41、: (A) Any change in the expected source of funds from a single source that exceeds the lesser of the amount previously disclosed for that source of funds by $250,000 or 10 percent of the funds previously disclosed for that source; VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00043 Fmt
42、8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-34 24 CFR Subtitle A (4111 Edition) 4.13 (B) Any change in the expected sources of funds from all sources pre-viously disclosed th
43、at exceeds the less-er of $250,000 or 10 percent of the amounts previously disclosed from all sources of funds; (C) Any change in a single expected use of funds that exceeds the lesser of $250,000 or 10 percent of the previously disclosed use; (D) Any change in the use of all funds that exceeds the
44、lesser of $250,000 or 10 percent of the previously disclosed uses for all funds. (c) Period of coverage. For purposes of updating of Section 102(c), an applica-tion for assistance will be considered to be pending from the time the applica-tion is submitted until the Department communicates its decis
45、ion with respect to the selection of the applicant. (Approved by the Office of Management and Budget under control number 25100011) 4.13 Limitation of assistance subject to section 102(d). (a) In making the certification for as-sistance subject to Section 102(d), the Secretary will consider the aggr
46、egate amount of assistance from the Depart-ment and from other sources that is necessary to ensure the feasibility of the assisted activity. The Secretary will take into account all factors rel-evant to feasibility, which may in-clude, but are not limited to, past rates of returns for owners, sponso
47、rs, and in-vestors; the long-term needs of the project and its tenants; and the usual and customary fees charged in carrying out the assisted activity. (b) If the Department determines that the aggregate of assistance within the jurisdiction of the Department to a housing project from the Department
48、 and from other governmental sources exceeds the amount that the Secretary determines is necessary to make the assisted activity feasible, the Depart-ment will consider all options available to enable it to make the required cer-tification, including reductions in the amount of Section 8 subsidies.
49、The De-partment also may impose a dollar-for- dollar, or equivalent, reduction in the amount of HUD assistance to offset the amount of other government assist-ance. In grant programs, this could re-sult in a reduction of any grant amounts not yet drawn down. The De-partment may make these adjustments immediately, or in conjunction with servicing actions anticipated to occur in the near future (e.g., in conjunction with the next annual adjustment of Section
