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that class or who is the authorized (e) Complaint processing procedures. representative of a member of that After acknowledging receipt of a comclass may file a complaint with the re- plaint, the responsible civil rights offisponsible civil rights official,

cial will immediately initiate com(2) Confidentiality. The responsible plaint processing procedures. civil rights official shall hold in confi. (1) Preliminary investigation. dence the identity of any person sub- (i) Within twenty (20) calendar days mitting a complaint, unless the person of acknowledgement of the complaint, submits written authorization other- the responsible civil rights official will wise, and except to the extent neces

review the complaint for acceptance, sary to carry out the purposes of this rejection, or referral to the appropripart, including the conduct of any in

ate Federal agency. vestigation, hearing, or proceeding

(ii) If the complaint is accepted, the under this part.

responsible civil rights official will (3) When to file. Complaints shall be

notify the complainant and the award filed within 180 days of the alleged act

official. The responsible civil righs ofof discrimination, unless the responsi

ficial will also notify the applicant or ble civil rights official waives this time

recipient complained against of the allimit for good cause shown. For pur

legations and give the applicant or reposes of determining when a

cipient an opportunity to make a writplaint is filed under this paragraph, a

ten submission responding to, rebutcomplaint mailed to the Department ting, or denying the allegations raised shall be deemed filed on the date it is

in the complaint. postmarked. Any other

(iii) The party complained against

complaint shall be deemed filed on the date it is

may send the responsible civil rights received by the Department.

official a response to the notice of

complaint within thirty (30) calendar (4) Where to file complaints. Com

days of receiving it. With leave of the plaints may be filed by mail with the Office of Fair Housing and Equal Op

responsible civil rights official, an

answer may be amended at any time. portunity, Department of Housing and

The responsible civil rights official Urban Development, Washington, DC

will permit answers to be amended for 20410, or any Regional or Field Office

good cause shown. of the Department.

(2) Informal resolution. In accord(5) Contents of complaints. Each

ance with paragraph (j) of this seccomplaint should contain the com

tion, the responsible civil rights offiplainant's name and address, the name

cial shall attempt to resolve comand address of the recipient alleged to

plaints informally whenever possible. have violated this part, and a descrip- (f) Dismissal of complaint. If the intion of the recipient's alleged discrimi.

vestigation reveals no violation of this natory action in sufficient detail to

part, the responsible civil rights offical inform the Department of the nature will dismiss the complaint and notify and date of the alleged violation of

the complainant and recipient. this part.

(g) Letter of findings. If an informal (6) Amendments of complaints. Com- resolution of the complaint is not plaints may be reasonably and fairly reached the responsible civil rights ofamended at any time. Amendments to ficial or his or her designee shall, complaints such as clarification and within 180 days of receipt of the comamplification of allegations in a com- plaint, notify the recipient and the plaint or the addition of other recipi- complainant (if any) of the results of ents may be made at any time during the investigation in a letter sent by the pendency of the complaint and certified mail, return receipt requestany amendment shall be deemed to be ed, containing the following: made as of the original filing date.

(1) Preliminary findings of fact and (d) Notification. The responsible a preliminary finding of compliance or civil rights official will notify the com- noncompliance; plainant and the recipient of the agen- (2) A description of an appropriate cy's receipt of the complaint within remedy for each violation believed to ten (10) calendar days.

exist;

(3) A notice that a copy of the Final of processing. A matter may be reInvestigative Report of the Depart. solved by informal means at any time. ment will be made available, upon re- If a letter of findings making a prelimquest, to the recipient and the com- inary finding of noncompliance is plainant (if any); and

issued, the responsible civil rights offi(4) A notice of the right of the recip- cial shall attempt to resolve the ient and the complainant (if any) to matter by informal means. request a review of the letter of find

(2) Objectives of informal resoluings by the reviewing civil rights offi- tion/voluntary compliance. In atcial.

tempting informal resolution, the re(h) Right to review of the letter of sponsible civil rights official shall atfindings. (1) A complainant or recipi

tempt to achieve a just resolution of ent may request that a complete the matter and to obtain assurances review be made of the letter of find

where appropriate, that the recipient ings within 30 days of receipt, by mail- will satisfactorily remedy any violaing or delivering to the reviewing civil tions of the rights of any complainant rights official, Office of Fair Housing

and will take such action as will assure and Equal Opportunity, Washington,

the elimination of any violation of this DC 20410, a written statement of the

part or the prevention of the occurreasons why the letter of findings rence of such violation in the future. should be modified in light of supple- The terms of such an informal resolumentary information.

tion shall be reduced to a written vol(2) The reviewing civil rights official untary compliance agreement, signed shall send by certified mail, return re

by the recipient and the responsible ceipt requested, a copy of the request civil rights official, and be made part for review to the other party, if any. of the file for the matter. Such volunSuch other party shall have 20 days to

tary compliance agreements shall seek respond to the request for review.

to protect the interests of the com(3) The reviewing civil rights official plainant (if any), other persons simishall either sustain or modify the

lary situated, and the public interest. letter of findings within 60 days of the

(k) Intimidatory or retaliatory acts request for review. The reviewing civil

prohibited. No recipient or other rights official's decision shall consti

person shall intimidate, threaten, tute the formal determination.

coerce, or discriminate against any (4) If neither party requests that the

person for the purpose of interfering letter of findings be reviewed, the re

with any right or privilege secured by sponsibile civil rights official shall,

this part, or because he or she has within fourteen (14) calendar days of

made a complaint, testified, assisted, the expiration of the time period in

or participated in any manner in an inparagraph (h)(1) of this section, send

vestigation, proceeding, or hearing a formal written determination of

under this part. The identity of comcompliance or noncompliance to the

plainants shall be kept confidential recipient and copies to the award offi

except to the extent necessary to cial.

carry out the purposes of this part, in(i) Voluntary compliance time

cluding the conduct of investigation, limits. The recipient will have ten (10)

hearing or judicial proceeding arising calendar days from receipt of the

thereunder. formal determination of noncompliance within which to come into volun. (53 FR 20233, June 2, 1988; 53 FR 28115. tary compliance. If the recipient fails July 26, 1988; 53 FR 34634, Sept. 7, 1988) to meet this deadline, HUD shall proceed under g 8.57.

8 8.57 Procedure for effecting compliance. (j) Informal resolution/voluntary (a) General. If there appears to be a compliance-(1) General. It is the failure or threatened failure to comply policy of the Department to encourage with this part and if the noncompli. the informal resolution of matters. ance or threatened noncompliance The responsible civil rights official cannot be corrected by informal may attempt to resolve a matter means, compliance with this part may through informal means at any stage be effected by the suspension or termi.

nation of or refusal to grant or to con. action to suspend or terminate, or to tinue Federal financial assistance, or refuse to grant or to continue Federal by other means authorized by law. financial assistance shall be limited to Such other means may include, but the particular political entity, or part are not limited to:

thereof, or other applicant or recipient (1) A referral to the Department of as to whom such a finding has been Justice with a recommendation that made and shall be limited in its effect appropriate proceedings be brought to to the particular program, or part enforce any rights of the United thereof, in which such noncompliance States under any law of the United has been so found. States, or any assurance or other con- (d) Notice to State or local governtractual undertaking;

ment. Whenever the Secretary deter(2) The initiation of debarment pro- mines that a State or unit of general ceedings pursuant to part 24 of this

local government which is a recipient title; and

of Federal financial assistance under (3) Any applicable proceeding under

title I of the Housing and Community State or local law.

Development Act of 1974, as amended (b) Noncompliance with 8 8.50. If an (42 U.S.C. 5301-5318) has failed to applicant or a recipient of assistance

comply with a requirement of this under a contract which is extended or

part with respect to a program or acamended on or after July 11, 1988,

tivity funded in whole or in part with fails or refuses to furnish an assurance

such assistance, the Secretary shall required under $ 8.50 or otherwise fails

notify the Governor of the State or or refuses to comply with the require

the chief executive officer of the unit ments imposed by that section, Feder

of general local government of the al financial assistance may be refused

noncompliance and shall request the under paragraph (c) of this section.

Governor or the chief executive offiThe Department is not required to

cer to secure compliance. The notice provide assistance during the penden

shall be given at least sixty days cy of the administrative proceeding

before: under such paragraph (c), except where the assistance is due and pay.

(1) An order suspending, terminatable under a contract approved before

ing, or refusing to grant or continue

Federal financial assistance becomes July 11, 1988. (c) Termination of or refusal to

effective under paragraph (c) of this

section; or grant or to continue Federal financial assistance. No order suspending, ter

(2) Any action to effect compliance minating, or refusing to grant or con

by any other means authorized by law tinue Federal financial assistance shall

is taken under paragraph (a) of this become effective until:

section. (1) The responsible civil rights offi

(e) Other means authorized by law. cial has advised the applicant or recip

No action to effect compliance by any lent of its failure to comply and has

other means authorized by law shall determined that compliance cannot be

be taken until: secured by voluntary means;

(1) The responsible civil rights offi. (2) There has been an express find

cial has determined that compliance ing on the record, after opportunity

cannot be secured by voluntary means; for hearing, of a failure by the appli- (2) The recipient or other person has cant or recipient to comply with a re- been notified of its failure to comply quirement imposed under this part; and of the action to be taken to effect

(3) The action has been approved by compliance; and the Secretary; and

(3) At least 10 days have elapsed (4) The expiration of 30 days after since the mailing of such notice to the the Secretary has filed with the com- applicant or recipient. During this mittees of the House and Senate period, additional efforts shall be having legislative jurisdiction over the made to persuade the applicant or reprogram or activity involved a full cipient to comply with this part and to written report of the circumstances take such corrective action as may be and the grounds for such action. Any appropriate.

341-178 093

However, this paragraph shall not be judge designated in accordance with 5 construed to prevent an award official U.S.C. 3105 and 3344. from utilizing appropriate procedures (c) Right to counsel In all proceedand sanctions established under the ings under this section, the applicant program to assure or secure compli- or recipient and the Department shall ance with a specific requirement of have the right to be represented by the program designed to effectuate counsel. the objectives of this part.

(d) Procedures, evidence, and record

(1) The hearing, decision, and any ad(53 FR 20233, June 2, 1988; 53 FR 28115, July 26, 1988)

ministrative review thereof shall be

conducted in conformity with 5 U.S.C. 8 8.58 Hearings.

554-557 and in accordance with sub(a) Opportunity for hearing. When- duct of the hearing, giving of notices

part E of this part relating to the conever an opportunity for a hearing is

subsequent to those provided for in required by $ 8.57(c), reasonable notice

paragraph (a) of this section, taking of shall be given by registered or certi

testimony, exhibits, arguments and fied mail, return receipt requested, to

briefs, requests for findings, and other the affected applicant or recipient. related matters. Both the Department This notice shall advise the applicant and the applicant or recipient are entior recipient of the action proposed to

tled to introduce all relevant evidence be taken, the specific provision under on the issues as stated in the notice which the proposed action against it is

for hearing or as determined by the to be taken, and the matters of fact or

administrative law judge conducting law asserted as the basis for this

the hearing. action. The notice shall:

(2) Technical rules of evidence shall (1) Fix a date not less than 20 days

not apply to hearings conducted under after the date of the notice for the ap- this part. Rules or principles designed plicant or recipient to request the ad

to assure production of the most crediministrative law judge to schedule a ble evidence available and to subject hearing, or

testimony to test by cross-examination (2) Advise the applicant or recipient shall be applied by the administrative that the matter has been scheduled law judge conducting the hearing for hearing at a stated time and place. where reasonably necessary. The adThe time and place so fixed shall be ministrative law judge may exclude irreasonable and shall be subject to relevant, immaterial, or unduly repetichange for cause. The complainant, if tious evidence. All documents and any, shall be advised of the time and other evidence offered or taken for place of the hearing. An applicant or the record shall be open to examinarecipient may waive a hearing and tion by the Department and the applisubmit written information and argu- cant or recipient, and opportunity ment for the record. The failure of an shall be given to refute facts and arguapplicant or recipient to request a

ments advanced on either side of the hearing under this paragraph or to issues. A transcript shall be made of appear at a hearing for which a date the oral evidence except to the extent has been set is a waiver of the right to the evidence is stipulated for the a hearing under $ 8.57(c) and consent record. All decisions shall be based to the making of a decision on the upon the hearing record and written basis of available information.

findings shall be made. (b) Time and place of hearing. Hear- (e) Consolidated or joint hearings. ings shall be held at the offices of the In cases in which the same or related Department in Washington, DC, at a facts are asserted to constitute nontime fixed by the administrative law compliance with this part with respect judge unless the administrative law to two or more programs or activities judge determines that the convenience to which this part applies, or noncomof the applicant or recipient or of the pliance with this part and the regulaDepartment requires that another tions of one or more other Federal deplace be selected. Hearings shall be partments or agencies, the Secretary held before an administrative law may, by agreement with such other departments or agencies, where appli- waived under $ 8.58(a)(2), the decision cable, provide for consolidated or joint of an administrative law judge shall be hearings, and for the application to based on the record. A copy of such such hearings of rules of procedure decision shall be given in writing to consistent with this part. Final deci- the applicant or recipient, and to the sions in such cases shall be made in ac- complainant by certified or registered cordance with $ 8.59.

mail, return receipt requested. $8.59 Decisions and notices.

(d) Rulings required. Each decision

of an administrative law judge shall (a) Decision by person other than the rule on each finding, conclusion, or exSecretary. The administrative law

ception presented. The decision shall judge shall make an initial decision, if

identify any requirements, if any, im. 80 authorized, or shall certify the

posed under this part with which the entire record including recommended

applicant or recipient has falled to findings and a proposed decision to

comply. the Secretary for a final decision and

(e) Content of orders. The final deci. shall mail a copy of the initial decision

sion may provide for suspension or teror certification to the applicant or re

mination of, or refusal to grant or concipient by certified or registered mall,

tinue, Federal financial assistance, in return receipt requested. Where the

whole or in part, to the involved proinitial decision is made by the adminis

gram or activity. The final decision trative law judge, the applicant or re

may contain such terms, conditions, cipient may, within the period provid

and other provisions as are consistent ed for in subpart E of this part, file

with and will effectuate the purposes with the Secretary exceptions to the

of this part, including provisions deinitial decision, with reasons therefor.

signed to assure that no Federal finanIn the absence of exceptions, the Sec

cial assistance will be extended for the retary may, within 45 days after the initial decision, serve on the applicant recipient determined to be in default

program or activity to the applicant or or recipient and complainant (if any) a

in its performance of an assurance notice that the Secretary will review the decision. Upon the filing of excep

given by it pursuant to this part, or to

have otherwise failed to comply with tions or service of a notice of review, the Secretary shall review the initial

this part, unless and until the applidecision and issue a decision thereon

cant or recipient corrects its noncom

pliance and satisfies the Secretary including the reasons therefor. In the absence of exceptions or & notice of

that it will fully comply with this part. review, the initial decision is the final

(f) Posttermination proceedings. (1) decision of the Secretary. A copy shall

Any applicant or recipient adversely also be sent to the complainant (if

affected by an order issued under any).

paragraph (e) of this section shall be (b) Decisions on record or review by

restored to full eligibility to receive the Secretary. When a record is certi. Federal financial assistance if it satisfied to the Secretary for decision, the

fies the terms and conditions of that Secretary reviews the decision of an order for such eligibility or if it brings administrative law judge under para

itself into compliance with this part graph (a) or (c) of this section, or the and provides reasonable assurance administrative law judge conducts a

that it will fully comply with this part. hearing. the applicant or recipient (2) Any applicant or recipient adshall be given reasonable opportunity versely affected by an order entered to mie briefs or other written state- under paragraph (e) of this section ments of its contentions. A copy of the may at any time request the Secretary final decision of the Secretary shall be to restore fully its eligibility to receive given in writing to the applicant or re- Federal financial assistance. Any such ciplent, and to the complainant, if any, request shall be supported by informaby certified or registered mall, return tion showing that the applicant or rereceipt requested.

cipient has met the requirements of (c) Decisions on record where a hear paragraph (f)(1) of this section. If the ing is waived. When a hearing is Secretary determines that those re

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