8040.1

CHAPTER 8. FINAL INVESTIGATION REPORT (FIR)

OF A COMPLIANCE REVIEW OR COMPLAINT INVESTIGATION

34\. GENERAL. The final investigation report (FIR) of a

compliance review or complaint investigation is a narrative

written report setting forth information requisite to making

a determination regarding an applicant or recipient\'s

compliance or noncompliance with the provisions of Title VI

and implementing regulation. The facts referred to in the

report should be documented by verified statistical data,

actual copies of all ancillary written matter, and data

sources.

35\. IN PREPARATION. The investigator (or team leader) should

acquire enough information to write a concise, accurate,

impartial report which presents a factual account of the

compliance review or investigation.

a\. Working Papers. All notes or papers prepared in

preparation for the field visit and those acquired

during the course of the field visit may be classified

as \"working papers\". Working papers are a record of

the information obtained in the course of a compliance

review or investigation. They serve as a repository for

information until more time is available to analyze the

facts and observations recorded. 2/

b\. Record of Correspondence. Each case investigated or

reviewed under Title VI authority must have a composite

(bound) chronological record of all correspondence

related to the case. Information found in the record

of correspondence items 1-4 below may be subject to

release under the Freedom of Information Act. The

record of correspondence should not be made a part of

the FIR and should contain the items described below:

\(1\) copies of all correspondence received by the

0ffice of ARA/FHEO on the subject of the review or

investigation should be attached to the right side

of a book type binder in chronological order, with

the most recent correspondence on top;

2/ Compliance Officer\'s MANUAL, A Handbook of

Compliance Procedures under Title VI of the Civil

Rights Act of l964, prepared by the U. S. Civil Rights

Commission, October, 1966, Section 7.36, p. 20.

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8040.1

\(2\) copies of all outgoing correspondence from the

Regional Office on the subject of the review or

investigation should be attached to the left side

of the above referenced binder in the same

corresponding chronological manner;

\(3\) copies of telephonic summaries or reports in which

an interview or conference was conducted by HUD

staff among themselves should be specially tabbed

in one section and appended to the left side of

the binder; and

\(4\) copies of telephonic summaries or reports in which

an interview, conference, or conversation was

engaged in by a HUD employee with a non-HUD

employee, should be attached in a special tabbed

section on the right side of the binder.

c\. Analyzing Working Papers and Raw Data. All material

which relates to an agency (applicant/recipient) which

is the subject of a Title VI field visit should be

thoroughly analyzed and synthesized. For example:

\(1\) Statistical Data. \"Statistical data relating to

the area of the service supplied by the recipient

may be an important index for evaluating

disparities between white and nonwhite minority

beneficiaries. One form of discrimination may lie

in providing benefits or services to minority

groups but in a more restricted fashion by

treating them differently in determining whether

they satisfy admission, enrollment, eligibility,

membership, or other requirements of

participation. Statistical information on the

potential availability of white and nonwhite

beneficiaries may provide a lead to the existence

of discrimination which is more subtle in form.

Compliance officers should secure and carefully

analyze statistical data in the light of the

recipient\'s program results. Care should be taken

to secure statistical information which is

objective and reliable.

\(a\) Special prepared reports can be requested

from recipients and estimates of white and

nonwhite participation can be requested.

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8040.1

\(b\) \"All reports or data which indicate race

should be examined, including reports on

program participation made to State

Officers.\" 3/

\(2\) Personal Observation. \"The personal observation

of the compliance officer can produce valuable

evidence particularly in areas of the physical

facilities or recipients such as:

Rest rooms Entrances

Elevators Play areas

Day Care facilities Laundry facilities

Corridors

\(a\) \"This source of information should be

utilized to the fullest extent feasible in

each review-investigation. Whenever possible

the evidence of discrimination disclosed by

the compliance officer\'s observation should

be corroborated by other evidence or

witnesses.

\(b\) \"Among other things personal observation

should not on determine whether facilities

are marked by race but used by one race and

whether those used were formerly designated

for use by race. Also, particular notice

should be given to the location of minority

group employees as well as the extent to

which employees are limited to the provision

of service to beneficiaries of a like racial

group.

\(c\) \"Compliance officers should exercise care to

note and report their factual observation

rather than the conclusions drawn from such

observation. Listed below are examples of

the right and wrong ways of reporting

observations.

1 Wrong: \'Director stated that although

racial designations had been removed

from all public facilities, they were

still used on a racially separate basis.

Physical inspection confirmed this.

2\. Right: \'The director said although he

had taken the signs down from the

waiting rooms, rest rooms, and drinking

fountains which previously designated

them for white and colored use, Negro

clients still come in and take seats in

the formerly Negro

3/ ibid., Compliance Officer\'s MANUAL, page 18.

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8040.1

section and use the drinking fountains

and rest rooms formerly assigned to

then. Personal inspection of the

premises disclosed that there were two

waiting rooms, on opposite sides of the

hall, with separate drinking fountains

inside the rooms. One of these rooms was

occupied exclusively by white men and

women and the other exclusively by Negro

men and women. Rest rooms with neither

race nor sex markings were observed in

both of these rooms. Rest rooms at the

other end of the hall were marked \'staff

only\'\".

36\. VERIFICATION. \"The compliance officer should continually

review the information he (she) has collected with a view to

determining whether or not it provides a reliable, objective

answer to the question of recipient\'s compliance with the

requirements of Title VI of the Civil Rights Act. He (she)

should be particularly alert to question the reliability of

witnesses to whom he (she) has been directed by a party who

has an interest in the result of the investigation. The

compliance officer should make every effort to examine

sources of information which are most likely to reveal the

existence of compliance or a pattern of noncompliance.\" 4/

37\. THE REPORT. The report should be self-contained. It should

provide enough background data to reflect the circumstances

which necessitated a field visit, demographic data, or

description of the location, size, number and type of HUD

programs offered, level of HUD funding, issues raised (or

allegations) a statement as to the apparent Title VI

compliance status, documentation to support such a

statement, a statement which reflects the ARA/FHEO or

designated staff persons\' efforts to secure voluntary

compliance, an indication as to the success or failure of

the FHEO efforts to secure voluntary compliance and

recommended action to be taken by HUD with respect to the

recipient agency.

38\. BINDER. All Title VI FIR\'s are expected to be bound in a

fashion which permits easy access and extensive use. All

reports of Title VI cases referred to the Central Office of

FHEO shall be forwarded with a firm or hard legal size

cover. All pages shall be attached at the top with

removable fasteners and shall be indexed with numbered

pages.

39\. CONTENTS OF THE REPORT.

a\. Hard Back Cover. The outside front cover shall contain

a large gummed label, which identifies the recipient, the

Regional case number and date(s) of the review or

investigation. To illustrate:

4/ ibid., Compliance Officer\'s MANUAL, page 19.

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Final Investigation Report

under

Title VI of the Civil Rights Act of 1964

in the

Matter of the Bo Housing Authority, Bo, Kimwipe

Case No. 11-75-03-047-(000)

Date of Investigation: May 3-7, 1975

\(1\) The case name and number should also appear on a

narrow gummed label on the right identification

tab of the back cover of the binder.

NOTE: The inside of the front cover should

contain copies of the same outgoing correspondence

referenced at paragraph 35(b)(2).

b\. Summary Page. The report should contain one (1) page

immediately, following the cover page, which succinctly

summarizes the case (Case Summary). The case summary

should include:

\(1\) the title of the case, e.g. Report of a Title VI

Compliance Review, in the Matter of the Bo Housing

Authority (see Subsection a. of paragraph

39,above) and the dates of the field visit;

\(2\) a brief statement of the purpose for the field

visit and;

\(3\) a brief statement summarizing the issues (or

allegations), matters reviewed or investigated,

apparent Title VI status (substantial compliance

or noncompliance), efforts to secure voluntary

compliance, and the disposition of the case at the

Regional level, (e.g. closed, referred to Central

Office for enforcement, or case being monitored).

c\. Table of Contents. The table of contents should be

easy to read and should accurately reflect the location

of material in the report.

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8040.1

d\. The Report. The report should contain but not be

limited to:

\(1\) the legal status of the agency being reviewed

(e.g. private corporation or agency, or agency of

the local, city, or state government);

\(2\) demographic data of the locality, community, or

SMSA, as appropriate;

\(3\) a description of the location, size, number and

type of HUD program(s) operated by the recipient;

\(4\) level of HUD funding in each program or activity.

reviewed or investigated;

\(5\) historical background which may be relevant; and

\(6\) a reference to the receipt of the signed Title VI

assurance of compliance from recipient agency, or

appropriate certification; the notice of apparent

noncompliance to the recipient as well as any

recipient responses in that regard; and the notice

of failure to secure compliance voluntarily.

Appropriate copies shall be appended in the

exhibit section of the report.

IMPORTANT NOTE: If the matter is a complaint

investigation this fact should be stated in the

background data section. The actual complaint

should NOT BE included in the FIR, but should

become a part of the Regional Office FHEO Record

of Correspondence File on the subject case. All

reference to the person who filed a complaint

shall be simply \"complainant\". These practices

are designed to comply with Section 1.7(e) of the

Title VI Regulation, which requires the identity

of complainants to be kept confidential except to

the extent necessary to carry out the purposes of

Title VI; and to further guard against the

inadvertent release of a complainant\'s identity

when and if a Title VI FIR is required to be

released under the Freedom of Information Act

(FOIA). (See Chapter 10 for further explanation of

FOIA requirements).

e\. Background Data, \"The details of the report should

reflect appropriate background data on the recipient.

The extent of the background information would be

determined by the exigencies of the particular case.

Sufficient background should be given so that the

findings can be fully understood.\" 5/

5/ ibid., Compliance Officer\'s MANUAL, page 22.

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8040.1

f\. Specific Title VI Violation, Issue or Allegation. Each

Title VI violation, issue, or allegation should be

stated, referenced to the appropriate section of the

Statute or regulation and consecutively numbered on one

page (or as many pages as appropriate). This

requirement is to facilitate ready reference to the

specific violation, issues, or allegations.

g\. Documentation. The report shall contain a section

(tabbed) to reflect eac7-issue separately. Under that

section shall be found: a statement of the issue,

statistical data as well as a narrative analysis of the

statistical data which supports the issue, and/or a

Narrative account of information which documents the

existence or nonexistence of the alleged Title VI

violation. Copies of actual documents should be

catalogued, placed in the appendix or exhibit section

of the report, and appropriately referenced in the

narrative section which discusses each allegation or

issue.

h\. Conclusion. Every FIR of a Title VI matter shall

contain a statement as to whether data obtained as a

result of field visits indicates substantial compliance

or apparent noncompliance with Title VI.

i\. Recommendation. Every FIR of a Title VI matter shall

contain a recommendation(s) for Departmental action

with respect to the matter in question. Said

recommendation might be:

\(1\) Closed. Recipient is in substantial compliance

with Title VI;

\(2\) Closed. The matter will be handled under other

civil rights authorities available to the

Department. The authority available to the

Department and recommended to be used in lieu of

continuing the Title VI process should be stated.

Moreover, the AS/FHEO must concur in the

recommendation prior to closure for the purpose

stated here;

\(3\) Enforcement. Referred for administrative hearing

under the Department\'s Title VI Regulation.

\(4\) Undetermined. Monitoring in process. The AO/FHEO

shall monitor recipient actions which are

considered questionable under Title VI by the

ARA/FHEO\--the action does not (either standing

alone or in comparison with other data) con-

47

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8040.1

stitute a clear Title VI violation. Recipient

should monitored by AO/FHEO (not to exceed (1)

year until the questionable area clearly manifests

either substantial compliance or apparent

noncompliance as determined by Regional FHEO

compliance staff. The case shall not be closed at

the Regional Office level until the compliance

status of recipient can be determined; and

\(5\) Referred to the Department of Justice. Cases

referred to the Department of Justice shall not be

closed in this Department until final resolution

by the Justice Department. The AS/FHEO shall

refer cases to the Justice Department, through the

Office of General Counsel, as appropriate.

j\. Exhibits. Exhibits may be documentation which supports

or refutes allegations of violation of Title VI or its

implementing regulation; and data which demonstrates

HUD effort-s to secure recipient compliance with Title

VI and the Department\'s Regulation.

k\. Signature Page. Title VI FIRs shall contain the names

of all persons on the investigation team; the signature

of the principal investigator (or team leader); the

signature of the Director of Compliance; and the

signature of the ARA/FHEO. The date of each signature

should also be recorded on the/ last page of the

report.

l\. Expanded Report. Optional. Matters in a Title VI FIR

which may arise and do not fit appropriately under any

of the above stated categories may include: a detailed

explanation of the process utilized in analyzing

statistical data; list of persons (by title) contacted

but not necessarily interviewed in depth; or impartial

comments and observations of the investigator of a

tangential nature.

m\. Writing the Final Report. Matters contained in the FIR

become the record (at the investigatory level) upon

which a Title VI case might be based. Such

investigatory records may be subject to disclosure

under the Freedom of Information Act. (See Chapter 10).

\(1\) The report should be written in the third person.

Opinions, presumptions, and

unfounded conclusions should not be expressed in

the report. If the investigator includes personal

observations they should be placed in parentheses

and preceded by the word \"Note\".

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8040.1

\(2\) The report should be written succinctly. Use of

cliches, irrelevant material or observations,

slang or jargon are not appropriate and should, if

found in the preliminary report, (referenced in

Chapter 6, paragraph 26 c) be eliminated before

the report is prepared in its final form.

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