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Home My WebLink About1998 S Housing - Cooperative Agreement with US Department HUD P~~EM~'° a~ '~b~ ~' ~ ~ * * ~ o~ w~ 94'W oE`IE~ September 21, 1998 RETURN THIS COPY TO THE CLERK'S ~,; OFFICE FOR THE PERMANENT AGENDA FILE Georgia State Office /O-~ ~ 9 Richard B. Russell Federal Building •% 75 Spring Street, S.W. Atlanta, Georgia 30303-3388 (http:/Mrovw.hud.gov) Dear: EXECUTIVE DIRECTOR OF THE FAIR HOUSING ASSISTANCE PROGRAM (FHAP) AGENCY SUBJECT: TAG#59: FUNDING OF FY'98 COOPERATIVE AGREEMENTS Enclosed is one copy of the 1998/9 Cooperative Agreement package for your files. Also enclosed aze five (5) copies of the Form HUD 1044 for your original signature. Included in the Attachments at Attachment C aze five (5} copies OMB Standard Assurances - SF 4248, Drug Free Certification which should also be signed. Retain one copy for your records, and return the remaining four. You may also retain the remaining Attachments to the Cooperative Agreement package, however, the Form HUD 1044 and Attachment C should be returned to this office by EXPRESS MAIL to: Gregory Bernazd King, Hub Director U. S. Department of Housing and Urban Development SoutheastlCaribbean Office of Fair Housing and Equal Opportunity Richazd B. Russell Federal Building Room 230, 75 Spring Street, S. W. Atlanta, GA 30303-3388 In our efforts to obligate funds before the end of this fiscal yeaz, this agreement covers funding for CASE PROCESSING and TRAININ (Agency/HUD Sponsored). Your lump sum Cooperative Agreement amount either includes $15,000.00 or $20,000.00 for training depending upon the number of employees you identified as being trained, i.e., 3-6 or 7-10. As you will note, this yeaz's funding principles include funds for Training, Administrativemst and Special Enforcement Efforts. Eligibility for these funds require documentation from the agencies to establish the level of funding. Therefore, this Cooperative Agreement will be amended to include new 1998/9 funding for Administrative Costs and Special Enforcement Efforts funding. Training funds have been included in the enclosed Agreement, however, documentation for all training will be necessary in order for the payment to be approved. Capacity Building agencies are not eligible for the aforementioned funds. z We have included with this letter a list of the eligibility requirements for your information. An amended agreement will be formulated after verification or documentation of eligibility. Should you have any questions, please call your assigned monitor, Sincerely yours, Gre azd King, Hub Director Southeast/Caribbean Office of Fair Housing and Equal Opportunity Enclosures • Assistance Awara~ Amendment U.S. Department of Housing and Urban Development Office of Administration ~. nseiatance Instrument X^ Cooperative Agreement ~ G 2. T of Actlan ~ rant X Award ~ Amendment 3. Instrument Number FF204K984022 4. Amendment Number 5. Effective Dsts o this coon 6. Control Number 10~01/A98 7. Name and Addroas of Recipient 8. HUD Administering Office ORANGE COUNTY HUMAN RELATIONS COMMISSION HUB DIRECTOR, SE/CARIBBEAN OFFICE OF FHEO GEORGIA STATE OFFICE RM 230 75 SPRING T P.O. BOX 8181 MILLSBOROUG~, NORTH CAROLINA 27278 , S ., S.W. ATLANTA, GEORGIA 30303-3388 75 Spring Street 6a. Name of Administrator GREGORY BERNARD KING eb. Telephone Number (404)331-5140 1 O. Recipient Protect Manager LUCKY LSWIS DIRECTOR 9. HUD Ciovemment Technical Reproasntathro , FANNY CHESTNUT-HAIRSTON 11. Ma iatanw Arrangement Coat Reimbursement- 12. P ~ ayment Method Treasury Check Reirr7bttrsansnt 13. HUD Payment Office U. S . DEPT . OF HUB, SEATTLE FSDERL OFFICB BLDG . Cost Sharing ~ Advance Check 909 FIRST AVENUE SUITE 200 SEATTLE, WA 98154-1000 Fixed Price ~ Automated Clsaringhouee t 4. Aeaietance Amount 15. HUD Accounting and Appropriatlon Data Previous HUD Amount g 15a. A propriation Number 15b. Reservation Number HUD Amount this action q 100,000.00 868190144 IFHSO-98-4022 Total HUD Amount $ Recipient Amount ~ Total instrument Amount $ 18. Dseaiption CAPACITY BUILDING AGREEMENT FY'98 100,000.0 Amount Previously Obligated $ 100 000.00 Obligation by this lotion $ Total Obligation $ 100, 000.00 COOPERATIVE AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP) This agreement consiists of the following, which incorporated herein and made a part hereof: 2. Schedule of Articles 3. Statement of Work 4. Section 3 Clause 5. Assurances 6. Criteria for Processing 7. Administrative Requirements for Grants and Cooperative Agreements Order of Prededence: Notwithstanding any provision to the contrarryy in the event of a conflict among any of the documents pertaining to the duties and res nsibil~ties of the parties, the StatemenE of work shall take precedence over the Schedule o~Articlea. ~ ~• ~ Recipient is required to si nand return three (3 copies ~ 8• of this document to the ~O Administering Office. ^ Recipient is not required to sign this document. 1 g. Reoipiant fist' Namsl: 20. HUD ley Name1: Signature A Titlr. Date: ~ THk: Dsts: - __. ~- ..i.a wsv `J Previous sditans are obsolete form HUD-1044 f6/801 rof. Handbook 2270.17 CAPACITY BUILDING AGREEMENT FY'98 SCHEDULE OF ARTICLES 1. SCOPE OF WORK (FIXED PRICE) 2. PERIOD OF PERFORMANCE 3. INSPECTION_AND ACCEPTANCE 4. CONDUCT OF WORK 5. INSTRUMENT AMOUNT AND REQUESTS FOR PAYMENT 6. USE OF COOPERATIVE AGREEMENT FUNDS 7. MAINTENANCE OF EFFORT 8. HUD'S SUBSTANTIAL INVOLVEMENT 9. ASSURANCES 10. USE OF CONSULTANTS 11. PUBLICATIONS AND NEWS RELEASES 12. REPRODUCTION OF REPORTS 13. FLOW DOWN PROVISIONS 14. DISPUTES APPENDIX AND ATTACHMENTS APPENDIX A - STATEMENT OF WORK (CAPACITY BUILDING AGENCIES ONLY ) ATTACHMENTS ATTACFIlKENT A - CRITERIA FOR PROCESSING -- ATTACHMENT B - PART 115 ATTACFIIKENT C - INSTRUCTIONS FOR PREPARATION AND SUBMISSION OF DIRECT DEPOSIT SIGN-UP FORM tSF-1199A) AND INSTRUCTIONS FOR THE LOCCS VOICE RESPONSE SYSTEM ACCESS ATTACHMENT D - PART 85 1. SCOPE OF WORK (FIXED PRICE) The Recipient (or Agency) shall furnish all the necessary personnel, materials, services, equipment, facilities, (except as otherwise specified herein) and otherwise do all things necessary for or incidental to the performance of the work set forth in the Statement of Work and all Attachments for the firm fixed price set forth herein. Including, but not limited to, identifying staff assigned to carry out fair housing activities by name, position, salary, percentage of time spent carrying out fair housing responsibilities, and experience. 2. PERIOD OF PERFORMANCE The Recipient shall provide all services hereunder for a period _ not to exceed twelve (12) months from the effective date of the -instrument. 3. INSPECTION AND ACCEPTANCE Inspection and acceptance of all but the final products may be accomplished by the Government Technical Monitors (GTMs), if so delegated. Final acceptance is the responsibility of the regional Government Technical Representative (GTR). 4. CONDUCT OF WORK ''A. During the effective period of this instrument, the GTR and/or the GTM identified in Block 9 of the cover page shall be responsible for monitoring the technical effort of the Recipient, unless the Recipient is notified in writing by the Grant/Cooperative Agreement Officer (G/CAO) of a replacement. B. Only the G/CAO identified in Block 8a has the power to authorize deviations from this instrument, including deviations from the Statement of Work. In the event the Recipient does deviate without written approval of the G/CAO, such deviation shall be at the risk of the Recipient, and any costs related thereto shall be borne by the ._ Recipient. 5. INSTRUMENT AMOUNT AND REQUESTS FOR PAYMENT A. The maximum amount for performance under the Statement of Work and all other requirements of this instrument is $100,000 to support the agency's fair housing efforts in accordance with Appendix A, Statement of Work. Payments shall be made in accordance with paragraph B, below. B. DATE FOR RECIPIENT'S VOUCIiER PERIODS IN LOCCS 70 days after the effective date of instrument 120 Days after the effective date of instrument 250 days after the effective date of instrument Final submission on or before the completion date of instrument CAPACITY BUILDING AMOUNT 30$ of Capacity Building Amount 30~ of Capacity Building Amount 30$ of Capacity Building Amount 10~ of Capacity Building Amount C. The Recipient shall follow the instructions provided by the GTR/GTM for using the Line of Line of Credit Control system (LOCOS) for vouchering under this Cooperative Agreement in accordance with the time periods stipulated above. Payment may be withheld if it is the judgment of the GTR/GTM that the Recipient is not complying with all terms of the Cooperative Agreement, Statement of Work, and all Attachments hereto. D. The Recipient shall submit a Narrative Report when a draw down is requested. The Report for Capacity n Building agencies should provide infonaation on the agency's investigative and conciliation techniques, performance criteria; and, the deliverables due as described in the Recipient's funding application and the Statement of Work as approved by the GTR and G/CAO. Any Reports for data and information systems should be accompanied by a listing of all hardware and software acquired during the billing period. The agency should _also provide an education and outreach plan for the review and approval of the GTR/GTM. covered project. E. The Criteria for Processing are hereby incorporated as Attachment A, FY'98, to the Schedule of Articles. F. The Administrative Requirements for Grants and Cooperative Agreements (Part 85) are hereby incorporated as Attachment D to the Schedule of Articles. G. The Government shall remit all payments to the following address on the depository form: AGENCY TID PROYII,fN SAID ~D ASS OF FINANCIAL INSTITDTIGET Tr1 GTR Ai11D 67M 6. 7. USE OF COOPERATIY6 AGREEMENT FUNDS The Agency is entitled to receive the fixed amount stated in the Cooperative Agreement for satisfactory completion of the work to be performed regardless of costs incurred. However, the program regulations and this Schedule of Articles require that all activities for which FHAP funds are used must address, or have relevance to, matters affecting fair housing which are cognizable under the Fair Housing Act (42 U.S.C. 3600-19). MAINTENANCE OF EFFORT The Agency must not unilaterally reduce the level of financial resources currently conQaitted to fair housing complaint processing. Budget and staff reductions occasioned by legislative action outside the control of the agency will not, alone, result in a determination of ineligibility. However, HUD will take such actions into consideration in assessing the ongoing viability of an Agency's fair housing program. 8. HUD'3 SUBSTANTIAL INVOLVEMENT A. HUD intends to have substantial involvement in the review and approval of all aspects of the work to be carried out as a result of an award under this agreement. 8. Anticipated substantial involvement shall include, but not be limited to the following: 1. Review and guidance in progress and upon completion of case investigations; 2. Requests for additional information on cases dual-filed to provide clarification or for completeness of a case investigation or file; 3. Development and presentation of National and/or field office location fair housing investigative training; 4. Participation in the development and presentation of in-house investigative training; 5. Participation in presentation of education and outreach programs; and 6. Provision of appropriate directives and guidance on case processing. 9. A3SURANCE3 The Recipient of FHAP funds agrees that it will not engage in any discriminatory actions in its administration of or in its employment and treatment of employees and/or clients and makes the following assurances to HUD as a condition for the receipt of FHAP funds. The Recipient also assures that it will. 1. Provide a drug-free workplace; 2. Cause to be performed required financial and compliance audits in accordance with the Single Audit Act; 3. Comply with the provisions of the Hatch Act (5 U.S.C.) Sections 1501-1508 and 7324-7328) which limit the political activities of employees whose principle employment activities are funded in whole ar in part with Federal funds; 4. Establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain; 5. Comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Sections 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F); 6. Comply with all Federal statutes relating to nondiscrimination. These include but are not limited - to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Sections 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. Section 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. Sections 6101-6107), which prohibits discrimination on the basis of age; 7. Comply with all applicable requirements of all Federal laws, executive orders, regulations, and policies governing this program; and 8. Comply with the requirements of the Resource Conservation and Recovery Act which mandates that State agencies using Federal funds have procurement programs which give preference to products containing recycled materials when purchasing specific products identified in guidelines developed by the Environmental Protection Agency (40 CFR 247-253). 10. USE OF CONSULTANTS As required by HUD's Appropriations Act, salary payments to consultants under this instrument shall not exceed the equivalent of the maximum daily rate paid to SES Level 4 Federal employees. Further guidance on procurement actions which the Recipient is required to follow under this instrument is contained in 24 CFR Part 85.36 (Attachment C to this cooperative agreement). 11. PUBLICATIONS AND NEWS RELEASES A. Definition. For the purpose of this clause "publication" includes: 1. Any document containing information for public consumption; or 2. Any act of, or any.act which may result in, disclosing information to the public. B. The results of any education and outreach efforts of the agency can be made available to the public through dedication, assignment by the Government, or other such means as the Secretary may determine. C. Government Ownership of Official Products of Work All interim and final reports and information, data analyses, special methodology, findings, and their related documents and work products, including reports, work sheets, survey instruments, computer tapes, and any other physical materials and products produced directly under the Statement of Work of this instrument are considered Official Products of Work, owned by the U. S. Government and held for the benefit of the public. D. Publication of Official Products of Work Official Products of Work, quotations therefrom, paraphrasing, or disclosures of interim findings may not be published without the approval of the GTR for a period of sixty (60) days after acceptance of the product by the GTR. Thereafter, the Recipient shall be free to publish without HUD approval. E. Acknowledgment and Disclaimer All Official Products of Work, or any part thereof, and any Independent Products and Special Products arising out of this instrument, when published by Recipient or other participants in the work, shall contain the following acknowledgment and disclaimer: "The work that provided the basis for this publication was supported by funding under a Cooperative Agreement with the U.S. Department of Housing and Urban Development. The substance and findings of the work are dedicated to the public. The author and publisher are solely responsible for the accuracy of the statements and interpretations contained in this publication. Such interpretations do not necessarily reflect the views of the Government." F. Notice of News Release and .Public Announcements Two copies of all press releases, formal announcements, and other planned, written issuances containing news or information concerning this instrument that may be made by the Recipient or its staff, or any subcontractor or other person or organization participating in the work of this instrument shall be provided to the GTR for approval at the earliest possible time. News releases and other public announcements may not disclose any interim finding or quote or paraphrase any part of any Official Product of Work without complying with Paragraph E, above. 12. REPRODUCTION OF REPORTS In accordance with Government Printing and Binding Regulations, reproduction of reports, data or other written materials, if required herein, is authorized provided that the materials produced do not exceed 5,000 production units of any page and the items consisting of multiple pages do not exceed 25,000 production units in aggregate. 13. FLOW DONN PROVISIONS The Recipient shall include provisions to carry out the purposes of this instrument in all contracts of employment with persons who perform any part of the work under this instrument, and ~-ith all subcontractors and other persons or organizations participating in any part of the work under this instrument. There shall be provisions for a further flow down of such requirements to each subtier of employees and subcontractors to the extent feasible. 14. DISPUTES -- During performance of the instrument, disagreements may arise between the Recipient and the GTR on various issues, such as the acceptability of complaints forwarded for approval. If a dispute concerning a question of fact arises, the G/CAO shall be the final authority on the matter and shall prepare a final decision, taking into account all facts and documentation. presented. The decision of G/CAO shall be communicated to the Recipient. CAPACITY BUILDING AGREEMENT APPENDIX A - FY'98 STATEMENT OF AORK A. GENERAL REQUIREMENTS The"Recipient agrees to process those housing discrimination complaints arising within its jurisdiction, except as otherwise stated in this Statement of Work. The Recipient agrees to cooperate with HUD in handling and processing housing discrimination complaints filed under the Fair Housing Act and the fair housing law enforced by the agency _ in accordance with the Memorandum of Understanding or Interim Agreement and any amendments or revisions thereto executed during the course of this agreement by the signatories. The Recipient agrees to implement appropriate directives provided to it by the Department. The Recipient agrees to follow HUD's Technical Guidaace in processing all dual-filed complaints vouchered f+~r under this Cooperative Agreement until the Department rescinds ttie requirement in writing to the Recipient. "The Recipient agrees to furnish all staffing information as required by Article 1 of this Cooperative Agreement. The Recipient may be required to participate in customer satisfaction research and evaluation activities under this cooperative agreement. The Recipient agrees to furnish all information collected from its customers to HUD in a form to be defined by the Department. 8. CAPACITY BUILDING The Recipient agrees to develop a complaint processing capability sufficient to enable the Recipient to process all housing_s~iscrimination complaints arising under its jurisdiction in future years. The Recipient also agrees to process housing discrimination complaints in accordance with A. above, General Requirements, and in accordance with the Criteria for Processing which are incorporated herein as Attachment A to the Schedule of Articles. The Recipient further agrees to implement the Capacity Building activities set forth in its application for funding. A list of product deliverables and timetables is at the end of this Statement of Work. 1 C. REPORTING REQUIREMENTS The Recipient agrees to provide the GTR/GTM timely information on the progress of all dual-filed cases providing the information required using a data and information system agreed to and accepted by the GTR. D. TRAINING The Recipient agrees to participate in mandatory FHAP training sponsored by HUD. The mandatory training will require agency attendance in HUD-sponsored field office training and, if held, during this funding cycle, the National policy conference. The Recipient also agrees to train at least one staff person on data and information systems and design and implement education and outreach activities during its Capacity Building period. 1 CAPACITY BUILDING PRODUCTS PRiODUCT DELIVERABLES 1. 2. 3. 4. 5. DATE DUE (CONTINUE TO LIST ALL SIGNIFICANT WORK PRODUCTS IN THE APPLICATION AND A DUE DATE FOR COMPLETION AS SET FORTH IN THE TIMETABLE). Approve Approve Government Technica lionitor Government Technical Representative ATTACHN~NT A FY'98 Crit®ria for Processing Introduction to Processing Dual-Filed Fair Housing Complaints The Government Technical Representative (GTR) has the responsibility for the technical direction, oversight and evaluation of complaint processing performance of Fair Housing Assistance Program (FHAP) participants. The criteria set forth in this document are intended to ensure that acceptable procedures are followed for processing dual-filed housing discrimination complaints. To determine whether FHAP participants have acceptably processed dual-filed complaints of housing discrimination, the Government Technical Representative (GTR) must review each dual- filed complaint against the criteria set forth in this document. The GTR must ensure that only one payment is approved for complaints which involve the same transaction or the same set of operative facts. That is, complaints inv~olvinq multiple respondents, such as the manager, owner, and assistant manager of the same property, should all be included in the same complaint. Likewise, multiple complainants who are all members of the same household should be included in the same complaint. Where it is determined that the Agency has filed separate complaints in such instances, the GTR must authorize only one payment. Commission or Agency initiated complaints are acceptable for payment. FHAP participants must commence complaint proceedings before the end of the thirtieth day after the receipt of the complaint. If it is determined that the Agency has not commenced complaint proceedings within the appropriate time frame, the GTR may reactivate the complaint. The written agreement between the Agency and HUD defines commence proceedings as follows: the Agency has received a complaint, assigned a case number,. determined acceptability, and assigned the complaint for investigation and resolution. The GTR must confer with the appropriate Agency officials to determine whether a complaint will be reactivated when it is determined that an Agency has commenced proceedings within the appropriate time frame, but has not carried forward proceedings with reasonable promptness. Reactivation for this reason must not be a unilateral decision. The GTR must confer with the 2 appropriate Agency official to determine the reason(s) for the delay in processing. If, as a result of the conference, it is determined that the Agency will proceed expeditiously, the complaint may be left with the Agency. for a reasonable period of time. The Agency official will be required to commit to a date certain for the completion of the complaint investigation. Each request for payment must comply with the conditions and requirements set forth in the cooperative agreement. Additionally, the GTR may deny payment when requests are not submitted in the prescribed format described in section A.2 of the Statement of Work. Failure to comply with any provision of the cooperative agreement, Statement of Work or other appendices and attachments can result in reduction of funding, nonpayment for work or a portion of work, or termination of the agreement. An Agency's request for payment also may be denied when the case file shows referral for enforcement proceedings (administrative or judicial), but does not inclade the date of referral and an assurance by the Agency that further milestones and ultimate resolution will be provided to HUD. The GTR may approve payment when the necessary information has been provided. However, if payment was made and the Agency does not furnish the required information, the GTR should formally request that 50$ of the payment authorized and received by the Agency be returned to HUD. 3 THE CRITERIA FOR PROCESSING This document is an attachment to the cooperative agreement between HUD and State or local Agencies participating in the Fair Housing Assistance Program (FHAP). These criteria for processing establish uniform standards for acceptable processing of dual- filed fair housing complaints for which a State or local Fair Housing Enforcement Agency (the Agency or Agencies) may receive credit for funding support under FHAP. The criteria establish the minimum actions which must be taken and identify the documentation which must be submitted to HUD. The criteria are designed to assure the uniform, `timely, and quality processing of fair housing complaints. I. INVESTIGATION A. The Complaint Intake 1. An aggrieved person may file a complaint alleging discriminatory housing practices that have occurred or terminated within the prescribed statutory time frame under the Federal Fair Housing Act and the State and local Agency's fair housing law. 2. The complaint must be in writing, signed and affirmed by the person filing the complaint. The complaint shall be affirmed, attested to and/or notarized as prescri ed by the re evant State or local law: 3. Each complaint must contain the following information: (a) The name and address of the aggrieved person; (b) The name and address of the respondent; (c) A description and the address of the dwelling which is involved, if appropriate; and (d) A concise statement of the facts, including pertinent dates, constituting the alleged discriminatory housing practice. 4. A complaint is "filed" when it is received by a certified substantially equivalent Agency; is in writing or is reduced to writing; and reasonably contains the four elements stated in paragraph 3 above. However, a "filed" complaint must be signed; note: a complaint may be signed at any time during the investigation. Filing a complaint should not be delayed beyond •30 days after receipt 4 of the complaint. In evaluating whether conditions for filing a complaint have been met, intake staff should consider whether the information as provided addresses the following elements: (a) adequately informs the certified substantially equivalent Agency about the allegations that must be investigated and defended; or (b) does not contains language that could potentially detract from the allegations or confuse the issues that need to be addressed. Where it is determined that there is insufficient information, the complainant ;s) must be notified immediately (by the 5th day after receipt of the complaint) and informed, both personally and in writing, what information must be provided to constitute the filing of a complaint. The complainant should be advised that unless the required informants received, no assistance can be provided. If the required information is not received no further action an the complaint is necessary. 5. The complaint may be filed with the assistance of an authorized representative of the person filing the complaint. The State or local Agency is required to refer complaints or provide information to HUD regarding allegations which the Agency receives involving a practice which is not covered by the State or local law, but is covered by the Federal Fair Housing Act. (See Sections VII and VIII of the written agreement between the Agency and HUD.) B. Dual-filed~Complaints - only dual-filed complaints are considered~or payment under tf-e FHAP. 1. A dual-filed complaint is one that has been - docketed by both HUD and the Agency. 2. Complaints filed first with a State or local Agency, and those received by HUD and subsequently referred to a certified or interim certified Agency, are considered dual-filed with the Agency under its own law and with HUD under the Federal Fair Housing Act. 3. In order to preserve the statutory period for filing complaints, a complainant may provide information to be contained in a complaint by 5 telephone, provided the State or local Agency, or HUD reduces the information to writing which is subsequently signed, affirmed, attested to, or notarized by the complainant, as prescribed by the relevant State or local law. C. D. 4. The Agency is required to dual-file a housing discrimination complaint within 5 days of its receipt. Amendment of Complaints Complaints may be reasonably and fairly amended at any time. Such amendments may include, but are not limited to: amendments to cure technical defects or omissions, including failure to sign or affirm a complaint, to clarify or amplify the allegations in a complaint, or to join additional or substitute respondents. Except for purposes of notifying additional respondents, amended complaints will be considered as having been made as of the original filing date. Notification to Respondents _1. The State nor lacal Agency will serve a notice on each respondent. A person who is nat named as a respondent in a complaint, but. who is identified as a respondent in the course of the investigation, may be joined as an additional or substitute respondent by service of a notice on the person or otherwise in accordance with State and local laws or regulations. 2. The notice will identify the alleged housing discrimination practice upon which the complaint is based, and include a copy of the complaint. 3. If the person is not named in the complaint, but is being joined as an additional or substitute respondent, the notice will explain the basis for the Agency's belief that the joined person is properly joined as a respondent. 4. The notice will indicate that the respondent may file an answer not later than ten days after receipt of the notice. The respondent may assert any defense that might be available to a defendant in a court of law. The answer must be signed, affirmed, attested to or notarized in accordance with the prescribed State or local law. 5. An answer may be .reasonably and fairly amended at any time with the consent of the head or official designee of the State or local Agency. 6 E. The Investigation Process 1. Upon the filing of a complaint, the State or local Agency shall initiate an investigation to obtain infornwtion concPminq the alleged discriminatory housing practice. The factual data must be developed and the respondent's policies and practices must be documented. Respondents rebuttal statements of the allegations do not constitute an investigation and are not to be viewed as such. 2. fn planning the investigation, the investigator and housing supervisor must determine on a case-by-case basis, whether the investigation should be conducted on or off-site. (a) Off-site investigations may be considered where: • Complaints do not involve factual disputes; • Evidence as submitted shows a clear cause case; or • Evidence as submitted shows a clear no-cause case. (b) In most other situations involving investigations of complaints, an on-site visit is the most efficient way to conduct an investiga- tion. 3. Beginning with the filing of a complaint, the Agency shall attempt conciliation. 4. At the end of each investigation the Agency shall prepare a Final Investigation Report. The investigative report shall contain: (a) The names and dates of contacts with witnesses, except that the report will not disclose the names of witnesses who request anonymity; (b) A summary and the dates of correspondence and other contacts with the aggrieved person(s) and the respondent(s); (c) A summary description identifying other pertinent records examined; 7 (d) A summary of statements by witnesses, if applicable; (e) Interrogatories and answers provided, if applicable; 4. A Final Investigative Report may be amended at any time, if additional evidence is discovered. 5. For the purpose of FHAP funding support, an investigation is completed when at least one supervisor has signed the investigative report. 6. The State or local Agency will cooperate with the GTR by providing information at regular intervals or upon request as set out in Section 8 of this cooperative agreement. The GTR will make monthly status requests of each case that is over 100 days old. 7. When the Agency completes the processing of a dual-filed complaint, all documentation as required in section 8 of the cooperative agreement and section A.3 of the Statement of T~Tork shall be forwarded to the appropriate HUD GTR within 30 days. The Agency will provide the closure data required within 30 days of the administrative hearing order or court decision if the complaint is not closed at the time payment is approved. If the Agency does not provide this closure information, the GTR may request that up to 50$ of the per case reimbursement previously paid be returned. II. REASONABLE CAUSE OR NO REASONABLE CAUSE DETERMINATION A. Requirements for Acceptance The rationale behind a reasonable or no reasonable cause finding is that the investigation has shown sufficient or insufficient evidence to support allegations raised. Such evidence is generally established by determining whether (1) the data, information, and analysis are sufficient to conclude that the incident occurred which serves as the basis of the allegations made by the complainant and/or information disclosed in the course of the investigation; (2) the unit sought was actually available and on the market at the time of the alleged 8 occurrence; and (3) race, color, religion, sex, handicap, familial status, or national origin eras a factor in the decision to deny or otherwise alter the terms and conditions or privileges of the sale, rental or financing of housing sought by the complainant. These examples are not intended to be exhaustive. B. Documentation Re fired; The case file must be s matte to the GTR using the case file format provided by HUD. The GTR will review the case file, and at a minimum the case file must include: 1. the Final Investigative Report; 2, the Evidentiary Section; 3. a log/control sheet; and 4. working papers. C. Making the Determination After examination of the above criteria, a reasonable cause or no reasonable cause determination must be made supported by the totality of the facts obtained during the investigation. D. Documentation Required The basis for the reasonable/no reasonable cause determination must be well documented within the context of the Final Investigative Report as specified in Section I.E (4)-(7) as contained herein, and mailed to HUD. A reasonable cause determination must include the date the case was referred to the Agency's legal department for further action. The GTR may deny payment if he/she determines that substantial data is not available upon which to make the reasonable or no reasonable cause determination or if the Agency does not provide acceptable documentation to the GTR regarding the next action it plans to take with respect to the reasonable cause case. SEE FUND Eligibility If the GTR determines that all of the material required in this Section II has been provided and is acceptable, the case may be counted against the Agency's 10 required cases as fully investigated for eligibility for SEE funds (ref 111.305(6)). 9 E. Payment for Charged Cases Agencies may receive funds for cases for which they make a charge finding. The charge must be in accordance with the Agency's law or ordinance and must require the Agency's legal staff to prepare for enforcement action. Documentation Required 1. The charge must the charge; 2. The charge must official; and 3. The charge must applicable. III. CONCILIATION be a specific written document issuing be signed by the appropriate Agency offer the election process, if During the period beginning with the filing of a complaint and ending with the Agency's reasonable cause determination or dismissal of the complaint, the Agency, to the extent feasible, will attempt to conciliate the complaint.* In conciliating a complaint, Agencies will attempt to achieve a just resolution of the complaint and obtain assurances that the respondent will satisfactorily remedy any violations of the rights of the aggrieved person and take such action as will assure the elimination of discriminatory housing practices or the prevention of their occurrences in the future. A. Successful Conciliation 1. Requirements for Acceptance. The conciliation agreement must: (a) be in writing with clearly defined terms and conditions. It must be signed by the complainant, respondent, and the State or local Agency representative authorized to enter into such agreements. (b) include terms which remedy the unlawful discrimination identified in the complaint and provide relief or compensation for the complainant; * These standards for conciliation remain in effect even if conciliation takes place after the agency's reasonable cause determination. 10 (c) contain provisions to adequately vindicate the public interest, and prohibit recurring future discriminatory housing practices by the respondent; (d) specifically state that the agreement constitutes closure of the complaint filed with HUD and the State or local Agency; (e) contain a provision that states that the agreement shall be made public unless the complainant and respondent otherwise agree and the authorized representative of the Agency determines that disclosure is not required to further the purposes of the State or local Agency; (1) Examples of circumstances that may result in partial disclosure or nondisclosure of a conciliation agreement: • Sexual harassment allegations that may be embarrassing or humiliating to the parties; • discrimination based on a physical or mental disability that the complainant may not want disclosed; or • complainant is a resident in a home for battered women who may be concerned about her safety if the agreement were publicized. (f) contain a provision which will allow the Agency to conduct compliance reviews of all settlements and conciliation agreements or other orders issued to resolve the discriminatory housing practice; and (g) include language that states when other civil rights authorities have been violated, the conciliation agreement does not prohibit HUD from taking further action against the respondent under applicable rules and regulations Qf the other civil rights authorities. When the Agency has been notified that a complaint is subject to concurrent processing, the Agency will not execute an agreement on the fair housing act violations unless HUD concurs with the terms and conditions. 11 SEE FUND ELIGIBILITY For SEE funds acceptance, successful conciliation must also provide for (1) monetary relief; (2) monitoring; and, (3) reporting. If these three provisions are not included in the executed conciliation agreement, it will not count towards the 10~ requirement for successful conciliation agreements (see 111.305(3)). 2. Documentation Required. The Agency must submit: (a) a copy of the conciliation agreement (with the provisions of 1. (a) through (g); (b) a description of benefits and computation of actual monetary compensation provided directly to the complainant, if not stated in their written agreement; and (c) verification that the terms of the conciliation have been met (e.g. a copy of the check, a copy of the lease showing that the respondent rented unit to complainant). If the benefit will occur after the signing of the agreement (e.q. complainant will be allowed to rent at a future date), the agreement must provide that respondent will notify the State or local Agency within a specific period of time after the respondent has complied with the terms of the agreement. B. Unsuccessful Conciliation 1. Re irements for Acce tance. Attempted conciliation of orts were unsuccessful and the State or local Agency made a reasonable cause determination. 2. Documentation Re wired. All conciliation efforts s ou d be well documented in the Final Investigation Report. Documentation showing failed conciliation efforts must include: (a) a copy of the material required in Section I.E. (3)-(7) regarding Final Investigative Reports; (b) a copy of the reasonable cause determination notices to the complainant, the respondent, or the aggrieved person on whose behalf the complaint is filed (such notice shall inform these persons of the procedures required for 12 election and describe the remedies available under each); (c) a copy of the response to the notices described in (b) above (if there is no response, documentation should be included in the case file); and (d) a copy of the correspondence or other documentation that reports on the failed conciliation attempt(s) including pertinent dates. C. Cases Set for Administrative Proceedings, Civil Action, or Judicial Review. (1) Where the Agency's conciliation efforts are not successful, the complaint must be set for administrative or civil action, under the State or local law. HUD shall accept the case for funding support when the Agency provides documentation which indicates the date of referral for such legal action. (2) The Agency will report the final decision of any administrative hearing or civil proceeding to the appropriate field office. If the Agency does not provide this information within 30 days of the final decision, the GTR, with the concurrence of the CAO, may recapture up to 50$ of the payment. IV. SETTLEMENT CLOSURE If the complainant and respondent agree to settle the complaint without the State or local Agency's involvement, the complainant may wish .to withdraw the complaint. If the complaint is resolved as a result of the complainant's withdrawal, the GTR must review the terms and conditions of the settlement to determine whether the following criteria are satisfied. Withdrawals with Resolution. A withdrawal with. reso ution is ased only on the complainant's request for withdrawal of a complaint because a resolution has been agreed upon by the complainant and respondent. 1. Requirements for Acceptance. The withdrawal request must: (a) be in writing; (b) be signed by the complainant, or authorized representative, and dated; 13 (c) identify the respondent to whom the withdrawal applies; (d) contain the HUD case number and the~State or local Agency case number; (e) explain the reason(s), complainant wishes to withdraw the complaint (see also VI.3 of this criteria; (f) contain a statement that there was no coercion or`fear of retaliation from any person (not just the respondent>; and (g) inform the complainant(s) and respondent(s) that the complainant may refile the complaint if the terms of the settlement are 'not satisfied where the discriminatory housing practice has not exceeded the statutory limitation of the State or local fair housing law. 2. Documentation Required. The following documentation should be mailed to HUD at the time of reporting the closure to HUD: (a) a chronology of Agency actions prior to the withdrawal request; and (b) a copy of the signed and dated withdrawal request. V. ADMINISTRATIVE CLOSURES - If over 20$ of the Agency's total caseload are closures as discussed in A through D of this section, the Agency is ineligible for SEE funds (reference 115.305(b)). A. Withdrawals Without Resolution 1. Requirements for Acceptance. The withdrawal request must: (a) Be in writing; (b) Be signed and dated by the complainant or an authorized representative; (c) Identify the respondent(s); (d) Contain the HUD case number and the State or local Agency case number; 14 (e) Indicate the reason(s) why complainant wishes to withdraw the charge (see also VI.3 of this criteria); (f) Contain a specific reference to the withdrawal of the HUD complaint as well as the Agency's complaint; and (g) Indicate the complainant's awareness that the withdrawal will result in the termination of proceedings involving the matter; and (h) Contain a specific statement that there was no coercion or fear of retaliation from any person (not just the respondent). 2. Documentation Re fired (To be mailed to HUD at time o reporting the closure to AUD): (a) chronology of Agency actions prior to withdrawal request; and (b) copy of the signed and dated withdrawal request. If the withdrawal request indicates coercion, FHAP payment must be denied. . 8. Unable to Locate Complainant 1. Requirements for Acceptance The basic requirement is to establish that the Agency was unable to locate the complainant. This would include written documentation of steps such as: (a) The receipt of returned correspondence indicating that the complainant moved and left no forwarding address; (b) Documented evidence that the telephone number of an individual who would always. know how to contact the complainant was obtained at intake; and that efforts to contact such person were unsuccessful; (c) Documented contacts with other sources or references in an effort to obtain a more current address for complainant (e.g. evidence of contacts with the HUD Office; checks through the telephone directory; contacts with the postal service or utility company, contacts with witnesses, other 15 persons or relatives identified by the complainant during intake, contact with the complainant's place of employment, etc.); (d) Documented efforts to contact complainant by certified mail-return receipt requested, if correspondence has been returned as "unclaimed;" and (e) Documented efforts to contact complainant or witnesses by telephone during business hours for a business number and during non-business hours for the residential number. If these efforts are unsuccessful, a letter must be sent to the last known address by both regular and certified mail, advising the complainant of the Agency's intent to close the case unless information regarding a current address and/or telephone number is provided within 10 days. After the 10th day has elapsed without a response, the case may be closed administratively with notice sent to all parties, including the complainant to the last known address. Notwithstanding the documentation and actions required above, if the final investigation report shows that there were no attempts to locate the complainant(s) within a 30-day time frame, the Agency shall not receive credit under the FHAP for the closure of the case. 2. Documentation Re fired (To be mailed to HUD at time o reporting the closure to HUD). (a) a copy of a case chronology, a case diary, or other written documentation which provides evidence that progressive steps were taken to locate the complainant; (b) a copy of a returned envelope with post office notations; (c) records showing telephonic or mail contacts with other references or sources and that at least four telephone calls were attempted to complainants' residence and place of employment, two during normal business hours to a business number and two during non- business hours to a residential number. 16 C. Failure of Complainant to Cooperate with the Investigation 1. Requirements for the Acceptance. The State or local Agency must send the complainant a letter indicating that the Agency and HUD will dismiss the complaint after the following actions have been undertaken by the Agency. (a) If attempts at telephonic (where available) and personal contact have been unsuccessful, the State or local Agency must send a letter by regular and certified mail-return receipt requested. The Agency's letter gives the complainant at least 10 days from receipt of the letter to provide the needed information or contact the Agency investigator. The case should not be closed ada-inistratively because the complainant does not respond within the ten-day period. A repeated history of complete failure to return calls or respond to requests may serve as a basis for such a closure if there is a documented history of these problems and~the complainant has been given written warning that such failures might result in the closure of the case. (b) The certified-return receipt requested and regular letters must be claimed by the complainant or by someone at the complainant's address. If the letters are returned as unclaimed, the State or local Agency must attempt to contact the complainant by telephone and document such attempts. (c) If the complainant's cooperation cannot be obtained using the above procedures, and the letters are not returned by the Post Of- (i.e., marked addressee unknown; moved; left no forwarding address, etc.), the complaint should then be closed for failure to coo erate. A complaint may not be closed for ai ure to cooperate based soo ely on a complainant's failure to claim certified mail or return a notarized complaint form. 2. Documentation Required (To be mailed to HUD at the time of reporting the closure to HUD): (a) a copy of the case chronology sheet, or other written documentation which describes or summarizes the steps taken tp.obtain the complainant's cooperation. 17 (b) evidence that at least two telephone calls were attempted, one during normal business hours and one during non-business hours. D. Lack of Jurisdiction - A lack of jurisdiction (LOJ) must apply to both HUD and the Agency. Where only one Agency has jurisdiction, the complaint must not be dual-filed. 1. Requirements for Acceptance The LOJ must not have been evident on the face of the complaint (i.e., where the date of filing exceeds, the Agency's filing period, the number of exemptions are less than the Agency's law permits; a basis is not covered; or special interim agreements or more provisions are in effect which prohibit dual- filing because of deficiencies in the Agency's law.) 2. Documentation Required (To be mailed to HUD at time of reporting the closure to HUD): (a) a written explanation setting forth the reason that the lack of jurisdiction could not be determined at intake; and (b) a written explanation for closing the complaint for lack of jurisdiction. VI. DISMISSALS 1. Bankruptcy is not an appropriate reason for dismissing a complaint. 2. A respondent's defense and rebuttal of complainants' allegations are not sufficient reasons for dismissing a case. Only the investigation and facts discerned by the investigation support dismissal. 3. Any withdrawal, with or without settlement, that contains information or documentation by the complainant which indicates that the complainant was not completely satisfied with the terms of the withdrawal should not be dismissed by the Agency before conferring with the GTR at HUD. Closure violative of this paragraph may result in rejection of payment for such complaint. VII. Customer Satisfaction Standards The following performance standards should be incorporated in the complaint process. The Agency's goal should be to provide satisfaction to its customers. Therefore, the Agency should make sure that the following standards are met. Keep the following standards in mind when dealing with complaints: 18 Make sure that complainants, aggrieved parties, and respondents are treated with respect when they come into contact with your Agency and throughout the complaint process; Maintain regular contact with the parties to a complaint - do not allow more than 30 days to pass without some form of personal contact with the parties to let them know what is going on with respect to their complaint; and Provide complainants with information about all of their rights under your law or ordinance and ask if they understand the information that was provided. Managers are to ensure that the Agency's staff do not communicate disinterest or distrust in the complaint process to any of the parties to the complaint. Investigators should also be careful that they do not give rise to any cause for any of the parties to the complaint to feet discouraged or disrespected, afraid to say what they really feel, or to feel compromised in any way. Wednesday August 7, 1996 _ - Part v!! Department of H©~sing and ~r~an . Development 24 CFR Parts 111 and 115 Regulatory Reinvention; Certification and Funding of State and Local Fair Housing Enforcement Agencies; Final Rule 41282 Federal =Register /Vol. 61, No. 153 /Wednesday, August 7, 1996 • / Rules 8nd .Regulations DEPARTMENT OF.HOUSiNG AND URBAN DEVELOPMENT ' 24 CFR Parts 111 and 115 (Docket No. FR~322~-02) RIN 2529-AAiO Otflce of the Assistant Secretary for Falr Housing and Equal .Opportuni , . Regulatory Reinvention; Certltication and Funding of State end Local Fair .Housing Enforcement Agencies - AGENCY: Office of the.Assistant ~ . Secretary for Fair Housing and Equal Opportunity. HUD. ACT10N: Final rule.- - .. • SUMMARY: On Feb 28.1996 (61 FR - 7674).1iUD publish for public comment as iz}terim rule streamlining its regulations governing the certification and funding of State and local fair housing enforcement agendas. Previously, the nquinmeats for substantially equivalent certification and participation in the Fair Housing Assistance Pragtam had been net fort is different parts of title 24. The February 28,1996 interim rule ' consolidated these reguLtions, thus providing all necessary requirements in• a single part and eliminating reduadaary from title 24. This rule finalizes the polides sad procedures set forth in the February 28,1998 interim rule and takes into consideration the public comments received on the interim rule. Further, this rule removes from title 24 the urmeceasarily codified preamble to the final rule implementing the Fair Housing Amendments Act of 1988. EFFECTIVE DATE: September B, 1998. .. FOR FURTHER ~NiFORMATION CONTACT: Marcella Brown, Director, Fair Housing • Assistance Program Division. Of$oe of Fair Housing and Equal Opportunity. Room 5216, Departm~t of Housing and Urban Development. 4Si Seventh Street. SW, Washington. DC 20410, tel hone (202) 708-0455. ('This is not a to~ free number.) Hearing- or speech-impaired ' individuals may access this number via TTY by calling the toll-free Federal Information Relay Service at 1-800- 877-8339. SUPPLEMENTARY INFORMATION: I. The February 28,1998 Interim Rule The Fair Housing Act (42 U.S.G 3601-3619) (the Act) provides that whenever a complaint alleges a discriminatory housing practice, arising in the jurisdiction of a State or local agency which has been certified by the Secretary under section 830(f) of the Act; HUD shall refer the complaint to : 'rule. First, this final rulerlarifies that as that State or local agency: HUD has enforcement agenry may not receive implemented section 810(f) at 24 CFR ~ ..; part 115; whichestablishes the criteria - Spedal Enforcement Effort (SEE) funds if it.is currently on a Performance -the Secretary will utilize to certify Stara Improvement Plea (PIP), or if it has been ..and local Fair housing enforcement suspended during the.fiacal year in agendas. ,_ ,.. ' = ~ • Section 817 of-the Ad provides that . ~ ~. which SEE funds are sought. This rule also •cLrifies tbaiH[ID may P~IY the Secretary may reimburse State end ~ % ' •ts tee ~;~ ~ cases local fafr houstag t agendas= =which assist the Secestary is snfao<+ctng ~~ ~•; .procxssed during the suspeasfon period. . Further, the final Wile makes two the Ad: HUD has implegented section.`' •amendments which will benefit t8h1e7 at 24 CFR part~il, which sets~o~ e ,. ~ ~ enforcement agendas by.providing HUD with greater Seadbility. Section N of Faf r Housing Assistance Program ' - (FHAP). Through the FHAP, HUD . • i~ p~ble details these changes to the February 28,1998 iaterIm rule. provides assistance to certified State sad local fair housing enforcement ='- ~ - ~ Additionally. this rule removes the r~nneceasarily codified preamble to the agerides..This assistance i$ designed to . provide support for complaint - . j~„~y 23,1989 final rule (54 FR 3232) implementing the Fair Horsin . P~~g• ~~8• teduzical - ~ assistance, data sad information g Amendments Act of 1988 (42 U.S.G 3601 et seq.). This preamble is codified systems, sad other fair ho rojects. ~ .. Oa February 28 1998 (6~ 874) ` ~ title 24 as appendix I to subchapter , . HUD published for public comment as ~ A'of chapter I. The preamble, although. it provides helpful informaitioa to . interim rule streamlining is regulations governing the certification and funding reader. is readily available through other means and does not merit of State sad local fair housing enforcement agendas. Spedfically. the ' inclusion is the CFR. The removal of this codified prole will assist is rule eansolideted parts ii! sad liS. This consolidation permitted HUD to HUD's efforts to streamline the contests provide all necessary requirements for of title 24. °wbstantially agnivakat" cmti$ta9to~ III. Discassim of the Public Comments and FHAP partidgatton in a single part. ea the Febraar~ 28,1998 Interim Hula The February 28.1998 interim rule described in detail the amendments A. The Suspension and Withdrawal of made to 24 CFR parts 111 sad liS. Cestrflcation Provisions Should be Revised II. This Final Rule This rule finalizes the polides sad . procedures net forth in the February 28, 1996 interim rule and takes into consideration the public comments submitted on the interim rule. The public comment period on the interim rule expired on Apri129, 1996. Two comments were received. This final rule makes three changes to the interim rule is response to pub comment Ftrrt, the final rule eatablishss a 180-day limit oa suspensions based on dtanges in the Iaw..Further, this final rule refereaoas the non-regulatory Procedures which require that HUD.provide as agenry with notice sad an opportunity to respond before suspension. The rule also dari$es the definition of "covered multifamily dwellings" net forth in the February 28, 1996interim rule. Section III. of this preamble presents a summary of the significant issues raisod by the public commenter on the February 28. 1996 interim rule, and HUD's responses to these comments. In addition to the revisions made in response to public comment, HUD determined it was necessary to make several other changes to the interim Comment Section 115.211 provided that HUD would suspend an enforcement agenry's certification if HUD had nasoa to believe that: (1) A change is law, regulation. or procedure had limited the effectiveness of the agenry to enforce its fair housing law or ordinance; or (2) the enforcement ageary'a performance did not comply with 24 CFR part 113. If HUD's aubsequeat review demonstrated that the ageary ao longer complied with :'se requirements of part i1S, HUD would withdraw the agenry's certification. Section 115.212 set forth the procedures governing withdrawal of certification. One of the commenter was strongly opposed to §§ 115.211 and 115.212. The commenter believed the conditions triggering auspensioa were vague and might lead to arbitrary suspensions. Further, the commenter suggested that § 115.211 be revised to require that HUD provide an agenry with notice and as opportunity to respond before suspension. This commenter also recommended that HL~ establish a time limit on suspensions based on changes in the law. The commenter noted that the interim rule imposed a 180-day limit on suspensions based on the agency's . Federal Register. / Vol. 61, No. 153 /Wednesday, August 7. 1996 /Rules and Regulations 41283 performance. This commenter believed that HUD's administrative burdea~ would increase due to its inability to refer complaints during the suspension period. .. . The commenter also qusstioaed•the ~` adequacy of the reimbursement ~• ~ - -' provisions at 5 115.211. These'.' .~ •; =~ ~ ~,~.. pprovfsioas allowed HUD to reimburse .formerly auspeaded bgendes for cases processed during the auspansion period. The commenter wrote that agendas ~ ~ • ; . should also be rsimbuisad forlost = spedal grant funding sad tbacosts of- halted investigations. '..: .., ..~: . HUD Responee. HUD d;sagreea with. several of the assertions made by ths• . commenter. For example; the interim rule was suffideatly clear regarding the . conditions which might lead to as agency's suspenaion.~ Further. the • . suspension provisions will not .. necessarily increase HUD': ' - • a i*+;~*,tive burden. HUD also notes that agendas presently have a right to . notice sad as opportunity to respond prior to suspension. These rights are outlined in non-regulatory HUD guidance, which is currently being revised and updated. However. HUD agrees that this guidance should be referenced in 24 CFR part 115 sad has revised the interim rule accordingly. HUD has adopted another of the commenter's suggestions by limiting suspensions based on chaagea in the law to 180 days. The commeater's recommendations solely toncernad the suspension and withdrawal of certification procedures at S§ liS.Zii and 115.212. However; HUD has also revised S 115.208, which governs interim certification. to reference the non-regulatory guidance and to establish the 180-day limit. HUD believes the issues raised by the commenter are equally applicable to agendas with interim certification. Further, these revisicas are necessary to create uniformity in the procedurass for interim certification and certification. meanings of "covered multifamily . dwellings." However, the word "and" . . could easily be misinterpreted to be the conjunctive for the phrase "if such : ~ . buildings." The commenter suggested.. `that HUD clarify the wording of this .. . definition. . ~ ~.: ~ . THUD Response. HUD.agrees with the .: commenter. Section 804(f)(7) of the Act provides a dear. definition of the term ..covered multifamily dwellings.". ~.. Paragraph.(a)(5j of 5115.202 required that the a ccyy's fai~r housing law or `~ osdinancs~~ilrasida the same ' , . protections as those aBo:+de+i f section 804 • • of the Ad." This re ereacs to sedioa 804 encompassed the statutory definition of "covered multifamily ~.: dwellings." It is, therefore, unnecessary for the final rule to set forth a separate. definition. Accordingly, this final:trle simply removes 24 CFR 115.202(a)(5)(ii). This final rule also removes § 115.202(a)(5)(iii). The language of this provision was also already encompassed is section 804 of the Act. SpedficaIly, the provision repeated the language of section 8040(4), which concerns the American National Standard for facilities providing accessibility to persons with disabilities. N. Additional Changes trs the Fehnasy 25.1896 Ietieras 8ule _ A. Limitation on 5EE Fund ~3' Section 115.305 sat forth the eligibility requirements for Spada) F.aforcemeat Efforts (SEE) funds. SEE funds are awarded to enforcement agendas with proven experience and capability in administering their fair housing laws and ordinances. Accordingly. Paragraphs (a)(i) through (a)(e) of S 115.305 established fairly strict eligibility criteria. For example. 24 CFR i1S.305(a)(3) required that: (1~ At least tea percent of the agency's fair housing caseload resulted is written wadliatioa agreements providing monetary relief for the complainant as wall u remedial action, monitoring. reporting sad public interest relief provisions(.) Another example was provided by the criterion set forth in paragraph (a)(S) of 5115.305: (3) The ageary's administration of its fair housing ]aw or ordinance received meritorious mention for its complaint processing or other fair housing activities that were innovative(.) As the above examples illustrate. HUD intends to limit SEE funding to those agencies which meet a high threshold of eligibility. Accordingly, agendas which are experiendng difficulties in administering their fair housing laws and ordinances are B. Definition of "Coveted Multr%amily Dwellings" Was Cort~trsing Comment. Paragra h (a)(S)(i) of § 115.201 provided t~t "the term 'covered multifamily dwellings' means buildings consisting of four or more traits if such buildings have one or more elevators and ground floor units is other buildings consisting of four or more units." One of the commenters complained about the awkward phrasing of this provision. As this commenter noted, the correct . interpretation of the word "and" is unclear. The commenter correctly assumed that "and" was intended to be the conjunctive for the two independent ineligible for SEE funding. However, in order to prevent nay possible confusion, this final rule amends 5115.305 to clarify that an enforcement ageary may , not receive SEE funds if it is currently on a Performance Improvement Plan : . (P1P), or if its interim cs:rtificatioa or . certification has been suspended during . the $acal year is which SEE funds ors .. -being sought. HUD wishes to note that agencies ineligible far 5EE funding may still, if otherwise eligible, apply for Complaint Processing funds, sad Administrative Coatfunds- .. ~ , B. Partial Aeimbursemerrt of Reinstated Agencies As discussed is se~tion~III.A. of this pr~mble, the February 28,1998 interim rule pp vided that HUD warld reimburse an agency far cases prooessed during the ageary's suspension period. HUD maybe unable to fully reimburse . reinstated agendas for these coats. Accordingly. this final rule clarifies that HUD will provide full or partial reimbursement for cases processed during the period of suspension. C. Increased HUD Flexibility This final rule also makes two amendments, designed to benefit enforcement agencies. by providing isi11~ wroth greeter flexibility. The FeHataaet 241896 interim rule maoda~osd tlttat fi@i1D suspend an ageary if the conditions set forth in §§ iis.2o8 or 115.211 were satisfied. HUD may, is certain dretrmstances, wish to postpone the suspension of such an agency. The interim rule denied this ability to HUD. This final rule provides HUD with the required flexibility by revising §§ 115.208 sad 115.211 to state that HUD "may" suspend an ageary if the auspeasion conditions are triggered. The interim rule prohibited the reimbursement of an agency who was suspended due to its performance until HUD determined that the agenry complied with the performance standards in 5115.203. However, in certain cases speedier reimbursement of such agendas maybe justified. This final rule permits HUD to reimburse agendas prior to a determination that the requirements of § 115.203 are satisfied. V. Other Matter Environmental Impact This rulemakiag does not have an environmental impact. This rulemaking simply amends as existing regulation by consolidating and streamlinin; provisions and does not alter rho environmental effect of the regulations being amended. Findings of No 41284 Federal Register / Vol. 61, No. 153 /. Wednesday, August 7, 1996 /Rules and Regulations Significant Impact with rasped fo the ~ .requirements bf24 CFR parts iii'and Authority: 42 U.S.C. 3soi-19: 4z U.S.C.- envimnment were made is atxordanoe 115; which govern the certification and 3535(d) _ :. with HUD regulations in 24 CFR part 30 :funding of State and local fair housing ' that implement section 102(2)(C) of the enforcement agendas. This - - - Subpart A-General , National Environmental Polity Ad of ~ • lldati 'will ' ` ' ~ ~ ~ ~ ' 1969 (42 U.S.C. 4332) at the time of • - •~• development of reegulatia~ns ~ •• implementing Sections 810(f) and 817 of the Act. Those Findings remain ' - . applicable to this rule, and are available for public iaspactioa between 7:30 a.m. '• and s:30 p.m. weekdays in the Office of the Rules Docket Clerk, Room 10278; Department of Housing and Urban' .~ ; Development. 431 Seventh Street, SW, waahingtoa, DC 20410-osoo. ' Executives Order 1?61?. Federalism . . The General Counsel. es the . Designated Offidal. wader section e(a) of Executive Order 12612. Federalism. ' has determined that the polides coataiaed in this rule will not have substantial direct effects oa States or their political subdivisions. or the relationship between the Federal government and the States. or on the distribution of power sad , responsibilities among the various levels of government. This final rule merely consolidates is a single part the requirements for "aubstaatially equivalent" oertificatioa sad partidpation is the FHAP. It e$ects no changes is the current relationships between the Federal government. the . States and their political subdivisfoaa is connection with HUD pmgiams. Executive Order 1?606. The Family The General Counsel, as the Designated Offidal wader Executive Order 12806. The Family, has determined that this final rule will not have a potential significant impact on family formation. maintenance. sad general well-being and, thus, is not subject to review under the Order. This final rule only affects State sad local fair housing enforcement agendas which seek certification under section 810(f) of the Act and partidpatioa in the FHAP. No significant change is existing HUD policies or programs will result from promulgation of this final rule. as those polities and programs tslate to family concerns. Regulatory Fleexibility Act The Secretary, in accordance with the Regulatory Flexibility Act (5 U.S.C. 605(b)) has reviewed and approved this rule, and in so doing certifies that this final rule will not have a significant economic impact on a substantial number of small entities. This rule finalizes the policies and procedures net forth in the February 28,1996 interim rile. Specifically, it consolidates the conso on assist enforcement agendas. by providing all the necessary requirements for certification and FHAP pattiecipation in a single part. This final rule does noE affect or establish '• substantive polity. and wilt not has nay eoaaomtc impact oa smaII eatitfes. Lint of Subjects Z4 CFR Part 113 .: . -Administrative practice and • proc4dtire. Aged. Fats housing, . . lndividtiab Mrith disabilities. Intergovernmental reLtions. Mortgagee, requistiments. recordkeeping Accordingly, the interim rule published on February 28.1996 at 61 FR 7874, removing part lil end revising part 115 of title 24 of the Code of Federal regulations is confirmed as final with the following change: Part liS is revised to read as follows: PART 115--CERTIFICATION AND FUNDlNG1 OF STATE ANO LOCAL FAIR HOUSINQ ENFORCEMENT AGENCIES Suubpart A--General Sac . it5.100 Deliesfdoa>is. 116.101 administration 115.102 Pub 'c notices. Subpart e--Carttfieatton of Substantially Equivalent Agencies 115.200 ~Ptupwe. 115.201 Basis of determination. 113.202 Criuria for adequary of law. 115.203 Performance standards. 113.204 Coasequeaces of certification. 115.205 Tadtnical assistance. 115.206 Raquast for certification. IiS.207 Procedure for interim certification. 115.206 Suspension of interim certification. I1S.20ti aW of interim certification. tiS.210 ors fur cer•.ification. 113.213 Susptasioa of certification. • 115.212 Withdrawal of certifiation. Housing Assistanu IrS.300 115.301 Agry eligibility criteria. 115.302 Capacity building funds. 115.303 Eligible activities fat ppacity building toads. 115. eades eligible for contributions ~~ 115.305 Spedal enforcement effort (SEE) funds. 115.306 Training funds. 115.307 Additional requirements for partidpation in the FIiAP. 115.308 Standards for FHAP program review. 113.309 Repor:irg sad recordxeeping requirsraents. 115.310 Subcontracting under the FHAP. 115.311 Corrective and remedial action. ;115.100 DeAnitlons. '`(aj The terms"Fair Housing Act" and "HUD"; as used in this pert, are defined is 24 CFR 5.100. ~ •. '; .... ,. (b) The terms "_Aggrieved person". ~r COA~iGtiOA"~ . , . "Candliat(on~emerrt•', _>. "Disci3mfiiatory hotuing prac4iaer'. . "'~ "Heortdieap", "Persvn"~ "l?espoaiderit". ••Senetaey'•. and ~ . "State". as used is this part. era set forth is section 802 oPthe Fair Hoasiag Act (42 U.S.C. 3800-3820). • . . (c) Other definitions. The following definitions also apply to this part: Act means the Fair Houaiag Act, as• defined in 24 CFR 5.100. Assistant Seeastorymeaas•the Assistant Secretary for Fair Housing and Equal Opportunity.. Certified Agency is as agency to which the Assistant Secretary for Fair Housing and Equal Opportunity has granted interim cartificatioa or certification. is accordance with the requirements of this part. Cooperative Agreement is 'the assistance instrument HUD will use to provide funds. The Cooperative Agrseiaeat will oo~ataia attachments and appendices establishing requirements relating to the operation or performance of the agenry. Cooperative Agreement Officer ICAO) is the administrator of the funds awarded pursuant to this part and is the Director of a Fair Housing Enforcement Center in the Office of Fair Housing and Equal Opportunity. Director of FH20 means a Director of a Fair Housing Enforcement Center. Dual-Filed Complaint means a housing discrimination complaint which has been filed with both the Fair Housi>ig Enforcement Center and the certified agency. FHAP mesas the Fair Housing Assistance Program. FHEO means the Office of Fair Housing and Equal Opportunity. ;115.101 Program edininlstration. (a) Authority and responsibility. The Secretary has delegated the authority and responsibility for administering this part to the Assistant Secretary. (b) Delegation of Authority. The Assistant Secretary delegates the • authority and responsibility for administering this part to each Director of a Fair Housing Enforcement Center. However, with respect to the duties and responsibilities for administering subpart B of this part, the Assistant Federal Register Vol. 61, No. 153 / lNednesday, August 7, 1996 /Rules and Regulations 41285 Secretary retains the right to make final decisions concerning the granting and maintenance of substantial equivalenry certification and interim certification; § 115.102 Publk notiwa - ~• - • `• (a) Periodically. the Assistant :_ : • . `~' ' . Secretary will publish the following . public notices in the Federal Register. (i) A list of all agendes which have interim certi$cation of certification: and (2) A list of agencies to which a notice of denial of interim certification has - been issued or for which withdrawal of certification is being proposed. , (b) The Assistant Secretary will • publish in the Federal Register a notice soliciting public comment before granting certification to a State or local agenry. The notice will invite the public . to comment on the relevant State and local Lws, as well as on the performance of the agenry in enforcing • its law. All comments will be considered before a final derision on certification is made. Subpart B--Certification of Substsntialty Equivalent Agencies § 115.200 Purpose. This subpart implements section 810(f) of the Fair Housing Act. The purpose of this subpart is to set forth: (a) The basis for agenry interim certification and certification; (b) The procedure by which a determination to certify is made by the Assistant Secretary; (c) The basis and procedures for denial of interim certification; (d) The basis and procedures for withdrawal of certification; (e) The consequences of certification; (f) The basis and procedures for suspension of interim certification or certification: and (g) The funding criteria for iateririi certified and certified agencies. § 115.201 Basis of debnntnatlon. A determination to certify as agenry as substantially equivalent involves a two-phase procedure. The determination requires examination sad an affirmative conclusion by the Assistant Secretary on two separate inquiries: (a) Whether the Lw, administered by the agenry. on its face, satisfies the criteria set forth in section 810(f)(3)(A) of the Act; and (b) Whether the current practices and past performance of the agenry demonstrate that, in operation, the law in fact provides rights and remedies which are substantially equivalent to those provided in the Act. /'. § 115.202_ t.rtteria for adequacy of taw. (a) Ia order for a determination to be made that $ State or local fair housing ageacyi administers a law which, on its ' face, provides rights and remedies for alleged discriminatory housing practices that are substantially equivalent to those provided is the Act, the law ~ " - ordinance must: (i) Provide for an administrative enforcement body to receive and - .:. . process compLints and provide that: (ij CompLints must be is writing; . ~tRl [Jpm the Sffiig o#a oampLiat the agenry shall serve notice upon the complainant aclmowledging the Sling sad adviaiag the complainant of the time limits and choice of forums provided under the Lw; (iii) shall the Sling of a complaint the agenry promptly •serve notice on the respondent or person charged with the commission of a discriminatory housing practice advising of hie or her procedural rights and obligabarns under the Lw or ordinance together with a copy of the complaint; • (iv) A respondent may file as aass~er to a campLiat. (2) Delegate to the administrtive enforcement body comprehetlsive authority. including subpoena power, to investigate thti aUegatias-s of complaints. sad porter m oam"1Les compLiats, sad regmrs than (i) The agenry commence proceedings with respect to the complaint before the end of the 30th. day after receipt of the wmplaiat: (ii) The agenry investigate the allegations of the complaiut and complete the investigation within the time-frame established by section 810(a)(i)(B)(iv) of the Act or comply with the notification requirements of aectioa 810(a)(t)(G7 of the Act: (iii) The agenry make final - administrative disposition of a complaint within one year of the date of receipt of a complaint, unless it is - impractiable to do so. If the agenry is unable to do ao it shall notify the parties. is writing, of the reasons for not doing so: ~ . (iv) Aay conciliation agreement ariaiag out of conciliation efforts by the agenry shall be as agreement between the respondent, the complainant. and the agenry sad shall regain the ap royal of the agenry; , • f~v) Each conciliation agreement shall be made public unless the compLinant and respondent otherwise agree and the agenry determines that disclosure is not required to further the purposes of the law or ordinance. (3) Not place any excessive burdens on the complainant that might discourage the filing of complaints, such as: .. (i) A provision that a complaint must be filed within any period of time less than 180 days after as alleged discriminatory housing practice has occurred or terminated: .. . . (R) Anti-tenting provisions:. . (iii) Provisions that cottld.subject a complainant to oosis, criminal penalties or face in connection with Sling of cbni Lints.' .. . (4~Not contain exemptions that substantially reduce the of housing axommodations as compared to section 803 of the Act. (5) Provide the same protections as those afforded by sections 804, 805, 806, and 818 of the Act. eoasistent with litPD's implementing regulations found at 24 CFR part 100. (b) In addition to the factors described in paragraph (a) of this section; the provisions of the State or local Lw must afford administrative and judicial protection sad enforcement of the rights embodied is the law. (1J The agency must have authority to: (i) Great or seek prompt judidal action for appropriate temporary or preliminary relief pending 8na1 disposition of a complaint if such action m aaansary m carry out the purposes of t?se lase ar eadaaaace; (ii) Issue and seek enforceable subpoena:: (iii) Grant actual damages in m administrative proceeding or provide adjudication in court at agency expense to allow the award of actual damages to an aggrieved person: (iv) Grant injunctive or other equitable relief. or be specifically authorized to seek such relief in a court of competent jurisdiction: (v) Provide an administrative proceeding in which a civil penalty may be assessed or provide an adjudication is court at agenry expense, allowing the usessmeat of punitive damages against the respondent. (2) Agenry actions must be subject to judicial review upon application by any p ag~t~~ed by a final agenry order. (3 Judicial review of a final agenry order moat be in a court with authority to: (i) Grant to the petitioner, or to any other party, such temponuy relief. restraining order, or other order as the court determines is just and proper, -. . (ii) Affirm, modify, or set aside, in whole or in part. the order, or remand the order for further proceedings: and (iii) Enforce the order to the e.~ctent that the order is affirmed or modified. (c) The requirement that the state or local Lw prohibit discrimination on the basis of familial status does not require 41286 Federal Register / VoL 61. No. 153 /. Wednesday, .August 7. 1996 /Rules and Regulations that the state or local law limit the investigation, conciliation and - ~-. ; ~ (2) Terms and conditions of . applicability of any reasonable local. enforcement activities. The performance agreements and orders issued: state_or Federal restnctions regarding assessment will consider the following , - . (3) Application of its authority to seek the maximum number of occupants to determine the effectiveness of as "... actual amages, ~ a ProPriate; and permitted to occupy a dwelling.. • agenry's fair housing complaint , ,. - ~ (4) Application of its authority to seek (d) The state or local law may assure • .. processing. consistent with such = .. , : - damn ~ cif penalties or punitive . . that ao prohibition based oa ..... guidance as maybe issued by HUD:... gg . discrimination because of familial status- . (ij The agency's case processing (d) Consistently and aihlrmatively .: . . . ~. seek and ablain tise type of relief ~. •. applies to housing for older person :- . p~~: "~~~~" -'- ~ recrur+eacss of iuch: substantially as described is 24 CFR (2I'l~ thaevoghaess ofthe ag~ey`s -: dss3~sd prevaot part 100. subpart ~ c~ practices. The performance anent - g, .: . -... Pllr (e) A determination of the adequacy of (3) A review of cause anti no arras ~ - will include, but not be limited to: a state or local fair housing Lw "on its determinations ~' 9~tY of ~ ~ (i) An assessment of the types of - face" is intended to focus oa the .: investigations sad crosfiteacy nth - relief sought sad obtained by the agency meaning sad iatenE of the text. of the .~ ~ apptoprLto standards: _ - with oonddaratiwoanf lira iaie~ of Iaw, as distinguished"from the .,~. ~ •... ~ir- review of coadliation af$rmative provisions de;algaed to agreements and other settlements:` protect the public interest; effectiveness of its administration. ~w - Acxordiagly, thin determination is not - (S) A review of the agency s . (2) The adequacy of the disposition of limited to as analysis of the literal text admiaistrt~_ive closures: and ' - the compLiat: -- ofthe law but must take into account all (fi) A review of the- agency's (3) The relief caught and awarded: relevant matters of state or local law.., enforcement procedures' ~(4) The number of complaints closed lions. directives. rules of ro)(i) Commence proceedings with with relief and the number closed Regale ~ to~a complaint: ~ without relief; sad procedure. judicial decisions. or . m (~j Before the end of the 30th day after (S) Whether aA the issues sad bases ' interpretations of the fair housing law ~ip~ were investigated adequately sad . by competent authorities will be (ti) e,rry forward such proceedings approppriately di~sposed of: considered is making this with reasonable pmmPm1~' te) Coasistantly and afSrmatively seek determination. (iii) Make SaaI ai~aiaistrative the elimination ofall pmhibfted (f) A law will be found Inadequate ition within one year. and psadices under its fair lousingg law. Aa "on its face" if it permits nay of that Within 100 days of rem of the assessment a~ this st~3ard will agenry's decision-making authority to complaint complete the idea ' ad include. but nowt be lirniesd to: be contracted out or delegated to a non-. proceedings. (i) A disr-rossion and oosifirmatioa of . governmental authority. For the (2) To meet this standard. the the Iaw or ordinance administered by Purposes of this paragraph, "decision- performance assessment will consider the making authority" shall include: the timeliness of the agenry's actions (2) s identification of any (i) Aaxptaace of the complaint: with respect to its complaint processing, amendments, court decisions or other (2) Approval of the coaciliatioa including but not limited to: rulings or documentation that may agreement: (i) Whether the ageary began its affect the agency's ability to carry out (3) Dismis3al of a complaint: processing of fair housing complaints ~ provisions of its fair housing law or (4) Any action specified is within 30 days of receipt; ordinance; §§ 115.202(a)(2)(iii) or 115.202(b)(i); (ii) Whether the ageary completes the (3) Identification of the education and anti investigative activities with respect to a outreach efforts of the ageary; sad (5) Any decision-making regarding complaint within 100 days from the (4) Identification and discussion of whether the matter will or v--ill not be date of receipt or. if it is~impracticable any special requirements of the fair pursued, to do so. notifies the parties in writing housing law or ordinance. (g) The state or local law must provide of the reason(s) for the delay; ;115.204 t:onsequenees o1 eertifteatton. for civil enforcxment of the law or (mil W-hethu the aB~cY ordinance by as aggrieved psra~ by the administratively disposes of a complaint (a) Whenever a complaint received by commencementof an action is as within one year from the date of receipt the Assistant Secretary alleges appropriate court at least oar you after or. if it is impractiable to do ao. notifies violations of s state or local fair housing the occurrence or termination of as the parties is writing of the reasons for law or ordinance administered by an alleged discriminatory housing practice. the deL .. sad ageary that has been certified as The court must be empowered to: (iv) Whether the ageary completed substantially equivalent. the comptaint (i) Awud the plaintiff actual sad the investigation of the complaint sad . will ~ inferred to the agency. and ao punitive damages: prepared a complete final investigative furthu action shall be taken by the (2) Grant as relief. u it deems report. ~ Assistant Secretary with resaect to such appropriate, any temporary or (3) The performance assessment will compLiat except as provided for by the permanent injunction, temporary also consider documented conciliation Act. this part. 24 CFR part 103. subpart restraining order or other order; sad attempts sad activities. and a. review of C, and nay written agreements executed (3) Allow reasonable attorney's fees the bases for administrative disposition by the Agenry and the Assistant and costs. ~ of complaints. ~e~'• (c) Conduct compliance reviews of (b) If HUD determines that a § 115.203 Performance standards. settlements, conciliation agreements coinpfaint has not been processed in a A state or local fair housing and orders issued by or entered into to timely manner in accordance with the enforcement ageary must meet all of the resolve discriminatory housing performance standards set forth in performance standards listed in this practices. The performance assessment § 115.203, HUD may reactivate the section in order to obtain or maintain will include, but not be limited to: complaint, conduct its own certification. (1) An assessment of the agency's investigation sad conciliation efforts. (a) Engage in timely, comprehensive procedures for conducting compliance and make a determination consistent and thorough fair housing complaint reviews; with 24. CFR part 103. Federal'ltegister fVol. fl;'No: 153 ~!: wedtiesday;'~August '7,•1'996 1 Rules and..Regulations 41287 (c) Notwithstanding paragraph (a) of this section, whenever the Assistant ' . Secretary has reason to believe that a complaint demonstrates a basis for the commeacemenf of ~ gs against any respondent un~n 814(a) o_ f the Act or for Proceedings by ~Y .. ' .governmental licensing or supervisory authorities, the Assistant Secretary shall transmit the information upon which- such belietisbased to the Attorney.: `:. Getteral, Federal fiaaadal regulatory - agendes, other federal agendas, ar other appropriate governmental • licensing or supervisory authorities. f 115.205 •~Teehnkal s:slst~ce. (a) The Assistant Secrataryshrough . its FHEO Field Office, may provide technical assistance to the aggencies. The .agenry may request such.technical assistance or the FHEO Field Office may determine the neoassity for technical assistance and require the agenry'a cooperation and pertidpation. (b) The Assistant Secretary. through FHEO Headquarters or Field staff, will require that the agenry pate is • training conferences sad nsarainan that wit enhance the agency's ability to process complaints alleging discriminatory housing practices. ;115.206 Request for eertltkatlon. (a) A request for certification under this subpart shall be filed with•the Assistant Secretary by the State or~local official having prindpal responsibility for administration of the State or local fair housing law. The request shall be supported by the foAowing materials and information: (1) The text o[ the jurisdiction's fair housing law, the law creating and empo~veting the agenry. any regulations and directives issued under the law. and any formal opinions of the State Attorney General or the chief legal officer of the jurisdiction that pertain to the jurisdiction's fair housing law. (2) Organizational information of the agenry responsible for administering and enforcing the Lw. (3) Funding and penonael made available to the agenry for administration and enforcement of the fair housing law during the current operating year, ahd not less than the preceding three operating years (or such lesser number during which the law was in effect). (4) If available, data demonstrating that the agenry's carnal practices and past performance comply with the performance standards described in § 115.203. (5) Any additional information which the submitting official may wish to be considered. (b) The request and supporting - •• .materials shall be filed with the Assistant Secretary for Fair Housing and 'Equal Opportunity, Department of . Housing and Urban Development. 4s i 7th Streec,-SW., Washington, DC 20410. A copy~of the request~aad supporting materials will be •kept available for public examination and copying at: ~. '. (i) The.office of the Assistant - •• (2HUD Field Office is whose ~nmi~~sddaiiidinn this State ar local lo~~and ~ ~ (3) The office of the State or local agenry charged with administration sad enforcement of the State or local law. - f 115.207 •froudun to 4tterUn arWle~tlon. (a) Upoa receipt of a request for certification filed under S 115.206, the Assistant Secretary may request further information necessary for a determination to be made under this section. The Assistant Secretary may consider the relative priority given to fair housing administration. as •compared to the agenry's other duties and responsibilities, as well as the compatibility or potential conflict of fair housing objectives with these other duties and responsibilities. (b).Interim cert~'fication. ff the Assistant Se~:retary determines. after application of the criteria set. forth is ~ lis.202 that the state or locai Lw or ordinance. oa its face, provides substantive rights. procedures, remedies. sad judidal review proceduras for alleged discriminatory housing practices that are substantially equivalent to those provided is the Act, the Assistant Secretary may offer to enter into an Agreement for the Interim Refertal•of Complaints and Other Utilization of Services (Interim Agreement). The interim agreement will outline the procedures and authorities upon which the interim certification is based. (c) Such interim agreement. after it is signed by all appropriate signatories. will result is the agenry receiving interim certification. (d)(i) Interim agreements shall be for a term of no more than three years. The Assistant Secretary, through the FHEO Field Office. wiA conduct one or more on-site assessmeat~to determine whether the agenry administer its fair housing, law or ordinance in a manner that is substantially equivalent to the Act. (2) Performance Improvement Plan. If the agency is not administering its law or ordinance in a manner that is substantially equivalent, the Assistant Secretary, iaay, but need not, offer a Performance Improvement Plan (PIP) to the agency: The PIP will outline the .agency's defidendes, identi~ necessary corrective actions, and inclu e a timetable for completion. .~ (3) If the agency receives a PiP, funding under the FHAP may be suspended for the duration of the PIP. Once the agenry has implemented ..corrective actions to eliminate the defideades, and such corrective actions are accepted by the Assistant Secretary, ~~S ~Y ~ reinstated. ;115.206. 8uspenston otinteAm ceroflestlon. (a) Suspension based on changes in the law. (i) The Assistant Secretary may suspend the agency's interim oertifiatioai if the Assistant Secretary has mason to believe that the State or • locality may have limited the effectiveness of the agenry': implementation of the fair housing law or ordinance by: (i) Amending the far=housing law or ordinance; . (ii) Adopting rules or procedures concerning the fair housing Lw or ordinance; or (iii) Issuing judicial or other authoritative irate~precations of the fair housing law or ordinance. (2) If the w~;a•*+t Secretary suspends ~assfsa<osrti8cation under paragraph (a)(i) dthis section. such auspensia~n will r~aia is effscx until the Assistant Secretary conducts a review of the changes in language and/or interpretation and determines whether the law or ordinance remains substantially equivalent to the Act on its face or in its operations. Such suspension shall not exceed !80 days. (3) If the Assistant Secretary determines that. notwithstanding the actions taken by the State or locality as described in paragraph (a)(i), the law or ordinance remains substantially equivalent on its face and in operation to the Act. the Assistant Secretary will rasdad the suspension and reinstate the agenry's interim certification and/or recommend the agenry for certification. HUD will provide full or partial reimbursement for cases processed duringg the period of the suspension. (4) If the Assistant Secretary determines that the actions taken by the State or locality do limit the agenry's. effectiveness interim certification will be denied pursuant to $115.209. (b) Suspensicn bored on agenry performance. (i) The Assistant Secretary may suspend the interim certification of an agency charged with the administration of a fair housing law or ordina.ce if the Assistant Secretary• 41288 Federal Register / .Vol.. 61, No. 153 /Wednesday, August 7, 1996 /Rules and Regulations has reason to believe that the agen_ry's . performance does not comply with the ._ criteria set forth by this part. Such . suspension shall not exceed 180 days. , (2) If the ageary is suspended `' pursuant to paragraph (b) of this section. the FHEO Field Office may elect not to ' prwide~payment for complaints ' .'. ' processed yrithin that period of time unless and until the Assistant Secretary determines that the ageary is fully in ..' compliance with § 115.203. The FHEO ' ' Field Office will provide technical assistance to the ageary during this period of time. ' (3) During the period of a suspension the Assistant Secretary shall not refer com laiata to the ageary. (4~Suspension under paragraph (b) of . this section renders the ageary ineligible to receive Fair Housing Assistance Program Funds under subpart C of this part, pending correction of the defidendes by the - agen (5) ~ fore the end of the suspension. a final performance assessment will bs provided to the Assistant Secre upon which a determination will be made as to the adequacy of the agenry's performance. (c) HUD will provide as ageary with notice of the specific reasons for the suspension of its interim certifiatioa and as opportunity to respond. is accordance with the procedures set forth is HUD issued guidance. § t 15.209 Denial at interim aRifieatlon. (a) If the Assistant Secretary - determines, after application of the criteria set forth is this part that the State and local law or ordinance, oa its. face or in its operation, does not provide substantive rights, procedures, remedies, and availability of judicial review for alleged discriminatory housing practices which are . substantially equivalent to those ' provided in the Fair Housing Ad, the Assistant Secretary shall inform the State or local official in writing of the reasons for that determination. (b) The agency, within 20 days from the date of the receipt of this notice. may submit, in writing, any opposition to the planned denial of interim certification to the Assistant Secretary. The Assistant Secretary will evaluate all pertinent written comments, information, and documentation. If, after reviewing all materials submitted by the agency, the Assistant Secretary is still of the opinion that interim ' certification should be denied, the Assistant Secretary will inform the agency in writing of that determination. (c) ff the agency does not. within 20 days of receipt of the Assistant Secretary's notice of denial of interim certification, make a request of the Assistant. Secretary under paragraph (b) of'this section to submit additional data, views, or comments, no further action shall be required oi:the Assistant. Secretary and denial of interim _- certification shall occur. § 11S.Z10 ~ Proeedun for artlflatlon. ' (a) Certification. (i) If the Aasista~t . Secretary determines. after application of the criteria set forth is ~~ 115.202. 115.203 sad Phis section. that the State . or foal hrw or osdiaaaoe, both "~ W face" and "ia operation." prrnrides . substantive rights, procedures: . remedies. sad judidal review .. procedures for alleged discriminatory housing practices that are substantially . equivalent to those provided in the Act. the Assistant Secretary may enter info a Memorandum of Understanding (MOU) with the ageary. ~ ' (2) The MOU is a written agreement providing for the referral of coraplaiats to the ageary and for commuaicatioa procedures between the ageary sad HUD that are adequate to permit the Assistant Secretary to monitor the ageary's continuing substantial equivalenry certification.- ' . (3) A MOU. after it is signed by all ' aPPropriate signatories, may authorize an ageary to be a certified agency for a period of rem more than five years. (b) Performance Improvement Pion. (i) U the ageary is not administering its law or ordinance in a manner that is substantially equivalent, the Assistant Secretary, may, but need not, offer a Performance Improvement Play (PIP) to the agency. The PIP will'outline the agenry's defideades. identify necessary corrective actions. and include a timetable for completion. (2) If the ageary receives a PIP. funding under the FHAP may be - suspeaded for the duration of the PII~. Once the agency has implemented corrective actions to eliminate the dsfideades, and such corrective actions are accepted by the Assistant Secretary. funding maybe reinstated. (c) Mnual assessments. The Assistant Secsetary shall annually assess the performance of as ageary to determine whether it continues to quality for certification under this part. If the Assistant Secretary affirmatively concludes that the agency's la~v and performance have complied with the requirements of this part in each of the five years, the Assistant Secretary may offer the agency an updated Memorandum of Understanding. (d) Interim certification required prior to certification. Aa agency shall receive interim certification prior to receiving certification. ~ - § 115.211 Suspension of certification. (a) Suspens?on based on changes in the law. (i) The Assistant Secretary may suspend the ageary's certification if the Assistant Secretary has reason to believe that the State or locality ~y have limited the effeetiveaess of the ageary's implementation of the fair housing Lw or ordinance by: (ion) A~ding the isir housing Lw or , roles or concstni fair housiag~ Lw~ ordinance, or ~ ~ •. (iiij lasuing )udidal or other.. ' . authoritative interpretations of the fair ~. housing law or ordinance. . (2) if the Assistant Secretary suspends certification uader.paragrnph (a)(i) of . this section. such suspension will remain is effect until the Assistant Secretary conducts a review.of the changes is language and/or interpretation sad determines whether the law or ordinance remains substantially equivalent on its face sad is its opetttioa to the AcK. Such suspension shall not exceed 180 days. (3) If the Assistant Secretary determines that the law or ordinance remains aubstaatialiy equivalent oa its tan sad is operation to the Act, the dssfstaat Secretary will rescind the suspension sad reinstate the ageary'a interim certi$ation aadlor recommend the ageary for certification. HUD will provide full or partial reimbursement for cases processed during the period of the suspension. (4) If the Assistant Secretary determines that the actions taken by the Stets or locality do limit the agenry's effectiveness, certifiation will be withdrawn pursuant to § 115.212. (b) Suspension based on agency performances (i) The Assistant Secretary may suspend the certification of an ageary charged with the administration of a fair housing law or ordinance. if the Assistant Secretary has reason to believe that the agency's performance does not comply with the criteria set forth by this part. Such suspension shall not exceed 180 days. (2) If the ageary is suspended pursuant to paragraph (b) of this section, the FHEO Field Office may elect not to ' provide payment for complaints processed within that period of time unless and until the Assistant Secretary determines that the ageary is fully in compliance with § 115.21)3. The FHEO Field Office will provide technical assistance to the agency during this period of time. ,•_ ~ ~ • • - • -• Federal :Register •/ Vo1.61•~-Mori 153~•i ~Ne3nesday,-August ;.x•1996-1-•~vIas -and • Regulations- ~ 41289- (3) During the period of a suspension the Assistant Secretary shall not refer complaints to the aganry:' • ~ . (4) Suspension under this paragraph also renders the hgenry ineligible to receive Fair Housing Assistance = .. Program Funds under subpart C of this part. pending correction of the defidendes by the agency: '~ ' •. ' (5) Before the end of the suspension. a final performance assessment will be provided to the Assistant Secretary upon which a determination will ba ' made as to the adequary of the agency's performance. . (c) HUD will provide aa'agency with notice of the spadfic reasons for the suspension of its certification and as opportunity to respond, in accordance with the procedures net Earth is HUD issued guidance. § 115.212 WIlhdrawal of ee:tltkatlon. (a) If the Assistant Secretary finds. as a result of a review undertaken in accordance with this part. that the agenry's fair housing law or ordinance no longer meets the requirements of this part, the Assistant Secretary shall progoaa to withdraw the certification pre~~iously granted. (b) The Assistant Secretary will propose withdrawal of certification under pa-agrar•h (a) of this section unless further review sad information or documentation establishes that the current law and/or the ageary's administration of the Lw meets the criteria set out is this part. (c) If the Assistant Secretary determines, suer atrgLratioa of the criter'a set forth is this part, that the state or local law or ordinance. is operation, does not provide substantive rights. prncodures. remedies. sad availability of juaidal review fcr alleged discrimi*iatory housing practices which are stbstantiallv equivalent to those prc:zded in the Fair Housing Act, the Assistant Secretary shall inform the State or local offidal in writing of the reasons for th~r determination. Subpart G-Fair Mousing Assiatsnc~ Program ('r aAP) § t 15.300 Purpose. The purpose of tho Fair Housing Assistance Program (FHAP) is to provide assistance to State and local fair housing enforcement agendas. The i.~tcnt of this funding program is to build a coordinated intergovernmental enforcement effort to further fair housing and to encourage the agendas to assume a greater share of the responsibility for the administration and enforcement of their fair housing laws and ordinances. This financial assist8nce is designed to provide ' . supp ort for. (a~ The processing of dual-filed comphtiats: ~ .. - . . ' (b) ?raining under the Fair Housing Act and the agencies' fair housiag'law; (c) The provision of technical . assiataaoe; (d) The creation and maintenance of data sad information systems; and :. . (e) The development sad _ • • enhancement of other fair housing - enfortxsaant projects. - §1t5w10T /igaaayetl~IbWtyerl0srta..; Aay aaryry with certification or interimacgbertificatioa under subpart A of this part. and which has entered into a 1si0U or interim agreement, is eligible to partidpate is the FHAP. - § 115.302 Capacity bu0ding funds. (a) Capadty bolding (CB) funds are • funds that HUD may, provide to an agenry with interim certification during the agenry's first three years of participation iu the FHAP. Agendas receiving CB funds are not eligible to receive contributions funds uadar §115.304.- ' (b) CS funds will be provided in a fixed annual amo~:nt to be utilized for the eligible activities established pursuant to ~ 115.303. However. in the second and third year of the agenry's participation. is the FHAP. HUD has the option to permit the sgenry to receive CS fimding oa a per case basis. rather than is a single annual amount. (c) Ia order to : eceive CB funding, ~gendes will be required to submit a statataent of work which identifies: (i) The objectives and activities to be carried out ~:zth the CB funds received; (2) A plan for training all of the agency's emrloyees involved in the administration of the agency's fair housing la~v or ordfnan~-e; (3) A s:atemrt:t of tl:e ageng's intention to partidpate in HUD• sponsored trai:iiag in accordance v-~ith the training requirements set out in the coo five agreement; (4pj A~descriptioa of the agenry's complaint processing data and information system or, alternatively, whether the ageary plans to use CS funds to purchase and install a data system: sad (S) A description of nay other fair housing activities that the agency will undertake with its CB fiends. All such activities must address matters affecting fair housing enforcement which are cognizable under the Fair Housing Act. Any aC.ivities which do not address the implementation of the agenry's fair housing law or ordinance, and which are therefore not cognizable under the Fair Housing Act, will be disapproved. § 115.303 Eligible setivitles For eaaacltyl bsflding funds. .The prita3ry Purposes of capacity building funding is to provide for complaint activities and to support activities that produce increased . awareness of fair housing rights sad remedies. All such activities must support the agency's administration of its fair housing law or ordinance and address matters affecLtng fair housing which are cognizable tinder the Fair . Housing Act. HUD will periodically publish a list of eligible ectivfties fn the Federal Register. . § t tS.304 Agenoles el1g16N taor~ eattributiorss tends. . (a) An agenry that has received C3 funds far three consecutive years is eligible for contributions funding. Contributions P.mding consists of three categories: ' (i) Co~~mpplaiat Processing (CP) f:mds; ~(d2) Administrative Costs (AC) funds; (3) Special Enfottaement Efforts (SEE) fiords (§ 115.305 sets forth the requirements for SEE funding). (b) Ce' funds. (i) Agendas recei~~iag CP funds will receive such support based solely on the number of wmplaints processed by the agency and accep•.ed for payment by the Director of FHEO durL-.g a consecutive, speciScally fdeatified. l2-month period. No.^maLy this period will bs the previous yew's funding t.~cle. (2) Funding for agendas in the*.r fourth year of partidpatioa in the FHAP will be based on the number of ' complaints acceptably processed by the agenry during the agenry's third ~ esr of participation in the FHAP. (c) Administrative Cost (AC) fiords. (1) Agencies which acceptably prccoss 100 or more cases will receive no less than 10 percent of the agenry's annual FHAP payment a.'ao•.uit for the preceding year, in addition to cans processing fiu:ds, contingent on fiscal year appropriations. Agendas that acceptably process fey per than 100 cases wiA receive a flat rate contingent on fiscal year appropriations. (=) 9gendes will be requued to provide HUD with a statement o{how they intend to use the AC fiords. HUD may require that some or all AC funding be directed to activities designed to create, modify. oc ir_+prove lord. regonal. or national information systems ccnceraing fair housing matters (including the purchase of state of the art computer systems and getting on line or internal access, etc.). § 115.305 Speelal enforcement effeK (SEE) funds. (a) SEE funds are funds that HUD will provide to an agenry to enhance 41290 Federal Register /Vol. 61, No. 153 / V1'ednesday, August 7, 1996 /Rules and Regulations enforcement activities of the agenry'a fair housing lacy or ordinanre. SEE funds will be s maximum of 2096 of the agency's total FHAP cswperativa ~~ agreement for the previous contract year, based on approval of eligible activity or activities, and based on the ~ ~: appropriation of funds. All agendas . ~- receiving contributions funds are eligible to receive SEE funds if they meet three of the six criteria net out is pa(riagra~phs (a)(i) thr°Ugh (e)' - gcary-has taken action to enforce a subpoena or make use of its prompt judidssl action atithority within the at yeas.. (2~'I'he agenry has held at least sae . administrative hearing or has had at least one cane on a court's docket for . dvil proceedings during the past year. - (3) At least ten percent of the agenry's fair housing caseload resulted is written condliatioa agreements providing monetary relief for the complainant as well as remedial action. monitoring. reporting sad public interest relief pmvisions. (4) The agency has had is the most recent three years. or is currently handling, at least one major (stir housing systemic investigation requiring an exceptional amount of expenditure of . funds. . (5) The ageary'a administration of its fair housing Lw or ordinance received meritorious mention for its complaint processing or other fair housing activities that were innovative. (6) The agenry must have fully investigated 10 ihir housing complaints during the previous fundingg year. (b) Notwrthstaading the eligsbility criteria set forth in paragraph (a) of this section, an agency is ineligible for SEE funds if: (1) Twenty percent or more of an agenry's fair housing compLiats result is administrative closures; or (2) The agenry is currently on a PIP. or if its interim certification or certification has bean suspended during the fiscal year is which SEE ftmds are sou t. (c SEE funding amounts are subject to the FHAP appropriation by Congress and will be described in writing in the cooperative agreements annually. HUD will periodically publish a list of activities eligible for SEE funding in the Federal Resister. § 115.306 Training funds. (a) All agencies are eligible to receive training funds. Training funds are fi.Yed amounts based on the number of agency employees to be trained and shall be allocated based on the FIiAP appropriation. Training funds may be used only for HUD-approved or HUD- sponsored training. Agency initiated training or other formalized training maybe included in this category. However, such training must first be - approved by the Cooperative Agreement Officer (CAOj and the Government Technical Representative (GTR). • - Spedfics oa the amount of training funds that an agieacy Mill receive and. if applicable. amotmts that maybe . deducted, will be set out is the five a teach year. . `°(b~ of the agency responsible . for the administration of the fair housing law or ordinance must partidpate in mandatory FHAP training sponsored by HUD at the national sad field office levels. If the agenry does not partidpate in the mandatory national and field office HUD-sponsored training. training funds will be deducted from their overall training amount. § 115.307 Addltlonal nqulrentents for partidpstbe In tM FMAP. FI~P ~dea which partidpats is the (i) Conform to reporting and record maintenance requirements determined by the Assistant Secretasy~ (2) Agree to on-site technical assistance and guidance and implementation of corrective actions set out by the Department is response to defidendes found during the technical assistance os performaasx asspessment evaluations of im lames ,end adhere to (3) Agrat P . polides sad procedures (as their laws and ordinances will allow) provided to the agendas by the Assistant Secretary, including but not limited to guidance on investigative techniques, cane file - preparation and organization. implementation of data elements for smm Lint tracking. etc.: (~~Spead at least twenty (20) percent of its total annual budget on fair housing activities: sad (5) Not unilaterally reduce the level of finandal resources currently committed to fair housing conpLint processing (budget cad staff reductions or other actions outside the control of the agenry will not. alone. result is a negative . determination for the ageary's partidpanon is the FHAP). (b) The agenry'a refusal to provide information. assist in implementation. or carry out the requirements of paragraph (a) of this section may result is the denial or interruption of its receipt of FHAP funds. § 115.308 Standards for FHAP program review. HUD will conduct roviews of the agency's cooperative agreement implementation. This review will also identify: (a) How the agency used the FHAP funds received; (b) Whether itsdraw-do~~n of funds was timely; . (c) Whether the agency has been audited and received copies of the audit reports is accordance with applisxble rules and reguLtians for State and local (d)8 ~ ~ with all . certi$cations and assurances required by HUD is the cooperative agreement. § 1§ 1 t~ rtlnp and nxordkeepinp (a) The agenry shall establish and maintain records demonstrating: (i) Its $nansdal adatiaistration of the FHAP funds; sad (2j Its performance under the FHAP. (b) Ia accordance with the cooperative agreement in effect beriveen the agenry and HUD, the agenry will provide to HUD the agenry reports maintained pursuant to paragraph (a) of this section. The agency will provide reports to HUD in accordance Math the cooperative agtaeasent is effssot between the agency and HUD for frequsnry sad coaient. regarding complaint rocesslag. training. data and inffermati~ systsans. enforcement sad other activities expLiaing how FHAP funds were ed sad usod. c) The agency will permit reasonable public access to its records, consistent with the ~trisdidion's requirements for release o information. Documents relevant to the agenry's partidpatioa is FHAP moat be made available at the agency's offisx during normal working hours (except that documents with respect to ongoing fair housing complaint investigations are exempt from public review consistent with Federal aadlor State law). (d) The Secretary, the Inspector Genenlof HUD, sad the Comptroller General of the United States, or any of their duly authorized representatives. shall have access to all pertinent books. accounts. reports. 51es, and other payments for surveys, audits. examinations. excerpts. and transcripts as they reLte to the agenry's partidpanon is FHAP. (e) All files will be kept in such fashion as to permit audits under applicable procurement reductions sad guidelines sad the Single Audit requirements for State sad local agendas. (f) The FHAP finandal records and files will be kept at least three years on- site after any cooperative agreement has terminated. § 115.310 Subeontracttng under the FH?P. If an agency subcoruacts to a public or private agency any activity for which Federal Register / Vol. 61, No. 153 /Wednesday, August. 7, 1996 /Rules and Pegulations 41291 the subcontractor will receive FHAP ~ ., : ~ (b) If as agency fails to demonstrate to allocation'oa the satisfactory • funds, the agenry must ensure and certify is writing that the subcontractor' HUD's satisfaction that it has met 'program review standards, HUD will completiot~by the agenry of appropriate - is: - • request the agency to submit and corrective actions. When the use of funds is so conditioned HUD will - (a) Using services and facilities then ' comply with proposals for action to ~ . , spedfy the de$denry(ies). the required are accessible is accordaaoe with the " ~ AmerIcans with Disability AcE (ADA) ' ~~, iaitigate, or prevent ~~' performance deRdeaGiea; including. but ~ : -corrective action(s). and the time •. -allowed for taking these actio F il * (42 U.S.G 12101) and Section 504 of the - . -1973 Rehabilitation Act (29 U.S.C. 701); .not limited to: ~ ~' ~ °- ` •' (1) ~P~B and/or following a • " ~ ns. a u. e 'vf the agenry to complete the actions as _ (b) Coiaplying v-~ith the standards of . S i f acheduls of actions for carrying out the ', affected fair housing activities: fi~ ~ result in a reduction or withdrawal of the FHAP allocation in an ect on 3 o the Ho and Urban ~~ Development Act of 1968 (42 U.S.C. ~ : .. (2) Establishing and/or following a . l h - amount not to e.YCeed the amount - tonditionall tact Y ce 1441): and - - _ sasnagemenE.p ant at ass3gas _ . i - . - (c) Furthering fair housing. _ .. a~onsihilities isc csaYing out tie . ~ i ~ t ~~~ ~ - _ $115.311 Correctlw and remedial actioa. (3) Caace l ng or revising activities ~ 3. Appendix I to subchapter A of ' (a) If HUD makes a re P ~~'Y • ~ likely to be'affected by a performance . •' deSdenry before expending FHAP ~ chapter I of title 24 of tlve Code of ' •Federal Regulations is removed determination that as agency has not complied with § 115.309, the agenry • funds for the activities; and (4) Ring ~ ~~~ ~ :' . - I~ ~, s9sa. hdY will be given written notice of this determination and en opportunity to disbursement of FHAP funds that helve not et been disbursed. ~ ~ T"u'm Asaistct!t Sseretory jor Fair Xonsirg and show, through demonstrable facts and (c~HUD may condition the use of • E9ud OPPaTunity. data, that it has done so within a time FHAP award amounts with respect to an - (~ >~• ~-199oa Filed a~gs; 6:45 am) prescribed by HUD. agenry's succeeding fiscal year's - asua oaoa ano,m-r 8022.1 Appendix 12c ATTACHMEKT C 01'8 STANpgpp ASSURANCES - SF 4248 Drug Free Certification 12c-1 6/90 Sou. i ADPendix 171 ASSURANCES -NON-CONSTRtiCTiON ~AOOftAMS ATTACHF¢NT ~ pw aro.e.N s• eW awe Dote: Certain etthcK assurances tray wt k applicable V tsar prreject er pragrsm itteu ha•e quc:tiens. please eonvct the a+'a-ding agenet furtt+er.tertain Fcderatasarding agencies teat require appticanu Mtertily to additional esturancee Ueuch b tt+c ease,te~ sill be aetlfied _ As the duly eutherired npreseri4tive ettl+e epplieant 1 esrtJ~ tJ-at tJ+e appliant: !. Hu the legal eutherlty to appit ter iredcral assistance, end Ns institutienat, te~anagerial td financial Capability tinetuding surds suReitnt V pet the nen•fcderal share el project s+stsl u snsure proper ptanrting. s-anage>nent aad eetn• pletien of the project described in ttus apptieatien. ! 10.'iti Aire the es•erdint agenet. the Gmptretler Gneral of the l'nited States. end Y apprepriatt, the Sute. through ant authorised represenl~ti.e. access to tnd tt+e right N esamine aft rccorda. books, papers, er documents retested 4 the a~rard: and ••itl ssublish'a proper aeeovnting system in •eeordanee with generally accepted aceeunting standards or agency dirtctires. ~. N'ilt establish safeguards M prohibit emptoyecs from using their positions ter a purpose that constitutes er presents the appearance et personal er ergsni:ationat conflict of interest. « psraonal fain. !. K 111 initiate end eompiete .the perk sithin the applieabte time traree alley receipt et appro~•at et the awarding agcnsy. f. R'i11 ternptt ••ith the lnterge.eramental Perwnnet Act et 1970 (~2 1r.S C. 1{ X121.17631 relating to prescribed standards ter merit systettu !or programs funded under one et the aintteen statutes er regtilations specil~ed in Appends: A t! OPSI's Sundards for • Merit System of Personnel Adminisvation tS C.F.R. l00, Subpart f1. t. N-ilt seo+plt with etl federal stattrtss eetating V eondiaerimiaatien. TMse laetude -ut are set limited v tat Title Vi et the Gird Rights Act .t 1161 IP.L. IiJ52l whk>s prohibits fit-riminatieA sa tht basis et nee, ester « national tKigin; A) Title IX et the >cdvutiea Atnedraenu of 1112. as amended (20 US C. {s 1611.1683. an1161S•1611). shich prohibits diserim'uutien ea 1J+e basis et acs; kl Section S01 et the ltehabititatien Aet et 1173, se •rnended (29 L ~ C. { 7l11. vhieh p*ehibita d1a• tcriminatien ea the basis of handicaps; Wl the Age Discrirainatien Act et 1l78, es aa+endcd (12 .S C {{ 6101.61071, ~hith prohibiu discrim• 4+aUon en tl+e ba cis otage: (ct the Owg A-use OtGes titd Treatment Act et 1172 tP.1. •2•lSSI. as atnendel, retatie~ to .tediaerimtnatioa en t1+e baais et d-vg abuse. to tM CempreMnstre AtgAel Abuse end Akehelisra Prevention, Treetmeat .d Rel-abitiutien Act et 1170 tP.L. •1•i1gt, as tmendcd. tetatiag to eiondisttittinatien en the basis etetceM,t abuse er ateehelism; (gt {{ S23 ad S4Z ettl+e ?ub'ic Nea1tA &rviee Attet 1!1! (12 {,'s C. 290 dd~2 and 4!0 ec• 3!. as arnendel, retating M eeafideztiality e[ akohot end trug abuse patient roeords.lhl Tate Vip et tl+e Grit Righu Aet et 1461114 l'.S C { )601 et seal ). as ea+endcd, retesting to nea• discrimination to the sate, rental er t•.rancing et hesaing; tit •ep atfsr srondiscriiziaat»e prorisions to the speeifle statutetsl under shich appaicaties ter Federal assistance is bean= taade. end Ul the regvtremeets et any ether aondiseriminatteA statute(s) shicA arac epplf t• Ne apptiatiea. grill eeraplt, sr hat already eee+ptied, sith the rpuirements tt Titles tt and 111 of the Cniterm Rciecatien Assistaeee and Reel Prepertt Acquisitiea Potieies Act et 1l70 (P.1 !t•6~6t shich provide for fife and equitable treatment et perwns disptaeed er chose property is acQuired as a result etftderal u federally assisted progratas These rptriretnents apply to all interests in reel prepertt aeQuind ter prefect purposes retardless etfed:raT partieipatien M purchases. t. Mutt amplt with the prer4iens et tht Hauh Act ti 1~3 C. {{ 1501.1501 and 7321.73411 shich limit the political tctlrities et empleyeea shese principal ampletme>st aclirities an fundc0 in ~hete er tat psK with federal tads. !. rKill eea+pft, is appliulle. with the pre~isiona et the Davis•dacon Act NO 1.'.E C. l12~6a to l.6a• 71, tht Copt4nd Act l10 V S C. ! 2 ~k and 1/ L.S.C. {{ 1711. and tAe Cenvact Wor- Hour and Safest standards Act 110 L'.=~C. it 321.3331, regarding Lbor standards for tedera!!,r assisted eonstruetien subagrcttt+ettu. tt+.w rr acs aaa e-nrew R Ors ~o~r a•~ar Autl+ortted t« Leeat Iteproduettoet 6/90 121:-2 t0 1t•ii) eon+plf. v appiica-it, with Heed inturanet Ourchatt rrgviremtntt of section 102ta1 of the Piood Oita tter Prettctan Act of 1lT~ tP.i. !3.230 • hicA requires recipients In • tpeciai Rood Aatard area k participate In the ~ro~ram endle purcMtt flood inturanct It the total eett et IetYralit sonstrYCtion and acquisition 4 i)O.000er cert. 1 t. Wild eornpl~ .ith en.irenmental trtandards •hich e++1 et prtscri0ed tttwet V tha fitll.~iad ta) tnttltution of tn•Irennrtncs! ~ns-ly s+rtt~l tntasuret Ynder the >•'alional En.Ironmentet r.lit, Act of t!6! (P.L. !t•t!0! snd EtecYti.t Order (EO) ttil~. AI eetifieatioe of •telatin~ lacilitiet tYrsgant V EO l tl3t. (t) prottetien of ~•ttlands pursuant to EO 11!!0. (dt t.alYatieu et Rood hs:ardt ie fioodptains in accordance with EO t tlJN. tt) assurance of Project eonsittenq •ith the appre.el State n+ana=ta~ent prepraa~ ds•eloped under the Ceattal Zont 1t(anatesnsnt Aet of 1l:2 t)t l'.3 C. Ii t1S1 tt aeq l: lf1 eorJormit~ of fedeni actions k Start (Clear Air) tn~pte~ntnLtion Plant Ynder 5eetion t7ti(ci et the Clear Air Act et tlSS. as amended (~2 ~'S.C. 1 ~~Ol et uQ 1. (fit protection e<Ynderpound Seurat of drini<ind rater tinder the Safe DrinkinS Water Aet et t!7<, at amended, (t.L. !S•S22), and th) ~rottetien of tndan~ertl apeeitt Ynder the Endangered Species Act of )!?3, at an+ended,tP.1. !3.205). t 2. Will eomp!~ .itA the R'ild and Seenie iti.en Act •! 1l6i t16 l'.S C. ff 127t of teq) -etated k trotectinS eornponents er potential components ~ Nt national .•ild and scenic riven system. :aa.tutc a •utMa-ato ccats.w0 a~Kru amKsurt oaZ.d~t•t~ae 8022.1 Appendix 12c 7) Kill ateitt the a•ardin~ a~enef to a~tYrin~ eee+ptianct •ith tectien t0i of the ~siienal llittorie treter.atien Att of 1l66, at an~n1N tttR ~' i C PTO). EO ttil2 ~ilentificstita and prettetien of histe-ie propertitti. aa1 the Arehatelorieal and liisterk Prettr.atien Act of tl:t lli L'.S C.1i1a•t t<eoq 1. 1t. K'ill toa+ply ~lt~ ir.L. •~•~~t rt~trdia~ the «oketion of httiutn aY6jte4 tnwf.td in researek, dK.sle~aneat. snf nlatai •ctldtits aupponed -y this ward ofastittaaet. 15.11~i1t eompty with tt+t Lsboratery Anir:-at M'etfart Aet et tl66 (P.L. t!•t~i1. u amended, ? C S.G. !)1t tt atq) pertsinir-~ to the art. landlin~, and trtatatat of •ar• irloeded anisnalt held fir rettareA, kachin~, st other aeti.ities tupponed -~ this a.ard ofastittaneo ti. 111i1t eompl~ er{u the Lta1•>lastd Paint Ptironin! Pre.entien Act (t2 L 3 C. i1 fii01 tt sq t s1-iew *rohi6itt the rte al itad Bitted paint la eonstrvctien or reha6ilitatiea of residence atrvetw~ta. tt.1~iI1 cruse k M performed the rpuired Wssneial and eemplianet aYditt in accordance •ith the Sinsle AYdit Aet td tlt~l. t t. 1t s'71 tompfy.~ith alt appliulle -tquirtaunu of all Nhtr iederai ts.a, srtttYttw order. repYtatiea as-d polieiet =o.eruinp Chit preprasa. tr<tt ott sutwnto /o-~ - ~~ 12e-3 6/90 • era ..u sr<• 8022.1 Appendix 12c ATTACMiEMT C CERTIFICATION REGARDING Oitii6-FREE IDRKPUICE REQtIIREMEKTS 1. Instructtoss for Certttfcattow a. dy subtltttnq this appticatton, the applicant is Providing the certittcation set out belox. b. the certittcation set ant Oetow is a aaterial representation of tact upon Mhich reliance vt11 be placed if MUD detenines to awr0 a grant to the applicant. It it is later deteraN ned that the applicant kno~ringly rendered a false certittcation, or othe prise violates the reautrements of the Orug-free Yorkplace Act. 1U0, to addition to aror other remedies available to the Federal Gorern^ent, may take action authorised ender the Drug•Free Yori~place Act. 2. certittcation Regarding Drug-free Ybrkplact Regdtreaents a. The applicant etrtiftes that it veil provide • drug•tree rorkptace by I. PuDiishinq a statement nottfytng employees that the anla~rtul Nnutacture. distribution, dispensation, possession or use of a controlled substance is prohibited to the grantee's ti+ortplace and specifying the actions that ~rt11 bt taken •gatnst toploytes for violation of such prohtbttlon; 2. EstaDiishtng a drug-tree arareness progru to tetors eaployees about: i. the dangers of drug abuse in the rorkplace; it. the applicant's policy of matntatninq a drug-tree wort place; 11t. any available drug counseling, rehabilitation. and aeployee assistance programs; and iv. the penalties that say be ta~posed upon eaployees for drug abuse violations occurring in the rorkptace; 3. Making it a requtrm-ent that each eeployee to De engaged in the performance of the grant De given a copy of the statement reouired by paragraph 1; 6/90 12c-4 8022.1 ADDendix 12c •2- d. Notifying the t+nployte 1n the stateAent rtquirtd py paragraph 1 that. as a condition of enployeent under the grant. the eaployee rill: t. abtde Sp the terns of the stateeent; and ii. notify the et~ploytr of any crt~tnai drug statute conrtc- lion fora violation occurring in the rorkplace no later than live days attic such conviction; S. Notifying NUD rithin ten days alter receiving notice under subparagraph d (ii) troy any ea~ployee or otherrist receiving actual notice ot.such conviction; 6. Taking one of the fo4loxing actions. rithtn 30 Oays of rtctivinq notice under subparagraph 4 (11), rith respect to any e0ployet rho is s0 eonricted: i. taking appropriate personnel action against sucA an taployee. up to and including tt~ination; or it. rtqutring such eeployee to participate satisfactorily in a drug abuse assistance or rehabilitation prograt approved for such purposes Dy a Federal. State Or local health. lac tntorcement. or other appropriate agency; 7. Makin a good faith effort to continue to satntatn a drug•trte rorkp~act through tapleakntatton of paragraphs 1. Z. 3. 4. S and 6. e. The applicant shalt insert in the space provided pelor the sift(s) for the ptrtorounct of cork done in connection ritA the specific grant: Place of Ptrtoroance tStrett address. city county state. sip code) < ~ < ~ < ~ c ~ < ~ 12c-5 6/90 8022.1 Apoen4lx 12c RESTRICTIONS ON LOSBTING - C~LRTIlIGTION By subaitting this applieetion, the applicant certifies, to the beat of his or her knowledge sad belief, theft (1) >110 ledsral appropriated funds have been paid or will be paid, by or oa behalf of the undersigned, to nay person for influencing or attempting to influence as officer os employee of any agency, a Kember of Congress, an oiticer or e®ployee of Congress, or as employee of a Member of Congress is connection with the arardiag of any federal contract, the mkiaq of nay federal grant, the making of nay ledsral loan, the entering into of nay cooperative agreement, and the e:tension, continuation, renewal, amendment, or modification of nay federal contrsct, groat, cooperative egreement, or loan. (T) It any tends other thaw Tederal appropriated made Lame been psid or will be.paid to nay person toe iofleeoc3.mg or attempting to influence an officer or employee of nay agency, a Member of Congress, as officer or esployw of Congress, or~aa employee of • Member of Coagrsss ~n connection with this ledsral contract, great, cooperative agreement, or loan, the uaderst ed shall complete sad submit Standard !oa-ELL, 'Disclosure loss to Report Lobbying,' is accordance with its instructions. ~ (3) The undersigned shall require that the language of this certification be included is the award documents for all subavards at all tiers (including subcontracts, subgrants, end contracts Hader grants, loans, sad cooperative agreements) end that all subreeipients shall certify and disclose accordingly. This certification is • mtsrial representation of tact upon which reliance vas placed xhen this transaction eras made or entered into. Submission of this certification is a prerequisite for aakin or entering into this Lransaction imposed by section 135, title 91, D.S.C. 11ay p~rsoa who fails to file the required certification shall be sub~eet to a civil penalty of not less than x10,000 and not more Lban x100,000 toe each such failure. 6/90 12c-6