This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by

the Superintendent of Documents.

Rules and Regulations Federal Register

7609 

Vol. 89, No. 24 

Monday, February 5, 2024 

1See Public Law 106–553, 114 Stat. at 2762A–109 

to –110, amending Section 605 of title VI of Public 

Law 101–162 (15 U.S.C. 18a note). 

2Public Law 117–328, 136 Stat. 4459, Div. GG, 

Title I. 

3 Id. 

FEDERAL TRADE COMMISSION 

16 CFR Parts 801 and 803 

RIN 3084–AB46 

Premerger Notification; Reporting and 

Waiting Period Requirements 

AGENCY: Federal Trade Commission. 

ACTION: Final rule. 

SUMMARY: The Federal Trade 

Commission (‘‘Commission’’ or ‘‘FTC’’) 

is amending the Hart-Scott-Rodino 

(‘‘HSR’’) Premerger Notification Rules 

(‘‘Rules’’) that require the parties to 

certain mergers and acquisitions to file 

reports with the FTC and the Assistant 

Attorney General in charge of the 

Antitrust Division of the Department of 

Justice (‘‘the Assistant Attorney 

General’’) (together the ‘‘Antitrust 

Agencies’’ or ‘‘Agencies’’) and to wait a 

specified period of time before 

consummating such transactions. In a 

separate document published elsewhere 

in this issue of the Federal Register, the 

Commission is announcing the annual 

adjustment of the filing fee thresholds 

and amounts required by the Merger 

Filing Fee Modernization Act of 2022 

(‘‘2022 Amendments’’), contained 

within the Consolidated Appropriations 

Act, 2023. In this document, the 

Commission amends Parts 801 and 803 

of the Rules to make the ministerial 

changes required to reflect the annual 

adjustment of the filing fee thresholds 

and amounts required by the 2022 

Amendments. 

DATES: Effective March 6, 2024. 

FOR FURTHER INFORMATION CONTACT: 

Robert Jones, Assistant Director, 

Premerger Notification Office, Bureau of 

Competition, Federal Trade 

Commission, 400 7th Street SW, Room 

CC–5301, Washington, DC 20024, or by 

telephone at (202) 326–3100, Email: 

rjones@ftc.gov. 

SUPPLEMENTARY INFORMATION: 

Introduction 

Section 7A of the Clayton Act (the 

‘‘Act’’) requires the parties to certain 

mergers or acquisitions to file with the 

Commission and the Assistant Attorney 

General and wait a specified period 

before consummating the proposed 

transaction to allow the Antitrust 

Agencies to conduct their initial review 

of a proposed transaction’s competitive 

impact. The reporting requirement and 

the waiting period that it triggers are 

intended to enable the Agencies to 

determine whether a proposed merger 

or acquisition may violate the antitrust 

laws if consummated and, when 

appropriate, to seek a preliminary 

injunction in federal court to prevent 

consummation. 

Section 7A(d)(1) of the Act, 15 U.S.C. 

18a(d)(1), directs the Commission, with 

the concurrence of the Assistant 

Attorney General, in accordance with 

the Administrative Procedure Act, 5 

U.S.C. 553, to require that premerger 

notification be in such form and contain 

such information and documentary 

material as may be necessary and 

appropriate to determine whether the 

proposed transaction may, if 

consummated, violate the antitrust laws. 

Section 7A(d)(2) of the Act, 15 U.S.C. 

18a(d)(2), grants the Commission, with 

the concurrence of the Assistant 

Attorney General, in accordance with 5 

U.S.C. 553, the authority to define the 

terms used in the Act and prescribe 

such other rules as may be necessary 

and appropriate to carry out the 

purposes of section 7A of the Act. 

Pursuant to that authority, the 

Commission, with the concurrence of 

the Assistant Attorney General, 

developed the Rules, codified in 16 CFR 

parts 801, 802 and 803, and the 

appendices to Part 803, the Notification 

and Report Form for Certain Mergers 

and Acquisitions (‘‘HSR Form’’) and 

Instructions to the Notification and 

Report Form for Certain Mergers and 

Acquisitions (‘‘Instructions’’), to govern 

the form of premerger notification to be 

provided by merging parties. 

In this rulemaking, the Commission is 

amending Parts 801 and 803 of the 

Rules to make the ministerial changes 

required to reflect the annual 

adjustment of the filing fee thresholds 

and amounts required by the 2022 

Amendments. 

Affected in Part 801, Coverage Rules: 

§ 801.1 Definitions. 

Affected in Part 803, Transmittal Rules 

• § 803.9 Filing fee. 

• Appendix A to Part 803— 

Notification and Report Form for 

Certain Mergers and Acquisitions 

Background 

In 1989, section 605 of Public Law 

101–162, 103 Stat. 1031 (15 U.S.C. 18a 

note), first required the Federal Trade 

Commission to assess and collect filing 

fees from persons acquiring voting 

securities or assets under the Act. The 

fee was originally $20,000 and was 

raised twice so that by 1994 it was 

$45,000. In 2000, fee tiers, rather than 

a single fee, were established by section 

630(b) of Public Law 106–553, 114 Stat. 

2762, 2762A–109 so that filers were 

required to pay $45,000, $125,000, or 

$280,000 per transaction, depending on 

the total value of the transaction. While 

these fees did not change after their 

adoption in 2000, the relevant 

jurisdictional thresholds began to adjust 

annually in 2005 to reflect changes in 

the gross national product (‘‘GNP’’).1

This meant that the value of reportable 

transactions started to increase but the 

associated filing fees did not. 

On December 29, 2022, the President 

signed into law the Consolidated 

Appropriations Act, 2023, which 

included the 2022 Amendments. The 

2022 Amendments, among other things, 

aimed to address the disparity between 

the value of a transaction and its 

associated filing fee by amending the 

fees and fee tiers in the Act. See Public 

Law 117–328, Div. GG, 136 Stat. 4459. 

The fee structure enacted by the 2022 

Amendments codifies six, rather than 

three, filing fee tiers. In addition, the 

2022 Amendments require that the 

filing fee tiers be adjusted annually to 

reflect changes in the GNP for the 

previous year 2 and that the filing fee 

amounts be increased annually, if the 

percentage increase in the consumer 

price index (‘‘CPI’’) for the prior year as 

compared to the CPI for the fiscal year 

ended on September 30, 2022, is greater 

than one percent.3 The 2022 

Amendments specify that such 

adjustments to the fees will be rounded 

to the nearest $5,000. 


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4By comparison, the dollar thresholds 

established for total annual receipts of a small 

business under the applicable small business size 

standards fall well under $50 million. See 13 CFR 

121.201. 

In a separate document published 

elsewhere in this issue of the Federal 

Register, the Commission is announcing 

(1) the revised jurisdictional thresholds 

for the Hart Scott Rodino Antitrust 

Improvements Act of 1976 required by 

the 2000 amendment of Section 7A of 

the Clayton Act; and (2) the revised 

filing fee schedule for the same Act 

required by Division GG of the 2023 

Consolidated Appropriations Act. In the 

instant document, the Commission, 

with the concurrence of the Assistant 

Attorney General, amends Parts 801 and 

803 of the Rules to make the ministerial 

changes required to reflect the annual 

adjustment of the filing fee thresholds 

and amounts required by the 2022 

Amendments. 

I. Section 801.1 Definitions 

Section 801.1(n), Definition of (as 

Adjusted) 

The Commission is making a 

ministerial change to the definition of 

‘‘(as adjusted)’’ to clarify that the fee 

thresholds and amounts are subject to 

annual adjustment under the 2022 

Amendments. The Commission is not 

making any material changes to this 

section. 

II. Section 803.9 Filing Fee 

Section 803.9 describes how fees are 

determined and paid. The Commission 

is amending the eight examples in 

§ 803.9 to conform with the changes to 

the fees and fee tiers required by the 

2022 Amendments, to update dates and 

dollar values to reflect more recent 

adjusted jurisdictional thresholds, and 

to add clarity to the examples. 

Specifically, the Commission will 

amend the examples in § 803.9 as 

follows: 

• Revising Example 1 to add ‘‘(as 

adjusted)’’ to reflect the annual 

adjustment of the fee amounts as 

codified in the 2022 Amendments. 

• Revising Example 2 to clarify that 

the tiers and amounts referenced are 

those in effect as of April 2024 and 

adjust example dollar values to align 

with values in effect as of April 2024 to 

avoid confusion and improve the utility 

of the example. 

• Revising Example 3 to clarify that 

the tiers and amounts referenced are 

those in effect as of April 2024 and 

adjust example dollar values to align 

with values in effect as of April 2024 to 

avoid confusion and improve the utility 

of the example. 

• Revising Example 4 to clarify that 

the tiers and amounts referenced are 

those in effect as of April 2024 and 

adjust example dollar values to align 

with values in effect as of April 2024 to 

avoid confusion and improve the utility 

of the example. 

• Revising Example 5 to provide real 

(and not adjusted) asset values to avoid 

confusion and improve the utility of the 

example, and to add ‘‘(as adjusted)’’ to 

reflect the annual adjustment of the fee 

amounts as codified in the 2024 

Amendments. 

• Revising Example 6 to clarify that 

the tiers and amounts referenced are 

those in effect as of April 2024 and 

adjust example dollar values to align 

with values in effect as of April 2024 to 

avoid confusion, improve the utility of 

the example, and eliminate a 

typographical error. 

• Revising Example 7 to clarify that 

the tiers and amounts referenced are 

those in effect as of April 2024 and 

adjust example dollar values to align 

with values in effect as of April 2024 to 

avoid confusion, improve the utility of 

the example, and eliminate a 

typographical error. 

• Revising Example 8 to clarify that 

the tiers and amounts referenced are 

those in effect as of April 2024 and add 

‘‘(as adjusted)’’ to reflect the annual 

adjustment of the fee amounts as 

codified in the 2022 Amendments. 

III. Administrative Procedure Act 

The Commission finds good cause to 

adopt these changes without prior 

public comment. Under the 

Administrative Procedure Act (‘‘APA’’), 

notice and comment are not required 

‘‘when the agency for good cause finds 

(and incorporates the finding and a brief 

statement of reasons therefore in the 

rules issued) that notice and public 

procedure thereon are impracticable, 

unnecessary, or contrary to the public 

interest.’’ 5 U.S.C. 553(b)(3)(B). 

In this case, the Commission finds 

that public comment on these changes 

is unnecessary. The Commission is 

amending the HSR Rules to conform 

with the new fee tiers and fees enacted 

by Congress. These updates do not 

involve any substantive changes in the 

HSR Rules’ requirements for entities 

subject to the Rules. Rather, they are 

conforming updates to the definition of 

the HSR Act and examples of how to 

calculate the appropriate fee. In 

addition, these amendments fall within 

the category of rules covering agency 

procedure and practice that are exempt 

from the notice-and-comment 

requirements of the APA. See 5 U.S.C. 

553(b)(3)(A). 

For these reasons, the Commission 

finds there is good cause for adopting 

this final rule as effective on March 6, 

2024 without prior public comment. 

IV. Regulatory Flexibility Act 

The Regulatory Flexibility Act, 5 

U.S.C. 601–612, requires that the agency 

conduct an initial and final regulatory 

analysis of the anticipated economic 

impact of the proposed amendments on 

small businesses, except where the 

agency head certifies that the regulatory 

action will not have a significant 

economic impact on a substantial 

number of small entities. 5 U.S.C. 605. 

Because of the size of the transactions 

necessary to invoke an HSR filing, the 

premerger notification rules rarely, if 

ever, affect small businesses. Indeed, 

amendments to the Act in 2001 were 

intended to reduce the burden of the 

premerger notification program further 

by exempting all transactions valued at 

less than $50 million (as adjusted 

annually).4 Likewise, none of the rule 

amendments expand the coverage of the 

premerger notification rules in a way 

that would affect small business. In 

addition, the Regulatory Flexibility Act 

requirements apply only to rules or 

amendments that are subject to the 

notice-and-comment requirements of 

the APA. See 5 U.S.C. 603, 604. Because 

these amendments are exempt from 

those APA requirements, as noted 

earlier, they are also exempt from the 

Regulatory Flexibility Act requirements. 

In any event, to the extent, if any, that 

the Regulatory Flexibility Act applies, 

the Commission certifies that these rules 

will not have a significant economic 

impact on a substantial number of small 

entities. This document serves as notice 

of this certification to the Small 

Business Administration. 

V. Paperwork Reduction Act 

The Commission has existing 

Paperwork Reduction Act clearance for 

the HSR Rules (OMB Control Number 

3084–0005). The Commission has 

concluded that these technical 

amendments do not change the 

substance or frequency of the preexisting information collection 

requirements and, therefore, do not 

require further OMB clearance. 

VI. Other Matters 

Pursuant to the Congressional Review 

Act (5 U.S.C. 801 et seq.), the Office of 

Information and Regulatory Affairs 

designated this rule as not a ‘‘major 

rule,’’ as defined by 5 U.S.C. 804(2). 

List of Subjects in 16 CFR Parts 801 and 

803 

Antitrust. 


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Federal Register / Vol. 89, No. 24 / Monday, February 5, 2024 / Rules and Regulations 7611 

For the reasons stated in the 

preamble, the Federal Trade 

Commission is amending 16 CFR parts 

801 and 803 as set forth below: 

PART 801—COVERAGE RULES 

■ 1. The authority citation for part 801 

continues to read as follows: 

Authority: 15 U.S.C. 18a(d). 

■ 2. Amend § 801.1 by revising 

paragraph (n) to read as follows: 

§ 801.1 Definitions 

* * * * * 

(n) (as adjusted). The parenthetical 

‘‘(as adjusted)’’ refers to the adjusted 

values published in the Federal Register 

document titled ‘‘Revised Jurisdictional 

Thresholds and Fee Amounts under 

Section 7A of the Clayton Act.’’ This 

Federal Register document will be 

published in January of each year and 

the values contained therein will be 

effective as of the effective date 

published in the Federal Register 

document and will remain effective 

until superseded in the next calendar 

year. The document will also be 

available at https://www.ftc.gov. Such 

adjusted values will be calculated in 

accordance with Section 7A(a)(2)(A) 

and the statutory note to Section 7A. 

* * * * * 

PART 803—TRANSMITTAL RULES 

■ 3. The authority citation for part 803 

continues to read as follows: 

Authority: 15 U.S.C. 18a(d). 

■ 4. Revise § 803.9 (a)(1) through (8) as 

follows: 

§ 803.9 Filing fee. 

(a) * * * * * 

(1) ‘‘A’’ wishes to acquire voting 

securities issued by B, where the greater 

of the acquisition price and the market 

price is in excess of $50 million (as 

adjusted) but less than $100 million (as 

adjusted) pursuant to § 801.10 of this 

chapter. When ‘‘A’’ files notification for 

the transaction, it must indicate the $50 

million (as adjusted) threshold. If the 

value of the voting securities is less than 

$161.5 million (as adjusted), ‘‘A’’ must 

pay a filing fee of $30,000 (as adjusted) 

because the aggregate total amount of 

the acquisition is greater than $50 

million (as adjusted) but less than 

$161.5 million (as adjusted). If the 

aggregate total value of the voting 

securities is at least $161.5 million (as 

adjusted), but less than $500 million (as 

adjusted), ‘‘A’’ must pay a filing fee of 

$100,000 (as adjusted). 

(2) In April 2024, ‘‘A’’ acquires $75 

million of assets from ‘‘B.’’ The parties 

meet the size of person criteria of 

section 7A(a)(2)(B) of the act, but the 

transaction is not reportable because it 

does not exceed the $50 million (as 

adjusted) size of transaction threshold of 

that provision. Two months later ‘‘A’’ 

acquires additional assets from ‘‘B’’ 

valued at $175 million. Pursuant to the 

aggregation requirements of 

§ 801.13(b)(2)(ii) of this chapter, the 

aggregate total amount of ‘‘B’s’’ assets 

that ‘‘A’’ will hold as a result of the 

second acquisition is $250 million. 

Accordingly, when ‘‘A’’ files 

notification for the second transaction, 

‘‘A’’ must pay a filing fee of $100,000 (as 

adjusted) because the aggregate total 

amount of the acquisition is less than 

$500 million (as adjusted), but not less 

than $161.5 million (as adjusted). 

(3) In April 2024, ‘‘A’’ acquires $120 

million of voting securities issued by B 

after submitting its notification and 

$30,000 (as adjusted) filing fee and 

indicates the $50 million (as adjusted) 

threshold. Later in 2024, ‘‘A’’ files to 

acquire additional voting securities 

issued by B valued at $120 million 

because it will exceed the next higher 

reporting threshold (see § 801.1(h) of 

this chapter). Assuming the second 

transaction is reportable, and the value 

of its initial holdings is unchanged (see 

§§ 801.13(a)(2) and 801.10(c) of this 

chapter), the provisions of § 801.13(a)(1) 

of this chapter require that ‘‘A’’ report 

that the total value of the second 

transaction is $240 million, which is in 

excess of $100 million (as adjusted) 

notification threshold. This is because 

‘‘A’’ must aggregate previously acquired 

securities in calculating the value of B’s 

voting securities that it will hold as a 

result of the second acquisition. ‘‘A’’ 

should pay a filing fee of $100,000 (as 

adjusted) because the total value is 

greater than $161.5 million (as adjusted) 

but less than $500 million (as adjusted). 

(4) In April 2024, ‘‘A’’ signs a contract 

with a stated purchase price of $174 

million, subject to adjustments, to 

acquire all of the assets of ‘‘B.’’ If the 

amount of adjustments can be 

reasonably estimated, the acquisition 

price—as adjusted to reflect that 

estimate—is determined. If the amount 

of adjustments cannot be reasonably 

estimated, the acquisition price is 

undetermined. In either case the board 

or its delegee must also determine in 

good faith the fair market value. 

(§ 801.10(b) of this chapter states that 

the value of an asset acquisition is to be 

the fair market value or the acquisition 

price, if determined and greater than fair 

market value.) ‘‘A’’ files notification and 

submits a $30,000 (as adjusted) filing 

fee. ‘‘A’s’’ decision to pay that fee may 

be justified on either of two bases. First, 

‘‘A’’ may have concluded that the 

acquisition price can be reasonably 

estimated to be less than $173.3 million, 

because of anticipated adjustments— 

e.g., based on due diligence by ‘‘A’s’’ 

accounting firm indicating that one 

third of the inventory is not saleable. If 

fair market value is also determined in 

good faith to be less than $173.3 

million, the $30,000 (as adjusted) fee is 

appropriate. Alternatively, ‘‘A’’ may 

conclude that because the adjustments 

cannot reasonably be estimated, the 

acquisition price is undetermined. If so, 

‘‘A’’ would base the valuation on the 

good faith determination of fair market 

value. The acquiring party’s execution 

of the Certification also attests to the 

good faith valuation of the value of the 

transaction. 

(5) In April 2024, ‘‘A’’ contracts to 

acquire all of the assets of ‘‘B’’ for $550 

million. The assets include hotels, office 

buildings, and rental retail property, all 

of which are exempted by § 802.2 of this 

chapter. Section 802.2 directs that these 

assets—which are valued at $300 

million—are exempt from the 

requirements of the act and that 

reporting requirements for the 

transaction should be determined by 

analyzing the remainder of the 

acquisition as if it were a separate 

transaction. Furthermore, § 801.15(a)(2) 

of this chapter states that those exempt 

assets are never held as a result of the 

acquisition. Accordingly, the aggregate 

amount of the transaction is in excess of 

$161.5 million (as adjusted), but less 

than $500 million (as adjusted). ‘‘A’’ 

will be liable for a filing fee of $100,000 

(as adjusted), rather than $250,000 (as 

adjusted), because the value of the 

transaction is not less than $161.5 

million (adjusted) but is less than $500 

million (as adjusted). 

(6) In April 2024, ‘‘A’’ acquires coal 

reserves from ‘‘B’’ valued at $150 

million. No notification or filing fee is 

required because the acquisition is 

exempted by § 802.3(b) of this chapter. 

Three months later, A proposes to 

acquire additional coal reserves from 

‘‘B’’ valued at $500 million. This 

transaction is subject to the notification 

requirements of the act because the 

value of the acquisition exceeds the 

$200 million limitation on the 

exemption in § 802.3(b). As a result of 

§ 801.13(b)(2)(ii) of this chapter, the 

prior $150 million acquisition must be 

added because the additional $500 

million of coal reserves were acquired 

from the same person within 180 days 

of the initial acquisition. Because 

aggregating the two acquisitions exceeds 

the $200 million exemption limitation, 

§ 801.15(b) of this chapter directs that 

‘‘A’’ will also hold the previously 


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7612 Federal Register / Vol. 89, No. 24 / Monday, February 5, 2024 / Rules and Regulations 

exempt $150 million acquisition; thus, 

the aggregate amount held as a result of 

the $500 million acquisition is $650 

million. Accordingly, ‘‘A’’ must file 

notification to acquire the coal reserves 

valued in excess of $500 million (as 

adjusted) but less than $1 billion (as 

adjusted) and pay a filing fee of 

$250,000 (as adjusted). 

(7) In April 2024, ‘‘A’’ intends to 

acquire 20 percent of the voting 

securities of B, a non-publicly traded 

issuer. The agreed upon acquisition 

price is $172.3 million subject to postclosing adjustments of up to plus or 

minus $2 million. ‘‘A’’ estimates that 

the adjustments will be minus $1 

million. In this example, since ‘‘A’’ is 

able in good faith to reasonably estimate 

the adjustments to the agreed-on price, 

the acquisition price is deemed to be 

determined and the appropriate filing 

fee threshold is $50 million (as 

adjusted). Even if the post-closing 

adjustments cause the final price 

actually paid to exceed $172.3 million, 

‘‘A’’ would be deemed to hold $171.3 

million in B voting securities as a result 

of this acquisition. Note, that any 

additional acquisition by ‘‘A’’ of B 

voting may trigger another filing and 

require the appropriate fee. 

(8) In April 2024, ‘‘A’’ intends to 

make a cash tender offer for a minimum 

of 50 percent plus one share of the 

voting securities of B, a non-publicly 

traded issuer, but will accept up to 100 

percent of the shares if they are 

tendered. There are 12 million shares of 

B voting stock outstanding and the 

tender offer price is $100 per share. In 

this instance, since there is no cap on 

the number of shares that can be 

tendered, the value of the transaction 

will be the value of 100 percent of B’s 

voting securities, and ‘‘A’’ must pay the 

$400,000 (as adjusted) fee for the $1 

billion (as adjusted) filing fee threshold. 

Note that if the tender offer had been for 

a maximum of 50 percent plus one share 

the value of the transaction would be 

$600 million, and the appropriate fee 

would be $250,000 (as adjusted), based 

on the $500 million (as adjusted) filing 

fee threshold. This would be true even 

if the tender offer were to be followed 

by a merger which would be exempt 

under section 7A(c)(3) of the act. 

* * * * * 

By direction of the Commission. 

Joel Christie, 

Acting Secretary. 

[FR Doc. 2024–02228 Filed 2–2–24; 8:45 am] 

BILLING CODE 6750–01–P 

DEPARTMENT OF HOUSING AND 

URBAN DEVELOPMENT 

24 CFR Part 5 and Chapter IX 

[Docket No. FR–6438–N–01] 

Regulatory Waivers and Administrative 

Flexibilities During a Presidentially 

Declared Disaster, for Public Housing 

Agencies During CY 2024 and CY 2025 

AGENCY: Office of Assistant Secretary for 

Public and Indian Housing, U.S. 

Department of Housing and Urban 

Development (HUD). 

ACTION: Notification of waivers. 

SUMMARY: This document advises Public 

Housing Agencies (PHAs) and the 

public that HUD is establishing an 

expedited waiver process for requests to 

waive HUD regulatory and/or 

administrative requirements (‘‘HUD 

requirements’’) for PHAs during 

Presidentially Declared Disasters 

(PDDs). PHAs located in areas that are 

included in PDD areas (PDD PHAs) may 

request waivers of certain HUD Public 

Housing and section 8 requirements and 

receive expedited review of such 

requests to utilize the administrative 

flexibilities and expedited waiver 

process set forth in this document. 

DATES: Waivers and administrative 

flexibilities set forth in this document 

are effective from January 1, 2024, until 

December 31, 2025. 

FOR FURTHER INFORMATION CONTACT: 

Tesia Anyanaso, Office of Field 

Operations, Office of Public and Indian 

Housing, Department of Housing and 

Urban Development, 451 7th Street SW, 

Room 3180, Washington, DC 20410– 

5000, or email PIH_Disaster_Relief@

hud.gov or call (202) 402–7026 during 

business hours. HUD welcomes and is 

prepared to receive calls from 

individuals who are deaf or hard of 

hearing, as well as individuals with 

speech and communication disabilities. 

To learn more about how to make an 

accessible telephone call, please visit 

https://www.fcc.gov/consumers/guides/ 

telecommunications-relay-service-trs. 

SUPPLEMENTARY INFORMATION: HUD is 

exercising its discretionary authority 

from 24 CFR 5.110 (Waivers) and is 

providing regulatory flexibility to PDD 

PHAs described in this document. Upon 

receipt of a PDD PHA waiver or 

flexibility request, HUD will review and 

may approve the submission. The 

request must include documentation of 

good cause for each waiver or flexibility 

request. HUD may consider extensions 

subject to statutory limitations and 

pursuant to 24 CFR 5.110, to facilitate 

a PDD PHA’s ability to participate in 

disaster relief and recovery efforts. 

Waivers of essential program 

requirements, such as property 

inspection or income verification, will 

not be granted in their entirety, although 

modifications may be considered. 

HUD’s ability to grant waivers or 

approve alternative requirements is 

limited, as HUD does not have the 

authority to waive statutory 

requirements. 

I. Instructions for PDD PHAs—How To 

Request an Expedited Waiver or 

Administrative Flexibility 

A PDD PHA seeking a waiver or 

flexibility of a HUD requirement listed 

within this document, or any other HUD 

requirement needed to assist in disaster 

relief and recovery efforts, must submit 

a written request. HUD will not approve 

a PDD PHA’s request to waive or be 

granted a flexibility for fair housing, 

civil rights, labor standards, or HUD’s 

environmental review requirements. 

Waiver requests approved by HUD 

pursuant to this document will be 

published in the Federal Register and 

will identify the PDD PHAs receiving 

such approvals, pursuant to section 106 

of the Department of Housing and Urban 

Development Reform Act of 1989. The 

process that HUD will use in assessing 

applications for waivers and 

administrative flexibilities is explained 

below. 

HUD developed a checklist 

(Attachment A at the end of this 

document) that a PDD PHA must 

complete and submit to request 

expedited review of waivers identified 

in this document. Each request must 

include a good-cause justification 

explaining the need for the waiver 

related to the PHA’s disaster relief and 

recovery efforts. The PDD PHA must 

await HUD’s response affirming waiver 

approval before implementing any 

requested waiver. Waivers will be 

granted for a period of up to 12 months 

following approval, unless otherwise 

specified. 

Waivers are divided into two tiers: 

tier 1, waivers that are estimated to be 

approved within 30 days; and tier 2, 

waivers that are estimated to be 

approved within 60 days. The Office of 

Public and Indian Housing (PIH) will 

prioritize waiver request(s) based upon 

the designated tier. 

II. List of Waivers and Administrative 

Flexibilities 

Tier 1: Immediate Need. This tier 

includes waivers and administrative 

flexibilities needed for crisis 

management operations during the 

immediate aftermath of a PDD. These 

requests will be prioritized by HUD and 


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