8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2AKC-A (Format 1-3)

Title: Title VIII of the Civil Rights Act of 1968

Executive Order 11063

Status Summary of Open Complaints

Purpose: To provide for each region a summary of the status of the

Title VIII and EO 11063 complaint workload and a detail

analysis of the status of open complaints.

Source Document: HUD 930.1A - Regional Monthly Status Summary

of Complaints Received - Title VIII of the CRA

of 1968 and Executive Order 11063.

Definition of Stub Items:

1\. RECEIVED

Total number of complaints with an Authority Code of 200

or 260 and a Received date which is within the period

specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of complaints with an Authority Code of 200

or 260, a Received date which is earlier than the beginning

of the period specified in the title, and a Closed date

which is blank or on or after the beginning of the period

specified in the title.

3\. COMPLAINTS RE-OPENED

Total number of complaints with an Authority Code of 200

or 260, a Received date which is within the period specified

in the title, and a \"1\" or \"2\" in the Special Indicator field.

4\. AWAITING ASSIGNMENT TO INVESTIGATION

Total number of open complaints with an Authority Code of 200

or 260, which are not at a state or local agency, and which

have an Assigned To Investigation field which contains a blank

or a date later than the end of the period specified in the

title.

Note A: A complaint is open if the Received date is earlier

than the end of the period specified in the title and

the Closed date is blank or later than the end of the

period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 1 8/80

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Note B: A complaint is defined as \"not at a state or local

agency\" if a) the Referral date is blank or later

than the end of the period specified in the title

or b) the Referral date is not blank and the

Recalled date is not later than the end of the

period specified in the title.

5\. AWAITING INVESTIGATION

Total number of open complaints with an Authority Code of 200

or 260, which are not at a state or local agency, which

have an Assigned To Investigation date which is not later

than the end of the period specified in the title, and which

have an Investigation Commenced field which is blank or

later than the end of the period specified in the title.

6\. AWAITING INVESTIGATION MORE THAN 30 DAYS

Total number of open complaints with an Authority Code of 200

or 260, which are not at a state or local agency, which

are awaiting investigation as defined in 5 above, and which

have a Received date which is more than 30 days earlier than

the end of the period specified in the title.

7\. AWAITING INVESTIGATION MORE THAN 90 DAYS

Total number of open complaints with an Authority Code of 200

or 260, which are not at a state or local agency, which are

awaiting investigation as defined in 5 above, and which have

a Received date which is more than 90 days earlier than the

end of the period specified in the title.

8\. UNDER INVESTIGATION

Total number of open complaints with an Authority Code of 200

or 260, which are not at a state or local agency, which

have a date in Investigation Commenced which is not later than

the end of the period specified, and which have no date in

Investigation Completed as of the end of the period specified

in the title.

9\. UNDER INVESTIGATION MORE THAN 30 DAYS

Total number of complaints under investigation as defined in 8

above which have an Investigation Commenced date which is more

than 30 days earlier than the end of the period specified in

the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 2

HUD-Wash., D. C.

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8000.2

APPENDIX 3

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10\. UNDER INVESTIGATION MORE THAN 90 DAYS

Total number of complaints under investigation as defined in 8

above which have an Investigation Commenced date which is more

than 90 days earlier than the end of the period specified in

the title.

11\. INVESTIGATION COMPLETED

Total number of complaints with an Authority Code of 200

or 260, which have an Investigation Completed date which

is within the range of the period specified in the title.

12\. INVESTIGATION COMPLETED IN 30 DAYS

Total number of investigation completed as defined in 11 above

and which have an Investigation Completed date which is no

more than 30 days later than the Received date.

13\. NUMBER OF DETERMINATIONS TO RESOLVE BY DIRECTOR, REGIONAL/FHEO

Total number of complaints with an Authority Code of 200

or 260 which have a date in the Determination by Director,

Regional/FHEO field that falls within the period specified in

the title, and have a \"1\" in the Resolution Code.

14\. NUMBER OF DETERMINATIONS NOT TO RESOLVE BY DIRECTOR, REGIONAL/FHEO

Total number of complaints with an Authority Code of 200 or

260 which have a date in the Determination by Director,

Regional/FHEO field that falls within the period specified in the

title, and which have a \"2\" in the Resolution Code.

15\. AWAITING CONCILIATION

Total number of open complaints with an Authority Code of 200

or 260, not at a State or local agency which have a) a date

in Determination by Director, REGIONAL/FHEO which is not later

than the end of the period specified in the title and b) no date

in Conciliation Commenced or whose Conciliation Commenced date is

later than the end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 3 8/80

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8000.2

APPENDIX 3

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16\. IN CONCILIATION MORE THAN 30 DAYS

Total number of open complaints with an Authority Code of 200

or 260 which have a Conciliation Commenced date that is not

later than the end of the period specified in the title, and

no Conciliation Completed date as of the end of the period

specified, and which have a Conciliation Commenced date that is more

than 30 days earlier than the end of the period specified in

the title.

17\. CONCILIATION COMPLETED

Total number of complaints with an Authority Code of 200

or 260 which have a Conciliation Completed date which falls

within the period specified in the title.

18\. REFERRED TO STATE/LOCAL AGENCIES

Total number of complaints with an Authority Code of 200

or 260 which have a Referral date which falls within the

period specified in the title.

19\. OPEN AT REFERRAL AGENCIES

Total number of open complaints with an Authority Code of 200

or 260 which have a) a Referral date which is not later than

the end of the period specified in the title and b) no Recalled

date on a Recalled date which is later than the end of the

period specified in the title.

20\. OPEN AT REFERRAL AGENCIES 30-59 DAYS

Total number of complaints open at referral agencies as defined

in 19 above and which have a Referral date which is 30 to 59 days

earlier than the end of the period specified in the title.

21\. 30-DAY STATUS CHECKS MADE

Total number of complaints with an Authority Code of 200

or 260 which have a 30-Day Status Check date which is within

the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 4

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8000.2

APPENDIX 3

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22\. OPEN AT REFERRAL AGENCIES 60-89 DAYS

Total number of complaints open at referral agencies as defined

in 19 above and which have a Referral date which is 60-89 days

earlier than the end of the period specified in the title.

23\. 60-DAY STATUS CHECKS MADE

Total number of complaints with an Authority Code of 200

or 260 which have a 60-Day Status Check date which is within

the period specified in the title.

24\. OPEN AT REFERRAL AGENCIES 90 DAYS (OR MORE)

Total number of complaints open at referral agencies as

defined in 19 above and which have a Referral date which is 90

days or more earlier than the end of the period specified in

the title.

25\. 90-DAY STATUS CHECKS MADE

Total number of complaints with an Authority Code of 200

or 260 which have a 90-Day Status Check date which is within

the period specified in the title.

26\. COMPLAINTS RECALLED

Total number of complaints with an Authority Code of 200

or 260 which have a Recalled date which falls within the

period specified in the title.

27\. COMPLAINTS CLOSED

Total number of complaints with an Authority Code of 200 or 260

which have a Closed date which is within the period specified

in the title.

28\. OPEN AT END OF PERIOD

Total number of complaints with an Authority Code of 200 or

260 which have a Received date which is not later than the end

of the period specified in the title and which have no Closed

date or a Closed date which is later than the end of the period

specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 5 8/80

HUD-Wash., D. C.

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8000.2

APPENDIX 3

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Report Identification EO2ALC - A (Format 1-4)

Title: Title VIII of the Civil Rights Act of 1968

Summary of Closed Complaints

Purpose: To provide for each region a detailed analysis of Title VIII

and EO 11063 complaint closure activity

Source Document: HUD 930.1A - Regional Monthly Status Summary of

Complaints Received - Title VIII of the CRA of 1968 and

Executive Order 11063.

Definition of Stub Items:

1\. COMPLAINTS CLOSED (TOTAL)

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the

title.

2\. BY HUD (TOTAL)

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the

title and a \"1\" in the leftmost position of Closing Code.

3\. USING ACCELERATED PROCESSING

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the

title and a \"4\" in the leftmost position of Closing Code.

4\. BY STATE/LOCAL AGENCIES

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the

title and a \"2\" or \"3\" in the leftmost position of Closing Code.

5\. HUD CLOSURES BY LAST PROCESSING STAGE COMPLETED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the

title, a \"1\" or \"4\" in the leftmost position of Closing Code,

and which contain the following values in the second position

of Closing Code:

a\. PRIOR TO ASSIGNMENT TO INVESTIGATION - \"1\"

b\. PRIOR TO COMMENCEMENT OF INVESTIGATION - \"2\"

c\. PRIOR TO COMPLETION OF INVESTIGATION - \"3\"

d\. PRIOR TO DETERMINATION (FIR) - \"4\"

e\. PRIOR TO DETERMINATION (NO FIR) - \"5\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 6

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8000.2

APPENDIX 3

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f\. PRIOR TO COMMENCEMENT OF CONCILIATION - \"6\"

g\. PRIOR TO COMPLETION OF CONCILIATION - \"7\"

h\. AFTER COMPLETION OF CONCILIATION - \"8\"

6\. HUD CLOSURES BY TYPE OF CLOSURE

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a, \"1\" or \"4\" in the leftmost position of Closing Code, and which

contain the following values in the two rightmost positions of

Closing Code:

a\. DISMISSED LACK OF JURISDICTION - \"11\"

b\. JURISDICTION TRANSFERRED TO TITLE VI - \"12\"

c\. TRANSFERRED TO EO 11063 - \"13\"

d\. TRANSFERRED TO OTHER AUTHORITY - \"14\"

e\. TRANSFERRED TO OTHER REGION - \"15\"

f\. TITLE IX, REFERRAL TO JUSTICE - \"16\"

g\. SUBTOTAL

Total number of complaints contained in a through f above

h\. CANNOT LOCATE COMPLAINANT - \"21\"

i\. FAILED TO FURNISH INFORMATION - \"22\"

j\. WITHDRAWN WITHOUT RESOLUTION - \"23\"

k\. WITHDRAWN AFTER RESOLUTION - \"24\"

l\. REQUESTED CLOSURE-COURT ACTION PLANNED - \"25\"

m\. UNABLE TO IDENTIFY RESPONDENT - \"26\"

n\. SUBTOTAL

Total number of complaints contained in h through m above

o\. ALLEGATION NOT SUPPORTED - \"31\"

P. RECOMMENDED REFERRAL TO JUSTICE (PATTERN OR PRACTICE) - \"41\"

q\. RECOMMENDED REFERRAL TO JUSTICE (OTHER) - \"42\"

r\. REFERRED TO HEADQUARTERS (OTHER) - \"43\"

s\. SUBTOTAL

Total number of complaints contained in o through r above

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 7 8/80

HUD-Wash., D. C.

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

7\. HUD CONCILIATION EFFORTS (TOTAL)

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\" or \"4\" in the leftmost position of Closing Code, and which

contain the following values in the two rightmost positions of

Closing Code:

a\. SUCCESSFUL, AGREEMENT WITH FOLLOW-UP - \"55\"

b\. SUCCESSFUL, NO FOLLOW-UP - \"56\"

c\. SUCCESSFUL, NO AGREEMENT BUT WITH FOLLOW-UP - \"57\"

d\. SUCCESSFUL, NO AGREEMENT, NO FOLLOW-UP - \"58\"

e\. SUBTOTAL

Total number of complaints contained in a through d above

f\. UNSUCCESSFUL, COURT ACTION - \"51\"

g\. UNSUCCESSFUL, RECOMMENDED REFERRAL TO JUSTICE - \"52\"

h\. UNSUCCESSFUL, OTHER ACTION - \"53\"

i\. UNSUCCESSFUL, NO FURTHER ACTION - \"54\"

j\. SUBTOTAL

Total number of complaints contained in f through i above

8\. CASES IN WHICH RELIEF WAS OBTAINED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\" or \"4\" in the leftmost position of Closing Code, and a \"1\",

\"2\", \"3\", \"4\", \"5\", \"6\", \"7\", or \"8\" in Relief Code.

9\. CONCILIATION BUT NO RELIEF

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\" or \"4\" in the leftmost position of Closing Code, a \"55\",
\"56\",

\"57\", or \"58\", in the two rightmost positions of Closing Code, and

a zero or blank in Relief Code.

10\. SUMMARY OF RELIEF OBTAINED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\" or \"4\" in the leftmost position of Closing Code, and which

contain the following values in Relief Code:

a\. HOUSING, CONTESTED UNIT - \"1\", \"5\", \"6\", or \"8\"

b\. HOUSING, FOR OTHER MINORITY - \"2\"

c\. AFFIRMATIVE ACTION - \"3\", \"5\", \"7\" or \"8\"

d\. OTHER RELIEF - \"4\", \"6\", \"7\", or \"8\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 8

HUD-Wash., D. C.

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8000.2

APPENDIX 3

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11\. MONETARY COMPENSATION AWARDED

Sum of the dollar values contained in the Compensation field of

those complaints with an Authority Code of 200 or 260, which

have a Closed date within the period specified in the title,

and a \"1\" or \"4\" in the leftmost position of Closing Code.

12\. REFERRAL AGENCY CONCILIATION EFFORTS

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"2\" or \"3\" in the leftmost position of Closing Code, and which

contain the following values in the two rightmost positions of

Closing Code:

a\. SUCCESSFUL, AGREEMENT WITH FOLLOW-UP - \"55\"

b\. SUCCESSFUL, NO FOLLOW-UP - \"56\"

c\. SUCCESSFUL, NO AGREEMENT BUT WITH FOLLOW-UP - \"57\"

d\. SUCCESSFUL, NO AGREEMENT, NO FOLLOW-UP - \"58\"

e\. SUBTOTAL

Total number of complaints contained in a through d above

f\. UNSUCCESSFUL, COURT ACTION - \"51\"

g\. UNSUCCESSFUL, RECOMMENDED REFERRAL TO JUSTICE - \"52\"

h\. UNSUCCESSFUL, OTHER ACTION - \"53\"

i\. UNSUCCESSFUL, NO FURTHER ACTION - \"54\"

j\. SUBTOTAL

Total number of complaints contained in f through i above

13\. CASES IN WHICH RELIEF WAS OBTAINED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"2\" or \"3\" in the leftmost position of Closing Code, and a \"1\",

\"2\", \"3\", \"4\", \"5\", \"6\", \"7\", or \"8\" in Relief Code.

14\. CONCILIATION BUT NO RELIEF

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"2\" or \"3\" in the leftmost position of Closing Code, a \"55\",

\"56\", \"57\", or \"58\" in the two rightmost positions of Closing

Code, and a zero or blank in Relief Code.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 9 8/80

HUD-Wash., D. C.

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8000.2

APPENDIX 3

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15\. SUMMARY OF RELIEF OBTAINED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"2\" or \"3\" in the leftmost position of Closing Code, and which

contain the following values in Relief Code:

a\. HOUSING, CONTESTED UNIT - \"1\", \"5\", \"6\", or \"8\"

b\. HOUSING, FOR OTHER MINORITY - \"2\"

c\. AFFIRMATIVE ACTION \"3\", \"5\", \"7\", or \"8\"

d\. OTHER RELIEF - \"4\" \"6\", \"7\", or \"8\"

16\. MONETARY COMPENSATION AWARDED

Sum of the dollar value contained in the Compensation field of

those complaints with an Authority Code of 200 or 260, which have

a Closed date within the period specified in the title, and a \"1\"

or \"4\" in the leftmost position of Closing Code.

17\. TOTAL CONCILIATION EFFORTS

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\", \"2\", \"3\", or \"4\" in the leftmost position of Closing
Code,

and which contain the following values in the two rightmost

positions of Closing Code:

a\. SUCCESSFUL, AGREEMENT WITH FOLLOW-UP - \"55\"

b\. SUCCESSFUL, NO FOLLOW-UP - \"56\"

c\. SUCCESSFUL, NO AGREEMENT BUT WITH FOLLOW-UP - \"57\"

d\. SUCCESSFUL, NO AGREEMENT, NO FOLLOW-UP - 58\"

e\. SUBTOTAL

Total number of complaints contained in a through d above

f\. UNSUCCESSFUL, COURT ACTION - \"51\"

g\. UNSUCCESSFUL, RECOMMENDED REFERRAL TO JUSTICE - \"52\"

h\. UNSUCCESSFUL, OTHER ACTION - \"53\"

i\. UNSUCCESSFUL, NO FURTHER ACTION - \"54\"

j\. SUBTOTAL

Total number of complaints contained in f through i above

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 10

HUD-Wash., D. C.

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8000.2

APPENDIX 3

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18\. CASES IN WHICH RELIEF WAS OBTAINED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\", \"2\", \"3\", or \"4\" in the leftmost position of Closing
Code,

and a \"1\", \"2\", \"3\", \"4\", \"5\", \"6\", \"7\", or \"8\" in
Relief Code.

19\. CONCILIATION BUT NO RELIEF

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\" or \"4\" in the leftmost position of Closing Code, a \"55\",

\"56\", \"57\", or \"58\" in the two rightmost positions of Closing
Code,

and a zero or blank in Relief Code.

20\. SUMMARY OF RELIEF OBTAINED

Total number of complaints with an Authority Code of 200 or 260,

which have a Closed date within the period specified in the title,

a \"1\", \"2\", \"3\", or \"4\" in the leftmost position of Closing
Code,

and which contain the following values in Relief Code:

a\. HOUSING, CONTESTED UNIT - \"1\", \"5\", \"6\", or \"8\"

b\. HOUSING, FOR OTHER MINORITY - \"2\"

c\. AFFIRMATIVE ACTION - \"3\", \"5\", \"7\", or \"8\"

d\. OTHER RELIEF - \"4\", \"6\", \"7\", or \"8\"

21\. MONETARY COMPENSATION AWARDED

Sum of the dollar value contained in the Compensation field of

those complaints with an Authority Code of 200 or 260, which have

a Closed date within the period specified in the title, and a \"1\",

\"2\" \"3\", or \"4\" in the leftmost position of Closing Code.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2AMC (Format 1-5)

Title: Title VIII of the Civil Rights Act of 1968

Executive Order 11063

Affirmative Fair Housing Marketing Regulation

Status Summary of Compliance Reviews

Purpose: To provide for each region an analysis of compliance review

activity under Title VIII, EO 11063 and AFHM.

Source Document: HUD 930.1B - Regional Monthly Status Summary of

Compliance Reviews - Title VIII of CRA of 1968 and

Affirmative Fair Housing Marketing.

Definition of Stub Items:

1\. OPENED

Total number of compliance reviews by Authority Code which

have a Compliance Review Opened date which is within the

period specified in the title.

2\. REASONS FOR DETERMINATIONS TO REVIEW

Total number of compliance reviews with an Authority Code

of 211, 212, 213, 251, 252, 253, 254 or 261 which have a

Compliance Review Opened date which is within the period

specified in the title and which have the following values

in Determination Code:

a\. REGULARLY SCHEDULED - \"01\"

b\. INITIATED BY COMPLAINT - \"02\"

c\. REQUESTED BY AREA/SERVICE OFFICE - \"03\"

d\. REQUESTED BY DIRECTOR, REGIONAL FHEO, FAILURE TO REPORT

\- \"04\"

e\. REQUESTED BY DIRECTOR, REGIONAL FHEO, AFTER SHOW CAUSE

\- \"05\"

f\. REQUESTED BY DIRECTOR, REGIONAL FHEO, OTHER - \"06\"

g\. REQUESTED BY AS/FHEO - \"07\"

3\. ON HAND BEGINNING OF PERIOD

Total number of compliance reviews by Authority Code which

have a Compliance Review Opened date which is earlier than

the beginning of the period specified in the title, and a

Closed date which is blank or on or after the beginning of

period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 12

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. FOLLOW-UP MEETINGS CONDUCTED

Total number of compliance reviews with a Follow-up

Meeting date which falls within the period specified in the

title.

5\. REVIEWS COMMENCED

Total number of compliance reviews with a Review Commenced

date which falls within the period specified in the title.

6\. UNDER REVIEW MORE THAN 30 DAYS

Total number of compliance reviews with a Compliance Review

Opened date which is earlier than the end of the period specified

in the title, a Closed date which is blank or later than the

end of the period specified in the title, a Review Commenced

date which is not later than the end of the period specified, no

date in Review Completed as of the end of the period specified,

and a Review Commenced date which is more than 30 days earlier

than the end of the period specified in the title.

7\. UNDER REVIEW MORE THAN 60 DAYS

Total number of compliance reviews with a Compliance Review

Opened date which is earlier than the end of the period

specified in the title, a Closed date which is blank or later

than the end of the period specified in the title, a Review

Commenced date which is not later than the end of the period

specified, no date in Review Completed as of the end of the

period specified, and a Review Commenced date which is more

than 60 days earlier than the end of the period specified in

the title.

8\. REVIEWS COMPLETED

Total number of compliance reviews with a Review Completed

date which falls within the period specified in the title.

9\. DETERMINATION BY DIRECTOR, REGIONAL/FHEO

Total number of compliance reviews with a Determination date

which falls within the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

10\. CONCILIATION CONFERENCES COMPLETED

Total number of compliance reviews with a Conciliation

Conference date which falls within the period specified in

the title.

11\. RE-REVIEWS WITHIN TWO YEARS

Total number of compliance reviews with a Date of Last Review

which is no more than two years earlier than the Review

Commenced date.

12\. TITLE VIII:

The following applies to compliance review with an Authority

Code of 211, 212, or 213.

COMPLIANCE REVIEW CLOSED-TOTAL

Total number of Title VIII compliance reviews with a Closed

date within the period specified in the title and the following

values in Closing Code:

a\. NO VIOLATIONS FOUND - \"1100\"

b\. SUCCESSFUL RESOLUTION - \"1200\"

c\. NON-COMPLIANCE, TRANSFER TO OTHER AUTHORITY - \"1300\"

d\. NON-COMPLIANCE, RECOMMENDED REFERRAL TO JUSTICE - \"1400\"

e\. NON-COMPLIANCE, RECOMMENDED FOR SANCTIONS - \"1500\"

f\. NON-COMPLIANCE, OTHER - \"1600\"

g\. COMPLIANCE OBTAINED, NO CORRECTIVE ACTION - \"1700\"

h\. COMPLIANCE OBTAINED, ADDITIONAL CORRECTIVE ACTION - \"1800\"

i\. NON-COMPLIANCE AFTER ATTEMPT TO RECONCILIATE - \"1900\"

13\. AFFIRMATIVE MARKETING:

The following applies to compliance reviews with an Authority

Code of 251, 252, 253, or 254.

COMPLIANCE REVIEWS CLOSED - TOTAL

Total number of Affirmative Marketing compliance reviews

with a Closed date within the period specified in the title

and the following values in Closing Code:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 14

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

a\. NO VIOLATIONS FOUND - \"1100\"

b\. SUCCESSFUL RESOLUTION - \"1200\"

c\. NON-COMPLIANCE TRANSFER TO OTHER AUTHORITY - \"1300\"

d\. NON-COMPLIANCE, RECOMMENDED REFERRAL TO JUSTICE - \"1400\"

e\. NON-COMPLIANCE, RECOMMENDED FOR SANCTIONS - \"1500\"

f\. NON-COMPLIANCE, OTHER - \"1600\"

g\. NON-COMPLIANCE, PLAN ADJUSTMENT - \"2000\"

14\. EO 11063

The following applies to compliance reviews with an Authority

Code of 261.

COMPLIANCE REVIEWS CLOSED - TOTAL

Total number of EO 11063 compliance reviews with a Closed

date within the period specified in the title and the

following values in Closing Code:

a\. NO VIOLATIONS FOUND - \"1100\"

b\. SUCCESSFUL RESOLUTION - \"1200\"

c\. NON-COMPLIANCE, TRANSFER TO OTHER AUTHORITY - \"1300\"

d\. NON-COMPLIANCE, RECOMMENDED REFERRAL TO JUSTICE - \"1400\"

e\. NON-COMPLIANCE, RECOMMENDED FOR SANCTIONS - \"1500\"

f\. NON-COMPLIANCE, OTHER - \"1600\"

15\. OPEN AT END OF PERIOD

Total number of compliance reviews by Authority Code which

have a Compliance Review Opened date which is not later

than the end of the period specified in the title and which

have no Closed date or a Closed date which is later than

the end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 15 8/80

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2ANC (Format 2-1)

Title: Title VI of the Civil Rights Act of 1964

Section 109

Title I of the Housing and Community Development Act of 1974

Status Summary of Complaints

Purpose: To provide for each region an analysis of complaint activity

under Title VI and Section 109.

Source Document: HUD 930.2 - Regional Monthly Status Summary of

Complaints Received and Compliance Reviews Conducted

\- Title VI of the Civil Rights Act of 1964 and Section

109 of the Housing and Community Development Act of

1974\.

Definition of Stub Items:

1\. RECEIVED

Total number of complaints with an Authority Code of 300 or

350 and a Complaint Received date which is within the period

specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of complaints with an Authority Code of 300 or

350, a Complaint Received date which is earlier than the

beginning of the period specified in the title, and no Closed

date or a Closed date which is on or after the beginning of the

period specified in the title.

3\. AWAITING INVESTIGATION

Total number of open complaints with an Authority Code of 300

or 350, and a Investigation Commended On Site date which is

blank or later than the end of the period specified in the title.

NOTE: A complaint is open if the Complaint Received date

is earlier than the end of the period specified in

the title and the Closed date is blank or later than

the end of the period specified in the title.

4\. AWAITING INVESTIGATION MORE THAN 30 DAYS

Total number of complaints awaiting investigation as defined

in 3 above and which have a Complaint Received date which is

more than 30 days earlier than the end of the period specified

in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 16

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. PRELIMINARY REPORT COMPLETED

Total number of complaints with an Authority Code of 300 or

350, which have a Preliminary Report Completed date within

the period specified in the title.

6\. UNDER INVESTIGATION

Total number of open complaints with an Authority Code of 300

or 350, which have an Investigation Commenced On Site date

which is not later than the end of the period specified in

the title and no entry in Preliminary Report Completed as

of the end of the period specified in the title.

7\. UNDER INVESTIGATION MORE THAN 30 DAYS

Total number of complaints under investigation as defined in

6 above and which have an Investigation Commenced On Site date

which is more than 30 days earlier than the end of the

period specified in the title.

8\. INVESTIGATED AND FOUND IN COMPLIANCE

Total number of complaints with an Authority Code of 300 or

350 which have a Preliminary Report Completed date within the

period specified in the title and Closing date which is

within the period specified in the title, and the

Type of Closure contains a \"2\".

9\. INVESTIGATED AND FOUND IN NON-COMPLIANCE

Total number of complaints with an Authority Code of 300

or 350 which have a Preliminary Report Completed date within

the period specified in the title and the 30-Day Notice field

contains a date which is not later than the end of the

period specified in the title.

10\. UNDER NEGOTIATION

Total number of open complaints with an Authority Code of 300

or 350 which have a Negotiations Initiated date which is

not later than the end of the period specified in the title

and a Results of Negotiation which is blank.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

11\. UNDER NEGOTIATIONS MORE THAN 30 DAYS

Total number of complaints under negotiation as defined in

10 above which have a Negotiations Initiated date which is

more than 30 days earlier than the end of the period

specified in the title.

12\. RESULT OF NEGOTIATIONS

Total number of complaints with an Authority Code of 300 or

350, which have a Negotiations Initiated date within the

range of the period specified in the title and the following

values in Results of Negotiations:

a\) COMPLIANCE ACHIEVED - \"1\"

b\) VOLUNTARY PLAN SECURED - \"2\"

c\) FAILED TO COMPLY - \"3\"

d\) INTERIM DEFERRAL - \"4\"

13\. FIR COMPLETED

Total number of complaints with an Authority Code of 300 or

350, and an FIR Completed date which is within the period

specified in the title.

14\. CONSEQUENTIAL DEFERRAL

Total number of complaints with an Authority Code of 300 or

350, and a Deferral date which is within the period specified

in the title.

15\. CLOSED AT REGION (TOTAL)

Total number of complaints with an Authority Code of 300 or

350, which have a Closed date within the period specified

in the title, and which have the following values in Type of

Closure:

a\) LACK OF JURISDICTION - \"1\"

b\) SUBSTANTIAL COMPLIANCE-IN COMPLIANCE - \"2\"

c\) SUBSTANTIAL COMPLIANCE-VOLUNTARY - \"3\"

d\) MATTER TO BE HANDLED UNDER TITLE VIII - \"4\"

e\) MATTER TO BE HANDLED UNDER SECTION 109 - \"5\"

f\) MATTER TO BE HANDLED UNDER EEO CONTRACT CLAUSE - \"6\"

g\) MATTER TO BE HANDLED UNDER OTHER AUTHORITY - \"7\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 18

HUD-Wash., D. C.

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

16\. REFERRED TO HEADQUARTERS (TOTAL)

Total number of complaints with an Authority Code of 300 or

350, which have a Referred TO Headquarters date within the

period specified in the title and which have the following

values in Reason for Headquarters Referral:

a\) ADMINISTRATIVE PROCEDURES - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) FOR ADVICE - \"4\"

17\. FOLLOW-UP, REASON FOR

Total number of complaints with an Authority Code of 300 or 350,

which have a Follow-up date within the period specified in

the title, and which have the following values in the leftmost

position of Type of Follow-up:

a\) MONITORING - \"1\"

b\) AFTER REFERRAL TO HEADQUARTERS - \"2\"

18\. FOLLOW-UP, RESULTS OF (TOTAL)

Total number of complaints with an Authority Code of 300 or

350, which have a Follow-up date within the period specified

in the title, and which have the following values in the

rightmost position of Type of Follow-up:

a\) ADMINISTRATIVE PROCESS - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) FOR ADVICE - \"4\"

e\) IN COMPLIANCE - \"5\"

f\) COMPLIANCE ACHIEVED - \"6\"

g\) INTERIM DEFERRAL - \"7\"

19\. ON HAND AT END OF PERIOD

Total number of complaints with an Authority Code of 300 or

350, which have a Complaint Received date which is not later

than the end of the period specified in the title and which

have no Closed date or a Closed date which is later than the

end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 19 8/80

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2AOC (Format 2-2)

Title: Title VI of the Civil Rights Act of 1964

Section 109

Title I of the Housing and Community Development Act of 1974

Status Summary of Compliance Reviews

Purpose: To provide for each region an analysis of compliance review

activity under Title VI and Section 109

Source Document: HUD 930.2 - Regional Monthly Status Summary of

Complaints Received and Compliance Reviews Conducted

Title VI of the CRA of 1964 and Section 109 of the

Housing and Community Development Act of 1974.

Definition of Stub Items:

1\. OPENED

Total number of compliance reviews with an Authority Code of

310, 320, 330, 340, or 360 and a Compliance Review Opened

date which is within the period specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of compliance reviews with an Authority Code of

310, 320, 330, 340, or 360, a Compliance Review Opened date

which is earlier than the beginning of the period specified

in the title, and no Closed date or a Closed date which is

on or after the beginning of the period specified in the title.

3\. AWAITING INVESTIGATION

Total number of open compliance reviews with an Authority

Code of 310, 320, 330, 340, or 360 and an Investigation

Commended On Site date which is blank or later than the

end of the period specified in the title.

NOTE: A compliance review is open if the Compliance Review

Opened date is earlier than the end of the period

specified in the title and the Closed date is blank

or later than the end of the period specified in the

title.

4\. AWAITING INVESTIGATION MORE THAN 120 DAYS

Total number of compliance reviews awaiting investigation as

defined in 3 above and which a Compliance Review Opened date

which is more than 130 days earlier than the end of the

period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 20

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. PRELIMINARY REPORT COMPLETED

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Preliminary Report

Completed date within the period specified in the title.

6\. UNDER INVESTIGATION

Total number of open compliance reviews with an Authority

Code of 310, 320, 330, 340, or 360 which have an Investigation

Commenced On Site date which is not later than the end of

the period specified in the title and no entry in

Preliminary Report Completed as of the end of the period

specified in the title.

7\. UNDER INVESTIGATION MORE THAN 120 DAYS

Total number of compliance reviews under investigation as

defined in 6 above and which have an Investigation Commenced

On Site date which is more than 120 days earlier than the

end of the period specified in the title.

8\. INVESTIGATED AID FOUND IN COMPLIANCE

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Preliminary

Report Completed date within the period specified in the

title and Closing date which is within the period

specified in the title, and the Type of Closure

contains a \"2\".

9\. INVESTIGATED AND FOUND IN NON-COMPLIANCE

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Preliminary Report

Completed date within the period specified in the title and

the 30 Day Notice field contains a date which is not later

than the end of the period specified in the title.

10\. UNDER NEGOTIATION

Total number of open compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Negotiations Initiated

date which is not later than the end of the period specified

in the title and a Results of Negotiations field which is blank.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 21 8/80

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

11\. UNDER NEGOTIATIONS MORE THAN 30 DAYS

Total number of compliance reviews under negotiation as

defined in 10 above which have a Negotiations Initiated

date which is more than 30 days earlier than the end of

the period specified in the title.

12\. RESULTS OF NEGOTIATIONS

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Negotiations

Initiated date within the range of the period specified in the

title and the following values in Results of Negotiations:

a\) COMPLIANCE ACHIEVED - \"1\"

b\) VOLUNTARY PLAN SECURED - \"2\"

c\) FAILED TO COMPLY - \"3\"

d\) INTERIM DEFERRAL - \"4\"

13\. FIR COMPLETED

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360, and an FIR Completed date

which is within the period specified in the title.

14\. CONSEQUENTIAL DEFERRAL

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360, and a Deferral date which is

within the period specified in the title.

15\. CLOSED AT REGION (TOTAL)

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340 or 360 which have a Closed date within

the period specified in the title, and which have the following

values in Type of Closure:

a\) LACK OF JURISDICTION - \"1\"

b\) SUBSTANTIAL COMPLIANCE-IN COMPLIANCE - \"2\"

c\) SUBSTANTIAL COMPLIANCE-VOLUNTARY - \"3\"

d\) TO BE HANDLED UNDER TITLE VIII - \"4\"

e\) TO BE HANDLED UNDER SECTION 109 - \"5\"

f\) TO BE HANDLED UNDER EEO CONTRACT CLAUSE - \"6\"

g\) TO BE HANDLED UNDER OTHER AUTHORITY - \"7\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 22

HUD-Wash., D. C.

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

16\. REFERRED TO HEADQUARTERS (TOTAL)

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Referred To

Headquarters date within the period specified in the title

and which have the following values in Reason for Headquarters

Referral:

a\) ADMINISTRATIVE PROCESS - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) FOR ADVICE - \"4\"

17\. REASON FOR FOLLOW-UP

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Follow-up date

within the period specified in the title, and which have the

following values in the leftmost position of Type of

Follow-up:

a\) MONITORING - \"1\"

b\) AFTER REFERRAL TO HEADQUARTERS - \"2\"

18\. RESULTS OF FOLLOW-UP (TOTAL)

Total number of compliance reviews with an Authority Code

of 310, 320, 330, 340, or 360 which have a Follow-up date

within the period specified in the title, and which have the

following values in the rightmost position of Type of Follow-up:

a\) ADMINISTRATIVE PROCESS - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) FOR ADVICE - \"4\"

e\) IN COMPLIANCE - \"5\"

f\) COMPLIANCE ACHIEVED - \"6\"

g\) INTERIM DEFERRAL - \"7\"

19\. OPEN AT END OF PERIOD

Total number of compliance reviews with an Authority Code of

310, 320, 330, 340, or 360 which have a Compliance Review Opened

date which is not later than the end of the period specified in

the title and which have no Closed date or a Closed date which

is later than the end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 23 8/80

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2AQC - A (Format 3-1)

Title: Equal Employment Opportunity Contract Clause

Status Summary of Complaints

Purpose: To provide for each region an analysis of complaint

activity under the EEO Contract Clause provision.

Source Document: HUD 930.3 - Regional Monthly Status Summary - Equal

Employment Opportunity Contract Clause

Definition of Stub Items:

1\. RECEIVED

Total number of complaints with an Authority Code of 380,

and a Complaint Received date which is within the period

specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of complaints with an Authority Code of 380, a

Complaint Received date which is earlier than the beginning

of the period specified in the title, and a Closed date which

is blank or on or after the beginning of the period specified

in the title.

3\. AWAITING INVESTIGATION

Total number of open complaints with an Authority Code of 380,

and an Investigation Commenced On Site date which is blank

or later than the end of the period specified in the title.

Note: A complaint is open if the Complaint Received

date is earlier than the end of the period specified

in the title and the Closed date is blank or later

than the end of the period specified in the title.

4\. AWAITING INVESTIGATION MORE THAN 30 DAYS

Total number of complaints awaiting investigation as

defined in 3 above and which have a Complaint Received date

which is more than 30 days earlier than the end of

the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 24

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. UNDER INVESTIGATION

Total number of open complaints with an Authority Code of 380,

which have an Investigation Commenced On Site date which is

not later than the end of the period specified in the title

and no entry in Preliminary Report Completed as of the end of

the period specified in the title.

6\. UNDER INVESTIGATION MORE THAN 30 DAYS

Total number of complaints under investigation as defined in 5

above which have an Investigation Commenced On Site date which

is more than 30 days earlier than the end of the period

specified in the title.

7\. INVESTIGATED AND FOUND IN COMPLIANCE

Total number of complaints with an Authority Code of 380, which

have a Preliminary Report Completed date within the period

specified in the title, a Negotiations Initiated date which

is blank, a Closed date which is not later than the

end of the period specified in the title, and a Type

of Closure equal to \"1\".

or

Total number of complaints with an Authority Code of 380,

which have a Preliminary Report Completed date within the

period specified in the title, a Negotiations Initiated date

within the period specified in the title, and a Results of

Negotiations field which contains a \"1\" or \"2\".

8\. INVESTIGATED AND FOUND IN NON-COMPLIANCE

Total number of complaints with an Authority Code of 380, which

have a Preliminary Report Completed date within the period

specified in the title and a Negotiations Initiated date

which is not later than the end of the period specified in

the title.

9\. PRELIMINARY REPORT COMPLETED

Total number of complaints with an Authority Code of 380,

which have a Preliminary Report Completed date within the

period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 25 8/80

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

10\. UNDER NEGOTIATION

Total number of open complaints with an Authority Code of 380,

which have a Negotiations Initiated date which is not later

than the end of the period specified in the title and a Results

of Negotiations field which is blank.

11\. UNDER NEGOTIATION MORE THAN 30 DAYS

Total number of complaints under negotiation as defined in 10

above which have a Negotiations Initiated date which is more

than 30 days earlier than the end of the period specified

in the title.

12\. RESULTS OF NEGOTIATION

Total number of complaints with an Authority Code of 380,

which have a Negotiations Initiated date within the period

specified in the title and the following values in Results

of Negotiations:

a\) VOLUNTARY PLAN SECURED - \"1\"

b\) COMPLIANCE ACHIEVED - \"2\"

c\) VOLUNTARY COMPLIANCE FAILED - \"3\"

13\. FIR COMPLETED

Total number of complaints with an Authority Code of 380,

which have an FIR Completed date which is within the period

specified in the title.

14\. CLOSED AT REGION ( TOTAL )

Total number of complaints with an Authority Code of 380, which

have a Closed date within the period specified in the title

and which have the following values in Type of Closure:

a\) SUBSTANTIAL COMPLIANCE - \"1\"

b\) HEADQUARTERS REFERRAL TO OTHER AGENCY - \"2\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 26

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

15\. REFERRED TO HEADQUARTERS (TOTAL)

Total number of complaints with an Authority Code of 380,

which have a Referred To Headquarters date which is within

the period specified in the title and which have the following

values in Reason For Headquarters Referral:

a\) ADMINISTRATIVE PROCEDURES - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) FOR ADVICE - \"4\"

16\. FOLLOW-UP, REASONS FOR ( TOTAL )

Total number of complaints with an Authority Code of 380,

which have a Follow-up date which is within the period

specified in the title and which have the following values

in the leftmost position of Type of Follow-up:

a\) REQUESTED TO DEVELOP AAP - \"1\"

b\) REQUESTED TO IMPLEMENT AAP - \"2\"

c\) OTHER MONITORING ACTIVITY - \"3\"

17\. FOLLOW-UP, RESULTS OF ( TOTAL )

Total number of complaints with an Authority Code of 380,

which have a Follow-up date within the period specified in the

title, and which have the following values in the rightmost

position of Type of Follow-up:

a\) IMPOSITION OF SANCTIONS - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) IN COMPLIANCE - \"4\"

e\) COMPLIANCE ACHIEVED - \"5\"

18\. OPEN AT END OF PERIOD

Total number of complaints with an Authority Code of 380,

which have a Complaint Received date which is not later than

the end of the period specified in the title and which have

no Closed date or a Closed date which is later than the

end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 27 8/80

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2ARC-A (Format 3-2)

Title: Equal Employment Opportunity Contract Clause

Status Summary of Compliance reviews

Purpose: To provide for each region an analysis of compliance

review activity under the EEO Contract Clause provision.

Source Document: HUD 930.3 - Regional Monthly Status Summary - Equal

Employment Opportunity Contract Clause

Definition of Stub Items:

1\. OPENED

Total number of compliance reviews with an Authority Code of

385, and a Compliance Review Opened date which is within

the period specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of compliance reviews with an Authority Code of

385, a Compliance Review Opened date which is earlier than

the beginning of the period specified in the title, and a

Closed date which is blank or on or after the beginning of the

period specified in the title.

3\. AWAITING INVESTIGATION

Total number of open compliance reviews with an Authority Code

of 385 and an Investigation Commenced On Site date which is

blank or later than the end of the period specified in the

title.

Note: A compliance review is open if the Compliance Review

Opened date is earlier than the end of the period

specified in the title and the Closed date is blank

or later than the end of the period specified in the

title.

4\. AWAITING INVESTIGATION MORE THAN 120 DAYS

Total number of compliance reviews awaiting investigation

as defined in 3 above and which have a Compliance Review Opened

date which is more than 30 days earlier than the aid

of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 28

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. PRELIMINARY REPORT COMPLETED

Total number of compliance reviews with an Authority Code

of 385, which have a Preliminary Report Completed date within

the period specified in the title.

6\. UNDER INVESTIGATION

Total number of open compliance reviews with an Authority

Code of 385, which have an Investigation Commenced On Site

date which is not later than the end of the period specified

in the title and no entry in Preliminary Report Completed

as of the end of the period specified in the title.

7\. UNDER INVESTIGATION MORE THAN 120 DAYS

Total number of compliance reviews under investigation as

defined in 5 above which have an Investigation Commenced

On Site date which is more than 30 days earlier than the

end of the period specified in the title.

8\. INVESTIGATED AND FOUND IN COMPLIANCE

Total number of compliance reviews with an Authority Code

of 385 which have a Preliminary Report Completed date within

the period specified in the title, a Negotiations Initiated

date which is blank, a Closed date which is not later

than the end of the period specified in the title,

and a Type of Closure equal to \"1\".

or

Total number of compliance reviews with an Authority Code

of 385, which have a Preliminary Report Completed date within

the period specified in the title, a Negotiations Initiated

date within the period specified in the title, and a Results

of Negotiations field which contains a \"1\" or \"2\".

9\. INVESTIGATED AND FOUND IN NON-COMPLIANCE

Total number of compliance reviews with am Authority Code

of 385, which have a Preliminary Report Completed date within

the period specified in the title and a Negotiations Initiated

date which is not later than the end of the period specified

in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 29 8/80

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

10\. PRELIMINARY REPORT COMPLETED

Total number of compliance reviews with an Authority Code

of 385, which have a Preliminary Report Completed date

within the period specified in the title.

11\. UNDER NEGOTIATION

Total number of open compliance reviews with an Authority

Code of 385, which have a Negotiations Initiated date

which is not later than the end of the period specified in

the title, and a Results of Negotiations field which is blank.

12\. UNDER NEGOTIATION MORE THAN 30 DAYS

Total number of compliance reviews under negotiation as

defined in 10 above which have a Negotiations Initiated date

which is more than 30 days earlier than the end of the

period specified in the title.

13\. RESULTS OF NEGOTIATION (TOTAL)

Total number of compliance reviews with an Authority Code

of 385, which have a Negotiations Initiated date within the

period specified in the title and the following values in

Results of Negotiations:

a\) VOLUNTARY PLAN SECURED - \"1\"

b\) COMPLIANCE ACHIEVED - \"2\"

c\) FAILED TO COMPLY - \"3\"

14\. FIR COMPLETED

Total number of compliance reviews with an Authority Code

of 385, which have an FIR Completed date which is within the

period specified in the title.

15\. CLOSED AT REGION (TOTAL)

Total number of compliance reviews with an Authority Code of 385,

which have a Closed date within the period specified in the

title, and which have the following values in Type of Closure:

a\) SUBSTANTIAL COMPLIANCE - \"1\"

b\) HEADQUARTERS REFERRAL TO OTHER AGENCY - \"2\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 30

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

16\. REFERRED TO HEADQUARTERS (TOTAL)

Total number of compliance reviews with an Authority Code

of 385, which have a Referred to Headquarters date which

is within the period specified in the title and which have

the following values in Reason for Headquarters Referral:

a\) FOR ADMINISTRATIVE PROCEDURES - \"1\"

b\) FOR REFERRAL TO JUSTICE - \"2\"

c\) FOR REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) FOR ADVICE - \"4\"

17\. REASONS FOR FOLLOW-UP (TOTAL)

Total number of compliance reviews with an Authority Code of

385, which have a Follow-up date which is within the period

specified in the title and which have the following values in

the leftmost position of Type of Follow-up:

a\) REQUIREMENT TO DEVELOP AAP - \"1\"

b\) REQUIREMENT TO IMPLEMENT AAP - \"2\"

c\) MONITORING - \"3\"

18\. FOLLOW-UP COMPLETED

Total number of compliance reviews with an Authority Code

of 385, which have a Follow-up date within the period

specified in the title.

19\. RESULTS OF FOLLOW-UP (TOTAL)

Total number of compliance reviews with an Authority Code

of 385 which have a Follow-up date within the period

specified in the title, and which have the following values

in the rightmost position of Type of Follow-up:

a\) IMPOSITION OF SANCTIONS - \"1\"

b\) REFERRAL TO JUSTICE - \"2\"

c\) REFERRAL TO OTHER FEDERAL AGENCY - \"3\"

d\) IN COMPLIANCE - \"4\"

e\) COMPLIANCE ACHIEVED - \"5\"

20\. OPEN AT END OF PERIOD

Total number of compliance reviews with an Authority Code of

385, which have a Compliance Review Opened date which is not

later than the end of the period specified in the title, and

which have no Closed date or a Closed date which is later than

the end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 31 8/80

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Report Identification: EO2ATC-A (Format 4-1)

Title: Status Summary of Complaints

Section 3 of the Housing and Urban Development Act of 1968

Purpose: To provide for each region an analysis of complaint

activity under Section 3.

Source Document: HUD 903.4 - Regional Monthly status Summary of
Complaints

Received and Compliance Reviews Conducted - Section 3

of the Housing and Urban Development Act of 1968.

Definition of Stub Items:

1\. RECEIVED

Total number of complaints with an Authority Code of

700, 710, or 720, which have a Complaint Received date

which is within the period specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of complaints with an Authority Code of 700,

710, or 720, which a Complaint Received date which is

earlier than the beginning of the period specified in the

title and a Closed date which is blank or on or after the

beginning of the period specified.

3\. AWAITING INVESTIGATION

Total number of open complaints with an Authority Code of

700, 710, or 720, which have an Investigation Commenced

date which blank or later than the end of the period

specified in the title.

NOTE: A complaint is open if the Complaint Received date

is earlier than the end of the period specified in

the title and the Closed date is blank or later

than the end of the period specified in the title.

4\. AWAITING INVESTIGATION MORE THAN 30 DAYS

Total number of complaints awaiting investigation as

defined in 3 above and which have a Complaint Received

date which is more than 30 days earlier than the beginning

of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8/80 Page 32

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. UNDER INVESTIGATION

Total number of open complaints with an Authority Code of

700, 710, or 720, which have an Investigation Commenced date

which is not later than the end of the period specified in the

title, no entry in Negotiations Initiated as of the end of

the period specified, and no entry in FIR Completed as of the

end of the period specified in the title.

6\. UNDER INVESTIGATION MORE THAN 30 DAYS

Total number of complaints under investigation as defined in

5 above which have an Investigation Commenced date which is

more than 30 days earlier than the end of the period specified

in the title.

7\. INVESTIGATED AND FOUND IN COMPLIANCE

Total number of complaints with an Authority Code of 700,

710, or 720 which have a Negotiations Initiated date within

the period specified in the title, Results of Negotiations equal

to \"1\", and a Closing date which is within the period specified

in the title.

8\. UNDER NEGOTIATION

Total number of open complaints with an Authority Code of

700, 710, or 720 which have a Negotiations Initiated date

which is not later than the end of the period specified in the

title and a Results of Negotiations which is blank.

9\. UNDER NEGOTIATION MORE THAN 30 DAYS

Total number of open complaints under Negotiation as defined

in 8 above which have a Negotiations Initiated date which is

more than 30 days earlier than the end of the period specified

in the title.

10\. RESULTS OF NEGOTIATION (TOTAL)

Total number of complaints with an Authority Code of 700,

710, or 720 which have a Negotiations Initiated date within the

period specified in the title and the following values in

Results of Negotiations:

a\. IN COMPLIANCE - \"1\"

b\. NON-COMPLIANCE - \"2\"

c\. COMPLIANCE FAILED - \"3\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 33 8/80

HUD-Wash., D. C.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

11\. FIR COMPLETED

Total number of complaints with an Authority Code of

700, 710, or 720 which have an FIR Completed date which is

within the period specified in the title.

12\. SHOW CAUSE NOTICES ISSUED

Total number of complaints with an Authority Code of 700,

710, or 720 which have a Show Cause Notice Issued date which is

within the period specified in the title.

13\. CLOSED AT REGION (TOTAL)

Total number of complaints with an Authority Code of

700, 710, or 720 which have a Closed date which is within the

period specified in the title and the following values in

Type of Closure:

a\. ALLEGATION NOT SUPPORTED - \"01\"

b\. REQUISITE INFORMATION FROM GRIEVANT LACKING - \"02\"

c\. LACK OF JURISDICTION - \"03\"

d\. TRANSFERRED TO SECTION 3 - \"04\"

e\. TRANSFERRED TO OTHER AUTHORITY - \"05\"

f\. CONCILIATED SUCCESSFULLY\--RELIEF AND AFFIRMATIVE ACTION

-\"06\"

g\. CONCILIATED SUCCESSFULLY\--NO RELIEF - \"07\"

h\. CONCILIATION EFFORTS UNSUCCESSFUL - \"08\"

14\. REFERRED TO HEADQUARTERS (TOTAL)

Total number of complaints with an Authority Code Of 700,

710, or 720 which have a Referred to Headquarters date which

is within the period specified in the title and which have the

following values in Reason for Headquarters Referral:

a\. ENFORCEMENT PROCEEDINGS - \"1\"

b\. REFERRAL TO LABOR - \"2\"

c\. REFERRAL TO JUSTICE - \"3\"

d\. REFERRAL TO OTHER AGENCY - \"4\"

e\. OTHER RECOMMENDATION - \"5\"

15\. OPEN AT END OF PERIOD

Total number of complaints with an Authority Code of 700,

710, or 720 which have a Complaint Received date which is not

later than the end of the period specified in the title and which

have no Closed date or a Closed date which is later than the

end of the period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

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Report Identification: EO2AUC-A (Format 4-2)

Title: Status Summary of Compliance Reviews

Section 3 of the Housing and Urban Development Act of 1968

Purpose: To provide for each region an analysis of compliance activity

under Section 3.

Source Document: HUD 903.4 - Regional Monthly Status Summary of
Complaints

Received and Compliance Reviews Conducted - Section 3 of

the Housing and Urban Development Act of 1968.

Definition of Stub Items:

1\. OPENED

Total number of complaints with an Authority Code of

750 or 755, which have a Complaint Received date which is

within the period specified in the title.

2\. ON HAND BEGINNING OF PERIOD

Total number of complaints with an Authority Code of

750 or 755, which have a Compliance Review Opened

date which is earlier than the beginning of the period

specified in the title and a Closed date which is blank

or on or after the beginning of the period specified

in the title.

3\. AWAITING INVESTIGATION

Total number of open compliance reviews with an Authority Code

of 750 or 755, which have an Investigation Commenced date

which is blank or later than the end of the period specified

in the title.

NOTE: A compliance review is open if the compliance Review

Opened date is earlier than the end of the period

specified in the title and the Closed date is blank

or later than the end of the period specified in the

title.

4\. AWAITING INVESTIGATION MORE THAN 30 DAYS

Total number of compliance reviews awaiting investigation as

defined in 3 above and which have a Compliance Review Opened

date which is more than 30 days earlier than the end of the

period specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

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5\. UNDER INVESTIGATION

Total number of open compliance reviews with an Authority Code

of 750, or 755, which have an Investigation Commenced

date which is not later than the end of the period

specified in the title, no entry in Negotiations Initiated as

of the end of the period specified, and no entry in FIR

Completed as of the end of the period specified in the title.

6\. UNDER INVESTIGATION MORE THAN 30 DAYS

Total number of compliance reviews under investigation as

defined in 5 above which have an Investigation Commenced date

which is more than 30 days earlier than the end of the period

specified in the title.

7\. INVESTIGATED AND FOUND IN COMPLIANCE

Total number of compliance reviews with an Authority Code

of 750, or 755, which have a Negotiations Initiated

date within the period specified in the title,

Results of Negotiations equal to \"1\", and a Closing date

which is within the period specified in the title.

8\. UNDER NEGOTIATION

Total number of open compliance reviews with an Authority Code

of 750, or 755, which have a Negotiations Initiated

date which is not later than the end of the period

specified in the title and a Results of Negotiations which is

blank.

9\. UNDER NEGOTIATION MORE THAN 30 DAYS

Total number of open compliance reviews under negotiation as

defined in 8 above which have a Negotiations Initiated date

which is more than 30 days earlier than the end of the period

specified in the title.

10\. NEGOTIATION RESULTS

Total number of compliance reviews with an Authority

Code of 750, or 755, which have a Negotiations Initiated

date within the period specified in the title and the following

values in Results of Negotiations:

a\. IN COMPLIANCE - \"1\"

b\. NON-COMPLIANCE - \"2\"

c\. COMPLIANCE FAILED - \"3\"

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

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11\. FIR COMPLETED

Total number of compliance reviews with an Authority

Code of 750, or 755, which have an FIR Completed date

which is within the period specified in the title.

12\. SHOW CAUSE NOTICES ISSUED

Total number of compliance reviews with an Authority

Code of 750, or 755, which have a Closed date which is

Issued date which is within the period specified in the title.

13\. CLOSED AT REGION (TOTAL)

Total number of compliance reviews with an Authority

Code of 750, or 755, which have a Closed date which is

within the period specified in the title and the following

values in Type of Closure:

a\. IN COMPLIANCE - \"20\"

b\. NON-COMPLIANCE AFTER RE-REVIEW - \"21\"

c\. COMPLIANCE ACHIEVED DURING SHOW CAUSE - \"22\"

d\. NOT IN COMPLIANCE AFTER SHOW CAUSE - \"23\"

14\. REFERRED TO HEADQUARTERS (TOTAL)

Total number of compliance reviews with an Authority

Code of 750, or 755, which have a Referred to Headquarters

date which is within the period specified in the title

and which have the following values in Reason for Headquarters

Referral:

a\. ENFORCEMENT PROCEEDINGS - \"1\"

b\. REFERRAL TO LABOR - \"2\"

c\. REFERRAL TO JUSTICE - \"3\"

d\. REFERRAL TO OTHER FEDERAL AGENCY - \"4\"

e\. OTHER RECOMMENDATION - \"5\"

15\. OPEN AT END OF PERIOD

Total number of compliance reviews with an Authority

Code of 750, or 755, which have a Compliance Review

Opened date which is not later than the end of the period

specified in the title and which have no Closed date or a Closed

date which is later than the end of the period specified in the

title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

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Report Identification: EO2AWC-A (Format 5-1)

Title: Title VIII of the Civil Rights Act of 1968

Analysis of Referral Activity by State and

Local Agencies

Purpose: To provide an analysis for evaluation of State and local

agency processing of Title VIII complaints under the

Department\'s Substantial Equivalency Regulation.

Source Document: [HUD
948](http://www.hud.gov/offices/adm/hudclips/forms/hud9a.cfm#group3) -
State/Local Referral Agency Report.

General Format:

In addition to displaying data for each State or local agency,

summaries are accumulated for each region, i.e., all State or local

agencies within the region, and for all regions. The report

provides for two time periods\--the first is variable and is

selected by the user, the second is a fiscal year cumulative

summary.

Definition of Stub Items:

1\. TOTAL NUMBER OF REFERRALS THIS PERIOD

Total number of complaints with a Date Referred which is within

the period specified in the title.

2\. TOTAL RECEIVED AT AGENCY, BEGINNING OF PERIOD

Total number of complaints which have a Date Complaint Received

which is within the period specified in the title.

3\. TOTAL CLOSED BY STATE/LOCAL AGENCY

Total number of complaints which have a Date Case Closed which

is within the period specified in the title.

4\. TOTAL AT AGENCY, END OF PERIOD

Total number of complaints which have a Date Complaint Received

which is not later than the end of the period specified in the

title and a Date Case Closed which is later than the end of the

period specified in the title.

NOTE: All succeeding items pertain only to complaints which

have a Date Case Closed which is within the period

specified in the title.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

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5\. AWAITED INVESTIGATION MORE THAN 30 DAYS

Total number of complaints with a Date Referred which is more

than 30 days earlier than the Date Investigation Commenced.

6\. UNDER INVESTIGATION MORE THAN 30 DAYS

Total number of complaints with a Date Investigation Commenced

which is more than 30 days earlier than Date Investigation

Completed.

7\. NOT INVESTIGATED

Total number of complaints with no date in Date Investigation

Completed.

8\. INVESTIGATED

Total number of complaints with a date in Date Investigation

Completed.

9\. INVESTIGATION RESULTS - PROBABLE CAUSE

Total number of complaints investigated as defined in 8 above

which have a \"1\" (check mark) in Probable Cause.

10\. INVESTIGATION RESULTS - NO PROBABLE CAUSE

Total number of complaints investigated as defined in 8 above

which have a \"2\" (check mark) in No Probable Cause.

11\. INVESTIGATION RESULTS - COMPLAINT WITHDRAWN

Total number of complaints investigated as defined in 8 above

which have a \"3\" (check mark) in Complaint Withdrawn.

12\. CLOSED IN LESS THAN 60 DAYS

Total number of complaints with a Date Case Closed which is less

than 60 days after Date Referred.

13\. CLOSED IN 60-90 DAYS

Total number of complaints with a Date Case Closed which is from

60 to 90 days later than Date Referred.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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8000.2

APPENDIX 3

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14\. CLOSED IN MORE THAN 90 DAYS

Total number of complaints with a Date Case Closed which is more

than 90 days later than Date Referred.

15\. NOT CONCILIATED

Total number of complaints which have a \"2\" (no) in Conciliated.

16\. CONCILIATED IN 30 DAYS OR LESS

Total number of complaints which have a \"1\" (yes) in Conciliated

and a Date Conciliation Completed which is less than 31 days

later than Date Investigation Completed.

17\. CONCILIATED FOR MORE THAN 30 DAYS

Total number of complaints which have a \"1\" (yes) in Conciliated

and a Date Conciliation Completed which is more than 30 days

later than Date Investigation Completed.

18\. CONCILIATION RESULTS - SUCCESSFULLY (INCLUDES PARTIALLY

SUCCESSFUL)

Total number of complaints with a \"1\" (yes) in Conciliated, an

entry in Date Conciliation Completed, and a \"1\" (check mark) in

Successful or a \"3\" (check mark) in Partial.

19\. CONCILIATION RESULTS - UNSUCCESSFUL

Total number of complaints with a \"1\" (yes) in Conciliated, an

entry in Date Conciliation Completed, and a \"2\" (check mark) in

Unsuccessful.

20\. CONCILIATION RESULTS - OTHER

Total number of complaints with a \"1\" (yes) in Conciliated, an

entry in Date Conciliation Completed, and a \"4\" (check mark)

in Other.

21\. TYPES OF RELIEF OBTAINED - CASES IN WHICH HOUSING WAS SECURED

Total number of complaints with a \"1\" (check mark) in Dwelling.

22\. TYPES OF RELIEF OBTAINED - AMOUNT OF COMPENSATION AWARDED

Sum of the dollar values contained in Monetary Compensation.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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HUD-Wash., D. C.

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8000.2

APPENDIX 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

23\. TYPES OF RELIEF OBTAINED - INSTANCES OF AFFIRMATIVE ACTION

Total number of complaints with a \"1\" (check mark) in

Affirmative Action.

24\. TYPES OF RELIEF OBTAINED - INSTANCES OF OTHER TYPES OF RELIEF

Total number of complaints with a \"1\" (check mark) in Other.

25\. CONCILIATION AGREEMENTS WITH MONITORING

Total number of complaints with a \"1\" (yes) in \"Does Conciliation

Agreement Provide For Future Monitoring Of Respondent\'s

Operations?\"

26\. CONCILIATION AGREEMENTS WITH NO MONITORING

Total number of complaints with a \"2\" (no) in \"Does Conciliation

Agreement Provide For Future Monitoring Of Respondent\'s

Operations?\"

27\. FINAL DISPOSITION - LEGAL ACTION BY COMPLAINANT

Total number of complaints with a \"1\" (check mark) in Legal

Action By Complainant.

28\. FINAL DISPOSITION - FURTHER ACTION BY COMMISSION

Total number of complaints with a \"1\" (check mark) in Further

Action By Commission.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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