HomeMy WebLinkAboutContract 48894f�OV ? ��f 2016
Ms. AngeIa Rush
Fort Worth Human Relaiions Comrnission
Hazel Harvey Peaca Center of Neighborhoods
818 Missoui'i Avenue
Fort Woi�h, TX 76104
Dear Ms. Rush:
CIYY S�CR�i'Ai� � �1��� f
R�
CONTRAC7 Pd�.
U.S. D+LPAItT'MENT OF HOCTSING AND URBAN DEVELOPM�NT
Port Worth Regiona] Office, Region VI
Office of Pair Housing & Equal Opportunity
801 Cherry Street, Unit #45, Ste, 2500
Fort Worth, TX 76IO2
Phone 1-888-560-8913 - Fax (817)978-5739
wwtiv.hud,gov
Subject: Transrnittal of Anzended ExecUted Cooperative Agreement
FF206K166002
Enclosed is the Fort Workh Human Relations Commission fu]ly executed Assistance
Awa�rd/Amendment (HUD-1Q44), between this Department and your Agency in the
an�ount of $874,562.00. The effective date of the Agreement is September 19, 2016.
Your agency has been designated the following: Case Processing, $689,800;
AciministraEive Cost (AC), $147,262; Training, $22,500; and aprevious award of $15,000
for partnership funds:
Case Processing funds that are allacated undar tYiis Agreement are available to yaur
agency. However, prior io the c�i.sbursement of the AC funds, your Agency must submit a
written plan detailing how you intend to use the AC funds. The plan should include the
use oi the AC funds for updating and maintenance of your hardware and sofiwaze, as
appropriate. The plan must be submitted to the Fort Worth Regiona� office for approval.
See FY 2016 Faiz- Housing Assistance Program (FHAP} Funding Guidance.
AdditionaIly, the following in%rmation must be pxovided prior to tY�e fiinds being
released: 1) Identify all out�each activities initiated between October 1, 2015 and
- September 30,-2016;-2) Provide-a summary of how AC-funding-was used between
October 1, 2Q15 and Septernber 30, 2016; 3) Provide a listing b� attendees, dates of
trarriing, and name of training for ail HUD approvedJsponsored training attended between
October 1, 201 S and September 30, 2016; aud 4) Provide a statt�s report, including the
pro�jected date of closure, for all cases pending as of the date you receive this
correspondence that are over 100 days old.
AlI requests for reimbursement must be rnade utilizing the electronic Line of Credit
Control System (eLOCCS). Parsuant to the 2016 Contributian Agreennent, g_
f:�PFICIAL RECORD
CITY SECRETARY
�1'. WORTH, 77� �,
Article 6, a Na�xative Report describing activities undertaken during the period af
performance is required when a request for reimburseznent zs submitted. See 2016
Contribu�ion Agreeznent, Article b for specific requirements. �
Thazik you for your continued cooperation. If �ou have any questions, please
contact me at 817-978-5890 or Ms. Barbaza Hat7-is, GTM at 817-978-5869.
Sincerely,
S��
Bonita Howard, Chief
Program Compliance Branch
Fort Worth Regional Office af
Fair Housing and Equal Oppartunity
Region VI
Enclosures
Cc: Tracy Bar�croft-Lasseter
�
Assistance Award/Amendment
Assistance Instrument
� Cooperative Agreement ❑ Grant
FF206K�66002 �1
7, Name and Address of Recfplent
Fort Worth Human Relations Commission
Hazel Harvey Peace Center of Neighborhoods
818 Missouri Avenue
Fort Worth, TX 76104
DUNS #8246# 4754
t 0. Recipient Project Manag
Angela Rush
11. Assistance Arrangement
❑ Cost Reimbursement
❑ Cost Sharing
� Fixed Price
tJ,S. Department of Housing
and Urban Development
Office of Administratlon
Y2, Payment Method
❑ Treasury Check Reimbursement
❑ Advance Check
� Automaied Cfearinghouse
❑ Award � Amendment
5, Effecilve Date of lhis Acllon 8_ Control Number
September 19, 2016 EIN #75-6000528
8. HU� Administering Office
Region VI FNEO
801 Cherry St,, Unit #45, Suite 2500
Fort Worth, 7X 76102 , �
8a. Name oF Adminlstrator Bb. Tefephone Nun
Garry L. Sweeney (817} 978-5868
9. HUD Govemment Technical Representative
Darfene Freeman (817) 978-5884
LOCCSNFIS
ARTIC�E 7
14. Assistance Amount 15. HUD Accounting and A
PYevious HUD Amount $15,Op0.00 15a. Appropriation Number
........ ..................._............,....�.....,..,..._........_....._..............._...............,.......,,,.....,,......._.........�_._.._.._....,..,,,,.,,........
HUb Amount fhis action $85� 562;00 86'f 6/170144
,...,...,..._ .................,.,....._.,.................._.,.............__........._.......,._....,......., . . . ................._.._..........._......._.
Toial HUD Amount,. .,,., ..,.,_..,..�874�562;00.,......,.,,,.,,,, ............... .......... ... ..Amount,Previously�Ob
.............................................._.._.....,,. ,,._.....--,,.,..,
Recipient Amount $ pbll�aiion, bX,this _actia
....................._......._............,_.,._........._.........---...._...,..._,,,._....._,.........,,..',.�,..,,,.,,,........,,.......,..,..,.�.,�,,.,.,,.,.,,,...,, ,,,.,..,,,..,,,..,
Total Inslrumerit Amount $874 562.00 Toial Qbli ation
16. Descriptfon
COOPERATIVE AGREEMENT FOR FAIR HOUSIN6 ASSIS7ANCE pftOGfiAM {CONTRIBUTIONS) FY20I6
Thls Agreement canslsts of the fotlowing, whtch Is Incorporated herein and made a part hereof:
1, Form HUD-1044 {8/90�, Asslstance AWard
Z. Schedule of Articles with Appendix and Attachments �
3. Appendix A Statement of Work (See CAJ
0.. Attachments: Attachment A- Criteria for Processing (FY 2016)
Attachment B-StandardsforTimeqness
j � � Attachment C-Special Conditions (ifapplica6le) '
� COOPER,4TNE AGREEMENT BREAKDQWN OF FIS�AL Y�AR 2016 FUNDS:
Number of'completed cases-z28 �Please see attached list
� (TIN) Case Processing $589,800.00
� (APC} Administration Costs . $147,262.OQ
� � � (TRG} Training Funds S 22,500.00
�.� 1
Total Cooperative Agreement Amount •$859,562,00
(PAl) Partnership Funds (FY2015/16) 15 OD0.00
, . ---- — -- - - -- ---. .. ---- - -
,. �� TotelOhligatlprtAmount $674,562,00 '
'-� Per(ormance'Period: Comnlaint Processina: luly 1, 2015 --June 3D, 2D16
Adminlstrative Costs,Trainlnz: October 1, 2015-September3Q 2016
,�� ~���� is 8orbora R. Narrls, Equal Opportuniry Speciolist Fort Worth Reglona! OfJice, Fort Worth, 7exas.
��� �"� �� 1 Reci ient Is re u
,..•••••• •... � p q ired to sign and return three (3) copies
. � � d�� this document to the HU� Administerina Office
:�
Signalure 71tle
, , � /�-�"
��)Li�r . Clfy /'7antiytr-
�� EQ AS TO FORM AND �.EGAtITY
..�,�.. .,,r��...�_
Date (mm/dd/yyyy)
as�z 8�zo !G
15b. Reservation number
FH�O-06-i
4
1B. ❑ Recipient 15 not requEred to sign this dacumenl.
20. HUD (By
G�arry L. S
SIiiG1� ature &
RegipfiN#�H�C3Regional Djfector
Offlce oi Falr Housing and-�quai O
iV0 �Vtd�C I��QUIIt�D
Z�:1�2C�(,(�
�I'�`� ���:E��`�'��'�'
F'P. WORTH, 7')(
2016 CONTRIBT.J7'XO1�5 AGR�EM�NT
SCHEAULE OF ARTICLES
1. SCOPE OF WORIL (FI7�D PRiCE)
2. PERIODS OF PERFORMANCE
3. INSPECTION AND ACCEPTANCE
4. CONDUCT OF WORK
5. INSTRUNI�N'I' AMOLTNI' ANA �tEQUESTS FOR PAYMENT
6. NARRATIVEREPORT
7. CRTTERIAF�RPROCESSING
8. 24 CFRPA.RT 20�
9. USE OF COOPERATIVE AGREEM�,F,NT FUNDS
10. MAINTENANCE OF �FFORT
11. HiJD'S SUBSTANTIAI. WVOLVEMENT
12. ASS�lf2�NCES
13. USE'OF CONSUi,TANTS
14. PUBLICATIONS AND NEWS RELEASES
15. REPRODUCTiON OF REPORTS
i 6. FLOW DOWN PROVISIONS
17. DISPIJTES
18. MAINI`ENANCB OF RECORDS
I9. CUSTQMER SERVICE STANDARDS •
20. REPORT]NGREQUIREMENTB
- -- - - - - -- -- - - - ------ -...- --- - - - - - - -
_.. -_--...------
_ _ Zr.- - �au�rmrG
22. IAIIT`IAL CONTAC"Z' DATE
23. C'HANGES LIIvIiTING BFFEC'T'1VENESS �F RECIP7ENT'S LAW �
24. FHAP AND FTRST AMENDMF,NT
25. TESTING
26, RET.,EASE OF INFORMATION WHII,E COMPLf1lNI' IS OP�N
37. SE3�'LTAL ORIENTATTON, GENDER IDENTITY, MAI2ITAL STATUS, AND SOURCE OF
INC.�ME CAUSE DETERMINATIONS
Appendix A: Statement of Work
Attacl�ment A: Criteri a for Processing
Attachxnent B: Standards for Timeiiness
Attachment C: Payment Aznounts for FHAP Complaint Processing
2
1. SCOPE OF WOR� (F�ED PRTCE)
The Recipient (or Agei�cy) shall furnish alI ihe necessaiypersonnel, rnaterials, sez-vices,
equipment, facilities {except at otherwise specified herein) and otherwise do all tl�ings
necessary for or incidental to fhe performance ofthe woxk set forth in the State;ment of Work
(SOW} and all attachunents for the firm fixed price set fot-th herein.
2. PERIODS �F PERF(?RMANCE
The Recipient sha11 �rovide all services hereunder during the periods of performance.
Por the FI'2016 Cooperative Agreement, the periods of perfoxmance are as follows:
CompIaini Processin�; Ju1y 1, 2015 —June 30, 20I6
Adminzstrative Costs, Trainin�: Oc%ber 1, 201 S-- Septem6er 30, 2016
Note: While as a general rule, the cut-off day for incurring aciministrative costs is September
30, 2016, the GTR �ay change ihe cut-off date to several days before the encl of the fiscal year
if that is necessary to oomplete closeout documentation.
3. INSPECTIOl� AN:D ACCEPTANCE
The Crovernrnent Technical Monitor (GTIvI), zf so delegated, may accoxr�plish inspection and
acceptance of all but the finaI products. The Government Technical Representaiive (GTR}
shall accomplish acceptance of aIi final products. The GTR. is identified in Block 9 afthe
�-ND-1044.
4. CUNDUCT OF VGrORK
During t1�e effective period of this instrument, the GTR or GTM shall be responsible for
monitoring the techtiical effort of ihe Recipient, unless the Recipient is notified in writing by
#l�ze Coopet�tive Agreement C?fficer (CAO} o� a replacement. The CAO is identified in Block
8a of the HCJD-1044.
Only the CAO has the power to authorize deviations from this instrument, incIuding
deviations from the Statement of Work. Tn the event fhe Reczpient does deviate without
,, written approval of t1�e CAO, sach deviation shall be at t1�e risk of the Recipient, and any costs
-related thereto shal] be borne-bythe Recipient: - - - - - - - �
5. INSTRTJMENT .AMOUNT �1ND REQUESTS FOR PAYMENT
Agencres that have received Ca�acity Building funds for one year may be eligible for
Contx�ibutions funds. Cantribuiians funds consist of three categories: Complaint
Processing; Adminisix�ative Costs; and Training. For FY2016, H[JD m ay also provide
an "Enforcement Fund" through Special Enforcement Efforts (SEE) Funding as we11
as Partt�ership funds.
. Complaint Processing - GTRs shall deterinine payment ainounts based upon the
FY2016 Paya�nent Amounts far FHAP Camplaint Pz•ocessing, which are found at
Attachment C.
Adtninisira.tive Cosis - Agencies that acceptably process 100 cases or more shall
receive 20% of the Recipient's F�IAT' obligation amount for #he preceding year, Fot•
agencies t.hatpi•ocess fetir�er than I00 cases, see FY20�76 Fi��di�g Guida��ce fo�• FIIfl P
"Contributr.'ons.Ftgeracies " fo�• the fundzng fi^Q771BN�0T•k, Trairzk�n� - All agencies are
eligible to receive training funds for attendance at the National Fair Housing Training
Academy (NFHTA}, and other HUD-approved or HUD-sponsored training. See
FY2DI6 FHfIP Ful2dir�g Guida�zce for� spec�c requir�enzents related to tr�aining,�"u�zds.
Special Enforcemenf Effort (SEE� I�nds — Z7-UD may make available up to $1.0
million in SEE funds for FY 2016 tlu�ough the im�lementation of an Enfo�•cement
Fw7d. SEE funds are funds ihat HUD may provide to an agency to enhance
enforcement activities of the agency's fair housing Iaw. In the event these funds are
made available, agencies applyin,g for an award frozn the Enforcement Fund such
funds must meet the eligibility criteria set forth in 24 CFR.§ 115.305(a}{1)-(a)(6).
Guidance governing the aperation of the fund is being developed and wzil be
distributed if the funds are made available. It is envisioned thai that decisions on
requests for distributions witl be made by the FHAP Division in FHEt�
Headquarters on a case-by-case basis with the actual fund commiiment taking piace
in the field as wit.�i a11 other �HAP funds.
. Partnezship Funds — HUD rnay znake avaiIab�e np fo $1.9 million on Pa.rEnership
funds for FY2416. Specific gtzidance wi11 be issued 'zf the funds are made available.
The m�imutn amount for performance under the Articles of this Cooperative Agreement, Appendix,
and Attachments, is tbe total axnounts of all categories of Coniributions fiands (i.e., Complaint
P�•ocessing, Administrative Costs, and Training (as weIl as SEE and Partnership funds if sucl� fiinds
. are made available). Draw-downs are permitted at the discretzon of the GTR. Complete draw-downs
of the totaI amount obligated for Complaint Processing funds shall be permiiied at any point after June
30, 201 b, and befare September 30, 2016. Payme�t is subject to wit;hholding if the CAO detertnines
that the Recipient is nat complying with aIl terms of the Cooperative Agreement, the Appendix, and
aIl Attachments hereto.
6. NAT2ItATIVE REPORT
A Narrative Report describing activities undertalcen during the periods of performance pursuant to
which payment is being requested is required. The Natrative Report shall include a listing of
complaints acceptably processed, in.cluding tlie name of complainant, respondent, and date cIosed,
type of closure, date referred to legal for enforcemen� action, informatian on invesiigative and
conciliaiion techniques, and descriptions of all aciivities undertaken to jusiify all administrative
closures. Tl�is list must demonst7-ate that the agency receives and processes a reasonable number of
complaints cognizable under tl�e Fair Housing Act, as required in 24 CFR � 115.206(e)(�). The
Narrative Report shall also include a description of outreach activiiies undertaken in support of fair
housing case processing to educate tl�e public on fair housing r]ghts and responsibilities. The
GTRIGTM should verif'y that the Recipient is undertaking the education and outreach activities
identif ed. ffthe Recipieni �neefs the requirements outlined in the FYZfJ16FH�fP Fundi��g Guidm�ce,
remaining funds rnay be used to undertake the fair housing educatzoll and ouireach ac�ivities.
7. CRITERTA FOR PROCESSING
T�e Cz'iteria far Processing are the standards by which HUD determines whether a complaint,
cognizable under the Fair Housing Act azad processed by the Recipient, vvarrants reimbursement with
FT-IAP funds. Tlie Criteria for Processing are incorporated as Attachmen.t A.
8. 24 CFR PART 200
The Administrative Requirements for Grants and Cooperative Agreements (2 C.F.R. part
200) are hereby incorporated by reference. The Agency must be famiIiar r�vith these
reqairements and verify to the GTR/GTM that the Recipient has a copy on fiie. A copy of
Part 200 may be obtained from your GTR/GTM.
9. USE O� COQPERATIVE AGREEMENT FUNDS AND NO C4-MINGLING
The Recipieni is entitled to receive the tiaed amount ident��ied in Block 14 of the HCJD-1044
for satisfactory completion of tk�e work to be performed, regardless of cosfis incurred_ FIIAP
funds must be used for tlae purpose that HUD provided tlae funds including the processirig of
complaints cognizabie under the Fair Housing Act, training under the Pair Housing Aci and
the state or local fair housing law, adm.inisirative costs associated with fair housing conaplaint
processing, creaiion and mainienance of data and information systems, az�d the development
and maintenance of fair housing education and ouireach projects. The Recipient must
segregate F�-�AP funds frorz� the Recipzent's and the state or Ioca1 governmeni's other funds.
10. MAZNTENANCE OF EFFORT
The Recipient must spend at Ieast 20 percent of its total annual budget on fair housing
activities if it enforces antidiscrirninatian laW(s) other tl�an a fair housing Iaw. The teim "total
annual budget" means the entire budget assigned by the jurisdiction to the agency for
enforcing and adzninistering antidiscriinination Iaws, bui does not include FHAP funds.
-- �- -----�-Mainfenance of effort also means iliat tlie Recipieni siiaii not unilaterally reduce the leve� of
fmancial resources cun-enily connmitted to fair housing. Budget and siaffreductions
occasioned by legislative actian outside the eon#��ol of the Recipient will no% alone, result in a
determination of ineligibility. However, HUD will take such actions into consideration in
assessing the angoing viability of a Recipient's fair housing program.
11. �IUD'S SUBSTANTiAL INVOLVEMENT
A. HUD intends to k�ave substantial involvement in the review and approval of aIl aspects of i11e work
to be carried out as a resuIt of an award under this Agreement.
B. Aniicipated substan�ial involveznent may include, but is not necessariIy limited to, tkae foIIowing:
1. Review and guidance during and uporz compleiion of cases cognizable under tile Pair Housing
Act;
2_ Requests far additional informaiion an cases to provide clarif�caiion or for completeness of a
case investzgation or file; �
3. Development and presentation of national and regional office fair housing investigation and
concztiafion training;
4. Participation in the developnnent and presentation of in-house invest�gation az�d conciliation
training;
5. Participation and approvaI of education and outreach progranis oz rnaterials;
b. Provision of appz•opria�e directives and guzdance faz case processing;
7. Assistance in the investigation, conciliation, and/or enforcemem of fair housing cases
cognizable under the Fair Housixzg Act;
8. Requests for updates on ihe final staius of cause detezminafiions; and
9. Review and analysis o:f agency's fair housing law for deteixn.inations of continued substantial
equivalence to the Fair Housing Act.
12. ASSUI2ANCES
As a condition for the receipt of FHAP funds, the Recipient assures HUD that ii will:
A. Provide a drug-free workplace;
B. Cornply with #he provision af the Hatch Act {5 U.S.C. Sections I501-1 SO8 and 7324-7328}
.which_liini�s.the.political activities-of-employees whose principle-employment-actiuities-are -- --
funded in whole or part with� �'ederal funds;
C. Establzsh safeguards to prohibit employees from using their positions fox a purpose that
constztiates or presents the appearance of personai ar organizational conflict of interest, or
person�al gain; .
D. Comply vvith the lntergoven�txlental Personnel Act af 1970 (42 U.S.C. Sections 4728�4763}
relating to prescribed standards for merit systems for programs funded under one af the
nineteen statutes or re;uIa�iozis specified in Appendix A of OPM's Standards for a Merit
System of Persorn�el Admiiiistrafiion (5 C.F.R. 900, Subpart F);
E. Comply wi#.� aIi federal nondiscrimination laws including, but not necessarily limited to: (a)
Titie VI of the CiviI Rights Act of 1964, which prohibits discrimination an tl�e basis of race,
color, or national origin by recipients of federal fii�aracial assistance (b) Title IX of the
Education Amendments of 1972, as amended, vt�hich prohibits discrimination on the basis of
sex by recipients of federaI �nancial assistance ;(c} Section 504 of the Rehabilitation Act of
1973, which prohibits discrimination on ihe basis of disability by recipienis of federal financial
assistance, and (d) the Age Discrimination Act of 1975, as amended, uThich prohibits
discrimination an the basis of age by recipients of federal fzqanciai assis#ance;
F. Comply wit1� all appIicable requirements of federaI laws, executive orders, regula#ions, and
policies goveming this program; ant�
- G. Comply with fihe requirements of the Resource Conservation and Recovery Act which
mandates that state agencies using federal funds for procurement programs give preference to
products containing recycled materials when purchasing speciiic products identified in
guidelines developed by the Environmental Protection Agency (40 CFR 247-253).
13. USE OF CONSULTANTS
Salary payments to consul�arzts under this instrument sha11 not exceed the equivalent of ihe
maximum dazly rate paid to level N of the Execuiive ScheduIe, as evidenced by current pay
vouc�ers. .
14. PUBLICATION� AND NEWS RELEASES
A. Defmitian. For the putpose of this clause, "publicaiion" includes:
(1} Any document containing in#'onnation far public consumption;
(2} The act of, or any act tliat may result in, disclosing information to the public; or
(3) Any products resulting from the educafion and outreach efforts of the Recipient that are
planned to be made available to tlie public thraugh dedication, assignment by the Government,
or otl7er such means as HUD shaIl determine.
-- -- -- - - B: Gavernmeni Ownership of-Official-Products-of Work---- _ . - - - - -
All interim and final reports and information, data analyses, special rnethadology,
findings, and their related documents and work products, including reports, work sheets,
survey instruments, camputer tapes, and any other physical materials and products
produced directly under the SOW oiihis inst�rument are considered Official Products of
Work, owned by fihe U.S. Gavernnaent and held for the benefit of the public.
C. Publication of Official Products of Wo;rk
Official Products of Work, quotations tY�ere from, parapl�rasing, or disclosures of interim
f ndings �nay not be pubIished without the approval ofthe GTR for a period of sixty (60)
days a$er accepiance of �lie product by the GTR. Thereafter, the Recipient shall be free to
publish without HLTD approval.
D. Acknowledgeinent and Disclai�ner
AII O�cia1 Products of Work, or any part ihereo£, and any Independent Produc�.s and �
Special Prodvcts arising out of this inst�-�znent, v�Tk�en published by Recipient or other
participa�rts in ihe worlc, shall contain the following acknowledgment and disctaitn ez':
"The work tl�at provid�d the basis for this publication was supported by funding
under a Cooperative Agceement with �he U.S. Departinent of Housing and Urban
Development, The substance and findings of the work are dedicated io the public.
The author and pnblisher are solely responsible for the accuracy of the statements
and interpretations contained zn this pubfication. Such interpretations do not
necessarily z�eflect the views of the Govez-�unent "
E. Notice ofNews Release and Public Announcements
Copies of all press z-eleases, forma] atitaouncements, an�l o�her pianned, written
issuances containing news or infon�nation concerning this instrument that may be
made by the Recipient or its staf�', or any subcontractor or other person or organiza�ion
participating in the work of this znstrunnent shall be provided to the GTR at the earliest
possible izme. News releases and other public announcernents may not disclose any
interim finding or quote or paraphrase any part of any Official Praduct of Work
without complying wifih paragxaph D above, eniitled Acknowledgemeni and
Disclaimer.
The Recipient agrees that no ner�s releases ar pubiic announcements involving FHAP
funded activities will be released to the public without prior HUD approval. The
Recipient further agrees �liat it wil] submit any and all press releaseslnews
announcements, siudies and/or other products developed with FHAP funds to the
. GTR for review and approval af at least two weeks prior ta its release, unless H Ull
agrees to waive Ylle two-vveek submission requirements. Publication £�yers, and other
routine documents previously approved by the GTR. and/or the Department, may be
published wiihout further IIUL} approval.
15. REPRODUCTION OF REPORTS
Tn accardance with Government Printing and Sinding Regulations, reproduction of reports,
data or other written rn.aterials, i�required herein, is authorized, provided thatthe matez'ials
produced do not exceed 5,004 production uniis of any page and the i#ems cansisting of
multiple pages do not exceed 25,000 production uni�s in aggregate.
16. FLOW DOWN PROVISIONS
The Recipient shaIl include provisions of this insfrument in aI1 coniracts of employment wiih
persons �who perfonn any part of the work under this instrument, and with all subcontrac�ors
and other persons or organizations participating in any part of the work cander iUis instcl.unent.
There shaII be provisions for a further flow down of such requirements to each sub-tier of
employees and subcontractars to the eatent feasibie. If the Recipie��t subcontracts to a public
or private arganization any activity for which it receives FH�P funds, zt must ensure in
writing that the o a�anization is complying with all relevant civil rights ]aws including: (a} Title
VI of the Civil Rights Act of 1964; (b) Title IX of the Education Amei7dments of 1972, as
amended; (c) Sec�ion 504 of the Rehabilitation Act of 1973; and (d) the Age Discrimination
Act of ] 975.
17. DISPITTES
Di.u'ingperformance ofthe insttumen�, disagreements may arise between the Recipient and the GTR
on various issues, such as the acceptability of coznplaints forwarded for reimbursement. If a dzspute
arises, the CAO shalI be the final authority on the matter and sha11 prepare a finaI decision, taking into
account all facfs and documentafion presented, The CAO's decision shalI be mailed, emailed, faxed,
or telephonically provided to the Recipient.
IS. A�LAiNTENANCE OF RECORDS
The GTR and CAO are to rnaintain all appropriate recorcls reiating to ihe implementation of this
cooperative agreement for a peziod of 5 years for the GTR files and a period of l years for the CA�
files. Tl�ze files for the CAO are to be kept in a secure place and should be accessible to others only
with the CAO's petmission. After 7 and 5 years respectively, the records may be archived at ihe
records center.
The Reczpient agreas to maintain recards demonstrating its financiai admuiistration of FHAP fvnds.
The Recipient aiso agrees to maintain records of its performance tznder FHAP, including a11 past
performance assessment reports, performazice improvement plans, and other documents relative to the
R.ecipient's pei�ormance.
The Recipient agrees to permit reasonable public access ta its records as required at 24 CFR
__ __ § 115308(c}_(i.e., records are made ayailable at the agenc�'s off ce during normal.working hours for. _
public review). The Recipient agrees to pem�it the Secre�ary of HUD, Tnspector General of HCJD,
Comptrol]er General of the United States, and any of their authorized representa.tives, access to a1J the
�ez�snent books, accounts, reports, files, and other payments for surveys, audits, examinations,
excerp#s and transcripts as they relate io i11e agency's participation in the FHAP. The Recipienf agrees
to keep files in such a fashionn as to permit the audiYs under appiicable Office of Management and
Budgei circulaz's, procurernent regulations and guidelines, and the Single Audri requirements for state
and local agencies.
1.9. .CUSTOMER SERVICE STANDAR.DS
The Recipient agrees to ensure that any and aI] individuals associated wzth fair liousing complaints,
including aggrieved persons, carriplainants, respondents, and representatives, are treated with dignzty
and respect. The Recipient agrees to maintain regular contaci with parties to a coznplaint, including
not ailouring more than 30 business ciays to pass with�ut some form of contact with paziies_ The
Recipient agrees that its staffwill not communicate disinterest or distiltst ua the cornplaint process Yo
any of the parties to the complaint. Complaints to HtTD from individuals associated with FHI�I' fair
I�ousing complaints 'wilI be reviewed by the GTR, The GTR wiil work with the Recipient and the
individual to resolve the mat�er. In addition, customer satisfaction issues identified that may impact
the tiunely and effective processing of fair housing complau�ts will be considered when �ILTD conducts
performance assesstnents of tl�e Recipie�t in accordance with 24 CFR � 115.206.
20. REPORTFNG REQUIl2EMENTS
The Recipient agrees to provide the GTR timely zn�formation on all fair housing cornplaints cognizable
under #he Fair Housing Act, from receipt to closure, regardless of whethez payment has been received
by the Recipient.
The Reczpient agrees to fully utilize the IIUD Enforcexnent Management Spstems (I�EMS). and input
information in HEMS in a iimely manner. Failure to meet this requireznent shall result in HUD
identifying such faiIure as a deficiency in the FHAP agency's performance assessment, thereby
authorizing �ICTD ta proceed with perfoz�nance deficiency procedures enumerated in the FT�P
re,guIation at 24 CFR § 115.210.
21. TRAINiNG
The Recipient agrees to send staffto mandatory training sponsored by I3LlD, including, but not
necessarzty limited to, the National Fair Housing TrainingAcademy and the National Fair Housing
Policy Conference.
22. INITIAL CONTACT DATE
The Recipient must use the Ir�itial Contaci Date field in HEMS to record the actuaI date on which
a complainant firsi contacts the Recipient or FI�EO to inquzre about filing a housing �
d'zscrimination complaint, or to report an aileged discrimin.aiory housing practice. The Recipient
will be required to compiy with the following procedures with respect to documenting a
--- - - - . - .. _.... - - - - -
.. --_.—_.----. . _. ---...
� compiainant's initial contact.
For cases initially iiled with the Recipient, the Recipieni must:
A) Maintain records of each compiainant's initial contacf with the Recipient,
incIuding records of aIl teIephone, e-mail, Ietters, and in-person cantacts;
�
B} Place the oz•i�inal record of a complainant's initial contact, or a copy of tha#
racord, in ihe case fi1e under ihe coznplainant's evidence saction of the file,
consistent with the requiremants af C1lapter 1 Q of the Title VIII Manual; and
C) Ensure that tIte I�iitial Contact Date fieid 'uz HEMS reflects the earliest date of
contact referenced in the case file.
For cases initiaily fzled with FHEO, the Recipient:
A) Must ensure thaf the Initial Contact Date filed in HEMS reflects the earliest date af
contact referenced in ihe case fite referred to the Recipient by FHEO;
B) Must not change the date that FHEO entered in the I�Zitial Contact Date field in
HEMS even if records contazned in tl�e case file received from FHEO reflect a Iater
date of contact by the complainant. I� F�IEO has entered an initial date of contact in
HEMS t1�at is earIier than any contact date referenced in the case file, the Recipient
xx�ust contact the FHEO regional office to obtain any records of contact tl�at may have
been ainitted fronn the case file.
23. CI�NGES LIlIZITING EFFECTIVENESS OF RECIPIENT'S IIAW
Pursuant to 24 C.F.R ] 15.211(a}, if a state or local fair housing law that a Recipient enf'orces zs
arnended, or rules or procednres concerning the fair housing law are adapted, or judicial or other
authoritative mterpretations of the fair housing law are issued, the Recipient nnust notify HI.�D's
Fair Housing Assistanca �'rog,ram Division within 60 days of its discovery. This requirement
also applies to the amenclmexzt, adoptian, flx• inierpretatzon of anv related law that bears on any
aspect of tI�e effectiveness of the FHAP agency's fair housing law. Send carrespondence ta:
Director, Fair Houszng Assisiance Progxam Division
O�ce of Fair Housi�zg and EquaI Opportunity
U.S. Department of Housing and Urban Development
451 Seventh Street, SW, Roorn 5206
Washington, DC 2�4J.0
24. FHAP AND THE �`IRST AMENDMENT
. . _. _ _ . None_of the_fttnding.made available. under._the.FHAE may be used to..investigate_or_prosecute any. - --- --- - - --- -
activity engaged in by one ar more persons that may be protected by the First Amendment of the
United States Constitution.
25. TEST�NG
The following requirements apply to iesting activities :funded under the FHAP:
A. Testing znust be done in accordance with a HUD-approved testing methodology;
11
B. Testers must not have prior felony convictions oz� conviceions of any crimes invoIving fraud
or perfuzy;
C. Testexs must receive training or be experienced in testzng procedures and techniques;
D. Testers and the arganizations conducting tests, and the empioyees and agents of these
organizations, may not: 1) have an economic interest in the autcome of the test, wi�llout
prejudice to the right of any person ar entity to recover damages for any cognizable injury; 2)
be a relative or acquaintance of any party in a case; 3) have had any employinent or other
aff liation, within �ve years, wiih the person oz' organization; or 4) or be a competitoz' of the
person or organization to be tested in the listing, rentaI, sale or ftnaaicing af real estate.
26. RELEASE OF INFORMATION WHILE COMPLAINT IS OPEN
As a genaral ri.�le, the Recipient will not reIease izzformatian collected durzng the course of the
investigation while the complaint is open. There az�e three exceptions. First, the Recipzezat will
provide infannation to HUD, consistent with Section 11 of this document. Second, a paz-ty to a
cornplaznt being investigated by the Recipient is entitled to receive a copy af any document it
subnnztted during the investigation of the carnplaint. Third, during conciliaiion, a conciIiator may
opt to use the sirategy of revealing portions of the evidentzary section of the investigative fiIe to
the parties. This type of disclosure rr�ay also occur during an investigation when a Recipient
investigator questions a parry or a�vvitness about a documeni or a statement in a document.
27. SEXUAL ORIENTATION, GENDER IDENTITY, MARITAL STATUS, AND
SOURCE OF INCOME CAUSE DETEI2MrNATIONS
Recipient znust submit to the Fair Housing Assistance Program (FHAP) Division copies of
sexual ozientation, gex�der identiry, marital status, and source of income cause de�erminations.
The General Seciion of HUD's Notice of Funding Availability (NOFA) deems ineligible
applicants thai have not satisfactorily resolved a cause detennination from a FHAP agency for a
systemic violation of a state or lacai prohibition of sexual orientation, gender identity, and source
of income housing discrimination. Additionally, on Februaty 3, 2012, HIID issued a iinal ru�e
entitled Equal Access ta Housing in HUD Programs RegardIess of Sexual Orientation and
Gender ldentity, which mandates recipients of HUD funds, FHA-insured lenders,
and FHA-mortgagors to provide access to HUD programs without regard to sexual orientation,
gender• ideniity, and marital status. Receipt of cause detenninations from FHAP agencies on
these issues will assist HUD-in-deter-mining whether an applicant is ineligible #'ox fi�nding-u�.der- ----- --�-- --
the NOFA and/or has violated the Equal Access Ru1e. FH�I' agencies should submit such
determinaiions elecit•onical]y ta T,GBT�tairhouSin��aEiud.�ev, or send hardcopies to:
Director, Fair Housing Assistance Prograzxz Division
Office of Fair Housing and Equal Qppottunity
U.S. Department of Housing and Urban Developrnent
451 Seventh Street, SW, Room 5206
Washington, DC 2041�
12
APPENDIX A- CONTHIBUTIONS AGREEMENT STATEMENT OF WORK
FY 201b
1. The Recipient a;rees to pz'ocess housing discrimination complaints cognizable uncier the Fait
Honsing Act in accordance with the Agreement for ihe Interitn Referral ai Complaints and
Other Utilization of Services (Interinn Agt-eemant) or Meinorandum of Understanding (MOU}
between tl�e Recipient aY�d I ND, il�e Schedule of Articles, the Criteria for Processing, and 24
C.F.R, Part 1 l 5.
2. The Recipient agrees io cooperate with �-IUD in the processing o�hausing discrimination
complaints cognizable under the Fair Housing Act in accordance wit%x t�e Tnterim Agreement,
MOU, the Schedule of Articles, the Criteria for Processing, and 24 C.F.R. Part 115.
3. The Recipient agrees to augment its fair I�ousing enforcement efforts by engaging in auireach
and education, and enga,ging and participating in training and technical assistance pursuant to
the Interim Agreement and M�U.
4. T.he Recipient agrees to foIlow �iUA's guidance in processing coxnplaints cognizable under
the Fair Housing Act unless and until the Departmeni rescinds such requirement in un•iting to
ihe Reczpzent.
S. The Recipient agrees to identify to I1C)D all staff assigned to carry out fair housing activifies
by name, position, salary, relevant experience, and percentage ofiime spent carrying oui fair
houstng respansibilities.
6. The Reczpient may be required to participate in custonr�er satisfaction evaivation actzvities
under this agreament_ The Recipient agrees to furnish to HCJD all information coilected from
its customers in the fo�m specified by HUD.
7. If the Recipient has aged cases, upon request from HUD, the Recipient must �rovide npdates
to HTJl7 on its handling of aged cases and submit a pIan to the GTRIGTM for clasing such
cases,
ATTACHMENT A
FY2016 Criteria for Pxocessing
The Criteria fox Processil�g (Criteria) are the standards by which HIJD determines
whether a complaint, cognizable under the federai Fair Housxng Act and processed by a
substantially equivalent state or local agency, meets the minimum requireinents for qualiiy and
timeIiness, and identify the documents that must be submitted to HUD in order fo receive
reimbtzrsement, The Criteria are designed to assure the unifarm, timely, and quality processing
of housing discrimination complaints processed under substantially equivalent fair housing laws.
The Criteria are enumerated under nnajor subheadings, most of which describe the type of
ctostzre, (e.g., cause, no canse, conciliation, etc.). Subheadings I through III set out oriteria that
apply to most complaints. Subheadings N through VII set forth additional criteria specific to
particular types of coxraplaint closure. For example, to meet the criteria for an administrative
closure, criteria under subheadings I{Complaint Filing), II(Noti�cation), III (Cause and No
Cause Determinations), VII {Adrninistrative CZosures) xr�ay need to be met.
An agenc� znust rneet the Criteria for each complaint processed and provide all
complaint-related doci.unentation identif'ied in �the Criteria to HUD within 30 days of co.mpletion
af complaint processing. Such documentation must be submitted to HUD via the H�CJD
Enforcement Managezn�ent System (HEMS). An agency's faiIure to input alI requireci
information in HEMS in a tunely manner wz11 negatively impact an agency's performance rating.
I-IC7D will addxess a failure to meet the Criteria through performance deficzency pracedures
including, but not limited to, technicaI assistance, perfarmance it�pro�vement plans, and
suspension from FHAP participaiion. See 24 C.F.R. § 1 J. 5.307(a)(3) and 24 C.F.R. § 115.21.0.
HUD utilizes coznplaint closure review forms which combine the Criteria far
Processing and the Standards for Timeliness iz�to checkIzsts for each type of complaint closure.
These forms are available to FHAk' agencies as an additional technical assistance tool to support
high quality case �rocessing.
I. COMPLA.�NT FILING
A, Qualit,y Requirements:
AII coznplaints must be timely filed zn accordance with the subsfantially
equivalent state or �ocal fair housing iaw.
2. All complaints must be in writing, signed by the compIainant, and cantain
the follovaing information:
a. The name and address of coxri.plainant;
b. Tkie name and address of each respondent;
c. If a specific properry is invoived, the properry's address and
physical descziption, such as apartment, condominium, house or
vacant Iot; and
d. A concise statement of the facts, including pertinent dates,
constztUtix�g the alleged discriminatory housing practice.
3. Where the agency determines that �ere is znsuff'icient infarmation in the
complaint to cominence an investigation, the agency must notify the
carnplainant in writzng by na later than the 5�' da� after receipt of the
coxnplaint and inform the complaznant what informaiion he or she must
provide in order to commence an investigation, and identify a reasonable
timeframe for submit�ing such informaiion. The agency must notify the
complainant that unless he or she provides the required information wzthin
the specif'ied timeframe, the agenc� may dismiss the complaint.
4. The FHAP agency tnust permit complaints to be f led wiih the assistance
of an authorized representative or organization af the complainant.
5. The FHAP agency must permii complaints to be reasanably and fairly
_.._ . amended at any time. Such amendrnents may. inciude, but-are not .lirnited
to: a} amendments fo cure technical defects or omissions; b) clari�cation,
amplifications, or amendnnents of allegations in a complaint; or c) joinder
of additional or substitute respondeuts. The FHAP agency should consider
� amended complaints as ha�ving been filed on the date tk�e ariginal
complaini was filed.
6. If a FHAP agency requires complaints to be natarized, HCTD will not
reimburse the agency for a complaint not filed because the complainant
did nofi get the complaini notarized. To preserve the rights of aggrieved
2
persons, a FHA.P agency must refer such complaints to HUD far
ixlvestigation under the federal Fair H'ousing Act as soon as practicable
and, where necessaty, consent fo their reactivation.
7, Pursuant to 24 CFR Section 115.210, and the March 7, 2001 memorandurn
entitled Linaitations on Acceptrng as Dual-Filings FHAP Cases That
Itnplicate Fzrst Amendment, I3IJD will not reimburse FHAk' agencies for
cornplaints ihat irrzpIicate the First AmendXnent of �1�e U.S. Consiitution.
The FHAP agency must aiert H[1D to complaints tbai it receives that may
impiicate the First Amendment so that HUD may anaIyze the cornplaint
and determine if reimburt'sement is appropz�iate.
Pursuant to a Memorandutn of Understanding between HUD and the
Internal Revenue Service, the FHA.P agency must identify in HEMS
whether the praperty named in a complaint receives Low Income Housing
Tax Credits. This is required for every cornplaini.
9. The FHAP agency must refer complaznts to T-IUD when the agency
receives allegaiions inv�lving a practice ihat is not prohihited by the
substantially equivalent State or local law, bnt which is proktibited by th�
federal Fair Housing Aci.
10_ If a housing discri�nination complaint is filed against a recipient of fedexal
financial assisiance and therefore implicates civil righ�s laws that FHEO
enforces other than the federal Fair Housing Act {multi jurisdictional), the
FHAP agency shall notify FHEO so tllat FHEO may process that portion
of the complaint. Other civil righis Iaws enforced by FHEO iz�clude:
a. Title VI af ihe Civil Rights Act of 1964, 42 U.S.C. § 2000d
(prohibiting discrimination on the basis of race, color or national
origin in pxograms or activzties receiving federal financial
assistance);
b. Section 504 ofthe Rehabilztation Act of 1973, 29 U.S.C. § 794
_ (prolaibzting discrimination .based on disability in progeams or
activities receiving federal financial assistance);
c. Section 1 Q9 of the Housing and Community DeveIopment Act of
1974, 42 U.S.C. § 5349 (prohibiting discrimination on th.e basis af
race, color, national origin, religion or sex in any prograrn or
activity fzmded in whole or in part by the cornmunity development
block grant progeams};
d. Titie TT of the Americans with Disabilities Act, 42 U.S.C. § 12101
�3
et seq. (prohibiting discrimination based on disability in pz'ograzz�►s,
services and activiiies made a�ailable by public entifiies);
e. Architectural Barriers Act, 42 U.S.C. § 4151 et seq. (providir�g ihat
buiidings, incIuding pubIicly owned residences, designed
consiructed, leased or altered with certain fedez'aI funds zx►ust be
accessible to persons with disabilities}; and
f. Age Discriminaiion Act of 1975, 42 U.S.C. § 610I (prohibiting
discrinnination based on age in progxams or activities receiving
federal financial assistance).
B. Required Documents: A signed, dated copy of the camplaint, any requests for
amendment(s) to the complaint, and evidence of compliance t�vith the
timeframes and requirements identified above.
C. Complaini Filin.� with Mulkiple Com�alaznants or Respondents:
FHAP agencies will be reirnbursed only for complaints that involve separate,
distinct discriruinatory actions that require a separate investigation. Where
allegations may be made against two or tz�oxe respondenis, separa% complaints
should be filed against each respondent onlv when each respondent's conduct
stands alone as a separate violation of the Act. Furthermore, zf complainants are
married and both are aggrieved persons, a single, joint complaint should be filed.
Tf tlaere are children under age 18 who reside in the household who may have
been injured by the alIeged discriminatory housing practice(s}, they should be
Iisted as "Other�Aggrieved Persons" on that same complaint. FHAP agencies
should not typically file separate compIaints for spouses or children under 18
residing in the household.
1�1. N4T�F'ICATION
A. Qualiiv Requirements: The FHAP agency m.ust notify HUD within 5 days
of receiving complaints that are cognizable under the federa] �'air Housing Act_ In
-- addition, the-�HAP--agency must serve notice-af-ihe connplaint io each - -
conaplainant and respondent in accordance with the timeframes identified in the
substantially equivalent Iaw and the following requirements.
The notification letter to the coznplainant mast �onsist af an
acknawIedgement of receipt of the complaint for filing, the designation of
a complaint number, infarmation i-elated to the agency's processing
procedures including the name and telephone number of a FHAP agency
contact, and the complain.ant's rights and obligations under the
substantially equivalent Iaw, inciuding time limits and choice of foz•ums.
2. The notifzcatio�lletter to each of the respondents inust consist of a
description of the alleged housing discrimznation practice upon which the
complaint is based, inciude a copy of the coznplaint, and idenizfy the narne
and telephone number of a FHAP agency con.tact, The notice to each
respondent rnust advise respondent of his or her procedural rigiats and
obIigations, including the right to �le an answer within the tiineframe
ideniified in the substantiaily equivalent law.
A person who is not named as a respondealt in a complaiut, but who is
identified as a respondent in the course of the investigation, nnay be joined
as an additional or substitute respondent by service of a written notice.
The notice znnst e�plain the basis for the agency's belief that the joined
person is praperly joined as a respondent and include infannation
identified in paragraph 2 above.
B. Required Documents: For compIaints that are filed dzrectly with the FHAP
agency, the agency must enter information in HEMS regarding ihe compIaint
within five days oi receiving the complaint, sufficientIy notifying HUD of the
com.plaint. In addition, the agency must provide IIU;D witla a copy of the
notification letters sent to the parties and must update HEMS to indicaie when
the agency sent the natzficatian letters.
III. CRTI`ERTA FOR CAUSE AND ND CAUSE DETERMINATION
Evezy cause or no cause determination must be based on an investigation that includes
sufficienf coz�szderation of the complainant's and respandent's evidence, and a sufficzent
evaIuation of any and aII conflicting evidence. A cause or no cause determination must
be based on a review of all relevant evidence the agency obtained during the
investigation. The agency shall not act as an advocate for either ihe complainant ox
respondent and shall weigh ihe evidence objectiveIy in light of the relevant substantiaiI�
equivalent law. The basis far the cause ar no cause dete;rnnination must be well-
docurnerited. •
_ A.. QualitvRe�uirements: - -- - - - -_ -. ... _ . _ .. . . .
In addition to the criteria set forth in subheadings I and II above:
Before the end of the 30th day a$er the complaint is filed, the FHAP
agency must initiate a camprehensive investigation of issues raised in the
complaint. Respondent's defenses, relevant policies and practices, as well
as all other reIevant data, must be identified and analyzed and tbe
compiainant, respondent, and all relevant witnesses must be interviewed.
Contradiciions between cono.plainant's allegations and respondeni's
��
response must be investigated and when applicabte, comparative data mus#
be obtaiz�ed. Informaiion must be independently corraborated. SimpI�
obtainin� res�ondents' statements rebuttin complainant's alle�ations is
insuff cient to �resolve dis�uted issues of �act.
2. HLTD recommends that FHA.P agencies deveIap investigative plans for
every compiaint processed that is cob izable undex the Fair Housing Act.
Faz' guidance on development of an investigative pian, PHA�' agencies
should xefer to Chapter 7 of HUD Handbook 8024.01 REV-2 (TitIe VIII
Complaint Intalce, Investigatian, and Conciliatian Handbook}.
3. In pIannixig the investzgation, ihe investigator and hislher supervisor must
deterrnine, on a conaplaint-by-complaint basis, whether on-site inspections
andlaz interviews are required. For most complaints, on-site inspecfions
and/or interviews are the most tharough way to conduct a.t� znvestigation. .
Soine cases, e.g., where the com.plaint does not involve facival disputes or
where evidence clearly demonstrates the allegatians do not have merit,
may not require an onsiie visit. •-
4. During the period beginning vc>ith the filing af a complarnt and ending with
the FHAP agency's determinatian or charge of discrimination, the agency,
to the exient feasib]e, must atte�npt to conciliate the complaint (see more
de�ail on crzteria for conciliation at�empts and coneilzation agreeznents in
Sectian N of ihis document).
5. If the agency does not complete the investigatrve activities with respect to
a compIaint within 100 days from the date of receipt, it musf noiify tlae
parties in writing of the reason(s} for the delay. Such notification letters
nnust be sent within 110 days of the filzng of the complaint.
At ihe end of each investigation, ihe agency shaIl prepare a Final
Investigative Report (FIR). An FIR shalI be dated and signed by at least
one supervisor: The FIlZ shall contain:
a: -- The names and daies of contacts with the parties and-witz�esses,
except that the report will not disclose the names af witnesses who
request anonymity;
b. A summary of carrespondence and ather contacts ve�ith the
complainani and the respondeni;
c. A summary description ide�tifying othez' pertinent records
examined;
A sumz�ary of statements by witnesses, if applicable; and/or
e. Interrogatories and ansv,�ers provided, if appIicable.
7. Each Determination sha11 be signed and dated by an authorized F�IAP
official.
The FHAP agency shaII send the closure package to HUD within 30 days
of closure. (See B below).
9. The FHAP agency will cooperate with HUD by pxaviding infonnation at
reguIar intervats or upon request related to individual complaint
investigations. Upon request, the FHA�' agency shall provide stafus
reports for each compIaant that is over l 00 days old.
B. Requzred Documerzts: The case iile shall incIude ai1 evidence indicaiing that a
comprehensive invesfiigation was caminenced and completed in accordance with
the above requireinents includ'zng, but not limited to: a copy of a signed, dated -
coznplaint; a copy of a FHAP agency determination, dated and signed by an
au�orized FHAP official; proof that a FHAP agency sent its determination letter
to a11 parties; an �'1R that meefs the above listed requirernents; an investigatzve
plan (when such plan exists); a capy oithe 100-day lettexs and evidence that they
were sent; and alI other information pertinent to the investigation, including but
not limited to interview notes, docurnentation of conciIiation attempts and, when
necessary, independent evidence corroborating respondent's defense(s).
ZV. CRITERIA F�R POST-CAUSE COMPLAINTS HEARD 1N AN
ADNIIIVISTRATxVE HEARING, CIVIL AC'TI4N, OR TAROUGH JUDICIA�
REVIEW
In addition ta the appropriate criteria set forth zn subheadings I, II, and III above:
A. Oualztv Rec�uirements: After a cause determinaiion. and a charge of
discrimination, or its equivalent, has been issued, and assuming the conciliation
was attempied and failed, ihe camplaint r�ust-be-referred to appropriate counsel-to --- --
prosecute the charge on behaif of the complainant, at governmeni expense, before
an administrative hearing body or crvil court.
B. Documents Re uq ired: HUD wi21 accept sttch a complaint for reimbursement if tY►e
agency provides documentation of such a referral in, for examp3e,
correspondence, logs or pleadings. Additionally, the FHAP agency shall provide
any finai administrative hearing decision, consent decree, or settlement agreement
� entered to HUD within 30 days of such action: If the agency does not provide this
information, HUD may request, and the agency will be required ta retnt�n, up to
50% of the reimburselnent previously paid to the agency for the complaint.
St�ecial Note: While the agency may obtain reimbursement on these complaints
prioz' to final disposition by azi admin.zstrative.heaz-ing body or a civiI court, the
agency must subsequently report to HUD the fnal status of such coinpiaints. See
24 C.F.R. § 115.206(e)(8). FHAP agencies must znput final status information
directly in HEMS within 30 days of the administrative or judicial determinatioz�.
C. Post-Cause Adininzstrative Hearings or Judicial Filzn�s: An agency may receive
additionai funds for engagi�g �n certain post-cause enforcernent aciioras. If,
pursuant ia the substantially equivaIent Iaw, an agency either conducts an
administrative hearing or files a civil action upon eIection to enforce a finding of
reasonable cause, HUD may provide additional payment.
VJhere fhe triggering event (z.e., conduct of adininistrative hearing or filing of
civil action) for the supplementat payment does not occu�•, an agreement reached
after a cause f�nding will not qualify as an enforcernent action for purposes of this
supplemental payment. Such cases will be reimbUrsed as any oiher cause case
unIess the disposition is a conci�iation agreeinent (i.e., an agreement signed by the
parties and the FIIAP agency), in which case it will be reimbursed as any other
case closed with a canciliation agreement. Where the triggering eveni has
occurred, a FHAP agency will receive the supplemental payment even where the
case is �asoJved by a subsequent agreeznent, e.g., through. a consent decree.
A�encies will receive this increased supplemental pavment when the ag;encv has
engaged in post-cause enforcement actions azzd has docurnented its actions in
HEMS. This documet�tation must occur in order for the GTR/GTM to authorize
payrnent.
V. CRITERIA FOR CONCII,IATION
During the per�od beginning with the f l'mg of a complaini and ending �with the agency's
no cause determinafiion or charge of discriminatian, ihe agency, to the extent feasible,
must attempt to conciliate the complaint. In concitiating a cor�plaint, agancies must
attempt to achieve a just resolu�ion �f-the connplaint and obtain assurances that the - -
respondent wi11 satisfactorily remedy any vialations of the rights of the complainant and
take actions to ensure the elimination of alleged discrirninatory housing practices and ihe
preventiQn of iheir occurrences in the future. These standards for conciliation remain zn
effect even if canciliationlsettlement talces place afier the agency's cause deteimination.
In addition to the apprapriate criterza set forth in subheadings I, II, and III above:
A. Oualiiy Reguirements/Required Documenis:
T11e FHAP agency znust pz'ovide HL7D witli a signed and dated coznplaint, a
cliroz�oIogy of actions taken up io the conciliation, copies of closure ietters sent to
the parties indicating that ihe complaint was closed due to a successful
conciIiation, togetl�er with a copy of the executed conciliaiion agreement.
Tlae conciliation agreert�ent zxiust be in writing, dated and signed by complainant,
respondent, and tlle authoz'ized FHAP agency representative, and include:
HUD and FHAP complaini numbers
2. Natnes of tl�e parties;
3. Address and description af the subject property;
4. An effective date and the fierm in which the agreement remains in effect;
5. Relief that remedies the d'zscrimination alleged in the complaint or is
otherwise agreed upon by the parties and approprzate based on evidence
obtained in the investigation of ihe matter;
6. As appropriate, relief ihat adequaiely vindicates the public inierest, and
prohibits fu#ure discriminatory housing practices by respondent;
A statement that the agreement canstitutes closure of the coinplaint at
HUD and the FHEIP agency;
8. A statement that the agreement shall be made public unless the
complainani and respondent otherwise agree, and an authorized
representative of the agency determines that disclosure is not required to
further the purposes of the substantially equivalene Iaw. Circumstances
that may result in pat-�iat ar complete nondisclosure of a coziciliation
agreeznent may include, but are not linnited to:
- - - - -- --- ----- - - - ' . _.
Sexual._harassment_claims;_ .. _.- -.-_....--.— --.---.-.-----.....- _- - - .. . .
• A complainant's physical or mental condition, ar medical
diagnoses; or
� The fact thai a camplainant is a resident in a domesiic violence
shelter or ather protected reszdence which complainant believes
may, if discIosed, be a sat'ety risk.
9. Provisions that allow the FHAP agency to effectively monitor compliance
0
v��ith t11e a�reement.
10. A state�nent that vioiatiaz�s of other civil rights laws have been alleged (if
app3icable).
NOTE: A conciliatior� agreement does not prohibit HLTD fram taking action against
respondent under other civil rtghts laws. When a complaint is subject to concurrent
processing by HLTD under other civil z-igh�s laws, the FHAP agency may not eaeeute an
agreement t11at resolves znatters in regard to these Iaws without HLTD's consent.
VI. CRITERIA FOR CL{JSURES BY SETTLEMENT WITHOUT FHAP AGENCY
INVOLVEMENT (A.KA., WITHDRAWALS WITH RESOLUfiION}
If complaiziant and respondent �-esolve the complaint without the FHAP agency's
involvexnent, the complainant may withdraw fihe complaint by subznitting a withdrawal
requesi to the FI�Ap agency.
In addition io the appropriate crzteria set forth in subheadings I, II, a��d III above:
A. Quality Requixements. The withdrawal request must be written; it must be signed
and dated by coxzzplainani or complainant's aufhorized representative; icie�ntify the
respondent(s} to whom the withdrawal applies; contain the I�UD and FHAP
agency conraplaint numbers; staie the reason(s) complainant seeks to withdraw the
complaint; eontain a statement that the wi�hdrawal was not obtained by coercion
ar threaf of reta.liation from any person, including but not limited to the
respondent; and icientify the terms of the resolution.
B. Required Documents: The FHAP agency must provide FHEO with: a signed and
dated compIaint; a chronology af the FHAP agency actions prior to the
withdrawal request; a copy of the signed and dated withdrawal request;
documentation showing that the agency notified the complainant and respondent
that the investigation would be terminated as a result of the withdrawal, and that
the complainant could re-file the complaint if tbe terms of the resolution are not
satzsfied and the re-filing is received within the time Iimit for filing a cornpIaint
-_-.--- -under. the-substantial-l-y--equivalent Iaw; and a copy-of the-clos�re letter: -
NOTE: The FHAP agency must not encourage or facilitate resalution withoui its
invalvemeni in Jieu of proceeding vc+ith conciliaiion. If �IUD discovers that such
accurred, it will be addressed through performance deficiency procedures.
VII. CRITERIA FOR ADNIIlVISTRATIVE CLOSURES
Performance Standard 2 in the FHAP regulations, at 24 C.�.R. § 115.206(e)(2}, requires
that administrative closures only be utilized in lirnited and appropriaie circumstances. It
is critical thai FHA.P agencies noi close complaints administratively except under the
specific circumstances set forth below.
A. Withdrawals without ResoIution. If complainant decides to withdraw a
compiaint, even t�lough the coinplaint has not been xesolved, comptainant
must subinit a withdrav�raI request.
In addition ta the appropriate ci-iteria set forth in subheadings I, II, and III above:
1. Quaiity Requirements: The withdrawal request inust: be written; signed
and dated by complainant or complainant's authorized representative;
identify the respondez�t(s) to vvhom �he withdrawal applies; contain the
HUD and FHAP agency complaini numbers; state the reason(s)
comp�ainant seeks to withdraw the complaint; contain a statement ihat
cozt�piainant is aware that the wiihdra�v✓al terminates the FHAP agency's
investigation; contain a statement that the withdrawal was not obtained by
coercion or threat of retalzation from any person, including but not limited
to fihe respondent.
2. Requixed Documents: The FHA.P agency must provzde FHEO: a sib ed
and dated comp�aznt; a chronology of FHAP agency actions prior to receipt
of the withdrawal request; a copy of the signed and dated withdrawal
request that meeis the Quality Requirements set out abo�ve; and a copy of
the closure letter provided to all parties indicating closure due to
withdrawal by complainant without resolution,
NOTE: If the withdravval request indicates that there was coercion or threat of retaliation,
F�TAP payment may be denied.
B. Inabzlity to Locate Complainant. The FHAP agency may administratively close a
complaint when additional information is needed frorn complainant and he or sh.e
cannot be located.
Zn addition io the appropriate criteria set forth in subheadings T, II, and III above:
4ualitv Requirements: If correspondence sent by �he agency is returned
with an indication that the cornplainant moved and lefi no forwarding
address, the agency must take the following progressive steps to locate the
complainant befoxe administratively closing the complaint:
a. PIace at least faur teiephone calls to com�lainant's residence, cell
phone number, and place of employment, two during normal
business hours to work number and iwo during non-business hours
to a residential/cell number. If an email address is available, the
11
age�lcy xnusi attempt to emaiI the complainant at least two times.
b. Attempt to cantact persans zdentified by campIainant at zntake to
inquire as to complainamt's whereabouts.
c. Check other sources in an effort to abtain complainant's current
contact information (e.g., telephone directory, Internet searches,
postal se�rvice, 411 information, utility company, or witnesses
previously identified by complainani).
d. Se�ad a Ietter to the complainant's last known address by cert�ed
mail, advising complainant o�the agency's intent to close ihe case
uniess complainaz�t contacts the agency withzn ten days. If the
tenth day eIapses without a respanse, the case may be cIosed
administratzvely by means of a vvritten notice sent ta ali parties,
including complainant at camplainant's last lmown address.
NOTE: If the �'IR. shows that the coznplaini was closed due to the inability to contact
complainant without following the steps outlined above, the FHAP agency will not be
reitnbursed for processing the camplaint. .
2. Required Documents: The FHAP agency must provide the following
documentation to FHEO: a signed ax�d dated coznplaint; evidence that the
above progressive steps were taken to locate camplaznant; evidence that
fihe certified letter vc�as returned uncIaimed, and a copy of the closure letter
sent to the parties indicaiing closure due to inability io locate coznplainant.
C. Inabilit,�o Locate Respondent
Tn addition to the ap�ropriate critexia set forth in subheadings I, II, and III above:
1. Oualitv Requirements: A FHAP agency must make every effort to identify
the carrect name and address of each respondent in a complaint. However,
there may be cixcumstances where a respondent cannot be identif ed or
located. If tl�e complainf identifies multiple respondents and on]y one
---- - _ �_ -. . - . -cannot-be-adequately-identifed;-the agertcy must not close the complaint-
adrninistrativeIy. Rather, the invest�gation must pxoceed and further
efforts must be made during ihe investigation to identify the respondent
whose correct narne or address remains unlcnown. The complaint may be
amended to retnove those respandents who could not be located.
If a sole respondent or all respondents cannoi be identified or located, the
complaint nnay be closed administraiively if the agency first takes the
following steps:
12
a. The FHAP agency must attempt to obfain additianal ixiformation
frozn available sources that could resuIt in identifying or locating
the respondent, including Internet searcIies, ce1] phone numbers,
cross reference directories, or property tax records that nrtay
identify the owner or prior residents of the property in questioa and
provide enoUgh infartnation to identify ox locate the respondent,
sezve the complainant, and begin the formal 'znvestiga�ion.
b. If a saurce appears to know the identity or Iocation af a respondent
that ihe FHAP agency seeks, but that source refuses to provide the
information voluniarily, the FHAP agency must subpoena the
infarmatian,
c. As appropriate, the FHAP agency shouId attempt an on-site visit,
which may help locate az�d identify the respondent.
d. 7f the above efforis to Iocate ox identify the respondent are
unsuccessful, a Ietter must be sent to the compIainant givin� him or
her 10 days to provide znformation needed io locate or identify
respondents. -
NOTE: In the absence of sufficient infonnatzan, the case may be clased administrativeIy,
and written notice by ragular and certified mail should be sent ta �-ie parties.
Required Documents: The FHAP agency must provide the following
documentation to FHEO: a signed and dated com.plaint; evidence tlaat the above
progressive steps wexe taken to locate the respandeni, including the signed letters
identified in 1(d} above giving notice io complainant or coznpIainant's
representative, evidence that certified letters were returned unclaimed, and closure
letters to complainant or complainant's rep�resentative indicating inability to locate
respondent(s).
D. Fail�tre of Complainant to Cooperate with ihe Investi�ation. A complaint may be
administratively clased when complainant fails fa respond ta reasonable requests
- � - - - for--information that is-needed-in-order- for-the �HAP agena� to make a - - - - - - --- - -
determination.
Tn addition to ihe appropriate criteria set forth in subheadings I, II, and III above:
pualit�quirements:
a. The F�-IAl' agency must inform fhe complainants and their
representatives of their duty io cooperate with the investigation and the
risk of the agency administratively closing the cornplaint if #hey fail ta
13
cooperate.
The FHAP agency must make repeated atterz�pts to contact
complainants and their representatives by telephane and mail
z'equestin� il�►e needed infonnation. If these efforts are fruitless, the
FHAP agency must send a Ietter to the cozr�pIainant by cez�ified mail
return receipt giving complainani at least ten days from receipt of letter
to provide ille needed information to the agency.
c. If the camplainant's cooperation cannot be obtained using the above
procedures, and the letter is not ret�zrned by the post office {i.e.,
inarked addressee unknown, moved, left no forwarding address, etc_),
the complaint should then be closed fox failure to cooperate.
d. If the coinplaint is closed for failure of complainant to coaperate with
tlae investigat[on, a ciosure letter inust be sent to the compIainant.
2. Required Documents: The follawing documents must be provided to
FHEO: a signed and dated coinplaint; evidence that the abo�ve progressive
sieps were taken to obiain complainant's cooperation, including tiie signed
letter identified in I(b} above giving notice to the complainant or the
complainant's representative; and a copy of cIosure letter to the parties
indicating closure because of faiIure of complainanf to cooperate with ihe
investigation.
E. Lack of Jurisdiction
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
I. Quality Require�nents: Tn order to qualify for reimbursement, ihe lack of
jurisdiction must noi have been apparent on the face of the complaint at
the time of f�Iing, and must have become known only after furtber
investigation. The following are examples of facts uncovered during an
invesfigation that tnay justify 1•eimbuxsement for an admi.nistrative closure
..._._. for Iack of jurisdiction: _. a}_t�e complainant has not. suffered the alleged
harm needed to establish standing; b) the subjectproperty qualifzes for an
exemptian to coverage of both the Fair Housing Act and the substantially
equivalent law. Note that iiHUD, but notthe agency, has jurisdictian over
the cornplaint, ihe complaint must be referred to HUD for processing.
2. Required Documeniation: The FHAP agency must provide the following
documentation to �HEO: reason(s) for closing the complaint for lack of
jurisdiction that demonstrates why HUD does noi have jurisdiction, and
that ihe Iack of jurisdiction could not have been determined at intake;
14
copies of closure Ieitex sent to the parties t�-►at indicate reason for lack of
jurisdictian closure, identify FHAP and HUD complaint numbers, and are
signed by auihorized FHAP agency official.
F. Trial has Be�un A compIaint must not be closed xnerely because an aggrieved
party has tiled a civil action with respectto the sazne alleged discritninatory
housing practice(s).
In addition to the appropriate criteria set forth in subheadings I, II, and TII above;
1. QuaIity Requireinents: No additionai criteria.
2. Required Documents: To receive reiLnbursement for an administrative
closure due to the cammencement af a jndicial trial the FHA.P agency
must produce: a document frorn the clerk of the court in the jurisdicrion
that hears the campIaint or other sufficient dacumentation demonstrating
that a trial has begcui.
15
A.TTACHMENT B
FY2�01� Standards for '�'�imeliness
Closures of InjTesti�ated Camt�Iaints
100 days or less:
• Non-systennic cornplaints, not nove� or coznplex, that are settled or canciliaied. Includes
witIldxawals with resalution.
• Non-systemic complaints, not novel or complex, where a cause or no cause decision has
been made,
304 days or less:
• Systernic compZaints that az-e noveI or complex, that are settled ar conciliated. Includes
withdrawals with resolution.
350 days or less
• Systemic compIaints that are navei or complex, where a cause or no cause decision has
been made.
Adnr�inistrative Closures -
Unable to tocate: I 00 days or less
Lack of jurisdiction: 30 days or less
Failure to cooperate: 60 days or less
Withdrawal withoui resolution: 75 days or Iess
Closed because trial comznenced: N/A
Complaints that are reaciivated: N/A