8000.1 REV-1

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CHAPTER 4. STATUS SUMMARY LOG

TITLE VI OF THE CIVIL RIGHTS ACT OF 1964;

SECTION 109 OF THE HOUSING AND COMMUNITY

DEVELOPMENT ACT OF 1974

4-1 Applicability. The following applies to the status summary log

for Title VI of the Civil Rights Act of 1964 and Section 109 of

the Housing and Community Development Act of 1974. The HUD 930.2

Rev. shall be used for recording the status of all complaints and

compliance reviews processed under the authority of Title VI and

Section 109. 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.

4-2 General Description. The HUD 930.2 Rev. shall contain

identification and status information on Title VI and Section 109

complaints, Section 109 compliance reviews, as well as Title VI

compliance reviews of which there are three (3) types - Single

Agency Compliance Reviews, Community-wide Compliance Reviews, and

Follow-up Reviews. In general, the status summary log contains a

unique case identification code (file number), identification of

recipient agency, basis of allegation and HUD program involved,

and critical milestone activities associated with processing under

these statutes. 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.

4-3 Instructions for Completion of the HUD 930.2

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 (Positions 1 - 2)

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

case is processed.

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

Fiscal Year of the date of receipt of a complaint or date

determination is made to conduct a compliance review.

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8000.1 REV

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

Calendar month of the date of receipt of a complaint or

date determination is made to conduct a compliance review.

\(4\) Serial (Positions 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

300 Title VI Complaint

310 Compliance Review, Title VI

(Single Agency)

320 Compliance Review, Title VI

(Community-wide)

330 Follow-up Review, Title VI

340 Section 109 Compliance Review

350 Section 109 Complaint

360 Follow-up Review, Section 109

b\. Complaint Received. Date of receipt of a Title VI or Section

109 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.

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8000.1 REV-1

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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 bases for a Title VI complaint are race, color,

and national origin; the only valid bases for a Section 109

complaint are race, color, national origin and sex. Below

are listed the valid basis codes:

Code Basis Major Category Sub-Category

10 Race White (Not of Hispanic N/A

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 Islander

51 Chinese

52 Filipino

53 Hawaiian

54 Japanese

55 Korean

56 Micronesian

57 Polynesian

70 2/ Sex Sex

71 Male

72 Female

75 Color Color N/A

77 National National Origin N/A

Origin

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2/

For use with Section 109 complaints only.

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8000.1 REV-1

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g\. 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.

h\. Milestone Actions. The HUD 930.2 Rev. contains several

columns denoting critical milestone actions in the processing

of complaint and compliance reviews under Title VI and Section

109\. 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 investigative on-site visit.

\(2\) Preliminary Report Completed

Date of completion of the narrative preliminary report

which outlines the basis for a determination of the

compliance status of a recipient.

\(3\) 30-Day Notice (and/or Referral to City)

Date 30-Day letter is sent to the respondent if a Title

VI matter. Date of referral to the unit of local

government if a Section 109 matter.

\(4\) 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:

Code Description

1 Compliance Achieved

2 Voluntary Plan Secured

3 Recipient failed to voluntarily comply

4 Recipient failed to voluntarily comply.

Interim Deferral Imposed.

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8000.1 REV

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\(6\) FIR Completed

Date of completion of the final investigation report

containing the signature of the Director, Regional

FHEO and other appropriate FHEO personnel.

\(7\) Consequential Deferral

Effective date of a consequential deferral, i.e., the

date of instructions to Area or Service Office to

postpone processing applications for assistance in the

program under investigation pending initiation of

enforcement proceedings. Applicable to Title VI only.

\(8\) Closed

Date on which the case is considered closed. (See HUD

Handbook 8040.1 - Compliance and Enforcement Procedures

for Title VI of the Civil Rights Act of 1964, Chapter 8,

paragraph 39(i)).

\(9\) 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

4 Matter to be handled under Title VIII

5 Matter to be handled under Section 109

6 Matter to be handled under EEO Contract

Clause

7 Matter to be handled under other

authority

8 Complaint withdrawn

9 Compliance status - undetermined

(monitoring in process)

0 Termination of funds after hearing

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8000.1 REV-1

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\(10\) Referred to Headquarters

Date on which the Director, Regional FHEO refers the

matter to Headquarters for appropriate action.

\(11\) Reason for Headquarters Referral

One digit numeric code to describe the reason for referral

to the Assistant Secretary for Fair Housing and Equal

Opportunity.

Below are listed the only valid referral codes:

Code Description

1 Recommendation for initiation of

administrative process

2 Recommendation for referral to Justice

3 Recommendation for referral to other

Federal agency (other than Justice)

4 For advice

\(12\) Follow-up

Date of completion of follow-up activity by Regional

Office staff.

\(13\) 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 Monitoring Activity

2 Activity after case has been sent to

and referred from Headquarters for

action.

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8000.1 REV-1

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For digit two, the rightmost digit:

Code Description

1 Referral to Headquarters for

recommendation for initiation of

administrative process.

2 Referral to Headquarters for

recommendation for referral to

Justice.

3 Referral to Headquarters for

recommendation for referral to

other Federal agency

4 Referral to Headquarters for advice

5 In compliance

6 Compliance achieved or terms of plan

being met

7 Interim deferral

i\. Remarks.

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