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FAIR HOUSING ASSISTANCE PROGRAM (FHAP) COOPERATIVE AGREEMENT u.s. Department of Housing and Urban Development Georgia State Office Richard B. Russell Federal Building 75 Spring Street, SW Atlanta, GA 30303-3388 ~' <: I .-1 November 6, 1997 Dear Agency Director: SUBJECT: Technical Assistance Guidance #47 (TAG#47) Finalized Copy of FHAP FY-97 Cooperative Agreement Enclosed is a fully executed copy of your Agency's FHAP Cooperative Agreement for FY-97, effective on October 1, 1997. Please note that a Capacity Building Agency must pay particular attention to the identified Product Deliverables and related dates shown on page 11 of the Cooperative Agreement. Our review of each drawdown request will include a review and approval of each particular drawdown's product deliverables. Also, please be advised that Executive Order 12868 has added the requirement of providing quality "Customer Service" to the American people. The benchmark for customer satisfaction's performance will be measured against "the best in the business". Therefore, as recipients of Federal funds, each FHAP Agency will be required to participate in customer satisfaction activities. Your Agency is to be involved in developing a plan for meeting the requirements involved in satisfactory customer service. For your information, the plan for determining customer satisfaction should ensure that it is focused on fairness and professionalism. In this regard, staff should be trained to avoid the appearance of disinterest and take complaints seriously with (i) responsibilities to both complainants and respondents, (ii) completing investigations ~n a thorough and impartial manner, (iii) with conciliation being emphasized without pressuring complainant(s), and (iv) complaints are processed in a timely manner. We have also provided your Agency with copies of (i) Standard Form 270 (SF-270)-Request for Advance or Reimbursement, (ii) the FHAP Voucher Detail Report to use in listing dual-filed cases which were closed during the respective drawdown period, and (iii) A Direct Deposit Sign Up Form, SF-1199A to be used in the event that there is a change in your Agency's direct deposit recipient. /7 ~OCij/ -(;,] "' ~ I I If you have any questions concerning this Cooperative Agreement or its requirements and/or related information, please feel free to contact either the undersigned or your Agency's assigned HUD Monitor. Very sincerel~ yours, (..j,( L},Lt.I&A (J, W~A' \..?~J.jleYJj w(ikins Director, Fa1r Housing Enforcement Center Enclosures Assistance AwardJ ... Amendment I U.s. Otpat1tnlftt ., ~.Int 1M ~,." Dn...,...,.. 0IClI ., MftiI'i.... . .....-- 'revlow MUD AmouftI H ... ICIioft 0taI HUO ~ nI~ CMal1N1IVfne'" AtnOUfll Oetcrtp-.: . " . 2 . . . I ~ ,..,1&IlCII ~""'*" I.M Agt..mt'" ....""'*'1 ~ FF204K974009 01.,. t. M\t,........... ~ NaIIlt ~ A......, Clearwater Office of Human Relations Division P.O. Box 4748 Clearwater, FL 34618 " flIIjIcI ~ Eleanor Breland, Director . IIa:wa Mw'9I.... 'I. 111M ....... eo.. A.imburlttMnI T,...UIY CMc:k Aeimbutl.md Cote ShatInt MtIltCt ChedI Aced ,riel A4IIomatld CteaMghoUSt g ORl Accounting Dtvtsion 75 Spring Stre,t. 5.".. Roo. 230 Atlanta, GA 30303-3388 "., 111ft COOPERATIVE, A6REEMENT FO. fAI. HOUSI.. ASSISTANCE PROGRAM (FHAP) CONTRIBUTIONS Thfs alreeaent cOlsfsts of the followt.l. whfc~ fncorporat.d her.t. and aade . ,art h.r.of: I. Co,er Pale. MUD-1044 I. Sc~ed.le of Arttcl.. I. St.t....t of Vort 4. Sectlo. J Cl.... I. A...r.Ic.. .. Crtt.rl. for 'roc...I., 7. Ad.l.tltr.tl,. ....tr....t. for Cr..ts ..d Coo,.r.tt,. Alr.e..ltl trder of 'rec.dence: .otwithst.ndlnl ,., ,ro'flfo. to the contrarl. fl b. event of a cO.fllct a.oftl all 0' the docuaeltl p.rt.fal.1 to the dutle. .ad respolllbflltle. of the partf.s. the State.ent of Work Ihall tate precedeAc, oy.r the Sch.du1. of Arttcl... . . 9/25/97 . ,-' A.cIDienl iI lequltld 10 sign IItd return 1hree (3) ~ L.J of" ctocumenllO "" HUe) Adminls1 0IfIce ~ ~ '* r.quhcf 10"''' documM. . . C ty Manager, Michael Roberto ,..... & 1118: , .. , I I 1022. 1 Appendf. 15 U.I. DI'."MINT Of "GUlINO AMO UltIAN DlvnoPldNT 'UNDS .UERVATION AM!) CONT.ACT AUTMOIITY I. .. ..... ."0 .oo.,u 01' ~.o".c, 10...t1PIC.'.... I. D. -~.."'C' c.",."Ct.'.".1l Clearwater Office of ."IlC..... "O'll ..~... Human Rel. Div. FF204K974009 P.O. Box 4748 .. .",.., ..'~"."'IO" Clearwater, FL 34618 ,.... ... ~ r_J 09-25-97 I. ......,.,.... ....,..... .. ..."'. .... '''~. ., IOVIICI ."IC'. FHEO-04-97- 4009 Shir ley J. Wilkins, Director, FHa: .. 'UNDING AND ACCOUNTING CLAIII"CATlON con I""O."IC' .1.I.v.TION 18:.1..1 CI",TI. C..... "'I' "...0..'."011 O. PUNO 1"''''.0'' COOl COOl 0""''''''01'''. ~ ,,.,,,) ."0".., " . C 0 . P 867/~nU.4 '1'TN $20,400 520.400 . NIT TOULI 520.400 S20.400 .. 'UI'Osr 0' THIS .CTlON (CAu' A"li,d', '..(u)l A. CiJ INIT'''L IItEIEIltV"'ION a. C INC.EAIE Ollt (0.,,,,..) IItEIIIltVATION (A...4..., N....' . ) c. C CANCEl. IItIIEIltV"TION (.'."" A....' i. srI O. D IXECUTE. "IIINO 0IIt ."IVI CONTRAC' ,.. ."C.I~"O" 0' ~.O"'C' ,.. COIf'."c, c...O"..... (I,...J Funds to assist state arrl local Agencaes nust be recognized as sub- agencies in processing Title VIII stantially equivalent or have Agreement COII'Plaints . for interim referral of corrplaints. I.. ..,. .... 0., .", r_ ... .1....'''.. .' IO".C' oPPle.. t. TO I. CP'LITIO ., OIIGINATlNG O"ICI ".COII"I"'O"'IO" "NO ""'NO.II,,TIO" (".'..ilU~ .. ........ .itIl .......1., ..,_ .. .. .......4 .. .. .....ItN4; .. ......,...... .. "...1..... eIl4 ,...'re_A" .. 'Hto. .... ...; ... ..1.... .......4 ,...flI'.. .. ,..jMt.. ,..... l4eMifie4 .. ..... II .....; eIl4 .Ith ....'.i........... ... ..i.... .. II... I... .. .. ~liI .......... ..... ...iell. er. ...__A41e4.A41 ........1.e4 ...._1.: a. 110.0 /, / /J. / ~ .~ ~J: ?fA' //. ~7 ~/jr(1(i//Ldv/ #}~~I.L-)?~~~ 1n.~.o.. . r_J tITL. ' JC.,/ /p7 Southeast/Caribbean FHEX: n; C. ."PICI.~ ".'11 .'~'A" 0.'. fII.'" - - ..-J ,I. '01 ACCOUNT'" un ....L' CJ ~UNOI AVAII.AaL. CJ .......VATIOM ...COltO.D.;..OR AO.lUlT.O TO AMOUNT 'MOWN IN'~ . .. ,... ,.. PM..... ...... .. ......... 15-1 6/90 H&IOo71. (107t) I I 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 #11 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. I , 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: For.ms (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 for.ms when completed and submitted to the specified address. I , Instructions for LOCCS 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 (LOCCS). Staff will need both Query and Field Office Administration capabilities in LOCCS. The required actions are: 1. A Form HUD-270S4-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- 270S4-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-8SP (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. 5. Once completed and certified, the Form HUD-270S4A 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: LOCCS 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. I I 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. O. Box 44816 Washington, D.C. 20026-4816 NOTE: Please write your Federal Tax Identification Number on your Director Deposit Forms. .\ . "" I , - - == -- - - - - I '. -~._- . -.- -- --. -- -.- - . - - . - ; - - - - . - - .. - ..- ...... --~ - = ~ _.- -- --- -- - - . - - --... - - - . - . -- - - - - - -_. ---" ~- . -. - - ..-.--. . -- ::=::=. -- _.- ..,. ... =' ~ - .. - - = =::: = -. - - - ... ..... - - ..!!!!!!! ::l - - --- --- .= :;s---- rE --.= - - ~ ::!: ~ - :- "'!!!:... - - - - - - - - = 5' - - - - - - biA -- -- ;-:: - -- - -- -==--.:'---= r 5 :a.. = - - _ i i r -- - - - - - - - I Wednesday Augu~t 7, 1996 _ 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:Ri!gister'/ Vol. 61, .No. -153. /. Wednesday, AugUst '7, '.1996') Rules"1llid .RegUlations I DEPARTMENT OF_HOUSING AND URBAN DEVELOPMENT 24 CFR Parts 111 and 115 VOocketNo.FR-3322-F~ RIN 2529-oM60 office of the Assistant Secretary for Fair Housing and Equal Opportunity; Regulatory Reinvention; Certification' and Funding of State and Local Fair o Housing Enforcement Agencies - AGENCY: Office of the_Assistant . Secretary for fair Housing and Equal Opportunity, HUD. ACTION: Final rule: SUMMARY: On February 28, 1996 (61 FR 7674),-HUD published for public . commentaniqterim rule streamlining its regulations governing the . certification and funding of State and local fair housing enforcement agencies. Previously, the requirements for substantially equivalent certification . and participation in the Fair Housing Assistance Program had been set forth in different parts ottitle 24. The February 28. 1996 interim rule . consolidated these regulations. thus providing all necessary requirements in- a single part and eliminating _ redundancy from title 24. This rule finalizes the policies and procedures set forth in the February 28, 1996 interim rule and takes into consideration the public comments received on the interim rule. Further. this rule removes from title 24 the wmecessarily codified preamble to the final rule implementing the Fair Housing Amendments Act of 1988. EFFECTIVE DATE: September 6, 1996. .. FOR FURTHER.INFORMATION CONTACT: Marcella Brown. Director. Fair Housing Assistance Program Division. Office of Fair Housing and Equal Opportunity. Room 5216, Department of Housing and Urban Development. 451 Seventh Street. SW. Washington. DC 20410. telephone (202) 708~455. (This is not a toll-free . number_) Hearing- or speech-impaired individuals may access this number via TrY by calling the toll-free Federal Information Relay Service at 1-800- 877-8339. SUPPLEMENTARY INFORMATION: I. The February 28, 1996 Interim Rule The Fair Housing Act (42 U.S.C. 3601-3619) (the Act) provides that whenever a complaint alleges a discriminatory housing practice, arising in the jurisdiction of a State or local agency which has been certified by the Secretary under section 810(0 of the . Act; HUD shall refer the complaint to ':7 . nile. First, this final rule-clarifies that an :. that State or loCal agency: HUD has ',. enforcement agem:y may not receive _ implemented section 810(t) at 24.CFR ::~; Special Enforcement Effort (SEE) fundS part 115; which.establishes the Criteria- ifitis currently on a Performance . 'the Secretary will utilize to certify State' Improvement Plan (PIP), or if it has been ~_and local fair housing enforcement suspended during the.fiscal year in agencies. ~- . . - . -Co,' .;, which SEE funds are sought. This rule , Section 817 of the Act provides that .:- also-clarifies that HUn may partially the Secretary may reimburse State and;' Teimburse reinstated agencies for cases local fair housing enforcem~t agencies.' .processed during the suspension period. ..which assist the Secretary in enforcing. :, Further, the final rule makes two the Act HUD has impleIpented section_ .... 'amendments which will benefit . 817 at 24 CFR part Ill, which sets forth.. enforcement agencies by providing HUD , the requirements for participation. in the. with greater flexibility. Section IV. of Fair Housing Assistance Program . the preamble details these changes to (FHAP). Through the FHAP, HUD. the February 28,1996 interim rule. provides assistance to certified State_ ... Additionally, this rule J1!moves the and local fair housing enforcement 0'_. -- umiecessarily codified preamble to the - agencies..This assistance.~ designed to 0 ]anuary23, ~989 final rule (54 FR 3232) - provide support for complaint ... implementing the Fair Housing . processing. training. technical~' Amendments Act of 1988 (42 U.S.C. assistance, data and ~orma?on. :. 3601 et seq.). This preamble is codified systems. and other fau housmg proJec~... in title 24 as appendix I to. subchapter . On Feb~ary 28, 1996.(61 FR 7674),'. A of chapter I. The preamble, although !flID. published for I;'u?lic. comment. an. . it provides helpful information to mte~ rule stre~~g ltS regulati.ons readers, is readily available through govemmg the certification and funding other means and does not merit of State and local fair housing inclusion in the CFR. The removal of enforcement agencies. Specifically, the - this codified preamble will assist in rule consolidated parts 111 and 115. HUD's efforts to streamline the contents This consolidation permitted HUn to of title 24. provide all necessary requirements for "substantially equivalent" certification and FHAP participation in a single part. The February 28. 1996 interim rule described in detail the amendments made to 24 CFR parts 111 and 115. n. This Final Rule This rule finalizes the policies and procedures set forth in the February 28. 1996 interim rule and takes into consideration the public comments submitted on the interim rule. The public comment period on the interim rule expired on April 29, 1996. Two comments were received. This final rule makes three changes to the interim rule in response to public comment. First, the final rule establishes a 180-day limit on suspensions based on changes in the law..Further. this final rule references . the non-regulatory procedures which require that HUDprovide an agency with notice and an opportunity to respond before suspension. The rule also clarifies the definition of "covered multifamily dwellings" set forth in the February 28.1996 interim rule. Section Ill. of this preamble presents a summary of the significant issues raised by the public commenters on the February 28, 1996 interim rule. and HUO's responses to these comments. In addition to the revisions maCe in response to public comment. HUD determined it was necessary to make several other changes to the interim m. Discussion of the Public Comments on the February 28, 1996 Interim Rule' A. The Suspension and Withdrawal of Certification Provisions Should be Revised Comment. Section 115.211 provided that HUD would suspend an enforcement agency's certification if - HUD had reason to believe that: (1) A change in law. regulation. or procedure had limited the effectiveness of the agency to enforce its fair housing law or ordinance; or (2) the enforcement agency's performance did not comply with 24 eFR part 115. If HUO's subsequent review demonstrated that the agency no longer complied with !be requirements of part 115. HUD would withdraw the agency's certification. Sectien 115.212 set forth the procedures governing withdrawal of certificatio~. One of the commenters was stronglY opposed to SS 115.211 and 115.212. The commenter believed the conditions triggering suspension were vague and might lead to arbitrary suspensions. Further. the cornmenter suggested that ~ 115.211 be revised to require that HUD provide an agency with notice and an opportunity to respond before suspension. This commenter also recommended that HUD establish a time limit on suspensions based on changes in the law. The commenter noted that the interim rule imposed a 180-day limit on suspensions based on the agency's I I Federal Register,l Vol '51, No. ,153 I Wednesday, 'August 7, 1996 I Rules and Regulations 41283 , . . performance. This coUimenter be~eved meanings of '~covered multifamily', . ineligible forSEE 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' coul4 easily boe misinterpreted to be the. this final rule amends 5 115.305 to ref~r complaints during the susp~nsion" conjunctive for the phrase ','if ~uch .. clarify that an enforcement agency may penod. ' . ','; ,;. ,'., ';"., buildings." The commenter suggested not receive SEE funds if it is currently The commenter also question~d the,. . that HUD clarify the wording of this , " " on a Performance Improveml!nt Plan ., , adequacy of the reimbursemeD;t '. :,.:".. definition. ',., . , ,';., ',' (PIP), or ifits interim certification or , provisions at5 115.211. These ::" .; , : '; , BUD Rt#sponse. HUD agrees with. the:, certification has been suspended during provisions allowed HUD toreimbl,ll'Se ' comment~, Section 804(f)(7) of the. Act : ,the fiscal year in which SEE ,funds are" .formerly suspencied agenc;ies for cases' provides a clear definition of ~e term ' being sought. HUD wishes to note that processed during the sUspenSion period. "covered multifamily dwellings.~"., . agencies ineligible for SEE funding may The commenter wrote ,that agencies '. Paragraph (a)(5) of 5 115.202 required, ' still, if otherwise eligible, apply for should also be reimbursed for ~ost .'. " 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 se~on' '.. ' . ' HUD Response.HUD disagrees Wlth, 804 * * * of the Act. " This reference to B. Parf!al ReJrIlbursement of Remstated several of the assertions made by the. section 804 encompassed the statutory AgencJes commenter. For exam,ple;'the interim' definition of "covered multifamily:., : 'As discussed in section,m.",. of this rule was sufficiently clear regarding the . dwellings." It is. therefore, unnecessary preamble. the February 28,1996 interim co~ditions 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. nece~s~ily ~ncrease HUD's ' . " 115.202(a)(5)(ii). " HUD may,be unable to fully reimburse aciImmstrative burden. HUD also notes This final rule also removes ,reinstated agencies for these costs. tha~ agencies presently ~ave a right to, 5 115.202(a)(5)(iii). The language of this Accordingly. this final rule clarifies that no.tice and an o~portumty t~ respond provision was also already encompassed HUD will provide full or partial pno~ to s~spenslon. These nghts are in section 804 of the Act. Specifically, reimbursement for cases processed ou!lined 10 n~n-r~gulatory H~ the provision repeated the language of during the period of suspension. gUldance. which 1S currently bemg section' 804(f)( 4), which concems the . ,. revised and updated. However. HUD American National Standard for C. Increased HUD FleXJblllty agrees that !his guidance should be facilities providing accessibility to This fmal rule also makes two ref~renced l? 24.CFR part 115 ~d has persons with disabilities. amendments, designed to benefit revlSed the mtenm rule accordmgly. . . enforcement agencies. by providing HUn has adopted another of the IV. Addlhona~ Changes to the February HUD with greater flexibility. The comme~ter's suggestions by li~iting , 28, 1996 Interun Rule, , _ February 28, 1996 interim rule suspenslons based on changes 10 the A. Limitation on SEE Fund Eligibility mandated that HUn suspend an agency law to 180 days. 0 S ti 11530- , f rth th if the conditions set forth in 59 115.208 The commenter's recommendations li :~'l?n '.;) se. of S e 'al or 115211 were satisfied HUD may in solelv cCIl,cemed the suspension and eE gfl llty reqEulr;emen(StEsEo)rfunPdeClS'EE certal'n' circumstances wish to postp'one . hCh:a 1 f . fi' d n orcement .orts s. . Wl~J: 115w2allo cedrtil15ca2tll02n HProce ures funds are awarded to enforcement the suspension of such an ~~ency. The at :1:1 . an . . owever, ..th . d interim rule denied this ablhtv to HUD Hun has also revised 9 115.208, which agen~~li W.l ~~e.n e,,?enthen~ef8I!- This final rule provides HUD ~ith the . governs iIlterim certification to capa 1 ty 10 a lmstermg elr au . d fl 'bT b . . reference the non-regulatory 'guidance hOUSi~~ lais and ordi~an(c)e(s.) thr h s~q~~e 208 e~dl ;~~ ~ ~t~~~~~e that and to establish the 180-day limit. HUD A( c)(co)r fl~g y. paragraPbls. ah d1 f . loug HUD ':may" suspe~d an agenCY if the b r th.~ . db th a 6 0 :1115.305 esta 1S e au y . '. - , c~~'::~te: :;:~eq~~iiyseapp1ica~le to strict eligibility criteria. For example. 24 suspen.sion .conrulditiOnsha:be. tridggthered. . ... .. CFR 115.305(a)(3) required that: The mtenm e pro 1 lte e agencles Wlth 1Ot~n.m certlficahon. . ,. reimbursement of an agency who was Further. these ~ev~slcns are necessary to (3).At least ten percent o.f the ~gency s falr suspended due to its performance until create uniformlty 10 the procedures for hous~~g ~aseload resulted J.n ~ltten HUD determined that the agency interim certification and certification. conClhal1on agreements provldmg monetary l' d .th th f relief for the complainant as welles remedial comp le ~Vl e per ormance . action. monitoring, reporting and public standards 10 9 115.203. However, 10 interest relief provisions[.] " certain cases speedier reimbursement of Another example was provided by the such agencies ~ay be justifi~d. This criterion set forth in paragraph (a)(5) of final r:ule p:rmlts HUD to ~~burse '9115.305: agencles pnor to a determ1Oation that the requirements of 9 115.203 are (51.The agency's ~d..ninisU'at~on of its fair satisfied. housmg law or ordmance recelved meritorious mention for its complaint V. Other Matters processing or other fair housing activities . that were innovative[.] En Vlronm en tal Impact As the above examples illustrate, This rulemaking does not have an HUD intends to limit SEE fundin" to environmental impact. This rulemaking those agencies which meet a highO simply amends an existing regulation by threshold of eligibility. Accordingly. consolidating and streamlining agencies which are experiencing provisions and does not alter the difficulties in administering their fair environmental effect of the regulations housing laws and ordinances are being amended. Findings of No B. Definition of "Covered Multifamily Dwellings" Was Confusing Comment. Paragraph (a)(5)(i) of 9 115.201 provided that "the term 'covered multifamily dwellings' means buildings consisting of four or more units if such buildings have one or more elevators and ground floor units in other buildings consisting of four or more ' units." One of the commenters complained about the awkward phrasing of this provision. As this commenter noted, the correct interpretation of the word "and" is unclear. The commenter correctly assumed that "and" was intended to be the conjunctive for the two independent 41284 I. I Federal Register I Vol. 61, No. 153 I. Wednesday, August 7, 1996 I Rules and Regulations t / -. ... Significant impactwfth respect to the .. .requirements of.24 CFR parts'! 11 -and .. . . Authority: 42 V.S.C. 3601-19;42 V.S.c. - environment were made in accordance 115..which govern the certification and 3535(d). . with HUD regulations in 24 CFR part 50 . fwiding of State and local fair housing that implement section 102(2)(C) of the enforcemenl agencies. This ".' Subpart A~eneral National Environmenl;al Policy Act of.' consolidation' will assist enforcemeJ;1~ (. J _ S 115.100 Definitions. 1969 (42 U.S.C. 4332) a~ the time o.f .:-' - ~ agen~es. by providin~ all ~e necesSary'~' . '"(a) The' terms '''FairHo~sizig_Act''and developme~t of reg.ulations - .-- . req~~_~nts !or c~rtificatio~ and FHAP "HUD".. as used in this part are defined implementipg S~cti?ns 810(fl.and_ 81.1 Of'p~C1pation m a smgle part: ~s ~ in 24 CFR 5.100. '-'. _:.",;~ .: the ~ct. Those ~mdings remam . .. - ruled~ not af!ect or est~blish ' .., (b) The terms "Aggrievedperson", ; applica~le to thIS ~le, and are ~vailable. _substantiv~ policy, and will not ha.v~. "Complainant", "Conciliation",_ . for public inspection bet~een 7.30 a.m.- anY~l?,D:o~c impact on small e,ntities. "Conciliation agreement",,_ and 5:30 p.m. weekdays m the Office_~f IJst ofS~j~ 24 CPR Part 115 "Discriminatory housing practice", the Rules Docket Cl~rk, Room 10276, . . .. . . "Dwelling", "Handicap"; "Person", Department of Housmg and Urban -, . Administrative practice and "R d t'., "s . f,,~'" d De 1 . S th S SW dAd F . h .. espon en, ecre~J' an W vehin~pmentD' 4C51 even treet, -' . Plnrodi~.dureal' g~th'dilW'b'li~ti~mg, "State", as used in this part, are set as gton, 20410-0500. Vl u s Wl sa 1 es, r rth. ecti' 802...th F . H . . - . -Intergovernmental relations, Mortgages, . 40. m s on . Or e lW' ousmg Executive Order ~2612. FederalJSm Reporting and recordkeeping Act (42 U.S.C. 36~~3620). - . . - -. . The General Counsel, as the requirements. - (cl 0her definitions. Th~ followmg Designated Official under section 6(a) . A rdin' - 1 th . t . . -rul . defimtions also apply to this part: . cco g y. em enm e Act th F . H . A t of Executive Order 12612, Federalism, published on February 28, 1996 at 61 FR m~ans e lW' ousmg c, as has determined that the policies 7674 . art 111 d .. defined m 24 CFR 5.100. , removmg p an reVlsmg A' t t S t 'th contained in this rule will not have art 115 of title 24 of the Code of ~SlS an ecre ary me~s . e . substantial direct effects on States or PF d ral 1 ti' . nfi d fin 1 AsSistant Secretary for Flllr Housmg and . e e regu a ons IS co rme as a E 1 0 rtun't thelf political subdivisions or the .th th r 11 ..ch . qua ppo 1 y. . .' Wl e 40 owmg ange. C rtifi- dA' t relationship between the Federal Part 115 is revised to read as follows: .e lle g~mcyls an agency 0 . government and the States, or on the. whic~ the ASSIstant Secretary. for Fall distribution of power and - PART 11>-CERTIFICATION AND Housmg. and .Equal ,?ppO~unlty has responsibilities among the various FUNDING OF STATE AND LOCAL FAIR gr~ted ~ten~ certification o.r levels of government. This final rule HOUSING ENFORCEMENT AGENCIES certi~cation, 10 ac~ordance Wlth the merely consolidates in a single part the reqwremen!S of thIS part. . . requirements for "substantially Subpart A-General C:oopera~lVe Agreement IS ~e equivalent" certification and Sec. aSSistance mstrument HUD WIll use to participation in the FHAP~ It effects no 115.100 Definitions. provide fund~. The C<<?operative changes in the current relationships 115.101 Program administration. Agreement WIll contam attachments and between the Federal government, the 115.102 Public notices. appe.ndices establish~g requirements States and their political subdivisions in Subpart B--Certlflcatlon of Substantially relating to the operation or performance connection with HUD programs. Equivalent Agencies of the agency. . . 115.200 Purpose. Cooperative Agreement Officer (CAD) ExecutlVe Order 12606, The Famlly 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 Opportunity. have a potential significant impact on 115.206 Request for certification. Director 01' FHEO means a Director of 115.207 Procedure for interim certification. ~ family formation, maintenance, an~ 115.208 Suspension of interim certification. a Fair Housing Enforcement Center. general well-being and, thus. is not 115.209 Qenial of interim certification. Dual.Filed Complaint means a subject to review under the Order. This 115_210 Procedur<! for certification. housing discrimination complaint final rule only affects State and local fair 115.211 Suspension of certification, - .. 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(0 of Subpart C-Fair Housing Assistance certified agency. the Act and participation in the FHAP. Program (FHAP) FHAPmeans 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. policies and programs relate to family 115.303 Eligible activities for capacity . . concerns. building funds. 5115.101 Program administration. 115.304 Agencies eligible for contributions (a) Authority and responsibility. The funds. Secretary has delegated the authority 115.305 Special enforcement effort (SEE) and responsibility for administering this funds. part to the Assistant Secretary. 115.306 Training funds. (b) Delegation of Authority. The 115.307 Additional requirements for Assistant Secretary delegates the . participation in the FHAP. authority and responsibility for 115.308 Standards for FHAP program administering this part to each Director review. 115.309 Reporting and recordkeeping of a Fair Housing Enforcement Center. requirements. However, with respect to the duties and 115.310 Subcontracting under the FHAP. responsibilities for administering 115.311 Corrective and remedial action. subpart B of this part, the Assistant Regulatory Flexibility Act The Secretary. in accordance with the Regulatory Flexibility Act (5 U.S.C. 605(bll has reviewed and approved this rule, and in so doing certifies that this final rule \vill not have a significant economic impact on a substantial nwnber of small entities. This rule finalizes the policies and procedures set forth in the February_28. 1996 interim rale. Specifically. it consolidates the I - I F~der~ hgister (Vol. 61;No. 153 I Wednesday, August 7. 1996 I Rules and Regulatfons 41285 '1 S~~tary refaiiis the' right t6 make flnaI decisions concerning the granting and maintenance of substantial equivalency certifieation and interim certification,' , -'5115.202 Criteria for adequaCy of I~. 'discourage~th~ filing of complaints, such -(a) In order foi a deterIninatlon to be - as: " , - , , made thata State or local fair housing (i) A provision that a complaint must , agencY adniinistersa law which. on its ' ' be filed within any period of time less face. provides rights and remedies, for ,', ~an ~8~ days after ~ allege~ -. 5115.102 Public noUces. . ,',- ,',,' alleged dis~inatoryhousing practices discrumnatory h?usmg practice has (a) Perio,dically, the Assistant:. ': ',_', that are substantially equiva..lent ,t() those oc~~d ~r te~mated:. ,- .. , .. Secretary ~ll publish tPe following '_, provided in the Act, the la'w or " ", ' (~~~ Anti-~e~ting proVlslons; . .' '. public notices in the Federal Register: ordinance must: "', _ (m) ProVlslons that could,subJect a , '(1) A list of all agencies which have (1) Provide for an adDiliiistrative ,,' compl~abt to co.sts.c~~l penalties interim,certifi~~o~ or c~rtification; ~d enforcement body to receive and - - ~.. or f~es ~ c~nneC:Uo~ Wlth filing of (2) A list of agencies to which a_ notice - process complaints and provide that: comflamts.. . of denial C)f interim certifi~ation ~as '.. , (i) Complaints must be in writing;. ,,(4 No! contam exemptions that been issue~ or for which withdrawal of '(ii) Upon the filing of a complaint the subst.antially reduce ~e coverage of certification is being proposed. '. " agency shall serve notice upon the housl~g accommodations as compared (b) The Assistant Secretary will ' complainant acknowledging the filing to section a03 of the Act. . publish in the Federal Register a notice and advising the complainant of the th(S) prf~viddedthbe samcti~ protaeOcti4 oansOSasa06 I. 'ti bl' - t b ~ ti" limits d ch' U. ose a lor e y se ons . . . so lCl ng pu lC cornmen e ore '- - me an Olce 0 orums d a18 fth At' t t .th ' granting certification to a State or local provided under the law; an .. 0 e c.' conSlS en. Wl agency. The notice will invite the public (iii) Upon the filing of a comp~aint the ,~~ ~~pl::~~~,g regulations found, . to ~omment on the relevant State and agency shall promptly-serve notice ~n (b) In adldition to the factors described local laws, as well as on the , the respondent or person charged Wlth. h () f this s tio .the perfonnance of the agency in enforcing" the commission of a discriminatory In p~~grap f:1 OSt t 0 e~oc~'law m t its law. All comments will be. housing practice advising of his or her P[t'~I~~ . tre l' a e ~. d"al us considered before a final decision on procedural rights and obligations under a 0[:' lIU~ a;ve a~ J~ o~c~ rights certification is made. the law or ordinance together with a probecdilodn .anthenl orce en e . em 0 e In e aw. co~y of the complamt; , (1) The agency must have authority to: bv) A res~ondent may file an answer (i) Grant or seek prompt judicial to a complamt. .. ~. action for appropriate temporary or (2) Delegate to the adml1llstr-:tive preliminary relief pending final enforcement body comprehenslve disposition of a complaint if such action ~uthoz:ity. including s~bpoena power. to is necessary to carry out the purposes of mvesb~ate the allegations of .. the law or ordinance; compl~nts. and pow~r to conClliate (ii) Issue and seek enforceable co~plamts. and reqwre that: , . subpoenas; .b) The agency commenc~ proceedmgs (iii) Grant actual damages in an Wlth respect to the complamt. before the administrative proceeding or pro\'ide end oft?e 30th day after recelpt of the adjudication in court at agency expense co~plalnt; " to allow the award of actual damages to (11) ~he agency mvesh~ate the an aggrieved person; allegahons of.the co.mp~amt ~~ (iv) Grant injunctive or other c.omplete the mv~stlgation wI~n th~ equitable relief. or be specifically hme-frame established by section authorized to seek such relief in a court 8~O(a)(1)(B)(~v) o~ the Act .or comply , of competent jurisdiction: Wlth the notification requuements of (v) Provide an administrative se~.on 810(a)(1)(C) of the Act; proceeding in which a civil penalty may (m) The agency make final_ be assessed or provide an adjudication administrative disposition of a in court at agency expense. allowing the complaint within one year of the date of assessment of punitive damages against receipt of a complaint. unless it is - the respondent. impracticable to do so. If the agency is (2) Agency actions must be subject to unable to do so it shall notify .the judicial review upon application by any parties, in writing. of the reasons for not party aggrieved by a final agency order. doing so;'. (3) Judicial review of a final agency (iv) Any conciliation agreement order must be in a court with authority arising out of conciliation efforts by the to: - agency shall be an agreement between (i) Grant to the petitioner, or to any the respondent. the complainant. and other party, such temporary reUef, the agency and shall require the restraining order, or other order as the approval of the agency; . court determines is just and proper; -, _ ,(v) Each conciliation agreement shall ,(ii) Affirm, modify. or set aside. in be made public unless the complainant whole or in part. the order. or remand and respondent otherwise agree and the the order for further proceedings: and agency detennines that disclosure is not (iii) Enforce the order to the extent required to further the purposes of the that the order is affinned or modified. law or ordinance. (c) The requirement that the state or (3) Not place any excessive burdens local law prohibit discrimination on .the on the complainant that might basis of familial status does not requIre Subpart B-Certificatlon of Substantially Equivalent Agencies S 115.200 Purpose. This subpart implements section al0m of the Fair Housing Act. The purpose of this subpart is to set' forth: (a) The basis for agency interim certification and certification; (b) The procedure by which a detennination to certify is made by the Assistant Secretary; , (c) The basis and procedures for denial of interim certification; (d) The basis and procedures for withdrawal of certification; (e) The consequences of certification; (I) The basis and procedures for suspension of interim certification orAcertification; and (g) The funding criteria for interim certified and certified agencies. S 115.201 Basis of determination. A detennination to certify an agency as substantially equivalent involves a two-phase procedure. The detennination requires examination 'and an affinnative conclusion by the Assistant Secretary on two separate inquiries: (a) Whether the law, administered by the agency, on its face, satisfies the criteria set forth in section 810(1)(3)(A) of the Act: and (b) Whether the current practices and past perfonnance of the agency demonstrate that, in operation. the law in fact provides rights and remedies which are substantially equivalent to those provided in the Act. . : ,I' ._ 41286 F:ederalRegister I Vol. 61, No. 153 .( Wednesday, August 7, 1996 I Rules and Regulatio~ I :",.. - ._- . ,. . ., .~,.. ._- .'--.-.,.' .. " ~ investigation, conciliation and "'::',' enforcement activities. The performanCe assessment will consider the following. to determine the effectiveness of an:': ',., . agency's taiihousing complaint, . processing, consistent with such . guidance ,as may be issued by HUD: . . (1) The agency's case process~g . ",' . procedureS; ':""" ; .' .., '.'~" (2) The thoroughness of the agency's case proCessing;" '. '. (3) A review of cause andno cause-.. dete~tions for quality of.' . .' investigations and consistency with appropriate standards; . . (4) A review of conciliation agreements and other settlements;.. . (5) A review of the agency's. administnl~ive closures; and (6) A review of the agency's enforcement procedures. (b)(1) Co~ence proceedings with respect toa complaint: . . (i) Before the end of the 30th day after receipt; . (ii) Carry forward such proceedings with reasonable rrom~tness; (iii) Make fina admmistrative disposition within one year; and bv) Within 100 days of receipt of the complaint complete the identified proceedings. (2) To meet this standard. the performance assessment will consider the timeliness of the agericy's actions with respect to its complaint processing. including. but not limited to: (i) Whether the agency began its processing of fair housing complaints within 30 days of receipt; (ii) Whether the agency completes the investigative activities with respect to a complaint within 100 days from the date of receipt or. if it is impracticable to do so. notifies the parties in writing oftha reason(s) for the delay; . (iii) Whether the agency administratively disposes of a complaint within one year from the date of receipt or. ilit is impracticable to do so. notifies the parties in writing of the reasons for the delay; and (iv) Whether the agency completed the investigation of the complaint and . prepared a complete final investigative report. .. (3) The performance assessment will also consider documented conciliation attempts and activities and a.review of the bases for administrative disposition of complaints. . (c) Conduct compliance reviews of settlements. conciliation agreements and orders issued by or entered into to resolve discriminatory housing practices. The performance assessment will include. but not be limited to: (1) An assessment of the agency's procedures for conducting compliance reviews; ." ", that the state or loCal taw limit the applicability of any reasonable local, state.or Federal restrictions regarding the maximum number of occupants permitted to occ;upy a dwelling. ,- : (d) 'P1estateor local law ml!-y assure . that no prohibition based on " .,'. discrinlination because of familial status' applies tohouslng for older persons : . substantially as described in 24 CFR . . partlOO; subpart E..:: , :... .... (e) A determination of the adequacy of a state orlocal fair housing law ~'o~ its face" is intended to focus on the . meaIiing and intent of the text. of the law, as distinguished from the,.... '.c': " effectivenesll of its administration. Accordingly, this determination is not .~. limited to an analysis of the literal text of the law but must take into account all relevant matters of state or local law. Regulations. directives. roles of procedure. judicial decisions, or . interpretations of the fair housing law by competent authorities will be considered in making this determination. (0 A law will be found inadequate "on its face" if it permits any of the agency's decision-making authority to be contracted out or delegated to a non- . governmental authority. For the purposes of this paragraph. "decision- making authority" shall include: (1) Acceptance of the complaint; (2) Approval of the conciliation agreement; (3) Dismissal of a complaint; (4) Any action specified in 55 115.202(a)(2)(iii) or 115.202(b)(1); and (5) Any decision-making regarding whether the matter will or will not be pursued. (g) The state or local law must provide for civil enforcement of the law or ordinance by an aggrieved person by the commencement-of an action in an appropriate court at least one year after the occurrence or termination of an alleged discriminatory housing practice. The court must be empowered to: (1) Award the plaintiff actual and punitive damages; (2) Grant as relief. as it deems appropriate. any temporary or permanent injunction. temporary restraining order or other order; and (3) Allow reasonable attorney's fees and costs. S 115.203 Performance standards. A state or local fair housing enforcement agency must meet all of the performance standards listed in this section in order to obtain or maintain certification. (a) Engage in timely. comprehensive and thorough fair housing complaint : (2) Terms and conditions of . agreements and oUiers issued; . ", (3) Applic~tiOD:_of its authority to seek aC:tiW damages, as a~propriate; and (4) Application of lts.authority to seek . and assess civil pe~alties or puniti~e .' damages. ....... . .' . (d) Consis~~ntly andaffiniiatively. . . seek and obtain the type of relief ':.' ." . designed to prevent reCUl'l'tluces of such practices. The performance assessment " will iD.clude, but not be limited to:' . '. (1) An assessment of the types of . relief sought and obtained by the agency \\rith consideration"of the inclusion of affirmative provisions designed to . protect the public interest; (2) The adequacy of the disposition of the complaint; .' (3) The relief sought and awarded; (4) The number of complaints closed with relief and the number closed without relief; and . (5) W~ether all the issues and bases were investigated adequately and . appropriately disposed of. " (e) Consistently and affirmatively seek the elimination of all prohibited practices under its fair housing law. An assessment under this standard will include. but not be limited to: . (1) A discussion and confinnation of the law or ordinance administered bv ' the agency; . (2) The identification of any amendments. court decisions or other rulings or documentation that may affect the agency's ability to carry out provisions of its fair housing law or ordinance; . (3) Identification of the education and outreach efforts of the agency; and (4) Identification and discussion of any special requirements of the fair housing law or ordinance. S 115.204 Consequences of certification. (a) Whenever a complaint received by the Assistant Secretary alleges violations of a state or local fair housin2 law or ordinance administered by an - agency that has been certified as substantially equivalent. the complaint will be referred to the agency, and no further action shall be taken by the Assistant SecretarY with resoect to such complaint except as provided for by the Act. this part. 24 CFR part 103. subpart C. and any written agreements executed by the Agency and the Assistant Secretary. (b) If HUD determines that a complaint has not been processed in a timely manner in accordance with the performance standards set forth in 5115.203. HUD mav reactivate the complaint. conduct" its own investigation and conciliation efforts. and make a determination consistent with 24 CFR part 103. I I FederaJ'lR.egfster-' ;Vol. -61,"No.153 .:/.'Wednesday;'-AuguSt '7,'],996 I Rules --and..Regulations 41287 -'--'-'--.'.. -~._.__.... _..' . - " . (c) Notwithstanding paragraph (a.) of (b) The request and supporting Secretary. may. but need not. offer a this section. whenever the Assistant ;.'. materials shall be filed with the . . PerformanC'e Improvement Plan (PIP) to - Secretary has reason to believe that a -... As!!istant Secretary for Fair Housing and : the agency-. The PIP Will outline the complaint dexporiStjates a bas~s 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) ~f - 7th Street. -SW., Washington. DC 20410. timetable for completion. _' . the Act oJ: 'or proceedings by any.. '-'. A copy.ofthe request. and supporting ,(3) If the agency receives aPIP, .govemmentalliceIlsing or supervisory "'_ materials will be-kept available for funding under the FHAP maybe authorities. ~e Assistant Secretary sha~l . public examination and copying at: : suspended for the duration of the PIP. transm,it the inform'ation upon which' (1) The.office of the Assistant. Once the agency has implemented such belief.is baSed to the Attorney' -, -Secretary; .. . .'-.. -- . ,corrective actions to eliminate the General. Feder81 financial regulatory ; (2) The HUD Field Office in whose . deficiencies, and such corrective actions agencies: other Federal agencies. or !~s~~on the ~tate or lo~~. are accepted by th~ Assistant Secretary. , other appropriate governmental )unsdiCtion seeking recogmtion 1S funding may be remstated. licensing or supervisory authorities. located; and. . .' . , '- . . (3) The office of the State orlocal f 115.20~ Suspension of'lnterim S 115.205 'o!Technlcal assistance. agency charged with admiDistration and ' certification. (a) The Assistant Secretary..through 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 f 115.207 "Procedure for Interim suspend the agency's interim ,agency may request such technical . certification. certification -if the Assistant Secretary 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 S 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 arid 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 or~~ance; . training conferences and seminars that fair housing administration, as (n) Adopting rules or procedures will enhance the agency's ability to 'compared to the agency's other duties con~erning the fair housing law or process complaints alleging' and responsibilities. as well as the or~~1:1ance;. or. .. discriminatory housing practices. compatibility or potential conflict of fair (m) Issumg )UdlClal or other housing objectives with these other authoritative interpretations of the fair ~ 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)(l) of this Section. such suspension official having principal responsibility S 115.202 that the State or local law or \\-ill 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 !lot 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 taken by the State or locality as officer of the jurisdiction that pertain to Agreement). The interim agreement will described in paragraph (a)(l). 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)(l) 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)_ on-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 S 115.209. past perfryrmance comply with the that is substantially equivalent to the (b) Suspension based on agency performance standards described in Act. performance, (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 Secretary l . I ,. 41288. Federal Register I.Vol.. 61, No. 153 I Wednesday, ^,!gust 1,1996 I Rules and Regulations I has reason to believe that the agen.cy.s . performance does not comply with the criteria set forth by this part. Such .. suspension shall not exceed iao days. ~ . (2) If the agency is sUspended: . .:- pursuant to paragraph (b) of this section, the FHEO Field Office maielect not to . provide.paYmentfor compl8.i.nts .' .. processed ~thin that period of time .. unless and until the Assistant Secretary determines that the agency is fuUy in ".... compliance with i 115.203. The FHEO '.' Field Office will provide technical assistance to the agency during this period of time.' ' . (3) During the period of a suspension : the Assistant Secretary shall no1 refer comflaints to the agency.. '.: . (4 Suspension under paragraph (b) of. this section renders the agency ineligible to receive Fair Housing Assistance Program Funds under subpart C of this part, pending. . correction of the deficiencies by the ' agency. . (5) Before the end of the suspension. a final performance assessment will be provided to the Assistant Secretary upon which a determination will be made as to the adequacy of the agency's performance. . (c) HUD will provide an agency with notice of the specific reasons for the suspension of its interim certificatio~ and an opportunity to respond. in accordance with the procedures set forth in HUD issued guidance. S 115.209 Denial of Interim certification. (a) If the Assistant Secretary . determines, after application of the criteria set forth in this part that the State and local law or ordinance. on its. face or in its operation, does not provide substantive rights, procedures, remedies, and availability of judicial review for alleged discriminatory housing practices which are substantially equivalent to those provided in the Fair Housing Act, the Assistant Secretary shall inform the Slate or local official in writing of the reasons for that determination. (b) The agency, within 20 days from the date of the receipt of this notice. may submit, in writing, any opposition to the planned denial of interim certification to the Assistant Secretary. The Assistant Secretary will evaluate all pertinent written comments. information. and documentation. If, after reviewing all materials submitted by the agency. the Assist:;''1t Secretary is still of the opinion that interim . ,<\f.c..,;ion should be denied, the .~lstant Secretary will inform the _<~~ncy in writing~r that determination. (cl If the agency does not. within 20 da '..S of receipt of the Assistant Secretary's potice of denial of interim interim certifi~tion prior to receiving certification, make a request of the certification. - .. AssistantSecretary under paragraph (b) :... . __ . . ohhis section to sUbmit additional data, f 115.211 Suspension of certification. views, or comments, no further action . (a) Suspens70n based on changes in shall be required of.the Assistant the law. (1) The Assistant Secretary may Secretaiy and denial of interim. .. . suspend the agency's certification if the certification Shall occur. .. . Assistant Secretary has reason to believe that the State or locality may have . limited the effectiveness oftha agency's. implementation of the fair housing law or ordinance by: .. (i) Amending the fair housing law or . ordinance;' . . (ii) Adopting rules or procedures concerning the fair housing law or ordinance; or . ., (ill) Issuing judicial or other'.. ., authoritative interpretations of the fair . housing law or ordinance. . . . (2) If the Assistant Secretary suspends certification under paragraph (a)(l) of . this section, such suspension will remain in effect until the Assistant Secretary conducts a review.of the changes in language and/or interpretation and determines whether the law or ordinance remains substantially equivalent on its face and in its operation to the Act. Such suspension shall not exceed 180 days. (3) If the Assistant Secretary determines that the law or ordinance remains substantially equivalent on its face and in operation to the Act, the , Assistant Secretary will rescind the suspension and reinstate the agency's interim certification and/or recommend the agency for certification. HUn will provide full or partial reimbursement for cases processed during the period of the suspension. (4) If the Assistant Secretary determines that the actions taken by the State or locality do limit the agency's effectiveness. certification will be withdrawn pursuant to S 115.212. (b) Suspension basfld on agency performance_ (1) The Assistant Secretary may suspend the certification of an agency charged with the administration of a fair housing law or ordinance, if the Assistant Secretary has reason to believe that the agency's performance does not comply with the criteria set forth by this part. Such suspension shall not exceed 180 days. (2) If the agency is suspended pursuant to paragraph (b) of this section. the FHEO Field Office may elect not to . provide payment for complaints processed within that period of time unless and until the Assistant Secretary determines that the agency is fully in . compliance with S 115.2U3. The HIED Field Office will provide technical assistance to the agency during this period oftime. S 115.210 . Procedure for certlflcaUon. (a) Certification. (1) If the Assistant Secretary determines, after application of the criteria set forth in is 115.202, 115.203 and.this section, that the State or local law or ordinance, both "on its . face" and ~'in operati9n," provides substantive rights, procedures; remedies, and judicial review, procedures for alleged discriminatory housing practices that are substantially equivalent to those provided in the Act, the Assistant Secretary may enter into a Memorandum of Understanding (MOU) with the agency. (2) The MOU is a written agreement providing for the referral of complaints to the agency and for communication procedures between the agency and HUn that are adequate to permit the Assistant Secretary to monitor the agency's continuing substantial equivalency certification. (3) A MOU, after it is signed by all .appropriate signatories. may authorize an agency to be a certified agency for a period of not more than five years. (b) Performance Improvement Plan. (1) If the agency is not administering its law or ordinance in a manner that is substantially equivalent, the Assistant Secretary, may, but need not, offer a Performance Improvement Plan (PIP) to the agency. The PIP will.outline the agency's deficiencies, identify necessary corrective actions, and include a timetable for completion. (2) If the agency receives a PIP. funding under the FHAP may be suspended for the duration of the PIP. Once the agency has implemented corrective actions to eliminate the deficiencies. and such corrective actions are accepted by the Assistant Secretary, funding may be reinstated. (c) Annual assessments. The Assistant Secretary shall annually assess the performance of an agency to determine whether it continues to qualify for certification under this part. If the Assistant Secretary affirmatively concludes that the agency's law and performance have complied with the requirements of this part in each of the five years. the Assistant S.;cretary may offer the agency an updated Memorandum of Understanding. (d) Interim certification required prior to certification, An agency shall receive . I I . ..' ~. .,.. . '.; .,1_. ".-'. I -.- _ ~ ..,.: . ,~" ... "..:".t4. .- . -' Feder81 :R.egister ,j ,Vol...o1i-NOr'153-.+,.wednes~y,,,August~'1.996-1...ftul.1s':and'Regulations'~ ,41289 " . . . . I "'_ (3) During the period of a suspension the Assistant Secretary shall n~t refer complaints to the agency:' , , , , (4) Suspension under this paragraph also renders the agency ineligible to receive Fair Housing Assistance c.,,' Program Funds under subpart C of this part. pending correction of the ' deficiencies by the agency: " .' , (5) Before the end of the suspension. a fmal performance assessment will be provided to the.Assistant Secretary , upon which a determination will be made as to the adequacy of the agency's performance. ., ., .' (e) HUD will pro\ide an' agency with notice of the spec,i.fic reas'ons for the suspension of its certification and an opportunity to respond. in accordilnce with the procedures set: forth in HUD issued guidance. 5 115.212 Wlthdrowal of certification. (a) If the Assistant Secretary finds, as a result of a re\iew undertaken in accordance with this part, that t.'l~ agency's fair housing law or ordinance no longer meets the requirements of this part, the Assistant Secretary shall propose to withdraw the certification previously granted. (b) The Assistant SecretarY will propose withcrawal of certification under pa.--agrarh (a) of this section unless further review and information or docwnentation establishes that the current law and/or the agency's administration of the law meets the criteria set out in this part. (c) lithe .o\ssistant Secreta.ry de~ermines, after apFHr.ation of the criteria set forth in this part, that the state or loc:all..w or ordinance. in operation, does not provide substantive rights. procedures. remedies, and availability of judicial review fer alleged discriminatory housing practices which are sl,;bsta."ltially equivalent tothosp. rw\;ded in the Fair Housing Act. the Assista."lt Secretarv shall inform the State or local official in writing of the reasons for th:;,+ dp.termination. Subpart C-Fair Housing Assistance P:-ogram (i=:-!AP) S 115.300 Purpose. The purpose of the Fair Housing Assistance Program (FHAP) is to provide assistance to State and local fair housing enforcement agencies. The L1tcnt or this funding program is to build a coordinated intergovernmental enforcement effort to further fair hcusir.g and to encourag'O! the agencies to assume a greater share of the responsibility for the administration a."1d edorcement of their fair housing laws and ordinances, This fi:lancial e.ssismnce is designed to pt~V'ido support for: ", . , (a) The processing of dUal-f1le,d. .' , " cP(bf~~~ing ~der the Fair Housi'~g Act and the agencies' fair housing'law; (c) The provision of technical , . assistance; ,. , (d) The creation and maintenance of , data and information systems; and ' (e) The development and.,. '.. " . enhancement of Clther fair housing enforcement projects. . ' . i 115.301 Agency cllglbmty criteria.. Any agency with certification or interim certification under subpart A of this part, and which has entered into a MOU or interim agreement. is eligible to participatein the FRAP.' , 5 115.302 Capacity building funds. (a) Capacity building (CB) funds are . funds that HUD may pro....ide to an agency with interiol certification during the agency's first three years of participation ill the FHAP. Agencies receiving CB funds are not eligible to receive contributions funds under S 115.304., ' (b) CB funds will b~ provided in a fixed mnual amOl:Dt to be utilized for the eligible activities established pursuant to S 115.303. However, in the second and third year of the agency's participation_in the FHAP, HUD has the option to permit the agency to receive CB funding on a per case basis, rather than in a single annual amount. (c) In order to receive CB funding, <!gencies \",-ill be required to submit a 5tat~mem of work which identifies: (1) The objectives and activities to be carried out with the CB funds received; (2) A plan for training all of the agency's em?loyees involvc-i in tho administration of the agency's fair housing law or ordimmce; (3) A s.atemer.t ;Jr Ite agency's intention to par+Jcipate in HUD- spo:lsored training il"l accordance with the training requirements set out in the cooperative agreement; (4) A description of the agency's complabt processing data and information system or. altt;rnatively. whether the agency plans to use CB funds to purchase and install a data system; and (5) A description of any other fair housing activities that the agency will undertake with its CB funds. All such activities must address matters affecting fair housing enforcement which are cognizable under the Fair Housing Act. Any activities which do not address the implementation of the agency's fair housL"1g law or ordinance, and which ;ue therefore not cognizable under the Fair Housing Act, will be disapproved, . , ..., , i 115.303 Eligible actlvlUes For ca~aclty b!.lIldlng funas. , .', . ~ _The primary purposes of capacity . building funding is to provide for complaint activities and to support nctivities.that produce increased, . awareness of fair housing rights and remedies. All such activities must ~ support the agency's administration of its fair housing law or ordinance and address matters affecting fair housing which are cognizable under the Fair Housing Act. Hun will periodically publish a list of eligible activities in the Federal Register. ' i 115.304 Agencies eligible for contribuUons funds. , (a) An agency t.~at has receJved CS funds for three conse~utive years is eligible for contributions funding. Contributions r.mding consists of three categories: . (1) Complaint Processing (CP) funds; (2) Administrative Costs (AC) funds; and (3) Special Enforcement Efforts (SEE) nmus (~ 115.305 sets forth the requirements for SEE funding). . (hi CP funds. (1) Agencies receiving CP funds wm receive such support based solely on the number of complaints precessed by the ag'O!ncy and accepted for payment by the Director of FHEO during a c:msecuti....e. specifically identified. 12-month period. Normally this period will be the previous year's funding cycle. (2) Funding for :J.gencies in th'O!ir fourth year of p1'.rticipation in the F~ will be based en the number of complaints acceptably proces~ed by the agency dwing the agency's third year of participation in the FHAP. , (Cl Administrative Cost rACI funds. (1) Agencies which acceptably precess 100 or more cases will receive no less than 10 percent of the !I,gency's an.!lual FHAP paym~nt a.'1lount for the preceding ye!!r. in addition to case processing fur..ds, continge:lt on fiscal year appropriations. Agencies that acceptably process fewer than 100 cases will receive a flat rate continoent on fiscal year appropriations. (2) ..\gencies will be required to provide HUD with a statement olhow they intend to use the AC funds. HUn may require that some or all AC funding be directed to activities designed to create, modify, or improve local. regional, or national information , systemsccnceming fair housing matters (includin" the purchase of state of the art comp~ter systems and getting on line or internet access, etc.). ~ 115.305 Special enforcement ef1crt (SEE) funds. (a) SEE funds are funds that HUD will provide to an agency to enhance I I (' 41290 Federal Register I Vol. 61, No. 153 r Wednesday, August 7, 1996 I Rules and Regulations enforcement activities of the agency's fair houSing law or 'ordinance. SEE . funds will be a maximum of 20% of the agency's total FHAP cooperative '. '.' agreement for the previous contract year, based .on approval .of eligible . . activity or activities, and based on the appropriation of funds. All agencies receiving contributions funds are . . eligible tc receive SEE funds if they meet three of the six criteria set cut in paragraphs (a)(l) thrcudl (6): . . (1) Tlie agE'.nCY,has tuen action tc enfcrce a subpoena or ~e use of its . prompt judicial action authority within the past year. . (2) The agenCy has held at. least .one administrative hearing .or has had at least one case an a court's dacket for civil praceedings during the past year. . (3) At least ten percent .of the agency's fair housing caseload resulted in written canciliatian agreements providing manetary relief far the complainant as well as remedial actian. monitoring, reparting and public interest relief provisians. (4) The agency has had in the most recent three years, .or is currently handling, at least one major fair hausing systemic investigation requiring an exceptional amount of expenditure of _ funds. _ (5) The agency's administration ofiis . fair hqusing law .or ordinance received meritoriaus mention for its complaint processing or other fair housing activities that were innovative. (6) The agency must have fully investigated 10 fair housing complaints during the previous funding year. (b) Natwithstanding the eligibility criteria set forth in paragraph (a) .of this section. an agency is ineligible for SEE funds if: (1) Twenty percent or more of an agency's fair housi!1g complaints result in administrative closures; .or (2) The agency is currently on a PIP. .or if its interim certification or certification has been suspended during the fiscal year in which SEE funds are sought. (c) SEE funding amounts are subject to the FHAP appropriation by Congress and will be described in writing in the cooperative agreements annually. HUD wiil periodically publish a list of activities eligible for SEE funding in the Federal Register. S 115.306 Training funds. [a' P.ll agencies are eligible to receive ." : fu..'l ds. Training funds are fixed ,::5 based on the number of agency :eesto be trained and shall be . ..':CJteG tnsed on the FHAP cppropriation.Tr<.ining funds may be used oniy for HUD-approved or HUD- . . sponsored training. Agtmcy initiated tr.wung .or .other fcrmalized training may be included in this categ:-;ry. Hawever, such training must .:.ust be ' approved by the Cooperative Agreement . Officer (CAO) and the Government Technical Representative (GTR). . . Specifics on the am~unt .of training funds that an agency will reeeive and, if applicable, amcunts that may be deducted, will be set cut in the . ccoperative agreement each year. (0) All staff .of the agency respcnsible for the administratian of the fair hcusing law or .ordinance must . participate in mandatary FHAP training sponsared by HUD at the national and field .office levels. If the agency does nat participate in the mandatory national . and field .office HUD-spansared training, training funds will be deducted . from their overall training amount. S 115.307 Additional requirements for participation In the FHAP. (a) Agencies which participate in the FHAP must: (1) Conform to reparting and record maintenance requirements determined by the Assistant Secretary: . . (2) Agree ta on-site technical assistance and guidance and implementation of corrective actions set aut by the Department in response to deficiencies found during the technical assistance .or performance assessment evaluations of the agency's .operations; (3) Agree to implement and adhere ta 0: policies and procedures (as their laws and ordinances y,ill allow) provided to the agencies by the Assistant Secr.;tary, including but not limited to guidance on investigative techniques. case file preparation and .organization. implementation of data elements for comrlaint tracking, etc.; (4 Spend at least twenty (20) percent of its total annual budget an fair housing activiti~s: and ' (5) Not unilaterally reduce the level of financial resources currentlv committed to fair housing complaint processing (budget and staff reductions or other actions outside the control of the agency will not, alone, result in a negative determination for the agency's participatian in the FHAP). (b) The agency's refusal to provide informatian. assist in implementation. .or carry out the requirements .of paragraph (a) .of this section may result in the denial or interruption of its receipt ofFHAP funds. S 115.308 Standards for FHAP program review. HUD will conduct reviews of the agency's cooperative agreement implementation. This revi~w will also idEmtify: (a) Haw the agency used the FHAP funds received: . - . (b) Whetherits-draw-down of funds was timely; . (c) Whether the agency has been audited and received copies .of the audit . - reports in accordance with applicable , . . rules and regUlatians far State and loca1 gavernmental entities; and . . (d) If the agency complied with all . certifications and assurances required by HUD in: the cooperative agreement. . S 115.309 Reporting and recordkeeplng requirements. .' (a) The agency shall establish and maintain reccrds demcnstrating: . (1) Its financial administratian .of the FHAP funds; and . (2) Its perfarmance under the FHAP. (b) In accordance with the cooperative agreement in effect between the agency and HUD, the agency will provide to HUD the agency reports maintained pursuant tc paragraph (a) .of this sectian. The agency will provide reparts to HUD in accordance with the cooperative agreement in effect between the agency end HUD far frequency and content, regarding complaint processing. training, data and information systems, enfarcement and other activities explaining how FHAP funds were expended and used. (c) The agency will permit reasonable public access to its records, consistent with the jurisdiction's requirements for release .of informatian. Documents relevant to the agency's participation in FHAP must be made available at the agency's .office during normal working hours (except that docwnents with respect ta ongoing fair housing complaint investigations are exempt from public review consistent with Federal and/or State law).' (d) The Secretary. the Inspector General-ofHUD. and the Comptroller General .of the United States. or any 01 their duly authorized representatives. shall have access to all pertinent books. accounts, reports, files, and ather payments for surveys, audits. examinations, excerpts. and transcripts as they relate to the agency's participation in FHAP. (e) All files will be kept in such fashion as to permit audits under applicable procurement regulations and guidelines and the Single Audit requirements for State and local agencies. (0 The FHAP financial records and files will be kept at least three years on- site after any cooperative agreement has terminated. 9115.310 Subcontracting under the FHAP. If an agency subcontracts to a public or private agency any activity for which r - '.- . , I,~ - <.1. . .'. ..' . . . Fede~alR~~ter' I ,VOl. 'f)1,'NO"15-~ i Wednesday, August 7,1996 I Rules ,and Regulations 41291 .. . . . " ,.'. ..... .' . "" . . ""'. '.' '; ... .,..' . .' ; ..... " ,.' . I '.', .' the subcontractor Will receiveFHAP:', ,:....' (b) If an agency fails to' demonStrate tcia!location;on the 'satisfactory . , funds, the agency must ens~ and ,.' .HUD's satisfaction that it has met . -completion. by the agency of appropriate " 'certify in writing that the subcontractor' 'program re1liew standards; HUD will corrective actions. When the use of is: . .',' request the agenCy to submit and " fulids is so conditioned, HUD will. . (a) Using services and facilities that' ,; comply ,~~ proposa~ for action to specify the d~ficiency(ies), the required 'are accessible in accordance ~th the ':- correct'lD.ltigate. ~rp~~e~t .' . ' ' "corrective action(s), and the .time " ~ . Americans ~th Disability Act (ADA).' ',~ pe~~~ance deficlenc;les,: lnclu~g,bu~ . allowed for taking these actions. Failu...-e .' (42 U.S.C. 12101) and Section 504 of the. . not llinited ~o: .' . '. ': ". . .,'.. '-of the agency to complete the actions as .1973 Rehabilitation Act (29 U.S.C.701); , .': c11)lleprg.and/rodollo. ~g a th' , spe:;ified will result in a reduction or (b) Complying with the st~dards'of ~ saffi ect uder ~ ahctio~, orcti~ti' n~ out e .withdrawal of the FHAP allocation in ~ S ti. 3 f th H . . dUb ' , e e !iUl' ousmg a Vl es".~ , t' t t . d th ' ec on 0 e ousmg an ran., . (2) Estab~shing and/or following a . am.o~ no, 0 excee_e amount Develqpment Act ~f 1968 (42 U.S.C. management plan that assigns conditionally gran!ed. 1441)' and . 'b'li' f .. t th ' . . , . \,' . ..... . responsl 1 ties or ~g ou, e , Appendix I [Removed} - (c) Furthenng fall housmg. _ ,A actions required;. ,,' , '. ' ' f 115.311 Corrective and remedial a~tion. lik(31) ~anbcelinaf' ,rgordrebvising ~cti\"ities ~ch3. At PPIenfdti~tl It204suf~~acPtedr A fof . ". .. .... . . .e y to e .Iecte y a peuormance . ap er 0 e 0 u.e 0 e 0 (a) If .HtJ? makes a prelimmary., ,'deficiency before expending FHAP' . Federal Regulations is removed. , dctel'IlllIlahon that an agency has not funds for the activities; arid D t . J 1 29 1990 . complied with S 115.309, the agency (4) Redistributing or suspending . a e. U y . , . will be given written notice of this disbursement of FHAP funds that have Elizabetb K. Julian, determination and en. opportu."lity to not yet been disbursed. '.' Assistant Secret~ry for Fair Housing and show, through demonstrable facts and (c) HUD may condition the use of , ,Equal OpportUnIty. . data, that it has done so within a timeFHAP award amounts with respect to an IFR Doc. 96-19908 Filed 8-&-96; 8:45 &.'11) prescribed by HUD. agency's succeeding fiscal year's BIWNG CODe 4Z1G-28-1> f:--"' t.,U:J .) ;,-,-' ,~ ..,~ ."1i.' 1.':" '. ~ ,... ) AnACHMLHT C 0f'S STANDARD ASSURANCES - SF 4248 Drug Free Certification 12c-1 I 8022. 1 Appendix 12c 6/90 8022. 1 Appendix 12,,: J l ~ , ATTACHMENT C OeM a,...... .. ......... I , ASSURANCES - NON-CONSTAUCT'ON '''CORAMS ~o&a: C.ryi" .r o\,w a.."raMf' WIll att M appHcabl, liD J"O'" ".Jfd "'fI"'''' U 'ow ~Yf CIIt:ti.".. ,I,n, C'On~tl th. ..Irdine 'I'Ml Fur1.htf.ttrLlin rt4u.f a.lrdi.n""Mic. N1 rtq"ir, .pplituu IonrLJ, &0 .ddilion.la.."r'MtI Uuch it 0\, cU'.,." -ill be ..utiN A. th, d"l,.uthoriud,..prtl,nUtiY, .hM .pplicant 'nrtif) \Nt \.M ."'iclftl: I. HI' th, 1"., ."thorl', '0 'Ppl, I.r 'du.1 a..iIUnc,. and 0\, 11\1\1'"tion.'. II\IMltrial .... tanand.l Clplbilitl (i1\C1,,'in, 'ynch .YInci.n' 10 "1 tht 1I0n.Ftd".1 11I1" .r ,roju' nlU) ... .nlyrt ,roptr plaMil\', "'lnl"m'l\l and nlft. ,ltOon .to\, proj,ct cI'ltribtd il\ thil.pplic.Uon. 2 "'i11 r\" tht I.'ardin, "'Ml, ~ ColllpU01ttr Cen,ral or th. Cni~ SLlttl, .nd if .ppropriltt, ,h, SLll.. OIrou,h In,luthoria,d rtpttNnLltiyt, accul &0 and ,h, ri,ht '0 IlImin. .11 ftcordl, booh. paptrl. 0' dO(urntnU reliti'd Lo tht Iw.nI; and ",'m tlLabli.h'. proptr .~un\in, .)'S\.trD in atcordane. with "n"llI)' Icupl.d Iccounti", .und.rdl or II'nt). dirtet;ytl. ~. ""i11 tltabJilh ur'ruard. &0 prohibit tmplo1u, Irom u.in, th.ir poliUonl 'or a ,urpo" thlt tonatitYl'1 or prtunu th. ap~aran(f orptrlOnal .r or,anualional ~nnirt or inttrul, or ptrlOl\ll Ilift. 4. Will initiau and C'Ompltl. the ...ork within th. applicabl. timl lrana &ntr rt(tipl .r appro\..1 .r thl a.ardin'llt~1. S. ""m compl, ",'hh tht lnttrlOUrnm.nul '.nonn.1 Act or 19'70 (42 1,;.$ C, II 4121.4763) rtlalinC &0 prucri~d ILandardl ror IMrit ,",\.tau 'or pro".aml r~ndtd undtr .n. .r 01. nin.lun It.lutt. or rtl\lla lion5 .pedlitd i" Apptl'ldia A or OP~f. Sl.andardl ror I )hril SY.UIrl or Ptnonntl Adminiltlltion (5 c.r,p'. too. Subpart n. . C. wm C'Olnpl, wiO\ .n FtdtraJ ltatu1.e. nllUn, 10 DondiKrilni"IUon. Th'" lMlud. ~IIt art ..t limitad &0 eal Titl. V1 or th. Civil lli,hU Act .r 1t6C (P.L. &1.35%) which prohibiu.i....,hniftlti.ft ." the bui. or rlC't, color or natio",1 ori,in~ to) "itlt IX or 011 td~eation AmtndmlnU or 1172," amlnde' (20 U.s C.III611.1U3, 1M lW.16U), .hich prohibiu clia.c,ill\iftlUon on \ht N.il .r an~ (c) Seetion 50e ohh. Rthabi1i~tioft Art 011'71,.1 am.nd" (29 1,;.s C. . UC), which yohibtu .la. crimination Ol'llM ba.il or ha~iups~ (4) the AIt DiJerhninltion Act .r U75, II aEllen't' (42 \:.5 C II '1 01.St 01), ",'h1ch prohibiU li.erl.... 1M tiOI'l on Ole b& Its or a,.~ (.) \N Drul A~"M OtrICll ~ Tr..Untnt Act .r U'12 ep.L. 12.1$5), .1 .lII\ln''', rtlltinc ,. tMlndia.criINMtion .n t.ht balil .r drur ab"". en tJ\t Compr'MI\II" Alcohol AbUN .ftd "Ieoholi.", Pftyention, T,utmlnt anet rb~bililAlion ACI .r 1170 ep.L. 11.'1'), a. .m.nd", ,,'alin. ,. ~ndiKrilftiMlion on tht bui. or skoJov..I abuM or l1coholi.",; e" 11513 arwt 527 orthe '"b~ie Huhh Servict Art 00.12 (C2 U~ C. UO U., I~d 290 tt. JI, a. amlrld,l, r.laUn. &0 confidl~lillit). .r .lcohol ani 'rYI abllM pati.nt rtC'Ord5. Ih) Tltl, VIII or th. Civil lIli,hLa An .r tHI '.2 l:.S C I 3601 It Itq ). .. Im.n'tl, rtlllinl to no". dilCrimil\ltiol'l I" the Nlt, r,ntal or t:r..ncin, .r hOll.ln,; W a"l .ther IlOndiacri:r.inUi." provillon. I.. tht spKU\c l~tU\.t(.) und" which Ipplicltion ror rl'd"al Uli.unc. it bt:n, madt. ,,,4 (J) lh. nqulra mUll .l 1ft>. other ftOndilC,lllliMtion Il.Ilu\.t{ll which 1M~' .Ppl, &0 OIt appticatioft. ,. ","i11 compl,.. ., NI 11,u')' COEnplitd. .ith ,hi rtquirtmtnU .r Titltl 11 .nd III or th. l."irorm IIltloclliol\ A..htlllu and 'hll ProP.rt1 Aequilitiol'l Polieiu Act .r 1t'70 (PL tI.6"" ..-hich p~vid, ror Cai, and .qui~bll trulm.1\l .r pcnoru dilplaC'9'Cf or whoM propert, i. a~uir.d II a ,.Iult orrH.,al or rl'd"aU1 Ulilt.d prorr'lU ThtN f'toquirtlfttnlJ appl, t.o .n inttrtlU in rul Pro~rt1 l~uirH 'or projtct 'UrpoH' ",udl'lI .rFI'd,ral participation ltI purchaNI .. Wi11 C'Ompl1 wiO\ till prorlsioru 01 01. Mluh Art (5 \J~ C.II1501.UOI and 132C.1321I.hieh limit 'ht tolil1ca1 letl"ltiu .r t~plo)'u, -hOlt principal tmpl01Enll\t IcLiyltin .n lund.d In .holt or I.ft,.rt .lth ''''"al '"nd.. .. Will compI1," Ipplica\I., wilh thl pro\;lionl.r tht Davi..Bacoft Act (CO l:.S C.II 2;&1 to 2;6.. '), u.. Coptl.nd Art (CO li.5 C. . 2~&c .nd 11 C .se." 1741. aftd tN Contrart Wor~ Moun and Satltllundard. Act (40 C .s.C. II 321.3331, ",ardine labor '\.aMlrd. ror ft.d'ra!!~' aninN ~n.tr\Ktion ."barrttmtfttl. Ilri8rt '.- ~.I .-., I\nc... " QilI't :-w. &. ," 6/90 ~td 'Of Local A.productloft 12c-2 I, ) . , \ 10 ."iII COrnp'I, IIlppliubll, .IIJI nood ""u,uce ,,,rchUt 'foClllirtmlnta .r StcU." 102CII .r lh. Flood Dil.llltf ',otKtio" Att.r 1'7) CP.'. ,).1)41 .hich "q\li,,, 'Kipi,"'a'" I .ptcill nood ~lArd Ir.. Lo participatt In lht '''rim INft.o ,"rchaM t100d '""".net if th, IOt.1 toll.r I",u,.bl. ftn.ltuc~n arwlac,uiaition la'l 0.000., Inore. II. Wit) com,l, wIth ,,,..ittnlfttnLall1.lndarch which 11\11 ~ "..cri~d para"lnt 1I IN 10Uowin, Ca) Jftltltution .r envlr.nm.ntll ,"Ilit, control Intl.urn "rl4'" 'h. N.tionll EI,,"r.nmtrl~1 'olier An .r Itu <P.L. lI.ltO) .nl ["cutiv. Ordtr (EO) U5I4, ~) DOlilie.li." .r ..loIIUn, tlCilitiu pur.".nt 10 [0 U73I, Ce) ".tKtloll .f ..ttl.nda '\,Iu"ent 10 EO IIHO. Cdl t"llwatioft ., t100d huardl ill noodpl.inl in I~rc!&ntt wiL!l EO 1 naa. (,I IUII,.nc. .r ,roj,ct C'Oft.ilt.M1 .lth 'ht .ppro"d Sut. ml""flfttnt pr""1D "'\'llo~d und" tht eollt.1 Zon. ~fana,'mtnt Act .r 1t':2 06 a:5 C. II 1451 .t It, ); en C'Ontormit) or Ftdtr.1 Ictiona 1.0 SUI' (Clllr Air) rmpltm,nUtion Plan. und,r Sedion 17sed or the Clur Air Act of n55, II Im,nd,d (42 lo' .s.C. I 1401 ,tlfq I. (" p,oltction orurlChrro"nd JOU'ctl .r drink in. .'ettr under lJoI, Sar. Drinkinl Wat" Act .r 1t7.c, .. Im.ndd. CP.L. ').523). and (h) ,rot.ction or ,ndan,,,.d .petitt und" 'hi [ndan,trte! Sptciel Act or I t73,"lrn.ndtd, (P.L '3.205). 12. Will cornp!.) -ith the WiJd and Scenic Ri"'" Att .r UU cu 1:.$ C II 1271 tt Itq 1 "llltd t. protfctinl compon.ntl or potenti.l ~mpontnu.r th. Mliol\& 1 ..Hd and s.c.nic riwers 111\.m. 'ullOl AU"No-.zIO CU1""""C; OffICIAl Michael Roberto .I.H\.JCAH1 O~~lZA 110.. Human Relations Department City of Clearwater, Florida 12c-3 I 8022.1 Appendfx 12c U ..iII ...i.t 011 .-ar4i"l .,uCI 1ft '''uri''. "lI\plilnu _hh SUli.n 101 .r th. SlIion.1 H"t.,ic '''M'''ltton An.r IHS. II .m,lWItd nl t. Ie 4'01. EO I U.) C'dutifiutiu and ,ratttlien .f "iu.,;c ,r.,uti"J. 1f14 Ih, Atct..Hlorut .nd Hit"',&c "''''''Ilio" Art .r lti4 (16 a;.s C. .U.-I.t ...). 14. "'ill compl, .11. '.L. IS.'.. ",arlill' Ih. f'PolfoCtion .r hUN" IU\Jttta 1n"'''H ;fI 'tlurth, 4,.-,loprntnl, IftI nl.lt4 Ict;\ili.. l"ppot\H "1 W. I-ard orlnillaftCt. IS. "'m com"1 ..ILh Lht LaborlLo'J Anima' "',lla... An .r It" <P.L 't.544, II .mtnd,d. ., ... SC. tUI It H,J ptrlAWna 10 t.ht cart, hanefl"". and treatm.nt .r .a,. .,.04,' .nfmall h,ld lor t'tHlreh. Luchi",. Of .Lher acUyiUu .l.Ipportfd b.)' tNllward orlniaLlnn U. "'m comp1)' with Lh, Lead.8ud Paint PoiJOnin. Pr",.nUon Att (42 C.s C. II UOJ .t Mq I -hich ,r.hibi" the .It .r lu' ....d ,eiM 1ft conatructl.n .r rehabilitation .r ruidtnu Itl'Vdunl. 11. ".m "".. 1.0 be perrormH Lh. rtq\lirtcf rlNnciaJ .rad comptiutt .udit. In ,ctordanct -ith th, SiII", Audit An.flne. .. ".m ~mpl,with In .pplicablt rtq"irtmtMlOf.1I othtr Ftdtr.t la.... 'ltc"Uy, ordtra. "",Iatioftl .~ policiuloytmin, OIil pror'lD. "'LI City Manager 041& kIIWTl&D 10/06/97 6/90 . &I" ..... ... 8022. 1 Appendix 12c I I ~ " ATTACtKNT C CERTIFICATION REGARDING DRUG-fREE WORKPLACE REQUIREMENTS 1. Instructions for Certification a. By sublrltting this application, the applicant Is providing the certification set out below. b. The certification set out below is a aater1al representAtion of fact upon~ich re11ance will be placed 1f HUD dete,..ines to IWIrd a grant to the appl1cant. If it 11 later deterwi ned that the applicant knowingly rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace Act. MUD. 1n addition to a~ other remedies available to the Federal Government, aay take actionluthorfzed under the Drug-Free Wortplace Act. 2. Certification Regarding Drug-Free Wortplace Requirenents a. The applicant certifies that 1t will provide a drug-free workplace by: 1. Publishing a statement notifying employees that the unlawful Nnufacture, distribution, dfspenSltion. possess10n or use of a controlled substance 15 prohibited in the grantee's workplace and specifying the actions that will be taken aga1nst employees for violation of such prohibition~ 2. Establishing a drug-free lVareness lIrograa to info,.. e~loyees about: 1. the dangers of drug abuse 1n the wortp1ace~ 1i. the applicant's policy of maintlining a drug-free wort place i i1i. Iny available drug counseling, rehabilitation, and employee assistance progra.s~ and tv. the pena1t ies tha t ..y be i~posedupon tq) 1 oyees for drug Ibuse violations occurring-fn the workpl.ac~; 3. Mak1ng 1t a requirement that each eaployte to be engaged in the performance of the grant be given a copy of the statement required by paragraph 1; 6/90 12c-4 ~ . 1 I I ,.1 8022.1 Appendix 12c -2- 4. Notifyfng the elllployu fn the stltelftent requfred by paragraph 1 that,ll I condftfon of eaployment under the grlnt, the eq,loy" will: 1. Ibfde by the teras of the stltelDent. and ff. notffy the employer of Iny crf.fnal drug statute convfc- tion for I violltfon occurrfng fn the workplace no liter than five days after such convfction. 5. Notifying HUD wfthin ten days after receiving notfce under subparagraph 4 (ff) fro. Iny employee or otherwise receivfng Ictual notice of such conviction. 6. Taking one of the following actions, wfthin 30 days of receiving notice under subparagrlph 4 (ff), with respect to any employee who fs so convicted: f. taking appropriate personnel action against such In employee. up to and fncluding termination. or ii. requiring such employee to particfpate satisfactorfly in I drug abuse assistance or rehabilitation program approved for such purposes by I Federal. State or local health, law enforcement, or other Ipproprilte Igency; 7. Makfng a good "ith effort to contfnue to ..intlin I drug-free workplace through fmplementation of paragraphs I, 2, 3, 4, 5 Ind 6. b. The applicant shall fnsert fn the space provided below the site(s) for the performance of work done fn connection with the speciftc grant: Place of Performance (Street address, city, county, state, zip code) < < < < < Human Relations Department City of Clearwater 112 S. Osceola Avenue Clearwater, Pinellas County, Florida 33756 ) ) ) ) ) 12c-5 6/90 8022.1 Appendix 12c I I . ~ ! , ; RESTRICTIONS ON LOBBYING - CERTIPlCATION By aubmltting thil application, the applicant certifi.., to the best of hJ,. or her knovledge and belief, that. (1) No Federal appropriated funda haye been paid or will be paid, by or on behalf of the under.iCJtled, to any per.on for influencing or attempting to influence an officer or employee of any agency, a Ke~ber of Congresl, an officer or employee of Congre.., or an employee of a Member of Congre.. in connection with the awarding of any rederal contract, the IIIA1(ing of any Federal grant, the ~~kSng of any rederal lOAll, the entering into of any cooperatiye agreement, and the extension, continuation, renewal ,amendment, or modification of any Federal contract, grant, cooperatiye agreement, or loan. (2) I f any funds other than Federal appropriated funds haye been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Kember of Congress, an officer or employee of Congress, or "an employee of a Member of Conqre.. 1.n connection with thil Federal contract, grAllt, cooperatiye agreement, or loan, theundersiCJtled shall complete and submit Standard FODm-LLL, -Disclosure Form to Report Lobbying,. 1.n accordance vith its instructions. , (3) The under.iqned shall require that the language of thi. certif ication be included in the Avard clocUJDentl for all subawards at all tier. (including .ubcontract., .ubgrant., and contracts under grant., loa.n.a, and cooperative agreements) and that all subracipientl shall certify and disclose accordingly. This certification i. a material representation of fact upon which reliance va. placed when thil transaction vas made or entered into. Submission of thil certification i. a prerequisite for making or entering into thil tr~action 1mposed by .action 1352, title 31, O.S.C. by person who fail. to file the required certification .hall be .ubjact to a civil penalty of not less than $10,000 and not IDOre than $100,000 for each luch failure. 6/90 12c-6 I I . . CONTRIBUTIONS 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 (CONTRIBUTIONS AGENCIES ONLY) ATTACHMENTS ATTACHMENT A - CRITERIA FOR PROCESSING ATTACHMENT B - PART lIS, FINAL RULE, AUGUST 1996 ATTACHMENT C - SECTION 3 CLAUSE ADMINISTRATIVE REQUIREMENTS - SEE PARAGRAPH J ATTACHMENT E - INSTRUCTIONS FOR PREPARATION AND SUBMISSION OF DIRECT DEPOSIT SIGN-UP FORM (SE-1199A) AND INSTRUCTIONS FOR THE LOCCS VOICE RESPONSE SYSTEM ACCESS J I ,~ . . 1. SCOPE OF WORK (FIXED PRICE) The Recipient (or agency) shall furnish all the necessary personnel, materials, services, equipment, facilities (except at otherwise specified herein) and otherwise do all things necessary for or incidental to the performance of the work set forth in the Statement of Work and all Attachments for the firm fixed price set forth herein, including but not limited to identifying staff assigned to carry out fair housing activities by name, position, salary, percentage of time spent carrying out fair housing responsibilities, and experience. 2. PERIOD OF PERFORMANCE The Recipient shall provide all services hereunder for a period not to exceed twelve (12) months from the effective date of the instrument. 3. INSPECTION AND ACCEPTANCE Inspection and acceptance of all but .the final products may be accomplished by the Government Technical Monitor (GTM) , if so delegated. Final acceptance shall be accomplished by the 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 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. 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. Under this cooperative aqreement for FY'97, there are no fundinq amounts included for Administrative Costs, Special Enforcement Efforts, or Traininq. . . ) I 2 ComDlaint Processina CCP) - agencies will receive CP funds based solely on the number of complaints processed during the period July 1. 1996 throuqh June 30. 1997. 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's in its third year of Capacity Building). For this year, the CP amount is $1,700 per complaint. (Example: to determine the CP amount multiply $1,700 times the number of complaints acceptably processed in the period of performance.) Payment under this cooperative agreement shall be made in accordance with paragraph B below. B. DATE FOR RECIPIENT'S REOUEST FOR PAYMENT CONTRIBUTIONS BUILDING AMOUNT TRAINING 70 days after the effective date of instrument 30% $-0- 180 days after the effective date of instrument 30% 270 days after the effective date of instrument 30% Final submission on or before the completion date of instrument. 10% C. The Recipient shall follow the instructions in Attachment F on use of the LOCCS for requests for payments under the FHAP. D. Training shall be made at the next available billing period after the participation in training has occurred. E. If the Recipient does not draw down their funds using the LOCCS within thirty days of the expiration date of this Cooperative Agreement, the agency forfeits those funds. F. Payment is subject to being withheld if it is the judgement of the GTM and GTR that the Recipient is not complying with all terms of the Cooperative Agreement, the Appendix and all Attachments hereto. I I 3 G. A Narrative Report describing each activity undertaken during the billing period pursuant to which payment is required. The Reports for Contributions should include: 1) A Case Processinq Reoort should be accompanied by a listing of complaints acceptably processed, including the name of complainant, respondent, and date closed, date conciliation failed, date referred to legal for enforcement action, information on investigative and conciliation techniques, other performance criteria, descriptions of all activities undertaken on each administrative closure, customer client activities conducted, and 2) An Education and Outreach Plan should also include a description of activities undertaken in support of case processing activities, to educate and outreach to the public, and to enhance caseload. Where the Department and the agencies are using the Title VIII Automated Paperless Office Tracking System software or other software applications where the information requested is provided via use of computer technology, the information identified in G. above need not be provided again in hard copy. H. 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 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. I. The Criteria for Processing are hereby incorporated as Attachment A, FY'97, to the Schedule of Articles. J. The Administrative Requirements for Grants and Cooperative Agreements (Part 85) 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 agency official and the I I . t 4 GTR/GTM should ensure that the agency has a copy. If the authorized agency offical does not have a copy of Part 85 on file at the agency, the GTR/GTM is required to provide the copy to the agency. K. The Government shall remit all payments to the following address shown on the depository form: SEE ALSO INFORMATION IN ATTACHMENT E 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. HUn'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: 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 I I , . 5 office location fair housing investigative training; 4. Participation in the development and presentation of in-house investigative training; 5. Participation in the presentation of education and outreach programs; and, 6. Provision of appropriate directives and guidance for 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 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 presents the appearance of personal or organizational conflict of interest, or personal gain; 5. Comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Sections 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F); 6. Comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color, or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Sections 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of I I 6 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. Section 610l-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. 8. 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 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. 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. The act of, or 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. 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 I I 7 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 (GO) 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. 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. I I. . . 8 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 mailed, faxed, or telephonically provided to the" Recipient. I I , .. 9 CONTRIBUTIONS AGREEMENT APPENDIX A - FY'97 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 HOD 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 agrees to follow HOD'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 agencies. 4. The Recipient agrees to furnish all staffing information, and utilize staff consistent with such information as required by Article 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. B. CONTRIBUTIONS The Recipient agrees to process housing discrimination complaints in accordance with A. above (General Requirements), and in accordance with the Criteria for Processing which are incorporated herein as Attachment A to the Schedule of Articles. The Recipient also agrees to augment its fair housing enforcement efforts by engaging in outreach, education, training and technical assistance pursuant to the Memorandum of Understanding or the Interim Agreement. I I ~ 10 C. REPORTING 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 reported using the Title VIII Automated Paperless Office Tracking Systems data or other data and information systems technology agreed to by the agency and the GTR/GTM. Failure to report the progress of a dual-filed complaint, from receipt through closure, using either the automated case tracking system or providing the data manually in a procedure agreed upon by the agency 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) . , ;- J I ATTACHMENT A FY'97 Criteria for processinq 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 , . . I I 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. , . . I I CRITERIA FOR PROCESSING This document is an attachment to the cooperative agreement between HOD 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 HOD. The criteria are designed to assure the uniform, timely, and quality processing of fair housing complaints. I. INVESTIGATION A. The Comolaint 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 orescribed bv 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 I I 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. 5. The complaint may be filed with the assistance of an authorized representative of the person filing the complaint. The State or local agency is required to refer complaints or provide information to HUD regarding allegations which the agency receives involving a practice which is not covered by the State or local law, but is covered by the Federal Fair Housing Act. (See Sections VII and VIII of the written agreement between the agency and HUD.) B. Dual-filed Complaints - only dual-filed complaints are considered for payment under the FRAP. 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 ) I 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. I I 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 Investiqation 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; I I 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 50% 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 I I 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 Reauired: 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. Makinq 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. I I 7 SEE FUND Eliaibilitv 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 conqiliate 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 writinq 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. I I 8 (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)). I I 9 2. Documentation Reauired. 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 Reauired. 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 ., I I " 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 50% of the payment. IV. SETTLEMENT CLOSURE If the complainant and respondent agree to settle the complaint without the State or local agency's involvement, the complainant may wish to withdraw the complaint. If the complaint is resolved as a result of the complainant's withdrawal, the GTR must review the terms and conditions of the settlement to determine whether the following criteria are satisfied. Withdrawals with Resolution. A withdrawal with 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. Requirements 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; " I I 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 Reauired. The following documentation should be mailed to HUD at the time of reporting the closure to HUD: (a) a chronology of agency actions prior to the withdrawal request; and (b) a copy of the signed and dated withdrawal request. V. ADMINISTRATIVE CLOSURES - If over 20% of the agency's total caseload are closures as discussed in A through D of this section, the agency is ineligible for SEE funds (reference Ill. 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 cri teria) ; . I I 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 Reauired (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. Requirements 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.); I I <c 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 lOth 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 Reauired (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 Investiqation 1. Requirements for the Acceptance. The State or local agency must send the complainant a letter indicating that the agency and HUD will dismiss ~ I I " 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 Reauired (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. {. I I ~ 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. Reauirements 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 Reauired (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 . I I 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.