8000.1 REV-1

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

CHAPTER 3. STATUS SUMMARY LOGS

TITLE VIII OF THE CIVIL RIGHTS ACT OF 1968;

AFFIRMATIVE FAIR HOUSING MARKETING REGULATIONS;

EXECUTIVE ORDER 11063

3-1 Applicability. The following applies to the status summary log

for complaints and the status summary log for compliance reviews

under the following authorities:

a\. Title VIII of the Civil Rights Act of 1968

b\. Affirmative Fair Housing Marketing Regulations

c\. Executive Order 11063

The HUD 930.1A shall be used to record the status of all

complaints processed under any of the above listed authorities;

the HUD 930.1A shall be used to record the status of all

compliance reviews conducted under any of the above listed

authorities. These logs shall be maintained on a current

basis in each Regional Fair Housing Equal Opportunity Office in

order that the exact status of a complaint or compliance review

can be determined at all times by the Director, Regional FHEO.

3-2 General Description. The HUD 930.1A shall contain identification

and status information on Title VIII and EO 11063 complaints. In

general, the HUD 930.1A contains a unique case identification code

(file number), information describing the allegation, and critical

milestone actions associated with proper handling of complaints

under these authorities. In addition to providing for the dates

of milestone and other activities, the HUD 930.1A provides for

milestone and other codes, where relevant, which further describe

or identify the result or outcome of a particular action. A

unique feature of the HUD 930.1A is the inclusion of a Special

Indicator as the last (13th) position of the file number. This

one position data item shall be used to provide information on

repeated offenders and processing of previously closed complaints.

Note also that the milestone actions associated with State and

Local Agency referrals under HUD\'s Substantial Equivalency

Regulation are monitoring type activities to be carried by the

the Regional Fair Housing Equal Opportunity Compliance Staff.

They do not represent the critical actions by State and Local

Agencies in their processing of Title VIII complaints. See

Chapter 8 of this document for a description of the information

gathering and reporting procedures applicable to State and Local

Agency processing of Title VIII complaints.

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

Page 3-1 11/80

HUD-Wash., D. C.

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

8000.1 REV-1

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

The HUD 930.1B shall contain identification and status information

on compliance reviews conducted under the authorities of Title VIII,

Affirmative Fair Housing Marketing, and EO 11063. In general, the

status summary log for compliance reviews contains a unique case

identification code (file number), identification of the

respondent or recipient including the program through which he is

funded, if applicable, and critical milestone actions associated

with the conduct of a compliance review. The HUD 930.1B also

contains a Special Indicator as the last (13th) position of the

file number. This one position data item on the HUD 930.1B shall

be used to provide linkage information between a compliance review

and the complaint which gave rise to conduct of the review.

3-3 Instructions for Completion of the HUD 930.1A.

a\. File Number. The file number is used to uniquely identify a

complaint in addition to providing information on repeated

offenders and reopened complaints. The file number is composed

of thirteen (13) digits as follows:

\(1\) Region Code (Positions 1 - 2)

Two digit number from 01-10 to identify Region in which

case is received.

\(2\) Fiscal Year (Positions 3 - 4)

Fiscal Year of the date of receipt of a verified

complaint.

\(3\) Calendar Month (Positions 5 - 6)

Calendar Month of the date of receipt of a verified

complaint.

\(4\) Serial (Positions 7 - 9)

Unique three digit number assigned chronologically within

fiscal year by date of receipt of a verified complaint.

\(5\) Authority (Positions 10 - 12)

Three digit number which identifies a complaint and the

Federal law or HUD regulation under which it is processed.

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

11/80 Page 3-2

HUD-Wash., D. C.

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

8000.1 REV-1

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

Below are listed the valid law codes:

Code Description

200 Title VIII Complaint

260 Executive Order 11063 Complaint

\(6\) Special Indicator (Position 13)

One (1) digit number which indicates (1) whether or not

the complaint is a reopened complaint under the same law;

\(2\) if a complaint was originally referred to State/Local

Agency and later recalled; or (3) if the complaint

represents a multiple complaint against the same respondent

(repeater data). If the complaint is not a reopened

complaint and is not a case of a \"repeated offender,\"

position thirteen (13) should be left blank. Otherwise,

position thirteen (13) should be coded as follows:

One (1) - if a reopened complaint previously closed

by HUD-FHEO activity.

Two (2) - if a reopened complaint previously recorded

on 930.1A as closed by State or Local

Agency activity.

Three (3) - if a second, third, fourth, etc., complaint

while respondent is under the terms of a

conciliation agreement.

Four (4) - if a second, third, fourth, etc., complaint

and respondent has been party to a

conciliation agreement within the previous

two (2) years but is not currently under

terms of a conciliation agreement.

Five (5) - if a second, third, fourth, etc., complaint

not qualifying under code 3 or 4 above.

Six (6) - if a complaint originally referred to State/

Local Agency and later recalled to be

processed by HUD.

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

Page 3-3 11/80

HUD-Wash., D. C.

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

8000.1 REV-1

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

NOTE: If codes 3, 4, or 5 above are placed in position

thirteen (13) of the file number, the first twelve

\(12\) digits of the file number (excluding the

special indicator) of the earliest known complaint

against this respondent should be entered on the

log as the information item described as file

number of previous complaint which immediately

precedes name of EO Specialist assigned.

b\. Received. Date of receipt of a verified complaint under the

authority of Title VIII, or EO 11063. Note that this and all

succeeding dates shall be calendar dates entered in a

six-digit format indicating year, month and day. For example:

December 25, 1975 shall be entered as 751225.

c\. Close. Date on which the case is considered closed by the

Director, Regional Fair Housing and Equal Opportunity.

d\. Closing Code. Four digit numeric code which provides for the

recording of three separate and distinct information items

relative to the complaint closure. Specifically, digit one

(1), the leftmost digit indicates by whom the case was

processed. Digit two (2), from left to right, indicates the

last stage of processing completed prior to complaint closure.

The last two digits - digits 3 and 4 indicate why the case was

closed, final action recommended by Director, Regional FHEO

and in the case of conciliation activities, the results of

such efforts. Below are listed the valid closing codes for

each of the three categories of information:

Primary Category (Digit One (1), from left to right)

Code Description

1000 HUD-FHEO Closure

2000 State Agency Closure

3000 local Agency Closure

4000 HUD-FHEO Closure Utilizing

Accelerated Processing Procedures

Secondary Category (Digit Two (2), from left to right)

Code Description

0100 After commencement of preliminary

complaint analysis but prior to

assignment to investigation.

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

11/80 Page 3-4

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

8000.1 REV-1

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

Code Description

0200 After assignment to investigation

but prior to commencement of

investigation.

0300 After commencement of investigation

but prior to completion of

investigation.

0400 After completion of full

investigation (FIR submitted) but

prior to determination.

0500 After completion of limited

investigation activity (No FIR

submitted) but prior to

determination

0600 After determination but prior to

commencement of conciliation

activities - full investigation,

FIR submitted.

0700 After commencement of conciliation

activities but prior to completion

of conciliation - full

investigation, FIR submitted.

0800 After completion of conciliation

activities - full investigation,

FIR submitted.

Tertiary Category (Digits three (3) and four (4) from

left to right)

Code Description

0011 Dismissed for lack of jurisdiction.

0012 Case transferred to Title VI.

0013 Case transferred to EO 11063.

0014 Case transferred to other

appropriate HUD authority (not

Title VI or EO 11063).

0015 Transferred to other region.

0016 Title IX complaint, referred to

Justice.

0021 Unable to locate complainant.

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

Page 3-5 11/80

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

8000.1 REV-1

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

Code Description

0022 Complainant failed to furnish

requested information.

0023 Complaint withdrawn by complainant

without resolution.

0024 Complaint withdrawn by complainant

after resolution.

0025 Complainant plans court action and

requests closure.

0026 Unable to identify respondent.

0031 Allegation not supported

(determination not to resolve).

0041 Referred to Headquarters with

recommendation for referral to

Justice for possible pattern or

practice.

0042 Referred to Headquarters with

recommendation for referral to

Justice for other appropriate

action.

0043 Referred to Headquarters for other

appropriate action.

0051 Conciliation unsuccessful

\- complainant plans court action.

0052 Conciliation unsuccessful

\- submitted to Headquarters with

recommendation for referral to

Justice.

0053 Conciliation unsuccessful

action initiated under other law

or HUD regulation.

0054 Conciliation unsuccessful - no

further action taken.

0055 Conciliation successful - written

agreement with follow-up

reporting requirement.

0056 Conciliation successful - written

agreement with no follow-up

reporting requirement.

0057 Conciliation successful - no formal

agreement but with follow-up

reporting requirement.

0058 Conciliation successful - no formal

agreement and no follow-up

reporting requirement.

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

11/80 Page 3-6

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

8000.1 REV-1

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

e\. Relief. One digit numeric code to indicate existence and

type of relief obtained by the complainant as a result of

case processing. Below are listed the valid relief codes:

Code Description

0 No relief obtained.

1 Housing only (contested or next

available unit for complainant).

2 Housing only (assigned to other

minority).

3 Affirmative Action only.

4 Other relief.

5 Housing and Affirmative Action.

6 Housing and other relief.

7 Affirmative Action and other relief.

8 Housing, Affirmative Action and

other relief.

f\. Compensation Awarded. Six digit numeric item to contain

dollar amount of award to complainant. Enter dollars only,

do not enter cents. Leading zeroes must be entered when an

amount is less than six (6) digits. For example: \$250.00

should be entered as 000250.

g\. Complainant. Last name and initials of the complainant.

(Note that 25 positions of name fields will be input to the

automated complaint and compliance system).

h\. Respondent. Last name and initials of the respondent if an

individual; if not an individual, enter other appropriate

identification. Care should be taken to consistently record

the identification of the same respondent in exactly the same

manner as previously recorded. This is necessary to

facilitate retrieval of multiple offender information.

i\. State/County. Five digit code to identify location of the

incident giving rise to the alleged violation. The valid two

digit state codes and three digit county codes are included

in the HUD Handbook of Codes 2160.4B and as Appendix 6 of this

document.

j\. Basis. Two digit numeric code to indicate the basis of the

complaint. The valid bases for Title VIII complaint are:

race, color, religion, national origin, and sex.

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

Page 3-7 11/80

HUD-Wash., D. C.

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

8000.1 REV-1

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

The valid bases for EO 11063 complaints are: race, color,

religion, and national origin. Below are listed the valid

basis codes:

Code Basis Major Category Sub-Category

10 Race White (Not of N/A

Hispanic Origin)

20 Race Black (Not of N/A

Hispanic Origin)

30 Race American Indian or

Alaskan Native

31 Aleut

32 Eskimo

40 Race Hispanic

41 Cuban

42 Mexican

43 Puerto Rican

50 Race Asian or Pacific

51 Islander Chinese

52 Filipino

53 Hawaiian

54 Japanese

55 Korean

56 Micronesian

57 Polynesian

70 1/ Sex Sex

71 Male

72 Female

75 Color Color N /A

77 National National Origin N /A

Origin

80 Religion

81 Catholic

82 Protestant

83 Jewish

84 Moslem

85 Hindu

86 Buddhist

87 Other

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

1/ For use with Title VIII complaints only.

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

11/80 Page 3-8

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

8000.1 REV-1

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

k\. Issue. Three digit numeric code to identify the major primary

issue involved in the allegations. Below are listed the valid

issue codes:

Code Description

300 Discriminatory refusal to sell

310 Discriminatory refusal to rent

320 Discriminatory advertising

330 False representation

340 Blockbusting

350 Discriminatory financing

360 Discriminatory brokerage service

370 Discriminatory membership

380 Discriminatory terms and conditions

390 Failure to comply with Poster

Regulations

400 Failure to comply with Advertising

Guidelines

l\. Date of Violation. Date on which the alleged violation

occurred.

m\. Complaint in Section 8 Program. Three digit code to

indicate complaint in the Section 8 Program. If the

complaint applies to the Section 8 Program, this

field shall contain \"HAP.\" Otherwise, this data item

shall be left blank.

n\. File Number of Previous Complaint. This twelve digit

item shall contain the first 12 positions of the file

number of the earliest known complaint against this

respondent. If the Special Indicator of the file number

contains a 3, 4, or 5, this item of data shall be

provided. In all other instances the data item shall be

left blank.

o\. State/Local Agency Monitoring Activity Dates. These

items of information are applicable only to those

instances in which a Title VIII complaint has been

referred to a State or Local Agency for handling.

\(1\) Date Referred

Date Title VIII complaint is referred to a State

or Local Agency for handling.

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

Page 3-9 11/80

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

8000.1 REV-1

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

\(2\) Date of 30-Day Status Check

Date on which the HUD-FHEO Specialist assigned makes

the first check with the responsible State or Local

Agency to monitor the status of a Title VIII

complaint.

\(3\) Date of 60-Day Status Check

Date on which the HUD-FHEO Specialist assigned

makes the second check with the responsible State

or local Agency to monitor the status of a Title

VIII complaint.

\(4\) Date of 90-Day Status Check

Date on which the HUD-FHEO Specialist assigned

makes the third check with the responsible State

or Local Agency to monitor the status of a Title

VIII complaint.

\(5\) Date Recalled

Date on which a previously referred Title VIII

complaint is received by HUD-FHEO staff to process.

p\. HUD-FHEO Milestone Action Completion Dates. The HUD 930.1A

contains several columns denoting critical milestone actions

in the processing of complaints under Title VIII and EO 11063.

Whenever a milestone action listed is completed, the date of

completion is to be entered in the appropriate column. Note

that all dates shall be calendar dates entered in the six

digit format YYMMDD indicating year, month and day of action.

\(1\) Analysis Completed

Date of completion of the review to make a preliminary

determination whether, on its face, the complaint falls

within the scope of authority of Title VIII or EO 11063.

\(2\) Assigned to Investigation

Date on which the complaint is assigned to a specific

FHEO Specialist for investigation.

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

11/80 Page 3-10

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

8000.1 REV-1

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

\(3\) Investigation Commenced

Date of initiation of investigation activity by the FHEO

Specialist assigned.

\(4\) Investigation Completed

Date on which the Final Investigation Report (FIR) is

signed by the appropriate personnel and transmitted to

the Director, Regional FHEO for a determination.

\(5\) Determination by Director, Regional FHEO

Date on which the Director, Regional Fair Housing and

Equal Opportunity makes a determination to resolve or

not to resolve the complaint.

\(6\) Resolution Code

The result of the determination by the Director, Regional

Fair Housing and Equal Opportunity whether or not to

resolve the complaint. Enter \"1\" when the determination

is made to resolve the complaint. Enter \"2\" when the

determination is made not to resolve the complaint.

\(7\) Conciliation Commenced

Date of initiation of conciliation activities by

responsible staff person.

\(8\) Conciliation Completed

Date on which all conciliation activities are completed.

q\. FHEO Specialist Assigned. Last name and initials of the FHEO

Specialist assigned to handle the complaint.

r\. Remarks

3-4 Instructions for Completion of the HUD 930.1B

a\. File Number. The file number is used to uniquely identify a

compliance review. It is composed of thirteen (13) digits as

follows:

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

Page 3-11 11/80

HUD-Wash., D. C.

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

8000.1 REV-1

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

\(1\) Region Code (Position 1 - 2)

Two digit number from 01-10 to identify Region in which

the review is being conducted.

\(2\) Fiscal Year (Positions 3 - 4)

Fiscal Year of the date the determination is made to

conduct a compliance review.

\(3\) Calendar Month (Positions 5 - 6)

Calendar month of the date the determination is made to

conduct a compliance review.

\(4\) Serial (Positions 7 - 9)

Three digit number assigned chronologically within fiscal

year by date of determination to conduct a compliance

review. This number should be unique.

\(5\) Authority (Positions 10 - 12)

Three digit number which identifies a compliance review

and the Federal law or other authority under which it is

conducted. Below are listed the valid law codes:

Code Description

211 Compliance Review, Title VIII

Conciliation Agreement (Regular

or scheduled)

212 Compliance Review, Title VIII

Conciliation Agreement (Re-review)

213 Compliance Review, Title VIII

Conciliation Agreement (Special

Review)

251 Compliance Review, Affirmative

Fair Housing Marketing (Regular

or scheduled)

252 Compliance Review, Affirmative Fair

Housing Marketing (Re-review)

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

11/80 Page 3-12

HUD-Wash., D. C.

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

8000.1 REV-1

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

253 Compliance Review, Affirmative Fair

Housing Marketing (Special review)

254 Compliance Review, Affirmative Fair

Housing Marketing (City-wide)

261 Compliance Review, Executive

Order 11063

\(6\) Special Indicator (Position 13)

One digit number which indicates (a) whether or not the

compliance activity was a review of a conciliation

agreement and (b) whether or not the compliance review was

initiated by a complaint. If the compliance review does

not qualify under a or b above, position thirteen (13)

should be left blank.

Otherwise position thirteen (13) should be coded as

follows:

One (1) - if a compliance review of a conciliation

agreement

Two (2) - if a compliance review initiated by a

complaint

Note: If codes 1 or 2 are placed in position thirteen

\(13\) of the file number, the first twelve (12) digits

of the file number (excluding the special indicator) of

the initiating complaint should be entered on the log

as the information item described as file number of

initiating complaint which immediately precedes

Milestone Action Completion Dates.

b\. Compliance Review Opened. Date the determination is made to

conduct the compliance review. Note that this date and all

succeeding dates shall be calendar dates entered in a six

digit format indicating year, month and day. For example,

December 25, 1978 shall be entered as 781225.

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

Page 3-13 11/80

HUD-Wash., D. C.

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

8000.1 REV-1

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

c\. Determination Code. Two digit numeric code to indicate the

reason the determination was made to conduct a compliance

review. Below are listed the valid determination codes:

Code Description

01 Regularly scheduled

02 Initiated by complaint

03 On request of Area/Service Office

04 Initiated by Director, Regional FHEO for

failure to comply with reporting

requirement

05 Initiated by Director, Regional FHEO for

apparent noncompliance after show cause

06 Initiated by Director, Regional FHEO

\- other

07 At request of Assistant Secretary for FHEO

d\. Closed. Date on which the compliance review is completed.

e\. Closing Code. Four digit numeric code to indicate the

outcome or result of completion of the compliance review.

Below are listed the valid closing codes:

Code Description

1100 No violation found, no corrective

action required.

1200 Successful resolution, respondent

brought into compliance.

1300 Non-compliance - Transferred to Title VI

or EO 11063 for appropriate action.

1400 Non-compliance - recommendation to

Headquarters for referral to Justice.

1500 Non-compliance - recommendation to

Headquarters for appropriate sanctions.

1600 Non-compliance, other.

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

11/80 Page 3-14

HUD-Wash., D. C.

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

8000.1 REV-1

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

Appropriate for Title VIII Conciliation Agreements only:

Code Description

1700 Compliance obtained after reconciliation,

no additional corrective action

incorporated.

1800 Compliance obtained after reconciliation,

additional corrective action

incorporated.

1900 Non-compliance after attempt to

reconciliate, no further action taken.

Appropriate for Affirmative Fair Housing Marketing only:

2000 Non-compliance-adjustment in plan agreed

to and will be re-reviewed after

specified time period.

f\. Respondent or Recipient. Last name and initials of the

respondent or recipient if an individual; if not an

individual enter other appropriate identification. Care

should be taken to consistently record the identification of

the respondent or recipient in the exact same manner each

time he/she/it is recorded in the logs. This is necessary

to facilitate retrieval of information on multiple compliance

reviews of a particular recipient or respondent particularly

across authorities. Note that all name fields are limited

to 25 characters.

g\. State/County. Five digit code to identify the location of

the project on which the compliance review is conducted.

The valid two digit state codes and three digit county codes

are included in the HUD Handbook of Codes and as Appendix 6

of this document.

h\. Program. Three digit alpha code to identify the HUD program

through which the recipient agency is funded. Program is

not applicable to compliance reviews of Title VIII

conciliation agreements and should, therefore, in those

instances be left blank. In all other instances this item

should be recorded. See Appendix 7 of this document for a

list of valid HUD program codes.

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

Page 3-15 11/80

HUD-Wash., D. C.

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

8000.1 REV-1

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

i\. Follow-up Meeting. Date on which a follow-up meeting is

held to determine if further enforcement action is needed.

j\. Date of Last Review. Date of last known compliance review

conducted of this respondent or recipient.

k\. Compliance Review in Section 8 Program. Three digit numeric

code to indicate a compliance review in the Section 8 Program.

If the compliance review applies to the Section 8 Program,

this field shall contain \"231.\" Otherwise this data item

shall be left blank.

l\. File Number of Initiating Complaint. This twelve digit item

shall contain the first 12 positions of the file number of

the initiating complaint. If the Special Indicator of the

file number contains 1 or 2, this item of data shall be

provided. In all other instances the data item shall be

left blank.

m\. Milestone Action Completion Dates. The HUD 930.1B contains

four columns to record critical milestone actions associated

with the conduct of compliance reviews under Title VIII or

EO 11063. Whenever a milestone action listed is completed,

the date of completion is to be entered in the appropriate

columns. Note that all dates shall be calendar dates entered

in the six digit format YYMMDD indicating year, month and day

of action.

\(1\) Review Commenced

The date the review is initiated by the FHEO Specialist

assigned.

\(2\) Review Completed

Date on which the compliance review report is completed

and transmitted to the Director, Regional FHEO to make

a determination.

\(3\) Determination

Date the Director, Regional FHEO determines whether or

not corrective action is required.

\(4\) Conciliation Conference

Date of completion of the conciliation conference.

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

11/80 Page 3-16

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

8000.1 REV-1

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

n\. FHEO Specialist Assigned. Last name and initials of the

FHEO Specialist assigned responsibility for the conduct of

the review.

o\. Remarks.

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

Page 3-17 11/80

HUD-Wash., D. C.