24 CFR Part 200 — Introduction to FHA Programs

PART 200—INTRODUCTION TO FHA PROGRAMS Authority: 12 U.S.C. 1702-1715z-21; 42 U.S.C. 3535(d). Source: 36 FR 24467, Dec. 22, 1971, unless otherwise noted. Editorial Note: Nomenclature changes to part 200 appear at 69 FR 18803, Apr. 9, 2004. § 200.1 Purpose. This part sets forth requirements that are applicable to several of the programs of the Federal Housing Administration, an organizational unit within the Department of Housing and Urban Development. Program requirements applicable to FHA programs and other HUD programs also can be found in 24 CFR part 5. The specific program regulations should be consulted to determine which requirements in this part 200 or 24 CFR part 5 are applicable. [61 FR 14398, Apr. 1, 1996] Subpart A—Requirements for Application, Commitment, and Endorsement Generally Applicable to Multifamily and Health Care Facility Mortgage Insurance Programs; and Continuing Eligibility Requirements for Existing Projects Source: 61 FR 14399, Apr. 1, 1996, unless otherwise noted. § 200.3 Definitions. (a) The definitions “department”, “elderly person”, “family”, “HUD”, and “Secretary”, as used in this subpart A, shall have the meanings given these terms in 24 CFR part 5. (b) The terms “ first mortgage hospital maturity date mortgage mortgagee state (c) As used in this subpart A: Act Commissioner FHA Insured mortgage Project [61 FR 14399, Apr. 1, 1996, as amended at 77 FR 5675, Feb. 3, 2012] Eligible Mortgagor § 200.5 Eligible mortgagor. (a) Except as provided in paragraph (b) of this section, the mortgagor: (1) Shall be a single asset mortgagor entity acceptable to the Commissioner, as limited by the applicable section of the Act, and shall possess the powers necessary and incidental to operating the project, except that the Commissioner may approve a non-single asset mortgagor entity under such circumstances, terms and conditions determined and specified as acceptable to the Commissioner; and (2) Shall not be a natural person or tenant in common. (b)(1) For multifamily project mortgages for which HUD issued a firm commitment for mortgage insurance before September 1, 2011, and for multifamily project mortgages insured under section 232 of the Act (12 U.S.C. 1715w), the mortgagor shall be a natural person or entity acceptable to the Commissioner, as limited by the applicable section of the Act, and shall possess the powers necessary and incidental to operating the project. (2) For multifamily project mortgages for which HUD issued a firm commitment for mortgage insurance on or after September 1, 2011, the regulations of paragraph (a) of this section shall apply, unless the mortgagor demonstrates to the satisfaction of the Commissioner that financial hardship to the mortgagor would result from application of the regulations in paragraph (a) of this section due to the reasonable expectations of the mortgagor that the transaction would close under the regulations in effect prior to September 1, 2011, in which case, the regulations of paragraph (b)(1) shall apply. [76 FR 24369, May 2, 2011] § 200.6 Employer identification and social security numbers. The requirements set forth in 24 CFR part 5, regarding the disclosure and verification of social security numbers and employer identification numbers by applicants and participants in assisted mortgage and loan insurance and related programs, apply to these programs. Eligible Mortgagee § 200.10 Lender requirements. The requirements set forth in part 202 of this chapter regarding approval, recertification, withdrawal of approval, approval for servicing, report requirements and conditions for supervised mortgagees, nonsupervised mortgagees, investing mortgagees, and governmental and similar institutions, apply to these programs. [62 FR 20081, Apr. 24, 1997] § 200.11 Audit requirements for State and local governments as mortgagees. Requirements set forth in 2 CFR part 200, subpart F, apply to State and local governments (as defined at 2 CFR 200.90 and 200.64, respectively) that receive mortgage insurance as mortgagees. [80 FR 75936, Dec. 7, 2015] Eligible Mortgage § 200.15 Maximum mortgage. Mortgages must not exceed either the statutory dollar amount or loan ratio limitations established by the section of the Act under which the mortgage is insured, except that the Commissioner may increase the dollar amount limitations: (a) By not to exceed 170 percent, in any geographical area, in which the Commissioner finds that cost levels so require; and (b) By not to exceed 170 percent, or 215 percent in high-cost areas, where the Commissioner determines it necessary on a project-by-project basis. [73 FR 17239, Mar. 31, 2008] § 200.16 Project mortgage adjustments and reductions. The principal amount computed in accordance with the applicable section of the Act for the insured mortgage shall be subject to additional adjustments and reductions in accordance with terms and conditions established by the Commissioner. § 200.17 Mortgage coverage. The mortgage shall cover the entire property included in the project. § 200.18 Minimum loan prohibition. A mortgagee may not require that the mortgage exceed a minimum amount established by the mortgagee, as a condition of providing a loan secured by a mortgage insured under this part. Miscellaneous Project Mortgage Insurance § 200.20 Refinancing insured mortgages. An existing mortgage insured under the Act, or an existing mortgage held by the Secretary that is subject to a mortgage restructuring and rental assistance sufficiency plan under the Multifamily Assisted Housing Reform and Affordability Act, 42 U.S.C. 1437f note (MAHRA), may be refinanced pursuant to section 223(a)(7) of the Act and such terms and conditions as may be established by the Commissioner. The term of such refinancing in connection with the implementation of an approved restructuring plan under section 401, subpart C of this title, may be up to, but not more than, 30 years. [72 FR 66037, Nov. 26, 2007] § 200.21 Reinsurance of Commissioner held mortgages. Any mortgage assigned to the Commissioner in connection with payment under a contract of mortgage insurance, or executed in connection with a sale by the Commissioner of any property acquired under any section or title of the Act, may be insured pursuant to provisions of section 223(c) of the Act and such terms and conditions established by the Commissioner. § 200.22 Operating loss loans. An insured loan to cover the operating losses of a project with an existing Commissioner insured mortgage may be made in accordance with provisions of section 223(d) of the Act and such terms and conditions established by the Commissioner. § 200.23 Projects in declining neighborhoods. A Mortgage financing the repair, rehabilitation or construction of a project located in an older declining urban area shall be eligible for insurance pursuant to provisions of section 223(e) of the Act and such terms and conditions established by the Commissioner. § 200.24 Existing projects. A mortgage financing the purchase or refinance of an existing rental housing project or refinance of the existing debt of an existing cooperative project under section 207 of the Act, or for refinancing the existing debt of an existing nursing home, intermediate care facility, assisted living facility, or board and care home, or any combination thereof, under section 232 of the Act, may be insured pursuant to provisions of section 223(f) of the Act and such terms and conditions established by HUD. [79 FR 42189, July 21, 2014] § 200.25 Supplemental loans. A loan, advance of credit or purchase of an obligation representing a loan or advance of credit made for the purpose of financing improvements or additions to a project covered by a mortgage insured under any section of the Act or Commissioner-held mortgage, or equipment for a nursing home, intermediate care facility, board and care home, assisted living facility, or group practices facility, may be insured pursuant to the provisions of section 241 of the Act and such terms and conditions established by HUD. [72 FR 67545, Nov. 28, 2007] Miscellaneous Cross Cutting Regulations § 200.30 Nondiscrimination and equal opportunity. The requirements set forth in 24 CFR part 5, and subparts I, J, and M of this part pertaining to nondiscrimination and equal opportunity, apply to these programs. § 200.31 Debarment and suspension. The requirements set forth in 2 CFR part 2424 apply to these programs. [72 FR 73494, Dec. 27, 2007] § 200.32 Participation and compliance requirements. The requirements set forth in 24 CFR part 200, subpart H, apply to these programs. § 200.33 Labor standards. (a) The requirements set forth in 29 CFR parts 1, 3 and 5 for compliance with labor standards laws apply to projects under these programs to the extent that labor standards apply as provided in section 212 of the Act, provided that: (1) The labor standards provisions do not apply to projects insured under sections 207 or 232 pursuant to section 223(f) of the Act; and (2) Supplemental loans under section 241 of the Act are subject to the provisions of section 212 applicable to the section or title pursuant to which the mortgage covering the project is insured or pursuant to which the original mortgage was insured. (b) The requirements set forth in 24 CFR part 70 apply to those programs with respect to which there is a statutory provision allowing HUD waiver of Davis-Bacon prevailing wage rates for volunteers. (c) Project commitments, contracts and agreements, as determined by the Commissioner, and construction contracts and subcontracts, shall include terms, conditions and standards for compliance with applicable requirements set forth in 29 CFR parts 1, 3 and 5 and section 212 of the Act. (d) No advance under a loan or mortgage that is subject to the requirements of section 212 shall be eligible for insurance unless there is filed with the application for the advance a certificate as required by the Commissioner certifying that the laborers and mechanics employed in construction of the project have been paid not less than the wage rates required under section 212. § 200.34 Property and mortgage assessment. The requirements set forth in 24 CFR part 200, subpart E, regarding the mortgagor's responsibility for making those investigations, analysis and inspections it deems necessary for protecting its interests in the property apply to these programs. § 200.35 Appraisal standards—nondiscrimination requirements. (a) Nondiscrimination in the selection of appraiser. (b) Nondiscrimination in appraisal determination. § 200.36 Financial reporting requirements. The mortgagor must comply with the financial reporting requirements in 24 CFR part 5, subpart H. [63 FR 46592, Sept. 1, 1998] § 200.37 Preventing crime in federally assisted housing. See part 5, subparts I and J of this title, for provisions concerning preventing crime in federally assisted housing, including programs administered under section 236 and under sections 221(d)(3) and 221(d)(5) of the National Housing Act. [66 FR 28797, May 24, 2001] § 200.38 Protections for victims of domestic violence. (a) The requirements for protection for victims of domestic violence, dating violence, sexual assault, or stalking in 24 CFR part 5, subpart L (Protection for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking) apply to programs administered under section 236 and under sections 221(d)(3) and (d)(5) of the National Housing Act, as follows: (1) Multifamily rental housing under section 221(d)(3) of the National Housing Act (12 U.S.C. 17151(d)) with a below-market interest rate (BMIR) pursuant to section 221(d)(5), with implementing regulations at 24 CFR part 221. The Section 221(d)(3) BMIR program insured and subsidized mortgage loans to facilitate new construction or substantial rehabilitation of multifamily rental cooperative housing for low- and moderate-income families. The program is no longer active, but Section 221(d)(3) BMIR properties that remain in existence are covered by VAWA. Coverage of section 221(d)(3) and (d)(5) BMIR housing does not include section 221(d)(3) and (d)(5) BMIR projects that refinance under section 223(a)(7) or 223(f) of the National Housing Act where the interest rate is no longer determined under section 221(d)(5). (2) Multifamily rental housing under section 236 of the National Housing Act (12 U.S.C. 1715z-1), with implementing regulations at 24 CFR part 236. Coverage of the section 236 program includes not only those projects with FHA-insured project mortgages under section 236(j), but also non-FHA-insured projects that receive interest reduction payments (“IRP”) under section 236(b) and formerly insured section 236 projects that continue to receive interest reduction payments through a “decoupled” IRP contract under section 236(e)(2). Coverage also includes projects that receive rental assistance payments authorized under section 236(f)(2). (b) For the programs administered under paragraph (a) of this section, “covered housing provider” as such term is used in 24 CFR part 5, subpart L, refers to the mortgagor, or owner, as applicable. [81 FR 80805, Nov. 16, 2016] Fees and Charges § 200.40 HUD fees. The following fees apply to mortgages to be insured under this part. (a) Application fee—SAMA letter (for new construction). (b) Application fee—feasibility letter (for substantial rehabilitation). (c) Application fee—conditional commitment. (d)(1) Application fee—firm commitment: General. et seq. (2) Application fee—Section 232 Programs. (e) Inspection fee In general. (i) If the case involves insurance of advances, at the time of initial endorsement; or (ii) If the case involves insurance upon completion, before the date construction is begun. (2) Existing projects. (f) Fees on increases—in general. (1) Increase in firm commitment before endorsement. (2) Increase in mortgage between initial and final endorsement. (3) Loan to cover operating losses. (g) Reopening of expired commitments. (h) Transfer fee. (i) Refund of fees. (j) Fees not required. (2) The payment of an application or commitment fee shall not be required in connection with the insurance of a mortgage used to facilitate a restructuring plan under part 401, subpart C of this title. [61 FR 14414, Apr. 1, 1996, as amended at 72 FR 66037, Nov. 26, 2007; 72 FR 67545, Nov. 28, 2007; 80 FR 48027, Aug. 11, 2015] § 200.41 Maximum mortgagee fees and charges. (a) Mortgagee fees and charges included in the mortgage must be for actual required services provided to the mortgagor by the mortgagee, and shall not exceed common market rates for such services as determined by the Commissioner. (b) Mortgagee charges for prepayment of the mortgage and late mortgage payments shall not exceed that determined appropriate by the Commissioner. Commitment Applications § 200.45 Processing of applications. (a) Preapplication conference. (b) Firm commitment requirement. (c) Staged applications. (d) Effect of SAMA letter, feasibility letter, and firm commitment SAMA letter. (A) The land value fully improved (with off-site improvements installed); (B) The acceptability of the proposed project site, the proposed composition, number and size of the units and the market for the number of proposed units. Where the application is not acceptable as submitted, but can be made acceptable by a change in the number, size, or composition of the units, the SAMA letter may establish the specific lesser number of units which would be acceptable and any acceptable alternative plan for the composition and size of units; and (C) The acceptability of the unit rents proposed. Where rent levels are unacceptable, the SAMA letter may establish specific rents which are acceptable. (ii) After receiving a SAMA letter, the sponsor shall submit design drawings and specifications in a timeframe prescribed by the Commissioner. The Commissioner will review and comment on design development and the drawings and specifications. The comments will be provided to the sponsor for use in preparing a firm commitment application. (2) Feasibility letter. (3) Conditional commitment. (e) Term of SAMA letter, feasibility letter, and conditional commitment. (f) Rejection of an application. (Approved by the Office of Management and Budget under control number 2502-0029) [61 FR 14415, Apr. 1, 1996] § 200.46 Commitment issuance. Upon approval of an application for insurance, a commitment shall be issued by the Commissioner setting forth the terms and conditions upon which the mortgage will be insured. The commitment term and any extension or reopening of an expired commitment shall be in accordance with standards established by the Commissioner. § 200.47 Firm commitments. A valid firm commitment must be in effect at the time the mortgage instrument is endorsed. (a) Insurance upon completion. (1) After completion of construction or substantial rehabilitation of the project; or (2) Upon completion of required work, except as deferred by the Commissioner in accordance with terms, conditions and standards established by the Commissioner, for an existing project without substantial rehabilitation. (b) Insured advances. Requirements Incident to Insured Advances § 200.50 Building loan agreement. The mortgagor and mortgagee must execute a building loan agreement approved by the Commissioner, that sets forth the terms and conditions under which progress payments may be advanced during construction, before initial endorsement of the mortgage for insurance. § 200.51 Mortgagee certificate. The mortgagee shall certify to the Commissioner that it will conform with terms and conditions established by the Commissioner for the mortgagee's control of project funds, and other incidental requirements established by the Commissioner. § 200.52 Construction contract. The form of contract between the mortgagor and builder shall be as prescribed by the Commissioner in accordance with terms and conditions established by the Commissioner. § 200.53 Initial operating funds. The mortgagor shall deposit cash with the mortgagee, or in a depository satisfactory to the mortgagee and under control of the mortgagee, in accordance with terms, conditions and standards established by the Commissioner for: (a) Accruals for taxes, ground rates, mortgage insurance premiums, and property insurance premiums, during the course of construction; (b) Meeting the cost of equipping and renting the project subsequent to its completion in whole or part; and (c) Allocation by the mortgagee for assessments required by the terms of the mortgage in an amount acceptable to the Commissioner. § 200.54 Project completion funding. (a) Except as provided in paragraph (c) of this section, the mortgagor shall deposit with the mortgagee cash deemed by the Commissioner to be sufficient, when added to the proceeds of the insured mortgage, to assure completion of the project and to pay the initial service charge, carrying charges, and legal and organizational expenses incident to the construction of the project. The Commissioner may accept a lesser cash deposit or an alternative to a cash deposit in accordance with terms and conditions established by the Commissioner, where the required funding is to be provided by a grant or loan from a Federal, State, or local government agency or instrumentality. (b) An agreement acceptable to the Commissioner shall require that funds provided by the mortgagor under requirements of this section must be disbursed in full for project work, material, and incidental charges and expenses before disbursement of any insured mortgage proceeds, except: (1) Low-income housing tax credit syndication proceeds, historic tax-credit syndication proceeds, New Markets Tax Credits proceeds, or funds provided by a grant or loan from a Federal, State, or local governmental agency or instrumentality under requirements of this section need not be fully disbursed before the disbursement of insured mortgage proceeds, where approved by the Commissioner in accordance with terms, conditions, and standards established by the Commissioner; or (2) If the mortgagor's deposit required by paragraph (a) of this section is not fully disbursed with the initial advance of the insured mortgage proceeds, the mortgagee may disburse up to one (1) percent of the mortgage amount initially endorsed for insurance before requiring that the funds provided by the mortgagor be disbursed in full. The 1 percent of the initially endorsed mortgage amount may be disbursed in full at the time of initial endorsement or may be disbursed in any amount on a monthly basis, whether consecutive or nonconsecutive, until the funds provided by the mortgagor are fully disbursed. (c) In the case of a mortgage insured under any provision of this title executed in connection with the purchase, construction, rehabilitation, or refinancing of a multifamily tax credit project, the Commissioner may not require: (1) The escrowing of equity provided by Low-Income Housing Tax Credits for the project pursuant to Title 26, section 42 of the Internal Revenue Code of 1986; (2) The escrowing of equity provided by historic rehabilitation tax credits, New Markets Tax Credits, or any other form of security, such as a letter of credit. [75 FR 51915, Aug. 23, 2010, as amended at 89 FR 100743, Dec. 13, 2024] § 200.55 Financing fees and charges. Fees and charges approved by the Commissioner in excess of the initial service charge shall be deposited with the mortgagee in cash before initial endorsement, except as otherwise preapproved by the Commissioner. § 200.56 Assurance of completion for on-site improvements. The mortgagor shall furnish assurance of completion of the project in the form and amount provided by terms, conditions and standards established by the Commissioner. General Requirements § 200.60 Assurance of completion for offsite facilities. An assurance of completion for offsite utilities, streets, and other facilities required for a buildable site shall be provided in an amount and form acceptable to the Commissioner, except where a municipality or other public body has, in a manner acceptable to the Commissioner, agreed to install such improvements without cost to the mortgagor. § 200.61 Title. (a) Marketable title to the project must be vested in the mortgagor as of the date the mortgage is filed for record. (b) Title evidence for the Commissioner's examination shall include a lender's title insurance policy, which title policy provides survey coverage based on a survey acceptable to the title company and the Commissioner; or as the Commissioner may otherwise require, in accordance with terms, conditions and standards established by the Commissioner. (c) Endorsement of the credit instrument for insurance shall evidence the acceptability of title evidence. § 200.62 Certifications. Any agreement, undertaking, statement or certification required by the Commissioner shall specifically state that it has been made, presented, and delivered for the purpose of influencing an official action of the FHA, and of the Commissioner, and may be relied upon by the Commissioner as a true statement of the facts contained therein. § 200.63 Required deposits and letters of credit. (a) Deposits. (b) Letter of credit. (1) The mortgagee of record may not be the issuer of any letter of credit without the prior written consent of the Commissioner. (2) The mortgagee shall be responsible to the Commissioner for collection under the letter of credit. In the event a demand for payment thereunder is not immediately met, the mortgagee shall immediately provide a cash deposit equivalent to the undrawn balance of the letter of credit. Property Requirements § 200.70 Location and fee interest. The property must be held by an eligible mortgagor, and must conform with requirements pertaining to property location and fee or lease interests of the section of the Act under which the mortgage is insured. § 200.71 Liens. The project must be free and clear of all liens other than the insured mortgage, except that the property may be subject to an inferior lien as provided by terms and conditions established by the Commissioner for an inferior lien: (a) Made or held by a Federal, State or local government instrumentality; (b) Required in connection with: an operating loss loan insured pursuant to a section 223(d) of the Act; a supplemental loan insured pursuant to section 241 of the Act; or a mortgage to purchase or refinance an existing project pursuant to section 223(f) of the Act; or (c) As otherwise provided by the Commissioner. § 200.72 Zoning, deed and building restrictions. The project when completed shall not violate any material zoning or deed restrictions applicable to the project site, and shall comply with all applicable building and other governmental codes, ordinances, regulations and requirements. § 200.73 Property development. (a) The property shall be suitable and principally designed for the intended use, as provided by the applicable section of the Act under which the mortgage is insured, and have long-term marketability. Design, construction, substantial rehabilitation and repairs shall be in accordance with standards established by the Commissioner. (b) A project may include such commercial and community facilities as the Commissioner deems acceptable. (c) The improvements shall constitute a single project. Not less than five rental dwelling units or personal care units, 20 medical care beds, or 50 manufactured home pads, shall be on one site, except that such limitations do not apply to group practice facilities. § 200.74 Minimum property standards. The requirements set forth in subpart S of this part apply to these programs, except for hospitals insured under section 242 of the Act and group practice facilities insured under title XI of the Act. § 200.75 Environmental quality determinations and standards. Requirements set forth in 24 CFR part 50, Protection and Enhancement of Environmental Quality, 24 CFR part 51, Environmental Criteria and Standards, 24 CFR part 55, Implementation of Executive Order 11988, Flood Plain Management, and as otherwise required by the Commissioner apply to these programs. § 200.76 Smoke detectors. Smoke detectors and alarm devices must be installed in accordance with standards and criteria acceptable to the Commissioner for the protection of occupants in any dwelling or facility bedroom or other primary sleeping area. § 200.77 Lead-based paint poisoning prevention. Requirements set forth in 24 CFR part 35 apply to these programs. § 200.78 Energy conservation. Construction, mechanical equipment, and energy and metering selections shall provide cost effective energy conservation in accordance with standards established by the Commissioner. Mortgage Provisions § 200.80 Mortgage form. The mortgage shall be: (a) Executed on a form approved by the Commissioner for use in the jurisdiction in which the property securing the mortgage is situated, which form shall not be changed without the prior written approval of the Commissioner. (b) Executed by an eligible mortgagor. (c) A first lien on the property securing the mortgage, which property conforms with the property standards prescribed by the Commissioner. § 200.81 Disbursement of mortgage proceeds. The mortgagee shall be obligated, as a part of the mortgage transaction, to disburse the principal amount of the mortgage to the: (a) Mortgagor or mortgagor's account; (b) Mortgagor's creditors for the mortgagor's account, subject to the mortgagor's consent. § 200.82 Maturity. The mortgage shall have a maturity satisfactory to the Commissioner, and shall contain complete amortization or sinking-fund provisions satisfactory to the Commissioner. (a) The maximum mortgage term may not exceed the lesser of: (1) Any limits included under the applicable section of the Act. (2) Thirty-five years for existing projects, except that the mortgage term may be up to 40 years under terms and conditions established by the Commissioner, and 40 years for proposed construction and substantial rehabilitation projects. (3) Seventy-five percent of the estimated remaining economic life of the physical improvements. (b) The minimum mortgage term shall not be less than 10 years. § 200.83 Interest rate. (a) The mortgage shall bear interest at the rate agreed upon by the mortgagee and the mortgagor. (b) Interest shall be payable in monthly installments on the principal amount of the mortgage outstanding on the due date of each installment. (c) The amount of any increase approved by the Commissioner in the mortgage amount between initial and final endorsement in excess of the amount that the Commissioner had committed to insure at initial endorsement shall bear interest at the rate agreed upon by the mortgagee and the mortgagor. § 200.84 Payment requirements. The mortgage shall provide for: (a) A single aggregate payment each month for all payments to be made by the mortgagor to the mortgagee. (b) The mortgagor to pay to the mortgagee: (1) Interest and principal on the first day of each month in accordance with an amortization plan agreed upon by the mortgagor, the mortgagee and the Commissioner. (i) Date of first payment to interest shall be the endorsement date or, where there are insured advances, the initial endorsement date. (ii) Date of first payment to principal. The Commissioner shall estimate the time necessary to complete the project and shall establish the date of the first payment to principal so that the lapse of time between completion of the project and commencement of amortization will not be longer than necessary to obtain sustaining occupancy. (2) An amount on each interest payment date sufficient to accumulate in the hands of the mortgagee one payment period prior to its due date, the next annual mortgage insurance premium payable by the mortgagee to the Commissioner. Such payments shall continue only so long as the contract of insurance shall remain in effect. (3) Equal monthly payments as will amortize the ground rents, if any, and the estimated amount of all taxes, water charges, special assessments, and fire and other hazard insurance premiums, within a period ending one month prior to the dates on which the same become delinquent. (4) The mortgage shall further provide: (i) That such payments shall be held by the mortgagee, for the purpose of paying such items before they become delinquent. (ii) For adjustments in case such estimated amounts shall prove to be more, or less, than the actual amounts so paid therefor by the mortgagor. (c) The mortgagee to apply each mortgagor payment received to the following items in the order set forth: (1) Premium charges under the contract of mortgage insurance. (2) Ground rents, taxes, special assessments, and fire and other hazard insurance premiums. (3) Interest on the mortgage. (4) Amortization of the principal of the mortgage. § 200.85 Covenant against liens. (a) The mortgage shall contain a covenant against the creation by the mortgagor of liens against the property superior or inferior to the lien of the mortgage except for such inferior lien as may be approved by the Commissioner in accordance with provisions of § 200.71; and (b) A covenant against repayment of a Commissioner approved inferior lien from mortgage proceeds other than surplus cash or residual receipts, except in the case of an inferior lien created by an operating loss loan insured pursuant to section 223(d) of the Act, or a supplemental loan insured pursuant to section 241 of the Act. § 200.86 Covenant for fire and other hazard insurance. The mortgage shall contain a covenant binding the mortgagor to maintain fire and extended coverage insurance on the property in accordance with terms and conditions established by the Commissioner. § 200.87 Mortgage prepayment. (a) Prepayment privilege. (b) Prepayment charge. (1) The mortgagor shall be permitted to prepay up to 15 percent of the original principal amount of the mortgage in any one calendar year without any such charge. (2) Any reduction in the original principal amount of the mortgage resulting from the certification of cost which the Commissioner may require shall not be construed as a prepayment of the mortgage. (c) Prepayment of bond-financed or GNMA securitized mortgages. (d) HUD override of prepayment restrictions. § 200.88 Late charge. (a) The mortgage may provide for the collection by the mortgagee of a late charge in accordance with terms, conditions, and standards of the Commissioner for each dollar of each payment to interest or principal: (1) More than 10 days in arrears to cover the expense involved in handling delinquent payments; (2) For multifamily project mortgages for which HUD issued a firm commitment for mortgage insurance before September 1, 2011, and for multifamily project mortgages insured under section 232 of the Act (12 U.S.C. 1715w), more than 15 days in arrears to cover the expense involved in handling delinquent payments. (b) Late charges shall be separately charged to and collected from the mortgagor and shall not be deducted from any aggregate monthly payment. [76 FR 24369, May 2, 2011] Cost Certification § 200.95 Certification of cost requirements. (a) Before initial endorsement of the mortgage for insurance, the mortgagor, the mortgagee, and the Commissioner shall enter into an agreement in form and content satisfactory to the Commissioner for the purpose of precluding any excess of mortgage proceeds over statutory limitations. Under this agreement, the mortgagor shall disclose its relationship with the builder, including any collateral agreement, and shall agree: (1) To enter into a construction contract, the terms of which shall depend on whether or not there exists an identity of interest between the mortgagor and the builder. (2) To execute a Certificate of Actual Costs, upon completion of all physical improvements on the mortgaged property. (3) To apply in reduction of the outstanding balance of the principal of the mortgage any excess of mortgage proceeds over statutory limitations based on actual cost. (b) The provisions of paragraph (a) of this section relating to disclosure and the requirement for a construction contract shall not apply where the mortgagor is the general contractor. § 200.96 Certificates of actual cost. (a) The mortgagor's certificate of actual cost, in a form prescribed by the Commissioner, shall be submitted upon completion of the physical improvements to the satisfaction of the Commissioner and before final endorsement, except that in the case of an existing project that does not require substantial rehabilitation and where the commitment provides for completion of specified repairs after endorsement, a supplemental certificate of actual cost will be submitted covering the completed costs of any such repairs. The certificate shall show the actual cost to the mortgagor, after deduction of any kickbacks, rebates, trade discounts, or other similar payments to the mortgagor, or to any of its officers, directors, stockholders, partners or other entity member ownership, of construction and other costs, as prescribed by the Commissioner. (b) The Certificate of Actual Cost shall be verified by an independent Certified Public Accountant or independent public accountant in a manner acceptable to the Commissioner. (c) Upon the Commissioner's approval of the mortgagor's certification of actual cost such certification shall be final and incontestable except for fraud or material misrepresentation on the part of the mortgagor. § 200.97 Adjustments resulting from cost certification. (a) Fee simple site. (b) Leasehold site. (c) Adjustment. Endorsement § 200.100 Insurance endorsement. The credit instrument shall be initially and finally endorsed simultaneously for insurance pursuant to a commitment to insure upon completion. Where the advances of construction funds are to be insured pursuant to a commitment for insured advances, initial endorsement of the credit instrument shall occur before any mortgage proceeds are insured and the time of final endorsement shall be as set forth in paragraph (b) of this section. (a) Initial endorsement. (b) Final endorsement. (c) Contract rights and obligations. § 200.101 Mortgagor lien certificate. The mortgagor shall certify at the final endorsement of the mortgage for insurance as to each of the following: (a) That the mortgage is the first lien upon and covers the entire project, including any equipment financed with mortgage proceeds. (b) That the property upon which the improvements have been made or constructed and the equipment financed with mortgage proceeds are free and clear of all liens other than the insured mortgage and such other liens as may be approved by the Commissioner. (c) That the certificate sets forth all unpaid obligations in connection with the mortgage transaction, the purchase of the mortgaged property, the construction or rehabilitation of the project or the purchase of the equipment financed with mortgage proceeds. Regulation of Mortgagors § 200.105 Mortgagor supervision. (a) As long as the Commissioner is the insurer or holder of the mortgage, the Commissioner shall regulate the mortgagor by means of a regulatory agreement providing terms, conditions and standards established by the Commissioner, or by such other means as the Commissioner may prescribe. (b) The Commissioner may delegate to the mortgagee or other party the Commissioner's authority, in whole or in part, in accordance with the terms, conditions and standards established by the Commissioner in any executed Regulatory Agreement or other instrument granting the Commissioner supervision of the mortgagor. [61 FR 14399, Apr. 1, 1996, as amended at 65 FR 61074, Oct. 13, 2000] § 200.106 Projects with limited distribution mortgagors and program assistance. (a) Regulation as limited distribution mortgagors. (b) Increased distributions. (c) Pre-emption. [65 FR 61074, Oct. 13, 2000] Subpart B—Electronic Submission of Required Data for Mortgage Defaults and Mortgage Insurance Claims for Insured Multifamily Mortgages Source: 64 FR 4769, Jan. 29, 1999, unless otherwise noted. § 200.120 Purpose and applicability. (a) Purpose. (b) Applicability. § 200.121 Requirements and effectiveness. (a) Multifamily mortgagees, which are required by 24 CFR part 207 to report mortgage delinquencies, defaults, reinstatements, assignment elections, withdrawals of assignment elections, and related information, must submit this information electronically, over the Internet, in accordance with the following schedule of effectiveness: (1) Mortgagees having 70 or more insured mortgage loans must comply with this section by no later than March 1, 1999; (2) Mortgagees having from 26 to 69 insured mortgage loans must comply with this section by no later than January 1, 2000; (3) Mortgagees having from 11 to 25 insured mortgage loans must comply with this section by no later than January 1, 2001; (4) Mortgagees having 10 or fewer insured mortgage loans must comply with this section by no later than January 1, 2002. (b) Exception. (c) HUD will not accept reports of information regarding defaults, reinstatements, assignment elections, and related information in a manner that is not in accordance with this section. Failure on the part of mortgagees to report this information as required by 24 CFR part 207 and this section may result in HUD's application of the sanctions and surcharges specified in 24 CFR part 207. Subparts C-D [Reserved] Subpart E—Mortgage Insurance Procedures and Processing Application for Insurance § 200.145 Property and mortgage assessment. (a) The mortgagor is responsible for making those investigations, analyses and inspections it deems necessary for protecting its interests in the property. (b) Any appraisals, inspections, environmental assessments, and technical or financial evaluations conducted by or for the Commissioner are performed to determine the maximum insurable mortgage, and to protect the Commissioner and the FHA insurance funds. Such appraisals, inspections, assessments and evaluations neither create nor imply a duty or obligation from HUD to the mortgagor, or to any other party, and are not to be regarded as a warranty by HUD to the mortgagor, or any other party, of the value or condition of the property. (c) For all new construction as well as structural repairs and/or renovations of existing properties, to the extent that an inspection is required to determine if construction quality of a one- to four-unit property is acceptable as security for an FHA-insured loan, the following requirements apply: (1)(i) In areas where local jurisdictions provide building code enforcement and the requisite documentation, the lender shall provide a copy of: (A) The building permit, or its equivalent, and a copy of the certificate of occupancy, or its equivalent; or (B) A satisfactory inspection notice for work completed, or its equivalent. (ii) The documentation provided under paragraph (c)(1)(i) of this section shall be considered satisfactory evidence of completion of the work. (2) In jurisdictions that do not provide building code enforcement and requisite documentation, three inspections are required for new construction. For existing construction, only one inspection and certification of work completed for structural repairs and renovations is required. For both new and existing construction, the lender shall, in order to ensure compliance with FHA requirements: (i) Select a Residential Combination Inspector (or its successor designation) or a Combination Inspector (or its successor designation) certified by the International Code Council (or its successor organization) who is licensed or certified as a home inspector in accordance with the applicable State and local requirements governing the licensing or certification of those jurisdictions that license or certify such inspectors in the respective jurisdiction. The lender shall provide a certification from such inspector that the new construction and/or structural repair or renovation work is completed satisfactorily and in compliance with any applicable building code. (ii) In the absence of such Residential Combination Inspector and Combination Inspector, the lender shall obtain an inspection performed by a third party, who is a registered architect, a professional engineer, or a trades person or contractor, and who has met the licensing and bonding requirements of the State in which the property is located. The lender shall provide a certification from such inspector that the inspector is licensed and bonded under applicable State law, and that the new construction and/or structural repair or renovation work is completed satisfactorily and in compliance with any applicable building code. [61 FR 14404, Apr. 1, 1996, as amended at 83 FR 31042, July 3, 2018] Claims for Losses § 200.153 Presentation of claim. In the event the insured lender is entitled under the contract of mortgage insurance to receive a claim settlement, the mortgagee presents a claim for insurance benefits in accordance with the Secretary's instructions. [61 FR 14404, Apr. 1, 1996] § 200.156 Settlement of claims. Upon the Secretary's approval of a claim, the claim will be settled by issuance of cash, debentures or both, and, in certain cases, by issuance of a certificate of claim. However, in the event a final claim is in a negative amount, the claim will be settled by the mortgagee's payment of cash or surrender of debentures at par plus accrued interest to the Secretary. [61 FR 14404, Apr. 1, 1996] § 200.157 Provisions and characteristics of debentures. (a) Series and fund. (b) Registration and denominations. (c) Rate of interest and interchangeability. (d) Negotiability and Redemption. (e) Payment of principal and interest. (f) Transfer and use In general. (2) Mutual Mortgage Insurance Fund debentures. (3) Cooperative Management Housing Insurance Fund debentures. (4) General Insurance Fund and debentures of other funds. (i) Those which are the obligation of the General Insurance Fund. (ii) Those transferred from the General Insurance Fund to the Cooperative Management Housing Insurance Fund. (iii) Those endorsed for insurance pursuant to commitments transferred to the Cooperative Management Housing Insurance Fund. [36 FR 24467, Dec. 22, 1971, as amended at 59 FR 49815, Sept. 30, 1994] § 200.158 Applicability of Treasury regulations to debenture transactions. The Department of the Treasury acts as fiscal agent for the Commissioner in connection with transactions and operations relating to debentures. Treasury's General Regulations Governing U.S. Securities (31 CFR part 306) and its Supplemental Regulations Governing Federal Housing Administration Debentures (31 CFR part 337) have been and are adopted as revised and amended, to the extent applicable, as the regulations of the Commissioner governing the issuance of, transactions in and redemption of debentures, including the payment of interest thereon with the following exceptions: (a) Payment of final interest on maturing or called debentures. (b) Closing of transfer books. [36 FR 24467, Dec. 22, 1971, as amended at 59 FR 49815, Sept. 30, 1994] § 200.159 Relief on account of lost, stolen, destroyed, mutilated or defaced debentures. The statutes of the United States and the regulations of the Treasury Department governing relief on account of the loss, theft, destruction, mutilation or defacement of United States securities, so far as applicable and as necessarily modified to relate to debentures, are adopted as the regulations of the Commissioner for the issuance of substitute debentures or the payment of lost, stolen, destroyed, mutilated or defaced debentures. § 200.160 Redemption of debentures prior to maturity. Debentures shall, at the option of the Commissioner and with the approval of the Secretary of the Treasury, be redeemable at par plus accrued interest on any semiannual interest payment date on 3 months' notice of redemption given in such manner as the Commissioner shall prescribe. The debenture interest on the debentures called for redemption shall cease on the semiannual interest payment date designated in the call notice. The Commissioner may include with the notice of redemption an offer to purchase the debentures at par plus accrued interest at any time during the period between the notice of redemption and the redemption date. If the debentures are purchased by the Commissioner after such call and prior to the named redemption date, the debenture interest shall cease on the date of purchase. § 200.161 Administration of debenture transactions. The Secretary of the Treasury or the Acting Secretary of the Treasury is authorized and empowered, on behalf of the Commissioner, to administer the regulations governing any transactions and operations in debentures, to do all things necessary to conduct such transactions and operations, and to delegate such authority at his discretion to other officers, employees, and agents of the U.S. Treasury Department. At his discretion the Secretary, the Under Secretary, or any Assistant Secretary of the Treasury acting by direction of the Secretary, is authorized to waive any such regulation on behalf of the Commissioner in any particular case where a similar regulation of the Treasury Department with respect to United States bonds or interest thereon would be waived. § 200.162 Certificates of claim. The certificate of claim issued to the mortgagee at the time debentures are issued constitutes an agreement by the FHA that after the FHA has recovered its investment in a particular property any excess over and above such investment is available for payment on the certificate of claim. Certificates of claim bear interest at the rate of 3 percent per annum. Subpart F—Placement and Removal Procedures for Participation in FHA Programs Section 203( k § 200.190 HUD list of qualified 203(k) consultants. (a) Qualified consultant list. (b) Consultant functions. (c) Disclaimer. [67 FR 52380, Aug. 9, 2002] § 200.191 Placement of 203(k) consultant. (a) Application. (b) Eligibility. (1) The consultant must demonstrate to HUD that it either: (i) Has at least three years' experience as a remodeling contractor, general contractor or home inspector; or (ii) Is a state-licensed architect or state-licensed engineer; (2) If located in a state that requires the licensing of home inspectors, the consultant must submit proof of such licensing; (3) The consultant must submit a narrative description of the consultant's ability to perform home inspections, prepare architectural drawings, use proper methods of cost estimating and complete draw inspections. (4) The consultant must certify that it has read and fully understands the requirements of the HUD handbook on the 203(k) Program (4240.4) and all HUD Mortgagee Letters and other instructions relating to the 203(k) Program. (5) The consultant must not be listed on: (i) The General Services Administration's Suspension and Debarment List; (ii) HUD's Limited Denial of Participation List; or (iii) HUD's Credit Alert Interactive Voice Response System. (6) The consultant must have passed a comprehensive examination on the 203(k) Program, if HUD has developed such an exam. (c) Delayed effective date of examination requirement for consultants currently on the list. [67 FR 52380, Aug. 9, 2002] § 200.192 Removal of 203(k) consultant. (a) Cause for removal. (1) Poor performance on a HUD quality control field review; (2) Failure to comply with applicable regulations or other written instructions or standards issued by HUD; (3) Failure to comply with applicable Civil Rights requirements; (4) Being debarred or suspended, or subject to a limited denial of participation; (5) Misrepresentation or fraudulent statements; (6) Failure to retain standing as a state licensed architect or state-licensed engineer (unless the consultant can demonstrate the required three years experience as a home inspector or remodeling contractor); (7) Failure to retain standing as a state licensed home inspector, if the consultant is located in a state that requires such licensing; or (8) Failure to respond within a reasonable time to HUD inquiries or requests for documentation. (b) Procedure for removal. automatically (1) HUD will give the consultant written notice of the proposed removal. The notice will state the reasons for, and the duration of, the proposed removal. (2) The consultant will have 20 days from the date of the notice (or longer, if provided in the notice) to submit a written response appealing the proposed removal and to request a conference. A request for a conference must be in writing and must be submitted along with the written response. (3) A HUD official will review the appeal and send a response either affirming, modifying, or canceling the removal. The HUD official will not be someone who was involved in HUD's initial removal decision. HUD will respond with a decision within 30 days of receiving the appeal or, if the consultant has requested a conference, within 30 days after the completion of the conference. HUD may extend the 30-day period by providing written notice to the consultant. (4) If the consultant does not submit a timely written response, the removal will be effective 20 days after the date of HUD's initial removal notice (or after a longer period provided in the notice). If a written response is submitted, and the removal decision is affirmed or modified, the removal will be effective on the date of HUD's notice affirming or modifying the initial removal decision. (c) Placement on the list after removal. (d) Other action. [67 FR 52380, Aug. 9, 2002, as amended at 72 FR 73494, Dec. 27, 2007] § 200.193 Responsibilities of 203(k) consultants on the list. All consultants included on the list are responsible for: (a) Obtaining and reading the HUD handbook on the 203(k) Program (4240.4) and any updates to the handbook. (b) Complying with the HUD handbook on the 203(k) Program (4240.4), and any updates to the handbook, when performing any consultant function under the 203(k) Program. (c) Obtaining and reading all Mortgagee Letters and other instructions issued by HUD relating to the 203(k) Program. (d) Complying with all Mortgagee Letters and other instructions issued by HUD relating to the 203(k) Program, when undertaking any consultant function under the 203(k) Program. (e) Complying with HUD's request for documentation relating to any 203(k) project on which the consultant has worked. (f) Complying with HUD's monitoring requirements relating to the 203(k) Program. [67 FR 52381, Aug. 9, 2002] Nonprofit Organization § 200.194 Placement of nonprofit organization on Nonprofit Organization Roster. (a) Nonprofit Organization Roster. (1) Be included in the Roster; and (2) Comply with any requirements stated in a specific applicable provision of the single family regulations in this chapter. (b) Application. (c) HUD response to application. (1) Approval of the nonprofit organization to participate in all, or some, of the FHA activities specified in its application and the addition of the nonprofit organization to the Roster. (2) Rejection due to deficiencies in the application. HUD will provide the nonprofit organization with a period to correct these deficiencies. (3) Rejection due to the nonprofit organization's failure to submit a program that complies with applicable single family regulations in this chapter, Mortgagee Letters, or other standards or instructions issued by HUD. (d) Reapplication after two years. [67 FR 39239, June 6, 2002] § 200.195 Removal of nonprofit organization from Nonprofit Organization Roster. (a) Cause for removal. (1) Failure to comply with applicable single family regulations in this chapter, Mortgagee Letters or other written instructions or standards issued by HUD; (2) Failure to comply with applicable Civil Rights requirements; (3) Holding a significant number of FHA-insured mortgages that are in default, foreclosure, or claim status (in determining the number considered “significant,” HUD may compare the number of insured mortgages held by the nonprofit organization against the similar holdings of other nonprofit organizations); (4) Being debarred or suspended, subject to a limited denial of participation, or otherwise sanctioned by HUD; (5) Failure to further all objectives described in the affordable housing program narrative; (6) Misrepresentation or fraudulent statements; or (7) Failure to respond within a reasonable time to HUD inquiries, including recertification requests or other requests for further documentation. (b) Procedure for removal. (1) HUD will give the nonprofit organization written notice of the proposed removal. The notice will include the reasons for the proposed removal and the duration of the proposed removal. (2) The nonprofit organization will have 20 days from the date of the notice (or longer, if provided in the notice) to submit a written response appealing the proposed removal and to request a conference. A request for a conference must be in writing and must be submitted along with the written response. (3) A HUD official will review the appeal and provide an informal conference if requested. The HUD official will send a response either affirming, modifying, or canceling the removal. The HUD official will not be someone who was involved in HUD's initial removal decision. HUD will respond with a decision within 30 days of receiving the response, or, if the nonprofit organization has requested a conference, within 30 days after the completion of the conference. HUD may extend the 30-day period by providing written notice to the nonprofit organization. (4) If the nonprofit organization does not submit a timely written response, the removal will be effective 20 days after the date of HUD's initial removal notice (or after a longer period provided in the notice). If a written response is submitted, and the initial removal decision is affirmed or modified, the removal will be effective on the date of HUD's notice affirming or modifying the initial removal decision. (c) Placement on the Roster after removal. (d) Other action. [67 FR 39239, June 6, 2002, as amended at 72 FR 73494, Dec. 27, 2007] Subpart G—Appraiser Roster Source: 64 FR 72869, Dec. 28, 1999, unless otherwise noted. § 200.200 What is the Appraiser Roster? (a) Appraiser Roster. (b) Disclaimer. § 200.202 How do I apply for placement on the Appraiser Roster? (a) Application. To apply for placement on the Appraiser Roster, you must submit an application to HUD. (b) Eligibility. To be eligible for placement on the Appraiser Roster: (1) You must be a state-certified appraiser with credentials that complied with the applicable certification criteria established by the Appraiser Qualification Board (AQB) of the Appraisal Foundation and in effect at the time the certification was awarded by the issuing jurisdiction; and (2) You must not be listed on: (i) The General Services Administration's Suspension and Debarment List; (ii) HUD's Limited Denial of Participation List; or (iii) HUD's Credit Alert Verification Reporting System. [73 FR 1432, Jan. 8, 2008, as amended at 76 FR 72308, Nov. 23, 2011] § 200.204 What actions may HUD take against unsatisfactory appraisers on the Appraiser Roster? An unsatisfactory appraiser may be subject to removal, education requirements, or other actions, as follows: (a) Removal from the Appraiser Roster. (1) Cause for removal. (i) Significant deficiencies in appraisals, including non-compliance with Civil Rights requirements regarding appraisals; (ii) Losing standing as a state-certified appraiser due to disciplinary action in any state in which the appraiser is certified; (iii) Prosecution for committing, attempting to commit, or conspiring to commit fraud, misrepresentation, or any other offense that may reflect on the appraiser's character or integrity; (iv) Failure to perform appraisal functions in accordance with instructions and standards issued by HUD; (v) Failure to comply with any agreement made between the appraiser and HUD or with any certification made by the appraiser; (vi) Being issued a final debarment, suspension, or limited denial of participation; (vii) Failure to maintain eligibility requirements for placement on the Appraiser Roster as set forth under this subpart or any other instructions or standards issued by HUD; or, (viii) Failure to comply with HUD-imposed education requirements under paragraph (d) of this section within the specified period for complying with such education requirements. (2) Procedure for removal. (i) You will be given written notice of your proposed removal. The notice will include the reasons for your proposed removal and the duration of your proposed removal. (ii) You will have 20 days from the date of your notice of proposed removal to submit a written response appealing the proposed removal and to request a conference. A request for a conference must be in writing and must be submitted along with a written response. (iii) Within 30 days of receiving your written response, or if you have requested a conference, within 30 days after the completion of your conference, a HUD official, designated by the Secretary, will review your appeal and will send you a final decision either affirming, modifying, or canceling your removal from the Appraiser Roster. HUD may extend this time upon giving you notice. The HUD official designated by the Secretary to review your appeal will not be someone involved in HUD's initial removal decision nor will it be someone who reports to a person involved in that initial decision. (iv) If you do not submit a written response, your removal will be effective 20 days after the date of HUD's initial removal notice. If you submit a written response, and the removal decision is affirmed or modified, your removal or modification will be effective on the date of HUD's notice affirming or modifying the initial removal decision. (3) Automatic removal for issuance of final debarment, suspension, or limited denial of participation. (b) Reinstatement. (c) Automatic suspension from Appraiser Roster Appraisers subject to state disciplinary action. (2) Expirations not due to state disciplinary action. (d) Education requirements. (e) Other action. [65 FR 17977, Apr. 5, 2000, as amended at 68 FR 26950, May 16, 2003; 72 FR 73494, Dec. 27, 2007; 73 FR 1432, Jan. 8, 2008; 76 FR 72308, Nov. 23, 2011] § 200.206 What are my responsibilities as an appraiser listed on the Appraiser Roster? All appraisers listed on the Appraiser Roster are responsible for: (a) Obtaining and reading the HUD Appraiser Handbook (4150.2) and any updates to the Handbook; (b) Complying with the HUD Appraiser Handbook (4150.2), and any updates to the Handbook, when performing all appraisals of properties for HUD single family mortgage insurance purposes; and (c) Complying with all other instructions and standards issued by HUD when performing all appraisals of properties for HUD single family mortgage insurance purposes. Subpart H—Participation and Compliance Requirements Source: 81 FR 71263, Oct. 14, 2016, unless otherwise noted. § 200.210 Policy. (a) Regulations. et seq. (b) Processing Guide. www.hud.gov. § 200.212 Definitions. As used in this subpart: Commissioner Controlling Participant Covered Project Previous Participation Risk. Triggering Event § 200.214 Covered Projects. The following types of multifamily and healthcare projects are Covered Projects subject to the requirements of this subpart, provided however that single family projects are excluded from the definition of Covered Projects: (a) FHA insured projects. (b) Housing for the elderly or persons with disabilities. (c) Risk Share projects. (d) Projects subject to continuing HUD requirements. (e) Subsidized Projects. (1) Interest reduction payments under section 236 of the National Housing Act (12 U.S.C. 1715z-1); (2) Rental Assistance Payments under section 236 of the National Housing Act (12 U.S.C. 1715z-1); (3) Rent Supplement payments under section 101 of the Housing and Urban Development Act of 1965 (12 U.S.C. 1701s); or (4) Project-based housing assistance payment contracts under section 8 of the United States Housing Act of 1937 (42 U.S.C. 1437f) administered by HUD's Office of Housing. § 200.216 Controlling Participants. (a) Definition. (1) An owner of a Covered Project; (2) A borrower of a loan financing a Covered Project; (3) A management agent; (4) An operator (in connection with healthcare projects insured under the following section of the National Housing Act: Section 232 (12 U.S.C. 1715w) and section 242 (12 U.S.C. 1715z-7)); (5) A master tenant (in connection with any multifamily housing project insured under the National Housing Act (12 U.S.C. 1701 et seq. (6) A general contractor; and (7) In connection with a hospital project insured under section 242 of the National Housing Act (12 U.S.C. 1715z-7), a construction manager; (b) Control of entities. (1) Individuals or entities with the ability to direct the day-to-day operations of a Specified Capacity or a Covered Project; (2) Individuals or entities that own at least 25 percent of an entity that is a Specified Capacity; (3) Individuals or entities with the ability to direct the entity to enter into agreements relating to the Triggering Event that necessitates review of Previous Participation, including without limitation individuals or entities that own at least 25 percent of entities determined to control an entity that is a Specified Capacity; and (4) In connection with a hospital project insured under section 242 of the National Housing Act (12 U.S.C. 1715z-7), members of a hospital Board of Directors (or similar body) and executive management (such as the Chief Executive Officer and Chief Financial Officer) that HUD determines to have control over the finances or operation of a Covered Project. (c) Exclusions from definition. (1) Passive investors and investor entities with limited liability in Covered Projects benefiting from tax credits, including but not limited to low-income housing tax credits pursuant to section 42 of title 26 of the United States Code, whether such investors are syndicators, direct investors or investors in such syndicators and/or investors; (2) Individuals or entities that do not exercise financial or operational control over the Covered Project, a Specified Capacity or another Controlling Participant; (3) Unless determined by HUD to exercise day-to-day control over the operations or finances of a Specified Capacity or Covered Project, board members of a non-profit corporation who are not officers or otherwise part of the executive management teams of the non-profit; (4) Mortgagees acting in their capacity as such; and (5) Public housing agencies (PHAs). § 200.218 Triggering Events. (a) Each of the following is a Triggering Event that may subject a Controlling Participant to Previous Participation review under § 200.220: (1) An application for FHA mortgage insurance; (2) An application for funds provided by HUD pursuant to a program administered by HUD's Office of Housing, such as but not limited to supplemental loans; (3) A request to change any Controlling Participant for which HUD consent is required with respect to a Covered Project; or (4) A request for consent to an assignment of a housing assistance payment contract under section 8 of the United States Housing Act of 1937 or of another contract pursuant to which a Controlling Participant will receive funds in connection with a Covered Project. (b) The Commissioner may also require a review of a potential owner's Previous Participation in connection with a loan sale or other form of property disposition, including foreclosure sale. Notwithstanding anything contained in the regulations in this subpart to the contrary, any such review shall be in accordance with the terms, conditions, provisions and other requirements set forth by the Commissioner in connection with such loan sale or property disposition which may differ, in whole or in part, from the regulations in this subpart. § 200.220 Previous Participation review. (a) Scope of review. (2) The Commissioner will not review Previous Participation for interests acquired by inheritance or by court decree. (3) In connection with the submittal of an application for any Triggering Event, applicants shall identify the Controlling Participants and, to the extent requested by HUD, make available to HUD the Controlling Participant's Previous Participation in Covered Projects. (b) Results of review. (2) The Commissioner shall provide notice of the determination to the Controlling Participant including the reasons for disapproval or limitation. The Commissioner may provide notice of the determination to other parties as well, such the FHA-approved lender in the transaction. (c) Basis for disapproval. (2) The Commissioner may disapprove a Controlling Participant if the Commissioner determines: (i) The Controlling Participant is materially restricted, including voluntarily, from doing business with HUD (other than the restrictions listed in paragraph (c)(1) of this section) or any other governmental department or agency if the Commissioner determines that such restriction demonstrates a significant risk to proceeding with the Triggering Event; or (ii) The Controlling Participant's record of Previous Participation reveals significant risk to proceeding with the Triggering Event. (d) Alternatives to disapproval. (1) Condition or limit the Controlling Participant's participation; (2) Temporarily withhold issuing a determination in order to gather more necessary information; or (3) Require the Controlling Participant to remedy or mitigate outstanding violations of HUD requirements to the Commissioner's satisfaction in order to participate in the Triggering Event. § 200.222 Request for reconsideration. (a) Where participation in a Triggering Event has been disapproved, otherwise limited or conditioned because of Previous Participation review, the Controlling Participant may request reconsideration of such determination by a review committee or reviewing officer as established by the Commissioner. Reconsideration decisions shall not be rendered by the same individual who rendered the initial review. (b) The Controlling Participant shall submit requests for such reconsideration in writing within 30 days of receipt of the Commissioner's notice of the determination under § 200.220. (c) The review committee or reviewing officer shall schedule a review of such requests for reconsideration. The Controlling Participant shall be provided written notification of such a review; such notice shall provide at least 7 business days advanced notice of the reconsideration. The Controlling Participant shall be provided the opportunity to submit such supporting materials as the Controlling Participant desires or as the review committee or reviewing officer requests. (d) Before making its decision, the review committee or reviewing officer will analyze the reasons for the decision(s) for which reconsideration is being requested, as well as the documents and arguments presented by the Controlling Participant. The review committee or reviewing officer may affirm, modify, or reverse the initial decision. Upon making its decision, the review committee or reviewing officer will provide written notice of its determination to the Controlling Participant setting forth the reasons for the determination(s). Subpart I—Nondiscrimination and Fair Housing § 200.300 Nondiscrimination and fair housing policy. Federal Housing Administration programs shall be administered in accordance with: (a) The nondiscrimination and fair housing requirements set forth in 24 CFR part 5, including the prohibition on inquiries regarding sexual orientation or gender identity set forth in 24 CFR 5.105(a)(2); and (b) The affirmative fair housing marketing requirements in 24 CFR part 200, subpart M and 24 CFR part 108. [77 FR 5675, Feb. 3, 2012] Subpart J—Equal Employment Opportunity § 200.400 Purpose. The purpose of this subpart is to assist in achieving the aims of part III of Executive Order 11246 and the relevant regulations of the Secretary of Labor and the Secretary of Housing and Urban Development. § 200.405 Notice to public. Participants in insurance programs under the National Housing Act shall be informed, as early as possible upon indicating their interest in any such program, of the established policy of nondiscrimination in employment in construction, repair or rehabilitation work financed with assistance under the Act. § 200.410 Definition of term “applicant”. (a) In any mortgage or loan insurance transaction under this chapter where the Commissioner will control the mortgagor either through the ownership of corporate stock or under the provisions of a regulatory agreement, the term applicant (b) In any transaction other than one specified in paragraph (a) of this section, the term applicant § 200.415 Agreement of applicant. An applicant, prior to the Commissioner's issuance of any commitment or other loan approval, shall agree (in a form prescribed by the Commissioner) that there shall be no discrimination against anyone who is employed in carrying out work receiving assistance pursuant to this chapter, or against an applicant for such employment, because of race, color, religion, sex, handicap, age, or national origin. [58 FR 41000, July 30, 1993] § 200.420 Equal opportunity clause to be included in contracts and subcontracts. (a) The equal opportunity clause prescribed by the Commissioner pursuant to the regulations of the Secretary of Labor (41 CFR chapter 60) shall be included in each nonexempt contract and subcontract for work receiving FHA assistance. (b) Subcontracts less than $50,000 may incorporate by reference the equal opportunity clause. (c) The equal opportunity clause shall be deemed to be a part of each nonexempt contract or subcontract whether or not it is physically incorporated in such contract. § 200.425 Exemptions. (a) Transactions of $10,000 or under. (b) Contracts and subcontracts for indefinite quantities. (c) Work outside the United States. (d) Others. § 200.430 Sanctions. Failure or refusal to comply and give satisfactory assurances of future compliance with the requirements of this subpart shall be proper basis for applying sanctions. The sanctions shall be applied in accordance with the provisions of Executive Order 11246 and the relevant regulations of the Secretary of Labor. Subparts K-L [Reserved] Subpart M—Affirmative Fair Housing Marketing Regulations Source: 37 FR 75, Jan. 5, 1972, unless otherwise noted. § 200.600 Purpose. The purpose of this subpart is to set forth the Department's equal opportunity regulations for affirmative fair housing marketing under FHA subsidized and unsubsidized housing programs. § 200.605 Authority. The regulations in this subpart are issued pursuant to the authority to issue regulations granted to the Secretary by section 7(d) of the Department of Housing and Urban Development Act of 1965, 42 U.S.C. 3535(d), and implement the functions, powers, and duties imposed on the Secretary by Executive Order 11063, 27 FR 11527, and title VIII of the Civil Rights Act of 1968, as amended, 42 U.S.C. 3608. [40 FR 20080, May 8, 1975] § 200.610 Policy. It is the policy of the Department to administer its FHA housing programs affirmatively, as to achieve a condition in which individuals of similar income levels in the same housing market area have a like range of housing choices available to them regardless of their race, color, religion, sex, handicap, familial status or national origin. Each applicant for participation in FHA subsidized and unsubsidized housing programs shall pursue affirmative fair housing marketing policies in soliciting buyers and tenants, in determining their eligibility, and in concluding sales and rental transactions. [40 FR 20080, May 8, 1975, as amended at 58 FR 41337, Aug. 3, 1993] § 200.615 Applicability. The affirmative fair housing marketing requirements, as set forth in paragraphs (a) through (f) of § 200.620, shall apply to all applicants for participation in FHA subsidized and unsubsidized housing programs whose application is hereafter approved for development or rehabilitation of: (a) Multifamily projects and manufactured home parks of five or more lots, units or spaces, and initial submissions by a lender for an application for mortgage insurance on a single family property, where the property is located in a subdivision and the builder or developer intends to sell five or more properties in the subdivision; or (b) Dwelling units, when the applicant's participation in FHA housing programs had exceeded or would thereby exceed development of five or more such dwelling units during the year preceding the application, except that there shall not be included in a determination of the number of dwelling units developed by an applicant those in which a single family dwelling is constructed or rehabilitated for occupancy by a mortgagor on property owned by the mortgagor and in which the applicant had no interest prior to entering into the contract for construction or rehabilitation. [37 FR 75, Jan. 5, 1972, as amended at 50 FR 9268, Mar. 7, 1985; 58 FR 41337, Aug. 3, 1993] § 200.620 Requirements. With respect to all FHA subsidized or unsubsidized programs in which the applicant hereafter participates (except for housing for which a conditional commitment has been issued prior to the effective date of these regulations), the applicant shall meet the following requirements or, if he contracts marketing responsibility to another party, be responsible for that party's carrying out the requirements: (a) Carry out an affirmative program to attract buyers or tenants, regardless of sex, handicap or familial status, of all minority and majority groups to the housing for initial sale or rental. An affirmative marketing program shall be in effect for each multifamily project throughout the life of the mortgage. Such a program shall typically involve publicizing to minority persons the availability of housing opportunities regardless of race, color, religion, sex, handicap or familial status or national origin, through the type of media customarily utilized by the applicant, including minority publications or other minority outlets which are available in the housing market area. All advertising shall include either the Department-approved Equal Housing Opportunity logo or slogan or statement and all advertising depicting persons shall depict persons of majority and minority groups, including both sexes. (b) Maintain a nondiscriminatory hiring policy in recruiting from both minority and majority groups, including both sexes and the handicapped, for staff engaged in the sale or rental of properties. (c) Instruct all employees and agents in writing and orally in the policy of nondiscrimination and fair housing. (d) Specifically solicit eligible buyers or tenants reported to the applicant by the Area or Insuring Office. (e) Prominently display in all offices in which sale or rental activity pertaining to the project or subdivision takes place the Department-approved Fair Housing Poster and include in any printed material used in connection with sales or rentals, the Department-approved Equal Housing Opportunity logo or slogan or statement. (f) Post in a conspicuous position on all FHA project sites a sign displaying prominently either the Department-approved Equal Housing Opportunity logo or slogan or statement. [37 FR 75, Jan. 5, 1972, as amended at 40 FR 20080, May 8, 1975; 40 FR 53008, Nov. 14, 1975; 58 FR 41337, Aug. 3, 1993] § 200.625 Affirmative fair housing marketing plan. Each applicant for participation in FHA housing programs to which these regulations apply shall provide on a form to be supplied by the Department information indicating his affirmative fair housing marketing plan to comply with the requirements set forth in § 200.620. This form, once approved by HUD, will be available for public inspection at the sales or rental offices of the applicant. § 200.630 Notice of housing opportunities. The Director of each Field Office shall prepare monthly a list of all projects covered by this subpart, and of all initial submissions by lenders for single family mortgage insurance where the property is located in a subdivision and the builder or developer intends to sell five or more properties in the subdivision, on which commitments have been issued during the preceding 30 days. The Director shall maintain a roster of interested organizations and individuals (including public agencies responsible for providing relocation assistance and local housing authorities) who have expressed a wish to receive the monthly list, and shall provide the list to these organizations and individuals. [58 FR 41337, Aug. 3, 1993] § 200.635 Compliance. Applicants failing to comply with the requirements of this subpart will make themselves liable to sanctions authorized by regulations, rules or policies governing the program pursuant to which the application was made, including but not limited to denial of further participation in departmental programs and referral to the Department of Justice for suit by the United States for injunctive or other appropriate relief. The Department will enforce compliance through the procedures outlined in 24 CFR part 108. [37 FR 75, Jan. 5, 1972, as amended at 58 FR 41337, Aug. 3, 1993] § 200.640 Effect on other requirements. The requirement for compliance with this part is in addition to, and not in substitution for, any other requirements imposed by or under Executive Order 11063 or the Fair Housing Act. [58 FR 41337, Aug. 3, 1993] Appendix to Subpart M of Part 200—Equal Housing Opportunity Insignia The Equal Housing Opportunity insignia are as follows: Equal Housing Opportunity logo: Equal Housing Opportunity statement: “We are pledged to the letter and spirit of U.S. policy for the achievement of equal housing opportunity throughout the Nation. We encourage and support an affirmative advertising and marketing program in which there are no barriers to obtaining housing because of race, color, religion, sex, or national origin.” Equal Housing Opportunity slogan: “Equal Housing Opportunity.” [37 FR 75, Jan. 5, 1972, as amended at 40 FR 20080, May 8, 1975] Subpart N [Reserved] Subpart O—Lead-Based Paint Poisoning Prevention Source: 64 FR 50224, Sept. 15, 1999, unless otherwise noted. § 200.800 Lead-based paint. The Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing regulations at part 35, subparts A, B, F, G, I, and R of this title, apply to activities under these programs, except for single family mortgage insurance and guarantee programs. Sections 200.805 and 200.810 apply to single family mortgage insurance and guarantee programs administered by HUD. § 200.805 Definitions. Applicable surface. Defective paint surface. Lead-based paint surface. 2 § 200.810 Single family insurance and coinsurance. (a) General. (i) Section 244 (coinsurance); (ii) Section 213 (cooperative housing insurance); (iii) Section 220 (rehabilitation and neighborhood conservation housing insurance); (iv) Section 221 (housing for moderate income and displaced families); (v) Section 222 (mortgagor insurance for servicemen); (vi) Section 809 (armed services housing for civilian employees); (vii) Section 810 (armed services housing in impacted areas); (viii) Section 234 (mortgage insurance for condominiums); (ix) Section 235 (mortgage assistance payments for home ownership and project rehabilitation); (x) Section 237 (special mortgage insurance for low and moderate income families); and (xi) Section 240 (mortgage insurance on loans for purchase of fee simple title from lessors). (2) [Reserved] (3) Applications for insurance in connection with a refinancing transaction where an appraisal is not required under the applicable procedures established by the Commissioner are excluded from the coverage of this section. Any housing assisted under the programs set out in this section for which no new activity is applied for or required is not covered by this section. (b) Appraisal. (c) Treatment of defective paint surfaces. (d) Home equity conversion mortgage insurance. [64 FR 50224, Sept. 15, 1999, as amended at 69 FR 34275, June 21, 2004] Subpart P—Physical Condition of Multifamily Properties Source: 65 FR 77240, Dec. 8, 2000, unless otherwise noted. § 200.850 Physical condition standards and physical inspection requirements. The requirements in 24 CFR part 5, subpart G, are applicable to the multifamily properties assisted or insured that are listed in 24 CFR 5.701. [88 FR 30498, May 11, 2023] § 200.853 [Reserved] § 200.855 [Reserved] § 200.857 [Reserved] Subpart R [Reserved] Subpart S—Minimum Property Standards § 200.925 Applicability of minimum property standards. All housing constructed under HUD mortgage insurance and low-rent public housing programs shall meet or exceed HUD Minimum Property Standards, except that this requirement shall be applicable to manufactured homes eligible for insurance pursuant to § 203.43f of this chapter only to the extent provided therein. The Minimum Property Standards may be waived to the same extent as the other regulatory requirements for eligibility for insurance under the specific mortgage insurance program involved. [58 FR 60248, Nov. 15, 1993] § 200.925a Multifamily and care-type minimum property standards. (a) Construction standards. (1) The applicable State of local building code, if the property is located within a jurisdiction which has a building code accepted by the Secretary under § 200.925a(d); or (2)(i) The applicable State or local building code, and (ii) Those portions of the codes identified in § 200.295c which are designated by the HUD Field Office serving the jurisdiction in which the property is to be located, if the property is located in a jurisdiction which has a building code partially accepted by the Secretary; or (3) The appropriate codes, as identified in § 200.925c(c), if the property is not located within a jurisdiction which has a building code accepted by the Secretary. (b) Conflicting standards. (c) Standard for evaluating local building codes. (1) A State or local code will be accepted if it regulates each area on the list. (2) A State or local building code will be partially accepted if it regulates most of the areas on the list. However, no code may be partially accepted if it fails to regulate the subarea for seismic design (see § 200.925b(c)(5)), or if it fails to regulate subareas in more than one of the following major areas listed in § 200.925b: fire safety, light and ventilation, structural loads and seismic design, foundation systems, materials standards, construction components, glass, mechanical, plumbing, electrical, and elevators. (3) For purposes of this paragraph, a state or local code regulates an area if it establishes a standard concerning that area. However, for earthquake loads (see § 200.925b(c)(5)), ASCE 7-88 is mandatory. (d) Review process and acceptance Jurisdictions without previously accepted building codes. (i) Developers or other interested parties must comply with one of the following by the time of application for insurance or other benefits: (A) The developer or other interested party may choose to comply with the appropriate codes as identified in § 200.925c. If the developer or other interested party so chooses, then the multifamily or care-type property shall be constructed in accordance with one of the model codes designated in paragraph (c)(1), (2) or (3) of § 200.925c and with any other code or codes identified in the same paragraph. In such instances, the developer or other interested party shall notify the Department of the code or group of codes with which it intends to comply by the time of application for insurance or other benefits; or (B) The developer or other interested party may choose to comply with the State or local building code, if such code is acceptable to the Secretary. To obtain the Secretary's acceptance, the developer or other interested party shall submit the material specified in paragraph (d)(1)(ii) of this section to the HUD Field Office serving the jurisdiction in which the property is to be constructed. Such material may be submitted at any time; provided, however, that it must be submitted no later than the time of application for mortgage insurance or other benefits. (ii) If, under paragraph (d)(1)(i)(B) of this section, the developer or other interested party chooses to comply with the State or local building code as prescribed in paragraph (a)(1) of this section, it shall submit the following material to the HUD field Office serving the jurisdiction in which the property is to be constructed: (A) A copy of the jurisdiction's building code, including all applicable service codes, appendices and referenced standards; and (B) A copy of the statute, ordinance, regulation, or order establishing the code, if such statute, ordinance, regulation or order is not contained in the building code itself. However, the developer or other interested party need not submit any document already on file in the Field Office. (2) Jurisdictions with previously accepted or partially accepted building codes. (i) At the time of application for mortgage insurance or other benefits, the developer or other interested party shall submit to the HUD Field Office serving the jurisdiction in which the property is to be constructed. (A) A certificate stating that, since its acceptance by the Secretary, the jurisdiction's building code has not been changed; or (B)( 1 ( 2 (3) Notification of decision. (i) If a developer or other interested party is notified that a State or local building code has not been accepted, then the multifamily or care-type properties eligible for HUD benefits in that jurisdiction shall be constructed in accordance with the appropriate codes indicated in § 200.925c(c). In such instances, the developer or other interested party shall notify the HUD Field Office of the code or codes with which it chooses to comply, in accordance with § 200.925a(d)(1)(i)(A). (ii) If a developer or other interested party is notified that a State or local building code has been partially accepted, then the multifamily or care-type properties eligible for HUD benefits in that jurisdiction shall be constructed in accordance with the applicable State or local building code, plus those additional requirements identified in the written notice issued by the Secretary under § 200.925a(d)(3). The written notice shall identify, in accordance with appendix J of the Handbook identified in § 200.929(b)(2), those portions of the codes listed at § 200.925c(a) with which the property must comply. (iii) Each Regional Office will maintain a current list of jurisdictions with accepted building codes and a current list of jurisdictions with partially accepted building codes. The lists will state the most recent date of each code's acceptance or partial acceptance and will be available to any interested party upon request. In addition, the list of jurisdictions whose codes have been partially accepted shall identify those portions of the codes listed at § 200.925c(a) with which the property must comply. (Approved by the Office of Management and Budget under control number 2502-0321) [49 FR 18695, May 1, 1984, as amended at 51 FR 28699, Aug. 11, 1986; 58 FR 60248, Nov. 15, 1993; 59 FR 36695, July 19, 1994] § 200.925b Residential and institutional building code comparison items. HUD will review each local code submitted under this chapter to determine whether it regulates all of the following areas and subareas: (a) Fire safety. (2) Allowable height and area; (3) Fire separations; (4) Fire resistance requirements; (5) Means of egress (number and distance); (6) Individual unit smoke detectors; (7) Building alarm systems; (8) Highrise criteria; (b) Light and ventilation. (2) Bath and toilet rooms. (c) Structural loads and seismic design. (2) Design dead loads; (3) Snow loads; (4) Wind loads. (5) Earthquake loads (in localities identified by ASCE 7-88 (formerly ANSI A58.1-82) as being in seismic zones 1, 2, 3, or 4, and Guam). (6) Special loads, i.e., soil pressure, railings, interior walls etc. (d) Foundation systems. (2) Foundation depths; (3) Footings; (4) Foundation materials criteria; (5) Piles, i.e., materials, allowable stresses, design; (6) Excavation; (e) Materials standards. (f) Construction components. (2) Masonry; (3) Concrete; (4) Gypsum; (5) Lumber; (6) Roof construction and covering; (7) Chimneys and fireplaces. (g) Glass. (2) Safety glazing. (h) Mechanical. (2) Boilers and pressure vessels; (3) Gas, liquid and solid fuel piping and equipment; (4) Chimneys and vents; (5) Ventilation (air changes). (i) Plumbing. (2) Sizing and installing drainage systems; (3) Vents and venting; (4) Traps; (5) Cleanouts; (6) Plumbing fixtures; (7) Water supply and distribution; (8) Storm drain systems. (j) Electrical. (2) Wiring methods and materials; (3) Equipment for general use; (4) Special equipment; (5) Special conditions; (6) Communication systems. (k) Elevators. (2) Acceptance tests and periodic tests. [49 FR 18696, May 1, 1984, as amended at 51 FR 28699, Aug. 11, 1986; 58 FR 60248, Nov. 15, 1993; 59 FR 36695, July 19, 1994] § 200.925c Model codes. (a) Incorporation by reference. (1) Model Building Codes The BOCA National Building Code, 1993 Edition, The BOCA National Plumbing Code, 1993 Edition, and the BOCA National Mechanical Code, 1993 Edition, (ii) Standard Building Code, 1991 Edition, including 1992/1993 revisions. Standard Plumbing Code, 1991 Edition, Standard Mechanical Code, 1991 Edition, including 1992 revisions, and Standard Gas Code, 1991 Edition, (iii) Uniform Building Code, 1991 Edition, Uniform Plumbing Code, 1991 Edition, including the 1992 Code Changes Uniform Mechanical Code, 1991 Edition, (2) National Electrical Code, (3) National Standard Plumbing Code, (b) Model Code Compliance Requirements. (i) Those provisions of the model codes that do not pertain to residential or institutional buildings; (ii) Those provisions of the model codes that establish energy requirements for multifamily or care-type structures; and (iii) Those provisions of the model codes that require or allow the issuance of permits of any sort. (2) Where the model codes set forth in paragraph (a)(1) of this section designate a building, fire, mechanical, plumbing or other official, the Secretary's designee in the HUD Field Office serving the jurisdiction in which the property is to be constructed shall act as such official. (c) Designation of Model Codes. (1) The BOCA National Building Code, The BOCA National Plumbing and The BOCA National Mechanical Code, (2) Standard Building Code, Standard Plumbing Code, Standard Mechanical Code and Standard Gas Code, National Electrical Code, (3) Uniform Building Code, Uniform Plumbing Code and Uniform Mechanical Code, Uniform Plumbing Code, National Electrical Code, (4) The National Electrical Code, [49 FR 18696, May 1, 1984, as amended at 51 FR 28699, Aug. 11, 1986; 58 FR 60248, Nov. 15, 1993; 59 FR 36695, July 19, 1994] § 200.926 Minimum property standards for one and two family dwellings. (a) Construction standards Applicable structures. (2) Applicability of standards to new construction. (i) Approved for insurance or other benefits prior to the start of construction, including approval under the Direct Endorsement process described in § 203.5 of this chapter, or under the Lender Insurance process described in § 203.6 of this chapter; (ii) Approved for insurance or other benefits based upon participation in an insured warranty program; or (iii) Insured as new construction based upon a Certificate of Reasonable Value issued by the Department of Veterans Affairs. (b) Conflicting standards. (c) Standard for evaluating local or state building codes. (1) A local or State code will be accepted if it regulates each area and subarea on the list. (2) A State or local building code will be partially accepted if it regulates most of the areas on the list. However, no code may be partially accepted if it fails to regulate the subarea for seismic design (see § 200.926a(c)(5)), or if it fails to regulate subareas in more than one of the following major areas listed in § 200.926a: fire safety, light and ventilation, structural loads and seismic design, foundation systems, materials standards, construction components, glass, mechanical, plumbing, and electrical. (3) For purposes of this paragraph, a local or State code regulates an area or subarea if it establishes a standard concerning that area or subarea. However, for earthquake loads (see § 200.926a(c)(5)), ASCE 7-88 is mandatory. (d) Code selection. (1) Jurisdictions without previously accepted building codes. (i) In jurisdictions without local building codes: (A) If the State building code is acceptable, the lender or other interested party must comply with the State building code and the requirements of § 200.926d; (B) If the State building code is partially acceptable, the lender or other interested party must comply with: ( 1 ( 2 ( 3 (C) If there is no State building code or if the State building code is unacceptable, the lender or other interested party must comply with: ( 1 ( 2 (ii) In jurisdictions with local building codes which have never been submitted for review, lenders or other interested parties must: (A) Comply with the requirements of paragraph (d)(1)(i) (A), (B) or (C) of this section, as appropriate; or (B) Request the Secretary's acceptance of the local building code in accordance with paragraph (d)(1)(iv) of this section. ( 1 ( 2 ( i ( ii ( iii ( 3 (iii) In jurisdictions with local building codes which previously have been submitted for review and which have been found unacceptable by the Secretary: (A) If the local code has not been changed since the date the code or changes thereto were submitted to the Secretary, the lender or other interested party must comply with the requirements of paragraph (d)(1)(i) (A), (B) or (C) of this section, as appropriate; or (B) If the local code has been changed since the date when the code or changes thereto were submitted to the Secretary, the lender or other interested party must submit a copy of all changes to the local building code, including all applicable service codes and appendices and a copy of the statute, ordinance, regulation or order making such changes in the code, which have been made since the date when the code or other changes thereto were last submitted to the Secretary. However, the lender or other interested party need not submit any part already in the possession of the HUD Field Office. Based upon the Secretary's determination concerning the acceptability of the local code as changed, the lender or other interested party must comply with the requirements of paragraph (d)(1)(ii)(B) ( 1 2 3 (iv) In order to obtain the Department's approval of a local code, the lender or other interested party must submit the following material to the HUD Field Office serving the jurisdiction in which the property is to be constructed: (A) A copy of the jurisdiction's local building code, including all applicable service codes and appendices; and (B) A copy of the statute, ordinance, regulation, or order establishing the code, if such statute, ordinance, regulation or order is not contained in the building code itself. However, the lender or other interested party need not submit any document already on file in the HUD Field Office. (2) Jurisdictions with previously accepted or partially accepted building codes. (i) The lender or other interested party shall submit to the HUD Field Office serving the jurisdiction in which the property is to be constructed: (A) A certificate stating that, since the date when the code or any changes thereto were last submitted to the Secretary, the jurisdiction's local building code has not been changed; or (B)( 1 ( 2 (ii) If, based upon changes to the local building code, the Secretary determines that it is unacceptable, the lender or other interested party must comply with the requirements of paragraph (d)(1) (i)(A), (B) or (C) of this section, as appropriate. (iii) If the local building code was previously found by the Secretary to be partially acceptable and there have been no changes to it or if the local building code was previously found by the Secretary to be partially acceptable and if, based upon changes to it, the Secretary determines that it is still partially acceptable or if the local building code was previously found by the Secretary to be acceptable and if, based upon changes to it, the Secretary determines that it is partially acceptable, then the lender or other interested party must comply with paragraphs (d)(1)(ii)(B)( 2 i ii iii (iv) If the local building code was previously found by the Secretary to be partially acceptable and if, based upon changes to it, the Secretary determines that it is acceptable, or if the local building code was previously found by the Secretary to be acceptable and there have been no changes to the code, or if the local building code was previously found by the Secretary to be acceptable and if, based upon changes to it, the Secretary determines that it is still acceptable, then the lender or other interested party must comply with the local building code and the requirements of § 200.926d. (3) Notification of decision. (ii) The Secretary shall review the material submitted under § 200.926(d). Following that review, the Secretary shall issue a written notice (except where there is a previously accepted or partially accepted code which has not been changed) to the submitting party stating whether the local building code is acceptable, partially acceptable, or not acceptable. Where the local building code is not acceptable, the notice shall also state whether the State code is acceptable, partially acceptable or not acceptable. The notice shall also contain the basis for the Secretary's decision and a notification of the submitting party's right to present its views concerning the denial of acceptance if the code is neither accepted nor partially accepted. The Secretary may, in his or her discretion, permit either an oral or written presentation of views. (4) Department's responsibilities. (ii) The Department is responsible for obtaining copies of the State codes and any changes thereto. (Approved by the Office of Management and Budget under control number 2502-0474) [50 FR 39592, Sept. 27, 1985, as amended at 57 FR 27927, June 23, 1992; 57 FR 58340, Dec. 9, 1992; 58 FR 13536, Mar. 12, 1993; 58 FR 41337, Aug. 3, 1993; 58 FR 60249, Nov. 15, 1993; 59 FR 36695, July 19, 1994; 62 FR 30225, June 2, 1997; 64 FR 56110, Oct. 15, 1999] § 200.926a Residential building code comparison items. HUD will review each local and State code submitted under this subpart to determine whether it regulates all of the following areas and subareas: (a) Fire Safety. (2) Fire separations; (3) Fire resistance requirements; (4) Egress doors and windows; (5) Unit smoke detectors; (6) Flame spread. (b) Light and ventilation. (2) Bath and toilet rooms. (c) Structural loads and seismic design. (2) Design dead loads; (3) Snow loads (for jurisdictions with snow loading conditions identified in Section 7 of ASCE-7-88 (formerly ANSI A58.1-82); (4) Wind loads; (5) Earthquake loads (for jurisdictions in seismic zones 3 or 4, as identified in Section 9 of ASCE-7-88 (formerly ANSI A58.1-82)). (d) Foundation systems. (2) Footings; (3) Foundation materials criteria. (e) Materials standards. (f) Construction components. (2) Masonry; (3) Concrete; (4) Lumber; (5) Roof construction and covering; (6) Chimneys and fireplaces. (g) Glass. (2) Safety glazing. (h) Mechanical. (2) Gas, liquid and solid fuel piping and equipment; (3) Chimneys and vents; (4) Ventilation (air changes). (i) Plumbing. (2) Sizing and installing drainage systems; (3) Vents and venting; (4) Traps; (5) Cleanouts; (6) Plumbing fixtures; (7) Water supply and distribution; (8) Sewage disposal systems. (j) Electrical. (2) Services; (3) Grounding; (4) Wiring methods; (5) Cable; (6) Conduit; (7) Outlets, switches and junction boxes; (8) Panelboards. [50 FR 39594, Sept. 27, 1985, as amended at 59 FR 36695, July 19, 1994] § 200.926b Model codes. (a) Incorporation by reference. (1) CABO One and Two Family Dwelling Code, (2) Electrical Code for One and Two Family Dwellings, (b) Model code compliance requirements. (i) Those provisions of the model codes that establish energy requirements for one and two family dwellings; and (ii) Those provisions of the model codes that require or allow the issuance of permits of any sort. (2) Where the model codes set forth in paragraph (a) of this section designate a building, fire, mechanical, plumbing or other official, the Secretary's designee in the HUD Field Office serving the jurisdiction in which the dwelling is to be constructed shall act as such official. (c) Designation of Model Codes. [50 FR 39594, Sept. 27, 1985, as amended at 58 FR 60249, Nov. 15, 1993] § 200.926c Model code provisions for use in partially accepted code jurisdictions. If a lender or other interested party is notified that a State or local building code has been partially accepted, then the properties eligible for HUD benefits in that jurisdiction shall be constructed in accordance with the applicable State or local building code, plus those additional requirements identified below. Depending upon the major area identified in § 200.926a which is not adequately regulated by the State or local code, the HUD Field Office will designate, in accordance with the schedule below, those portions of one of the model codes with which the property must comply. Schedule for Model Code Supplements to Local or State Codes Deficient major items from § 200.926a as determined by field office review Portions of the CABO One and Two Family Dwelling Code, 1992 Edition, including the 1993 amendments, with which a property must comply (a) Fire safety Chapters 2, 9; Section R-402. (b) Light and ventilation Chapter 2; Section R-309. (c) Structural loads and seismic design Chapter 2. (d) Foundation systems Chapter 3. (e) Materials standards Chapter 26. (f) Construction components Part III. (g) Glass Chapter 2. (h) Mechanical Part IV. (i) Plumbing Part V. (j) Electrical Electrical code for 1- and 2-family dwellings (NFPA 70A-1990). [50 FR 39594, Sept. 27, 1985, as amended at 58 FR 60249, Nov. 15, 1993; 59 FR 36695, July 19, 1994] § 200.926d Construction requirements. (a) Application General. (2) Requirements for accessibility to physically handicapped people. (i) Technical standards. See (3) Variations to standards New materials and technologies. See (ii) Variation procedures. (A) For a particular design or construction method to be used on a single case or project, the decision is the responsibility of the Field Office. Headquarters concurrence is not required. (B) Where a variation is intended to be on a repetitive basis, a recommendation for a Local Acceptable Standard, substantiating data, and background information shall be submitted by the Field Office to the Director, Office of Manufactured Housing and Regulatory Functions. (iii) Variances which require individual analysis and decision in each instance are not considered as repetitive variances even though one particular standard is repeatedly the subject of variation. Such variances are covered by paragraph (a)(3)(ii)(A) of this section. (b) General acceptability criteria Real estate entity. (2) Service and facilities Trespass. (A) legal provision is made for permanent access for the maintenance of the exterior portion of the lot line wall, and (B) the minimum distances from the dwelling to the dwellings on the abutting properties are not less than the sum of the side yard distances computed as appropriate for the type of opposing walls. (minimum distance 10 ft). (ii) Utilities. (3) Site conditions. (ii) When special conditions exist or arise during construction which were unforeseen and which necessitate precautionary or hazard mitigation measures, the HUD Field Office shall require corrective work to mitigate potential adverse effects from the special conditions as necessary. Special conditions include rock formations, unstable soils or slopes, high ground water levels, springs, or other conditions which may adversely affect a property. It shall be the builder's responsibility to ensure proper design, construction and satisfactory performance where these conditions are present. (4) Access. (ii) Each living unit shall have a means of access such that it is unnecessary to pass through any other living unit. (iii) The rear yard shall be accessible without passing through any other living unit. (iv) For a townhouse type dwelling, access to the rear yard may be by means of alley, easement, passage through the dwelling, or other means acceptable to the HUD Field Office. (c) Site design General. (ii) With the exception of paragraph (c)(4) of this section, these site design standards apply only in communities that have not adopted criteria for site development applicable to one and two family dwellings. (iii) Single family detached houses situated on individual lots located on existing streets with utilities need not comply with the requirements of paragraphs (c)(2) and (c)(3) of this section. (2) Streets. (ii) Streets shall be designed for dedication for public use and maintenance or, when approved by the HUD Field Office, may be retained as private streets where protected by permanent easements. (3) Dedication. (4) Drainage and flood hazard exposure Residential structures located in Special Flood Hazard Areas. (ii) Residential structures located in FEMA-designated “coastal high hazard areas.” (iii) New construction. ( 1 ( 2 ( 3 (B) Under the DE program, these mortgages are not eligible for insurance unless the DE mortgagee submits the LOMA, LOMR, or Elevation Certificate to HUD with the mortgagee's request for endorsement. (iv) Streets. (v) Crawl spaces. (d) Special construction and product acceptance Structural features of factory produced (modular or panelized) housing or components. (i) For factory fabricated systems or components, HUD Handbook 4950.1, “Technical Suitability of Products Program Technical and Processing Procedures” shall apply. (ii) The requirements of this part shall apply to structural features, consisting of factory fabricated systems or components assembled either at the factory or at the construction site, if the total construction is covered by these standards and can be inspected on-site for determination of compliance. (2) Non-structural or non-standard features. See See (3) Standard Features. (e) Energy efficiency. (f) Water supply systems General. (ii) The chemical and bacteriological standards of the local health authority shall apply. In the absence of such standards, those of the appropriate State agency shall apply. A water analysis may be required by either the health authority or the HUD Field Office. (iii) Whenever feasible, connection shall be made to a public water system. When a public system is not available, connection shall be made to a community system which complies with HUD Handbook 4940.2, if feasible. (2) Individual water systems. (ii) The chemical and bacteriological standards of the local health authority shall apply. In the absence of such standards, those of the appropriate State agency shall apply. A water analysis may be required by either the health authority or the HUD Field Office. (iii) After installation, the system shall be disinfected in accordance with the recommendations or requirements of the local health authority. In the absence of a health authority, system cleaning and disinfection shall conform to the current EPA Manual of Individual Water Supply Systems. (iv) Bacteriological or chemical examination of a water sample collected by a representative of the local or state health authority shall be made when required by that authority or the HUD Field Office. (3) Location of wells. (ii) Water which comes from any soil formation which may be polluted, contaminated, fissured, creviced or less than 20 ft. below the natural ground surface is not acceptable, unless acceptable to the local health authority. (iii) Individual water supply systems are not acceptable for individual lots in areas where chemical soil poisoning has been or is practiced if the overburden of soil between the ground surface and the water bearing strata is coarse grained sand, gravel, or porous rock, or is creviced in a manner which will permit the recharge water to carry the toxicants into the zone of saturation. (iv) The following table shall be used in establishing the minimum acceptable distances between wells and sources of pollution located on either the same or adjoining lots. These distances may be increased by either the health authority having jurisdiction or the HUD Field Office. Distance From Source of Pollution Source of pollution Minimum Property Line 10 Septic Tank 50 Absorption Field 1 Seepage Pit 1 Absorption Bed 1 Sewer Lines w/Permanent Watertight Joints 10 Other Sewer Lines 50 Chemically Poisoned Soil 3 Dry Well 50 Other ( 2 1 2 3 (4) Well construction. (ii)(A) All drilled wells shall be provided with a sound, durable and watertight casing capable of sustaining the loads imposed. (B) The casing shall extend from a point several feet below the water level at drawdown or from an impervious strata above the water level to 12 in. above either the ground surface or the pump room floor. The casing shall be sealed at the upper opening to a depth of at least 15 feet. (iii) Bored wells shall be lined with concrete, vitrified clay or equivalent materials. (iv) The space between the casing or liner and the wall of the well hole shall be sealed with cement grout. (v) The well casing shall not be used to convey water except under positive pressure. A separate drop pipe shall be used for the suction line. (vi) When sand or silt is encountered in the water-bearing formation, the well shall either be compacted and gravel packed, or a removable strainer or screen shall be installed. (vii) The surface of the ground above and around the well shall be compacted and graded to drain surface water away from the well. (viii) Openings in the casing, cap, or concrete cover for the entrance of pipes, pumps or manholes shall be watertight. (ix) If a breather is provided, it shall extend above the highest level to which surface water may rise. The breather shall be watertight, and the open end shall be screened and positioned to prevent entry of dust, insects and foreign objects. (5) Pump and equipment. (ii) Pumps and equipment shall be mounted to be free of objectionable noises, vibrations, flooding, pollution, and freezing. (iii) Suction lines shall terminate below maximum drawdown of the water level in the well. (iv) Horizontal segments of suction line shall be placed below the frost line in a sealed casing pipe or in at least 4 in. of concrete. The distance from suction line to sources of pollution shall be not less than shown in the table at paragraph (f)(3)(iv) of this section. (6) Storage tanks. (ii) Tanks shall be equipped with a clean-out plug at the lowest point, and a suitable pressure relief valve. (Approved by the Office of Management and Budget under control number 2502-0474) [50 FR 39594, Sept. 27, 1985, as amended at 53 FR 11271, Apr. 6, 1988; 56 FR 5350, Feb. 11, 1991; 57 FR 9609, Mar. 19, 1992; 57 FR 27927, June 23, 1992; 58 FR 41337, Aug. 3, 1993; 58 FR 60249, Nov. 15, 1993; 59 FR 19112, Apr. 21, 1994; 62 FR 30225, June 2, 1997; 64 FR 56110, Oct. 15, 1999; 89 FR 30913, Apr. 23, 2024] § 200.926e Supplemental information for use with the CABO One and Two Family Dwelling Code. The following shall be used in Table No. R-202, Climatic and Geographic Design Criteria of the CABO One and Two Family Dwelling Code. (a) Roof live loads. Roof slope 3 in 12 or less: 20 psf Roof slope over 3 in 12: 15 psf Roof used as deck: 40 psf (b) Roof snow load. (c) Wind pressures. (1) Minimum design wind pressure criteria. (ii) Chimneys, p = 30 psf. (iii) Exterior walls, p = 15 psf inward or outward. Local pressure at corners of walls shall be not less than p = 30 psf outward. These local pressures shall not be included with the design pressure when computing overall loads. The pressures shall be applied perpendicularly outward on strips of width equal to 10 percent of the least width of building. (iv) Partitions, p = 10 psf. (v) Windows, p = 20 psf inward or outward. (vi) Roof, p = 20 psf inward or outward. Roofs with slopes greater than 6 in 12 shall be designed to withstand pressures acting inward normal to the surface, equal to the design wind pressure for exterior walls. Overhanging eaves, cornices, and ridges, 40 psf upward normal to roof surface. These local pressures shall not be included with the design pressure when computing overall loads. The pressures shall be applied perpendicularly outward on strips of width equal to 10 percent of the least width of building. Net uplift on horizontal projection of roof shall not be less than 12 psf. (2) Severe wind design pressures. (d) Seismic conditions shall be in accordance with Section 9 of ASCE 7-88. (e) Subject to damage from: weathering. (f) Subject to damage from: frost line depth. (g) Subject to damage from: termites. (h) Subject to damage from: decay. (Approved by the Office of Management and Budget under control number 2502-0338) [50 FR 39599, Sept. 27, 1985, as amended at 59 FR 36695, July 19, 1994] § 200.927 Incorporation by reference of minimum property standards. The Minimum Property Standards as contained in the handbooks identified in § 200.929(b) are incorporated by reference into this section as though set forth in full in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. [50 FR 39592, Sept. 29, 1985] § 200.929 Description and identification of minimum property standards. (a) Description. (b) Identification. (1) MPS for One and Two Family Dwellings. See (2) MPS for Housing 4910.1, 1994 edition. This volume applies to buildings and sites designed and used for normal multifamily occupancy, including both unsubsidized and subsidized insured housing, and to care-type housing insured under the National Housing Act. It also includes, in Appendix K, a reprint of the MPS for One and Two Family Dwellings identified in paragraph (b)(1) of this section. [39 FR 26895, July 24, 1974, as amended at 42 FR 33890, July 1, 1977; 47 FR 29524, July 7, 1982; 47 FR 35761, Aug. 17, 1982; 49 FR 18695, May 1, 1984; 50 FR 39592, Sept. 29, 1985; 51 FR 28699, Aug. 11, 1986; 58 FR 60250, Nov. 15, 1993; 63 FR 5423, Feb. 2, 1998] § 200.929a Fair Housing Accessibility Guidelines. Builders and developers may use the Department's Fair Housing Accessibility Guideline when designing or constructing covered multifamily dwelling units in order to comply with the Fair Housing Act. The Guidelines may be found in the 24 CFR Chapter I, Subchapter A, Appendix II, titled Fair Housing Accessibility Guidelines—Design Guidelines for Accessible/Adaptable Dwellings. [58 FR 60250, Nov. 15, 1993] § 200.931 Statement of availability. (a) Updated copies of the Minimum Property Standards and Use of Materials Bulletins are available for public examination in the Office of Consumer and Regulatory Affairs, Department of Housing and Urban Development, room 9156, 451 Seventh St. SW., Washington, D.C. 20410-8000. In addition, copies of volumes 1, 2, and 3 of the Minimum Property Standards may be purchased from the U.S. Government Printing Office, Washington, D.C. 20402. (b) Publications approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51 are available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. [63 FR 5423, Feb. 2, 1998] § 200.933 Changes in minimum property standards. Changes in the Minimum Property Standards will generally be made every three years. Changes will be made in accordance with HUD policy for the adoption of rules and regulations set forth in part 10 of this title. Notice of such changes will be published in the Federal Register. [39 FR 26895, July 24, 1974, as amended at 58 FR 60250, Nov. 15, 1993] § 200.934 User fee system for the technical suitability of products program. (a) General. (b) Filing address Applications containing payment. U.S. Department of Housing and Urban Development, Technical Suitability of Product Fees, P.O. Box 954199, St. Louis, MO. 63195-4199. (2) Other correspondence. Manufactured Housing and Construction Standards Division, Department of Housing and Urban Development, 451 Seventh Street, SW., Attn: Mail Room B-133, Washington, DC 20410. (3) Application for ALAs. (c) Fees. Federal Register. (d) Initial application and review Content of applications. (i) With respect to Mechanical Engineering Bulletins (MEBs), Structural Engineering Bulletins (SEBs), Truss Connector Bulletins (TCBs), and Area Letters of Acceptance (ALAs), each structural design shall constitute a different item. (ii) With respect to Materials Releases (MRs), each product or system shall constitute a different item. (2) Revisions. (3) Renewals. (4) Initial and revision applications requiring further study or additional data. (5) Ineligible applications. (6) Cancellation of a technical suitability document. (e) Identification. (2) In the case of an application for an ALA submitted to a field office, the application will be processed in accordance with the identification and processing procedures established by the responsible field office. The field office will notify the applicant of receipt of the application and inform the applicant of the procedures that will be followed with respect to the issuance of an ALA. (Information collection requirements in paragraphs (b), (c), (d)(1), (2), (3) and (4) were approved by the Office of Management and Budget under control number 2502-0313) [49 FR 31856, Aug. 9, 1984, as amended at 58 FR 60250, Nov. 15, 1993] § 200.935 Administrator qualifications and procedures for HUD building products certification programs. (a) General. (b) Definitions Certification program (“program”). (2) Program administrator (“administrator”). (c) Administrator qualifications and application procedures Qualifications. (i) Be a technically qualified organization with past experience in the administration of certification programs. The certification program(s) shall be under the supervision of a qualified professional with six years of experience in interpreting testing standards, test methods, evaluating test reports and quality control programs. Each administrator is responsible for staffing the program with qualified professional personnel with experience in interpreting testing standards, test methods, evaluating test reports and quality control programs. The staff shall be adequate to service all aspects of the program. (ii) Have field inspectors trained to make selections of materials for testing from manufacturer's stock or from distributors' establishments and to conduct product compliance inspections. Such inspectors must be trained and experienced in evaluating manufacturer's quality control records to ascertain with a reasonable degree of assurance that continuing production remains in compliance with the applicable standard set forth in the Use of Materials (UM) Bulletin. When inspectors are used to evaluate laboratory operations, they shall be qualified and under the supervision of the administrator. They shall be knowledgeable in such areas as test methods, quality control, testing techniques, and instrument calibration. (iii) Have facilities and capabilities for communications with manufacturers, laboratories, and HUD, including publication of a directory of certified products and a list of accredited laboratories, if required by the program. (iv) Have adequate policies and practices for preserving information entrusted to its care. HUD reserves the right to review all technical records related to the program for the purpose of monitoring. (v) Have a copy of all applicable standards, test methods and related information necessary to carry out the program. (vi) Have a registered or pending certification mark at the United States Patent Office and be willing to license, on a uniform basis, the use of that mark by manufacturers as a validation of the manufacturer's certification that the product complies with the applicable standard. (2) Applications procedures. (i) A list of certification programs in which the organization is participating or has participated and the types of participation (sponsor, administrator, testing laboratory, etc.). (ii) A procedural guide used in one of these programs. (iii) A directory or listing used in one of these programs. (iv) A reproduction or facsimile of the organization's registered or pending mark. (v) A proposed procedural guide for the particular certification program. HUD certification program procedures described in paragraph (d) of this section shall be followed. (3) Acceptance. (d) HUD building products certification procedures Certification program development. (2) License agreement. (3) Laboratory approval. (4) Initial testing and quality control review Initial testing. (ii) Quality assurance system review. ( 1 ( 2 ( 3 ( 4 ( 5 (B) These standards have been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. They are available from the American Society for Quality Control (ASQC), 611 East Wisconsin Avenue, Milwaukee, WI 53202. (5) Notice of validation. (6) Labeling. (7) Directory or listing. (8) Periodic tests and quality control inspections. (9) Product decertification. (10) Challenge response. (11) Maintenance of the program. Federal Register. (e) Laboratory qualifications. (1) Organization and personnel. (i) Name of laboratory, address, telephone number, name and title of official to be contacted for this program. (ii) Name and qualifications of person assigned by the laboratory to supervise testing under a specific certification program. (iii) Name and qualifications of engineers and other key personnel who shall conduct the testing. (iv) Brief review of training program for personnel associated with program to assure the operational efficiency and uniformity of the testing and quality control procedures. Each laboratory shall notify the administrator of any change in its submission regarding procedures and/or major personnel associated with the program. (2) Equipment and facilities. (i) Describe the test instruments and testing facilities to be used in making the test(s) required by the applicable standard. Information shall include: Item of equipment, manufacturer, type or model, serial number, range, precision, frequency of calibration and dates of calibration. (ii) Provide photographs of the listed equipment. (iii) Provide a description of the applicable standards and calibration equipment being used and the calibration procedures followed, including National Bureau of Standards traceability, when applicable. List outside organizations providing calibration services, if used. (iv) Demonstrate that measurements can be made with existing equipment and repeated precision within the limits established by the applicable standards. Administrator may periodically require laboratories to conduct collaborative testing on standard reference materials. (v) Provide evidence, when regulated temperatures and humidity are required, that charts are maintained from a continuous recorder registering both wet and dry bulb temperature or relative humidity. The charts are to be properly dated, retained and available for inspection. (vi) Provide a list of standards, test methods and other information necessary to carry out the program. (3) Testing methodology. (ii) Attach a sample test report showing representative test results and accompanied by test data forms for each test required. When approved for program participation, testing laboratories may be required by administrator to report test results on standard summary report forms. (4) Subcontractors. (5) Laboratory quality control. 1 1 (6) Approval of laboratories. (7) Withdrawal of approval. (i) Incompetence. (ii) Failure to test in accordance with the test methods described in the standard. (iii) Issuance of test reports which fail to comply with the requirements described in the specific product certification program. (iv) Falsification of the information reported. (v) A statement implying validation of the product using a test report which constitutes only part of the total standard. (vi) Deceptively utilizing references in advertising or other promotional activities. (vii) Submission of incomplete or inadequate information and documentation called for herein. [44 FR 54656, Sept. 20, 1979, as amended at 63 FR 5423, Feb. 2, 1998; 72 FR 73494, Dec. 27, 2007] § 200.936 Supplementary specific procedural requirements under HUD building products certification program for solid fuel type room heaters and fireplace stoves. (a) Applicable standards. (1) ANSI/UL 737 (1978), for fireplace stoves; (2) ANSI/UL 1482 (1979), for solid fuel type room heaters with coal amendments. (b) Labelling. (i) The manufacturer's statement of conformance to the HUD Building Products Certification Program; (ii) The manufacturer's name and the identity and location of manufacturing plant; (iii) The specification designation and manufacturer series or model number; and (iv) The type of fuel to be used. (2) The certification label must be permanently affixed to the heater or stove and be readily visible after the heater or stove is installed. (c) Periodic tests and quality control inspections. (1) Once every four years, beginning with the initial administrator visit, a sample of each certified product shall be selected by the administrator for testing for compliance with the applicable standards in a laboratory which has been accredited under the National Voluntary Laboratory Accreditation Program. (2) The administrator shall visit the manufacturer's facility two times a year to assure that the initially accepted quality control procedures are being followed. [48 FR 1955, Jan. 17, 1983] § 200.937 Supplementary specific procedural requirements under HUD building product standards and certification program for plastic bathtub units, plastic shower receptors and stalls, plastic lavatories, plastic water closet bowls and tanks. (a) Applicable standards. ANSI Z124.1—(1980) Plastic Bathtub Units ANSI Z124.2—(1980) Plastic Shower Receptors and Stalls ANSI Z124.3—(1980) Plastic Lavatories ANSI Z124.4—(1983) Plastic Water Closet Bowls and Tanks (2) These standards have been approved by the Director of the Federal Register for incorporation by reference. They are available from the American National Standards Institute, Inc., 11 West 42nd Street, New York, NY 10036. The standards are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (i) Manufacturer's statement of conformance to UM 73a; (ii) Manufacturer's name and code identifying the plant location. (2) The certification label shall be affixed to each plastic bathroom fixture. (c) Periodic tests and quality control inspections. (1) At least every six months, the administrator shall visit the manufacturer's facility to select a sample of each certified plastic bathtub unit, plastic shower receptor and stall, plastic water closet bowl and tank for testing in an approved laboratory, in accordance with applicable standards. (2) At least every twelve months, the administrator shall visit the manufacturer's facility to select a sample of each certified plastic lavatory for testing in accordance with applicable standards. (3) The administrator shall also review quality control procedures at each visit to determine that they continue to be followed. [49 FR 378, Jan. 4, 1984, as amended at 59 FR 36695, July 19, 1994] § 200.940 Supplementary specific requirements under the HUD building product standards and certification program for sealed insulating glass units. (a) Applicable standards. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference. The standard is available from the American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103. This standard is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and quality assurance inspections. (1) At least once a year, the administrator shall visit the manufacturer's facility to select a sample, of the maximum size commercially available, for testing in a laboratory approved by the administrator. (2) The administrator shall also review the quality assurance procedures twice a year to assure that they are being followed by the manufacturer. [58 FR 67674, Dec. 22, 1993] § 200.942 Supplementary specific procedural requirements under HUD building product standards and certification program for carpet and carpet with attached cushion. (a) Applicable standards. (i) AATCC 20A-81—Fiber Analysis: Quantitative; (ii) AATCC 16E-82—Colorfastness to Light: Water-Cooled Xenon-Arc Lamp, Continuous Light; (iii) AATCC 8-85—Colorfastness to Crocking: AATCC Crockmeter Method; (iv) AATCC 24-85—Insect, Resistance to Textiles to; (v) ASTM D1335-67 (Reapproved 1972)—Standard Test Method for Tuft Bind of Pile Floor Coverings; (vi) ASTM D3676-78 (Reapproved 1983)—Standard Specification for Rubber Cellular Cushion Used for Carpet or Rug Underlay; (vii) ASTM E648-78—Standard Test Method for Critical Radiant Flux of Floor-Covering Systems Using a Radiant Heat Energy Source; (viii) ASTM D2646-79—Standard Methods of Testing Backing Fabrics; (ix) ASTM D3936-80—Standard Test Method for Delamination Strength of Secondary Backing of Pile Floor Coverings; (x) ASTM D297-81—Standard Methods for Rubber Products—Chemical Analysis; (xi) ASTM D418-82—Standard Methods of Testing Pile Yarn Floor Covering Construction; and (xii) National Bureau of Standards DOC FF 1-70. (ASTM D2859-76)—Standard Test Method for Flammability of Finished Textile Floor Covering Materials. (2) These standards have been approved by the Director of the Federal Register for incorporation by reference. They are available from the (i) American Association of Textile Chemists and Colorists (AATCC), P.O. Box 12215, Research Triangle Park, NC 27709; (ii) American Society for Testing and Materials (ASTM), 1916 Race Street, Philadelphia, PA 19103; and (iii) U.S. Department of Commerce, National Bureau of Standards, Washington, DC 20234. The standards are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (i) Manufacturer's name or code identifying the manufacturing plant location; and (ii) Manufacturer's statement of compliance with UM 44d. (2) The certification mark shall be applied to each carpet at intervals of at least every six feet, not less than one foot from the edge. (c) Periodic tests and quality control inspections. i.e., (2) The administrator shall visit the manufacturer's facility at least once every six months to assure that the initially accepted quality control procedures continue to be followed. [51 FR 17928, May 16, 1986] § 200.943 Supplementary specific requirements under the HUD building product standards and certification program for the grademarking of lumber. (a) Applicable standard. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. It is available from the U.S. Department of Commerce, NIST, Office of Voluntary Product Standards, Gaithersburg, MD 20899. (b) Labeling. (1) The registered symbol which identifies the grading agency; (2) Species or species combination; (3) Grade; (4) Identification of the applicable grading rules when not indicated by the species identification or agency symbol; (5) Mill or grader; (6) For members which are less than 5 inches in nominal thickness, indication that the lumber was green or dry at the time of dressing; (7) Indication that the lumber was finger jointed; and (8) The certification mark shall be affixed to each piece of lumber. (c) Periodic tests and quality assurance. [63 FR 5423, Feb. 2, 1998] § 200.944 Supplementary specific requirements under the HUD building product standards and certification program for plywood and other performance rated wood-based structural-use panels. (a)(1) All plywood made to specifications of Voluntary Product Standard, PS 1-83, “Construction and Industrial Plywood” (published by the U.S. Department of Commerce, National Bureau of Standards (May 1984)) and grade marked as PS 1-83 shall conform to the requirements of PS 1-83, except that all veneers may be D-grade. A copy of PS 1-83 may be obtained from the U.S. Department of Commerce, National Institute for Standards and Technology, Office of Product Standards, Gaithersburg, MD 20899. (2) All plywood panels not meeting the veneer grade requirements of PS 1-83, and all performance rated composite and nonveneer structural-use panels shall comply with the requirements described in the APA PRP-108, “Performance Standards and Policies for Structural-Use panels” (published by the American Plywood Association, June 1988). However, in ASTM D-3043-87, “Standard Methods of Testing Structural Panels in Flexure” (published by the American Society for Testing and Materials, August 28, 1987), Method B may be used in lieu of Method C for measuring the mechanical properties of the panel, provided that the test specimen has a width of at least 12 inches. The impact load shall be 150 ft. lbs. for single-layer floor panels excluding any floor finishes. Copies of the APA Standard may be obtained from the American Plywood Association, P.O. Box 11700, Tacoma, WA 98411-0770. Copies of the ASTM Standard may be obtained from the American Society of Testing and Materials, 1916 Race Street, Philadelphia, PA 19103. (3) Structural-use panels shall be installed in accordance with the manufacturer's installation instructions and Form No. E30K, “APA Design/Construction Guide-Residential and Commercial” (published by the American Plywood Association, January 1989). (4) These standards have been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the standards are available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and qualify control inspections. (1) Testing shall be done in an Administrator's laboratory or an Administrator-approved laboratory every three months. All plywood qualified for conformance with PS 1-83 shall be tested in accordance with PS 1-83. (2) All thickness and lay-ups of structural-use panels in production made in conformance with the Performance Standards shall be tested in accordance with procedures set forth in APA PRP-108 Performance Standards and Policies for Structural-Use Panels (published by the American Plywood Association Standard June 1988). (3) The Administrator shall examine each manufacturer's quality control procedures to assure they are the same as or equivalent to those set forth under the Quality Assurance Policy section 4.2.3 of the publication referenced in paragraph (2) above or PS 1-83 section 3.8.6.6, Reexamination. (4) The Administrator shall inspect the manufacturer's procedures at the plant at least every three months to assure that the initially accepted quality control procedures are being followed. [55 FR 38785, Sept. 20, 1990] § 200.945 Supplementary specific requirements under the HUD building product standards and certification program for carpet. (a) Applicable standards. (i) ASTM D418-92—Standard Test Methods for Tuft and Yarn Length of Uncoated Floor Coverings; (ii) ASTM D1335-67—(Reapproved 1972) Standard Test Method for Tuft Bind of Pile Floor Coverings; (iii) ASTM D 2646-87—Standard Test Methods for Backing Fabrics; (iv) ASTM D 3936-80—Standard Test Method for Delamination Strength of Secondary Backing of Pile Floor Coverings; (v) AATCC Test Method 16e-82—Colorfastness to Light: Water-Cooled Xenon-Arc Lamp, Continuous Light; (vi) AATCC Test Method 165-86—Colorfastness to Crocking: Carpets—AATCC Crock Meter Method; (vii) ASTM D 3676-78—(Reapproved 1989) Standard Specification for Rubber Cellular Cushion Used for Carpet or Rug Underlay; (viii) ASTM D 3574-91—Standard Test Methods for Flexible Cellular Materials—Slab, Bonded and Molded Urethane Foams. (2) These standards have been approved by the Director of the Federal Register for incorporation by reference. The standards are available from the American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103 and the American Association of Textile Chemists and Colorists, P.O. Box 12215, Research Triangle Park, NC 27709. These standards are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and quality assurance inspection. (1) Every six months, three samples and one annual field sample of carpet shall be submitted to the Administrator for testing in a laboratory accredited by the National Voluntary Laboratory Accreditation Program of the U.S. Department of Commerce. (2) The administrator also shall review the quality assurance procedures every six months to assure that they are being followed by the manufacturer. [58 FR 67674, Dec. 22, 1993] § 200.946 Building product standards and certification program for exterior finish and insulation systems, use of Materials Bulletin UM 101. (a) Applicable standards: (i) ASCE 7-93, American Society of Civil Engineers—Minimum Design Loads for Buildings and Other Structures. (ii) ASTM C 150-94 Standard Specification for Portland Cement. (iii) ASTM C 920-87 Standard Specification for Elastomeric Joint Sealants. (iv) ASTM C-1186-91 Standard Specification for Flat Non-Asbestos Fiber-Cement Sheets. (v) ASTM D 579-90 Standard Specification for Greige Woven Glass Fabrics. (vi) ASTM D 3273-86—(Reapproved 1991) Standard Test Method for Resistance to Growth of Mold on the Surface of Interior Coatings in an Environmental Chamber. (vii) ASTM E 330-90 Standard Test Method for Structural Performance of Exterior Windows, Curtain Walls, and Doors by Uniform Static Air Pressure Difference. (viii) ASTM E 695-79 (Reapproved 1991), Standard Method of Measuring Relative Resistance of Wall, Floor, and Roof Construction to Impact Loading. (ix) ASTM G 26-93 Standard Practice for Operating Light-Exposure Apparatus (Xenon-Arc Type) With and Without Water for Exposure of Nonmetallic Materials. (x) Council of American Building Officials, Model Energy Code, 1993 Edition. (xi) EIMA Test Method 101.01-95 (modified ASTM C67-91) Standard Test Method for Freeze/Thaw Resistance of Exterior Insulation and Finish Systems (EIFS), Class PB. (xii) EIMA Test Method 101.02-95 (modified ASTM E331-91)—Standard Test Method for Resistance to Water Penetration of Exterior Insulation and Finish Systems (EIFS), Class PB. (xiii) EIMA Test Method 101.03-95 (modified ASTM C297-91)—Standard Test Method for Determining the Tensile Adhesion Strength of an Exterior Insulation and Finish System (EIFS), Class PB. (xiv) EIMA Test Method 105.01-95—Standard Test Method for Alkali Resistance of Glass Fiber Reinforcing Mesh for Use in Exterior Insulation and Finish Systems (EIFS), Class PB. (xv) European Agreement Union Technical Committee—June 88—UEAtc Directives for the Assessment of External Insulation System for Walls (Expanded Polystyrene Insulation Faced with a Thin Rendering) Section 3.3.3.3. (2) These standards have been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. They are available from: (i) American Society Civil Engineers (ASCE) 345 East 47th Street, New York, NY 10017. (ii) American Society for Testing and Materials (ASTM), 1916 Race Street, Philadelphia, Pennsylvania 19103; (iii) Council of American Building Officials, 5203 Leesburg Pike, Falls Church, Virginia 22041; (iv) EAUTC Centre Scientifique ET Technique Du Batiment (CSTB), 84 Avenue Jesu Jaures, B.P. 02-77421 Marne-LA-Valee Cedex 2, Paris, France. (v) Exterior Insulation Manufacturers Association (EIMA), 2759 State Road 580, Suite 112, Clearwater, Florida 34621-3350. (3) The standards are available also for inspection at the Office of Manufactured Housing and Regulatory Functions, Standards and Products Branch, Department of Housing and Urban Development, room 3214, L'Enfant Plaza, 490E, Mail Room B-133, Washington, DC 20410-8000, and at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (1) Manufacturer's name. (2) Manufacturer's statement of conformance with UM 101. (c) The Administrator shall visit the manufacturer's or sponsor's facility every 6 months, to assure that the initially accepted quality assurance procedures are being followed. At least every four years, the Administrator also shall have the exterior wall insulation and finish systems tested in an approved laboratory to assure that the original performance is maintained. (d) The administrator's (or administration-accepted inspection agency) inspection of EFIS system installation of 5000 sq. ft. or more, shall be made during and upon completion of the construction. Reports of the inspection shall be made to the owner. These reports shall state: (1) The coverage of the finish coat per square foot for a given volume of finish. (2) The minimum thickness of the base and finish coatings. (3) The fiberglass mesh is installed properly around joints and insulation. All penetrations, including windows, flashing, etc., are sealed; and there is a caulk and sealant continuity evaluation; and (4) There is a caulk and sealant continuity evaluation with special concerns on maintenance. (e) The manufacturer shall warrant their exterior wall insulation and finish system, including any caulks and sealants, for twenty years against faulty performance. The warranty shall include correction of delamination, chipping, denting, peeling, blistering, flaking, bulging, unsightly discoloration, or other serious deterioration of the system such as the intrusion of water through the wall or structural failure of the system's surface materials. Should any of these defects occur, the manufacturer shall make a pro-rata allowance for replacement or pay the owner the amount of the allowance. The manufacturer shall not be liable for damages or defects resulting from misuse, natural catastrophes, or other causes beyond the control of the manufacturer. The contractor shall provide a statement to the owner that the product has been installed in compliance with HUD requirements and that the manufacturer's warranty does not relieve the builder, in any way, of responsibility under the terms of the Builder's Warranty required by the National Housing Act, or under any other housing program. [60 FR 47841, Sept. 14, 1995] § 200.947 Building product standards and certification program for polystyrene foam insulation board. (a) Applicable standards. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference. The standard is available from the American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103. This standard is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and quality assurance inspection. (1) At least every six months, the administrator shall visit the manufacturer's facility to select a sample of each certified polystyrene foam insulation board for testing by a laboratory approved by the administrator. (2) The administrator also shall review the quality assurance procedures every six months to assure that they are being followed by the manufacturer. [58 FR 67675, Dec. 22, 1993] § 200.948 Building product standards and certification program for carpet cushion. (a) Applicable standards. (i) ASTM D 1667-76—(Reapproved 1990) Standard Specification for Flexible Cellular Materials—Vinyl Chloride Polymers and Copolymers (Closed-Cell Foam); (ii) ASTM D2646-87—Standard Test Methods for Backing Fabrics; (iii) ASTM D629-88—Standard Test Methods for Quantitative Analysis of Textiles; (iv) ASTM D3574-91—Standard Test Methods for Flexible Cellular Materials—Slab, Bonded, and Molded Urethane Foams; (v) ASTM D3676-78—Standard Specification for Rubber Cellular Cushion Used for Carpet or Rug Underlay. (2) These standards have been approved by the Director of the Federal Register for incorporation by reference. The standards are available from the American Society for Testing Materials, 1916 Race Street, Philadelphia, PA 19103. These standards are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and quality assurance inspection. (1) At least every six months, the administrator shall visit the manufacturer's facility to select a sample of each certified carpet cushion for testing by a laboratory approved by the administrator. (2) The administrator also shall review the quality assurance procedures every six months to assure that they are being followed by the manufacturer. [58 FR 67675, Dec. 22, 1993] § 200.949 Building product standards and certification program for exterior insulated steel door systems. (a) Applicable standards. (i) ASTM A591/A591M-89—Standard Specification for Steel Sheet, Electrolytic-Zinc Coated, for Light Coating Mass Applications; (ii) ISDSI-100-90—Door Size Dimensional Standard and Assembly Tolerances for Insulated Steel Door Systems; (iii) ISDSI-101-83—(Reapproved 1989) Air Infiltration Performance Standard for Insulated Steel Door Systems; (iv) ISDSI-102-84—Installation Standard for Insulated Steel Door Systems; (v) ISDSI-104-86—Water Penetration Performance Standard for Insulated Steel Door Systems; (vi) ISDSI-105-80—Test Procedure and Acceptance Criteria for Physical Endurance for Steel Doors and Hardware Reinforcings; (vii) ISDSI-106-80—Test Procedure and Acceptance Criteria for Prime Painted Steel Surfaces for Steel Doors and Frames; (viii) ISDSI-107-80—Thermal Performance Standard for Insulated Steel Door Systems; (ix) ASTM F476-84—(Reapproved 1991) Standard Test Methods for Security of Swinging Door Assemblies. (2) These standards have been approved by the Director of the Federal Register for incorporation by reference. These standards are available from the American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103 or the Insulated Steel Door Institute, 712 Lakewood Center North, 14600 Detroit Avenue, Cleveland, OH 44107. These standards are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and quality assurance inspection. (1) At least every four years, the administrator shall visit the manufacturer's facility to select a sample of each certified exterior insulated steel door system for testing by an approved laboratory in accordance with the applicable standard. (2) The administrator also shall review the quality assurance procedures every year to assure that they are being followed by the manufacturer. [58 FR 67675, Dec. 22, 1993] § 200.950 Building product standards and certification program for solar water heating system. (a) Applicable standards. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference. The standard is available from the Solar Rating and Certification Corporation, 777 North Capitol Street, NE., suite 805, Washington, DC 20002. This standard is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (b) Labeling. (c) Periodic tests and quality assurance inspection. (1) The Administrator shall visit the manufacturer's factory every two years to assure that the initially accepted quality assurance procedures are being followed. (2) At least every four years, the administrator shall visit the manufacturer's facility to select a sample of each certified solar water heating system for testing by a laboratory approved by the administrator. (d) Warranty. [58 FR 67676, Dec. 22, 1993] § 200.952 Supplementary specific requirements under the HUD building product standards and certification program for particleboard interior stair treads. (a) Applicable standards. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51, and is available from the American National Standards Institute, Inc., 11 West 42nd Street, New York, NY 10036. (b) Labeling. (c) Periodic tests and quality assurance. (1) At least once every three months, the administrator shall visit the manufacturer's facility to select a sample for testing in a laboratory approved by the administrator. (2) The administrator shall also review the quality assurance procedures twice a year to assure that they are being followed by the manufacturer. [63 FR 5424, Feb. 2, 1998] § 200.954 Supplementary specific requirements under the HUD building product standard and certification program for construction adhesives for wood floor systems. (a) Applicable standards. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51, and is available from the American Society for Testing & Materials Inc., 100 Barr Harbor Drive, West Conshohocken, PA. 19428. (b) Labeling. (c) Periodic tests and quality assurance. (1) At least every six months, the administrator shall visit the manufacturer's facility to select a sample for testing in a laboratory approved by the administrator. (2) The administrator shall also review the quality assurance procedures twice a year to assure that they are being followed by the manufacturer. [63 FR 5424, Feb. 2, 1998] § 200.955 Supplementary specific requirements under the HUD building product standard and certification program for fenestration products (windows and doors). (a) Applicable standards. (2) This standard has been approved by the Director of the Federal Register for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51, and is available from the American Architectural Manufacturers Association, 1827 Walden Office Square, Suite 104, Schaumburg, IL 60173. (b) Labeling. (c) Periodic tests and quality assurance inspections. (1) At least once every four years, the administrator shall visit the manufacturer's facility to select a commercial sample for testing in a laboratory approved by the administrator. (2) The administrator shall also review the quality assurance procedures twice a year to assure that they are being followed by the manufacturer. [63 FR 5424, Feb. 2, 1998] Subpart T—Social Security Numbers and Employer Identification Numbers; Assistance Applicants and Participants § 200.1001 Cross-reference. The provisions in subpart B of part 5 of this title apply to Social Security Numbers and Employer Identification Numbers for assistance applicants and participants. [61 FR 11118, Mar. 18, 1996] Subpart U—Social Security Numbers and Employer Identification Numbers; Applicants in Unassisted Programs § 200.1101 Cross-reference. The provisions in subpart B of part 5 of this title apply to Social Security Numbers and Employer Identification Numbers for applicants in unassisted programs. [61 FR 11118, Mar. 18, 1996] Subpart V—Income Information; Assistance Applicants and Participants § 200.1201 Cross-reference. The provisions in subpart B of part 5 of this title apply to income information for assistance applicants and participants. [61 FR 11118, Mar. 18, 1996] Subpart W—Administrative Matters § 200.1301 Expiring programs—Savings clause. (a) No new loan assistance, additional participation, or new loans are being insured under the programs listed in this section. Existing loan assistance, ongoing participation, or insured loans under the programs shall continue to be governed by regulations in effect as described in this section. (b) Any existing loan assistance, ongoing participation, or insured loans under the programs listed in this paragraph will continue to be governed by the regulations in effect as they existed immediately before October 11, 1995 (24 CFR parts 205, 209, 224-228, 240, 277, 278, 1994 edition): (1) Part 205, Mortgage Insurance for Land Development (Title X of the National Housing Act, repealed by section 133(a) of the Department of Housing and Urban Development Reform Act of 1989 (Public Law 101-235, approved December 15, 1989). (2) Part 209, Individual Homes; War Housing Mortgage Insurance (12 U.S.C. 1736-1743). (3) Part 224, Armed Services Housing-Military Personnel (12 U.S.C. 1736-1746a). (4) Part 225, Military Housing Insurance (12 U.S.C. 1748b). (5) Part 226, Armed Services Housing-Civilian Employees (12 U.S.C. 1748h-1). (6) Part 227, Armed Services Housing-Impacted Areas (12 U.S.C. 1478h-2). (7) Part 228, Individual Residences; National Defense Housing Mortgage Insurance (12 U.S.C. 1750 as amended by 42 U.S.C. 1591c). (8) Part 240, Mortgage Insurance on Loans for Fee Title Purchase (12 U.S.C. 1715z-5). (9) Part 277, Loans for Housing for the Elderly or Handicapped (12 U.S.C. 1701q). (10) Part 278, Mandatory Meals Program in Multifamily Rental or Cooperative Projects for the Elderly or Handicapped (12 U.S.C. 1701q). (c) Any existing loan assistance, ongoing participation, or insured loans under the programs listed in this paragraph will continue to be governed by the regulations in effect as they existed immediately before May 11, 1996 (24 CFR parts 215, 222, and 237, 1995 edition): (1) Part 215, Rent Supplement Payments Program (12 U.S.C. 1715f). (2) Part 222, Service Person's Mortgage Insurance Program (12 U.S.C. 1715m). (3) Part 237, Special Mortgage Insurance for Low and Moderate Income Families (12 U.S.C. 1715z-2). (d) Any existing loan assistance, ongoing participation, or insured loans under the program listed in this paragraph will continue to be governed by the regulations in effect as they existed immediately before December 26, 1996 (24 CFR part 233, 1995 edition): (1) Part 233, Experimental Housing Mortgage Insurance Program (12 U.S.C. 1715x). (2) [Reserved] (e) Any existing loan assistance, ongoing participation, or insured loans under the program listed in this paragraph will continue to be governed by the regulations in effect as they existed immediately before August 15, 2014 (24 CFR part 257): (1) Part 257, HOPE for Homeowners Program (12 U.S.C. 1701z-22). (2) [Reserved] (f) No new emergency mortgage assistance, emergency mortgage relief loans, advances of credit or emergency mortgage relief payments, or any other type of assistance permitted under the Emergency Housing Act of 1975, title I of the Emergency Homeowners' Relief Act (12 U.S.C. 2701), as amended by section 1496 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111-203) is being provided under the programs listed below. Any existing emergency assistance, emergency mortgage relief loans, advances of credit or emergency mortgage relief payments under these programs will continue to be governed by the regulations in effect as they existed immediately before September 8, 2014 (24 CFR part 2700): (1) Part 2700, Emergency Homeowners' Loan Program (12 U.S.C. 2701 et seq. (2) [Reserved] (g) Any existing loan assistance (including recapture of loan assistance), ongoing participation, or insured loans under the program listed in this paragraph will continue to be governed by the regulations in effect as they existed immediately before May 4, 2015 (24 CFR part 235, 2014 Edition): (1) Part 235, Mortgage Insurance and Assistance Payments for Home Ownership and Project Rehabilitation (12 U.S.C. 1715z). (2) [Reserved] (h) Any existing loan assistance (including recapture of loan assistance), ongoing participation, or insured loans under the program listed in this paragraph will continue to be governed by the regulations in effect as they existed immediately before February 10, 2016 (24 CFR part 280, 2015 Edition): (1) Part 280, Mortgage Insurance and Assistance Payments for Home Ownership and Project Rehabilitation (12 U.S.C. 17151). (2) [Reserved] [79 FR 41423, July 16, 2014, as amended at 79 FR 46182, Aug. 7, 2014; 80 FR 18096, Apr. 3, 2015; 81 FR 1121, Jan. 11, 2016] § 200.1303 Annual income exclusions for the Rent Supplement Program. (a) The exclusions to annual income described in 24 CFR 5.609(c) apply to those rent supplement contracts governed by the regulations at 24 CFR part 215 in effect immediately before May 1, 1996 (contained in the April 1, 1995 edition of 24 CFR, parts 200 to 219), in lieu of the annual income exclusions described in 24 CFR 215.21(c) (contained in the April 1, 1995 edition of 24 CFR, parts 200 to 219). (b) The mandatory deductions described in 24 CFR 5.611(a) also apply to the rent supplement contracts described in paragraph (a) of this section in lieu of the deductions provided in the definition of “adjusted income” in 24 CFR 215.1 (as contained in the April 1, 1995 edition of 24 CFR, parts 200 to 219). (c) The definition of “persons with disabilities” in paragraph (c) of this section replaces the terms “disabled person” and “handicapped person” used in the regulations in 24 CFR part 215, subpart A (as contained in the April 1, 1995 edition of 24 CFR, parts 200 to 219). Person with disabilities, [66 FR 6224, Jan. 19, 2001] Subpart Y—Multifamily Accelerated Processing (MAP): MAP Lender Quality Assurance Enforcement Source: 70 FR 43242, July 26, 2005, unless otherwise noted. § 200.1500 Sanctions against a MAP lender. (a) In addition to any other legal remedy available to HUD, HUD may take the following actions with respect to a MAP lender: (1) Warning letter; (2) Probation; (3) Suspension; (4) Termination; (5) Limited Denial of Participation (LDP); (6) Referral to the Mortgagee Review Board; and (7) Referral to the Office of Inspector General. (b) The actions listed in paragraphs (a)(1) through (a)(4) of this section are carried out in accordance with the requirements of this subpart. An LDP is a sanction applied in accordance with subpart J of 2 CFR part 2424 to participants in loan transactions other than FHA-insured lenders. The Mortgagee Review Board procedures are found at 24 CFR part 25. [70 FR 43242, July 26, 2005, as amended at 72 FR 73494, Dec. 27, 2007] § 200.1505 Warning letter. (a) In general. (b) Effect of warning letter. (1) Does not suspend a lender's MAP privileges; (2) May impose a higher level of review of the lender's underwriting by HUD; (3) May direct the taking of a corrective action; and (4) May require a meeting in a designated HUD office with the principal owners or officers, or both, of the MAP lender to discuss the specified problems and violations, and possible corrective actions. (c) Relationship to other sanctions. § 200.1510 Probation. (a) In general. (b) Effect of probation. (2) During the probation period, a MAP lender: (i) Shall be removed from the MAP-Approved Lender list posted on HUD's website; (ii) May not submit, and HUD may not accept, materials after the close of business of the date of the probation letter for a new application under MAP for multifamily mortgage insurance from HUD; and (iii) May continue to process any existing application for multifamily mortgage insurance submitted to a Multifamily Hub or Program Center before the date of the probation letter. (3) The MAP Lender Review Board may impose a higher level of review of the lender's underwriting by HUD; (4) Probation is nationwide in effect. (c) Duration of probation. (2) A false statement that corrective action has been taken constitutes a false certification and may constitute a violation of 18 US.C. 1001. (3) When probation is lifted, the lender's name shall be promptly reinstated on the MAP-Approved Lender list posted on HUD's Web site. § 200.1515 Suspension of MAP privileges. (a) In general. (b) Effect of suspension. (2) During the suspension period a MAP lender: (i) Shall be removed from the MAP-approved lender list posted on HUD's Web site; (ii) May not submit, and the HUD field office may not accept, materials after the close of business of the date of the suspension letter for a new application for multifamily mortgage insurance from HUD; and (iii) May continue to process any existing application for multifamily mortgage insurance submitted to a Multifamily Hub or Program Center before the date of the suspension letter. (3) The MAP Lender Review Board may impose a higher level of review of the lender's underwriting by HUD; (4) Suspension is nationwide in effect. (c) Duration of suspension. (i) The time period of the suspension has expired; (ii) The MAP lender has submitted a certification of compliance with those conditions to the Board; and (iii) The Board has notified the MAP lender it has received the certification of compliance and is satisfied that the corrective actions have occurred. (2) When suspension is lifted, the lender's name shall be promptly reinstated on the MAP-Approved Lender list posted on HUD's Web site. § 200.1520 Termination of MAP privileges. (a) In general. (b) Administrative termination. (1) Failure by the MAP lender to maintain its status as an FHA-approved lender; or (2) Failure by the MAP lender to maintain a minimum level of MAP lender activity, as evidenced by failure to submit either a pre-application package or firm commitment application at least once every 12 months. (c) Effect of termination. (2) A terminated lender may not submit, and the HUD field office may not accept, materials after the close of business of the date of the termination letter for new multifamily mortgage insurance from HUD. (3) Any MAP pre-application or MAP application in process may no longer be processed under MAP by the terminated lender. The lender will either: (i) Immediately transfer the transaction to the traditional application processing (TAP) procedure. HUD will completely reprocess all stages of the transaction; or (ii) Immediately transfer the project to a new MAP lender. The new MAP lender must completely reprocess all stages of the transaction. At no time can the new MAP lender assign the pre-application, the firm application, the mortgage insurance commitment, or the insured construction loan back to the original MAP lender. (4) HUD will not endorse any MAP loan processed by the terminated lender unless a firm commitment was issued before the date of termination. (i) Firm commitments involving new construction or substantial rehabilitation must be immediately transferred to a new MAP lender. At no time can the new MAP lender assign the firm mortgage insurance commitment, or the insured construction loan, back to the original MAP lender. (ii) Firm commitments issued for Section 223(f) projects may be transferred before final endorsement to any approved FHA lender or kept in the lender's portfolio. (iii) For those construction loans that have been initially endorsed, the MAP lender will lose its MAP privileges for construction loan administration. HUD will assume all the construction loan administration duties it normally performs for TAP processing. (iv) The original lender may service a transferred loan once it is finally endorsed. (5) Termination is nationwide in effect. (6) When a MAP lender loses its MAP lender status as a result of termination, the lender's status to process transactions using TAP is unaffected, provided that the lender has maintained its status as an FHA-approved multifamily lender. (d) Reinstatement. § 200.1525 Settlement agreements. (a) HUD staff, as authorized, may negotiate a settlement agreement with a MAP lender before or after the issuance of a warning letter or referral to the MAP Lender Review Board. Once a matter has been referred to the MAP Lender Review Board, only the Board may approve a settlement agreement. (b) Settlement agreements may provide for: (1) Cessation of any violation; (2) Correction or mitigation of the effects of any violation; (3) Removal of lender staff from positions involving origination, underwriting, and/or construction loan administration; (4) Actions to collect sums of money wrongfully or incorrectly paid by the MAP lender to a third party; (5) Implementation or revision of a quality control plan or other corrective measure acceptable to HUD; and (6) Modification of the duration or provisions of any administrative sanction deemed to be appropriate by HUD. (c) A MAP lender's compliance with a settlement agreement is evidenced by the lender certifying its compliance with the conditions of the agreement, and HUD's determination that the lender is in compliance with the conditions of the agreement. (d) Failure by a MAP lender to comply with a settlement agreement may result in a probation, or suspension, or termination of MAP privileges, or referral to the Mortgagee Review Board. § 200.1530 Bases for sanctioning a MAP lender. It is HUD policy that approved MAP lenders are expected to comply at all times with HUD's underwriting and construction loan administration requirements and not to take any action that presents a risk to HUD's insurance funds. A MAP lender's improper underwriting and construction loan administration activities may lead to a warning letter or other sanction from HUD. Examples of such activities include, but are not limited to, the following: (a) Minor offenses that may be the basis for a warning letter include: (1) Failure to provide required exhibits or the submission of incomplete or inaccurate exhibits. Although the MAP lender will be permitted to correct minor errors or provide additional information, substantial inaccuracies or lack of significant information will result in a return of the application and retention of any fee collected; (2) Repeated failure to complete processing to firm commitment unrelated to an underwriting analysis that demonstrates that the process should not proceed to firm commitment; (3) Preparation of an underwriting summary that is not supported by the appropriate documentation and analysis; (4) Failure to notify the HUD processing office promptly of changes in the mortgage loan application for a firm commitment submitted, such as changes in rents, numbers of units, or gross project area; (5) Failure to meet MAP closing requirements or construction loan administration requirements; (6) Business practices that do not conform to those generally accepted by prudent lenders or that show irresponsibility; and (7) Failure to cooperate with a Lender Qualifications and Monitoring Division review by HUD. (b) Serious offenses that might be a basis for a warning letter or probation, suspension, or termination include: (1) Receipt of multiple warning letters over any one-year period. In determining which sanction to pursue as a result of prior warning letters, HUD will consider the facts and circumstances surrounding those warning letters and the corrective actions, if any, undertaken by the lender; (2) Fraud or material misrepresentation in the lender's participation in FHA multifamily programs; (3) Lender collusion with, or influence upon, third party contractors to modify reports affecting the contractor's independent evaluation; (4) A violation of MAP procedures by a third party contractor, which the MAP lender knew, or should have known, was occurring and which, if performed by the MAP lender itself, would constitute a ground for a sanction under this chapter; (5) Evidence that a lender's inadequate or inaccurate underwriting was a cause for assignment of an FHA-insured mortgage and claim for insurance benefits to HUD; (6) Identity-of-interest violations as defined by Chapter 2 of the MAP Guide; (7) Payment by, or receipt of a payment by, a MAP lender of any kickback or other consideration, directly or indirectly, which would affect the lender's independent evaluation, or represent a conflict of interest, in connection with any FHA-insured mortgage transaction; (8) Failure to comply with any agreement, certification, undertaking, or condition of approval listed in a MAP lender's application for approval; (9) Noncompliance with any requirement or directive of the MAP Lender Review Board; (10) Violation of the requirements of any contract with HUD, or violation of the requirements in any statute or regulation; (11) Submission of false information, or a false certification, to HUD in connection with any MAP mortgage transaction; (12) Failure of a MAP lender to respond in a timely manner to inquiries from the MAP Lender Review Board in accordance with this subpart; (13) Indictment or conviction of a MAP lender or any of its officers, directors, principals, or employees for an offense that reflects on the responsibility, integrity, or ability of the lender to participate in the MAP initiative; (14) Employing or retaining an officer, partner, director, or principal at the time when the person was suspended, debarred, ineligible, or subject to an LDP under 2 CFR part 2424, or otherwise prohibited from participation in HUD programs, when the MAP lender knew or should have known of the prohibition; (15) Employing or retaining an employee who is not an officer, partner, director, or principal, and who is or will be working on HUD-FHA program matters, at a time when that person was suspended, debarred, ineligible, or subject to an LDP under 2 CFR part 2424, or otherwise prohibited from participation in HUD programs, when the MAP lender knew or should have known of the prohibition; (16) Failure to cooperate with an audit or investigation by the HUD Office of Inspector General or an inquiry by HUD into the conduct of the MAP lender's FHA-insured loans; and (17) Failure to fund MAP mortgage loans or any misuse of mortgage loan proceeds. [70 FR 43242, July 26, 2005, as amended at 72 FR 73494, Dec. 27, 2007] § 200.1535 MAP Lender Review Board. (a) Authority Sanctions. (i) Conducting an impartial review of all information and documentation submitted to the Board; and (ii) Making factual determinations that there has been a violation of MAP requirements. (2) Settlement agreements. (3) Extensions. (b) Notice of violation. (1) Informs the lender that the Board is considering a specific violation; (2) States the specific facts alleged concerning the violation, with citation to the HUD requirements that have been violated; (3) Includes as attachments copies of all documents evidencing the violation and upon which the Board will rely in reaching a decision; (4) Provides the lender with the opportunity to request in writing, within 15 business days after the date of the issuance of the notice, to: (i) Meet for an informal conference with the Board in person or by video conference using HUD facilities at Headquarters or one of HUD's field offices; and (ii) Present written evidence and any other relevant information at the conference; (5) Requires a written response to be submitted to the Board by a date specified within the notice; (6) Provides the street address, email address, or facsimile (FAX) number for purposes of receiving the lender's request for an informal conference and written response; and (7) Is made part of the administrative record of the Board's decision of the matter. (c) Response to notice. (2) Failure to respond by the dates specified within the notice may result in a determination by the Board without conducting an informal conference with the MAP lender and without consideration of any written response submitted by the MAP lender. (d) Informal conference. (2) At the conference, the Board will meet with the lender or its designees and HUD staff to review documentary evidence and presentations by both sides. (3) Oral statements made at the informal meeting will not be considered as part of the administrative record of the Board's determination, except: (i) The Board may note for the record and consider voluntary admissions, made by the lender or a representative of the lender, of any element of the violation charged; (ii) Statements substantiated by any additional documents or evidence submitted in accordance with paragraphs (e)(1) or (e)(3) of this section; and (iii) Transcripts prepared and submitted in accordance with paragraph (e)(2) of this section. (e) Post-conference submissions. (2) No transcript of the informal conference will be made, unless the lender elects to have a transcript made by a certified court reporter at its own expense. If the lender elects to have a transcript made, the lender must provide three copies of the transcript to HUD within five business days after the date of the informal conference. The transcript will not become a part of the administrative record of the Board's decision unless it is submitted within the required five-day period frame. (3) Following the receipt of any post-conference submissions, the Board may request or permit additional documents or evidence to be submitted within a period set by the Board for inclusion in the administrative record. (f) Board action. (2) In determining what action is appropriate concerning the matter, the Board considers, among other factors: (i) The seriousness and the extent of the violation; (ii) Any history of prior offenses; (iii) Deterrence of future violations; (iv) Any inappropriate benefits received by the MAP lender; (v) Potential inappropriate benefit to other persons; and (vi) Any mitigating factors. (3) Board decisions will be determined by majority vote. (g) Notice of action. (2) The Board will notify the MAP lender of its final decision by overnight delivery of a written notice of the final decision to the MAP lender's contact person as listed on the Multifamily MAP Web site. The Board will also notify HUD field offices of its final decision. (3) The final decision finds that a violation either does, or does not, exist. If a violation is found to exist, the final decision: (i) States the violation and any factual findings of the Board; (ii) States the nature and duration of the sanction; (iii) Informs the MAP lender of its right to an appeal conference and identifies the appeals official to be contacted; and (iv) May add to or modify the violation as stated in the initial notice of violation. § 200.1540 Imminent harm notice of action. The Board may issue an imminent harm notice of action to terminate a MAP lender, or to place a MAP lender on probation or suspension without advance notice to the MAP lender in those instances where the Board determines there exists a need to protect the financial interest of HUD from imminent harm. In all such instances, the Board shall notify the lender of the Board's decision promptly and give the reasons for the decision in accordance with § 200.1535(g)(2) and (3). The lender shall have the right to submit materials to the Board and to appear before the Board to seek prompt reconsideration of the Board's decision in accordance with the procedures of § 200.1535. § 200.1545 Appeals of MAP Lender Review Board decisions. (a) Request for appeal. (b) Appeals Official. (c) Notice of action in effect. (d) Scheduling of appeal. (2) A MAP lender may request, and the appeals official may agree, to have an appeal conference held more than 10, but not more than 30 business days after the date of the lender's request for an appeal. (e) Scope of appeal. (f) Additional documents Transcript. (2) Other documents. (g) Determination of appeal. Appendix A to Part 200—Standards Incorporated by Reference in the Minimum Property Standards for Housing (HUD Handbook 4910.1) The following publications are incorporated by reference in the HUD Minimum Property Standards (MPS) in 24 CFR part 200. The MPS are available for public inspection and can be obtained for appropriate use at 490 L'Enfant Plaza East, Suite 3214, or at each HUD Regional, Area, and Service Office. Copies are available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Air Conditioning Contractors of America 1513 16th Street, NW., Washington, DC 20036, (202) 483-9370. Load Calculation for Residential Winter and Summer Air Conditioning, Manual J 1986 Aluminum Association, 900 19th Street, NW., Washington, DC 20006, Telephone (202) 862-5100. AA-ASM 35-80 Specifications for Aluminum Sheet Metal Work in Building Construction American Architectural Manufacturers Association, 1540 East Dundee Road, Paletine, IL 60067, Telephone (708) 202-1350. AAMA-800-92 Voluntary Specifications and Test Methods for Sealants AAMA-1503.1-88 Voluntary Test Method for Thermal Transmittance and Condensation Resistance of Windows, Doors and Glazed Wall Sections AAMA 1504-88 Voluntary Standards for Thermal Performance of Windows, Doors and Glazed Wall Sections American Concrete Institute, P. O. Box 19150, Redford Station, Detroit, Michigan 48219, Telephone (313) 532-2600. ACI 211.1-89 Standard Practice for Selecting Proportions for Normal, Heavyweight and Mass Concrete ACI 211.2-91 Standard Practice for Selecting Proportions for Structural Lightweight Concrete ACI 213R-87 Guide for Structural Lightweight Aggregate Concrete ACI 301-89 Specifications for Structural Concrete for Buildings ACI 302.1R-80 Guide for Concrete Floor and Slab Construction ACI 304R-89 Guide for Measuring, Mixing, Transporting and Placing Concrete ACI 305R-77 Hot Weather Concreting (Revised 1989) ACI 306R-78 Cold Weather Concreting (Revised 1988) ACI 311.4R-80 Guide for Concrete Inspection (Revised 1988) ACI 315-80 Guide for Detailing of Concrete Reinforcement ACI 318-89 Building Code Requirements for Reinforced Structural Plain Concrete (Revised 1992) ACI 322-72 Structural Plain Concrete ACI 347-78 Recommended Practice for Concrete Formwork (Reapproved 1984) ACI 504R-77 Guide to Joint Sealants for Concrete Structures ACI 506-90 Recommended Practice for Shotcreting ACI 515.1R-79 A Guide to the Use of Waterproofing, Dampproofing, Protective and Decorative Barrier Systems for Concrete (Revised 1985) ACI 533.1R-69 Quality Standards and Tests for Precast Concrete Wall Panels ACI 533.2R-69 Selection and Use of Materials for Precast Concrete Wall Panels ACI 533.3R-70 Fabrication, Handling and Erection of Precast Concrete Wall Panels American Forest & Paper Association, (formerly National Forest Products Association), 1250 Connecticut Ave., NW., Washington, DC 20036. National Design Specification for Wood Construction—1991. American National Standards Institute, 11 West 42nd Street, New York, NY 10036, Telephone (212) 642-4900. ANSI A108.1A-92 Specifications for Installation of Ceramic Tile, in the Wet Set Method with Portland Cement Mortar ANSI A137.1-1988 Specifications for Ceramic Tile ANSI/BHMA A156.2-1989 Standard for Bored and Preassembled Locks and Latches ANSI/NKCA A161.1-1985 Recommended Performance and Construction Standards for Kitchen and Vanity Cabinets (Approved March 18, 1986) ANSI A208.1-1989 Wood Particleboard ANSI/AAMA 101-1988 Voluntary Specifications for Aluminum Prime Windows and Sliding Glass Doors ANSI/AAMA 1002.10-1983 Voluntary Specifications for Aluminum Insulating Storm Products for Windows and Sliding Glass Doors ANSI/AAMA 1102.7-1989 Voluntary Specifications for Aluminum Storm Doors ANSI/AAMA 1402-1986 Standard Specifications for Aluminum Siding, Soffit and Fascia (ANSI Approved 1989) ANSI/ACI 214-77 Recommended Practice for Evaluation of Strength Test Results of Concrete (Reapproved 1983) ANSI/AHA A135.4-1982 Basic Hardboard (Reaffirmed 1988) ANSI/AHA A135.6-1990 Hardboard Siding ANSI/AHA A194.1-1985 Cellulosic Fiber Board ANSI/APA 1-1984 Mosaic-Parquet Hardboard Slat Flooring ANSI/NSPI-1-91 Standard for Public Swimming Pools ANSI Z34.1-1987 American National Standard for Certification, Third-Party Certification Program ANSI Z124.5-1989 American National Standard for Plastic Toilet Seats (Water Closet Seats) American Society of Civil Engineers, 345 East 47th Street, New York, NY 10017. ASCE 7-88 Minimum Design Loads for Buildings and Other Structures (Formerly ANSI A58.1) American Society of Mechanical Engineers, 345 E 47th Street, New York, NY 10017. ASME/ANSI A17.1-87 Safety Code for Elevators and Escalators Including the A17.1b-89 Addenda ASME A 112.18.1M89 Plumbing Fixture Fittings American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103, Telephone (215) 299-5400. ASTM C 12-91 Standard Practice for Installing Vitrified Clay Pipe Lines ASTM C 208-72 Insulating Board (Cellulosic Fiber), Structural and Decorative (Reapproved 1982) ASTM C 209-84 Standard Methods of Testing Insulating Board (Cellulosic Fiber), Structural and Decorative ASTM C 216-91c Standard Specification for Facing Brick (Solid Masonry Units Made from Clay or Shale) ASTM C 220-91 Standard Specification for Flat Asbestos-Cement Sheets ASTM C 221-91 Standard Specification for Corrugated Asbestos-Cement Sheets ASTM C 223-91 Standard Specification for Asbestos-Cement Siding ASTM C 509-91 Standard Specification for Elastomeric Cellular Preformed Gasket and Sealing Material ASTM C 516-80 Standard Specification for Vermiculite Loose Fill Thermal Insulation (Reapproved 1985) ASTM C 549-81 Standard Specification for Perlite Loose Fill Insulation (Reapproved 1986) ASTM C 578-92 Standard Specification for Rigid, Cellular Polystyrene Thermal Insulation ASTM C 640-83 Standard Specification for Insulation Board, Thermal (Cork) ASTM C 726-88 Standard Specification for Mineral Fiber and Roof Insulation Board ASTM C 739-91 Standard Specification for Cellulosic Fiber (Wood-Based) Loose-Fill Thermal Insulation ASTM C 754-88 Standard Specification for Installation of Steel Framing Members to Receive Screw-Attached Gypsum ASTM C 834-91 Standard Specification for Latex Sealants ASTM C 841-90 Standard Specification for Installation of Interior Lathing and Furring ASTM C 842-85 Standard Specification for Application of Interior Gypsum Plaster (Reapproved 1990) ASTM C 843-92 Standard Specification for Application of Gypsum Veneer Plaster ASTM C 844-85 Standard Specification for Application of Gypsum Base to Receive Gypsum Veneer Plaster ASTM C 846-76 Standard Practice for Application of Structural Insulating Board (Fiberboard) Sheathing (Reapproved 1982) ASTM C 864-90 Standard Specification for Dense Elastomeric Compression Seal Gaskets, Setting Blocks and Spacers. ASTM C 926-90 Standard Specification for Application of Portland Cement-Based Plaster ASTM C 1036-91 Standard Specification for Flat Glass ASTM D 1037-89 Standard Test Methods for Evaluating the Properties of Wood-Base Fiber and Particle Panel Materials ASTM C 1048-91 Standard Specification for Heat-Treated Flat Glass-Kind HS, Kind FT Coated and Uncoated Glass ASTM D 1557-91 Test Method for Laboratory Compaction Characteristics of Soil Using the Modified Method (56,000 ft-lbf/ft 3 3 ASTM D 2316-75 Standard Recommended Practice for Installing Bituminized Fiber Drain and Sewer Pipe (Reapproved 1984) ASTM D 2321-89 Standard Practice for Underground Installation of Thermoplastic Pipe for Sewers and Other Gravity-Flow Applications ASTM D 3656-89 Standard Specifications for Insect Screening and Louver Cloth Woven From Vinyl-Coated Glass Yarns ASTM D 3679-92 Standard Specification for Rigid Poly (Vinyl Chloride) (PVC) Siding ASTM E 72-80 Standard Methods of Conducting Strength Tests of Panels for Building Construction ASTM E 283-91 Standard Test Method for Determining the Rate of Air Leakage Through Exterior Windows, Curtain Walls, and Doors Under Specified Pressure Differences Across the Spectrum ASTM E 330-90 Standard Test Method for Structural Performance of Exterior Windows, Curtain Walls, and Doors by Uniform Static Air Pressure Difference ASTM E 331-86 Standard Test Method for Water Penetration of Exterior Windows, Curtain Walls, and Doors by Uniform Static Air Pressure Difference ASTM E 380-91a Standard Practices for Use of the International Systems of Units (SI) (the Modernized Metric System) American Society of Heating, Refrigerating and Air Conditioning Engineers, 1791 Tullie Circle, NE, Atlanta, GA 30329. ASHRAE Handbook—Fundamentals—1989. ASHRAE Cooling and Heating Load Calculation Manual—GRP 158 1979. ASHRAE Handbook—Equipment—1988. ASHRAE Handbook—HVAC Systems and Applications—1987. American Welding Society, 550 NW Le Jeune Road, P. O. Box 351040, Miami, FL 33126, Telephone (305) 443-9353. ANSI/AWS D1.1-90 Structural Welding Code—Steel. ANSI/AWS D1.4-79 Structural Welding Code-Reinforcing Steel. The Asphalt Institute, Asphalt Institute Building, College Park, MD 20740 Telephone (301) 277-4258. MSI-1-81 Thickness Design—Asphalt Pavements for Highways and Streets Asphalt Roofing Manufacturers Association, 6288 Montrose Road, Rockville, MD 20852, Telephone (301) 231-9050. Residential Asphalt Roofing Manual—1988. Carpet and Rug Institute, 310 Holiday Avenue, Box 2048, Dalton, GA 30722-0048, Telephone (404) 278-3176. How to Specify Commercial Carpet Installation, 1984. Council of American Building Officials, Suite 708, 5203 Leesburg Pike, Falls Church, VA 22041, Telephone (703) 931-4533. CABO One and Two Family Dwelling Code 1992 edition with Errata Package and 1993 Amendments. CABO Model Energy Code 1992 edition CABO/ANSI A117.1-92 Accessible and Usable Buildings and Facilities. Department of Agriculture, Publications Division, 14th and Independence Avenue, SW., Washington, DC 20050, Telephone (202) 447-3957. Agriculture Handbook No. 73, Wood Frame House Construction Home and Garden Bulletin No. 64. Subterranean Termites—Their Prevention and Control in Buildings, October 1983 Home and Garden Bulletin No. 73, Wood Decay in Houses, How to Prevent and Control It, May 1986 Department of Commerce, National Institute of Standards and Technology, Gaithersburg, Maryland 20899, Telephone (301) 975-4025. PS 1-83 Product Standard for Construction and Industrial Plywood with Typical APA Trademarks. PS 2-92 Performance Standard for Wood-Based Structural-Use Panels. Commercial Standards: CS 138-55 Insect Wire Screening CS 242-62 1 3/4 Department of Defense, Naval Publication and Forms Center, 5801 Taber Road, Philadelphia, PA 19120, Telephone (215) 697-2179. Federal Specifications: L-S-125B Screening, Insect, Non-metallic February 3, 1972 L-F-001641 Floor Covering Translucent or Transparent Vinyl Surface with Backing—1971 and Amendment 2—September 24, 1982 L-F-00450A Flooring, Vinyl Plastic (GSAFSS)—1970 and Amendment 1, August 5, 1975 L-F-475A Floor Covering Vinyl, Surface Tile and Roll, with Backing including Amendment 2—February 9, 1971 HH-I-521F Insulation Blankets, Thermal (Mineral Fiber—for Ambient Temperatures—1980) HH-I-526C Insulation Board, Thermal (Mineral Fiber)—1968 HH-I-529B Insulation Board, Thermal (Mineral Aggregate)—1971 HH-I-530B Insulation Board, Thermal, Unfaced, Polyurethane or Polyisocyanurate and Interim I—1982 HH-I-551E Insulation Block and Boards, Thermal (Cellular Glass) Fiber, for Ambient Temperatures, 1974 HH-I-558B Insulation Blocks, Boards, Blankets, Felts Sleeving (Pipe and Tube Covering), and Pipe Fitting Covering, Thermal (Mineral Fiber, Insulation Type) and Amendment 3—1976 HH-I-574B Insulation, Thermal (Perlite) and Interim Amendment—1976 HH-I-585C Insulation, Thermal (Vermiculite) and Interim Amendment 1—1976 HH-I-1030B Insulation, Thermal (Mineral Fiber, for Pneumatic or Poured Application)—1980 HH-I-1252B Insulation, Thermal Reflective, (Aluminum Foil) and Interim Amendment 1—1976 HH-I-1972 Insulation Board, Thermal, Faced, Gen; 1, 2, 3, Polyurethane and Polyisocyanurate and 4, 5 & 6 Amendments—1985 LLL-I-535B Insulation Board, Thermal, Cellulosic Fiber, 1977 SS-S-346C Siding (Shingles, Clapboards, and Sheets) 1968 SS-T-312B Tile, Floor: Asphalt, Rubber, Vinyl-Composition and Interim Amendment—1979 Department of Housing and Urban Development, 451 Seventh Street, SW., Mail Room B-133, Washington, DC 20410, Telephone (202) 755-7440. Handbooks: 4940.2-1973 Minimum Design Standards for Community Water Supply Systems 4940.3-1992 Minimum Design Standards for Community Sewerage Systems (Rev. 1-92) 4950.1-1988 Technical Suitability of Products Program, Technical and Processing Procedures (Rev. 2 which includes revisions and changes through October 24, 1991) 4930.2-1989 HUD Intermediate MPS Supplement, Solar Heating & Domestic Hot Water Systems Use of Materials Bulletins: 25d Power Driven, Mechanically Driven and Manually Driven Fasteners—9/5/73 38h Grademarking of Lumber—7/31/79 44c HUD/FHA Standard for Carpet and Carpet Certification Program—2/22/78 (Plus Addendum 1 & 2) 48 Labels of Independent Programs for Certifying Pressure-Treated Lumber and Plywood (Plus 5 Supplements—11/15/67) 52a Quality Certification and Labeling for Wood Flush Doors—10/7/75) 58a Acrylic Plastic Sheets for Glazing—9/2/75 60 Field Glued Plywood & Wood Frame Structural Floor Systems—12/9/70 62a Factory-Applied Laminated Roofing Systems Based on Chlorosulfonated Polyethylene (CPSE)—11/16/72 65 Controlled Density Cellular Concrete Floor Fill—10/11/73 67 Polycarbonate Plastic Sheets for Glazing—9/3/75 70a Particleboard Interior Stair Treads and Certification Program—5/19/82 71 Polystyrene Foam Insulation Sheathing Board—1/10/77 72 HUD Standard for Carpet Cushion—2/6/80 76 Chlorinated Poly (Vinyl Chloride) CPVC and Polybutylene (PB) Hot and Cold Water Distribution—4/25/78 77a Cast Iron Sanitary Drainage System with Hubless Pipe and Fittings—3/28/80 78 Polyethylene (PE), Acrylonitrile-Butadiene-Styrene (ABS), Poly Vinyl Chloride (PVC) and Polybutylene (PB) Plastic Piping for Domestic Cold Water Service—4/25/78 79a Acrylonitrile-Butadiene-Styrene (ABS) and Poly (Vinyl Chloride) (PVC) Plastic Drain, Waste and Vent Pipe and Fittings—3/7/82 80 Spray Applied Cellulosic Thermal Insulation—10/31/79 101 HUD Building Product Standards and Certification Program for Exterior Wall Insulation and Finish Systems, July 26, 1993 Environmental Protection Agency, Office of Drinking Water, 401 M Street, SW., Washington, DC 20460, Telephone (202) 382-5533. EPA 570/9-82-004 Manual of Individual Water Supply (NTIS-PB 85242279) Systems (October 1982) Flat Glass Marketing Association, White Lakes Professional, Building 3310 Harrison Street, Topeka, KS 66611, Telephone (913) 266-7013. FGMA Glazing Manual—1986. FGMA Sealant Manual—1990. Hardwood Plywood Manufacturers Association, P.O. Box 2789, 1825 Michael Faraday Drive, Reston, VA 22090, Telephone (703) 435-2900. ANSI/HPMA LHF-1987 Laminated Hardwood Flooring. Insect Screening Weavers Assn., 2000 Maple Hill Street, P.O. Box 309, Yorktown Heights, NY 10598. IWS-089 Insect Wire Screening (Wire Fabric). National Academy of Sciences, 2101 Constitution Avenue, NW., Washington, DC 20418. Publication 1571 Criteria for Selection and Design of Residential Slabs-on-Ground, Report #33, Building Research Advisory Board (BRAB), 1968. National Association of Home Builders, Research Center, 400 Prince Georges Boulevard, Upper Marlboro, MD 20772, Telephone (301) 249-4000. Insulation Manual, Homes and Apartments—1979. National Association of Plumbing-Heating-Cooling Contractors, P.O. Box 6808, Falls Church, VA 22046, Telephone (703) 237-8100. National Standard Plumbing Code—1993. National Fire Protection Association, Batterymarch Park, Quincy, MA 02269, Telephone 1-800-344-3555. ANSI/NFPA 58-89 Standard for the Storage and Handling of Liquefied Petroleum Gases NFPA 54-88 National Fuel Gas Code (ANSI Z223.1-1988) NFPA 70-93 National Electrical Code National Institute of Building Sciences, 1201 L Street, NW., Washington, DC 20005. Metric Guide for Federal Construction—1992. National Oak Flooring Manufacturers Association, 22 North Front Street, Memphis, TN 38103. Official Grading Rules, Oak, Beech, Birch, Hard Maple, Pecan (OFGR/Vol. 1, No. 1/1986 and the 1989 Addendum). Hardwood Flooring Finishing/Refinishing Manual, 1986. Hardwood Flooring Installation Manual, 1986. National Roofing Contractors Association, One O'Hare Centre, 6250 River Road, Rosemont, IL 60018, Telephone (708) 318-6722. NRCA Roofing and Waterproofing Manual, 1989. National Terrazzo and Mosaic Association, 3166 Des Plaines Avenue, Suite 132, Des Plaines, IL 60018, Telephone (708) 635-7744. NTMA Specifications, Details and Technical Data, “Terrazzo Ideas & Design Guide”, 1990. National Wood Window and Door Association, 205 West Touhy Avenue, Park Ridge, IL 60018, Telephone (708) 299-5200. ANSI/NWWDA IS 1-87 Industry Standard for Wood Flush Doors ANSI/NWWDA IS 2-87 Industry Standard for Wood Windows NWWDA IS 3-88 Industry Standard for Wood Sliding Patio Doors ANSI/NWWDA IS 6-86 Industry Standard for Wood Stile and Rail Doors Post-tensioning Institute, 301 West Osborn, Suite 3500, Phoenix, AZ 85013, Telephone (602) 870-7540. Design and Construction of Post-tensioned Slabs-on-Ground—1980. Prestressed Concrete Institute, 175 West Jackson Boulevard, Suite 1859, Chicago, IL 60604, Telephone (312) 786-0353. PCI MNL 116 Manual for Quality Control for Plants and Production for Precast Prestressed Concrete Products—1985 PCI MNL 117 Manual for Quality Control for Plants and Production of Architectural Precast Concrete Products—1977 Resilient Floor Covering Institute, 966 Hungerford Drive, Suite 12-B, Rockville, MD 20850, Telephone (301) 340-8580. Recommended Installation Specifications for Vinyl Composition, Solid Vinyl and Asphalt Tile Floorings, 1987. Safety Glazing Certification Council, c/o ETL Testing Laboratories, Industrial Park, Route 11, Cortland, New York 13045, Telephone (607) 753-6711. Certified Products Directory—1990. Southern California Association of Cabinet Manufacturers, 1933 South Broadway, L. 39, Los Angeles, CA 90007, Telephone (213) 749-4355. Certified Construction Standards and Specifications, Guide for Uniform Cabinet Specifications—1973 (Revised 1985). Steel Door Institute, 30200 Detroit Road, Cleveland, OH 44145, Telephone (216) 899-0010. ANSI/SDI A123.1-82 Nomenclature for Steel Doors and Steel Door Frames. Tile Council of America, Inc., Box 326, Princeton, NJ 08542-0326, Telephone (609) 921-7050. Handbook for Ceramic Tile Installation—1993. Underwriters Laboratories, 333 Pfingsten Road, Northbrook, IL 60062, Telephone (708) 272-8800. Electrical Appliance and Utilization Equipment Directory, 1992. Water Quality Association, 4151 Naperville Road, Lisle, IL 60532. Telephone (708) 396-1600. WQA S-100 Household Commercial and Portable Exchange Water Softeners—1985 WQA S-200 Household and Commercial Water Filters—1988 WQA S-300 Point-of-Use, Low Pressure Reverse Osmosis Drinking Water Systems—1984 WQA S-400 Point-of-Use Distillation Drinking Water Systems—1986 Wood Moulding and Millwork Producers, P.O. Box 25278, Portland, OR 97225, Telephone (503) 292-9288. WM 3-79 Exterior Wood Door Frames [58 FR 60250, Nov. 15, 1993]

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