Exhibit A1 24 CFR 5.216

Exhibit A1

Office of the Secretary, HUD

§ 5.216
(c) Disclosure required of individual
owner applicants. Each individual owner
applicant must submit the following
information to the processing entity
when the individual owner applicant’s
eligibility under the program involved
is being determined:
(1) The complete and accurate SSN
assigned to the individual owner applicant and to each member of the individual owner applicant’s household
who will be obligated to pay the debt
evidenced by the mortgage or loan documents; and
(2) The documentation referred to in
paragraph (g)(1) of this section to
verify each such SSN.
(d) Disclosure required of certain officials of entity applicants. Each officer,
director, principal stockholder, or
other official of an entity applicant
must submit the following information
to the processing entity when the entity applicant’s eligibility under the program involved is being determined:
(1) The complete and accurate SSN
assigned to each such individual; and
(2) The documentation referred to in
paragraph (g)(1) of this section to
verify each SSN.
(e) Disclosure required of participants—
(1) Initial disclosure. (i) Each participant, except those age 62 or older as of
January 31, 2010, whose initial determination of eligibility was begun before January 31, 2010, must submit the
information described in paragraph
(e)(1)(ii) of this section, if the participant has:
(A) Not previously disclosed a SSN;
(B) Previously disclosed a SSN that
HUD or the SSA determined was invalid; or
(C) Been issued a new SSN.
(ii) Each participant subject to the
disclosure requirements under paragraph (e)(1)(i) of this section must submit the following information to the
processing entity at the next interim
or regularly scheduled reexamination
or recertification of family composition or income, or other reexamination
or recertification for the program involved:
(A) The complete and accurate SSN
assigned to the participant and to each
member of the participant’s household;
and

housing programs, the ‘‘processing entity’’ is the ‘‘responsible entity’’ as defined in § 5.100.)
Social Security Number (SSN) means
the nine-digit number that is assigned
to a person by the Social Security Administration and that identifies the
record of the person’s earnings reported to the Social Security Administration. The term does not include a
number with a letter as a suffix that is
used to identify an auxiliary beneficiary.
SSA means the Social Security Administration.
State Wage Information Collection
Agency (SWICA) means the State agency, including any Indian tribal agency,
receiving quarterly wage reports from
employers in the State, or an alternative system that has been determined by the Secretary of Labor to be
as effective and timely in providing
employment-related income and eligibility information.
[61 FR 11113, Mar. 18, 1996, as amended at 63
FR 23853, Apr. 30, 1998; 65 FR 16715, Mar. 29,
2000]

DISCLOSURE AND VERIFICATION OF SOCIAL SECURITY NUMBERS AND EMPLOYER IDENTIFICATION NUMBERS FOR
APPLICANTS AND PARTICIPANTS IN
CERTAIN HUD PROGRAMS
§ 5.216 Disclosure and verification of
Social Security and Employer Identification Numbers.
(a) General. The requirements of this
section apply to applicants and participants as described in this section, except that this section is inapplicable to
individuals who do not contend eligible
immigration status under subpart E of
this part (see § 5.508).
(b) Disclosure required of assistance applicants. Each assistance applicant
must submit the following information
to the processing entity when the assistance applicant’s eligibility under
the program involved is being determined.
(1) The complete and accurate SSN
assigned to the assistance applicant
and to each member of the assistance
applicant’s household; and
(2) The documentation referred to in
paragraph (g)(1) of this section to
verify each such SSN.

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§ 5.216

24 CFR Subtitle A (4–1–12 Edition)

(B) The documentation referred to in
paragraph (g)(1) of this section to
verify each such SSN.
(2) Subsequent disclosure. Once a participant has disclosed and the processing entity has verified each SSN,
the following rules apply:
(i) Addition of new household member
who is at least 6 years of age or under the
age of 6 and has an assigned SSN. When
the participant requests to add a new
household member who is at least 6
years of age, or is under the age of 6
and has an assigned SSN, the participant must provide the following to the
processing entity at the time of the request, or at the time of processing the
interim reexamination or recertification of family composition that includes the new member(s):
(A) The complete and accurate SSN
assigned to each new member; and
(B) The documentation referred to in
paragraph (g)(1) of this section to
verify the SSN for each new member.
(ii) Addition of new household member
who is under the age of 6 and has no assigned SSN. (A) When a participant requests to add a new household member
who is under the age of 6 and has not
been assigned a SSN, the participant
shall be required to provide the complete and accurate SSN assigned to
each new child and the documentation
referred to in paragraph (g)(1) of this
section to verify the SSN for each new
child within 90 calendar days of the
child being added to the household.
(B) The processing entity shall grant
an extension of one additional 90-day
period if the processing entity, in its
discretion, determines that the participant’s failure to comply was due to circumstances that could not have reasonably been foreseen and were outside
the control of the participant. During
the period that the processing entity is
awaiting documentation of a SSN, the
processing entity shall include the
child as part of the assisted household
and the child shall be entitled to all
the benefits of being a household member. If, upon expiration of the provided
time period, the participant fails to
produce a SSN, the processing entity
shall follow the provisions of § 5.218.
(iii) Assignment of new SSN. If the participant or any member of the participant’s household has been assigned a

new SSN, the participant must submit
the following to the processing entity
at either the time of receipt of the new
SSN; at the next interim or regularly
scheduled reexamination or recertification of family composition or income, or other reexamination or recertification; or at such earlier time specified by the processing entity:
(A) The complete and accurate SSN
assigned to the participant or household member involved; and
(B) The documentation referred to in
paragraph (g)(1) of this section to
verify the SSN of each individual.
(f) Disclosure required of entity applicants. Each entity applicant must submit the following information to the
processing entity when the entity applicant’s eligibility under the program
involved is being determined:
(1) Any complete and accurate EIN
assigned to the entity applicant; and
(2) The documentation referred to in
paragraph (g)(2) of this section to
verify the EIN.
(g) Required documentation—(1) SSN.
The documentation necessary to verify
the SSN of an individual who is required to disclose his or her SSN under
paragraphs (a) through (e) of this section is:
(i) A valid SSN card issued by the
SSA;
(ii) An original document issued by a
federal or state government agency,
which contains the name of the individual and the SSN of the individual,
along with other identifying information of the individual; or
(ii) Such other evidence of the SSN
as HUD may prescribe in administrative instructions.
(2) EIN. The documentation necessary to verify an EIN of an entity applicant that is required to disclose its
EIN under paragraph (f) of this section
is the official, written communication
from the Internal Revenue Service
(IRS) assigning the EIN to the entity
applicant, or such other evidence of the
EIN as HUD may prescribe in administrative instructions.
(h) Effect on assistance applicants. (1)
Except as provided in paragraph (h)(2)
of this section, if the processing entity
determines that the assistance applicant is otherwise eligible to participate
in a program, the assistance applicant

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Office of the Secretary, HUD

§ 5.230

may retain its place on the waiting list
for the program but cannot become a
participant until it can provide:
(i) The complete and accurate SSN
assigned to each member of the household; and
(ii) The documentation referred to in
paragraph (g)(1) of this section to
verify the SSN of each such member.
(2) For applicants to the Section 8
Moderate Rehabilitation Single Room
Occupancy (SRO) Program for Homeless Individuals under 24 CFR part 882,
subpart H, the documentation required
in paragraph (h)(1) of this section must
be provided to the processing entity
within 90 calendar days from the date
of admission into the program. The
processing entity shall grant an extension of one additional 90-day period if
the processing entity, in its discretion,
determines that the applicant’s failure
to comply was due to circumstances
that could not have reasonably been
foreseen and were outside the control
of the applicant. If, upon expiration of
the provided time period, the individual fails to produce a SSN, the processing entity shall follow the provisions of § 5.218.
(i) Rejection of documentation. The
processing entity must not reject documentation referred to in paragraph (g)
of this section, except as HUD may
otherwise prescribe through publicly
issued notice.

tion, and verification requirements
specified in § 5.216; or
(2) Any of the officials of the entity
applicant referred to in § 5.216(d) does
not meet the applicable SSN disclosure,
and
documentation
and
verification requirements specified in
§ 5.216.
(c) Termination of assistance or termination of tenancy of participants. (1) The
processing entity must terminate the
assistance or terminate the tenancy, or
both, of a participant and the participant’s household, in accordance with
the provisions governing the program
involved, if the participant does not
meet the applicable SSN disclosure,
documentation, and verification requirements specified in § 5.216.
(2) The processing entity may defer
termination and provide the participant with an additional 90 calendar
days to disclose a SSN, but only if the
processing entity, in its discretion, determines that:
(i) The failure to meet these requirements was due to circumstances that
could not have reasonably been foreseen and were outside the control of
the participant; and
(ii) There is a reasonable likelihood
that the participant will be able to disclose a SSN by the deadline.
(3) Failure of the participant to disclose a SSN by the deadline specified in
paragraph (c)(2) of this section will result in termination of the assistance or
tenancy, or both, of the participant
and the participant’s household.
(d) Cross reference. Individuals should
consult the regulations and administrative instructions for the programs
covered under this subpart B for further information on the use of SSNs
and EINs in determinations regarding
eligibility.

[74 FR 68932, Dec. 29, 2009]

§ 5.218 Penalties for failing to disclose
and verify Social Security and Employer Identification Numbers.
(a) Denial of eligibility of assistance applicants and individual owner applicants.
The processing entity must deny the
eligibility of an assistance applicant or
individual owner applicant in accordance with the provisions governing the
program involved, if the assistance or
individual owner applicant does not
meet the applicable SSN disclosure,
documentation, and verification requirements as specified in § 5.216.
(b) Denial of eligibility of entity applicants. The processing entity must deny
the eligibility of an entity applicant in
accordance with the provisions governing the program involved; if:
(1) The entity applicant does not
meet the EIN disclosure, documenta-

[61 FR 11113, Mar. 18, 1996, as amended at 74
FR 4840, Jan. 27, 2009; 74 FR 68933, Dec. 29,
2009]

PROCEDURES FOR OBTAINING INCOME INFORMATION ABOUT APPLICANTS AND
PARTICIPANTS
§ 5.230 Consent by assistance applicants and participants.
(a) Required consent by assistance applicants and participants. Each member
of the family of an assistance applicant

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