HomeMy WebLinkAboutAgenda - 09-05-2000-8iORANGE COUNTY
BOARD OF COMMISSIONERS
ACTION AGENDA ITEM ABSTRACT
Meeting Date: September 5, 2000
Action Agenda
Item No. ~-1
SUBJECT: Cooperative_Agreement With HUD for Fiscal Year 2000-2001
DEPARTMENT: Human Rights and Relations PUBLIC HEARING: (Y/N) No
ATTACHMENT(S): INFORMATION CONTACT:
Annette Moore, ext. 2254
Cover Letter, Cooperative Agreement, ~
Supporting Materials TELEPHONE NUMBERS:
Hillsborough 732-8181
Chapel Hill 968-4501
Durham 688-7331
Mebane 336-227-2031
PURPOSE: To approve a Cooperative Agreement Between Orange County and the United
States Department of Housing and Urban Development (HUD) for services performed during
the FFY 2000-2001.
BACKGROUND: On September 29, 1998, the Board of Commissioners approved a
Cooperative Agreement with HUD for the period beginning the first (1~) day of October 199$ to
the thirtieth (30'") day of September 1999. HUD proposes a new Worksharing Agreement to
cover the FY 2000. For FY 2000, HRR will received $1800 per case for cases processed
during the period July 1, 1999 through June 30, 2000. The Department will also receive funds
for administrative costs, education and outreach and training.
FINANCIAL IMPACT: HUD proposes that the Human Relation Commission receive $65,100.
RECOMMENDATION(S): The Manager recommends that the Board approve the Cooperative
Agreement and authorize the Chair to sign the agreement.
FPSV.eNroa
h
a
4 ~~ s
~9 II II~II Q~;
BAN OEVE
JILL 2 5 2~D
U. S. department of Housing and Urban Development
Southeast /Caribbean Office of Fair Housing
and Equal Opportunity
Five Point Plaza
40 Marietta Street, 16'" Floor
Atlanta, Georgia 30303-2806
(http:llvrww. h ud.gav )
roc~~~ad~
uu~ 2 ~ zoo0
H MAN RIGH~S AND REI.A~T ONS
Annette M. Moore, Director
Orange County Human Relations Commission
P.O. Box 8181
Hillsborough, North Caorlina 27278
Dear Ms. Moore:
SUBJECT: Cooperative Agreement Fiscal Year 2000-2001
We have enclosed five copies of the HUD Form 1044 for the FY2000-2001
Cooperative Agreement (with Attachments) for your immediate execution. Please sign
each copy with an original signature. You should also complete and sign the
Attachment C, OMB Standard Assurances - SF 4248, Drug Free Certification. After the
documents have been signed by the appropriate authorizing official, retain one copy far
your records and return the remaining four copies to this office by overnight mail.
At this time, you may also voucher for your Case Processing Amount which is
identified in your Cooperative Agreement where applicable. Until the
Southeast/Caribbean Office of Fair Housing has access to Line of Credit Control
System(LOCCS), you must continue to submit a HUD Form 270 for payments until further
notice. Additionally, you must follow Attachment A, Criteria for Processing for specifics
regarding payment for CAUSE and CHARGED case activities. Payment for these cases
will not be authorized without appropriate documentation.
Likewise, we direct your attention to the Cooperative Agreement, Section 2,
PERIOD OF PERFORMANCE, which provides the timelines for Special Enforcement
Funds (SEE), Admiwtistrative Costs (AC), and Training funds. You may voucher for these
funds no later than September 15, 2000, to allow us to complete processing of your
voucher by September 30,.2000. You must provide documentation far use of the funds
with the submission for payment, if you have not already done so.
The Cooperative Agreement package contains a new element: the Fair Housing
Partnership Component (Attachment I). We have attached the "Guidelines for Applicants"
for your review and information. If you plan .to apply, you must submit an application to
your Government Technical Representative (GTR) identified an your Cooperative
Agreement. Remember, you will not receive funds for this project. unless your FHIP
partner (s) is/are selected for a FHIP award. Only contributions agencies that qualify for
SEE funding and Capacity Building agencies need apply.
If you have any questions, you may contact me directly at (404) 331-5001,
Extension 2660, Ophelia T. Dargan at Extension 3606, or your Government Technical
Representative identified on your HUD Form 1044.
Very truly yours,
Gre ry ernard King, Hub Direct
Southeast/Caribbean Office of
Fair Housing and Equal Opportunity
Enclosures
G
CONTRIBUTIONS AGREEMENT
FY 2000 and ?GC1
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. U5E OF COOPERATIVE AGREEMENT FUNDS
7. MAINTENANCE OF EFFORT
I
8. HLTD'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 WOR.Ii (CONTRIBUTIONS AGENCIES ONLY)
ATTACHMENTS
P ttachment A -Criteria for Processing
tAttachment B -Instructions for Preparation and Submission of Direct Deposit Sign-Up Form
(5E-1199A) and Instructions far LOCOS
Attachment C -Administrative Requirements (See Paragraph H.)
1. SCOPE OF WORK (FIXED PRICE}
The Recipient (or A ency) shall furnish all th fi d therein pand otherwise dos alle things
equipment, facilities g(except at otherwise spec )
necessary for or incidental to the performance of t ee wOfortht herein,nncluding but not
Work and all Attachments for the firm fi.~ced pri ..
limited. to identifying staff assigna d in c out fairthousing responsibilities band e pe e n eon,
salary, percentage of time spen ry g
2. PERIOD OF PERFORMANCE
The Recipient shall provide all services hereunderrdudring~ follows:od of performance.
For the FY'2000 Cooperative Agreement, the pe
Com Taint Processing-July 1,1999 through June 30, 2000 is the performance period.
P
Administrative Costs (AC), Special Enforcement Efforts (SEE), and Training Funds -
September 1,1999 through September 30, 2000 is the performance period.
For the FY2001 Cooperative Agreement, the period is as follows:
p r g . J Y ~ 2001 is the performance period.
Com Taint P. ocessin ul 1 2000 through June 30,
For AC, SEE, and Training, the performance period ends September 30, 2001.
3. INSPECTION AND ACCEPTANCE
Inspection and acceptance of all but the finalopdele ated. a Finala a~eptancedshall the
Government ~I ethnical Monitor (GTM)> if g.
accomplished by the Government Technical Representative (GTR).
4. CONDUCT OF WORK
A. During the effective period of this instrumel t,}thenG~ oanng the technical effort~o f he
Block 9 of the cover page shall be responsib _ •
Recipient, anless the Recipients re la efm ntin writing by the Grant/Cooperative
Agreement Officer (G/CAO) of p
B. Only the G/CAO identified in Block 8a~h hehStaement of Workzeln theieventr~he
this instrument, including deviations fro
Recipient does deviate without written approval latedether to,Oshallcbedborne by hhe
be at the risk- of the Recipient, and any costs
Pecipient.
S. CONTRIBUTIONS INSTRUMENT AMOUNT AND REQUESTS FOR PAY~IENT
A. Agencies that have received Capacity Building Funds for three years are eligible for
Contributions Funds. Contributions funding consists of four categories: Complaint
Processing; Administrative Costs; Special Enforcement Efforts; and Training.
^ Complaint Pr`~_(CP,) -For FY2000, Agencies will receive CP funds
based solely on the number of complaints. processed during the period ul 1
1999 throu h une 30 2000. If the Agency is entering its fourth year of
participation in the FHAP (e.g., the first year of receipt of CP funds), use the
number of complaints processed by the Agency in its third year of Capacity
Building. For FY'2000, the CP amount is 1 800 per complaint, plus $1,000
for cause cases. (Exampple: to determine the CP amount multiply $1,$00 times
the number of complaints then add $1,000 for the number of cause cases
processed in the period of performance. Agency X has 100 complaints that were
acceptably processed and 20 of those cases were caused. Agency X would get a
total of $200,000) ($1,800 x 100 = $180,000 plus $1,000 x 20 = $20,000 totals
$200,000) in its complaint processing component.
For FY 2001, the CP amounts for complaints acceptably processed and the
amount for cause cases is the same as FY 2000 (That is, $1,800 per complaint plus
$1,000 for cause cases. If that changes, Headquarters will inform all GTRs;.
GTMs, and CAOs.)
Administrative Costs ~A ~ -Agencies that acceptably process 100 cases or
more will ~ receive no less than 10% of the Agency's annual FHAP payment
amount for the preceding year or $15,000 whichever is more.
S ecial Enforcement Efforts SEE -Agencies that have taken actions to enhance the
enforcement of their law or ordinance will receive a maximum of 20% of its annual
FHAP amount far the preceding year. If the Agency is eligible to receive SEE funds,
calculate the amount of SEE funds on the Agency's allocation of funds for FY'99 to
make the determination for FY 2000. Far FY 2001 this sar_ze step will be followed,
except, the amount of SEE funds will be calculated on the Agency's allocation of funds
for FY2000.
^ Trainin ~- All Contributions Agencies are eligible to receive training funds. All
training ds are to be used on~y for~~ducational and outreach efforts designed
to further the purposes of the Agency s fair housing law or ordinance. Training
funds are to. be used in accordance with the instructions in the Statement of
Work.
The maximum amount for performance under the Articles of this Cooperative Agreement,
7
Appendi_~, and Attachments, is the of the amounts of all categories under Contributions
(that is, Complaint Processing, Administrati~~e Costs. Specia~ Enforcement Efforts and
Training
B. Payment under this Cooperative Agreement shall be made in accordance with the schedule
below.
Complete drawdown of th~° total amour t assigned for complaint processing is
perrrutted after June 30, 200~~ but before tl e end of the cooperative agreement
Drawdown under the SEE and AC categories are permirted at the discretion of
the GTR. If the Agency requires a paymen~ in order to carry out the tasks and
activities approved in the statement to the GTR outlining the Agenry's
intended use of the funds, then the GTR may permit payment at the request of
the Agenry.
Complete drawdawn of training funds is permitted after the Agency has
attended and completed the required training. Drawdown of outreach funds,
which are assigned under the training category, may be at the discretion of the
GTR.
D. The Recipient shall follow the instructions in Attachment C on use of the LOCC5 for requests
for payment under the FHAP. If the Recipient does not draw down their funds using the
LOCOS within sixty c+ays after the expiration Gate of this Cooperative Agreement, the Agency
forfeits those funds.
E. Paymen~ is subject to being withheld if it is the judgment of the GTVi and GTR that the
Recipient is not complyiizg with all terms of the Cooperative Agreement, the Appendix and all
Attachments hereto.
F. A Narrative Repon describing activities undertaken during the billing period pursuant to
which payment is being requested is required. The Reports for Contributions should include:
1) A Case Processin Re ort should be accompanied by a listing of complaints acceptably
processed, inclucirr_g the name of complainant, respondent, and date closed. date
concaiation failed, date referred to legal for enforcement action, information on
investigative acid conciliation techniques; other performance criteria; and, descriptions of
all activities undertaken on each administrative closure; and
2) An Outreach Plan should include a description of activities undertaken in support of case
processing activities, to educate and outreach to the public, and to enhance caseload. The
GTR/GTM should verify that the Agency is undertaking the education and outreach
activities identified. If the Agency does not provide or carrryy out any outreach activities
during this FY'98 Cooperative Agreement year, the GTRIGTM may withhold X1,000
4
8
from the funds allocated to the Agenry for outreach activities included in its training
component.
Where the Depamnent and the Agencies provide information electronically through the
Title Eight Automated Paperless Office Tracking System (TEAPOTS) software or some
othex software applications, tlne information identified above need not be provided again
in hard copy unless required by the GTR.
G. The Criteria For Processing are hereby incorporated as Attachment A, to the Schedule of Articles.
H. The Administrative Requirements far Grants and Cooperative Agreements (Part $5) is a required
attachment to this Cooperative Agreement. Part 85 is not attached hereto because of its size and
copies have been attached to previous Cooperative Agreements with the Agency. Part 85 has not
changed. However, the authorized Agenry official must verify to the GTR/GTM that the Agency
has a copy on file. If the authorized Agenry official cannot verify that a copy of Part 85 is on file at
the Agenry, the GTR/GTM is required to provide the copy to the Agenry.
6. USE OF COOPERATIVE AGREEMENT FUNDS
The Agency is entitled to receive the filed 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.
Maintenance of effort includes, but is not limited to, the Agency spending at least 20 percent of
its total annual budget,bn fair housing, activities; not unilaterally reducing the level of financial
resources currently committed to fair housing; and, refusal to provide information to assist in
implementation or carry out the requirements of this cooperative agreement.
8. HUD's SUBSTANTIAL INVOLVEMENT
A. HUD intends to have substantial involvement in the review and approval of all aspects of the work
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:
1. Review and guidance in progress and upon completion of case investigations;
2. Requests for additional information on dual-filed cases to provide clarification or for
completeness of a case investigation or file;
3. Development and presentation of National and field office location fair housing
investigative training;
4. Participation in the development and presentation of in-house investigative training;
5. Participation in presentation of education and outreach programs; and,
6. Provision of appropriate directives and guidance for case processing.
7. HUD's involvement also includes assistance in the investigation, settlement, and/or
enforcement of fair housing cases dual-filed with the Department.
8. 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 adrug-free :workplace;
2. Cause to be performed required financial and compliance audits in accordance with the
Single Audit Act;
3. Comply with the provision 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 part with Federal funds;
4. Establish safeguards to prohibit employees from using their positions for a purpose that
constitutes or resents the appearance of pexsanal or organizational conflict of interest,
or personal gam,;
5. Comply with the L-rtergovernmental Personnel Act of 1970 (42 U.S.C. Sections 47x8-
4763) relating to prescribed standards far merit systems for programs funded under one
of the nineteen statutes or regulations specified in Appendix A of OPM's Standaras for
6
1(
a Merit System of Personnel {administration (5 C.F.ft. 9CC, Subpart F);
Comply with all Federal statutes relating to nondiscrimination. These include but are
not litruted 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 (0 U.S.C. Sections 1681-1683, and 1685-
1686), which prohibits discrimination on the basis of sex; ®Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. Section 794), which rohibits
discrimination an the basis of disability, ( the Abe Discrimination Act ofp1975, as
amended (42 U.S.C. Section 6101-6107), which prohibits discrimination on the basis of
age; and
7. Comply with all applicable requirements of Federal laws, executive orders, regulations,
and policies governing this program.
$. Comply with the requirements of the Resource Conservation and Recovery Act which
mandates that State Agencies using Federal funds having procurement programs which
give preference to ~raducts containing re tied materials when purchasing specific
roducts identified in guidelines developed by the Environmental Protection Agency
(p40 CFR 247-253).
10. USE OF CONSULTANTS
Salary payments to consultants under this instrument shall be the current rate of pay as
evidenced by current pay vouchers and shall not exceed the equivalent of the maximum
daily rate paid to GS-15 Step 1 Federal Employees.
11. PUBLICATIONS AND NEWS RELEASES
A. Definition. For the purpose of this clause, "publication" includes:
(1) Any document containing information for public consumption; ar,
(2) The act of, cr any act which may result in, disclosing information to the public.
B. Any products resulting from the education and outreach efforts of the Agency are planned to
be made available to the public through dedication, assignment by the Government, or other
such means as the Secretary shall determine.
C, GOVERN11~i~NT OWNERSHIP OF OFFICIAL PRODUCTS OF WOkK
All interim and•fa1 reports and information, data analyses, special methodology, findings,
and their related documenu 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 P:-aducts
7
11
of Work, owned by the U.S. Govemment 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 (G~) days after
acceptance of the product by the GTR- Thereafter, the Recipient shall be free to publish
without HUD approval.
E. ACKNOWLEDGEMENT AND DISCLAIMER
t1ll Official Products of Work, or any part thereof, and any Independent Products and Special
Products arising out of this instrument, when published by Recipient or other participants in the
work, shall contain the following acknowledgment and disclaimer:
"The work that provided the basis for this publication was supported by funding under a
Cooperative tlgreement 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 accurary of the statements and
interpretations contained in this publication. Such interpretations do not necessarily
reflect the views of the Govemment"
F. NOTICE OF NEW5 P.ELEASE 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 o*her
public announcements may not disclose any interim finding or quote or paraphrase any part of
any Official Product of `}Uork without complying with Paragraph E, above.
The Agency agrees that no news releases, publications, studies, or other products
involving FHAP funded activities will be released to the public without prior
HUD approval. The Agency further agrees that it will submit any press
release/news announcement, study and/or other product developed with FHAP
funds to the GTR for review and approval at least two weeks prior to its release,
unless HL~D~ agrer_s to waive the at least two week submission requirements.
Publications flyers, and other routine documents previously approved by the
GTR a~/or the Department, maybe published without further HUD approval.
12. REPRODUCTIONOF REPORTS
In accordance with Government Printing and Binding Regulations, reproduction of reports,
xz
repons, 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 eYCeed ?5,000 production units in aggregate.
13. FLOW DOWN PROVISION5
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 b,: 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 RecipPient and the
GTR on various issues, such as the acceptability of complaints forwarded far approval. If a dispute
concerning a question of fact arises, the G/GAO 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 mailed, faxed, or telephonically provided to the Recipient.
15. MAINTENANCE OF RECORDS
The CAO and the GTR are to maintain all appropriate records relating to the implementation of
this cooperative agreement for a period of 5 years for the GTR files and a period of 7 years for the
CAO files. The ~les for the CAO are to be kept in a secure place and should be accessible to
others only with the 4A0's permission. After 7 and 5 years respectively, the records may be
archived at the records center.
13
CONTRIBUTIONS AGREEMENT
FY 2000 - 2001
APPENDIX A -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 of housing discrimination complaints 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 all appropriate directives provided to it by the
Department.
3. The .Recipient aggrees to follow HUD's Technical Guidance in processing all dual-fled
complaints vouchered for under this Cooperative Agreement until the Department
rescinds the requirement in writing to the Agencies.
4. The Recipient agrees to furnish all staffing information, and utilize staff consistent with
such information as required by Anicle 1 of this Cooperative Agreement.
5. The Recipient may be required to participate in customer satisfaction 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.
If the Recipient,has aged cases, that is cases 200 days old or mare, the Recipient is required,
within 90 days of the execution of this Cooperative Agreement to submit a plan to the
GTR/GTM for handluag its aged cases.
B. CONTRIBUTION
The Recipient agrees to process housing discrimination complaints in accordance with
A. above (General Requirements), and m accordance with the Criteria for Processing
which are incorporated herein as Attachment A to the Schedule of Articles.
10
14
The Recipient also agrees to augment its fair housing enforcement efforts by engaging in
outreach, education, training and technical as: istance pursuant to the Memorandum of
Understanding or the Interim Agreement. Vti here the Recipient does not engage in
education and outreach activities under this C:~opr~rative Agreement for the receipt of
1998 FHAP funds, the GTR is permitted to withhold $1,000 from the Training
component of this Agreement.
C. REPORTIlVG REQUIREMENTS
The Recipient agrees to provide the GTR timely information on all dual-filed complaints,
from receipt to closure regardless of whether payment has been received.
The progress of all dual-filed complaints from receipt through closure may be re orted
using the Title VIII Automated Paperless Office Tracking Systems (TEAPOTS) data ar
other data and information systems technology agreed to by the Agenry and the
GTRJGTM.
Failure to report the progress of a dual-filed complaint, from receipt through closure, using
either TEAPOTS, .another automated case tracking system, or providing the data
manually in a procedure agreed upon by the Agency and the GTR may result in a
reimbursement to HUD of up to 50% of the per case reimbursement amount previously
paid for that complaint (see III.C (2) of Attachment A (Criteria for Processing)).
D. TRAINL-vG AND OUTREACH
The Recipient agrees to participate in mandatory FHAP training sponsored by HUD
dealing with the handling and processing of dual-filed housing discrimination complaints. The
mandatory training may be at lease one HUD=s onsored National training conference and one
HUD-sponsored Hub location training. FHAP fiends may only be used for employees that have
direct responsibility for handlinpg complaints fried under the Agency's fair housing law or
ordinance that are dual-filed with the Department. Any employee attending HUD-sponsored
training who does not have responsibilities directly related to housing discrimination, will not be
counted by HUD for the Agency as having met its training minimum.
MANDATORY TRAINING REQUIREMENTS:
The Agency must co_ nduct education and outreach, carry out specialized ,data and
information systems training and participate in HUD-sponsored or HUD-approved
training. Agencies will receive $?5,000 for training its employees. In order to receive the
total allotment of training finis the Agency must train at least seven persons. The training
is "required" for all investigators carrying out duties under the Agency's fair housing law, at
least one policymaker, and one Data and Information Systems staff persons. Agencies
should encourage their attorneys and Comi.nissioners to attend the trauung. If the Agency
desires to train other staff before it completes it training requirements for its fair housing
11
15
staff (i.e., investigators/intake, or data and information systems staff), the GTR must
approve of the Agency's selection.
Attendance is regacired at HUD-sponsored training for the entire training allotment to be
approved for payment. Generally, the HUD-sponsored training will include one National
Training Conference and Hub ~or regional) trainin activities. Depending on which
category the Agency selects in this training category ~i.e., six or ten), at least flue or nine
employees must participate in HUD-sponsored and/orHUD-approved training.
The Agency must agree to develop carry out an outreach plan. The Agency may consult
with the GTR/GTM on its planned outreach activities. Failure to do so will result in a
denial of the $2,000 allotted to the Agenry under this Cooperative Agreement under this
training category.
If the Agenry has met its mandatory training requirements, and training funds remain,
upon request by the Agenry, the GTRIGTM may approve other training. HUD
approved training may be training designed and implemented by the Agency, seminars or
conferences with fair housing issues on the agenda, ccurses at colleges, academies, and
educational or development centers having courses eared to teaching or keeping
participants up-totlate on fair housing laws and activities, or other relevant training
requested by the Agency. However, all training agendas, enrollments for classes, or other
plans for participating in training must be approved by the GTR in writing before the
training is i<-nplemented or attended.
Failatre to train the specified number of employees acrd to send at least one employee to the
national and regional training activities will result in a X1,000 deda~ction for each non-
attendantbelow the minimum.
H:ECF:FHAPDir:Policy Guidance:!~.'ontributions 2000-2001
12
lb
ATTACFi'MENT A
INTRODUCTION
Criteria for Prvicessina
FY 2000-2001
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 the same set 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 camplaint proceedings before
the end of the thirtieth day after the receipt of the complaint.
If it is determined that the agency has not commenced complaint
proceedings within the appropriate time frame, the GTR may
reactivate the complaint. The written agreement between the
agency and HLTD defines "commence complaint proceedings" as
follows: the agency has received a camplaint, assigned a case
number, determined acceptability, and assigned the complaint for
investigation and resoJ_ution.
The GTR must confer with the appropriate agency officials to
determine whether a complaint will be reactivated wren it is
determined that an agency has commenced proceedings within the
appropriate t-ime frame, but has not carried forward proceedings
with reasonable promp~ness: Reactivation for this reason must
not be a unilateral deei~ion. 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
the Statement of Work. Failure to comply with any provision of
17
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 necessary information has been provided.
However, if payment was made and the agency does not furnish the
required information, the GTR should formally request that 50~ of
the payment authorized and received by the agency be returned to
HUD.
is
THE CRITERYA FOR PROCE55ING
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 cr 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 time frame under the Federal Fair
Housing Act and the State and local agency's fair
housing law.
2. The complaint must be in writing, signed and
affirmed by the person filing the complaint. The
complaint shawl be affirmed attested to and or
notarised as rescribed b the relevant State or
local law.
3. Each complaint must r_ontain 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
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
Lurther action is necessary.
5. The complaint may be filed with the assistance of
an authorized representative of the person filing
the complaint.
The State or local agency is required to refer
complaints or provide information to HUD regarding
allegations which the agency receives involving a
practice which is not covered by the State or
local law, but is covered by the Federal Fair
Housing Act. (See Sections VII and VIII of~the
written agreement between the agency and H'JL.)
B
Dual=filed Com Taints - only dual-filed complaints are
considered for paymenti under the FHAP.
1. A dual-filed complaint is one that has been
docketed by both HUD and the agency.
2. Complaints filed first with a State or local
agency, and those received by HUD and subsequently
referred to a certified or interim certified
agency, are considered dual-filed with the agency
under its own law and with HUD under the Federal
Fair Housing Act.
3. In order to preserve the statutory period for
filing complaints, a complainant may provide
information to be contained in a complaint by
telephone, provided the State or local agency, or
zo
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.
5. Dual-filed complaints wherein the Department and
the Agency have worked together to handle/resolve
may be counted for payment. Such complaints
include instances where: .
a. either HUD or the FHAP asks to participate in
investigation and/or resolution of enforcement
agreements
b. complaints involve Department of Justice
enforcement
C.
D.
Amendment of Com Taints
Complaints stay be rQasonably and fairly amended at any
time. Such amendments may include, but are not limited
to: amendments to cure technical defects or omissions,
including failure to sign or affirm a complaint, to
clarify or amplify the allegations in a complaint, or
to join additional or substitute respondents. Except
for purposes of notifying additional respondents,
amended complaints will be considered as having been
made as of the original filing date.
Notification to Resoonden~s
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 wil~ identify the alleged housing
discrimination practice upon which the complaint
is based, acid include a copy of the complaint.
1. The State or local agency will serve a notice oti
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
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.
z~
4. The notice will indicate trat 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 '.oval law.
5. An answer may be reasonably an.l fa.rly amended at
any time with the consent of tt~e head or official
designee of the State or local ~.genc-y.
E. The Investi atian 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 ir.~restigation and are not to be
viewed as such.
2. In planning the investigation, the investigator
and housing supervisor must determine an a
case-by-case basis whether the investigation
should be conduc~:r:d on or off-site.
(a) Off-site in-~restigations 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 ather situations involving
investigations of complaints, an on-site visit
is the most efficient way to conduct an
investigaticr~.
3. Beginning with tree 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:
22
(a) The names and dates of contacts with
witnesses, except that the report will not
disclose the names of witnesses who request
anonymity;
(b) A summary and the dates of correspondence and
other contacts with the aggrieved person(s)
and the respondent(s);
(c) A summary description identifying other
pertinent records examined;
(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.
S. For the purpose of.FHAP funding support, an
investigation is cocnpleted when at least one
supervisor has signed the investigative report.
6. The State or local agency will cooperate with the
GTR by providing information at regular intervals
or upon request as set out in Section 8 of this
cooperative agreement. The GTR will make monthly
status requests of each case that is over 100 days
old.
7. when the agency completes the processing of a
dual-filed complaint, all documentation as
required in section 8 of the cooperative agreement
and section'A.3 of the Statement of 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 curt decision if the complaint
is not closed at the time payment is approved.
If-the agency does not provide this closure
information, the GTR may request that up to 50~ of
the per case reimbursement previously paid be
returned.
Z3
II. REASONABLE CAUSE OR NO REASONABLE CAUSE DETERMINATION
A. Re uirements for Acce Lance
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 that occurred serves as the basis of
the allegations made by the complainant and/or
information disclosed in the course of the
investigation; (2) the unit sought was actually
available and on the market at the time of the alleged
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 Re fired: Th? 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_ Determinati.cn
After examination of the above criteria, a reasonable
cause or no reasonable cause determination must be made
supported by the totalit of the facts obtained during
the investigation.
D. Documentation Re uired
The basis for the reasonable/no reasonable cause
determination must be well documented within the
context of the Final Investigative Report as specified
in Secticn I.E (4)-(7) as contained herein, and mailed
to HUD. A reasonable cause determination must include
tre date the case was referred to the agency's legal
.department for further action.
24
E
The GTR may deny payment if he/she determines that
substantial data may 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.
Pa ent for Post Cause Activities and Char ed Cases
Agencies may receive additional funds for activities
they carry out after a cause finding is made or after a
charge is issued. The additional activities must be
documented and have dates entered in TEAPOTS where
required.
Post Cause Activities
1. Notification by the Agency's legal office that
the cause finding has been "accepted" by legal,
and a legal review is being undertaken;
2. Verification of the attorney(s) time dedicated
to the complaint; and
3. Verification of supporting activities
undertaken by the legal staff (i.e., additional
investigation, preparation of reports,
discovery, local transportation costs,
transcript services, and other activities
related to supporting the cause determination
of the Agency).
For Char ed Cases
1. The charge must be a specific written document
issuing the charge
2. The charge mus+:.be signed by the appropriate
Agency official; and
- 3. The charge must offer the election process, if
applicable.
SEE.FVND Eli ibilit
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 ten
required cases as fully investigated for eligibility
for SEE funds (ref 111.305 (5)) .
25
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 cbtain 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 writin 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 RUD and the State or local agency;
(e) contain a provision stating that the
agreement shall bE made public unless the
complainant ~r,d 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:
* These standards for conciliatior_ remain in effect even if
conciliation takes place after the agency's reasonable cause
determination.
26
• Sexual harassment allegations that may
be embarrassing or humiliating to the
parties;
• Discrimination based on a physical or
mental disability that the complainant
may not want disclosed; or
• Complainant is a resident in a home for
battered women who may be concerned
about her safety if the agreement were
publicized.
(f) contain a provision which will allow the
agency to conduct compliance reviews of all
settlements and conciliation agreements or
other orders issued to resolve the
discriminatory housing practice; and
(g) include language that states when other civil
rights ,authorities ha•re been viola*_ed: The
conciliation agreement does not prohibit HUD
from taxing further a:.tion 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 FtTND ELIGIHYLITY
For SEE funds acceptance, successful conciliation must
also provide for (1) monetary relief; (2) monitoring;
andF _F3) 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 111.3Q5(3)).
2. Documentation Re uired. The agency must submit:
(a) a copy of the conciliation agreement (with
the provisions ~f 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
27
(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. Re uirements for Acceptance. Attempted
conciliation efforts were unsuccessful and the
State or local agency made a reasonable cause
determination.
2. Documentation Re fired. All conciliation efforts
should be well documented in she Final
Investigation Report. Documentation showing
failed conciliation efforts mast include:
(a) a copy of the material required in Section
I.E. (3) -_L7~ regarding Final Investigative
Reports;
(b) a copy of the reasonable cause determination
notices to the complainant, the respandent,
ar 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
(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
(~) 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
zs
support when the agency provides documentation
which indicates the date of rEferral for such
legal action.
(2) The agency will report the final de~:ision of any
administrative hearing or civil proceeding to the
appropriate field office. If the agency does
nat provide this information within 30 days of the
final decision, the GTR, with the concurrence ~~f
the CAO, may recapture up to 50~ of the payment.
IV. SETTLEMENT CLOSDRE
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 Resolut;_on. A withdrawal with
resolution is based only on the ccmplainant's request
for withdrawal of a complaint because a resolution
has been agreed upon by the complainant and respondent.
1. Re uirements for Acce tance. 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;
(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 ar 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
29
practice has not exceeded the statutory
limitation of t:~e State or local fair housing
law.
2. Documentation Re wired. 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 CLOSIIRES - If over 20~ of the agency's total
caseload are closures as discussed in A through D of this
section, the agency is ineligible for SEE funds (reference
115.305(b)).
A. Withdrawals Without Resolution
1. Re irements for Acce tance. The withdrawal
request must:
(, a) Be in writing;
(b) Be signed and dated by the complainant ar 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);
(f) Contain a specific reference to the
withdrawal of the HUD complaint as well as
the agency's co<<lplaint; and
(-g) Indicate the complainant's awareness that the
withdrawal will result in the termi;iation of
proceedings involving the matter; and
(h) Contain a specific statement that there was
no coercion or fear of retaliation from any
person (not j ust the. respondent) .
~o
2. Documentation Required (To .be mailed to HJD at
time of reporting the closure to HUD):
(a) A chronology of agency actions prior to
withdrawal request; and
(b) A 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. Requirements for Acceptance
The basic requirement is to establish that the
agency was unable to locate the complainant. This
would include written documentation of steps such
as:
(a) The receipt of returned correspondence
indicating that the complainant moved and
left no forwarding address;
(b) Documented evidence that the telephone number
of an individual who would always know haw to
contact the complainant was obtained at
intake, and that efforts to contact such
person were unsuccessful;
(c) Documented contacts with other sources ar
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 p7_ace of employment, etc.);
(d) Documented effoYr.s 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 tre last known address by both regular
and certified mail, advising the complainant of
31
the agency's intent to close the case unless
information regarding a current address and/or
telephone number is provided within 10 days.
After the 10th day has elapsed without a response,
the case may be closed administratively with
notice sent to all parties, including the
complainant to the last known address.
Notwithstanding the documentation and actions
required above, if the final investigation report
shows that there were no attempts to locate the
complainant(s) within a 30-day time frame, the
agency shall not receive credit under the FHAP for
the closure of the case.
2. Documentation Re fired (To be mailed to HUD at
time 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 Com lainant to Coo erase with the
Investigation
1. _ Re uirements far the Acre Lance. The State or
local agency must send the complainant a letter
indicating that the agency and HUD will dismiss
.. the complaint. after the following actions have
k 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 tree
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 hisrory of
3z
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. Tf the letters are
returned as unclaimed, the State or local
agency must attempt to contact the
complainant by telephone and document such
attempts.
(c) Tf 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
coo erate. 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 Re uired (To be maile3 to HUD at
the time of reporting the closure to HUD):
(a) A copy of Lhe case chronology sheet, or other
written docume,itation 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.
D. Lack of Jurisdiction - A lack of jurisdiction (LOJ)
must apply to both HUD and the agency. Nihere only one
agency has jurisdiction, the complaint must not be
dual-filed.
1. Requirements for Acceptance The LOU 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. )
33
2. Documentation_Re_auired_ (To be mailed to HUD at
time of reporting the closure to HUD):
(a) a written explanation setting forth the
reason that the lack of jurisdiction could
not be determined at intake; and
(b) a written explanation for closing the
complaint for lack of jurisdiction.
VI. DISMISSALS
1. Bankruptcy is not an appropriate reason for dismissing a
complaint.
2. A respondent's defense and rebuttal of complainants'
allegations are not sufficient reasons for dismissing a
case. Only the investigation and facts discerned by the
investigation support dismissal.
3. Any withdrawal, with or without settlement, that
contains information or documentation by the complainant
which indicates that the complainant was not completely
satisfied with the terms of the withdrawal sY.ould 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. CUSTQMER SATISFACTIpN STANDARDS
1. 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 came
into contact with your agency and throughout the
complaint process;
• Maintain regular contact with the parries 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.
34
• Managers are to ensure that the agency's staff do
not communicate :3isinterest or distrust in the
complaint proces7 to any of the parties to the
complaint. Inve:~tigators 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,~afr~iid to say what they really feel,
or to feel compron.ised in any way.
2. Complaints involving the quality of complaint processing
and concerns related to these customer service
requirements and guidelines will be reviewed by the GTR.
The GTR will work with the Agency and the customer
(complainant, respondent, witnesses, or other persons
involved in the investigation of the complaint) to
resolve the matter. The GTR will, if necessary, commit
the results of the discussion between the Agency and the
customer to writing. If problems persist in the area of
customer service, the GTR may require that the Agency
staff attend training on the customer service
requirements.
Assistance Award/
'Amendment
1. Assistance Instrument
2. T e of Action
X^ Cooperative Agreement ~ Grant X~ Award ~ Amendment
3. Instrument Number 4. Amendment Number c9on 6. Control Number
5. Effective D
ot
A
h s
F)?204K004022 10
O
/
9
/ 1
7. Name and Address of Recipient 8. HUD Administering Office
HUS DIRECTOR, SE/CARIBBEAN OFFICE OF FHEO
ORANGE COUNTY Fi[JMAN RELATIONS COMMISSION GEORGIA STATE OFFICE,I6TH FL, MARIETTA 5T.
P.O. BOX 8181 ATLANTA, GEORGIA 303032806
HILLSBOROUGH, NORTH CAROLINA 27278
Ba. Name of Administrator eb. Telephone Number
GREGORX BERNARD KING (404)331-5140
10. Recipient Project Manager 9. HUD Govamment Technical Representative
Annette M. Moore, Director SUE DARLING, DIRECTOR, KENTUCKY PROGRAM CENTEF
11. Ass istance Arrangement 12. P ayment Method 13. HUD Payment Office
Cost Reimbursement ~ Treasury Check Reimbursement C p
p,CCOUNTING CENTER
Cost Sharing ~ Advance Check P . 0 . BOX 2 905 , FT .WORTH, TX 76113 - 2 905
Fixed Price ~ Automated Clearinghouse
14. Assistance Amount 15. HUD Accounting and Appropriation Data
Previous MUD Amount $ 15a: A propriation Number 15b. Reservation Number
0
02
0
MUD Amount this action S K~ ~ nn nn 86
10144 FHEO-04-
0-
Total HUD Amount $ 65, 100 . OOi
Recipient Amount $
Total Instrument Amount $
65,100.0
Amount Previously Obligated $
Obligation by this action $ _65,].00
Total Obligation $ 65, 100 .
18. Description
COOPERATIVE AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP)
This agreement consists of the following, which incorporated herein and made apart hereof:
1. Cover Page, HLTD 1044
2. Schedule of Articles
3. Statement of Work
4. Assurances (Attachment C)
5. Criteria for Processing
6. Administrative Requirements for Grants and Cooperative Agreements
(as included by reference to pervious Cooperative Agreements)
Order of Precedence: Notwithstanding any provision to the contrarryyt in the event of a confli~
among an of the doctunent:s pertaining to the duties and res onsi}ail~ties of the parties, the
Statemen~ of Work shall take precedence over the Schedule o~ Articles.
11
~ ~• Recipient is required to sign and return three (3) copies ~ 8• ~ Recipient is not required to sign this document.
of this document to the HUD Administering Office.
19. Recipient ley Nemel: 20. HUD IBy Namel:
Signature & Title: Date: Signature & Title: Date:
o.~......... ,,.r:...,..., .......~....~.....
U.S. Department of Mousing
and Urban Development
Office of Administration
r
/ ~ V ' ~~~
S
r,,.... win_~nad ~a.
Assistance Award/
Amendment
U.S. Department of Housing
and Urban Development
Office of Administration
,~
~ ~~ ~-e I
36
4ssistanCe Instrument
65,100.0
X~ Cooperative Agreement ~ Grant ~ Award ~ Amendment
3. Instrument Number Q. Amendment Number 5. Effective pate o thhis Action
j 6. Control Number
FF204K004022 1O
01/99
7. Name and Address of Recipient 9. HUD Administering Office
HUB DIRECTOR, SE/CARIBBEAN OFFICE OF FHEO
ORANGE COUNTY'HUMAN RELATIONS GOMMTSSION GEORGIA STATE OFFICE,I6TH FL, MARIETTA ST.
P.O. BOX 8181 ATLANTA, GEORGIA 303032806
HILLSBOROUGH, NORTH CAROLINA 27278
aa, Name of Administrator Sb. Telephone Number
GREGORY BERNARD KING (404)331-5140
10. Recipient Project Manager
Annette. M. Moore, Director 9. HUD Government Technical Representative
SUE DARLING, DIRECTOR, KENTUCKY PROGRAM CENTER
11. Assistance Arrangement 12. P ayment Method 13. HUD Payment Office
Cost Reimbursement ~ Treasury Check Reimbursement ~~ ACCOUNTING CENTER
Cost Sharing ~ Advance Check P . O . BOX 2 9 0 5 , FT .WORTH, TX 7 6113 ~ 2 9 0 5
Fixed Price ~ Automated Clearinghouse
14. Assistance Amount 15. HUD Accounting and Appropriation Data
Previous HUD Amount $ 15a. Appropnation Number 15b. Reservation Number
10144 FHEO-04-00-02
860
u~ in e..,.,~~.,r rl,ie nnrinn 4 dC inn nn /
.
Total WUD Amount $ 65,_100.00
Recipient Amount $
Total Instrument Amount $
2. T e of Action
Amount Previously Obligated $
Obligation by this action $ 65 100 . 0~
Total Obligation $ 65, loo . o~
18. Description
COOPERATIVE AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP)
This agreement consists of the following; which incorporated herein and made apart hereof:
1. Cover Page, HUD 1044
2. Schedule of Articles
3. Statement of Work
4. Assurances (Attachment C)
5. Cxit:eria for Processing
6. Administrative Requirements for Grants and Cooperative Agreements
(as included by reference to pervious Cooperative Agreements)
Order of Precedence: Notwithstanding any provision to the contrarryyi in the event of a conflic
among an of the docuttfents pertaining to the duties and res onsibilities of the parties, the
Statemen~ of Work shall take precedence over the Schedule o~ Articles.
;,
~ ~• Recipient is required to sign and return three (3) copies
of this document to the HUD Administering Offfice.
19. Recipient IBy Namel:
Signature & Title:
Recipient is not required to sign this document.
20. HUD ley Name):
Date: Signature & Title:
Greaorv Bernard
Date:
Assistance Award/
Amendment
U.S. Department of Housing
and Urban Development
Office of Administration
1. Assistance Instrument
65,100.0
Cooperative Agreement ~ Grant X~ Award U Amendment
3. Instrument Number 4. Amendment Number 5. Effective Data of this Action 6. Control Number
FF204K004022 10/01/99
7. Name and Address of Recipient 8. HUD Administering Office
HUB DIRECTOR, SE/CARIBBEAN OFFICE OF FHEO
ORANGE COUNTY HUMAN RELATIONS COMMISSION GEORGIA STATE OFFICE,I6TH FL, MARIETTA ST.
P:O. BOX 8181 ATLANTA, GEORGIA 303032806
HILLSBOROUGH, NORTH CAROLINA 27278
Ba, Name of Administrator eb. Telephone Number
GREGORY BERNARD KING (404)331-5140
10. Recipient Project Manager
Annette M. Moore, Director 9. HUD Govamment Technical Representative
SUE DARLING, DIRECTOR, KENTUCKY PROGRAM CENT]
11. Assistance Arrangement 12. P ayment Method 13. HUD Payment Office
Cost Reimbursement ~ Treasury Check Reimbursement FCitFJDO ACCOUNTING CENTER
Cost Sharing ~ Advance Check P.O. BOX 2905, FT.WORTH, TX 76113-2905
Fixed Price ~ Automated Clearinghouse
14. Assistance Amount 15. HUD Accounting and Appropriation Data
Previous HUD Amount $ 15a. Appropriation Number 15b. Reservation Number
FHEO-04-00-02
860
10144
uiin nr.,r,~~.,r *i,~o anrinn 4 CC ~ nn nn /
_
Total HUD Amount $
Recipient Amount $
Total Instrument Amount $
1fi. Description
,~
~ ~~~~e~
37
2. T e of Action
Amount Previously 061igated $
pbligation by this action $ 65 100
Total Obligation $ _ 65, 100
COOPERATIVE AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP)
This agreement consists of the following, which incorporated herein and made apart hereof:
1. Cover Page, HUD 1044
2. Schedule of Articles
3. Statement of work
4. Assurances (Attachment C)
5. Criteria .for Processing
6. Administrative Requirements for Grants and Cooperative Agreements
(as included by reference to pervious Cooperative Agreements)
Order of Precedence: Notwithstanding any provision to the contrarryyt in the event of a confl
among an of the documents pertaining to the duties and res onsibilities of the parties, the
Statement of Work shall take precedence aver the Schedule of Articles.
~ ~• Recipient is required to sign and return three 13) copies ~ $• ~ Recipient is not required to sign this document.
of this document to the HUD Administering Office.
19. Recipient ley Nama-:
Signature & Title:
20. HUp IBy Namel:
Date: ~ Signature & Title:
d. ....:... .....a:.:............. ~..,. ~.....
Bernard Ki
Date:
form HUD-1044
Assistance Award/ U.S. Department of Housing '
Amendment and Urhan Development
Office of Administration ~ ~ ~-e~
t Gssisi~nne Instrument
Cooperative Agreement ~ Grant X^ Award ~ Amendment
4. Amendment Number 5. Effective Di
of
t~s
9c~ion 8. Control Number
FF204K004022 o
C
/
/
7. Name and Address of Recipient 8. HUD Adminiate
ring Office
HUB DIRECTOR, SE/CARIBBEAN OFFICE OF FHEO
ORANGE COUNTX HUMAN RELA'T'IONS COMMISSION GEORGIA STATE OFFICE,ISTH FL, MARIETTA ST.
P.O. BOX 8181 ATLANTA, GEORGIA 303032806
HILLSBOROUGH, NORTH CAROLINA 27278
8a. Name of Administrator 8b. Telephone Number
GREGORY' BERNARD KING (404)331-5140
10. Recipient Protect Manager 9. HUD Govamment Technical Representative
Annette M. Moore, Director SUE DARLING, DIRECTOR, KENTUCKY PROGRAM CENTER
11. Ass istance Arrangement 12. P ayment Method 13. HUD Payment Office
Cost Reimbursement ~ Treasury Check Reimbursement ~~
Cost Sharing
~
Advance Check ACCOUNTING CENTER
P.O. BOX 2905, FT.WORTH, TX 76113-2905
Fixed Price ~ Automated Clearinghouse
14, Assistance Amount 15. HUD Accounting and Appropriation Data
Previous HUO Amount $ 15a. A propriation Number 15b. Reservation Number
HUD Amount this action S ti~ .'inn . nn B60/ 10144 FHEO-04-00-02
Total HUD Amount $ 65, 100.00
Recipient Amount $
Total Instrument Amcunt $
18. Description
COOPERATIVE AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP)
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. Assurances (Attachment C)
5. Criteria far Processing
6. Administrative Requirements far Grants and Cooperative Agreements
(as included by reference to pervious Cooperative Agreements)
Order of Precedence: Notwithstanding any provision to the contrarryyt in the event of a conflict
among any of the documents pertaining to the duties and res onsibilities of the parties, the
Statement of Work shall take precedence over the Schedule o~ Articles.
,~
~ ~• Recipient is required to sign and return three (31 copies ~ 8• ~ Recipient is not required to sign this document.
of this document to the HUD Administering Office.
7 Tv nr of Actinn
Amount Previously Obligated $
Obligation by this action $ 65, 100 .0
Total Obligation $ 65, 100. 0
65,100.0
19. Recipient IBy Namel:
20. HUD IBy Name.):
Data: ~ Signature & Title:
Date:
Signature & Title:
Crn.,inun e.diHnnn e.n .. F.enlefn
form HUD-1044 1819
Assistance Award/
"Amendment
U.S. Department of Housing
and Urban Development
Office of Administration
~, r
~ r/ ~-e~
39
1 . Assistance Instrument
2 T e of Action
X^ Cooperative Agreement ^ Grant L~J Award ^ Amendment
3. Instrument Number 4. Amendment Number 5. Effective Date o this Action 6. Control Number
FF204K004022 1Oj01/99
7. Name and Address of Recipient e. HUD Administering Office
HUB DIRECTOR, SE/CARIBBEAN OFFICE OF FHEO
ORANGE COUNTY HUMAN RELATIONS COMMISSION GEORGIA STATE OFFICE,I6TH FL, MARIETTA ST.
P.O. BOX $1$1 ATLANTA, GEORGIA 303032806
HILLSBOROUGH, NORTH CAROLINA 27278
ea. Name of Administrator 8b. Telephone Number
GREGORY BERNARD KING (404)331-5140
10. Recipient Project Manager
Annette M. Moore, Director 9. HUD Oovemment Technical Representative
SUE DARLING, DIRECTOR, KENTUCKY PROGRAM CENTER
11. Ass istance An'angement 12. P ayment Method 13. HUD Payment Office
^ Cost Reimbursement ^ Treasury Check Reimbursement ~~
^
Cost Sharing
^
Advance Check ACCOUNTING CENTER
P.O. BOX 2905, FT.WORTH, TX 76113-2905
^ Fixed Price ^ Automated Olearinghouse
14. Assistance Amount 15. HUD Accounting and Appropriation Data
Previous HUD Amount $ 15a. A propriation Number 15b. Reservation Number
0
HUD Amount this action $ 65.100 .00 86
10144 FHEO-04-00'02
Total HUD Amount $ 65. 100 . 00~
Recipient Amount $
Total Instrument Amount $
65,100.0
Amount Previously 061igated $
Obligation by this action $ 65 100.
Total Obligation $ 65, 100. C
16. Description
COOPERATIVE AGREEMENT FOR FAIR HOUSING ASSISTANCE PROGRAM (FHAP)
This agreement consists of the following, which incorporated herein and made apart hereof:
1. Cover Page, HUD 1044
2. Schedule of Articles
3. Statement of Work
4. Assurances (Attachment C)
5. Criteria for Processing
6. Administrative Requirements for Grants and Cooperative Agreements
(as included by reference to pervious Cooperat~.ve Agreements)
Order of Precedence: Notwithstanding any provision to the contrarryyt in the event of a conflic
among an of the documents pertaining to the duties and responsibilities of the parties, the
Statemen~ of Work shall take precedence over the Schedule of Articles.
,~
~ ~• ^ Recipient is required to sign and return three 131 copies ~ 8•
of this document to the HUD Administering Office. ^ Recipient is not required to sign this document.
19. Recipient IBy Namel: 20. HUD IBy Namel:
Signature & Title: Date: Signature & Title: Date:
Gre or Bernard Kin CAO
Previous edirinnc are nhanlare ...._ ._.. ._._
~~L~l~"Sec~ b
FY2000 Cooperative Agreement FHAP Funds Distribution:
Agency Name: ORANGE COUNTY HUMAN RELATIONS COMMISSION
Case Processing (7/1/99 thru 6/30/00): (8) $14,400.00
CAUSE Cases (0) $0
Training
$22,500.00
Outreach/Education $ 2,500.00
Special Enforcement Funds (SEE) $10,700.00
Administrative Costs (AC) $15,000.00
TOTAL CONTRACT AMOUNT: 65 100.00
NOTE: Except for Case Processing, the other funds will not be approved far
payment without-the proper documentation as described in the Cooperative
Agreement* Appendix A, Criteria for Processing.
41
FY200Q Cooperative Agreement FHAP Funds Distribution:
Agency Name: ORANGE COUNTY HUMAN RELATIONS COMMISSION
Case Processing (7/1/99 thru 6/30/00): ($) ~ $14,400.00
CAUSE Cases (0) $0
Training ~ $22,500.00
Outreach/Education $ 2,500.00
Special Enforcement Funds (SEE) ~~~~~00 • ~ d
Administrative Costs (AC) 15,000.00
TOTAL CONTRACT AMOUNT:
~j ~~U' U~
NOTE: Except for Case Processing, the other funds will not be approved for
payment without•the proper documentation as described in the Cooperative
Agreement, Appendix A, Criteria for Processing.
t,
U.S artment of Housing end Urben Develo. ent
FUN!)S RESERVATION & CONTRACT AUTHORITY
1 A. NAME AND ADDRE5S OF PROJECT IDENTIFICATION 1 e. PROJECT CONTRACT, IAA OR
PURCHASE ORDER NUMBER
ORANGE COUNTY HUMAN RELATION5 CONIl~rISSIOIN FF204K004022
]?.O. BOX B1$1 2. DATE OF PREPARATION
HILLSBOROUGH, NC 2727$ (Month, Day and Yearl
07 20 00
S. 1it;iClivA 1 wn n~mocn .......--- - ---- --
FHEO -04-00-02 GREGORY BERNARD KING, HUFI DIRECTOR
un rn an ccountrn assr cation
cosT 5116-OBJIeCT
CENTER CLp,gg RESERVATION INCREASE NET
APPR~PRIA710N OR FUND SYMBOL C BDE ~ppE OUTSTANDING (Decrease) AMOUNT
A D E F
860/10144
;x ~ /0 ~
NET TOTALS ~
6. Purpose of This Action (Check Applicable Box(es-)
„~q,,~ INITIAL RESERVATION
B. [] INCREASE OR (Decrease/ RESERVATION (Amendment Number 1
C. [] CANCEL RESERVATION (Bracket Amount in 5E1
D. O EXECUTE, AMEND OR WAIVE CONTRACT
7A. DESCRIPTION OF PROJECT 7B. CONTRACT CONDITIONS (/f any)
FAIR HOUSING ASSISTANCE PROGRAM AGENCY CONTRACTDAND STTA CTEMENT OFI ORK.~r
I
. 9. To 13e Completed by the
In accordance with authorRy vested in ar delegated to the undersigned; in consequence of provisions end requirements of appli-
cable lew; under decisions of'racord regarding the project or program identified in Block 1 B above; and with determination that
the actions in Block 5 ars in the public interest, those notions are recommended and authorized harawith:
A. RECOMMENDED (Signsturn/ - D. ORIZED (Signed I
OFFICE
C. DATE (Mo., Day
1 V• ^ V• ~^YYV V.. ~..• ~~ ----
FUNDS AVAILABLE ~ RESERVATION RECORDED OR ADJUSTED TO AMOUNT SHOWN IN 5F
Date
43
8022.1
Appendix 12t
ATTACHMENT C
OMB STANDAP.D ASSURANCES - SF 4246
Orug Free Certification
12c-1 6/90
8022.1 ~ 44
Appendix 12~
/-SSVRANCES - NON~ON5TRVCTIOH (pROGRAMi
ATTACMKfNT ~
Ow a~•hM t• 13Y ~eae
Hots: Certa-n of these usuranne'snay set k applicable b rear ~rejeet er prepran+ Vyev Aa•e qutaiona,
please een-sct the arardir>; edency furtl+er,eertain ~rdere warding agcneres tear require applicants
to certify b additional assurancta llsuth is the etst,~ou will bt taotlfitd
As the dui avthorir~d re reatnlatirt of the a licant 1 eertJ tAat tyre a Tiant:
Has the legal avtherity to apply ter lrederel
assistance, and the tnstltutienal, ensnagerial and
financial dpability (including funds tvllicient to
pey the non•Pederal there of preject eestsl to
ensure proper planning, management and eeen•
ptetien of the project described in chit application.
V~ill pine the awarding agency, the Comptroller
General of the l;nitad Sutra. and Y apprepriata,
the State. through any avthoriied reprefentati•t.
access to and the right to examine all records.
books, p+pert, er documents related to the award:
and Mill establish'a proper accounting tyttern in
•ceordtnee with generally aceeptrd accounting
s4nduds or agency d;rteti~es.
5. M'i11 establish safeguards to prohibit ea+ploytea
troen using their positions toe • purpose that
constitutes or presents the tppearante etpersonal
er organisatiorul conflict of interest. er personal
prin.
~. ~ i11 i7titiatt and complete the rrerk within the ?.
appliable time !came after receipt of approval of
the warding agency.
S. ~ i11 eornply with the Interge.ernmental
Personnel Act of 1970 (fix L.S C- !i ~725.47i31
relating to prescribed standards tee merit tyttetxts
for programs funded under one of the nineteen
statutes or regulations specified in Append;: A st
OPS~f's Sundards for • Merit System of Personnel
/rdministration tSC.F.R./00.Subpartfl.
d. Wi11 remply with all Federal statutes rtiating a
etondiscrimieatien. These lnetude but ere stet
Limited t+r.-tefiTitle Vl et the Civil Rights Act of
1964 (P.L. 55.3521 whkb prohibits die-rimination
on the basis of race. color n national Origin: (bI
'title tX of the Education Amendments of 1172. ss
,encoded (ZO V S C. !! 1651.165]. end 1655.16561.
r.hieh prohibits-discrimination on the basil of ae::
k1 Seetien SOi of t>,t Rehabilitation Act of 1173. st
emended (2/ {~: S C. !'1111. whits, p*ehibib dia-
erimination en the basis of handippt;; (d1 the lips
Discrlrninatien Aet of 1175. es aes+ended (42
C.5 C !! 6101.61071, which prehibitt discrim-
ination on thtbasis efage:
(e1 the Drug Abuse Off+a end Treatment Aet of
1172 (P.L. ft•><SS1. at emtnde/, relating to
~ondiecrimination en the basis of drug abuse. to
the Cornprthtnaivt Aleol+ol Abuse and Aleoholisrn
Prertntion. Treatment and Rehabiliution Act of
1170 (P.G. ~1•ilil. st emended. relating to
ewondiettitnination an the bath el a1ceM,1 abuse or
elcohelitm; (g1 !! ~2? and S27 of tht !'ub'ie Health
Ser+rice Act of 111! (/21r'3 C•'!90 dd•S and 490 ee-
al. as amended. rtlkting to tonfde~tiality of
e4ehol and drug abuse patient records. Ohl Tttle
v111 of the Civil Rights Act et 1164 t~4 l'.S C !
2601 et teq 1. ss aetended, relating to non•
discrimination in the ale, rental er I:aaneing of
heuainp; (il any ether aondieerimination
prorisiont in the spteint ttatute(sl under which
application for Federal assistance is being made.
and (,~l the requlren+entr of an? ether
s-ondiaerla+inatien atatute(al which ena~ tppty a
the appliption.
rVill eernply, er has alrtadp complied. with the
requirementr of Titles 11 and ill of the Cniforrn
Relocation Aasistsaea and Real Property
/requisition Polities Att of 1970 (P.~ /1.6e61
which provide for fair and equitable treatment eF
persons displae:d er chose property is acquired er-
a result of Federal or federally assisted programs
These rs~gvirements apply b all interests in real
preptrtr acquired !or project purposes regardless
et E'ederal participation Ire purehsses.
Will eotnply with the precisions of the Hatch Art
(S uS C. !! 1501.1501{ and 7324-72251 shich limit
the political ectl.tties et employees whose
prinelpaT ampleytnent eetivities an funded in
~hoTe or U pert with federal funds.
~Y71 eamply~ as applicable. with the pro~~sions et
the Darie•Qacen Act (101.'.5 C. !! 276~a to 276a•
T1. the Copeland Ate 1101v.S C. ! 2:6t and 15
C.S.C. !! 5711. end the Centraet Wor- Hours and
Safety Sundards Ael t10 C.S~C. it 347.232;•
regarding labor standards for (edera'!. assisted
construction tvbagretsaestb.
fl;.
!.
p~.w.e rr. ar~1 uaa~
erx~e,.e w t7y! ra~r ~.+01
I4rtstio+~ed to Loeat ReproduCtlon
6/90 12c-2
8022.1
Appendix 12t
10
11
1S Nil) assist the awerdind oltncr to atturinp
eoe-piiance •ith ieetion 10i of the \atienal
Hiatorie Preser:atien Aet of 1l66, as amended t1i
L' f C 4701, EO 1 f i!~ (identifitatien ant
protection of historic pro~t-titsl. ant the
Art:hae~lopical end Hiatork Prtser.ation Art of
1l~411i 4S C.46la-1 ~tatq-l.
14. 111111 tetnplr frith 1p.L. •5.541 rr~ardin~ the
*roteetion of human avbjtets 1nr01red in research.
de~-eiopn+ent. an/ rtiatod artivltia aupponed by
tttis ward ofassiatsrtica.
1S. Kilt comply with the Laboratory Animal M'e1lare
Aft e! 196b (P.L. t9.1i44, as aattndtd. 7 C S-C-
=151 tt aeq.1 peruinietS to the nrt, aandl;nS. and
treatment at tram -leodtd anis+als held fey
s^estarch, tsaehind,a+athtr aetirities supported b~
Nis award otassistit+ea
16.111 111 compll; with the Ltad•8ased Paint Peijoninp
Prtt-tntien Act (421:5 C. {{ 480t tt ota t szhieh
prehlbita the use of Itad based paint iat
constrvetien ar rehabilitation of residence
strveturea.
1T.1I1i11 cause to 6e ptrforretd the rpuired financial
and compliance audios in accordance rith the
6in~le Audit Act of 19M.
li. Wilt eornply sritlt all applicable rtquiremenu of all
stther Federal la*s, eYteutire orders, retv4tiorss
and policies porernin=this program.
12. Wilt eomp'~ wiith the 1K'ild and $ttnie Rivers Art
of 196b (16 4'.S C. f{ 1ZT1 tt aeq t related u
protecting components or potential romponenu et
the national wild and xenie rivers system.
:~rrw,tullCOr •61'ruOtt2iD C[a7M.wG Ott~v,t.
ueuiAxt oaw++t;wta~
trt~[
o•?t t+uet+rtlto
Mill tontply, v applica-le, •ith flood insurance
pwchase rrpuiremtntt of Fectbn 1021a1 of the
lFioad Disaster Protection Art of 1175 iP.l. !S•t341
which requirrt recipients In a special fiord haurd
area to participate In the pro~*am andto purchase
flood insurance if the fetal tort of insurable
tensvuction and aequisilion 4 i 10,000 or more.
1Ki11 comply Mith tnrrrtnmenlal atandsrdt arhieh
sr-a~ 6t prescribed pursuant M t1+e ~olbwinr (a1
lnstttutien of tnrironn~entat ~vality tentrel
a+easvrta ssnder the rational En.ironmenvi
Policy Art e! 1169 tP.L. (1.1901 and E:ecvtirt
Grder (EO1 11511. (bl aotifeatie~ a~ ~loiatin~
taeilities pursuant 4o EO 11951, ttl prottetion al'
wetlands pursuant ~ EO 11990. (dl et-alvation at
flood hazards in Aoadplains in accordance •ith EO
119da. te) a:sursnee of project ronsisteney with
the approved State ~anadeseent pro5rase
de~~tloped under the Coastal Zone ltanaiea~ent
Aet of 19 ~ 2 t16 C.S C. S{ 1451 tt atq 1; lfl
e~orJormity of Federal actions to Stott tCkar A'vl
Implementation Plans under Section 17ti(rl of the
Clear Air Act of 1955. as amended t42 l'S.C. 1
9401 et aeq 1, (~1 protection elt#nderpevnd wvrets
of drinking mater under the Sate Orinkin5 Water
Act of 1974, a amended. (P.L. 91-5251. and (h)
prottetion of tndan~ered species vender the
Endansrred Species Act of 1lT3, as amended, tP.L.
93•ZOS1.
12c-3 6/90 s .a.a was rr*
so2z.1
Appendix 12c
ATTACfMEMIT C
CERTIFICATION RE6J1RgIMG DRUG-FREE MORKPLACE REQUIREHEN7S
1. Instructions for Certification
a. Dy subrltting this appticatian, the applicant is prod ding the
certification set out below.
b. The certification set out beta is a material representation of fact
upon Mhith reliance v111 be placed if NUD detar~ines !.o arwrd a
grant to the appltcant. If it is later deter'ined that the
appltcant knowingly rendered a false certification, or othe~D s;n
rriolates the requirements of the Drug-Free workplace Act,
aditake action auhthorixedaundervtheaDrug Freee orkplace~Kt~nt,
r
Z. Certification Re ardin Dru -Free Mork lace Re uirenents
a. The applicant certifies that 1t will proride a drug-free Mork Place
by:
1. Publishing a statement notifying employees that the unlareful
Manufacture. distribution, dispensation. ~rsntee~s wori~place a
controlled substance is prohibited to the g
am riolatlongof suchtprohibltion;ll be taken against eaPloyees
fo
2. Establishing a drug-free arareness prograa to informs e~loyees
about:
i. the dangers of drug abuse in the rorkplacr;
11. the applicant's politer of oaintaining a drug-free
•rori~pl ace:
1i1. any available drug counseling, rehabilitation, and
employee assistance progra~s; and
_. _ iv. abus~r~olationsaoccurringilnothe ~ np~eoyees for drug
~. }i{aking~ince ~~he 9ranttbetgiYen a~co y of theestatagementin the
__ perfo
required by paragraph i;
46
6/90 12c-4
8022.1
Appendix 12c
RESTRICTIOIiS ON LOBBrIHG - CERTIrIC~-TION
By eubom,ittinq this application, the applicant certiiiss, to
the best of his or her knwledge and belief, thst~
(1) Ho Federal appropriated funds hnve been paid or rill ba
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 ~sember of Congress, an officer or
employee of Congress, or an employee of a Member of Congress
in connection rith the awarding of any federal contract, the
sin,kiaq of any Federal grant, Lhe mkt.ng of any Federal lom,
the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or saadification
of any Federal contract, grant, cooperative agreement, or
loan.
(Z) If any funds other than federal appropristed funds have
been paid or rill be paid to any person for iafluencinq or
attempting to influence an officer or employee of any
agency, a l~iember of Congress, en officer or employee of
Congress, or 'an employee of a Kember of Conq~ress in
connection with this Federal contract, grmt, cooperative
agreement, or loan, the undersigned shall camplste and
submit Standard Form-LLL, 'Disclosure Form to Report
Lobbying," in accordance rich its instructions. ti
(3) The undersigned shall require thst the langvege o! thi•
certification be included in the award docuaents for ell
subavards at all tiers (including subcontracts, subgrents,
and contracts ender grants, loans, sad cooperative
agreements) and that ali subrecipients shall certify and
disclose accordingly.
This certification is a suxterial representation of fact upon
rrbich reliance vas placed rhen this transaction ras mde or
•ntared into. Submission of this certification is a
prerequisite for asking or antarinq into Ibis tsaruaction
imposed by section 135, title 31, D.S.C. Any person rbo
fails.. tea file the required certification shell be subject to
a civil penalty of not lass than 510,000 and not sore than
5100,000 for each each failure.
6/90 12c-6
8022.1
Appendix 12[
-2-
t. Notifying the employee 1n the state~dent required by paragraph 1
that. a~ a condition of ergloynent under the grant, the
e~gloyee M111:
i. abide by the terms of the stateoent; and
11. notify the employer of any cri~inal drug statute convic-
tion fora violation occurring in the workplace no later
than five days after such conviction;
5. Notifying HUD within ten days after receiving notice under
subparagraph 4 (ii) troy any employee or other+tise receiving
actual notice of such conviction;
6. Taking one of the folloxing actions. vlthin 30 days of
receiving notice under subparagraph 4 (ii), with respect to any
employee Mho is so Convicted:
i. taking appropriate personnel action against such an
e.~ployee. up !o and including termination; or
fi. 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 Tarr
enforcement. or other appropriate agency;
7. Kakin99 a good faith effort. to continue to ayintain a drug-free
rrortptace through implementation of paragraphs 1, 2. 3. d. 5
and 6.
b. The applicant shall insert in the space provided belay the site(s)
for the performance of work done in connection with the specific
grant:
Place of Perfonuance (Street address. city. county, state.. zip code)
c
c
c
c
4$
12t-5 6~9a