RES 2013-1298 - Agmt with HUD depart for processing housing discrimination complaints OMAHA NF
Office of the Mayor
f l � as ,� ti 1819 l'amam Street,Suite 300
o� r� Omaha,Nebraska 68183-0300
�.e -k. (402)444-5000
�RgrED FEBRr4 1FAX: (402)444-6059
CITY C :,k.
City of Omaha I' M A k A, NI ' ' r; '
Jean Stothert,Mayor
Honorable President
and Members of the City Council,
Attached for your consideration is a Resolution authorizing the Omaha Human Rights and
Relations Department to enter into a Contributions Agreement with the U.S. Department of
Housing and Urban Development to receive reimbursement for processing housing
discrimination complaints for the time period of October 1, 2013, to September 30, 2014, in the
amount of$77,214.00.
Your favorable consideration of this request will be appreciated.
Sinnccerely,
\ p , ,,,5C__
Jean Stothert, Mayor
City of Omaha
p:\I.AW-COUNCIL DOCUMENTS\2013\20049v1j
C-25A CITY OF OMAHA
LEGISLATIVE CHAMBER
Omaha,Nebraska
RESOLVED BY THE CITY COUNCIL OF THE CITY OF OMAHA:
WHEREAS, the Omaha Human Rights and Relations Department is a certified
partner with the U.S. Department of Housing and Urban Development ("HUD") under the Fair
Housing Assistance Program(FHAP),U.S.C. § 3601 et seq.,which authorizes cooperation between
local governmental agencies to provide programs and services to assist HUD in carrying out Fair
Housing initiatives; and,
WHEREAS, the City of Omaha Human Rights and Relations Department and U.S.
Department of Housing and Urban Development desire to enter into a Contributions Agreement for
the purpose of the City of Omaha Human Rights and Relations Department receiving reimbursement
for processing housing discrimination complaints arising within its jurisdiction for HUD for the time
period of October 1, 2013, to September 30, 2014, in the amount of$77,214.00; and,
WHEREAS,attached hereto as Exhibit"A"is the proposed 2013-2014 Contributions
Agreement between the City of Omaha and the U.S. Department of Housing and Urban
Development; and,
WHEREAS, it is in the best interest of the City of Omaha to approve such
Contributions Agreement; and,
WHEREAS, the Mayor recommends approval of such Contributions Agreement.
NOW,THEREFORE,BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF OMAHA:
THAT, as recommended by the Mayor, the Contributions Agreement between the
Omaha Human Rights and Relations Department and the U.S. Department of Housing and Urban
Development for reimbursement for processing housing discrimination complaints arising within its
jurisdiction for HUD for the time period of October 1, 2013, to September 30, 2014, and in the
amount of$77,214.00 attached hereto as Exhibit"A", is hereby approved.
APPROVED AS TO FORM:
�� 94/3
CITY ATTORNEY Date
p\LACOU L DOCUMENTS\2013\20050v1j
By 1//////
Councilmember
Adopted
S ....2..4..201.3... _v
City lerk 7/
Approved N—D . ..
Mayor
Assistance Award/Amendment Ur: epartment of Housing and Urban Development
Oli,ce of Ac:ministration
1.Assistance Instrument 2.Type of Action
®Cooperative Agreement ❑Grant Award X Amendment
3.Instrument Number 4.Amendment Number 5.Effective Date of this Action 6.Control Number
FF207K137008 10/01/2013
7.Name and Address of Recipient 8.HUD Administering Office
Omaha Human Rights and Relations Department Kansas City,Kansas Regional Office
1819 Farnam Street,Suite 502 400 State Avenue
Omaha,NE 68183-0502 Kansas City,KS 66101-2406
TIN: 47-6006304
8a.Name of Administrator 8b.Telephone Number
Betty J. Bottiger (913)551-6857
10. Recipient Project Manager
.)71/ 9.HUD Government Technical Representative
Michele Frost,Director(402)444-5655 Betty J. Bottiger
11.Assistance 12.Payment Method 13.HUD Payment Office
Arrangement ❑Treasury Check Reimbursement DHUD, Ft,Worth Accounting Division
❑Cost Reimbursement ❑Advance Check 801 Cherry Street-PO Box 2905
❑Cost Sharing ®Automated Clearinghouse
® Fixed Price Ft.Worth,TX 76113
14.Assistance Amount 15.HUD Accounting and Appropriation Data
Previous HUD Amount $ 0.00 15a.Appropriation Number 15b.Reservation number
HUD Amount this action $ 77,214.00 8613/140144 FHEO-07-13-08
Total HUD Amount $ 77,214.00 Amount Previously Obligated $ 0.00
Recipient Amount $ -0- Obligation by this action $ 77,214.00
Total Instrument Amount $ 77,214.00 Total Obligation $ 77,214.00
16.Description: This FY 2013 Cooperative Agreement is to reimburse the Omaha Human Rights and Relations Department(OHRRD)for
performance of work completed between July 1,2012 and June 30,2013,except as otherwise noted.
Complaint Processiniq(CP)Funds: FHAP agencies are eligible to receive$2,600 per case acceptably processed to closure during the
performance period. For cases dual-filed with HUD on and after 07/01/12,eligibility for reimbursement is also subject to the Schedule B Standards for
Timeliness and Quality attached herewith. The amount of CP funding is based upon acceptable processing of_26_total cases:
Total:$64,714.00
Enforcement Bonus:FHAP agencies are eligible to receive an additional$1,000 per case for each case that is considered complex or in which the
agency issued a charge of discrimination during the performance period.OHRRD processed 0 such cases after July 1,2012:
Total: $0.00
Administrative Costs(AC)Funds:FHAP agencies processing fewer than 100 cases are eligible for$6,000.00
Training Funds:FY2013,OHRRD is allocated a total of: $6,500.00.
FY 2013 FUNDING SUMMARY
Contributions $ 64,714.00
Cause Case Funding $ 0.00
Administrative $ 6,000.00
Training $ 6,500.00
TOTAL $ 77,214.00
Additional conditions:Attachments to which this Cooperative Agreement is also subject,and to which OHRRD signature on this agreement also
obligates OHRRD,include:
FY2013 Appendix:Statement of Works
FY2013 Attachment A:Criteria for Processing
FY2013 Attachment B:Standards for Timeliness and Quality
FY2013 Funding Guidance
Order of Precedence: Notwithstanding any provisions to the contrary,a conflict among any of the documents pertaining to the duties and
responsibilities of the parties,the Statement of Work shall take precedence over the Schedule of Articles.
All other provisions of the original Memorandum of Understanding dated 4/20/01 also remain in effect.
17.0 Recipient is required to sign and return three(3)copies 18.❑Recipient is not required to sign this document.
of this document to the HUD Administering Office
19. Recipient(By Name) 20. HUD(By Name)
Michele Frost,Director Betty J.Bottiger,Cooperative Agreement Officer
Signature& - .Date ipm/ddlyyyy) Signature&Title Date(mm/dd/yyyy)
700.. O c/10,5 2L2/3
,/jj/rty0/L_ �' ';. �..� _ Cooperative Agreement Officer
form HUD-1044(8/90)
ref.Handbook 2210.17
APPROVED AS TO FQR
l ( ASSI ANT CITY ATTORNEY
ATTEST:
titer Brown, City Clerk
2013 CONTRIBUTIONS AGREEMENT
OMAHA HUMAN RIGHTS AND RELATIONS DEPARTMENT
Contract#FF207K137008
October 1,2013 through September 30,2014
Total Contract Amount$77,214.00
SCHEDULE OF ARTICLES
1. SCOPE OF WORK(FLED PRICE)
2. PERIODS OF PERFORMANCE
3. INSPECTION AND ACCEPTANCE
4. CONDUCT OF WORK
5. INSTRUMENT AMOUNT AND REQUESTS FOR PAYMENT
6. NARRATIVE REPORT
7. CRITERIA FOR PROCESSING
8. PART 85
9. USE OF COOPERATIVE AGREEMENT FUNDS
10. MAINTENANCE OF EFFORT
11. HUD'S SUBSTANTIAL INVOLVEMENT
12. ASSURANCES
13. USE OF CONSULTANTS
14. PUBLICATIONS AND NEWS RELEASES
15. REPRODUCTION OF REPORTS
16. FLOW DOWN PROVISIONS
17. DISPUTES
18. MAINTENANCE OF RECORDS
19. CUSTOMER SERVICE STANDARDS
20. REPORTING REQUIREMENTS
21. TRAINING
22. INITIAL CONTACT DATE
23. CHANGES LIMITING EFFECTIVENESS OF RECIPIENT'S LAW
24. FHAP AND FIRST AMENDMENT
25. TESTING
26. RELEASE OF INFORMATION WHILE COMPLAINT IS OPEN
27. SEXUAL ORIENTATION, GENDER IDENTITY, MARITAL STATUS, AND SOURCE OF
INCOME CAUSE DETERMINATIONS
Appendix A: Statement of Work
Attachment A: Criteria for Processing
Attachment B: Standards for Timeliness
2
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
(SOW)and all attachments for the firm fixed price set forth herein.
2. PERIODS OF PERFORMANCE
The Recipient shall provide all services hereunder during the periods of performance.
For the FY2013 Cooperative Agreement,the periods of performance are as follows:
Complaint Processing: July 1,2012—June 30,2013
Administrative Costs,Training: October 1,2013—September 30,2014
Note:While as a general rule,the cut-off day for incurring administrative costs is September
30,2013,the GTR may change the cut-off date to several days before the end of the fiscal year
if that is necessary to complete closeout documentation.
3. INSPECTION AND ACCEPTANCE
The Government Technical Monitor(GTM),if so delegated,may accomplish inspection and
acceptance of all but the fmal products. The Government Technical Representative(GTR)
shall accomplish acceptance of all fmal products. The GTR is identified in Block 9 of the
HUD-1044.
4. CONDUCT OF WORK
During the effective period of this instrument,the GTR or GTM shall be responsible for
monitoring the technical effort of the Recipient,unless the Recipient is notified in writing by
the Cooperative Agreement Officer(CAO)of a replacement. The CAO is identified in Block
8a of the HUD-1044.
Only the CAO 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 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
Agencies that have received Capacity Building funds for one year may be eligible for
Contributions funds. Contributions funds consist of three categories: Complaint
Processing;Administrative Costs; and Training.
3
• Complaint Processing- GTRs shall determine payment amounts based upon the
FY2013 Standards for Timeliness, which enumerate a range for complaint processing
funds up to $2,600 per case, with the possibility of an additional $1,000 for"charged"
complaints. If the GTR decides not to reduce payment for extremely aged cases, they
must justify the reason for not reducing payment (e.g., a charged case, or complex
investigation).
• Administrative Costs-Agencies that acceptably process 100 cases or more shall
receive 20%of the Recipient's FHAP obligation amount for the preceding year.
For agencies that process fewer than 100 cases, see FY2013 Funding Guidance
for FHAP "Contributions Agencies"for the funding framework.
• Training-All Contributions 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 Instruction and Guidance for
FHAP "Contributions Agencies"for specific requirements related to training
funds.
The maximum amount for performance under the Articles of this Cooperative Agreement,Appendix,
and Attachments,is the total amounts of all categories of Contributions funds (i.e.,Complaint
Processing,Administrative Costs,Training,and Partnership). Draw-downs are permitted at the
discretion of the GTR. Complete draw-downs of the total amount obligated for Complaint Processing
funds shall be permitted at any point after June 30,2013,and before September 30,2014.
The Recipient shall follow the instructions in the Program Funds Control Plan(Attachment C)in
requesting payments under the FHAP. Payment is subject to withholding if the CAO determines that
the Recipient is not complying with all terms of the Cooperative Agreement,the Appendix,and all
Attachments hereto.
6. NARRATIVE REPORT
A Narrative Report describing activities undertaken during the periods of performance pursuant to
which payment is being requested is required. The Narrative Report shall include a listing of
complaints acceptably processed,including the name of complainant,respondent,and date closed,
type of closure,date referred to legal for enforcement action,information on investigative and
conciliation techniques,and descriptions of all activities undertaken to justify all administrative
closures. This list must demonstrate that the agency receives and processes a reasonable number of
complaints cognizable under the Fair Housing Act,as required in 24 CFR§ 115.206(e)(7). The
Narrative Report shall also include a description of outreach activities undertaken in support of fair
housing case processing to educate the public on fair housing rights and responsibilities.The
GTR/GTM should verify that the Recipient is undertaking the education and outreach activities
identified. If the Recipient meets the requirements outlined in the FY2013 Funding Guidance for
FHAP "Contributions Agencies",remaining funds may be used to undertake the fair housing
education and outreach activities.
4
Where information is provided electronically through the Title Eight Automated Paperless Office
Tracking System('TEAPOTS)or some other software application,the Report need not be provided in
hard copy unless required by the GTR.
7. CRITERIA FOR PROCESSING
The Criteria for Processing are the standards by which HUD determines whether a complaint,
cognizable under the Fair Housing Act and processed by the Recipient,warrants reimbursement with
FHAP funds. The Criteria for Processing are hereby incorporated as Attachment A.
8.PART 85
The Administrative Requirements for Grants and Cooperative Agreements (24 CFR Part
85) are hereby incorporated by reference. The Agency must be familiar with these
requirements and verify to the GTR/GTM that the Recipient has a copy on file. A copy of
Part 85 may be obtained from your agency's GTR/GTM. You may also access a copy by
entering"24CFR85"in the quick search box on the Government Printing Office website at:
http://www.gpoaccess.gov/cfr/index.html
9. USE OF COOPERATIVE AGREEMENT FUNDS AND NO CO-MINGLING
The Recipient is entitled to receive the fixed amount identified in Block 14 of the HUD-1044
for satisfactory completion of the work to be performed,regardless of costs incurred. FHAP
funds must be used for the purpose that HUD provided the funds including the processing of
complaints cognizable under the Fair Housing Act,training under the Fair Housing Act and
the state or local fair housing law,administrative costs associated with fair housing complaint
processing,creation and maintenance of data and information systems,and the development
and maintenance of fair housing education and outreach projects. The Recipient must
segregate FHAP funds from the Recipient's and the state or local government's other funds.
10. MAINTENANCE OF EFFORT
The Recipient must spend at least 20 percent of its total annual budget on fair housing
activities if it enforces antidiscrimination law(s)other than a fair housing law. The term"total
annual budget"means the entire budget assigned by the jurisdiction to the agency for
enforcing and administering antidiscrimination laws,but does not include FHAP funds.
Maintenance of effort also means that the Recipient shall not unilaterally reduce the level of
fmancial resources currently committed to fair housing. Budget and staff reductions
occasioned by legislative action outside the control of the Recipient will not, alone,result in a
determination of ineligibility. However,HUD will take such actions into consideration in
assessing the ongoing viability of a Recipient's fair housing program.
5
11. HUD'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 may include,but is not necessarily limited to,the following:
1. Review and guidance during and upon completion of cases cognizable under the Fair Housing
Act;
2. Requests for additional information on cases to provide clarification or for completeness of a
case investigation or file;
3. Development and presentation of national and regional office fair housing investigation and
conciliation training;
4. Participation in the development and presentation of in-house investigation and conciliation
training;
5. Participation and approval of education and outreach programs or materials;
6. Provision of appropriate directives and guidance for case processing;
7. Assistance in the investigation,conciliation,and/or enforcement of fair housing cases
cognizable under the Fair Housing Act;
8. Requests for updates on the final status of cause determinations; and
9. Review and analysis of agency's fair housing law for determinations of continued substantial
equivalence to the Fair Housing Act.
12. ASSURANCES
As a condition for the receipt of FHAP funds,the Recipient assures HUD that it will:
A. Provide a drug-free workplace;
B. Comply with the provision of the Hatch Act(5 U.S.C. Sections 1501-1508 and 7324-7328)
which limits the political activities of employees whose principle employment activities are
funded in whole or part with Federal funds;
C. 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;
D. 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
6
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);
E. Comply with all federal nondiscrimination laws including,but not necessarily limited to: (a)
Title VI of the Civil Rights Act of 1964,which prohibits discrimination on the basis of race,
color,or national origin by recipients of federal financial assistance(b)Title IX of the
Education Amendments of 1972,as amended,which prohibits discrimination on the basis of
sex by recipients of federal fmancial assistance ; (c) Section 504 of the Rehabilitation Act of
1973,which prohibits discrimination on the basis of disability by recipients of federal fmancial
assistance,and(d)the Age Discrimination Act of 1975,as amended,which prohibits
discrimination on the basis of age by recipients of federal financial assistance;
F. Comply with all applicable requirements of federal laws,executive orders,regulations, and
policies governing this program;and
G. Comply with the 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 specific products identified in
guidelines developed by the Environmental Protection Agency(40 CFR 247-253).
13. USE OF CONSULTANTS
Salary payments to consultants under this instrument shall not exceed the equivalent of the
maximum daily rate paid to level IV of the Executive Schedule, as evidenced by current pay
vouchers.
14. PUBLICATIONS AND NEWS RELEASES
A. Definition. For the purpose of this clause,"publication"includes:
(1) Any document containing information for public consumption;
(2) The act of,or any act that may result in,disclosing information to the public; or
(3) Any products resulting from the education and outreach efforts of the Recipient that are
planned to be made available to the public through dedication,assignment by the Government,
or other such means as HUD shall determine.
B. Government Ownership of Official Products of Work
All interim and final reports and information,data analyses,special methodology,
findings,and their related documents and work products,including reports,work sheets,
survey instruments,computer tapes,and any other physical materials and products
produced directly under the SOW of this instrument are considered Official Products of
Work,owned by the U.S.Government and held for the benefit of the public.
7
C. Publication of Official Products of Work
Official Products of Work,quotations there from,paraphrasing,or disclosures of interim
findings may not be published without the approval of the GTR for a period of sixty(60)
days after acceptance of the product by the GTR. Thereafter,the Recipient shall be free to
publish without HUD approval.
D. 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 acknowledgment and disclaimer:
"The work that provided the basis for this publication was supported by funding
under a Cooperative Agreement with the U.S.Department of Housing and Urban
Development. The substance and fmdings 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."
E. Notice of News Release and Public Announcements
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 D above,entitled Acknowledgement and
Disclaimer.
The Recipient agrees that no news releases or public announcements involving FHAP
funded activities will be released to the public without prior HUD approval. The
Recipient further agrees that it will submit any and all press releases/news
announcements,studies and/or other products developed with FHAP funds to the
GTR for review and approval of at least two weeks prior to its release,unless HUD
agrees to waive the two-week submission requirements. Publication flyers,and other
routine documents previously approved by the GTR and/or the Department,may be
published without further HUD approval.
15. 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.
8
16. FLOW DOWN PROVISIONS
The Recipient shall include provisions 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 sub-tier of
employees and subcontractors to the extent feasible. If the Recipient subcontracts to a public
or private organization any activity for which it receives FHAP funds,it must ensure in
writing that the organization is complying with all relevant civil rights laws including: (a)Title
VI of the Civil Rights Act of 1964;(b)Title IX of the Education Amendments of 1972, as
amended; (c) Section 504 of the Rehabilitation Act of 1973; and(d)the Age Discrimination
Act of 1975.
17. 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 reimbursement. If a dispute
arises,the CAO shall be the fmal authority on the matter and shall prepare a fmal decision,taking into
account all facts and documentation presented. The CAO's decision shall be mailed,emailed,faxed,
or telephonically provided to the Recipient.
18. MAINTENANCE OF RECORDS
The GTR and CAO are to maintain all appropriate records relating to the implementation of this
cooperative agreement for a period of 5 years for the GTR files and a period of 7 years for the CAO
files. The files for the CAO are to be kept in a secure place and should be accessible to others only
with the CAO's permission. After 7 and 5 years respectively,the records may be archived at the
records center.
The Recipient agrees to maintain records demonstrating its fmancial administration of FHAP funds.
The Recipient also agrees to maintain records of its performance under FHAP,including all past
performance assessment reports,performance improvement plans,and other documents relative to the
Recipient's performance.
The Recipient agrees to permit reasonable public access to its records as required at 24 CFR§
115.308(c)(i.e.,records are made available at the agency's office during normal working hours for
public review). The Recipient agrees to permit the Secretary of HUD,Inspector General of HUD,
Comptroller General of the United States,and any of their authorized representatives,access to all the
pertinent books, accounts,reports,files,and other payments for surveys,audits,examinations,
excerpts and transcripts as they relate to the agency's participation in the FHAP. The Recipient agrees
to keep files in such a fashion as to permit the audits under applicable Office of Management and
Budget circulars,procurement regulations and guidelines, and the Single Audit requirements for state
and local agencies.
9
19. CUSTOMER SERVICE STANDARDS
The Recipient agrees to ensure that any and all individuals associated with fair housing complaints,
including aggrieved persons,complainants,respondents, and representatives,are treated with dignity
and respect. The Recipient agrees to maintain regular contact with parties to a complaint,including
not allowing more than 30 business days to pass without some form of contact with parties. The
Recipient agrees that its staff will not communicate disinterest or distrust in the complaint process to
any of the parties to the complaint. Complaints to HUD from individuals associated with FHAP fair
housing complaints will be reviewed by the GTR. The GTR will work with the Recipient and the
individual to resolve the matter. In addition,customer satisfaction issues identified that may impact
the timely and effective processing of fair housing complaints will be considered when HUD conducts
performance assessments of the Recipient in accordance with 24 CFR § 115.206.
20. REPORTING REQUIREMENTS
The Recipient agrees to provide the GTR timely information on all fair housing complaints cognizable
under the Fair Housing Act,from receipt to closure,regardless of whether payment has been received
by the Recipient.
The Recipient agrees to fully utilise the Title VDT Automated Paperless Office Tracking Systems
('TEAPOTS),and input information in TEAPOTS in a timely manner. Failure to meet this
requirement shall result in HUD identifying such failure as a deficiency in the FHAP agency's
performance assessment,thereby authorizing HUD to proceed with performance deficiency
procedures enumerated in the FHAP regulation at 24 CFR§ 115.210.
21. TRAINING
The Recipient agrees to send staff to mandatory training sponsored by HUD,including,but not
necessarily limited to,the National Fair Housing Training Academy and the National Fair Housing
Policy Conference. The Recipient shall participate in such trainings in accordance with the
requirements enumerated in the document entitled FY2013 Funding Guidance for FHAP
"Contributions Agencies"
22. INITIAL CONTACT DATE
The Recipient must use the Initial Contact Date field in TEAPOTS to record the actual date on
which a complainant first contacts the Recipient or FHEO to inquire about filing a housing
discrimination complaint, or to report an alleged discriminatory housing practice. The Recipient
will be required to comply with the following procedures with respect to documenting a
complainant's initial contact.
For cases initially filed with the Recipient, the Recipient must:
A) Maintain records of each complainant's initial contact with the Recipient,
including records of all telephone, e-mail, letters, and in-person contacts;
10
B) Place the original record of a complainant's initial contact, or a copy of that
record, in the case file under the complainant's evidence section of the file,
consistent with the requirements of Chapter 10 of the Title VIII Manual; and
C) Ensure that the Initial Contact Date field in TEAPOTS reflects the earliest date of
contact referenced in the case file.
For cases initially filed with FHEO, the Recipient:
A) Must ensure that the Initial Contact Date filed in TEAPOTS reflects the earliest date
of contact referenced in the case file referred to the Recipient by FHEO;
B) Must not change the date that FHEO entered in the Initial Contact Date field in
TEAPOTS even if records contained in the case file received from FHEO reflect a
later date of contact by the complainant. If FHEO has entered an initial date of
contact in TEAPOTS that is earlier than any contact date referenced in the case file,
the Recipient must contact the FHEO regional office to obtain any records of contact
that may have been omitted from the case file.
23. CHANGES LIMITING EFFECTIVENESS OF RECIPIENT'S LAW
If a state or local fair housing law that a Recipient enforces is amended, or rules or procedures
concerning the fair housing law are adopted, or judicial or other authoritative interpretations of
the fair housing law are issued, the Recipient must notify HUD's Fair Housing Assistance
Program Division at the following address:
Fair Housing Assistance Program Division
Office of Fair Housing and Equal Opportunity
U.S. Department of Housing and Urban Development
451 Seventh Street, SW, Room 5206
Washington,DC 20410
24. FHAP AND THE FIRST AMENDMENT
None of the funding made available under the FHAP may be used to investigate or prosecute any
activity engaged in by one or more persons that may be protected by the First Amendment of the
United States Constitution.
25. TESTING
The following requirements apply to testing activities funded under the FHAP:
A. Testing must be done in accordance with a HUD-approved testing methodology;
11
B. Testers must not have prior felony convictions or convictions of any crimes involving fraud
or perjury;
C. Testers must receive training or be experienced in testing procedures and techniques;
D. Testers and the organizations conducting tests, and the employees and agents of these
organizations, may not: 1) have an economic interest in the outcome of the test, without
prejudice to the right of any person or entity to recover damages for any cognizable injury; 2)
be a relative or acquaintance of any party in a case; 3) have had any employment or other
affiliation, within five years, with the person or organization; or 4) or be a competitor of the
person or organization to be tested in the listing, rental, sale or financing of real estate.
26. RELEASE OF INFORMATION WHILE COMPLAINT IS OPEN
As a general rule, the Recipient will not release information collected during the course of the
investigation while the complaint is open. There are three exceptions. First, the Recipient will
provide information to HUD, consistent with Section 11 of this document. Second, a party to a
complaint being investigated by the Recipient is entitled to receive a copy of any document it
submitted during the investigation of the complaint. Third, during conciliation, a conciliator may
opt to use the strategy of revealing portions of the evidentiary section of the investigative file to
the parties. This type of disclosure may also occur during an investigation when a Recipient
investigator questions a party or a witness about a document or a statement in a document.
27. SEXUAL ORIENTATION,GENDER IDENTITY,MARITAL STATUS,AND
SOURCE OF INCOME CAUSE DETERMINATIONS
Recipient must submit to the Fair Housing Assistance Program(FHAP)Division copies of
sexual orientation, gender identity, marital status, and source of income cause determinations.
The General Section of HUD's Notice of Funding Availability (NOFA) deems ineligible
applicants that have not satisfactorily resolved a cause determination from a FHAP agency for a
systemic violation of a state or local prohibition of sexual orientation, gender identity, and source
of income housing discrimination. Additionally, on February 3, 2012, HUD issued a final rule
entitled Equal Access to Housing in HUD Programs Regardless of Sexual Orientation and
Gender Identity, which mandates recipients of HUD funds, FHA-insured lenders,
and FHA-mortgagors to provide access to HUD programs without regard to sexual orientation,
gender identity, and marital status. Receipt of cause determinations from FHAP agencies on
these issues will assist HUD in determining whether an applicant is ineligible for funding under
the NOFA and/or has violated the Equal Access Rule. FHAP agencies should submit such
determinations electronically to LGBTfairhousing@hud.gov, or send hardcopies to:
Director, Fair Housing Assistance Program Division
Office of Fair Housing and Equal Opportunity
U.S. Department of Housing and Urban Development
451 Seventh Street, SW, Room 5206
Washington,DC 20410
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APPENDIX A - CONTRIBUTIONS AGREEMENT STATEMENT OF WORK
FY 2013
1. The Recipient agrees to process housing discrimination complaints cognizable under the Fair
Housing Act in accordance with the Agreement for the Interim Referral of Complaints and
Other Utilisation of Services (Interim Agreement)or Memorandum of Understanding(MOU)
between the Recipient and HUD,the Schedule of Articles,the Criteria for Processing,and 24
C.F.R.Part 115.
2. The Recipient agrees to cooperate with HUD in the processing of housing discrimination
complaints cognizable under the Fair Housing Act in accordance with the Interim 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 housing enforcement efforts by engaging in outreach
and education,and engaging and participating in training and technical assistance pursuant to
the Interim Agreement and MOU.
4. The Recipient agrees to follow HUD's guidance in processing complaints cognizable under
the Fair Housing Act unless and until the Department rescinds such requirement in writing to
the Recipient.
5. The Recipient agrees to identify to HUD all staff assigned to carry out fair housing activities
by name,position, salary,relevant experience,and percentage of time spent carrying out fair
housing responsibilities.
6. The Recipient may be required to participate in customer satisfaction evaluation activities
under this agreement. The Recipient agrees to furnish to HUD all information collected from
its customers in the form specified by HUD.
7. If the Recipient has aged cases,upon request from HUD,the Recipient must provide updates
to HUD on its handling of aged cases and submit a plan to the GTR/GTM for closing such
cases.
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FY2013
ATTACHMENT A: Criteria for Processing
The Criteria for Processing(Criteria) are the standards by which HUD determines
whether a complaint, cognizable under the federal Fair Housing Act and processed by a
substantially equivalent state or local agency, warrants reimbursement with Fair Housing
Assistance Program(FHAP) funds. The Criteria establish, for each type of complaint closure,
the minimum requirements for quality complaint processing and identify the documents that
must be submitted to HUD. The Criteria are designed to assure the uniform, timely, and quality
processing of housing discrimination complaints processed under substantially equivalent fair
housing laws. If the Criteria are not met for a particular complaint, HUD may deny
reimbursement, in whole or in part, for that complaint.
The Criteria are enumerated under major subheadings, most of which describe the type of
closure, (e.g., cause, no cause,conciliation, etc.). Subheadings I through III set out criteria that
apply to most complaints. Subheadings IV through VII set forth additional criteria specific to
particular types of complaint closure. For example, to meet the criteria for an administrative
closure, criteria under subheadings I(Complaint Filing), II(Notification), III(Cause and No
Cause Determinations), VII(Administrative Closures) may need to be met.
Once HUD determines a complaint warrants reimbursement under the Criteria, the
Standards for Timeliness (Attachment B) are used to identify the amount that HUD will
reimburse the FHAP agency,based upon timeliness and complexity of the investigation.
Please note that all complaint-related documentation identified in the Criteria must be
provided to HUD no later than 30 days after completion of complaint processing. Whenever
possible, the complaint-related documentation must be submitted to HUD via the Title Eight
Automated Paperless Office Tracking System(TEAPOTS). An agency's failure to utilize
TEAPOTS and input all relevant data and information in TEAPOTS in a timely manner may
jeopardize complaint processing reimbursement. (See complaint closure review forms that
identify required TEAPOTS entries and appropriate payment deductions based on type of
closure). HUD may also address the failure to utilize TEAPOTS through performance deficiency
procedures including, but not necessarily limited to,technical assistance, performance
improvement plan, and suspension. See 24 C.F.R. § 115.307(a)(3) and 24 C.F.R. § 115.210.
Finally,as an additional technical assistance tool, complaint closure review forms
are attached. The forms combine the Criteria for Processing and the Standards for
Timeliness into user-friendly checklists based on type of complaint closure.
Complaint Filing
A. Quality Requirements:
1. All complaints must be timely filed in accordance with the substantially
equivalent state or local fair housing law.
2. All complaints must be in writing, signed by the complainant, and contain
the following information:
a. The name and address of complainant;
b. The name and address of respondent(s);
c. If a specific property is involved, the property's address and
physical description, such as apartment, condominium, house or
vacant lot; and
d. A concise statement of the facts, including pertinent dates,
constituting the alleged discriminatory housing practice.
3. Where the agency determines that there is insufficient information in the
complaint to commence an investigation, the agency must notify the
complainant in writing by no later than the 5th day after receipt of the
complaint and inform the complainant what information he or she must
provide in order to commence an investigation, and identify a reasonable
timeframe for submitting such information. The agency must notify the
complainant that unless he or she provides the required information within
the specified timeframe, the agency may dismiss the complaint.
4. The FHAP agency must permit complaints to be filed with the assistance
of an authorized representative or organization of the complainant.
5. The FHAP agency must permit complaints to be reasonably and fairly
amended at any time. Such amendments may include, but are not limited
to: a) amendments to cure technical defects or omissions; b) clarification,
amplifications, or amendments of allegations in a complaint; or c)joinder
of additional or substitute respondents. The FHAP agency should consider
amended complaints as having been made filed on the date the original
complaint was filed.
6. HUD will not reimburse a FHAP agency for complaints deemed non-
jurisdictional because of failure to meet more burdensome filing
requirements than those imposed by the Act. For example, if a FHAP
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agency requires complaints to be notarized, HUD will not reimburse the
agency for a complaint not filed because the complainant did not get the
complaint notarized. To preserve the rights of aggrieved persons,a FHAP
agency must refer such complaints to HUD for investigation under the
federal Fair Housing Act as soon as practicable and, where necessary,
consent to their reactivation.
7. Pursuant to 24 CFR Section 115.210, and the March 7, 2001 memorandum
entitled Limitations on Accepting as Dual-Filings FHAP Cases That
Implicate First Amendment, HUD will not reimburse FHAP agencies for
complaints that implicate the First Amendment of the U.S. Constitution.
The FHAP agency must alert HUD to complaints that it receives that may
implicate the First Amendment so that HUD may analyze the complaint
and determine if reimbursement is appropriate.
8. Pursuant to a Memorandum of Understanding between HUD and the
Internal Revenue Service, the FHAP agency must identify in TEAPOTS
whether the property named in a complaint receives Low Income Housing
Tax Credits.This is required for every complaint.
9. Pursuant to any special provisions in the Interim Agreement and/or
Memorandum of Understanding between HUD and a FHAP agency, the
FHAP agency must refer complaints to HUD regarding allegations that the
agency receives involving a practice that is not prohibited by the
substantially equivalent State or local law,but is prohibited by the federal
Fair Housing Act.
10. If a housing discrimination complaint is filed against a recipient of federal
financial assistance and therefore implicates civil rights laws that FHEO
enforces other than the federal Fair Housing Act (multi jurisdictional), the
FHAP agency shall notify FHEO so that FHEO may process that portion
of the complaint. Other civil rights laws enforced by FHEO include:
a. Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d
(prohibiting discrimination on the basis of race, color or national
origin in programs or activities receiving federal financial
assistance);
b. Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794
(prohibiting discrimination based on disability in programs or
activities receiving federal financial assistance);
c. Section 109 of the Housing and Community Development Act of
1974, 42 U.S.C. § 5309 (prohibiting discrimination on the basis of
3
race, color, national origin, religion or sex in any program or
activity funded in whole or in part by the community development
block grant programs);
d. Title II of the Americans with Disabilities Act,42 U.S.C. § 12101
et seq. (prohibiting discrimination based on disability in programs,
services and activities made available by public entities);
e. Architectural Barriers Act, 42 U.S.C. § 4151 et seq. (providing that
buildings, including publicly owned residences, designed
constructed, leased or altered with certain federal funds must be
accessible to persons with disabilities); and
f. Age Discrimination Act of 1975, 42 U.S.C. § 6101 (prohibiting
discrimination based on age in programs or activities receiving
federal financial assistance).
B. Required Documents: A signed, dated copy of the complaint, any requests for
amendment(s) to the complaint, and evidence of compliance with the
timeframes and requirements identified above.
II. Notification
A. Quality Requirements: The FHAP agency must notify HUD within 5 days
of receiving complaints that are cognizable under the federal Fair Housing Act. In
addition, the FHAP agency must serve notice of the complaint to each
complainant and respondent in accordance with the timeframes identified in the
substantially equivalent law and the following requirements.
1. The notification letter to the complainant must consist of an
acknowledgement of receipt of the complaint for filing, the designation of
a complaint number, information related to the agency's processing
procedures including the name and telephone number of a FHAP agency
contact, and the complainant's rights and obligations under the
substantially equivalent law, including time limits and choice of forums.
2. The notification letter to the respondent must consist of a description of
the alleged housing discrimination practice upon which the complaint is
based, include a copy of the complaint, and identify the name and
telephone number of a FHAP agency contact. The notice to a respondent
must also advise respondent of his or her procedural rights and obligations,
including respondent's right to file an answer within the timeframe
identified in the substantially equivalent law.
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3. 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 written notice.
The notice must explain the basis for the agency's belief that the joined
person is properly joined as a respondent and include information
identified in paragraph 2 above.
B. Required Documents: For complaints that are filed directly with the FHAP
agency,the agency must enter information in TEAPOTS regarding the complaint
within five days of receiving the complaint, sufficiently notifying HUD of the
complaint. In addition, the agency must provide HUD with a copy of the
notification letters sent to the parties and must update TEAPOTS to indicate when
the agency sent the notification letters.
III. Criteria for Cause and No Cause Determination
Every cause or no cause determination must be based on an investigation that includes
sufficient consideration of the complainant's and respondent's evidence, and a sufficient
evaluation of any and all 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 the complainant or
respondent and shall weigh the evidence objectively in light of the relevant substantially
equivalent law. The basis for the cause or no cause determination must be well-
documented.
A. Quality Requirements:
In addition to the criteria set forth in subheadings I and II above:
1. Before the end of the 30th day after the complaint is filed, the FHAP
agency must initiate a comprehensive investigation of issues raised in
the complaint. Respondent's defenses, relevant policies and practices,
as well as all other relevant data,must be identified and analyzed and
the complainant, respondent,and all relevant witnesses must be
interviewed. Contradictions between complainant's allegations and
respondent's response must be investigated and when applicable,
comparative data must be obtained. When necessary, information
must be independently corroborated. Simply obtaining respondents'
statements rebutting complainant's allegations will normally not
resolve disputed issues of fact.
2. HUD recommends that FHAP agencies develop investigative plans for
every complaint processed that is cognizable under the Fair Housing Act.
For guidance on development of an investigative plan, FHAP agencies
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may refer to Chapter 7 of HUD Handbook 8024.01 REV-2 (Title VIII
Complaint Intake, Investigation, and Conciliation Handbook).
3. In planning the investigation, the investigator and his/her supervisor must
determine, on a complaint-by-complaint basis, whether on-site inspections
and/or interviews are required. For most complaints, on-site inspections
and/or interviews are the most thorough way to conduct an investigation
unless:
• The complaint does not involve factual disputes;
• Evidence clearly demonstrates there is no cause; or
• Evidence clearly indicates there is cause.
4. During the period beginning with the filing of a complaint and ending with
the FHAP agency's determination or charge of discrimination, the agency,
to the extent feasible, must attempt to conciliate the complaint (see more
detail on criteria for conciliation attempts and conciliation agreements in
Section IV of this document).
5. If the agency does not complete the investigative activities with respect to
a complaint within 100 days from the date of receipt, it must notify the
parties in writing of the reason(s) for the delay. Such notification letters
must be sent within 110 days of the filing of the complaint.
6. At the end of each investigation, the agency shall prepare a Final
Investigative Report (FIR). An FIR shall be dated and signed by at least
one supervisor. The FIR shall contain:
a. The names and dates of contacts with the parties and witnesses,
except that the report will not disclose the names of witnesses who
request anonymity;
b. A summary of correspondence and other contacts with the
complainant and the respondent;
c. A summary description identifying other pertinent records
examined;
d. A summary of statements by witnesses, if applicable; and/or
e. Interrogatories and answers provided, if applicable.
7. Each Determination shall be signed and dated by an authorized FHAP
representative.
6
8. The FHAP agency shall send the closure package to HUD within 30 days
of closure. (See B below).
9. The FHAP agency will cooperate with HUD by providing information at
regular intervals or upon request related to individual complaint
investigations. Upon request, HUD shall receive status reports for each
complaint that is over 100 days old.
B. Required Documents: All evidence indicating that a comprehensive investigation
was commenced and completed in accordance with the above requirements
including, but not limited to: a copy of a signed, dated complaint; a copy of a
FHAP agency determination, dated and signed by an authorized FHAP
representative; proof that a FHAP agency sent its determination letter to all
parties; an FIR that meets the above listed requirements; an investigative plan
(when such plan exists); a copy of the 100-day letters and evidence that they were
sent; and all other information pertinent to the investigation, including but not
limited to interview notes, documentation of conciliation attempts and, when
necessary, independent evidence corroborating respondent's defense(s).
C. Additional funds for"Charged" Complaints: An agency may receive additional
funds for complaints for which it issues a charge of discrimination or equivalent
action. To obtain such additional funds, the charge (or equivalent action) must
meet the following three factors:1
1. Be issued in a written document;
2. Be signed by the appropriate agency official; and
3. Offer the opportunity to adjudicate the charge in a judicial proceeding.
D. Post-Cause Review—See Section V.
IV. Criteria for Conciliation
During the period beginning with the filing of a complaint and ending with the agency's
no cause determination or charge of discrimination, the agency, to the extent feasible,
must attempt to conciliate the complaint. In conciliating a complaint, agencies must
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 complainant and
take actions to ensure the elimination of alleged discriminatory housing practices and the
prevention of their occurrences in the future. These standards for conciliation remain in
effect even if conciliation/settlement takes place after the agency's cause determination.
If an agency does not utilize a charge process, it may still receive"charged complaint" additional funds
if its cause determination meets these three factors.
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In addition to the appropriate criteria set forth in subheadings I, II, and III above:
A. Quality Requirements/Required Documents:
The FHAP agency must provide HUD with a signed and dated complaint, a
chronology of actions taken up to the conciliation, copies of closure letters sent to
the parties indicating that the complaint was closed due to a successful
conciliation, together with a copy of the executed conciliation agreement. The
conciliation agreement must be in writing, dated and signed by complainant,
respondent, and the authorized FHAP agency representative, and include:
1. HUD and FHAP complaint numbers
2. names of the parties;
3. address and description of the subject property;
4. an effective date and the term in which the agreement remains in
effect;
5. relief that remedies the discrimination alleged in the complaint;
6. as appropriate, relief that adequately vindicates the public interest, and
prohibits future discriminatory housing practices by respondent;
7. a statement that the agreement constitutes closure of the complaint at HUD
and the FHAP agency;
8. a statement that the agreement shall be made public unless the
complainant and respondent otherwise agree, and an authorized
representative of the agency determines that disclosure is not required to
further the purposes of the substantially equivalent law. Circumstances
that may result in partial or complete nondisclosure of a conciliation
agreement may include, but are not limited to:
• Sexual harassment allegations that may be humiliating and
embarrassing to the complainant;
• A complainant's physical or mental disability that complainant
may not want disclosed; or
• The fact that a complainant is a resident in a home for battered
women which complainant believes may, if disclosed, endanger
8
her safety.
9. provisions that allow the FHAP agency to effectively monitor compliance
with the agreement.
10. a statement that violations of other civil rights laws have been alleged (if
applicable).
NOTE: The conciliation agreement does not prohibit HUD from taking further action
against respondent under other applicable civil rights laws. When a complaint is subject
to concurrent processing by HUD under other civil rights laws, the FHAP agency may not
execute an agreement that resolves matters in regard to these other laws without HUD's
consent.
V. Criteria for Post-Cause Complaints Heard in an Administrative Hearing, Civil
Action,or Through Judicial Review
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
A. Quality Requirements: After a cause determination and a charge of
discrimination, or its equivalent, has been issued, and assuming the conciliation
was attempted and failed, the complaint must be referred to appropriate counsel to
prosecute the charge on behalf of the complainant, at government expense, before
an administrative hearing body or civil court. Representation must also be
provided in any appeals that follow.
B. Documents Required: HUD will accept such a complaint for reimbursement if the
agency provides documentation of such a referral in, for example,
correspondence, logs or pleadings. Additionally, the FHAP agency shall provide
any final 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 to return, up to
50% of the reimbursement previously paid to the agency for the complaint.
NOTE: While the agency may obtain reimbursement on these complaints prior to
final disposition by an administrative hearing body or a civil court, the agency
must subsequently report to HUD the final status of such complaints. See 24
C.F.R. § 115.206(e)(8). FHAP agencies must input final status information
directly in TEAPOTS within 30 days of the administrative or judicial
determination. If the agency does not provide this information, HUD may request,
and the agency will be required to return, up to 50% of the reimbursement
previously paid to the agency for the complaint.
9
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VI. Criteria for Closures by Settlement without FHAP Agency Involvement(a.k.a.,
withdrawals with resolution)
If complainant and respondent resolve the complaint without the FHAP agency's
involvement, the complainant may withdraw the complaint by submitting a withdrawal
request to the FHAP agency.
In addition to the appropriate criteria set forth in subheadings I, II, and HE above:
A. Quality Requirements. The withdrawal request must be written; it must be
signed and dated by complainant or complainant's authorized
representative; identify the respondent(s) to whom the withdrawal applies;
contain the HUD and FHAP agency complaint numbers; state the
reason(s) complainant seeks to withdraw the complaint; contain a
statement that the withdrawal was not obtained by coercion or threat of
retaliation from any person, including but not limited to the respondent;
and identify the terms of the resolution.
B. Required Documents: The FHAP agency must provide FHEO with: a
signed and dated complaint; a chronology of 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 the
terms of the resolution are not satisfied and the re-filing is received within
the time limit for filing a complaint under the substantially equivalent law;
and a copy of the closure letter.
NOTE: The FHAP agency must not encourage or facilitate resolution without its
involvement in lieu of proceeding with conciliation. If HUD discovers that such
occurred, reimbursement for the complaint may be deducted in whole or in part.
VII. Criteria for Administrative Closures
Performance Standard 2 in the FHAP regulations, at 24 C.F.R. § 115.206(e)(2), requires
that administrative closures only be utilized in limited and appropriate circumstances. It
is critical that FHAP agencies not close complaints administratively except under the
specific circumstances set forth below.
A. Withdrawals without Resolution. If complainant decides to withdraw a
complaint, even though the complaint has not been resolved, complainant
must submit a withdrawal request.
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In addition to the appropriate criteria set forth in subheadings I, II, and III above:
1. Quality Requirements: The withdrawal request must: be written; signed
and dated by complainant or complainant's authorized representative;
identify the respondent(s) to whom the withdrawal applies; contain the
HUD and FHAP agency complaint numbers; state the reason(s)
complainant seeks to withdraw the complaint; contain a statement that
complainant is aware that the withdrawal terminates the FHAP agency's
investigation; contain a statement that the withdrawal was not obtained by
coercion or threat of retaliation from any person, including but not limited
to the respondent.
2. Required Documents: The FHAP agency must provide FHEO: a signed
and dated complaint; a chronology of FHAP agency actions prior to receipt
of the withdrawal request; a copy of the signed and dated withdrawal
request that meets the Quality Requirements set out above; and a copy of
the closure letter provided to all parties indicating closure due to
withdrawal by complainant without resolution.
NOTE: If the withdrawal request indicates that there was coercion or
threat of retaliation,FHAP payment may be denied.
B. Inability to Locate Complainant. The FHAP agency may administratively close a
complaint when additional information is needed from complainant and he or she
cannot be located.
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
Quality Requirements: If correspondence sent by the agency is returned
with an indication that the complainant moved and left no forwarding
address, the agency must take the following progressive steps to locate the
complainant before administratively closing the complaint:
a. Place at least four telephone calls to complainant's residence, cell
phone number, and place of employment, two during normal
business hours to work number and two during non-business hours
to a residential/cell number. If an email address is available, the
agency must attempt to email the complainant at least two times.
b. Attempt to contact persons identified by complainant at intake to
inquire as to complainant's whereabouts.
c. Check other sources in an effort to obtain complainant's current
contact information (e.g., telephone directory, Internet searches,
11
postal service, 411 information, utility company, witnesses
previously identified by complainant, or individuals at
complainant's place of employment).
d. Send a letter to the complainant's last known address by certified
mail, advising complainant of the agency's intent to close the case
unless complainant contacts the agency within ten days. If the
tenth day elapses without a response, the case may be closed
administratively by means of a written notice sent to all parties,
including complainant at complainant's last known address.
NOTE: If the FIR shows that the complaint was closed due to the
inability to contact complainant without following the steps outlined
above, the FHAP agency will not be reimbursed for processing the
complaint.
2. Required Documents: The FHAP agency must provide the following
documentation to FHEO: a signed and dated complaint; evidence that the
above progressive steps were taken to locate complainant; evidence that
the certified letter was returned unclaimed, and a copy of the closure letter
sent to the parties indicating closure due to inability to locate complainant.
C. Inability to Locate Respondent
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
1. Quality Requirements: A FHAP agency must make every effort to identify
the correct name and address of each respondent in a complaint. However,
there may be circumstances where a respondent cannot be identified or
located. If the complaint identifies multiple respondents and only one
cannot be adequately identified, the agency must not close the complaint
administratively. Rather, the investigation must proceed and further
efforts must be made during the investigation to identify the respondent
whose correct name or address remains unknown. The complaint may be
amended to remove those respondents who could not be located.
If a sole respondent or all respondents cannot be identified or located, the
complaint may be closed administratively if the agency first takes the
following steps:
a. The FHAP agency must attempt to obtain additional information
from available sources that could result in identifying or locating
the respondent, including Internet searches, cell phone numbers,
cross reference directories, or property tax records that may
12
identify the owner or prior residents of the property in question and
provide enough information to identify or locate the respondent,
serve the complainant, and begin the formal investigation.
b. If a source appears to know the identity or location of a respondent
that the FHAP agency seeks, but that source refuses to provide the
information voluntarily, the FHAP agency must subpoena the
information.
c. As appropriate, the FHAP agency should attempt an on-site visit,
which may help locate and identify the respondent.
d. If the above efforts to locate or identify the respondent are
unsuccessful, a letter must be sent to the complainant giving him or
her 10 days to provide information needed to locate or identify
respondents.
NOTE: In the absence of sufficient information, the case may be closed
administratively, and written notice by regular and certified mail should be
sent to the parties.
Required Documents: The FHAP agency must provide the following
documentation to FHEO: a signed and dated complaint; evidence that the above
progressive steps were taken to locate the respondent, including the signed letters
identified in 1(d) above giving notice to complainant or complainant's
representative, evidence that certified letters were returned unclaimed, and closure
letters to complainant or complainant's representative indicating inability to locate
respondent(s). -
D. Failure of Complainant to Cooperate with the Investigation. A complaint may be
administratively closed when complainant fails to respond to reasonable requests
for information that is needed in order for the FHAP agency to make a
determination.
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
1. Quality Requirements:
a. The FHAP agency must inform the complainants and their
representatives of their duty to cooperate with the investigation and the
risk of the agency administratively closing the complaint if they fail to
cooperate.
b. The FHAP agency must make repeated attempts to contact
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complainants and their representatives by telephone and mail
requesting the needed information. If these efforts are fruitless, the
FHAP agency must send a letter to the complainant by certified mail
return receipt giving complainant at least ten days from receipt of
letter to provide the needed information to the agency.
c. If the complainant's cooperation cannot be obtained using the above
procedures, and the letter is 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.
If the complaint is closed for failure of complainant to cooperate with
the investigation, a closure letter must be sent to the complainant.
2. Required Documents: The following documents must be provided to
FHEO: a signed and dated complaint; evidence that the above progressive
steps were taken to obtain complainant's cooperation, including the signed
letter identified in 1(b) above giving notice to the complainant or the
complainant's representative; and a copy of closure letter to the parties
indicating closure because of failure of complainant to cooperate with the
investigation.
E. Lack of Jurisdiction
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
1. Quality Requirements: For a FHAP agency to obtain reimbursement for a
complaint administratively closed for lack of jurisdiction, there must be a
lack of jurisdiction for both HUD and the agency. If HUD,but not the
agency, has jurisdiction over the complaint, the complaint must be referred
to HUD for processing. In order to qualify for reimbursement,the lack of
jurisdiction must not have been apparent on the face of the complaint at
the time of filing, and must have become known only after further
investigation. The following are examples of facts uncovered during an
investigation that may justify reimbursement for an administrative closure
for lack of jurisdiction: a) the complainant has not suffered the alleged
harm needed to establish standing;b) the subject property qualifies for an
exemption to coverage of both the Fair Housing Act and the substantially
equivalent law.
2. Required Documentation: The FHAP agency must provide the following
documentation to FHEO: reason(s) for closing the complaint for lack of
jurisdiction that demonstrates why HUD does not have jurisdiction, and
that the lack of jurisdiction could not have been determined at intake;
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copies of closure letter sent to the parties that indicate reason for lack of
jurisdiction closure, identify FHAP and HUD complaint numbers, and are
signed by authorized FHAP agency official.
F. Trial has Commenced. A complaint should not be closed because an aggrieved person
has filed a lawsuit, or a court has set a trial date with respect to the same discriminatory
housing practice alleged in the complaint. However, under the substantially equivalent
law, as under the Fair Housing Act, FHAP agencies are usually barred from issuing a
charge of discrimination or continuing administrative proceedings if a judicial trial has
begun.
In addition to the appropriate criteria set forth in subheadings I, II, and III above:
1. Quality Requirements: No additional criteria.
2. Required Documents: To receive reimbursement for an administrative
closure due to the commencement of a judicial trial, the FHAP agency
must produce: a document from the clerk of the court in the jurisdiction
that hears the complaint demonstrating that a trial has begun; or letters
from the complainant, the complainant's representative, or the respondent
or that respondent's representative, that a judicial trial has begun; or
certification that the FHAP agency verified the accuracy of the information
with the clerk of the court; or an order by the court resolving the
complaint; or a copy of closure letters sent to the parties indicating closure
due to judicial trial commencement.
15
t {
FY2013
ATTACHMENT B: Standards for Timeliness
If no quality deductions are made in accordance with the Criteria for Processing, the
GTM should recommend payment amounts in accordance with the following
standards:
❖ Complaints, not systemic (pattern or practice), novel, or complex, that are settled or
conciliated within (this category includes withdrawals with resolution):
No. of Days Percent of Case Processing Amount
1. 100 or less 100% = $2600
2. 101 to 150 90% = $2340
3. 151 to 200 80% _ $2080
4. 201 to 250 70% _ $1820
5. Over 250 0% to 69% as approved by the GTR = $0 - $1794
❖ Complaints, not systemic (pattern or practice), novel, or complex, where a cause or no
cause decision has been made within:
No. of Days Percent of Case Processing Amount
1. 100 or less 100% = $2600
2. 101 to 150 90% =$2340
3. 151 to 200 80% = $2080
4. 201 to 250 70% = $1820
5. Over 250 0% to 69% as approved by the GTR= $0 - $1794
Cause cases that meet the requirements for a "charge" 100% plus $1000 = $3600.
❖ Complaints that are systemic (pattern or practice), novel, or complex, that are settled or
conciliated within (this category includes withdrawals with resolution):
No. of Days Percent of Case Processing Amount
1. 300 or less 100% =$2600
2. 301 to 350 90% =$2340
3. 351 to 400 80% =$2080
4. Over 400 0% to 79% as approved by the GTR = $0 - $2054
❖ Complaints that are systemic (pattern or practice), novel, or complex, where a cause or no
cause decision has been made within:
No. of Days Percent of Case Processing Amount
1. 350 or less 100% = $2600
2. Over 350 up to 100% = $0 - $2600 [The GTR may approve a percentage (up
to 100%) based on the complexity of the case,
investigative challenges (e.g., need to issue a
subpoena), quality of investigation, and the degree
of diligence in investigating the case.]
Cause cases that meet the requirements for a "charge" 100% plus $1000 = $3600.
r 9i
❖ Complaints closed administratively as follows:
No. of Days Percent of Case Processing Amount
Unable to locate 100 or less 80% = $2080
101 to 125 60% = $1560
126 to 150 40% = $1040
151 to 175 20% = $520
Over 175 0% to 19% as approved by the GTR= $0 - $494
Lack of jurisdiction 30 or less 80% = $2080
31 to 45 60% = $1560
46 to 60 40% = $1040
Over 60 0% unless justified by GTR= $0
Failure to cooperate 60 or less 80% = $2080
61 to 75 60% = $1560
76 to 100 40% = $1040
Over 100 0% to 39% as approved by the GTR= $0 - $1014
Withdrawal without
Settlement 75 or less 80% = $2080
76 to 100 60% = $1560
101 to 125 40% =$1040
126 to 150 20% = $520
Over 150 0% to 19% as approved by the GTR = $0 - $494
Closed because trial
has begun 0— 100%, as approved by GTR= $0 - $2600
❖ Complaints that are reactivated
0— 100%, as approved by GTR= $0 - $2600
Notwithstanding the frameworks above, the GTM may recommend and the GTR
may approve 100% reimbursement on a complaint, regardless of the number of days, if the
agency diligently and comprehensively investigated the complaint and/or if the complaint
resulted in a FHAP agency conciliation agreement that included relief that is both significant and
appropriate in light of the issues raised by the complainant.
Please note that complex cases may include those filed with any of the following issue
codes: 350 group (discriminatory financing), 360 (discriminatory brokerage services), 400
(refusal to provide insurance), 410 (steering), 420 group (redlining), 470 group (design and
construction), and 500 (failure to permit reasonable modification), but may also include other
cases requiring extraordinary, and complicated investigations.
2
Q'Pt 1AENT DpyO _
�QDDDti U.S.DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
o*G 11111111*W a WASHINGTON,DC 20410-2000
a
9g,N DE`��'�
OFFICE OF FAIR HOUSING
AND EQUAL OPPORTUNITY
FY2013 Funding Guidance for
Fair Housing Assistance Program (FHAP) "Contributions Agencies"
This document provides guidance to FHAP contributions agencies related to FY2013 FHAP
funding and is meant to supplement the 2013 Capacity Building Agreement,Criteria for Processing,
and the Standards for Timeliness.FHAP contributions agencies are beyond the first year of FHAP
participation and receive complaint processing funds, administrative costs funds,training funds, and
partnership funds to assist in the enforcement of a substantially equivalent fair housing law.
FHAP Performance Periods
Generally,FHAP contributions agencies receive funding based on activities conducted
within a preceding twelve-month period(the performance period). The performance periods
provide HUD staff sufficient time to execute or amend the cooperative agreements,review
complaints, and calculate payments. The FY2013 performance periods are as follows:
• Complaint processing: July 1, 2012—June 30, 2013
• Training, Administrative Costs, and Partnership: October 1,2012—September 30,
2014
Changes for FY2013
As you may recall, we implemented the following changes to FHAP in FY2012:
• Specification that FHAP training funds may be used for costs associated with
obtaining certification at the National Fair Housing Training Academy.
• Provision in the Criteria for Processing and corresponding case closure review form
that HUD has discretion to reduce reimbursement up to 100%if a FHAP agency
inappropriately encourages or facilitates informal resolution in lieu of proceeding
with formal conciliation.
• Addition of marital status cause cases to the reporting requirement of purely state
and local complaints,in order to assist in enforcement of HUD's LGBT Equal
Access Rule.
• Emphasis on quality complaint processing, including requirement that FHAP
agencies must make reasonable efforts to independently verify information received
from a respondent prior to making determinations on the merits, and that FHEO
GTRs and GTMs must monitor FHAP investigations for such independent
corroboration.
www.hud.gov espanol.hud.gov
These pieces remain in effect. In addition, in FY2013, HUD has revised the case closure
review forms. These forms have a more concise,user-friendly format as compared to previously
promulgated forms. FHAP agencies should also be aware that,in addition to existing FHAP
performance standards and requirements enumerated at 24 C.F.R. Part 115,FHEO may utilize the
following two measures:
1) FHAP agencies will close or charge 50%of fair housing complaints filed during the fiscal
year within 100 days.
2) FHAP agencies will close or charge 95%of aged fair housing complaints carried over from
the prior fiscal year.
These measures are in former HUD operating plans and remain useful in FHEO
efforts to ensure that FHAP agencies engage in timely and efficient complaint processing and the
FHAP agencies significantly reduce aged complaints carried over from prior fiscal years.
Complaint Processing Funds
In FY2013,complaints processed by FHAP agencies that are cognizable under the Fair
Housing Act may be reimbursed up to$2,600 per complaint,with the possibility of an additional
$1,000 for"charged"cases.
The Criteria for Processing is the document that FHEO utilizes to determine whether a
complaint,cognizable under the federal Fair Housing Act and processed by a substantially
equivalent state or local agency,warrants reimbursement with FHAP funds. Once a complaint is
determined to warrant reimbursement under the Criteria for Processing,the Standards for
Timeliness are used to identify the amounts to be reimbursed based upon timeliness and complexity
of the investigation.
Additionally,FHAP case closure review forms were developed for use in FY2010, and will
again be utilized in FY2013. The forms combine the Criteria for Processing and the Standards for
Timeliness into user-friendly checklist formats for FHEO region offices, and provide recommended
deduction amounts for deficiencies related to quality, failure to put information in TEAPOTS, and
failure to provide certain documents to HUD. There are 11 different forms,based largely on the
type of closure: 1) Cause; 2)Post-Cause; 3)No Cause;4)Conciliation; 5)Withdrawal with
Resolution; 6)Withdrawal without Resolution;7)Inability to Locate Complainant; 8) Inability to
Locate Respondent; 9)Failure to Cooperate; 10)Lack of Jurisdiction; and 11)Trial Commenced.
The forms have been further revised for FY2013 to a more concise,user-friendly format. FHEO
region offices have been instructed to share those forms with FHAP agencies as an additional
technical assistance tool.
Administrative Costs (AC)Funds
Consistent with 24 C.F.R. Section 115.304(c), AC funds are tied to the quantity of the
agency's caseload. AC funds may be used for data and information systems, salaries, and other
administrative expenses associated with the administration and enforcement of a substantially
2
equivalent fair housing law. If a FHAP agency has not done so are already,it must use AC funds to
purchase Adobe Professional or Nuance software. This will allow FHAP agencies to convert PDF
documents into Word,thereby making documents up-loadable to TEAPOTS.
In FY2013,FHAP agencies that acceptably process 100 or more complaints during the
performance period will receive 20%of the agency's total FHAP obligation for the preceding year.
For agencies that process fewer than 100 complaints,the framework set forth in the following table
will be utilized,which identifies the number of complaints that a FHAP agency acceptably
processed during the FY2012 performance period, and the corresponding amount of AC funds to be
provided to the agency.
Number of complaints acceptably processed Amount of AC funds
0-1 $0
2-10 $2,000
11-30 $6,000
31-45 $10,000
46-60 $20,000
61-80 $30,000
81-99 $40,000
Agencies must submit a written plan detailing how they intend to use AC funds to
the GTR/GTM for approval. The plan should include use of the AC funds for updating and
maintenance of their hardware and software, as appropriate.
Training Funds
In FY2013,training funds will be used for FHAP agency attendance at the Patricia Roberts
Harris National Fair Housing Training Academy(NFHTA), and other appropriate training, as
approved by the FHEO GTR.1
FHAP agencies must send staff to NFHTA. Priority should be given to staff directly
involved in fair housing investigations that have not completed the core curriculum. The amount
allotted to each FHAP agency for NFHTA attendance is based on the population of the jurisdiction
that the FHAP agency serves,in accordance with the methodology set forth in the following table.
Population Population of FHAP Jurisdiction Funds to each FHAP Agency
Designation for NFHTA Attendance
1 10,095,643 and more $20,000
2 10,095,642-5,842,713 $16,000
3 5,842,712-1,000,000 $11,500
4 999,999-554,496 $9,000
5 554,495-120,001 $6,500
6 120,000-55,001 $4,000
7 up to 55,000 $3,000
' To obtain approval for non-NFHTA training, the FHAP agency must send a request to GTR/GTM
at least 60 days in advance of training that includes description and cost(including travel) of
training, and staff proposed to attend.
3
If a FHAP agency identifies a legitimate need for a reasonable amount of training funds for
NFHTA attendance,the region office may obligate funds prior to the FHAP agency's NFHTA
attendance in lieu of reimbursement after the FHAP staff attended NFHTA.
HUD anticipates FHAP agencies spending approximately$2,000 on travel and per diem
expenses for a staff person to attend one week of NFHTA training. However, we recognize that the
travel and per diem costs associated with attendance at NFHTA will vary depending on the FHAP
agency's vicinity to NFHTA. Therefore,HUD may obligate amounts different than$2,000 for a
week of NFHTA training. Also,if a FHAP agency identifies a legitimate need for a reasonable
amount of training funds for NFHTA attendance,HUD may obligate funds prior to the FHAP
agency's NFHTA attendance in lieu of a reimbursement after NFHTA attendance. Please note that
FHEO will monitor to ensure that FHAP agencies are sending appropriate staff to NFHTA, and are,
in fact,utilizing training funds for NFHTA attendance. In addition,per the approval of the GTR,
training funds may be used for fees and travel associated with the NFHTA certification program.
Fees for certification will range from$1,150 to$1,500, depending if the student takes the
certification refresher course.
Other Requirements Related to NFHTA Attendance
• Each FHAP agency must have a designated NFHTA coordinator. These coordinators are
responsible for maintaining communications with GTRs/GTMs, other HUD staff, and the
NFHTA administrator, as necessary,to ensure attendance at NFHTA and compliance with
applicable requirements. It is imperative that the coordinator regularly communicate
updates on registration,cancellations, or date changes to the GTR/GTM and the NFHTA
administrator.
• FHAP agencies shall use training funds for hotel accommodations,transportation, and per
diem for attendance at NFHTA. FHAP agencies shall secure their own hotel
accommodations and travel to attend NFHTA. FHAP agencies should contact NFHTA for
information about hotels,including those that provide government rates.
• Whenever possible,the FHAP agency should report cancellations of student attendance at
least three weeks prior to the scheduled start date of the course. The NFHTA administrator
may report cancellations to the appropriate GTR/GTM.
• Classes at NFHTA are subject to cancellation if too few students are registered to attend.
The NFHTA administrator will provide email notification two weeks in advance of the
scheduled start date if a course is canceled. Individuals who were registered to attend
classes should re-register for an alternate week and re-schedule their transportation and hotel
reservations.
Partnership Funds
The purpose of partnership funds is for a FHAP agency to utilize the services of individuals
and/or public,private,for-profit,or not-for-profit organizations that have expertise needed to
effectively carry out the provisions of the agency's substantially equivalent fair housing law.
4
Partnership funds in FY2013 will be prioritized to assist FHAP jurisdictions in post-cause
enforcement of meritorious fair housing complaints and fair housing enforcement and education
projects of regional and national impact. In the coming weeks,HUD will be soliciting FHAP
agencies for partnership project proposals.
OMB Standards for Federal Data on Race and Ethnicity
Changes were made to the 2000 Census to reflect the growing racial and ethnic diversity of
the U.S. population due to increased immigration from an expanding number of countries and the
number of interracial unions. As a result, Office of Management and Budget(OMB)revised its
standards related to federal data on racial and ethnic categories. The OMB standards are applicable
to HUD's partners that collect and maintain racial and ethnic data. Therefore, since FHAP agencies
collect racial and ethnic data,they are required to maintain that data the same as HUD, i.e.,using the
five racial categories and two ethnic categories as outlined below.
Five Racial Categories
1. American Indian or Alaska Native. A person having origins in any of the original
peoples of North and South American(including Central America), and who maintains
tribal affiliation or community attachment.
2. Asian. A person having origins in any of the original peoples of the Far East,Southeast
Asia, or the Indian subcontinent including,for example,Cambodia, China, India,Japan,
Korea,Malaysia,Pakistan,the Philippine Island,Thailand, and Vietnam.
3. Black or African American. A person having origins in any of the black racial groups of
Africa. Terms such as "Haitian"or"Negro"can be used in addition to"Black or
African American."
4. Native Hawaiian or other Pacific Islander. A person having origins in any of the
original peoples of Hawaii,Guam,Samoa or other Pacific Islands.
5. White. A person having origins in any of the original peoples of Europe, the Middle
East,or North Africa.
Two Ethnic Categories
1. Hispanic or Latino. A person of Cuban,Mexican,Puerto Rican,South or Central
American,or other Spanish culture or origin,regardless of race. The term, "Spanish
origin,"can be used in addition to"Hispanic or Latino."
2. Not Hispanic or Latino. A person not of Cuban,Mexican,Puerto Rican, South or
Central American, or other Spanish culture or origin, regardless of race.
FHAP agencies should use Form HUD-27061,Racial and Ethnic Data Reporting Form
(found at www.HUDclips.org) or a comparable form to collect and maintain the data.
Questions about this Guidance
If you have any questions,comments,or concerns about this guidance,please contact your
agency's GTR/GTM or the FHEO region director.
5
ATTACHMENT VI
Standard Form 1199A(EG) OMB No.1510-0007
(Rev.June 1987)
Prescribe Treasury
Departmentment DIRECT DEPOSIT SIGN-UP FORM
Treasury Dept.Cir.1076
DIRECTIONS
• To sign up for Direct Deposit,the payee is to read the back of this form • The claim number and type of payment are printed on Government
and fill in the information requested in Sections 1 and 2.Then take or checks. (See the sample check on the back of this form.) This
mail this form to the financial institution. The financial institution will information is also stated on beneficiary/annuitant award letters and
verify the information in Sections 1 and 2,and will complete Section 3. other documents from the Government agency.
The completed form will be returned to the Government agency
identified below. • Payees must keep the Government agency informed of any address
changes in order to receive important information about benefits and to
• A separate form must be completed for each type of payment to be remain qualified for payments.
sent by Direct Deposit.
SECTION 1 (TO BE COMPLETED BY PAYEE)
A NAME OF PAYEE(last, first,middle initial)
D TYPE OF DEPOSITOR ACCOUNT CHECKING SAVINGS
E DEPOSITOR ACCOUNT NUMBER
ADDRESS(street,route,P.O.Box,APO/FPO)
CITY STATE ZIP CODE F TYPE OF PAYMENT(Check only one)
❑Social Security ❑ Fed.Salary/Mil.Civilian Pay
TELEPHONE NUMBER 0 Supplemental Security Income ❑ Mil.Active
AREA CODE 0 Railroad Retirement ❑ Mil.Retire.
B NAME OF PERSON(S)ENTITLED TO PAYMENT CI Civil Service Retirement(OPM) ❑ Mil.Survivor
❑VA Compensation or Pension ❑Other
(specify)
C CLAIM OR PAYROLL ID NUMBER G THIS BOX FOR ALLOTMENT OF PAYMENT ONLY(if applicable)
TYPE AMOUNT
Prefix Suffix
PAYEE/JOINT PAYEE CERTIFICATION JOINT ACCOUNT HOLDERS'CERTIFICATION(optional)
I certify that I am entitled to the payment identified above,and that I have I certify that I have read and understood the back of this form,
read and understood the back of this form. In signing this form, I including the SPECIAL NOTICE TO JOINT ACCOUNT HOLDERS.
authorize my payment to be sent to the financial institution named below
to be deposited to the designated account.
SIGNATURE DATE SIGNATURE DATE
SIGNATURE DATE SIGNATURE DATE
SECTION 2 (TO BE COMPLETED BY PAYEE OR FINANCIAL INSTITUTION)
GOVERNMENT AGENCY NAME GOVERNMENT AGENCY ADDRESS
SECTION 3 (TO BE COMPLETED BY FINANCIAL INSTITUTION)
NAME AND ADDRESS OF FINANCIAL INSTITUTION ROUTING NUMBER CHECK
DIGIT
DEPOSITOR ACCOUNT TITLE
FINANCIAL INSTITUTION CERTIFICATION
I confirm the identity of the above-named payee(s)and the account number and title. As representative of the above-named financial institution, I
certify that the financial institution agrees to receive and d posit the payment identified above in accordance with 31 CFR Parts 240,209, and
210.
,PRINT ORTYRE R ESENTATIVE'S NAME SIG A E OF P SE
T ,j�O7 ( sg 7T /6
�.CJE �1L
�Zi�I
Financial institutions should refer to the GREEN BOOK for further instructions.
THE FINANCIAL INSTITUTION SHOULD MAIL THE COMPLETED FORM TO THE GOVERNMENT AGENCY IDENTIFIED ABOVE.
NSN 7540-01-058-0224 GOVERNMENT AGENCY COPY 1199-207
Designed using Perform Pro,WHS/DIOR,Mar 97
SF 1199A(Back)
BURDEN ESTIMATE STATEMENT
The estimated average burden associated with this collection of information is 10 minutes per respondent or recordkeeper,
depending on individual circumstances. Comments concerning the accuracy of this burden estimate and suggestions for
reducing this burden should be directed to the Financial Management Service, Facilities Management Division, Property &
Supply Section, Room B-101, 3700 East-West Highway, Hyattsville, MD 20782 or the Office of Management and Budget,
Paperwork Reduction Project(1510-0007),Washington, D.C. 20503.
PLEASE READ THIS CAREFULLY
All information on this form, including the individual claim number, is required under 31 USC 3322, 31 CFR 209 and/or
210. The information is confidential and is needed to prove entitlement to payments. The information will be used to
process payment data from the Federal agency to the financial institution and/or its agent. Failure to provide the requested
information may affect the processing of this form and may delay or prevent the receipt of payments through the Direct
Deposit/Electronic Funds Transfer Program.
INFORMATION FOUND ON CHECKS
Most of the information needed to complete boxes A, United States Treasury off'
C, and F in Section 1 is printed on your government Check No.
;t Month Da AUSTIN,TEXAS
check: ® s, gq Year 0000 415785
OA Be sure that payee's name is written exactly as it ap- _ 0 0 28 28 DOLLARS CTS
pears on the check. Be sure current address is shown. Pay to MO $****100 00
the order of
tor
Claim numbers and suffixes are printed here on checks 0 beneath the date for the type of payment shown here.
Check the Green Book for the location of prefixes and
suffixes for other types of payments. 0 NOT NEGOTIABLE
OType of payment is printed to the left of the amount.
':00000518': 041571926"
SPECIAL NOTICE TO JOINT ACCOUNT HOLDERS
Joint account holders should immediately advise both the Government agency and the financial institution of the death
of a beneficiary. Funds deposited after the date of death or ineligibility, except for salary payments, are to be returned to
the Government agency. The Government agency will then make a determination regarding survivor rights, calculate
survivor benefit payments, if any, and begin payments. •
CANCELLATION
The agreement represented by this authorization remains in effect until cancelled by the recipient by notice to the
Federal agency or by the death or legal incapacity of the recipient. Upon cancellation by the recipient,the recipient should
notify the receiving financial institution that he/she is doing so.
The agreement represented by this authorization may be cancelled by the financial institution by providing the recipient
a written notice 30 days in advance of the cancellation date. The recipient must immediately advise the Federal agency if
the authorization is cancelled by the financial institution. The financial institution cannot cancel the authorization by advice
to the Government agency.
CHANGING RECEIVING FINANCIAL INSTITUTIONS
The payee's Direct Deposit will continue to be received by the selected financial institution until the Government agency
is notified by the payee that the payee wishes to change the financial institution receiving the Direct Deposit. To effect this
change, the payee will complete a new SF 1199A at the newly selected financial institution. It is recommended that the
payee maintain accounts at both financial institutions until the transition is complete, i.e. after the new financial institution
receives the payee's Direct Deposit payment.
FALSE STATEMENTS OR FRAUDULENT CLAIMS
Federal law provides a fine of not more than $10,000 or imprisonment for not more than five (5) years or both for
presenting a false statement or making a fraudulent claim.
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity,whether subawardee or prime Federal recipient,at the initiation or receipt of a covered Federal
action,or a material change to a previous filing,pursuant to title 31 U.S.C.section 1352.The filing of a form is required for each payment or agreement to make
payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency,a Member of Congress,an officer or employee of
Congress,or an employeeof a Member of Congress in connection with a covered Federal action.Complete all items that apply for both the initial filing and material
change report.Refer to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported,enter
the year and quarter in which the change occurred.Enter the date of the last previously submitted report by this reporting entity for this covered Federal
action.
4. Enter the full name,address,city,State and zip code of the reporting entity.Include Congressional District,if known.Check the appropriate classification
of the reporting entity that designates if it is,or expects to be,a prime or subaward recipient.Identify the tier of the subawardee,e.g.,the first subawardee
of the prime is the 1st tier.Subawards include but are not limited to subcontracts,subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks"Subawardee,"then enter the full name,address,city, State and zip code of the prime Federal
recipient.Include Congressional District,if known.
6. Enter the name of the Federal agency making the award or loan commitment.Include at least one organizationallevel below agency name,if known.For
example,Department of Transportation,United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action(item 1). If known,enter the full Catalog of Federal Domestic Assistance
(CFDA)number for grants,cooperative agreements,loans,and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g.,Request for Proposal(RFP) number;
Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number
assigned by the Federal agency).Include prefixes,e.g.,'RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency,enter the Federal amount of the award/loan
commitment for the prime entity identified in item 4 or 5.
10. (a)Enter the full name,address,city,State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting
entity identified in item 4 to influence the covered Federal action.
(b)Enter the full names of the individual(s)performing services,and include full address if different from 10(a).Enter Last Name,First Name,and
Middle Initial(MI).
11. The certifying official shall sign and date the form,print his/her name,title,and telephone number.
According to the Paperwork Reduction Act,as amended,no persons are required to respond to a collection of information unless it displays a valid OMB Control
Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is
estimated to average 10 minutes per response,including time for reviewing instructions, searching existing data sources, gathering and maintaining the data
needed,and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of
information,including suggestions for reducing this burden,to the Office of Management and Budget,Paperwork Reduction Project(0348-0046),Washington,
DC 20503.
DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
a. contract a. bid/offer/application a. initial filing
b. grant b. initial award b. material change
c. cooperative agreement c. post-award For Material Change Only:
d. loan year quarter
e. loan guarantee date of last report
f. loan insurance
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No.4 is a Subawardee, Enter Name
❑ Prime ❑Subawardee and Address of Prime:
Tier , if known:
Congressional District, if known: 4c Congressional District, if known:
6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number, if applicable:
8. Federal Action Number, if known: 9.Award Amount, if known:
10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if
(if individual, last name, first name, MI): different from No. 10a)
(last name, first name, MI):
11,Information requested through this form is authorized by title 31 U.S.C. section Signature:
1352. This disclosure of lobbying activities is a material representation of fact „
upon which reliance was placed by the tier above when this transaction was made Print Name: /�/J
or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This
information will be available for public inspection. Any person who fails to file the �
required disclosure shall be subject to a civil penalty of not less than $10,000 and Title: //�I/
not more than$100,000 for each such failure. //f,;'
Telephone No.: c-i1/0?7 7 7 ..7/CJ�/ Date: /I /
Federal Use Only: Authorized for Local Reproduction
Standard Form LLL(Rev.7-97)
Certification for U.S.D'partment of Housing
and Urban Development
a Drug-Free Workplace
Applicant Name
Program/Activity Receiving Federal Grant Funding
Acting on behalf of the above named Applicant as its Authorized Official, I make the following certifications and agreements to
the Department of Housing and Urban Development (HUD) regarding the sites listed below:
I certify that the above named Applicant will or will continue (1) Abide by the terms of the statement; and
to provide a drug-free workplace by: (2) Notify the employer in writing of his or her convic-
a. Publishing a statement notifying employees that the un- tion for a violation of a criminal drug statute occurring in the
lawful manufacture,distribution, dispensing, possession,or use workplace no later than five calendar days after such conviction;
of a controlled substance is prohibited in the Applicant's work- e. Notifying the agency in writing, within ten calendar days
place and specifying the actions that will be taken against after receiving notice under subparagraph d.(2) from an em-
employees for violation of such prohibition. ployee or otherwise receiving actual notice of such conviction.
b. Establishing an on-going drug-free awareness program to Employers of convicted employees must provide notice,includ-
inform employees --- ing position title, to every grant officer or other designee on
(1) The dangers of drug abuse in the workplace; whose grant activity the convicted employee was working,
unless the Federalagency has designated a central point for the
(2) The Applicant's policy of maintaining a drug-free receipt of such notices. Notice shall include the identification
workplace; number(s) of each affected grant;
(3) Any available drug counseling, rehabilitation, and f. Taking one of the following actions, within 30 calendar
employee assistance programs; and days of receiving notice under subparagraph d.(2),with respect
(4) The penalties that may be imposed upon employees
to any employee who is so convicted ---
for drug abuse violations occurring in the workplace. (1) Taking appropriate personnel action against such an
c. Making it a requirement that each employee to be engaged employee, up to and including termination, consistent with the
in the performance of the grant be given a copy of the statement requirements of the Rehabilitation Act of 1973, as amended; or
required by paragraph a.; (2) Requiring such employee to participate satisfacto-
d. Notifying the employee in the statement required by para- rily in a drug abuse assistance or rehabilitation program ap-
graph a. that,as a condition of employment under the grant,the proved for such purposes by a Federal,State,or local health,law
enforcement, or other appropriate agency;
employee will ---
g. Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs a. thru f.
2. Sites for Work Performance. The Applicant shall list(on separate pages)the site(s)for the performance of work done in connection with the
HUD funding of the program/activity shown above: Place of Performance shall include the street address, city, county, State, and zip code.
Identify each sheet with the Applicant name and address and the program/activity receiving grant funding.)
Check here if there are workplaces on file that are not identified on the attached sheets.
I hereby certify that all the information stated herein,as well as any information provided in the accompaniment herewith,is true and accurate.
Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil penalties.
(18 U.S.C.1001,1010,1012; 31 U.S.C.3729,3802)
Name of Authorized Officials , Title
_ Signature Date
form HUD-50070(3/98)
ref.Handbooks 7417.1,7475.13,7485.1&.3
•
Applicant Assurances U.S. Department of Housing OMB Approval No.2501-0017
and Certifications
and Urban Development (expires 03/3112011)
Instructions for the HUD-424-B Assurances and Certifications
As part of your application for HUD funding,you,as the official authorized to sign on behalf of your organization
or as an individual must provide the following assurances and certifications. By submitting this form,you are stating that to the
best of your knowledge and belief,all assertions are true and correct.
As the duly authorized representative of the applicant,I certify that the 5. Will comply with the acquisition and relocation
applicant[Insert below the me and title of the Authorized Representative, requirements of the Uniform Relocation Assistance
name of do n date of signature]: and Real Property Acquisition Policies Act of 1970,
Name: ,Title: as amended(42 U.S.C.4601)and implementing
Organization: ,Date: regulations at 49 CFR Part 24 and 24 CFR 42,
1. Has the legal autho'ty o apply for Federal assistance,has the Subpart A.
institutional,manage!al and financial capability(including funds to pay 6. Will comply with the environmental
the non-Federal share of program costs)to plan,manage and complete requirements of the National Environmental
the program as described in the application and the governing body Policy Act(42 U.S.C.4321 et seq.)and related
has duly authorized the submission of the application,including these Federal authorities prior to the commitment or
assurances and certifications,and authorized me as the official expenditure of funds for property acquisition and
representative of the applicant to act in connection with the application physical development activities subject to
and to provide any additional information as may be required. implementing regulations at 24 CFR parts 50 or 58.
2. Will administer the grant in compliance with Title VI of the Civil Rights 7. That no Federal appropriated funds have been
Act of 1964(42 U.S.C.2000(d))and implementing regulations(24 CFR paid,or will be paid,by or on behalf of the applicant,
Part 1),which provide that no person in the United States shall,on the to any person for influencing or attempting to
grounds of race,color or national origin,be excluded from participation influence an officer or employee of any agency,a
in,be denied the benefits of,or otherwise be subjected to discrimination Member of Congress,and officer or employee of
under any program or activity that receives Federal financial assistance Congress,or an employee of a Member of Congress,
OR if the applicant is a Federally recognized Indian tribe or its tribally in connection with the awarding of this Federal grant
designated housing entity,is subject to the Indian Civil Rights Act or its extension,renewal,amendment or modification.
(25 U.S.C.1301-1303). If funds other than Federal appropriated funds have
3. Will administer the grant in compliance with Section 504 of the or will be paid for influencing or attempting to
Rehabilitation Act of 1973(29 U.S.C.794),as amended,and implement- influence the persons listed above,I shall complete
ing regulations at 24 CFR Part 8,and the Age Discrimination Act of 1975 and submit Standard Form-LLL,Disclosure Form to
(42 U.S.C.6101-07),as amended,and implementing regulations at 24 Report Lobbying. I certify that I shall require all sub
CFR Part 146 which together provide that no person in the United States awards at all tiers(including sub-grants and contracts)
shall,on the grounds of disability or age,be excluded from participation to similarly certify and disclose accordingly.
in,be denied the benefits of,or otherwise be subjected to discrimination Federally recognized Indian Tribes and tribally
under any program or activity that receives Federal financial assistance; designated housing entities(TDHEs)established by
except if the grant program authorizes or limits participation to designat- Federally-recognized Indian tribes as a result of the
ed populations,then the applicant will comply with the nondiscrimination exercise of the tribe's sovereign power are excluded
requirements within the designated population. from coverage by the Byrd Amendment,but State-
4. Will comply with the Fair Housing Act(42 U.S.C.3601-19),as recognized Indian tribes and TDHEs established
amended,and the implementing regulations at 24 CFR Part 100,which under State law are not excluded from the statute's
prohibit discrimination in housing on the basis of race,color,religion, coverage.
sex,disability,familial status,or national origin;except an applicant These certifications and assurances are material
which is an Indian tribe or its instrumentality which is excluded by representations of the fact upon which HUD can rely
statute from coverage does not make this certification;and further when awarding a grant. If it is later determined that,
except if the grant program authorizes or limits participation I the applicant,knowingly made an erroneous
to designated populations,then the applicant will comply with the certification or assurance,I may be subject to
nondiscrimination requirements within the designated population. criminal prosecution. HUD may also terminate the
grant and take other available remedies.
form HUD-424-B(02/2004)
/4/
NO. Z .9f
Resolution by
Res. that as recommended by the Mayor, the
Contributions Agreement between the Omaha
Human Rights and Relations Department and
the U.S. Department of Housing and Urban
Development for reimbursement for processing
housing discrimination complaints arising
within its jurisdiction for HUD for the time
period of October 1, 2013, to September 30,
2014,and in the amount of$77,214.00 attached
hereto as Exhibit"A", is hereby approved.
p:\LAW-COUNCIL DOCUMENTS\2013\20050vij
Presented to City Council
SPP..2. 4 2013
Adopted 7 -o
gaiter gown
City Clerk