8000.2

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CHAPTER 2. SYSTEM SUMMARY

2-1. INPUT OR SOURCE DOCUMENT. The automated data base is formed by

information recorded on the HUD 930.1A through 930.4 and [HUD
948](http://www.hud.gov/offices/adm/hudclips/forms/hud9a.cfm#group3).

These forms contain all data recorded on the processing of

complaints and compliance reviews under the various Civil Rights

authorities.

a\. The HUD 930.1A through 930.4 contain information on complaints

and compliance reviews as follows:

HUD 930.1A - Regional Monthly Status Summary of

Complaints Received, Title VIII of the

Civil Rights Act of 1968 and Executive

Order 11063 (Complaints only)

HUD 930.1B - Regional Monthly Status Summary of

Compliance Reviews, Title VIII of the

Civil Rights Act of 1968 and Affirmative

Fair Housing Marketing (Compliance reviews

only)

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 (Complaints

and Compliance Reviews)

HUD 903.3 - Regional Monthly Status Summary - Equal

Employment Opportunity Contract Clause

HUD 930.4 - Regional Monthly Status Summary of

Complaints Received and Compliance Reviews

Conducted, Section 3 of the Housing and

Urban Development Act of 1968 (Complaints

and Compliance Reviews)

\(1\) A file number which is used as the controlling

identification number in the automated system is recorded

on each form. In addition, information which describes the

allegation, location data, critical milestone action

dates associated with proper case handling, and information

on the outcome or result are recorded for each complaint

or compliance review.

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2-1 8/80

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8000.2

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b\. The HUD 948 (State/Local Referral Agency Reports) provides

information on the processing of Title VIII complaints which

have been referred to state and local agencies for handling

under the Department\'s Substantial Equivalency Regulation.

This unique form is the only source document which is submitted

to the data base after the complaint has been completely

processed. Its primary value is that it contains information on

state or local agency complaint processing which can be used

to aid in an evaluation of the agency\'s substantial equivalency

posture. In practice, a HUD 948 is completed and entered into

the automated data base for each Title VIII complaint recorded

on the HUD 930.1A as closed by a state or local agency.

(For instructions on the completion of these forms, see

. For samples of these forms see Appendix 4.)

2-2. EDIT/UPDATE - OVERVIEW. The second phase of the Automated

Complaint and Compliance Review System relates to the creation

and maintenance of the automated data base from the input or

source documents. The data base is composed of six separate

files \-- one for each form (HUD 930.1A, 930.1B, 930.2, 930.3,

930.4, and 948). Information on each of these documents is

keyed into the system (or converted to machine readable form),

if valid, the information is made a part of the automated data

base, and edited. Errors detected by the machine edits are

relayed to the user in the Edit Error Listings, which are

the output reports produced from the edit/update phase.

2-3. TYPES OF TRANSACTIONS. The permissible activities against the

data base are additions, changes, and deletions. For instructions

on the preparation of addition, change, and deletion transactions

see Handbook 8000.1, FHEO Complaint and Compliance Review

Reporting and Control Procedures.

a\. By definition, an addition is the entry of a complaint or

compliance review for the first time into the data base.

The minimum data which should be present to make an addition

to the data base are the file number and a complaint receipt

or compliance review opened date, whichever is applicable.

If this minimum data is not present and valid, the case

will be flagged as an acceptable fatal error, maintained

on the file but not included in system status and workload

summary reports.

b\. A change is, by definition, any action to modify a data

item on a case which has previously been added to the system.

The change data will replace whatever previously existed in the

given field for that case. Thus, a change transaction is used

to correct a data item previously entered incorrectly, or to

insert a data item which was previously missing from the case.

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8/80 2-2

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8000.2

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\(1\) A change transaction may be used to delete a single

data item, i.e., change a previously entered field to

spaces. This is accomplished by a change transaction

containing all 9\'s in the data item field or fields to be

blanked out. The number of nines (9\'s) must be equal

to the maximum number of characters that may exist in the

field. This single field deletion procedure may be used

for all data items except the file number on all files

and the Compensation Awarded field on the 930.1A file. A

file number may never be changed because it is the single

item which uniquely identifies the case in the data base.

If it becomes necessary to correct a file number, a

deletion transaction must be entered for the case with

the incorrect file number and an addition transaction

entered with the correct file number.

c\. A deletion is the transaction which will cause a case to be

dropped from the data base. A deletion is possible only on

a case which has been previously added to the system.

2-4. DATA ENTRY. The transactions are entered into the system through

the use of HUD\'s Linolex terminals located in each Regional Office.

Complete instructions for use of the Linolex terminals are

contained in Handbook 2361.7 FHEO Complaint and Compliance

Review System, Terminal Operating Procedures.

a\. The data capture tape is the mechanism used to key the data

into the system. The capture tape contains a frame

corresponding to each of the system input documents, i.e., HUD

Forms 930.1A, 930.1B, 930.2, 930.3, 930.4 and 948. Limited

editing is built into each frame of the capture tape to

prevent such occurrences as entering alphabetics in an all

numeric field or entering an invalid file number.

\(1\) In addition to the ability to visually verify each

transaction prior to writing it onto the tape file

to be transmitted, the capability is provided to

list or print the data tapes which contain the keyed

transactions. Printing of the data tapes may be

accomplished both prior to and after transmission of

the data to the central computer site. The printout of

the data tapes may be useful for verification and audit

trail requirements. See HUD Handbook 2361.7, Chapter 1-2,

Paragraph (10) for precise instructions for printing the

cassette data tapes.

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2-3 8/80

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8000.2

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\(2\) If it becomes necessary to delete a transaction after it

has been written onto the cassette data tape, but prior

to the tape being transmitted to the central computer site,

it can be recalled and marked so that the system\'s edit/

update programs will process it but make no alterations

to the data base. For instructions to implement this

procedure see the HUD Handbook 2361.7, Chapter 1-2,

Paragraph 8, Subparagraph (i).

2-5. EDITING AND UPDATING OF THE DATA BASE. The transaction data entered

via the Linolex terminals is transmitted to the central computer

site in Headquarters where it is batched and processed weekly.

a\. Prior to the update transactions being entered into any of the

system\'s edit/update programs, they are sorted for the entire

country by their file number in ascending order. If there are

two or more transactions with the same file number, then all the

deletion transactions (\"D\") will be processed before the

addition ones (\"A\") which in turn will be processed before the

change transactions (\"C\"). Therefore, the user can replace an

existing record on the master file with a new one by submitting

both a deletion and an addition transaction having the same

file number during the same processing run.

\(1\) However, because of the way transactions are collated,

the user cannot delete an old record, replace it with a

new record having the same file number and then delete the

new record during the same update processing run. The old

record would be deleted by the first deletion transaction

as desired. The second deletion transaction would be

processed next and would result in the transaction being

rejected with the fatal error message, \"NO MASTER

RECORD TO DELETE, TRANSACTION REJECTED,\" as the previous

deletion transaction removed it. Therefore, after the

update process is completed, the new record would exist

on the master file even though this was not desired.

\(2\) While the collating sequence processes \"D\", \"A\" and \"C\"

transactions having the same file number in this order,

the EDIT/UPDATE Program does not permit a change

transaction to update any fields on a record that was

just added to the Master File during the same processing

run. Instead, the change transaction would be rejected

with the fatal error message, \"NO MASTER RECORD TO CHANGE,

TRANSACTION REJECTED.\" This will occur inspite of the

fact that after the update processing run a record will

exist on the updated master file, because the immediately

preceding addition transaction with the same file number

was processed.

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8/80 2-4

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8000.2

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2-6. EDIT ERROR LISTINGS

a\. Structure of Listings. There are six (6) types of Edit Error

Listings. Each listing informs the user of the results of an

update or the current status of the existing data base. The

types are identified by descriptive headings. At the top of

each page on the left there is a Product Information Code

(PIC), as an example EO2ACC-E. This code contains the CCRS

System Code (EO2) followed by a sequence code of A. The next

code is an A, B, C, D or E. This code corresponds to the HUD

form number (930.1A, 930.1B, etc.) to which the listing applies.

The HUD form number is found in the center of the page, second

line. The next character of the PIC is always a C. This

character is not intended to provide the CCRS user any meaningful

information. The last character of the PIC, that to the

right of the hyphen, informs the user which of the reports are

being referenced. The last character of PIC code is an A thru

F corresponding to the following types of listings.

LISTING TITLE LAST CHARACTER OF PIC

Accepted Error Free Updates A

Non-Fatal and Accepted Fatal B

Rejected Fatal C

Summary D

Master File Status E

Legend F

The above titles are printed in the center of the page, most

often on the third line. On the right side of the page is

printed the date (MM/DD/YY), month, day, year, and the time

(HH:MM:SS:), hour, minute and second, that the listing was

started. Below the time, the title OPTION: is followed by

either \'ERROR\', \'UPDATE\', or \'ALL.\' These options are

explained in Paragraph 2-6b of this Chapter.

\(1\) The Accepted Error Free Updates Listing is generated

only when the \'UPDATE\' option is requested. This

listing informs the user of those updates made to the

data base which were error free. Each case listed has

printed to the left of the \'FILE-NUMBER\' the type of

update that was performed on that case (Add, Delete, or

Change). When a data base record is changed two lines

are printed for the case. The top line is the data base

record as it exists after being updated. Any data element

that is changed is preceded by an asterisk. Each data

element of all added and deleted cases are printed.

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2-5 8/80

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8000.2

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\(2\) The Non-Fatal and Accepted Fatal Updates Listing

contains information regarding added or changed cases

which are in error. The type of update is printed to the

left of each FILE-NUMBER. The next line identifies the

type of error that was produced from this update. Errors

found on this listing are only non-fatal or accepted fatal.

A non-fatal error is defined as data which is not valid

for a particular field of information but the existence

of which does not cause the case to be excluded from the

system output summary workload and status reports. An

accepted fatal error is defined as data which is not

valid for a particular critical field of information

and the existence of which causes the case to be excluded

from the system output summary workload and status reports.

Errors in the following data items cause \"Accepted\"

fatal errors:

1\) Complaint Received or Compliance Review

Opened Date

2\) Closed Date

3\) Closing Code or Type of Closure

The concept of the \'ACCEPTED\' fatal error prevents the

loss of a data base record when a change transaction

introduces an error in one of the above listed critical

fields. Immediately below each type of error identification

line is printed one or more error codes. The

interpretation of each error code, non-fatal or accepted

fatal, is found on the legend listing.

\(3\) The Rejected Fatal Updates Listing informs the user of

update errors which have not affected the data base.

The first type of rejectable fatal errors relate to

file-number and are noted by error codes 01 through 05.

Each of these codes relate to errors found in file-number

and are as follow: 01 Region Code not within Prescribed

Range of 01-10; 02 Fiscal Year not within Prescribed

Range of 69-85 or TQ; 03 Month not within Prescribed

Range of 01-12; 04 Serial not numeric or serial is zero;

and 05 Authority Code Invalid. Any error in file number

will cause the rejection of an add transaction. File

Number error are rejected fatal errors because subsequent

change transactions cannot alter file-number. The second

type of rejectable fatal errors results when a transaction

is submitted and the existing status of the data base

disallows a particular type of updating. The codes and

a description of each:

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8/80 2-6

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8000.2

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86 No Master Record to Delete

87 No Master Record to Change

88 Invalid Type of Update Code

98 Duplicate of a Previous Add Update

99 Duplicate of an Existing Master Record

\(a\) Errors as described above which occur during the

posting of a transaction to the Master File are

referred to as \"rejectable\" fatal errors because

they cause a transaction to be excluded from the

Master File.

\(4\) The Summary Listing contains detail counts of activity

which occurs during an update. The first line printed

\'Master Input Records\' is the total number of records which

exist on the data base prior to updating. The last line,

\'Master Output Records\' is the resultant total after

updating. The activity of changes to the data base is

listed by transaction type. \'Rejected\' transactions do not

effect the master counts. The right column of \'Changes

Accepted\' is always zero, because change transactions have

no effect on the master output record total. \'Deletes

Accepted\' are printed in parenthesis, to emphasize that

the count has a negative effect on the total master

records. The third from the last line, \'Invalid Type\'

is a count of transactions which are not identified by

the system as adds, changes, or deletes.

\(5\) The Master File Status Listing summarizes two types of

information. The top portion of the listing reports

the status of all records on the Regional data base.

The count displayed for \'Total Non-Reportable Records\'

is the total of all acceptable fatal records. Records

in this category are not reported in any of the system

output summary workload and status reports. The

second portion of the listing informs the user of the

options used in creating this particular Edit Error

Listing. An asterisk under a particular Region number

indicates that the option printed to the left has been

selected for that Region. These options may be requested

by Regional Offices through FHEO Headquarters staff.

Paragraph 2-6b of this Chapter explains the available

options.

\(6\) The Legend Listing primarily contains a description of

error codes and the meaning of each. The error codes

are listed in the left column followed by the type of

error, non-fatal, rejectable fatal, or acceptable. The

next column is a total of all records on the data base

having this particular error. The data listed under

description explains the meaning of each error code.

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2-7 8/80

HUD-Wash., D. C.

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8000.2

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b\. Edit Error Options. The Edit Error Listing for each Master File

may be produced through the use of three options. The options

are \'UPDATE\', \'ERROR\', and \'ALL\'.

\(1\) The \'UPDATE\' option is run on a weekly cycle to update the

data base with transactions created via DEGEN and

transmitted from Regional Offices to HUD\'s Headquarters

computer. When an update option is used all Regions will

receive at least a Master File Status Listing, even though

a particular Region may not have submitted update

transactions. Each Region submitting transactions will

receive a Master File Status Listing plus these listings;

Accepted Error Free, Non-Fatal and Accepted Fatal, or

legend, dependent upon the events of updating.

\(2\) The \'ERROR\' option edits all records on the data base and

reports only those records in error. This option may be

run selectively by Region. Each Region, selected for an

\'ERROR\' option, will receive a Non-Fatal and Accepted Fatal

Listing, if any errors exist within its data base, a Master

File Status Listing and a Legend Report are also created.

Types of errors (Non-Fatal and Acceptable Fatal) are

identified to the left of the record in error. Error codes

are printed on the next line and explained in the Legend

Report. The \'ERROR\' option listing will be produced

periodically, and upon Regional request giving Regional

staff an opportunity to make corrections to data which

is in error.

\(3\) The \'ALL\' option is identical to the \'ERROR\' option

except that it also prints data base records which are

error free. This listing will be generated periodically

providing Regional Offices with a complete listing of data

base contents.

2-7. ERROR CORRECTION. When a rejectable fatal error occurs on an

addition transaction, correct the identified items and re-enter

the case as an addition. When a rejectable fatal error occurs on

a change or deletion transaction because there exists no matching

file number already in the data base, correct the file number and

re-enter the change or deletion transaction. When an acceptable

fatal error occurs on a change transaction, correct the data

items in error and re-enter the change transaction. When a

non-fatal error and/or an acceptable fatal error occurs on an

addition transaction, correct the data items and submit a change

transaction. When a non-fatal error occurs on a change

transaction, correct the data items and re-enter the change

transaction.

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8000.2

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2-8. DATA ENTRY AND EDIT SCHEDULE. It is recommended that each

Region key in transactions on a weekly basis. After the end

of each week, all of the data transmitted by the Regions is

collected at the central computer site and processed against

the master file. From this processing a set of Edit Error

Listings is prepared for each Region. These listings reflect

all errors detected in the entire data base. Within one

to two days the listings are returned over terminal lines to

the Regions. Corrections are made by each Region to its data

base in time for the next weeks processing.

2-9. OUTPUT REPORTS - OVERVIEW. In addition to the Edit/Error Listings,

a series of management reports have been designed for system

output. In general, these reports may be separated into six

categories:

a\. Summary Workload Reports

b\. Status Reports on open and closed cases

c\. Aging Reports

d\. Lapse Time Analysis of Closed Cases

e\. Query Report

f\. Special Report

(Appendix 2 contains samples of each of these reports. A list

of each report is provided at the end of this chapter, with the

identification of the input documents from which the data for

each report is taken).

2-10. WORKLOAD SUMMARY REPORTS. Workload Summary Report provides such

information as complaint receipts by authority and by state,

compliance reviews by authority and program, and complaint

receipts by basis, program, and issue. It is anticipated that

FHEO Headquarters will produce these reports routinely on a

monthly basis to coordinate with the OPLAN System and as

special needs rise. Each Region may request preparation of any

of these reports on a schedule suited to its own needs.

a\. The timeframes for each of these reports are selected

by the user and input to the system through Data

Parameter Cards. Detail instructions for completing these

Data Parameter Cards are found in Handbook 2361.7, FHEO

Complaint and Compliance Review System, Terminal Operating

Procedures.

\(1\) Examples of uses of the Workload Summary Reports include:

budget analysis; special reports such as the HUD

Statistical Yearbook; and analysis of the specific

HUD programs in which compliance reviews are conducted.

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2-9 8/80

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8000.2

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2-11. STATUS REPORTS. The Status Reports on open and closed cases are

the reports which are best used by both Regional and Headquarters

for management control and program evaluation under each of the

authorities. Separate reports are prepared for complaints and

compliance reviews for each of the major groupings of the Civil

Rights Enforcement Program \-- Title VIII and EO 11063, Title VI,

Section 109, EEO Contract Clause, and Section 3. Each of the

Status Reports contains information on complaint receipts or

compliance review starts, cases on hand the beginning of the

period, cases awaiting investigation for a given number of days,

cases under investigation, cases awaiting negotiation or

conciliation for a given number of days, cases investigated,

investigation or negotiation results, cases closed and the

results of closures, and cases open at the end of the period.

This kind of information is useful to the manager in identifying

potential problem areas or bottlenecks in the processing of

complaints or compliance reviews and in beginning to evaluate

the results of case handling. Because of the complexity of

the definitions of some of the items used in these reports, a

data dictionary which defines the items for each status report

is included in Appendix 3.

a\. Each of these reports provides separate information by

Region and provides for user selection of two time periods

for reporting. The system provides for the user selection

of time periods for reporting through the use of Data

Parameter Cards which are prepared by the user and which

specify each of the two time periods in terms of a from to

range. As an example, the status report on open Title VIII

cases may be prepared for the periods February 1, 1977

through February 28, 1979 and October 1, 1978 through

December 31, 1978.

b\. Under routine circumstances, Headquarters will produce Status

Reports for each calendar month and fiscal year cumulative

period. However, there is no limitation on the selection of

time periods chosen. Detail instructions on the preparation

and submission of these Data Parameter Cards is found in

Handbook 2361.7, FHEO Complaint and Compliance Review System,

Terminal Operating Procedures.

2-12. AGING REPORTS. The Aging Reports are a series of separate reports,

one for each activity and each Civil Rights authority, which lists

by Region all open cases as of a given time period. They are

summary-type reports which provide the total number of open cases

in each Region in 30-day categories. Currently, these reports

provide the data necessary in the Executive Management Report on

aged cases.

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8/80 2-10

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8000.2

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2-13. LAPSE TIME ANALYSIS OF CLOSED CASES. The Lapse Time Reports are a

series of separate reports, one for each activity and each Civil

Rights authority, which list the total number of days required to

process the cases which were closed during a specified time period.

The computation of the number of days is based on a comparison of

the date the complaint was received or the date the compliance

review was opened with the date the case was closed. These too

are summary-type reports which provide by Region the total number

of closed cases by 30-day categories.

2-14. QUERY REPORT. The system provides a query capability for each of

the six files which comprise the data base. These six files

correspond to the six input source documents: HUD 930.1A; HUD

930.1B; HUD 930.2; HUD 930.3; HUD 930.4; and HUD 948. Any data

item on each of these files may be queried at any time. The

query capability is provided primarily because all but one of

the output reports is designed for summary reporting only, i.e.,

they do not list individual cases. An example of the use of the

query capability to support the summary reporting might be detection

of a bottleneck in Title VIII Complaints under investigation more

than 30 days through use of the Status Report on Title VIII,

followed by a query of the system to list all cases under

investigation more than 30 days. This would provide the manager

with the essential information he/she would require for corrective

action. Another example of the use of the query capability is to

determine whether or not compliance reviews have been conducted

on a particular respondent in a Title VI complaint. The query

capability is provided through use of a pre-programmed software

package called SCORE (Select Copy Report). Detail information on

the use of the SCORE package is contained in the Terminal Operating

Procedures Handbook. In general, the SCORE program allows the

user to choose the criteria to be used to select and print the

individual cases, specify title and other header information to

be printed at the top of each page of the report, sort data in a

specified sequence, and select the data items to be printed for

each case.

2-15. SPECIAL REPORT. At this time there is one Special Report \-- a

report on Repeated Title VIII Offenders. It was designed in

response to inquiries received by FHEO Headquarters from other

Federal agencies, such as the Civil Rights Commission. Essentially,

the report provides information on the respondents of Title VIII

complaints who have been respondents in more than one complaint.

The respondent\'s name is used to identify multiple offenders. The

ability to adequately use this report is dependent upon the

extent to which each Region uniformly identifies a respondent

each time he/she becomes party to a Title VIII complaint.

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8000.2

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2-16. TECHNICAL ASSISTANCE. To request query reports or to obtain

assistance in the resolution of ADP-related problems, FHEO

Regional personnel should contact the Regional Management

Information Division Director or Computer Specialist. To obtain

special runs of pre-programmed system output reports on a

limited basis, Regional FHEO personnel should make a written

request to FHEO Headquarters, attention Management Systems and

Services Division. To resolve questions of a procedural nature,

FHEO Regional staff should contact FHEO Headquarters, Management

Systems and Services Division.

2-17. RESERVED

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