( 8000.1 REV-1

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CHAPTER 7

STATUS SUMMARY LOG

Section 504 of the

Rehabilitation Act of 1973

(INTERIM INSTRUCTIONS)

7-1 Purpose. To provide interim instructions for receiving, recording

and controlling complaints and compliance reviews and reporting

actions taken during processing of complaints and compliance

reviews under Section 504 of the Rehabilitation Act of 1973.

This is a temporary reporting system only and data will not be

entered into the computer.

7-2 Submission of Reports. Reports will be forwarded in two (2)

copies to Headquarters by the 3rd day after the close of the

reporting month to:

Office of Fair Housing and Equal Opportunity

Attn.: HUD Program Compliance

7-3 Applicability. The following applies to the status summary log

for Section 504 of the Rehabilitation Act of 1973. The HUD

930.5 shall be used for recording the status of all complaints

and compliance reviews processed under the authority of Section

504\. This log shall be maintained on a current basis in each

Regional Fair Housing and 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 Fair Housing

and Equal Opportunity.

7-4 General Description. The HUD 930.5 shall contain identification

and status information on Section 504 complaints and compliance

reviews. In general, the status summary log contains a unique

case identification code (file number), identification of

recipient agency, basis and issue of allegation and HUD program

involved, and critical milestone activities associated with

processing under the statute. In addition to providing for the

dates of milestone actions, the status summary log, in relevant

instances, provides for milestone codes which further describe or

identify the results of a particular milestone action.

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8000.1 REV-1

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7-5 Instructions for Completion of the HUD 930.5.

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

complaint or compliance review. It is composed of twelve (12)

digits as follows:

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

Two digit number from 01 to 10 to identify Region in

which case is processed.

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

Fiscal Year of the date of receipt of a complaint or

date determination is made to conduct a compliance

review.

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

Calendar month of the date of receipt of a complaint

or date determination is made to conduct a compliance

review.

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

Three digit number assigned chronologically within

fiscal year by receipt date of complaint or date of

determination to conduct a compliance review. This

number should be unique.

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

Three digit number which identifies a complaint or

compliance review and the Federal law or HUD

regulation under which it is processed. Below are listed

the valid authority codes:

Code Description

370 Section 504 Complaint

375 Section 504 Compliance

Review

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8000.1 REV-1

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b\. Complaints Received. Date of receipt of a Section 504

Complaint. This item applies to complaints only and

shall be left blank when recording a compliance review.

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\. Compliance Review Opened. Date of determination to

conduct a compliance review. This item applies to

compliance reviews only and shall be left blank when

recording a complaint.

d\. Recipient. Identification or name of recipient agency

under investigation. This and all other name fields shall

be limited to 25 characters.

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

recipient agency under investigation. 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.

f\. Basis. Two digit code to indicate the basis of the complaint.

The only valid basis for a Section 504 complaint is handicap.

Below are listed the basis codes assigned to distinguish

between physical and mental handicaps.

Code Description

78 Physical Handicap

79 Mental Handicap

When recording a compliance review, this item shall be left

blank.

g\. Issue. Three digit code to identify the major or primary

issue involved in a Section 504 allegation.

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8000.1 REV-1

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Code Description

700 Discrimination in employment

800 Discrimination in services

or facilities

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

program through which the recipient agency is funded.

See Appendix 7 of this document for a list of valid

HUD program codes.

i\. Milestone Actions. The HUD 930.5 contains several

columns denoting critical milestone actions in the

processing of complaints and compliance reviews under

Section 504. Whenever a milestone action listed is

completed, the date of completion and appropriate

completion code, if applicable, is to be entered in

the six digit format YYMMDD indicating year, month

and day of action.

\(1\) Investigation Commenced on Site

Date of the first on-site investigation.

\(2\) Prelim/draft Report Completed

Date of completion of the narrative prelim/draft

report which outlines the basis for a determination

of the compliance status of a recipient.

\(3\) 30-Day Notice

Date 30-day letter is sent to the recipient.

\(4\) Negotiation Initiated

Date of initiation of negotiations with a recipient

to obtain voluntary compliance.

\(5\) Results of Negotiation

One digit numeric code to indicate outcome of

negotiations initiated in (4) above. Below are

listed the only valid Results of Negotiation codes:

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8000.1 REV-1

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Code Description

1 Compliance achieved

2 Voluntary plan secured

3 Recipient failed to

voluntarily comply

\(6\) FIR Completed

Date of completion of the final investigation

report containing the signature of the Director,

Regional Fair Housing and Equal Opportunity and

other appropriate FHEO personnel.

\(7\) Closed

Date on which the case is considered closed at the

Regional Office level.

\(8\) Type of Closure

One digit numeric code to indicate reason for case

closure at the Regional Office level. Below are

listed the only valid closure codes:

Code Description

1 Lack of Jurisdiction

2 Substantial Compliance - In

compliance (no corrective

action needed)

3 Substantial Compliance

\- Voluntary compliance achieved

7 Matter to be handled under

other authority

\(9\) Referred to Headquarters

Date on which the Director, Regional Fair Housing

and Equal Opportunity refers the matter to

Headquarters for administrative action.

\(10\) Reason for Headquarters Referral

One digit numeric code to describe the reason for

referral to the Assistant Secretary for Fair Housing

and Equal Opportunity.

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8000.1 REV-1

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Below are listed the only valid referral codes:

Code Description

1 Recommendation for initiation

of administrative process

3 Recommendation for referral to

other Federal agency

4 For advice

\(11\) Follow-Up

Date of completion of follow-up activity by

Regional Office staff.

\(12\) Type of follow-Up

Two digit numeric code to indicate type of or

reason for conduct of follow-up activity and

results of that follow-up. Below are listed

the only valid follow-up codes:

For digit one, the leftmost digit:

Code Description

1 Additional work required

after case has been sent to

and referred from Headquarters.

2 Document review of the operation

of a voluntary compliance plan.

3 On-site review of the operation

of a voluntary compliance plan.

For digit two, the rightmost digit:

Code Description

1 Referral to Headquarters for

recommendation for initiation

of administrative process.

3 Referral to Headquarters for

recommendation for referral

to other Federal agency.

4 Referral to Headquarters for advice.

5 In compliance, no further action

necessary.

6 Terms of voluntary plan being met.

j\. Remarks.

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