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Federal Housing Administration (FHA) Healthcare Facility Documents: Notice Announcing Final Approved Federal Housing Administration (FHA) Healthcare Facility Documents and Assignment of OMB Control Number 2502-0605

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Office of the Assistant Secretary for Housing—Federal Housing Commissioner, HUD.




This notice announces that the healthcare facility documents have completed the notice and comment processes and review by the Office of Management and Budget (OMB) as required by the Paperwork Reduction Act and that OMB has approved the renewal (reinstatement with changes) of this document collection 2502-0605. The final versions of the documents can be found on HUD's website at​federal_​housing_​administration/​healthcare_​facilities/​residential_​care/​final_​232_​documents. Additionally, this notice highlights some of the changes made by HUD to the documents based upon its review of the comments submitted in response to notices dated April 10, 2018 and June 29, 2018.


Implementation Date: October 3, 2019.

HUD will allow a 90-day transition period for the implementation of the updated documents in this collection. Participants may choose to use the new documents beginning on July 5, 2019; however, if participants choose to use the new documents for a transaction (e.g. application submission, change of ownership, etc.), they must use all the new documents in their entirety and may not mix the use of old and new documents. Upon the Implementation Date of October 3, 2019, the use of only new documents in submitted transactions will be mandatory.

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John M. Hartung, Director, Policy, Risk Analysis and Lender Relations Division, Office of Residential Care Facilities, Office of Healthcare Programs, Office of Housing, U.S. Department of Housing and Urban Development, 1222 Spruce Street, Room 3203, St. Louis, MO 63103-2836; telephone (314) 418-5238 (this is not a toll-free number). Persons with hearing or speech disabilities may Start Printed Page 32199access this number through TTY by calling the toll-free Federal Relay Service at (800) 877-8339.

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I. Background

On May 19, 2017, consistent with the Paperwork Reduction Act, (PRA), HUD published a notice in the Federal Register, 82 FR 23058, seeking public comment for a period of 60 days (60-day Notice) on HUD's proposed update and revisions to the transactional and supporting documents used for underwriting, accounts receivable financing, asset management, closing, and construction of healthcare facilities, insured pursuant to 12 U.S.C. 1715w, section 223(a)(7)-12 U.S.C § 1715n and 223f-12 U.S.C. 1715n of the National Housing Act. In conjunction with publication of the 60-Day Notice, the 153 healthcare facility documents (with proposed revisions) were made available for public review and comment. A summary of the changes to the existing healthcare facility documents was also provided so that reviewers could understand the changes proposed.

In response to the 60-Day Notice, HUD received 43 submissions on the site from multiple commenters which were considered in the development of the revised documents which were published on April 10, 2018 in the Federal Register (83 FR 15396), and again on June 29, 2018, (83 FR 30769) and consistent with the PRA, comment was solicited for an additional 30 and 15 days respectively. The second (15-day) publication was to allow the public to resubmit any comments from the 30-day process, which may not have been received by HUD and OMB, due to a technical problem; both of these latter publications presented the exact same documents, and comments from both the 30-day and 15-day versions were combined for review purposes. In response to the 30-Day and 15-Day Notices, HUD received 10 submissions on the site from multiple commenters which were considered in the development of the final documents.

This notice published today announces that HUD has completed the notice and comment processes required by the Paperwork Reduction Act, and that OMB has completed its review and has approved the renewal/reinstatement of document collection 2502-0605. HUD made additional changes to the documents in response to comments submitted on the 30-Day Notice. Therefore, in addition to announcing the completion of the process required by the Paperwork Reduction Act, HUD highlights some of the additional, most substantive, changes made to the healthcare facility documents (documents) in response to public comment as provided below.

II. Summary of Changes to Documents

The changes to the healthcare facility documents include both technical editorial changes and some more substantive changes. This notice does not provide a detailed summary of all of the changes made or responses to all of the issues raised in the final set of public comments on the 30-Day and 15-Day Notices. Rather, the discussion in the following sections of this notice highlights certain changes which are representative of the types of changes made in response to some of the more significant issues raised by the commenters in response to the 30-Day and 15-Day Notices.

A. Key Changes by Category of Document

Throughout the documents, language was added to make the forms works when there is a master lease without having to change the form, as was required in the past. Unnecessary possessives with the use of apostrophes and brackets were removed. For consistency throughout all of the documents, the word Secretary was replaced with HUD or U.S. Department of Housing and Urban Development. Edits suggesting reformatting were, in most cases, adopted by HUD.

1. Underwriting Lender Narratives

The lender narratives were not significantly changed after the 30-Day and 15-Day Notice. Based on public comments, the Lender Narratives were amended to reflect several edits to key questions for clarity and to reflect the changing regulatory environment.

2. Consolidated Certifications

HUD made a few substantive changes since the 60-Day Notice. As noted by several commenters, more drop-down menus were inserted for consistency with the document formatting style. These certifications received some public comments primarily for formatting and a few substantive suggested changes in terminology. HUD also amended language in the section pertaining to suits and legal actions. The updated language provides clarification to legal actions beyond professional liability actions. This change addresses comments received on the Request for Endorsement of Credit of Lender [and] Borrower [& General Contractor] which HUD accepted but was addressed in the Consolidated Certifications rather than in the Request for Endorsement of Credit of Lender [and] Borrower [& General Contractor] document.

3. Construction Documents

There were few public comments on this category of documents, and the majority of changes to the documents were for minor editing changes or clarifications of policy.

4. Underwriting Documents

HUD received a few comments which consisted of formatting and minor editing suggestions. The Operator Lease Addendum was revised to correctly reference the new Cross-Default Guaranty for Portfolios.

5. Accounts Receivable Documents

One commenter proposed multiple technical edits which were accepted.

6. Master Lease Documents

HUD received comments requesting technical edits to the Master Lease documents. Commenter noted that landlords should have the right to increase rents without prior HUD approval. As provided in response to another commenter, HUD acknowledges that the Borrower Regulatory Agreement does not place requirements for prior HUD approval for increases in rents. One commenter did note that the form HUD -91116-ORCF should be amended to reflect that the Borrower Regulatory Agreement only requires prior HUD approval when reducing the rents in the lease. HUD accepted the comment and revised this document and related documents where the provision as to whether HUD approval was needed for increases in rents was unclear. Another commenter voiced concern that landlords could unilaterally raise rents on third party operators and master tenants. To address this concern, HUD inserted additional language to address the concerns of third-party operators.

7. Closing Documents

Some technical edits from commenters were accepted by HUD throughout this category.

8. Escrow Documents

The comments consisted of technical edits to the Escrow Agreement for Debt Service Reserve and the Escrow Agreement for Operating deficits.

9. Legal Opinion/Certification Documentation

Several commenters asked for clarification on the scope of docket searches being requested. HUD responded by revising the form to Start Printed Page 32200clarify the jurisdictions and the participants that need to be searched.

10. Asset Management Documents

Few comments were received on this category of documents. However, one commenter noted some inconsistencies in the Computation of Surplus Cash form which was addressed by revising the language. One substantive change was made to form HUD-92266-ORCF Lender Narrative, Change of Ownership Review, to streamline transactions. Applicants no longer have to try and determine if a transaction is a Full, Modified, or Light review when there is a change of ownership. Instead, this form consolidates Full, Modified or Light Lender Narratives into one form with Transaction Determent Questions which will identify which documents they should submit from the checklist and which sections of the Lender Narrative they should complete.

11. 241a Supplemental Documents

This category of documents was entirely new to the initial Collection. Commenter made technical edits to these supplemental loan documents similar to those made on the main (underlying) loan documents. The edits HUD accepted were made to maintain consistency with the main (underlying) document and the related 241a Supplemental Loan documents.

III. Estimated Burden Hours of Collection

The following is a table of all the documents for which approval under the PRA was sought, with the burden hours and costs to respondents calculated for preparation of and submission of each of documents as well as the total aggregate annual cost of $2,952,596.06.

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Dated: June 27, 2019.

John L. Garvin,

General Deputy Assistant Secretary for Housing.

End Signature

This table, revised with updated information on burden hours and costs from the U.S. Department of Labor, Bureau of Labor Statistics, is included below:

Form No.Document nameNumber of respon- dentsFreq. of resp.Resp. per annumAvg. burden hour per resp.Annual burden hoursAvg. hourly wage per resp.Annual cost
Underwriting Lender Narratives
HUD-9001-ORCFLender Narrative—223a7302.57522.001,650$55$90,239
HUD-9002-ORCFLender Narrative—223f307.522570.0015,75055861,368
HUD-9003-ORCFLender Narrative—241a41473.002925515,969
HUD-9004-ORCFLender Narrative—New Construction—Single Stage1022087.001,7405595,161
HUD-9005-ORCFLender Narrative—New Construction—2 Stage Initial Submittal1022063.001,2605568,909
HUD-9005a-ORCFLender Narrative—New Construction—2 Stage Final Submittal1022053.001,0605557,971
HUD-9006-ORCFLender Narrative—Substantial Rehabilitation—Single Stage41493.003725520,345
HUD-9007-ORCFLender Narrative—Substantial Rehabilitation—2 Stage Initial Submittal41470.002805515,313
HUD-9007a-ORCFLender Narrative—Substantial Rehabilitation—2 Stage Final Submittal41470.002805515,313
HUD-9009-ORCFLender Narrative 232(i)—Fire Safety Equipment Installation, without Existing HUD Insured Mortgage521015.00150558,204
HUD-90010-ORCFLender Narrative 232(i)—Fire Safety Equipment Installation, with Existing HUD Insured Mortgage521015.00150558,204
HUD-90011-ORCFLender Narrative 223(d)—Operating Loss Loan12215.0030551,641
HUD-9444-ORCFLender Narrative Cost Certification Supplement22415.0060553,281
Consolidated Certifications
HUD-90012-ORCFConsolidated Certification—Lender302.5751.0075554,102
HUD-90013-ORCFConsolidated Certification—Borrower771771.0077554,211
HUD-90014-ORCFConsolidated Certification—Principal of the Borrower382761.0076554,156
HUD-90015-ORCFConsolidated Certification—Operator352701.0070553,828
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HUD-90016-ORCFConsolidated Certification—Parent of Operator352701.0070553,828
HUD-90017-ORCFConsolidated Certification—Management Agent352701.0070553,828
HUD-90018-ORCFConsolidated Certification—Contractors4141.50655328
HUD-90021-ORCFPrevious Participation Certification—Controlling Participant305.83174.91.00174.9559,565
Construction Documents
HUD-9442-ORCFMemo for Post-Commitment Early Start of Construction Request3261.00655330
HUD-90023-ORCFEarly Commencement/Early Start—Borrower Certification3260.251.55583
HUD-91123-ORCFDesign Professional's Certification of Liability Insurance262520.5026611,573
HUD-91124-ORCFDesign Architect Certification262520.5026611,573
HUD-91125-ORCFStaffing Schedule305.83174.91.00174.9559,565
HUD-91127-ORCFFinancial Statement Certification—General Contractor262520.5026551,422
HUD-91129-ORCFLender Certification for New Construction Cost Certifications105.2523.00156558,532
HUD-92328-ORCFContractor's and/or Mortgagor's Cost Breakdown262524.002085511,376
HUD-92403-ORCFApplication for Insurance of Advance of Mortgage Proceeds3260.201.25566
HUD-92408-ORCFHUD Amendment to B108262520.5026551,422
HUD-92415-ORCFRequest for Permission to Commence Construction Prior to Initial Endorsement for Mortgage Insurance (Post-Commitment Early Start of Construction)3260.50361182
HUD-92437-ORCFRequest for Construction Changes on Project Mortgages3262.001255656
HUD-92441-ORCFBuilding Loan Agreement105.2521.0052552,844
HUD-92441a-ORCFBuilding Loan Agreement Supplemental105.2521.0052552,844
HUD-92442-ORCFConstruction Contract105.2521.0052552,844
HUD-92448-ORCFContractor's Requisition3266.0036551,969
HUD-92450-ORCFCompletion Assurance105.2520.5026551,422
HUD-92452-ORCFPerformance Bond—Dual Obligee55.2260.50131001,295
HUD-92452A-ORCFPayment Bond55.2260.501355711
HUD-92455-ORCFRequest for Endorsement105.2521.0052552,844
HUD-92456-ORCFEscrow Agreement for Incomplete Construction3260.50355164
HUD-92479-ORCFOffsite Bond—Dual Obligee53150.507.555410
HUD-92485-ORCFPermission to Occupy3260.50355164
HUD-92554-ORCFSupplementary Conditions of the Contract for Construction105.2520.50261002,590
HUD-93305-ORCFAgreement and Certification105.2520.5026551,422
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HUD-95379-ORCFHUD Representative's Trip Report26287281.007285539,814
Underwriting Documents
HUD-2-ORCFRequest for Waiver of Housing Directive2081601.00160558,750
HUD-935.2D-ORCFAffirmative Fair Housing Marketing Plan—232105.2526.003125517,063
HUD-941-ORCFLenders FHA Number Request Form3011.73510.50175.5559,598
HUD-9445-ORCFCertification of Outstanding Obligations35103501.003506121,175
HUD-9839-ORCFManagement Certification—Residential Care Facility5150.502.555137
HUD-90022-ORCFCertification for Electronic Submittal35103500.50175559,571
HUD-90024-ORCFContact Sheet35103501.003505519,142
HUD-91116-ORCFAddendum to Operating Lease306.51950.5097.5615,899
HUD-91126-ORCFFinancial Statement Certification—Borrower150710500.505255528,712
HUD-91130-ORCFBuilding Code Certification262520.5026611,573
HUD-92000-ORCFAppraisal Sockets3011.73511.50526.56131,853
HUD-92264a-ORCFMaximum Insurable Loan Calculation3011.73512.007026142,471
HUD-92434-ORCFLender Certification35103501.003505519,142
Accounts Receivable Documents
HUD-90020-ORCFAccounts Receivable Financing Certification5031500.50751007,470
HUD-92322-ORCFIntercreditor Agreement (for AR Financed Projects)3051501.5022510022,410
Master Lease Documents
HUD-92211-ORCFMaster Lease Addendum55251.00251002,490
HUD-92331-ORCFCross-Default Guaranty of Subtenants305.831751.00174.910017,420
HUD-92333-ORCFMaster Lease SNDA305.831750.5087.451008,710
HUD-92334-ORCFMaster Tenant Assignment of Leases and Rents305.831751.00174.910017,420
HUD-92335-ORCFGuide for Opinion of Master Tenant's Counsel305.831751.00174.910017,420
HUD-92336-ORCFSubordinate Cross-Default Guaranty of Subtenants305.831751.00174.910017,420
HUD-92337-ORCFHealthcare Regulatory Agreement—Master Tenant305.831750.5087.451008,710
HUD-92339-ORCFMaster Lease Estoppel Agreement305.831750.5087.451008,710
HUD-92340-ORCFMaster Tenant Security Agreement305.831751.00174.910017,420
HUD-92341-ORCFTermination and Release of Cross-Default Guaranty of Subtenants305.831750.5087.451008,710
HUD-92342-ORCFAmendment to HUD Master Lease (Partial Termination and Release)305.831750.5087.451008,710
HUD-92343-ORCFLimited Guaranty and Security Agreement305.831751.00174.910017,420
Closing Documents
HUD-2205A-ORCFBorrower's Certificate of Actual Cost307.52253.50787.55543,068
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HUD-91110-ORCFSubordination, Non-Disturbance and Attornment Agreement of Operating Lease (SNDA)3011.73510.50175.510017,480
HUD-91111-ORCFSurvey Instructions and Borrower's Certification1801.52700.50135618,168
HUD-91112-ORCFRequest of Overpayment of Firm Application Exam Fee155.1376.950.5038.475552,104
HUD-91118-ORCFBorrower's Certification—Completion of Critical Repairs24012400.50120556,563
HUD-91710-ORCFResidual Receipts Note—Non-Profit Mortgagor52100.50555273
HUD-92023-ORCFRequest for Final Endorsement105.2521.0052552,844
HUD-92070-ORCFLease Addendum2120.501100100
HUD-92071-ORCFManagement Agreement Addendum3511.7409.50.50204.755511,198
HUD-92223-ORCFSurplus Cash Note72140.50755383
HUD-92323-ORCFOperator Security Agreement306.51951.0019510019,422
HUD-92324-ORCFOperator Assignment of Leases and Rents306.51951.0019510019,422
HUD-92330-ORCFMortgagor's Certificate of Actual Cost53158.00120556,563
HUD-92330A-ORCFContractor's Certificate of Actual Cost53158.00120556,563
HUD-92420-ORCFSubordination Agreement—Financing72140.507100697
HUD-92435-ORCFLender's Certification—Insurance Coverage3511.7409.50.25102.375555,599
HUD-92466-ORCFHealthcare Regulatory Agreement—Borrower35103500.5017510017,430
HUD-92466A-ORCFHealthcare Regulatory Agreement—Operator102200.5010100996
HUD-92468-ORCFHealthcare Regulatory Agreement—Fire Safety352700.50351003,486
HUD-94000-ORCFSecurity Instrument/Mortgage/Deed of Trust35103500.5017510017,430
HUD-94000-ORCF-ADDSecurity Instrument/Mortgage/Deed of Trust Addenda (various states)35103500.5017510017,430
HUD-94000B-ORCFRider to Security Instrument—LIHTC35103500.5017510017,430
HUD-94001-ORCFHealthcare Facility Note35103501.003505519,142
HUD-94001-ORCF-RIHealthcare Facility Note—Rider (various states)35103500.50175559,571
Escrow Documents
HUD-9443-ORCFMinor Moveable Escrow262521.0052613,146
HUD-91071-ORCFEscrow Agreement for Off-site Facilities3260.50355164
HUD-91128-ORCFInitial Operating Deficit Escrow Calculation Template115551.5082.5614,991
HUD-92412-ORCFWorking Capital Escrow105.2520.5026551,422
HUD-92414-ORCFLatent Defects Escrow20122400.50120556,563
HUD-92464-ORCFRequest Approval Advance of Escrow Funds35155251.005255528,712
HUD-92476-ORCFEscrow Agreement Noncritical Deferred Repairs20122400.50120556,563
HUD-92476B-ORCFEscrow Agreement for Operating Deficits124.857.60.5028.8551,575
HUD-92476C-ORCFEscrow Agreement for Debt Service Reserves124.857.60.5028.8551,575
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Legal Opinion/Certification Documents
HUD-91117-ORCFOperator Estoppel Certificate10022000.501001009,960
HUD-91725-ORCFGuide for Opinion of Borrower's Counsel35103502.0070010069,720
HUD-91725-INST-ORCFInstructions to Guide for Opinion of Borrower's and Operator's Counsel35103500.0001000
HUD-91725-CERT-ORCFExhibit A to Opinion of Borrower's Counsel—Certification35103502.0070010069,720
HUD-92325-ORCFGuide for Opinion of Operator's Counsel and Certification306.51951.50292.510029,133
HUD-92327-ORCFConsolidated Operator Opinion [Single State]305.831751.00174.910017,420
Asset Management Documents
HUD-1044-D-ORCFMultifamily Insurance Branch Claim2071400.5070553,828
HUD-2537-ORCFMortgagee's Application for Partial Settlement2071400.2535551,914
HUD-2747-ORCFApplication for Insurance Benefits2071400.101455766
HUD-9250-ORCFFunds Authorizations5005.62,8001.002,80055153,132
HUD-9807-ORCFInsurance Termination Request2071400.101455766
HUD-90019-ORCFAuditor's Loss period Financial Statement Certification (223d)3130.501.55582
HUD-90029-ORCF232 Healthcare Portal Access6031800.5090554,922
HUD-90030-ORCFLender Narrative, Requests to Release or Modify Original Loan Collateral302603180559,844
HUD-90031-ORCFLender Narrative, Accounts Receivable302601.590554,922
HUD-90032-ORCFLender Narrative, Loan Modification204801.50120556,563
HUD-90033-ORCFLoan Modification Lender Certification204800.5040552,188
HUD-92080-ORCFMortgage Record Change—232201200.25555273
HUD-92117-ORCFBorrower's Certification—Completion of Non-Critical Repairs25025000.502505513,673
HUD-92228-ORCFModel Form Bill of Sale and Assignment202400.5020551,094
HUD-92266-ORCFApplication for Transfer of Physical Assets (TPA)5042005.001,0005554,690
HUD-92266A-ORCFLender Narrative, Change of Operator/Lessee251254.00100555,469
HUD-92266B-ORCFLender Narrative, Change of Management Agent251252.0050552,735
HUD-92417-ORCFPersonal Financial and Credit Statement17561,0503.503,67555200,986
HUD-93332-ORCFCertification of Exigent Health & Safety (EH&S) Issues45614561.004565524,939
HUD-93333-ORCFCertification Physical Condition in Compliance20812080.50104555,688
HUD-93334-ORCFServicer's Notification to HUD of Risks to Healthcare Project60159000.54505524,611
HUD-93335-ORCFOperator's Notification to HUD of Threats to Permits and Approvals6053000.5150558,204
HUD-93479-ORCFMonthly Report for Establishing Net Income6021201.00120556,563
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HUD-93480-ORCFSchedule of Disbursements60127201.007205539,377
HUD-93481-ORCFSchedule of Accounts Payable60127201.007205539,377
HUD-93486-ORCFComputation of Surplus Cash701700.5035551,914
241a—Supplemental Loan Documents
HUD-91116A-ORCFSupplemental Addendum to Operator Lease100.550.502.5100249
HUD-92211A-ORCFSupplemental Master Lease Addendum100.551.005100498
HUD-92323A-ORCFSupplemental Operator Security Agreement100.551.005100498
HUD-92324A-ORCFSupplemental Operator Assignment of Leases and Rents306.51951.0019510019,422
HUD-92333A-ORCFSupplemental Master Lease SNDA100.550.502.5100249
HUD-92334-ORCFSupplemental Master Tenant Assignment of Leases and Rents305.83174.91.00174.910017,420
HUD-92338-ORCFSupplemental Healthcare Regulatory Agreement—Master Tenant100.550.502.5100249
HUD-92340A-ORCFSupplemental Master Tenant Security Agreement100.551.005100498
HUD-92434A-ORCFSupplemental Lender's Certificate for 241(a)100.551.00555273
HUD-92441B-ORCFSupplemental Building Loan Agreement for 241(a)100.551.00555273
HUD-92467-ORCFSupplemental Healthcare Regulatory Agreement—Borrower100.550.502.5100249
HUD-92467A-ORCFSupplemental Healthcare Regulatory Agreement—Operator100.550.502.5100249
HUD-94000A-ORCFSupplemental Security Instrument/Mortgage/Deed of Trust100.550.502.5100249
HUD-94001A-ORCFSupplemental Healthcare Facility Note100.551.00555273
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[FR Doc. 2019-14410 Filed 7-3-19; 8:45 am]