HomeMy WebLinkAbout1997 S HR & R - Cooperative Agreement with US Dept of Housing and Urban Development Assistance Award/ U.S.Depa rtment of hioushl 00W /0
Amendment cog"Urban oev#ao�,#�+t
OKe#N Abniriw"
arsetaw wevawe
tadve Agreement Grsnt C;Awwd Am#ndmore
IMwnaet M0~ 4. AnrewmeN*4n w L OW M ti ACM l Mewr
FF204K974022 10-01-97
NW4 W Ad**$$N Ao"%4ft 1. Aanwsaw"�.
Orange County Human
Director, Fair Housinq Enforcement Center
Relations Commission HUD Georgia State Office,. 4AEE
75 Spring Street, SW Room 230
P . 0. Box 8181 Atlanta Georgia 30303
Hillsborough, North Carolina 27178 k Heft dAannnruar Tqkpftft
Shirlet► J .. Wilk r(404) 331-5140
• Aocoem Pmjoa mw% w L HW Cw*e#r-*M T401 K9 FW w�wn�eve
Lacy Lewis , Director
AX`a`ar""A"ar"ffom IL nrncwo+ee eg ona Accounting Division
Cost Nimbursonwo Treasury Checks Retmbursamant )5 Spring Street, S.W. , Room 230
Cost s�'a`f'9 �sn`s Atlanta, GA 30303-3388
f'bad Pries Automated Clearinghouse
A"sawme IL MW Aama"W wn Out
Pnvous HUO Amount s 0 tea;Naetrbn
NUO Amount this action s 100,000 867/80144 FHEO-97— 4022
otak HUO Amount s 100,000 Amount Previously Obftxed t 0
Raeiciont Amount s 0 �9Wn by this action s inn"nnn
TOW instrumam Amount s 100 000 Totsi�� = 100,000
000
�#saipoow:
COOPERATIVE• AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP)
CONTRIBUTIONS
This agreement consists of the following, which incorporated herein and
made a part hereof:
1. Cover Page , HUD-1044
2. Schedule of Articles
3. Statement of Work
4. Sectioa 3 Clause
S. Assurances
i. Criteria for Processing
7. Administrative Requirements for grants and Cooperative Agreements
Qrder of Precedence: Notwithstanding any provision to the contrary, in
the event of a c—n7lict among any of the documents pertaining to the
duties and responsibilities of the parties, the Statement of Work shall
take precedence over the Scheduie of Articles.
Rocipord is required to sign and return thus#(3)copies O Racipwty is r requk d to sign Mb docsxrwnt
document io the HUO A4minist#ring Office
William L. Crowther
',osxt n�TMn e - &
rle?
J. Wi ins
9/25/97 Cooperative Agreement Office 2
S �7
Chairman, Oran r6 unt card of I
Y
Commissioners FORM HUD-1044 9-90
$022.1
ApandiX is
U.S.DEPARTNINT Of MOUSINO AND URSAN DEVELOPMENT
FUNDS RESERVATION AM CONTRACT AUTHORITY
1. •. NAME A"O •000911 Of feOJECT IDENTIFICATION 1. eeJ4eT ceNTe•CT, I•A oe
0wec"ASE ORDER NVU64R
Orange County Human Relations Commission FF204K974022
P. 0. Box 8181 A. D•�� . row),oN
Hillsborough, North Carolina 27178 09-25-97
•. 1e 4164VATION"1/66090 4. NAME AND TITLE Of SOVeCE eFFICEO
FHEO-04-97- 4022 Shirley J. Wilkins, Director, FHDC
L FUNDING AND ACCOUNTING CLAISIFICATION
COOT eU CLAIISCT R[e[RVATIOII 1�[CRlAtI[ MET
APPROPRIATION OR FUND EVMOOL f:C009 CLAfe OUTSTANDtNO (Wtreaet/ AMOUNT
COO! COOL
A • C O [ •
867/80144 TTM $100,000 $100.,000
MITTOTALf $100,000 $100,000
f. PURPOSE Of THIS ACTION(Chet! ANtitaMe Iotfetll
A. CE. INITIAL RESERVATION
EI. C INCREASE OR (Dttrtate/RESERVATION (Amealatet Naab#r J
C. C CANCEL RESCRVATION (trathtt ANeeet is SE)
O. EXECUTE. AMCNO OR WAIVE CONTRACT
TA. DescaIPTION of ►00J9CT TO. C"TOACT CONDITIONS Rt a1)
Funds to assist state and local Agencies must be recognized as sub-
agencies in processing Title VIII stantially equivalent or have Agreement
conplaints. for interim referral of ccnplaints.
Ga. DATE me..D"aw Meet) ss. S/aI1ATUee or Sowell Offices
1. TO $E COMPLETED •T ORIGINATING OfFICE
RlCOMNlMDATIOtI AND AUT0401112ATIOM X09"ieviit
So easerleese wok evlherltr.$std IN Or Aalayaa/to 1M adetelOeal; M 4e86e4Vnesa of►ra•isieea all reEaiteft"to of egli•
w►M Sw;.eat 404191 004 of t««/F6964iel*A ra;ea of rere. 14001fie/ M Oleaf 10 abw;eel•hA later.iami"dW
60 aaiees is 11I"h f eta M the pyblie iafte"t. these e411aw9 Mo naealoewlal se/owdwIsd bte.I*:
A. N
E
DATE • w) TITLE t�
Southeast Caribbean
s. O••ICIAL►REU RELeAsa DATE(r./w.Par aw row)
14L FOR ACCOU147INO USE ONLY
FUNOE AVAILA§LEA ❑II9S[RVAT1011 1119COM09a,00 ADJUGT90 TO AMOUNT SHOWN IN or
PTe.l.a. EIIN«is D►ee+.a 1 S•1 6/90 HUD-?"(>fd)
5
CAPACITY BUILDING AGREEMENT
FY' 97
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
ATTACHMENT A - CRITERIA FOR PROCESSING
ATTACHMENT B - PARTS 111 AND 115, FINAL RULE
ATTACHMENT C - SECTION 3 CLAUSE
ATTACHMENT D - PART 85, ADMINISTRATIVE REQUIREMENTS
ATTACHMENT E - INSTRUCTIONS FOR PREPARATION AND SUBMISSION
OF DIRECT DEPOSIT SIGN-UP FORM (SF-1199A)
AND INSTRUCTIONS FOR THE LOCOS VOICE
RESPONSE SYSTEM ACCESS
6
2
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 regional 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.
7
3
B. DATE FOR RECIPIENT' S CAPACITY
VOUCHER PERIODS IN LOCCS BUILDING
AMOUNT
70 days after the effective 30% of Capacity
date of instrument Building Amount
120 Days after the effective 300 of Capacity
date of instrument Building Amount
250 days after the effective 30% of Capacity
date of instrument Building Amount
Final submission on or before 10% of Capacity
the completion date of Building Amount
instrument
C. The Recipient shall follow the instructions provided by the
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 is subject to being withheld if it is the judgement
of the 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 Building
agencies should provide information 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.
E. SECTION 3 CERTIFICATION. The work to be performed under
this award is a project assisted under the FHAP that
provides Federal financial assistance from the Department of
Housing and Urban Development . As such, it is subject to
the requirements of Section 3 of the Housing and Urban
Development Act of 1968, Employment Opportunities for Lower
Income Persons in Connection with Assisted Projects .
Section 3 requires that, to the greatest extent feasible,
opportunities for training and employment be given to lower
income residents of the area of the Section 3 covered
project, and contracts for work in connection with the
8 '
4
project be awarded to business concerns which are located
in, or owned in substantial part, by persons residing in the
area of the Section 3 covered project . (See Appendix C for
further explanation of Section 3 requirements . )
F. The Criteria for Processing are hereby incorporated as
Attachment A, FY197, to the Schedule of Articles .
H. The Administrative Requirements for Grants and Cooperative
Agreements (Part 85) are hereby incorporated as Attachment F
to the Schedule of Articles .
I . The Government shall remit all payments to the following
address on the depository form:
SEE INFORMATION IN ATTACHMENT E IF THE CAPACITY
BUILDING AGENCY HAS PROPER COMPUTER EQUIPMENT
6 . USE OF COOPERATIVE 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) .
7 . MAINTENANCE OF EFFORT
The agency must not unilaterally reduce the level of financial
resources currently committed 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 . BUD' S 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 .
B. Anticipated substantial involvement shall include, but not
be limited to the following:
9
5
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;
S . Participation in presentation of education and outreach
programs; and
6 . Provision of appropriate directives and guidance on
case processing.
9 . ASSURANCES
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 or 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) ;
10
6
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 al 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 D 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 .
• 11
7
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. Acknowledgement 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 acknowledgement 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 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
8
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 DOWN 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 with 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 .
13
9
CAPACITY BUILDING AGREEMEMT
APPENDIX A - FY197
STATEMENT OF WORK
A. GENERAL REQUIREMENTS
1 . 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.
2 . The Recipient agrees to implement appropriate
directives provided to it by the Department .
3 . The Recipient agrees to follow HUD' s Technical Guidance
in processing all dual-filed complaints vouchered for
under this Cooperative Agreement until the Department
rescinds the requirement in writing to the Recipient .
4 . The Recipient agrees to furnish all staffing
information as required by Article 1 of this
Cooperative Agreement .
5 . 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 .
B. CAPACITY BUILDING
The Recipient agrees to develop a complaint processing
capability sufficient to enable the Recipient to process all
housing discrimination 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 .
14
10
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.
C. REPORTING REQUIREMENTS
The Recipient agrees to provide the Field Office 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 training conference .
The Recipient also agrees to design and implement education and
outreach activities during its Capacity Building period.
15
11
CAPACITY BUILDING PRODUCTS
PRODUCT DELIVERABLES DATE DUE
1 .
2 .
3 .
4 .
5 .
(CONTINUE TO LIST ALL SIGNIFICANT WORK PRODUCTS IN THE APPLICATION
AND A DUE DATE FOR COMPLETION AS SET FORTH IN THE TIMETABLE) .
Approved Government Technical Monitor
Approved Government Technical Representative
16
ATTACF 24= A
FY' 97
Criteria for Processing
To determine whether Fair Housing Assistance Program (FHAP)
participants have acceptably processed dual-filed discriminatory
housing complaints, the criteria set forth in this document are
to be followed. The Government Technical Representative (GTR)
has the responsibility for the technical direction and evaluation
of the agency' s complaint processing performance.
The GTR must ensure that one payment is approved for
complaints which involve the same transaction or a common nucleus
of operative facts . That is, complaints involving 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 one payment . Commission or
Agency initiated complaints are to be counted for payment .
FHAP participants must commence proceedings with respect to
the complaint before the end of the thirtieth day after the
receipt of the complaint . If it is determined that the agency
has not commenced proceedings with respect to the complaint
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 timeframe, 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
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
17
the Statement of Work. Failure to comply with any provision of
the cooperative agreement, Statement of Work or other appendices
and attachments may result in reduction of funding,
nonpayment for work, or a portion of work or termination of the
agreement .
An agency' s request for payment may also be denied when the
case file shows referral for enforcement proceedings
(administrative or judicial) , but does not include 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 aforementioned 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.
18
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 agency
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 timeframe 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 prescribed by the relevant 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 . In addition, a "filed" complaint must be
signed; however, a complaint may be signed at any
time during the investigation. Therefore, filing
a complaint should not be delayed beyond 30 days
after receipt of the complaint . In evaluating
19
2
whether this element is sufficient to file a
complaint, intake staff should consider whether
the information as provided:
(a) informs the certified substantially equivalent
agency about the allegations that must be
investigated and defended; or
(b) contains language that could potentially
detract from or confuse the issues that need to be
addressed.
(c) 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 information is received, no
assistance can be provided.
(d) If the required information is not received no
further action is necessary.
S . 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 for payment under the FE".
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
20
3
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.
4 . The agency is required to dual-file a housing
discrimination complaint within 5 days of its
receipt .
C. 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.
D. Notification to Respondents
1 . The State or local agency will serve a notice on
each respondent . A person who is not 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.
21
4
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.
E. The Investigation Process
1 . Upon the filing of a complaint, the State or local
agency shall initiate an investigation to obtain
information concerning 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 . In 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 Investigative 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;
22
5
(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;
(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 .
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 Work 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 5011 of
the per case reimbursement previously paid to 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
23
6
investigation; (2) the unit sought was actually
available and on the market at the time of the alleged
occurrence; and (3) race, - color, religion, sex,
handicap, familial status, or national origin was 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 Required: The case file must be
submitted 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.
24
7
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) ) .
III. CONCILIATION
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;
(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;
* These standards for conciliation remain in effect even if
conciliation takes place after the agency' s reasonable cause
determination.
25
S
(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 embarassing 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 of 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 .
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) ) .
26
9
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 .g. 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 . Requirements for Acceptance. Attempted
conciliation efforts were unsuccessful and the
State or local agency made a reasonable cause
determination.
2 . Documentation Required. All conciliation efforts
should be well documented in the FIR.
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
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
27
10
(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 5001 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
resolution is based only on the complainant' s request
for withdrawal of a complaint because a resolution
has been agreed upon by the complainant and respondent .
1 . Recxuirements for Acceptance . The withdrawal
request must:
(a) be in writing;
(b) be signed by the complainant, or authorized
representative, and dated;
(c) identify the respondent to whom the
withdrawal applies;
(d) contain the HUD case number and the State or
local agency case number;
28
11
(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 200 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
111 .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;
(e) Indicate the reason (s) why complainant wishes
to withdraw the charge (see also VI . 3 of this
criteria) ;
29
12
(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
not coercion or fear of retaliation from any
person (not just the respondent) .
2 . Documentation Required (To be mailed to HUD at
time of reporting the closure to HUD) :
(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.
B. Unable to Locate Complainant
1 . Recxuirements for Acceptance
The basic requirement is to establish that the
agency was unable to locate the complaint . 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
persons or relatives identified by the
complainant during intake, contact with the
complainant' s place of employment; etc . ) ;
30
13
(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 nonbusiness
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 timeframe, the
agency shall not receive credit under the FHAP for
the closure of the case.
2 . Documentation Required (To be mailed to HUD at
time of 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.
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
31
14
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 administratively 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 Office
(i .e. , marked addressee unknown; moved; left
no forwarding address, etc . ) , the complaint
should then be closed for failure to
cooperate. A complaint may not be closed for
failure to cooperate based solely 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 to obtain the
complainant' s cooperation.
(b) evidence that at least two telephone calls
were attempted, one during normal business
hours and one during non-business hours .
32
15
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;
(b) a written explanation for closing the
complaint for lack of jurisdiction; and
33
16
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 :
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 feel discouraged or disrespected,
afraid to say what they really feel, or to feel compromised in
any way.
34
Instructions for LOCCs Voice Response System Access
This information will provide you with instructions on how
to access and use the Line of Credit Control (LOCCs) , Voice
Response System (VRS) , to request payment drawdowns . The VRS was
established to enable grant/cooperative agreement recipients to
requisition program funds, make payment request using touch-tone
telephone, and allow direct payments to the recipient' s bank or
bank account based on the funding and banking information in
LOCCs .
Initial preparation for Access to the VRS
Access to the LOCCs/VRS requires the issuance of an
identification number (ID) and a password. Both are issued
by HUD' s Office of Information Policies and Systems (IPS) ,
Office of Administration.
A financial institution or an existing account must be
identified. Once the financial institution has been
identified, a Direct Deposit Sign-Up Form (SF-1199A) must be
completed. This form identifies the name of the recipient' s
financial institution and the American Banking Association
(ABA) Transit Routing Number the Treasury Department will
use to wire transfer funds to the designated account .
When filling out the SF-1199A, you must identify your
Taxpayer Identification Number (TIN) and cooperative
agreement number. (Attachment #1 is a sample form along
with instructions) .
Each Agency should designate at least two (2) persons within
their organization as authorized persons to request drawdown
of funds . (Only those persons will be permitted to conduct
business transactions . )
A LOCCs Voice Response Assess Authorization Form (HUD
Form-27054) must be completed (a separate form should be
filled out and submitted by each authorized user) and
returned to HUD for issuance of an ID number and password.
The names of the two persons authorized to drawdown funds
should appear on the Form. (Attachment #II is a sample form
along with preparation and mailing instructions . )
The return envelope should be clearly marked "Security Form"
in the lower left-hand corner.
35
2
Access to the VRS
. The caller can reach the VRS by dialing (703) 391-1400, then
pressing selection #2 for LOCCs and provide his/her user ID and
password number.
. Once access has been granted, the caller will be asked to
provide:
(1) name of program area (FAIR) ; and
(2) cooperative agreement number.
The caller will then be asked to verify information recorded.
When entering voucher amounts, remember to follow amount with
the "#" . The decimal position is indicated by pressing "*" ; for
example, $100 . 14 is entered as $100*14 . If possible, drawdown
amounts should be in whole dollars (no cents) . (See instructions
on Attachment #3 . )
. If the caller makes a mistake, he/she will have three
opportunities to correct an error. If no errors are encountered,
the caller will be told how to proceed and what functions to
select .
If a caller experiences ID problems, please contact the HUD
Security Officer at (202) 708-0764, to resolve difficulties
encountered in accessing the VRS please call HUD at (202) 708-
3226 . )
. Drawdown submissions should be entered during the hours of
8 : 00 a.m. to 6 : 00 p.m. (est) Monday through Friday.
NOTE: Forms (SF-1199a) and (HUD-27054) will be provided to you
upon request. Please contact your GTR. Also, please
provide your GTR with a copy of the above-mentioned
forms when completed and submitted to the specified
address.
36
Instructions for LOCOS Access
The information provides you with the required steps that
must be taken by designated Program/Field Office staff to access
the Line of Credit Control System (LOCOS) . Staff will need both
Query and Field Office Administration capabilities in LOCCS . The
required actions are:
1. A Form HUD-27054-A, LOCCS Access Authorization Security
Form must be completed and signed. The form must also
be signed by the appropriate Authorizing Official . The
Authorizing Official must also complete a Form HUD-
27054-A. After completion and signature, the form
should be sent to the Regional Personnel Office, who
will certify completion.
2 . A Departmental ADP Policy Statement must be reviewed
and signed by the designated Field Office staff .
3 . An SF-85P (Questionnaire for Public Trust Positions -
original and 2 copies) must be completed and signed.
The form should then be sent to the Regional Personnel
Office, who will certify completion of the form.
4 . Forms SF-171 (Application for Employment - Original and
one copy) , and SF-87 (Fingerprint Form - two copies)
must also be completed and signed. These forms should
be sent to the Regional Personnel Office, who will
certify for completion.
S . Once completed and certified, the Form HUD-27054A
along with the Departmental ADP Policy Statement
should be mailed to the following address :
HUD Headquarters, Office of Information
Policies and Systems, OFA Support
Branch, (AISAO)
ATTN: LOCOS Security Officer - Room 3184
Washington, DC 20410
NOTE: For more detailed information and instructions
on accessing the LOCCS, please refer to Section 8,
LOCCS SECURITY AND ACCESS AUTHORIZATION PROCEDURES,
of the LOCCS User Guide. Staff may also contact
the LOCCS Security Officer at Headquarters on
(202) 708-0764 .
37
INSTRUCTIONS FOR PREPARATION AND SUBMISSION OF
DIRECT DEPOSIT SIGN-UP FORM (SF-1199A)
SECTION 1
BLOCK A: Enter the name, address and telephone number of the
payee (agency person designated, i .e . , Executive
Director, Financial Officer, etc . )
BLOCK B : Enter Cooperative Agreement number.
BLOCK C: Enter the Taxpayer Identification Number (TIN) for the
agency in Block A. The TIN is the payee' s Employer
Identification Number. This is a nine digit number
separated by a hyphen after the first two digits;
e .g. , 00-0000000 .
PAYEE/JOINT PAY CERTIFICATION: Signature of an official of the
organization who has authority to direct HUD to send
funds to the designated payee as shown in Block A.
BLOCK D: Insert and "X" for either checking or saving.
BLOCK E: Insert the financial institution account number of the
payee shown in Block A. The account number should
appear exactly as it does int he financial
institution' s records .
BLOCK F: Insert an "X" in the block for "Other" and place the
LOCCs code "FAIR" on the blank line .
JOINT ACCOUNT HOLDERS' CERTIFICATION: Leave blank.
**SPECIAL NOTE**
Attach a voided check or deposit slip to the form.
SECTION 2
GOVERNMENT AGENCY NAME: U.S Department of HUD
GOVERNMENT AGENCY ADDRESS : P.O. Box 44816
Washington, D. C. 20026-4816
SECTION 3 Take the SF 1199A to your financial institution
for completion. DO NOT HAVE THE FINANCIAL
INSTITUTION MAIL THE FORM.
SUBMISSION OF FORM: Mail to: Department of Housing and Urban
Development
P. 0. Box 44816
Washington, D. C. 20026-4816
NOTE: Please write your Federal Tax Identification Number on
your Director Deposit Forms .
38
8022.1
Appendix 12c
ATTACHMENT C
OM8 STANDARD ASSURANCES - SF 4248
Drug Free Certification
12c-1 6/90
8022.1 39
Appendix 124 ATTACH»f(T C
Ow Awevad to e3Y♦eao
ASSURANCES —NON-CONSTRUCTION PROOFtAMS
Dote: Cortain of there assurances enay not k applicable ta your peojtst or program U you hive qut:tions.
Please contact the awarding agency Further.eeruin Fedtra(awarding agtneits may rewire applicanu
to certify to additional assurances Usuch is the east,you will be sotitied
As the duly authorised reprew itative of the applicant I etrtif) that the applicant:
I. Has the legal authority to apply for Federal (t)the Drug Abust Ofraas and Treatment Act of
s►ssistanct, and the Institutional, managerial and 1972 (P.L. 92.253). as amended, relating to
financial capability (including funds sullicitnt two %ondi6crim1nation on Ow basis of drug abuse, to
pay the non-Federal share of project costs) to the Comprehensive Alcohol Abuse and Alcoholism
ensure proper planning, management and eom- Prevention.Treatment and Rehabilitation Act of
pletion of the project described in this application. 1970 (P.L. 91.916), as amended, relating to
2 Will Sire the awarding agency, the Comptroller tnondiscriminstion an the basis of ekoh,51 abuse or
General of the United States, and If appropriate, ct 90 alcoholism;(g)If 523 and$27 of the Pub.,c Health
the Statt,through any authorised representative, Stmct A of 1912(42 US C.2 d4-3 and 290 et•
access to and the right to examine all records, 3), as amended. relating to confidentiality of
boots,papers,or documents related to the award. skohol and drug abuse patient recordt. (h) Title
and wili tsublish's proper accounting system in Vill of the Civil Rights Act of 1%11142 U.S C 1
accordance with generally accepted accounting 3601 It seq ). as amended, relating to non.
standards or agency directives. discrimination in the sale. rental or Prancing of
housing; (1) any other nondiscrimination
3. Will esublish safeguards to prohibit tmployets provisions in the speclAc statuts(s) under which
from using their positions for a purpose that application for Federal assistance is bt:ng made.
constitutes or presents the appearance of personal and (J) the requirt ments of any other
or organisational conflict of interest. or personal a ondiscrimination statutt(s) which mad• apply to
gain. the application.
4. Will initiate and complete the Korb within the 7. Will comply, or has already complied, with the
applicable time frame alter receipt of approval of rtquiremenu of Titles II and III of the Uniform
the awarding agency. Relocation Assistance and Real Property
S. Will comply with the Intergovernmental Acquisition Policies Act of 1970 (P.L 91.646)
Personnel Act of 1970 (42 U-S C. If 4728.4763) which provide for fair and equitable treatment of
relating to prescribed standards for merit systems persons displaced or whose property is acquired as
for programs funded under one of the nineteen a result of Fedtral or federally assisted programs
statutes or regulations sp"Uatd in Appendix A of These requirements apply to all interests in real
OPS('s Standards for a Merit System of Personnel property acquired for project purposes regardless
Administration(5 C.F.R.900,Subpart F). of Federal participation Ln purchases.
S. Will comply with all Federal statutes relating to I. Will comply with the provisions of the Hatch Act
nondiscrimination. Thest Include but are not (5 US C.11 1501.1509 and 7324.7328)which limit
limited ta- (a) Tidt VI of the Civil Rights Act of the political activities of employees whose
1964 (P.L. 68.352)which prohibits d'u-rimination principal employment activities art funded in
on the basis of race.color or national origin; (b) "halt or In part with Federal funds.
Title 1X of the Education Amendments of 1972.as 9. Will comply,as applicable,with the provisions of
amended(20 US C.If 1681.1683,and 16&5.1666). the Davis-Bacon Act (40 US C. 1127 64 to 276a-
which prohibits discrimination on the basis of sex; 7). the Copeland Act (40 US C. 1 2.6c and 18
(c)Section 504 of the Rehabilitation Act of 1973,as C.S.C.11i 874).and the Contract Work Hours and
amended (29 L'S C. 1794). whicia Prohibits ells- Safety Standards Act (40 U.S.C. if 327.333).
eriminsdon on tht basis of handicaps;(d)the Age regarding tabor standards for ftders!!Y assisted
Discriminstion Act of 1975, as amended (42 construction subagretments.
V-S C 11 6101.6107). Which prohibits discrim•
ination on the basis of age;
tugs er t?rt ��ia
NNacOrO R Ott itVr •.tae
Auttsodztd for Local ReproduetSon
0/90 12c-2
8022.1
Appendix 12c
10 Will comply, If applicable. with flood Insurance 12 Will assist the awarding agency to assuring
purchase requirements of section 102(al of the compliance with Section 106 of the National
Flood Disaster Protection Act of 1973(P.l. 93.234) Historic Preservation Act of I%$,as amended (li
which requires retipitnts to a special flood hasard V S C. 410). EO 11693 (identification and
ores to participate in the Program andto purchase protection of historic propertied, and the
flood insurance if the total cost of Insurable Archaeolocicsl and Historic Preservation Act of
construction andacquisition is i10.000or a►ore. 3974(16 t:S C.4696.1 etatq.).
I1. Will comply with environa+tntal standards which 14. Will comply with T.L. 93.349 regarding the
ttsay be prescribed pursuant to the following (a) protection of human aubjtets Involved in research.
Institution of environmental duality control developtntnt. an/ related activities supponed by
'Measures under the National Environmental this award orsssisuacs.
Policy Act of 1969 (P.L. 91.190) and Estcutive I5. Will comply with tht Laboratory Animal Wilfart
Order MO) 11514, (b) notification of violating Ali of 1966 (P.L. 91-644, as arntnded, 7 V S.C.
facilities pursuant to EO 11731, (c) protection of 2131 et seq) peruini to the an,handling,and
wetlands pursuant to EO 11990.(d1 evaluation of treatment of warm blooded animals held for
flood hazards in floodplairts in accordanct with EO
11998. (t1 assurance of project consistency with ceseawarttachsng.er other activities supported b�
the approved State Management program
t)sisawsrdofassisLnn
developed under the Coastal Zone 14ftagement 16. Will comply with the Lead-Based Paint Poisoning
Act of 19 12 (16 t: S C. 11 1651 at sell ); (f) Prevention Act (42 L'S C. 11 4501 at stq i which
conformity of Federal actions to State (Clear Au) prohibits the use of lead based paint in
implementation Plans under Section 176(c) of the construction or rehabilitation of residence
Clear Air Act of 1955, as amended (42 t:.S.C. 1 structures.
7401 it seq 1.(8)protection of underground sources 17 Will cause to be performed the required rwncial
of drinking water under the Safe Drinking Water
Act of 1974, as amended. (P.L. 93.523). and (h) and compliance audits In accordance with the
protection or endangered species under the
Single Audit Actef2954.
Endangered Species Act of 1973,as amended,(P.L. 11. Will comply with all applicable rtquirettmcnu of all
93.205). other Federal laws, tzecutive orders, rcrulstions
12. Will comp!) with the Wild and Scenic Rivers Act and policies governing this program.
of 1965 (I6 U.S C. 11 1271 et stq ) related to
protecting components or potential components of
the national wild and scenic rivers system.
:'GwTUttt W ALMJ404Jt0CtK11FT VG OjrKAL trail
Chairman
l� Orange County Board of Commissioners
&"LKAlfT O4LANAZAlION DAtt WS
Orange County Human Relations Commission 9/25/97
12c-3 6/90 Of 4241 wac a."'
8022.1
Appendix 12c 41
ATTACHMENT C
CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS
I. Instructions for Certification
a. By submitting this application, the applicant it providing the
certification set out below.
b. The certification set out beta is a material representation of fact
upon which reliance will be placed if HUD determines to award a
grant to the applicant. If it is later determined that the
applicant knowingly rendered a false certification, or otherwise
violates the requirements of the Drug-Free Workplace Act, HUD, in
addition to any other remedies available to the Federal Government,
say take action authorised under the Drug-Free Workplace Act.
2. Certification Regarding Drug-Free Workplace Requirements
a. The applicant certifies that it will provide a drug-free workplace
by:
1. Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensation, possession or use of a
controlled substance is prohibited in the grantee's workplace
and specifying the actions that will be taken against employees
for violation of such prohibition;
2. Establishing a drug-free awareness prograe to inform employees
about:
i. the dangers of drug abuse in the workplace;
ii. the applicant's policy of caintaining a drug-free
workplace;
iii. any available drug counseling, rehabilitation, and
employee assistance programs; and
iv. the penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
3. Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement
required by paragraph 1;
6/90 12c-4
• 42
8022.1
Appendix 12c
-2-
4. Notifying the employee in the statement required by paragraph 1
that. as a condition of employment under the grant, the
employee will:
i. abide by the terms of the statement; and
ii. notify the employer of any criminal drug statute convic-
tion for a violation occurring in the workplace no later
than five days after such conviction;
S. Notifying HUD within ten days after receiving notice under
subparagraph 4 iii) from any employee or otherwise receiving
actual notice of such conviction;
6. Taking one of the following actions, within 30 days of
receiving notice under subparagraph 4 (ii), with respect to any
employee who is so convicted:
i. taking appropriate personnel action against such an
employee, up to and including termination; or
ii. requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved
for such purposes by a Federal, State or local health. law
enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free
workplace through implementation of paragraphs 1, 2, 3, 4. 5
and 6.
b. The applicant shall insert in the space provided below the site(s)
for the performance of work done in connection with the specific
grant:
Place of Performance (Street address, city, county, state, zip code)
<
<
12c-5 6/90
• 8022.1
• 43
Appendix 12c
RESTRICTIONS ON LOBBYING - CERTIFICATION
By submitting this application, the applicant certifies, to
the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or
employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress
in connection with the awarding of any Federal contract, the
caking of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, cooperative agreement, or
loan.
(2) If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of
Congress, or'an employee of a Member of Congress in
connection with this Federal contract, grant, cooperative
agreement, or loan, the undersigned shall complete and
submit Standard Form-LLL, •Disclosure Form to Report
Lobbying,* in accordance with its instructions. 1%
(3) The undersigned shall require that the language of this
certification be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative
agreements) and that all subrecipients shall certify and
disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a
prerequisite for making or entering into this transaction
imposed by section 1352, title 31, D.S.C. Any person who
fails to file the required certification shall be subject to
a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
6/90 12c-6
44
Wednesday
August 7, 1996
+,
r► �r
.r
r.
Part VII
Department of
Housing and Urban
Development
24 CFR Parts 111 and 115
Regulatory Reinvention; Certification and
Funding of State and Local Fair Housing
Enforcement Agencies; Final Rule
i
41282 Federal:Register'/ Vol. 61,•No. 1531-Wednesday, August'7,'•1996•/ Rules-and.Regiulations 45
DEPARTMENT OFMOUSING AND •Act;HUD shall refer the complaint to 'rule.First,this final rule cLuifies that an
URBAN DEVELOPMENT > that State or local agency.HUD has enforcement agency may not receive
implemented section 810(f)at 24-CFR Special Enforcement Effort(SEE)funds
24 CFR Parts 111 and 115 part 115;whichestablishes the driteria- if it 3s currently on a Performance
the Secretary will utilize to certify State Improvement Plan(PIP),or if it has been
(Docket No.FR -F-O2j _.and local fair housing enforcement suspended during the.fiscal year in
- FUN 2529-AA60 agencies. _ - which SEE funds are sought.This rule
Section,817 of the Act provides that also•clarifies that HUD may Partially
Office of the Assistant Secretary for the Secretary may reimburse State and';' -leimburse zeinstated agencies for cases
Fair Housing and Equal.Opportunity; local fair housing enforcement agencies.-. ,processed during the suspension period.
Regulatory Reinvention;Certification -which assist the Secretary in enforcing Further,the final rule makes two
and Funding of State and Local Fair the Act:HUD has implemented section_';'.'amendments which will benefit
.Housing Enforcement Agencies 817 at 24 CFR part 111,which sets forth*.. enforcement agencies by.providing HUD
the requirements for participation in the, greater flexibility.Section IV.of
AGENCY:Office of the.Assistant Fair Housing Assistance Program- the preamble details these changes to
Secretary for Fair Housing and Equal (FHAP),Through the FHAP.HUD the Feb 28,1996 interim rule.
OPPo�mty.HUD• provides assistance to certified State' Additionally,this rule removes the
ACTION:Final rule. - and local fair housing enforcement = - unnecessarily codified preamble to the
SUMMARY•On February 28,1996(61 FR agencies..This assistance is designed to January 23,1989 final rule(54 FR 3232)
�' provide support for complaint implementing the Fair Housing
7674),'HUD published for public processing. g;technical Amendments Act of 1988(42 U.S.C.
comment an interim rule streamlining assistance,data and information �• 3601 et seq.).This preamble is codified
its regulations governing the systems,and other fair housing projects. is title 24 as a endix I to subchapter
certification and funding of State and .. On February 28,1996(61 FR 7674),`. A of chapter I.The preamble,although
local fair housing enforcement agencies. HUD published for public comment an it provides helpful information to
Previously,the requirements for - interim rule streamlining its regulations readers,is readily available through
substantially equivalent certification governing the certification and funding other means and does not merit
and participation in the Fair Housing of State and local fair housing inclusion in the CFR.The removal of
Assistance Program had been set forth enforcement agencies.Specifically,the " this codified preamble will assist in
in different parts of title 24.The rule consolidated parts 111 and 115. HUD's efforts to streamline the contents
February 28,1996 interim rule This consolidation permitted HUD to of title 24.
consolidated these regulations,thus provide all necessary requirements for
providing all necessary requirements in- "substantially equivalent"certification III.Discussion of the Public Comments
a single part and eliminating _ and FHAP participation in a single part. on the February 28,1996 Interim Rule
redundancy from title 24.This rule The February 28,1996 interim rule A. The Suspension and Withdrawal of
finalizes the policies and procedures set described in detail the amendments Certification Provisions Should be
forth in the February 28,1996 interim made to 24 CFR parts 111 and 115. Revised
rule and takes into consideration the
public comments received an the II.This Final Rule Comment.Section 115.211 provided
interim rule.Further,this rule removes This rule finalizes the policies and that HUD would suspend an
from title 24 the unnecessarily codified procedures set forth in the February 28, enforcement agency's certification if
preamble to the final rule implementing 1996 interim rule and takes into HUD had reason to believe that:(1)A
the Fair Housing Amendments Act of consideration the public comments change in law,regulation.or procedure
1988. submitted on the interim rule.The had limited the effectiveness of the
EFFECTIVE DATE:September 6,1996. public comment period on the interim agency to enforce its fair housing late or
"FOR FURTHER INFORMATION CONTACT: rule expired on April 29,1996.Two ordinance;or(2)the enforcement
Marcella Brown,Director,Fair Housing comments were received. agency's performance did not comply
Assistance Program Division,Office of This final rule makes three changes to with 24 CFR part 113.If HUD's
Fair Housing and Equal Opportunity, the interim rule in response to public subsequent review demonstrated that
Room 5216,Department of Housing and comment.First,the final rule the agency no longer complied with the
Urban Development,451 Seventh Street, establishes a 180-day limit on requirements of part 115,HUD would
SW,Washington,DC 20410,telephone suspensions based on changes in the withdraw the agency's certification.
(202) 708-0455.(This is not a toll-free law..Further,this final rule references Secticn 115.212 set forth the procedures
number.)Hearing-or speech-impaired the non-regulatory procedures which governing withdrawal of certification.
individuals may access this number via
require that HUD.provide an agency One of the commenters was strongiv
TTY by calling the toll-free Federal with notice and an opportunity to opposed to§§115.211 and 115.212.The
Information Relay Service at decal respond before suspension.The rule commenter believed the conditions
Inform 39. also clarifies the definition of"covered triggering suspension were vague and
multifamily dwellings"set forth in the might lead to arbitrary suspensions.
SUPPLEMENTARY INFORMATION: February 28,1996 interim rule.Section Further,the commenter suggested that
I.The February 28,1996 Interim Rule M.of this preamble presents a summary §115.211 be revised to require that HUD
of the significant issues raised by the provide an agency with notice and an
The Fair Housing Act(42 U.S.C. public commenters on the February 28, opportunity to respond before
3601-3619) (the Act)provides that 1996 interim rule,and HUD's responses suspension.This commenter also
whenever a complaint.alleges a to these comments. recommended that HLID establish a time
discriminatory housing practice,arising In addition to the revisions made in limit on suspensions based on changes
in the jurisdiction of a State or local response to public comment.HUD in the law.The commenter noted that
agency which has been certified by the determined it was necessary to make the interim rule imposed a 180-day limit
Secretary under section 810(f)of the several other changes to the interim on suspensions based on the agency s
46
Federal Register./ Vaal. '61,.No. •153 / Wednesday;-August 7, 1996 / Rules and Regulations 41283
performance.This commenter believed meanings of"covered multifamily ineligible for SEE funding.However,in
that HUD's administrative burden: - . dwellings.",However,the word"and" order to prevent any possible confusion,
would increase due to its inability to could easily be misinterpreted to be the this final rule amends§115.305 to
refer complaints during the suspension conjunctive for the phrase"If such clarify that an enforcement agency may
period. buildings."The commenter suggested. not receive SEE funds if it is currently
The commenter also questioned the. ` that HUD.clarify.the wording of this on a Performance Improvement Plan
adequacy of the reimbursement` ; definition. (PIP),or if its interim certification or .
provisions at§115.211.These''''=` =HUD Response.HUD.agrees with_the .: certification has been suspended during
provisions allowed HUD to reimburse commenter.Section 804(f)(7)of the- :
the fiscal year is which SEE funds are ..
formerly suspended agencies for cases' provides a clear.deEnition of the term being sought.HUD wishes to note that
processed during the suspension period. 'covered multifamily dwellings.". I. agencies ineligible for SEE funding may
The commenter wrote that agencies Paragraph 1a)(5)of§115.202 required still,if otherwise eligible,apply for
should also be reimbuised for lost - that the agency's fair housing law or Complaint Processing funds,and
special grant funding and the costs of.... ordinance'.'(p)rovide the same ;. Administrative Cost funds.
halted investigations. = . protections as those afforded by section B Partial Reimbursement of Reinstated
HUD Response.HUD disagrees with. 804' ' ' of the Act."This reference to
several of the assertions made b the A envies
. y section 804 encompassed-the statutory g
commenter.For example;the interim definition of"covered multifamily As discussed in section-lII.A.of this
rule was sufficiently clear regarding the • dwellings."It is,therefore,unnecessary preamble,the February 28,1996 interim
conditions which might lead to an for the final rule to set forth a separate rule provided that HUD would
agency's suspension:Further,the definition.Accordingly,this final rule reimburse an agency for cases processed
suspension provisions will not .. simply removes 24 CFR during the agency's suspension period.
necessarily increase HUD's' - 115.202(a)(5)(ii). HUD may unable to fully reimburse
administrative burden.HUD also notes This final rule also removes reinstated agencies for these costs.
that agencies presently have a right to_ §115.202(a)(5)(iii).The language of this Accordingly,this final rule clarifies that
notice and an opportunity to respond provision was also already encompassed HUD will provide full or partial
prior to suspension.These rights are in section 804 of the Act.Specifically, reimbursement for cases processed
outlined in non-regulatory HUD the provision repeated the language of during the period of suspension.
guidance,which is currently being section 804(f)(4),which concerns the
revised and updated.However,HUD American National Standard for C.Increased HUD Flexibility
agrees that this guidance should be facilities providing accessibility to This final rule also makes two
referenced in 24 CFR part 115 and has persons with disabilities. amendments,designed to benefit
revised the interim rule accordingly. enforcement agencies,by providing
HUD has adopted another of the IV.Additional Changes to the February HUD with greater flexibility.The
commenter's suggestions by limiting 28,1996 Interim Rule . February 28,1996 interim rule
suspensions based on changes in the A.Limitation on SEE Fund Eligibility mandated that HUD suspend an agency
law to 180 days. , if the conditions set forth in§§115.208
The commenter's recommendations Section 115.,65 set forth the in
solelv concerned the suspension and eligibility requirements for Special certain2circumstances,wi h toD p
withdrawal of certification procedures Enforcement Efforts(SEE)funds.SEE postpone
P funds are awarded to enforcement the suspension of such an agency.The
at§§115.211 and 115.212.However: interim rule denied this ability to HUD.
HUD has also revised§115.208,which agencies with proven experience and
governs interim certification,to capability in administering their fair This final rule provides HUD with the
g housing laws and ordinances. required flexibility by revising
reference the non-regulatory guidance
and to establish the 180-day limit.HUD Accordingly,paragraphs(a)(1)through H 115.208 and spend 115.211 to state that
believes the issues raised by the (a)(6)of§115.305 established fairly HUD"may"suspend an agency if the
commenter are equally applicable to strict eligibility criteria.For example,24 suspension conditions are ted th ed.
q Y PP The interim rule prohibited the
agencies with interim certification. CPR 115.305(a)(3)required that:
g - reimbursement of an agency who ryas
Further,these revisions are necessary to (31 At least ten percent of the agency's fair suspended due to its performance until
create uniformity in the procedures for housing caseload resulted in written HUD determined that the agency
interim certification and certification. conciliation agreements providing monetary
relief for the complainant as well as remedial complied with the performance
B.Definition of"Covered Multifamily action,monitoring,reporting and public standards in§115.203.However,in
Dwellings"Was Confusing interest relief provisions(.) certain cases speedier reimbursement of
Comment.Paragraph(a)(5)(i)of Another example was provided by the such agencies may be justified.This
§115.201 provided that"the term criterion set forth.in paragraph(a)(5)of final rule permits HUD to reimburse
'covered multifamily dwellings'means §115.305: agencies prior to a determination that
buildings consisting of four or more (5)The agency's the requirements of§115.203 are
g c}r's ad:aiaistratina of its fair satisfied.
units if such buildings have one or more housing law or ordinance received
elevators and ground floor units in other meritorious mention for its complaint V.Other Matters
buildings consisting of four or more processing or other fair housing activities
units."One of the commenters that were innovative(.) Environmental Impact
complained about the awkward As the above examples illustrate, This rulemaking does not have an
phrasing of this provision.As this HUD intends to limit SEE fundin;to environmental impact.This rulemaking
commenter noted,the correct those agencies which meet a high simply amends an existing regulation by
interpretation of the word"and"is threshold of eligibility.Accordingly, consolidating and streamlining
unclear.The commenter correctly agencies which are experiencing provisions and does not alter the
assumed that"and"was intended to be difficulties in administering their fair environmental effect of the regulations
the conjunctive for the two independent housing laws and ordinances are being amended.Findings of No
47
41284 Federal Register /-vol. 61, No. 153 /.Wednesday, August 7, 1996 / Rules and Regulations .
Significant Impact with respect to the requirements bf 24 CFR parts 111'and' Authority:42 U S.C.3601-19:42 U.S.C.'
environment were made in accordance 115;which govern the certification and 3535(d) _
with HUD regulations in 24 CFR part 50 :funding of State and local fair housing Subpart A—General
that implement section 102(2)(C)of the enforcement agencies.This
National Environmental Policy Act of consolidation will assist enforcement `' _§11&10C) Definitions.
1969(42 U.S.C.4332)at the time of agencies,by.providing all the necessary '(aj The terms"Fair Housing Act"and
development of regulations requirements for certification and FHAP "HU17'as used in this part,are defined
implementing Sections 810(f)and 817 of :partici'pation'n in a single pid This final in 24 CFR 5.100.
the Act.Those Findings remain rule does not affect or establish' (b)The terms"Aggrieved person
applicable to this rule,and are available substantive policy,and will not have '.Complainant',"Conciliation", ...
for public inspection between 7:30 a.m. - *any economic impact on small entities. "Conciliation agreement',
and Rules Do weekdays o the Office of List of Subjects 24 CFR Part 115 "Discrimittatory housing practice",
the Rules Docket Clerk.Room 10276x'' "Dwelling","Handicap";"Person
Department of Housing and Urban' Administrative practice and
Development,451 Seventh Street,SW, procedure,Aged,Fair housing, "Respondent',"Secretary",and
Washington,DC 20410-0500. Individuals with disabilities, State",as used in this part,are set
Intergovernmental relations,Mortgages, forth in section 802 of-the Fair Housing
Executive Order 12612,Federalism Act(42 U.S.C.3600-3620).
Reporting and recordkeeping � -
The General Counsel,as the requirements. (c)Other definitions.The following
Designated Official,under section 6(a) definitions also apply to this part:
g� Accordingly,the interim*rule
of Executive Order 12612,Federalism, published on February 28,1996 at 61 FR Act means the Fair Housing Act,as
has determined that the policies 7674,removing art 111 and revising defined in 24 CFR 5.100.
contained in this rule will not have e p g Assistant Secretary means the
substantial direct effects on States or p 115 of title 24 of the Code of Assistant Secretary for Fair Housing and
Federal regulations is confirmed as final E ual
their political subdivisions,or the with the following change: q OPp ortunit y'
relationship between the Federal part 115 is revised to read as follows: Certified Agency is an agency to
government and the States,or on the which the Assistant Secretary for Fair
distribution of power and PART 115—CERTIFICATION AND Housing and Equal Opportunity has
responsibilities among the various FUNDING OF STATE AND LOCAL FAIR granted interim certification or
levels of government.This final rule HOUSING ENFORCEMENT AGENCIES certification,in accordance with the
merely consolidates in a single part the • requirements of this part.
requirements for"substantially .Subpart A—General Cooperative Agreement is the
equivalent"certification and Sec. 1 assistance instrument HUD will use to
participation in the FHAP.It effects no 115:100 Definitions. provide funds.The Cooperative
changes in the current relationships 115.101 Program administration. Agreement will contain attachments and
between the Federal government,the . 115.102 Public notices. appendices establishing requirements
States and their political subdivisions in Subpart B---Certificatlon of Substantially relating to the operation or performance
connection with HUD programs. Equivalent Agencies of the agency.
Executive Order 12606, The Family 115.200 Purpose. Cooperative Agreement Officer(CAO)
115.201 Basis of determination. is the administrator of the funds
The General Counsel,as the 115.202 Criteria for adequacy of law. awarded pursuant to this part and is the
Designated Official under Executive 115.203 Performance standards. Director of a Fair Housing Enforcement
Order 12606,The Family,has 115.204 Consequences of certification. Center in the Office of Fair Housing and
determined that this final rule will not 115.205 Technical assistance . Equal 115.206 Request for certification. Opportunity.
have a potential significant impact on 115.207 Procedure for interim certification. Director of FHL•`O means a Director of
family formation,maintenance,and 115.208 Suspension of interim certification. a Fair Housing Enforcement Center.
general well-being and,thus,is not 115.209 )denial of interim certification. Dual-Filed Complaint means a
subject to review under the Order.This 115.210 Procedure for certification. housing discrimination complaint
final rule only affects State and local fair 115.211 Suspension of certification. s which has been filed with both the Fair
housing enforcement agencies which 115.212 Withdrawal of certification. Housing Enforcement Center and the
seek certification under section 810(f)of Subpart C—Fair Housing Assistance certified agency.
the Act and participation in the FHAP. Program(FHAP) FHAP means the Fair Housing
No significant change in existing HUD 115.300 Purpose. Assistance Program.
policies or programs will result from 115.301 Agency eligibility criteria. FHEO means the Office of Fair
promulgation of this final rule,as those 115.302 Capacity building funds. Housing and Equal Opportunity.
polities and programs relate to family 115.303 Eligible activities for capacity
concerns. building fonds. §115.101 Program administration.
Regulatory Flexibility Act 115.304 Agencies eligible for contributions (a)Authority and responsibility.The
funds. Secretary has delegated the authority
The Secretary,in accordance with the 115.305 Special enforcement effort(SEE) and responsibility for administering this
Regulatory Flexibility Act(5 U.S.C. funds. part to the Assistant Secretary.
605(b))has reviewed and approved this 115.306 Training funds. (b)Delegation of Authority.The
rule,and in so doing certifies that this 115.307 Additional requirements for Assistant Secretary delegates the
final rule will not have a significant participation in the FHAP. authority and responsibility for
115.308 Standards for FHAP program
economic impact on a substantial review. administering this part to each Director
number of small entities.This rule of a Fair Housing Enforcement Center.
115.309 Repor,ng and record'xeeping
finalizes the policies and procedures set requirements. However,with respect to the duties and
forth in the February 28,1996 interim 115.310 Subcontractin-under the FHAP. responsibilities for administering
rile.Specifically,it consolidates the 115.311 Corrective and remedial action. subpart B of this part.the Assistant
48
Federal Register / Vol. .61; No. 153 1 .Wednesday, August 7., 1996 1 Rules and Regulations 41285
Secretary reiafris the righi to make final $115.202. Criteria for adequacy of law. discourage the filing of complaints,such
decisions concerning the granting and (a)In order fora determination to be - as:
maintenance of substantial equivalency made that a State or local fair housing (i)A provision that a complaint must
certification and interim certification; agency administers a law which,on its ' " be filed within any period of time less
§115.102 Public nottees. - face,provides rights and remedies for than 180 days after an alleged
alleged discriminatoryhousing practices discriminatory housing practice has
(a)Periodically,the Assistant.'
:`. that are substantially equivalent to those occurred or terminated;
Secretary will publish the following provided in the Act,the laver or (ff)Anti-testing provisions;
public notices in the Federal Register. ordinance must: (iii)Provisions that could.subject a
(1)A list of all agencies which have (1)Provide for an administrative complainant to costs,criminal penalties
interim certification or certification;and enforcement body to receive and ' or fees in connection with filing of
(2)A-list of agencies to which a notice ' process complaints and provide that: com Vim•'
of denial of interim certification has - (f)Complaints must be in writing; (4rNot contain exemptions that
been issued or for which withdrawal of (ii)Upon the filing of a complaint the substantially reduce the coverage of
certification is being proposed. agency shall serve notice upon the housing accommodations as compared
(b)The Assistant Secretary will complainant acknowledging the filing to section 803 of the Act.
publish in the Federal Register a notice and advising the complainant of the (5)Provide the same protections as
soliciting public comment before . time limits and choice of fors those afforded by sections 804,805,806,
granting certification to a State or local provided under the law; and 818 of the Act,consistent with
agency.The notice will invite the public (iii)Upon the filing of a complaint the HUD's implementing regulations found
to comment on the relevant State and agency shall promptly-serve notice on at 24 CFR part 100.
local laws,as well as on the the respondent or person charged with (b)In addition to the factors described
performance of the agency in enforcing the commission of a discriminatory is paragraph(a)of this section;the
its law.All comments will be . . housing practice advising of his or her provisions of the State or local law must
considered before a final decision on procedural rights and obligations under afford administrative and judicial
certification is made. the law or ordinance together with a protection and enforcement of the rights
copy of the complaint; embodied in the law.
Subpart B--Certification of (iv)A respondent may file an answer (1)The agency must have authority to:
Substantially Equivalent Agencies to a complaint. (f)Grant or seek prompt judicial
(2)Delegate to the administrative action for appropriate temporary or
§
115.200 Purpose. $
enforcement body comprehensive preliminary relief pending final
This subpart implements section authority,including subpoena power,to disposition of a complaint if such action
810(f)of the Fair Housing Act.The investigate the allegations of is necessary to carry out the purposes of
purpose of this subpart is to set'forth: the law or ordinance;
complaints,and power to conciliate
(a)The basis for agency interim (ii)Issue and seek enforceable
certification and certification; complaints,and require that: subpoenas;
(b)The procedure by which a (i)The agency commence proceedings (iii)Grant actual damages in an
with respect to the complaint before the administrative proceeding or provide
Assidetermination ant Secretary; is made by the end of the 30th day after receipt of the adjudication in court at agency expense
ary; complaint; to allow the award of actual damages to
(c)The basis and procedures for (ii)The agency investigate the an aggrieved person;
denial of interim certification; allegations of the complaint and gSn p
(d)The basis and procedures for uit Grant injunctive a other
withdrawal of certification; complete the investigation within the equitable relief,or be specifically
time-frame established by section authorized to seek such relief in a court
(e)The consequences of certification; 810(a)(1)(B)(iv)of the Act or comply of competent jurisdiction;
(f)The basis and procedures for with the notification requirements of (v)Provide an administrative
suspension of interim certification or section 810(a)(1)(C)of the Act; proceeding in which a civil penalty may
certification;and (iii)The agency make final. be assessed or provide an adjudication
(g)The funding criteria for interim administrative disposition of a in court at agency expense,allowing the
certified and certified agencies. complaint within one year of the date of assessment of punitive damages against
§115.201 Basis of determination. receipt of a complaint,unless it is - the respondent.
impracticable to do so.If the agency is (2)Agency actions must be subject to
A determination to certify an agency unable to do so it shall notify the judicial review upon application by any
as substantially equivalent involves a parties,in writing,of the reasons for not ply aggrieved by a final agency order.
two-phase procedure.The doing so; (3)Judicial review of a final agency
determination requires examination and (iv)Any conciliation agreement order must be in a court with authority
an affirmative conclusion by the arising out of conciliation efforts by the to:
Assistant Secretary on two separate agency shall be an agreement between (i)Grant to the petitioner,or to any
inquiries: the respondent,the complainant,and other party,such temporary relief,
(a)Whether the law,administered by the agency and shall require the restraining order,or other order as the
the agency,on its face,satisfies the approval of the agency; court determines is just and proper-,-. .
criteria set forth in section 810(f)(3)(A) •(v)Each conciliation agreement shall . (ii)Affirm,modify,or set aside,in
of the Act;and be made public unless the complainant whole or in part,the order,or remand
(b)Whether the current practices and and respondent otherwise agree and the the order for further proceedings:and
past performance of the agency agency determines that disclosure is not (iii)Enforce the order to the extent
demonstrate that,in operation,the law required to further the purposes of the that the order is affirmed or modified.
in fact provides rights and remedies law or ordinance. (c)The requirement that the state or
which are substantially equivalent to (3)Not place any excessive burdens local law prohibit discrimination on the
those provided in the Act. on the complainant that might basis of familial status does not require
49
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 ciders issued;
state or Federal restrictions regarding assessment will consider the following .; (3)Application of its authority to seek
the maximum number of occupants to determine the effectiveness of an'.'. actual damages;as appropriate;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 :. and assess civil penalties or punitive.. .
that no prohibition based on. guidance as may be issued by HUD damages.
discrimination because of familial status (1).The agency's.case'p=ocessing (d)Consistently and affirmatively
applies to housing for older persons :- procedure s'; `='" seek and obtain the type of relief
substantially as described in 24 CFR (2)The thoroughness of the agency's designed to prevent recurrences of such:
part 100.subpart E. case processing; practices.The performance-assessment
(e)A determination of the adequacy of (3)A review of cause andno cause will include,but not be limited to: . `.
a state or local fair housing law"oa its determinations for quality of (1)An assessment of the types of
face"is intended to'focus on the investigations and consistency with - relief sought and obtained by the agency
meaning and intent of the text of the , approppriate standards; with consideration-of the inclusion of
law,as distinguished from the l4)A review of conciliation affirmative provisions designed to
agreements and other settlements;- protect the public interest•
effectiveness of its administration. ~ • d
Accordingly;this determination is not (5)A review of the agency's .. (2)The adequacy of the disposition of
admire, rive closures;and the complaint;
li mited to as analysis of the literal text the law but must take into account all (6)A review of the agency's (3)The relief sought and awarded;
relevant matters of state or local law. enforcement procedures. (4)The number of complaints closed
Regulations,directives.rules a (b)(1)Commence proceedings with with relief and the number closed
�gu respect to�a complaint: without relief;and
procedure,judicial decisions,or (t)Before the end of the 30th day after (5)Whether all the issues and bases '
interpretations of the fair housing law receipt; were investigated adequately and .
by competent authorities will be - (u)Carry forward such proceedings apppropriately disposed of,
considered in making this with reasonable promptness; (e)Consistently and affirmatively seek
determination. (iii)Make final administrative the elimination of all prohibited
(f)A law will be found inadequate disposition within one year;and practices under its fair housing law.An
"on its face"if it permits any of the (iv)Within 100 days of receipt of the assessment under this standard will
agency's decision-making authority to complaint complete the identified include,but not be limited to:
be contracted out or delegated to a non-. proceedings. (1)A discussion and confirmation of.
governmental authority.For the (2)To meet this standard,the the law or ordinance administered by
purposes of this paragraph,"decision- performance assessment will consider the agency;
making authority"shall include: the timeliness of the agency's actions (2)The identification of any
(1)Acceptance of the complaint; with respect to its complaint processing, amendments,court decisions or other
(2)Approval of the conciliation including,but not limited to: rulings or documentation that may
agreement; U)Whether the agency began its affect the agency's ability to carry out
(3)Dismissal of a complaint; processing of fair housing complaints provisions of its fair housing law or
(4)Any action specified in within 30 days of receipt; ordinance;
§§115.202(a)(2)(iii)or 115.202(b)(1); (ii)Whether the agency completes the (3)Identification of the education and
and investigative activities with respect to a outreach efforts of the agency;and
(5)Any decision-making regarding complaint within 100 days from the (4)Identification and discussion of
whether the matter will or will 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 Consequences of certification.
for civil enforcement of the law or (iii)Whether the agency
ordinance by an aggrieved person by the administratively disposes of a complaint (a)Whenever a complaint received by
commencement-of an action in an within one year from the date of receipt the Assistant Secretary alleges
appropriate court at least one year after or,if it is impracticable to do so,notifies violations of a state or local fair housing
the occurrence or termination of an the parties in writing of the reasons for law or ordinance administered by an
alleged discriminatory housing practice. the delay;and . agency that has been certified as
The court must be empowered to: (iv)Whether the agency completed substantially equivalent,the complaint
(1)Award the plaintiff actual and the investigation of the complaint and. will be referred to the agency,and no
punitive damages; prepared a complete final investigative further action shall be taken by the
(2)Grant as relief,as it deems report. - Assistant Secretary with respect to such
appropriate,any temporary or (3)The performance assessment will complaint 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;and attempts and activities and a.review of C.and any written agreements executed
(3)Allow reasonable attorney's fees the bases for administrative disposition by the Agency and the Assistant
and costs. of complaints. Secretary.
(c)Conduct compliance reviews of (b)If HUD determines that a
1115.203 Performance standards. settlements,conciliation agreements complaint 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 agency 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 and 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.
50
Federal_ Vol. •61;'No: 153 4,Wednesday;'.'August'?,'1996 1 Roles-and.-Regulations 41287
(c)Notwithstanding paragraph(a)of (b)The request-and supporting Secretary,away,but need not,offer a
this section,whenever the Assistant materials shall be filed with the Performance Improvement Plan(PIP)to
Secretary has reason to believe that a Assistant Secretary for Fair Housing and :the agency.The PIP will outline the
complaint demonstrates a basis for the .Equal Opportunity.Department of • agency's deficiencies,identify necessary
.commencement of proceedings against -Housing and Urban Development,451• corrective actions,and include a
any respondent under section 814(a)o_f 7th Street,'SW.,Washington,DC 20410. timetable for completion.
the Act or for proceedings by any .. :-. A copy of the request-and supporting (3)If the agency receives a PIP,
governmental licensing or supervisory -. materials will be•kept available for ' funding under the FHAP may be
authorities,the Assistant Secretary shall public examination and copying at: : suspended for the duration of the PIP.
transmit the information upon which (1)The.office of the Assistant Once the agency has implemented
such belie£is based to the Attorney; `' Secretary; corrective actions to eliminate the
General,Federal financial regulatory' ` (2)The HUD Field Office in whose deficiencies,and such corrective actions
agencies,other federal agencies,or jurisdiction the State or local are accepted by the Assistant Secretary,
other appropriate governmental jurisdiction seeking recognition is funding may be reinstated.
licensing or supervisory authorities. located;and
(3)The office of the State or local 4115.208 Suspension of-interim
4115205 ,,Technical assistance. agency charged with administration and certification.
(a)The Assistant Secretary,shrough enforcement of the State or local law. ' (a)Suspension based on changes in
its FHEO Field Office,may provide : . • the law:(1)The Assistant Secretary may
technical assistance to the agencies.The 4115207 -Procedure for interim suspend the agency's interim
certification. certification-if the Assistant Secret
agency may request such.technical cry
assistance or the FHEO Field Office may (a)Upon receipt of a request for has reason to believe that the State or
determine the necessity for technical certification filed under§115.206,the locality may have limited the
assistance and require the agency's Assistant Secretary may request further effectiveness of the agency's
cooperation and participation. information necessary for a implementation of the fair housing law
(b)The Assistant Secretary,through determination to be made under this or ordinance by:
FHEO Headquarters or Field staff,will section.The Assistant Secretary may (i)Amending the fair.housing law or
require that the agency participate in consider the relative priority given to ordinance;
training conferences and seminars that fair housing administration,as (ii)Adopting rules or procedures
will enhance the agency's ability to -compared to the agency's other duties concerning the fair housing law or
process complaints alleging and responsibilities,as well as the ordinance;or
discriminatory housing practices. compatibility or potential conflict of fair (iii)Issuing judicial or other
housing objectives with these other authoritative interpretations of the fair
9`115.206 Request for certification. duties and responsibilities. housing law or ordinance.
(a)A request for certification under (b),Interim certification.If the (2)If the Assistant Secretary suspends
this subpart shall be filed with-the Assistant Secretary determines,after interim certification under paragraph
Assistant Secretary by the State or local application of the criteria set forth in (a)(1)of this section,such suspension
official having principal responsibility §115.202 that the State or local law or will remain in effect until the Assistant
for administration of the State or local ordinance,on its face,provides Secretary conducts a review of the
fair housing law.The request shall be substantive rights,procedures, changes in language and/or
supported by the following materials remedies,and judicial review interpretation and determines whether
and information: procedures for alleged discriminatory the law or ordinance remains
(1)The text of the jurisdiction's fair housing practices that are substantially substantially equivalent to the Act on its
housing law,the law creating and equivalent to those provided in the Act, face or in its operations.Such
empowering the agency,any regulations the Assistant Secretary may offer to suspension shall not exceed 180 days.
and directives issued under the law,and enter into an Agreement for the Interim (3)If the Assistant Secretary
any formal opinions of the State Referral-of Complaints and Other determines that.notwithstanding the
Attorney General or the chief legal Utilization of Services(Interim actions taker,'ov the State or locality as
officer of the jurisdiction that pertain to Agreement).The interim agreement will described in paragraph(a)(1),the law or
the jurisdiction's fair housing law. outline the procedures and authorities ordinance remains substantially
(2)Organizational information of the upon which the interim certification is equivalent on its face and in operation
agency responsible for administering based. to the Act,the Assistant Secretary will
and enforcing the law. (c)Such interim agreement,after it is rescind the suspension and reinstate the
(3)Funding and personnel made signed by all appropriate signatories. agency's interim certification and/or
available to the agency for will result in the agency receiving recommend the agency for certification.
administration and enforcement of the interim certification. HUD will provide full or partial
fair housing law during the current (d)(1)Interim agreements shall be for reimbursement for cases processed
operating year,and not less than the a term of no more than three years.The during the period of the suspension.
preceding three operating years(or such Assistant Secretary,through the FHEO (4)If the Assistant Secretary
lesser number during which the law was .Field Office,will conduct one or more determines that the actions taken by the
in effect). oa-site assessments to determine State or locality do limit the agency's.
(4)If available,data demonstrating whether the agency administers its fair effectiveness interim certification will
that the agency's current practices and housing law or ordinance in a manner be denied pursuant to§115.209.
past performance comply with the that is substantially equivalent to the (b)Suspensicn based on agency
performance standards described in Act. perform, once. (1)The Assistant
§115.203. (2)Performance Improvement Plan. If Secretary may suspend the inte:im
(5)Any additional information which the agency is not administering its law certification of an agency charged with
the submitting official may wish to be or ordinance in a manner that is the administration of a fair housing law
considered. substantially equivalent,the Assistant or ordinance if the Assistant Secretay
_ 51
41288. Federal Register /.Vol_ 61, No. 153 / Wednesday, August 7. 1996 / Rules and Regulations
has reason to believe that the agency's. Secretary's notice of denial of interim interim certification prior to receiving
performance does not comply with the certification,make a request of the certification.. —
criteria set forth by this part.Such . Assistant.Secretary under paragraph(b)
suspension shall not exceed iso days. ; of-this section to submit additional data, 4115.211 Suspension of certlfication.
(2)If the agency is suspended :. views,or comments,no further action (a)Suspension based on changes in
pursuant to paragraph(b)of this section, shall be'required of the Assistant_ the lacy.(1)The Assistant Secretary may
the FHEO Field Office may elect not to' Secretary and denial of interim suspend the agency's certification if the
provide'payment for complaints '.. certification shall occur. . Assistant Secretary has reason to believe
processed yrithin that period of time that the State or locality may have
unless and until the Assistant Secretary 4115.210 Procedure for certificatlon.` ' limited the effectiveness of the agency's
determines that the agency is fully in (a)Certification.(1)If the Assistant implementation of the fair housing law
compliance with§115.203.The FHEO'- Secretary determines,after application or ordinance by:
Field Office will provide technical of the criteria set forth in§§115.202, (i)Amending the fair housing law or .
assistance to the agency during this 115.203 and this section,that the State . ordinance;
period of time. or local law or ordinance,both"on its (ii)Adopting rules or procedures
(3)During the period of a suspension : face"and"in operation."provides concerning the fair housing law or.
the Assistant Secretary shall not refer substantive rights,procedures; ordinance;or
complaints to the agency. , • remedies,and judicial review (iii)Issuing judicial or other-..
(4)Suspension under paragraph(b)of. procedures for alleged discriminatory authoritative interpretations of the fair
this section renders the agency housing practices that are substantially housing law or ordinance. . ..
ineligible to receive Fair Housing equivalent to those provided in the Act. (2)If the Assistant Secretary suspends
Assistance Program Funds under the Assistant Secretary may enter into a certification under.paragraph(a)(1)of .
subpart C of this part,pending • ' Memorandum of Understanding(MOU) this section,such suspension will
correction of the deficiencies by the - with the agency. remain in effect until the Assistant
agency. (2)The MOU is a written agreement Secretary conducts a review.of the
(5)Before the end of the suspension, providing for the referral of complaints changes in language and/or
a final performance assessment will be to the agency and for communication interpretation and determines whether
provided to the Assistant Secretary procedures between the agency and the law or ordinance remains
upon which a determination will be HUD that are adequate to permit the substantially equivalent on its face and
made as to the adequacy of the agency's Assistant Secretary to monitor the in its operation to the Act.Such
performance agency's continuing substantial suspension shall not exceed 180 days.
(c)HUD will provide an agency with equivalency certification. (3)If the Assistant Secretary
notice of the specific reasons for the (3)A MOU,after it is signed by all determines that the law or ordinance
suspension of its interim certification 'appropriate signatories,may authorize remains substantially equivalent on its
and an opportunity to respond,in an agency to be a certified agency for a face and in operation to the Act,the
accordance with the procedures set period of not more than five years.
forth in HUD issued guidance. Assistant Secretary will rescind the
(b)Performance Improvement Plan. suspension and reinstate the agency's
§115.209 Denial of interim certification. (1)If the agency is not administering its interim certification and:or recommend
(a)If the Assistant Secretary - law or ordinance in a manner that is the agency for certification.HUD will
determines,after application of the substantially equivalent,the Assistant provide full or partial reimbursement
criteria set forth in this part that the Secretary,may,but need not,offer a for cases processed during the period of
State and local law or ordinance,on its. Performance Improvement Plan(PIP)to the suspension.
face or in its operation,does not provide the agency.The PIP will'outline the (4)If the Assistant Secretary
substantive rights,procedures, agency's deficiencies,identify necessary determines that the actions taken by the
remedies,and availability of judicial corrective actions,and include a State or locality do limit the agency's
review for alleged discriminatory timetable for completion. effectiveness,certification will be
housing practices which are. (2)If the agency receives a PIP, withdrawn pursuant to§115.212.
substantially equivalent to those funding under the FHAP may be - (b)Suspension based on agency
provided in the Fair Housing Act,the suspended for the duration of the PIP. performance.(1)The Assistant
Assistant Secretary shall inform the Once the agency has implemented Secretary may suspend the certification
State or local official in writing of the corrective actions to eliminate the of an agency charged with the
reasons for that determination. deficiencies,and such corrective actions administration of a fair housing law or
(b)The agency,within 20 days from are accepted by the Assistant Secretary, ordinance,if the Assistant Secretary has
the date of the receipt of this notice, funding may be reinstated. reason to believe that the agency's
may submit,in writing,any opposition (c)Annual assessments.The Assistant performance does not comply with the
to the planned denial of interim Secretary shall annually assess the criteria set forth by this part.Such
certification to the Assistant Secretary. performance of an agency to determine suspension shall not exceed 180 days.
The Assistant Secretary will evaluate all whether it continues to qualify for (2)If the agency is suspended
pertinent written comments, certification under this part.If the pursuant to paragraph(b)of this section,
information,and documentation.If, Assistant Secretary affirmatively the FHEO Field Office may elect not to
after reviewing all materials submitted concludes that the agency's lacv and provide payment for complaints
by the agency,the Assistant Secretary is performance have complied with the processed within that period of time
still of the opinion that interim requirements of this part in each of the unless and until the Assistant Secretary
•�-ifica:ion should be denied,the five years,the Assistant Secretary may determines that the agency is fully in
:�istant Secretary will inform the offer the agency an updated compliance with§115.:.03.The FHEO
ancy in writing of that determination. Memorandum of Understanding. Field Office will provide technical
v(c)If the agency does not,within 20 (d)Interim certification required prior assistance to the agency during this
da•,•s of receipt of the Assistant to certification.An agency shall receive period of time.
• - 52
. Pederal;Re&ter.�.Vol.-6-1s-No.-I53*.4•-Wednesday,-August ;:r,199.64-Rules•..and-Regulations.-•41289
(3)During the period of a suspension assistance is designed to piovido ' , §115.303 Eligible activities For capacity
the Assistant Secretary shall not refer support for. -building funds. :
complaints to the agency.- (a)The processing of dual-filed The priarary purposes of capacity
(4)Suspension under this paragraph complaints; building funding is to provide for
also renders the agency ineligible to '(b)Training under the Fair Housing complaint activities and to support
receive'Fair Housing Assistance . =: Act and the agencies'fair housing'law; activities that produce increased.
Program Funds under subpart C of this (c)The provision of technical . awareness of fair housing rights and
part,pending correction of the assistance; remedies.All such activities must
deficiencies by the agency. (d)The creation and maintenance of ; + support the agencv's administration of
(5)Before the and of the suspension, data and information systems;and.. - its fair housing law or ordinance and
a final performance assessment will be (e)The development and address matters affecting fair housing
provided to the Assistant Secretary enhancement of other fair housing which are cognizable under the Fair
upon which a determination will be enforcement projects. Housing Act.HUD will periodically
made as to the adequacy of the agency's §115.301 Agency eligibility criteria... publish a list of eligible activities in the
performance. Any agency with certification or Federal Register.
(c)HUD will provide an'agency with interim certification under subpart A of §115.304 Agencies eligible for
notice of the specific reasons for the this part,and which has entered into a contributions funds.
suspension of its certification and an MOU or interim agreement,is eligible to (a)An agency that has received CB
opportunity to respond,in accordance participate in the FHAP. fur-ds for three consecutive years is
with the procedures set forth in HUD
issued guidance. §115.302 Capacity building funds. eligible for contributions funding.
(a)Capac; building(CB)funds are Contributions finding consists of three
§115.212 W ilhdrwai of certification. cats or-as:
funds that HUD may provide to an (1�Complaint Processing(CP)funds;
(a)If the Assistant Secretary finds,as agency with interim certification during (2)Administrative Costs(AQ funds;
a result of a review undertaken in the agency's first three years of and
accordance with this part,that the participation in the FHAP.Agencies (3)Special Enforcement Efforts(SEE)
agency's fair housing lacy or ordinance receiving CB funds are not eligible to fmds(§115.305 sets forth the
no longer meets the requirements of this receive contributions funds under requirements for SEE funding).
part,the Assistant Secretary shall §115.304.
i CP funds.(1)Agencies receiving
propose to withdraw the certification (b)CB funds will be provided in a CP funds will receive such support
previously granted. fired annual amount to be utilized for based solely on the number of
(b)The Assistant Secretary will the eligible activities established complaints processed by the agency and
propose withcrawal of certification pursuant to§115.303.However,in the accepted for payment by the Director of
under paragraph(a)of this section second and third year of the agency's FHEO during a consecutive,specifically
unless further review and information participation.in the FHAP.HUD has the identified.12-month period.No.-maLy
or documentation establishes that the option to permit the agency to receive this period will be the previous yczr's
current law and/or the agency's CB funding on a per case basis,rather funding cycle.
administration of the law meets the than in a s in' annual amount. (2)Funding for agencies in their
criteria set out in this part. (c)In order to receive CB funding, fourth year of participation in the FHAP
(c)If the Assistant Secretary agencies vii)be required to submit a wit!be based on the number of
determines.after appli-ration of the stat3ment of work which identifies: complaints acceptably processed by the
criteria set forth in this part,that the (1)The objectives and activities to be agency during the agency's third year of
state or local law or ordinance,in tamed out with the CB funds received; participation in the FHAP.
operation,does not provide substantive (2)A plan for training all of the (c)Admir_iswative Cost(ACI funds.(1)
rights,procedures,remedies,and agency's employees involved in the Agencies which acceptably process 100
availability of judicial review frr alleged administration of the agency's fair or more cases will receive no less than
discriminatory housing practices which housing law or ordinance; 10 percent of the agency's annual FHAP
are subs'antially equivalent to those (3)A smtement of the agency's payment amount for the preceding yea_,
Provided in the Fair Housing Act,the intention to participate in HUD- in addition to case processing fiu ds,
Assistant Secretary shall inform the sponsored gaining is accordance with contingent on fiscal year appropriations.
State or local official in writing of the the training requirements set out in the Agencies that acceptably process fewer
reasons for that determination. cooperative agreement; than 100 cases will receive a flat rate
(4)A description of the agency's
Subpart C--Fa contingent on fiscal year appropriations.
C--Facer Housing assistance complaint processing data and (2)Agencies will be required to
program (r..;,. ) information system or,alternatively, provide HUD with a statement othow
§115.300 Purpose, whether the agency plans to use CB they intend to use the AC funds.HUD
funds to purchase and install a data may require that some or all AC funding
The purpose of the Fair Housing system;and be directed to activ,ties designed to
Assistance Program(FHAP)is to (5)A description of any other fair create,modify,or inn-prove lgn_al.
provide assistance to State and local fair housing activities that the agency will create'1,or modify,or al information
housing enforcement agencies.The undertake with its CB funds.All such systems concerning fair housing matters
intent of this funding program is to activities must address matters affecting (including the purchase of state of the
build a coordinated intergovernmental fair housing enforcement which are computer systems and getting on line
enforcement effort to further fair cognizable under the Fair Housing Act. or Internet access,etc.).
hcusir.;and to encourage the agaticies Any activities which do not address the
to assume a greater share of the implementation of the agency's fair §115.305 Special enforcement effort(SEE)
responsibility for the administration and housing law or ordinance,and which funds.
enforcement of their fair housing laws are therefore not cognizable under the (a) SEE funds are funds that HUD will
and ordinances.This financial Fair Housing Act,will be disapproved. provide to an agency to enhance
rr
A
53
41290 Federal Register / Vol. 61, No. 153 / Wednesday, August 7, 1996 / Rules and Regulations
enforcement activities of the agency's sponsored training.Agency initiated (a)How the agency used the FHAP
fair hauling law or ordinance.SEE - training or other formalized training funds received; —
funds will be a maximum of 20%of the may be included in this cate£nry. (b)Whether its-draw-down of funds
agency's total FHAP cooperative" ' However,such training must first be - was timely; -
agreement for the previous contract approved by the Cooperative Agreement (c)Whether the agency has been
year,based on approval of eligible Officer(CAO)and the Govemment audited and received copies of the audit
activity or activities,and based on the' Technical Representative(GTR). - reports in accordance with applicable
appropriation of funds.All agencies Specifics on the amount of training rules and regulations for State and local
receiving contributions funds are funds that an agency will reeeive and, governmental entities;and
eligible to receive SEE funds if they if applicable,amounts that may be (d)If the agency complied with all
meet three of the six criteria set out in deducted,will be set out in the certifications and assurances required
paragraphs(a)(1)through(6): cooperative agreement each year. by HUD in the cooperative agreement.
(1)The agency has taken action to (b)All staff of the agency responsible y 115.309 Reporting and recardiceeping
enforce a subpoena or make use of its for the administration of the fair §requirements.115. 9 Re
prompt judicial action authority within housing law or ordinance must (a)The agency shall establish and
the(25aThe agency has held at least one sponsored by HUD at the natt�ional and g m��records demonstrating:
administrative hearing or has had at field office levels.If the agency does not (1)Its financial administration of the
least one case on a court's docket for participate in the mandatory FHAP funds;and
civil proceedings during the past year. and field office HUD-sponsored (2)Its performance under the FHAP.
(3)At least ten percent of the agency's training,training funds will be deducted re In accordance with the cooperative
fair housing caseload resulted in written from their overall training amount. agreement in effect y Wil between the agency
and HUD,the agency will provide to
conciliation agreements providing HUD the agency reports maintained
monetary relief for the complainant as §115.307 Additional requirements for
well as remedial action,monitoring, Participation in the FHAP. p ursuant to paragraph(a)of this section.
g (a)Agencies which participate in the The agency will provide reports to HUD
reporting and public interest relief FHAP must: in accordance with the cooperative
provisions. (1)Conform to reporting and record agreement in effect between the agency
(4)The agency has had the most maintenance requirements determined and HUD for frequency and content,
recent three years,or is currently by the Assistant Secretary regarding complaint processing,
t
handling,at least one major fair housing (2)Agree to on-site clinical training,data and information systems,
systemic investigation requiring an assistance and guidance and enforcement and other activities
exceptional amount of expenditure of . implementation of corrective actions set explaining how FHAP funds were
funds. out by the Department in response to expended and used.
(5)The agency's administration of its deficiencies found during the technical (c)The agency will permit reasonable
fair housing law or ordinance received assistance or performance assessment public access to its records,consistent
meritorious mention for its complaint evaluations of the agency's operations; with the jurisdiction's requirements for
processing or other fair housing (3)Agree to implement and adhere to release of information.Documents
activities that were innovative. policies and procedures(as their laws relevant to the agency's participation in
(6)The agency must have fully and ordinances will allow)provided to FHAP must be made available at the
investigated 10 fair housing complaints the agencies by the Assistant Secretary, agency's office during normal working
during the previous funding year. including but not limited to guidance on hours(except that documents with
(b)Notwithstanding the eligibility investigative techniques,case file respect to ongoing fair housing
criteria set forth in paragraph(a)of this preparation and organization, complaint investigations are exempt
section,an agency is ineligible for SEE implementation of data elements for from public review consistent with
funds if- corn laint tracking,etc.; Federal and/or State law).-
(1)Twenty percent or more of an (4FSpend at least twenty(20)percent (d)The Secretary,the Inspector
agency's fair housing complaints result of its total annual budget on fair housing General of HUD,and the Comptroller
in administrative closures;or activities:and General of the United States,or any of
(2)The agency is currently on a PIP, (5)Not unilaterally reduce the level of their duly authorized representatives,
or if its interim certification or financial resources currently committed shall have access to all pertinent books,
certification has been suspended during to fair housing complaint processing accounts,reports,files,and other
the fiscal year in which SEE funds are (budget and staff reductions or other payments for surveys,audits,
sought. actions outside the control of the agency examinations,excerpts,and transcripts
(c)SEE funding amounts are subject will.not,alone,result in a negative as they relate to the agency's
to the FHAP appropriation by Congress determination for the agency's participation in FHAP.
and will be described in writing in the pupation in the FHAP). (e)All files will be kept in such
cooperative agreements annually.HUD (b)The agency's refusal to provide fashion as to permit audits under
will periodically publish a list of information,assist in implementation, applicable procurement regulations and
activities eligible for SEE funding in the or carry out the requirements of guidelines and the Single Audit
Federal Register. paragraph(a)of this section may result requirements for State and local
§115.306 Training funds. in the denial or interruption of its agencies.
P.':1 agencies are eligible to receive receipt of FHAP funds. (f)The FHAP financial records and
files will be kept at least three years on-
funds.Training funds are fixed J115.308 Standards for FHAP program site after any cooperative agreement has
s based on the number of agency review. terminated.
eeL to be trained and shall be HUD will conduct reviews of the
based on the FHiAP agency's cooperative agreement §115.310 Subcontracting under the FHAP.
.appropriation.Training funds may be implementation.This review will also If an agency subcontracts to a public
used only for HUD-approved or HUD- identify: or private agency any activity for which
1;.
54
Federal Register'/ Vol. 61,E No. 153 ./ Wednesday, August. 7, 1996 / Rules and Regulations 41291
the subcontractor will receive MAP. (b)If aa'agency fails to demonstrate to allocation'on the satisfactory
funds,the agency must ensure and .. . -HUD's satisfaction that it has met completioaby the agency of appropriate
'certify in writing that the subcontractor 'program review standards.HUD will corrective actions.VoThen the use of
is: request the agency to submit and funds is so conditioned,HUD will"
(a)Using services and facilities that comply with proposals for action to specify the deficiency(ies),the required
are accessible in accordance with the correct;mitigate,or prevent :.corrective action(s),and the time
Americans with Disability Act(ADA) performance deficiencies;including,but-.all owed for taking these actions.Failure
(42 U.S.C.12101)and Section 504 of the not limited to of the agency to complete the actions as
1973 Rehabilitation Act(29 U.S.C.701); - (1)Preparing and/or following a spe�fied will result in a reduction or
schedule of actions for carrying out the :withdrawal of the FHAP allocation in an
(b)Complying with the Standards-of _
Section 3 of the Housing and Urban affected fair housing activities; amount not to exceed the amount
Section
meat Act of Housing and U.S.C. (2)Establishing and/or following a . codditionally granted.
p managemeat.plan that assigns
1441);and responsibilities for carrying out the Appendix I [Removedl
(c)Furthering fair housing. _ actions required;
§115.311 Corrective and remedial action. (3)Canceling or revising activities 3..Appendix I to subchapter A of
likely'to be affected by a performance chapter I of title 24 of the Code of
(a)If HUD makes a preliminary deficiency before expending FHAP Federal Regulations is removed.
determination that an agency has not funds for the activities;and Date:July 29,1996.
complied with§115.309,the agency (4)Redistributing or suspending Elizabeth K.Julian,
will be given written notice of this disbursement of FHAP funds that have
determination and an opportunity to not et been disbursed. Assistant Secretary forFairHousirg and
show,through demonstrable facts and (jHUD may condition the use of .Equal Opportunity.
data,that it has done so within a time FHAP award amounts with respect to an" BIL Dow 96-19909 Filed 8-s-9s;8:45 amp
prescribed by HUD. agency's succeeding fiscal year's su uwc cove�z�c-ze-a