HUD 24 CFR PART 108-2011 COMPLIANCE PROCEDURES FOR AFFIRMATIVE FAIR HOUSING MARKETING《肯定公平住房营销的合规性程序》.pdf

1、675 Office of Asst. Secy., Equal Opportunity, HUD 108.1 respond to the violations found and re-solve and remedy matters in the com-pliance report. At the expiration of the seven (7) day period the matter shall be referred to the Assistant Secretary for FH re-fusal to approve a lender or withdrawal o

2、f approval; or a determination of in-eligibility, suspension, or debarment from any further assistance or con-tracts; provided, however, that sanc-tions of debarment, suspension, and in-eligibility are subject to the Depart-ments regulations under 2 CFR part 2424, and, further, that no sanction unde

3、r section 302 (a), (b), and (c) of Ex-ecutive Order 11063 shall be applied by the Assistant Secretary for Fair Hous-ing and Equal Opportunity without the concurrence of the Secretary. (c) The Department shall use its good offices in order to promote the aban-donment of discriminatory practices with

4、regard to residential property and related facilities provided with assist-ance prior to the effective date of E.O. 11063 and take appropriate actions per-mitted by law including the institution of appropriate litigation to provide such equal housing opportunities. (d) In any case involving the fail

5、ure of a lender to comply with the require-ments of the Executive order or this part, the Assistant Secretary for FH E.O. 11063, 27 FR 11527, 3 CFR, 19581963 Comp., p. 652; E.O. 12892, 59 FR 2939, 3 CFR, 1994 Comp., p. 849. SOURCE: 44 FR 47013, Aug. 9, 1979, unless otherwise noted. 108.1 Purpose and

6、 application. (a) The primary purpose of this regu-lation is to establish procedures for de-termining whether or not an appli-cants actions are in compliance with its approved Affirmative Fair Housing VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00685 Fmt 8010 Sfmt 8010 Y:SGML223077.XX

7、X 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-676 24 CFR Subtitle B, Ch. I (4111 Edition) 108.5 Marketing (AFHM) plan, AFHM Regu-lation (24 CFR 200.600), and AFHM re-quirements in Departmental programs. (b)

8、 These regulations apply to all ap-plicants for participation in subsidized and unsubsidized housing programs ad-ministered by the Department of Hous-ing and Urban Development and to all other persons subject to Affirmative Fair Housing Marketing requirements in Department programs. (c) The term app

9、licant includes: (1) All persons whose applications are approved for development or rehabili-tation of: Subdivisions; multifamily projects; manufactured home parks of five or more lots, units or spaces; or dwelling units, when the applicants participation in FHA housing programs has exceeded, or wou

10、ld thereby exceed, development of five or more such dwelling units during the year pre-ceding the application, except that there shall not be included in a deter-mination of the number of dwelling units developed or rehabilitated by an applicant, those in which a single fam-ily dwelling is construct

11、ed or rehabili-tated for occupancy by a mortgagor on property owned by the mortgagor and in which the applicant had no interest prior to entering into the contract for construction or rehabilitation. For the purposes of this definition, a person re-mains an applicant from the date of submission of a

12、n application through duration of receipt of assistance pursu-ant to such application. (2) All other persons subject to AFHM requirements in Departmental programs. (d) The term person includes one or more individuals, corporations, part-nerships, associations, labor organiza-tions, legal representat

13、ives or agents, mutual companies, joint-stock compa-nies, trusts, unincorporated organiza-tions, trustees, trustees in bankruptcy, receivers, fiduciaries and public enti-ties. (e) The term monitoring office in-cludes any office within HUD des-ignated by HUD to act as a monitoring office. As necessar

14、y, HUD will des-ignate specific offices within HUD to act as monitoring offices through a no-tice published in the FEDERAL REG-ISTER. (f) The term civil rights/compliance re-viewing office includes any office within HUD designated by HUD to act as a civil rights/compliance reviewing of-fice. As nece

15、ssary, HUD will designate specific offices within HUD to act as civil rights/compliance reviewing of-fices through a notice published in the FEDERAL REGISTER. 44 FR 47013, Aug. 9, 1979, as amended at 50 FR 9268, Mar. 7, 1985; 64 FR 44095, Aug. 12, 1999 108.5 Authority. The regulations in this part a

16、re issued pursuant to the authority to issue regulations granted to the Sec-retary by section 7(d) of the Depart-ment of Housing and Urban Develop-ment Act of 1965, 42 U.S.C. 3535(d). They implement the functions, powers, and duties imposed on the Secretary by Ex-ecutive Order 11063, 27 FR 11527 and

17、 title VIII of the Civil Rights Act of 1968, 42 U.S.C. 3608. 108.15 Pre-occupancy conference. Applicants shall submit a Notifica-tion of Intent to Begin Marketing to the monitoring office no later than 90 days prior to engaging in sales or rent-al marketing activities. Upon receipt of the Notificati

18、on of Intent to Begin Marketing from the applicant, the monitoring office shall review any pre-viously approved plan and may sched-ule a pre-occupancy conference. Such pre-occupancy conference shall be held prior to initiation of sales or rental marketing activities. At this con-ference, the previou

19、sly approved AFHM plan shall be reviewed with the appli-cant to determine if the plan, and/or its proposed implementation, requires modification previous to initiation of marketing in order to achieve the ob-jectives of the AFHM regulation and the plan. (Approved by the Office of Management and Budg

20、et under control number 25350027) 44 FR 47013, Aug. 9, 1979, as amended at 48 FR 20903, May 10, 1983; 64 FR 44095, Aug. 12, 1999 VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00686 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleN

21、o reproduction or networking permitted without license from IHS-,-,-677 Office of Asst. Secy., Equal Opportunity, HUD 108.25 108.20 Monitoring office responsi-bility for monitoring plans and re-ports. (a) Submission of documentation. Pur-suant to initiation of marketing, the applicant shall submit t

22、o the moni-toring office reports documenting the implementation of the AFHM plan, in-cluding sales or rental reports, as re-quired by the Department. Copies of such documentation shall be forwarded to the civil rights/compliance review-ing office by the monitoring office as requested. (b) Monitoring

23、 of AFHM plan. The monitoring office is responsible for monitoring AFHM plans and providing technical assistance to the applicant in preparation or modification of such plans during the period of development and initial implementation. (c) Review of applicants reports. Each sales or rental report sh

24、all be reviewed by the monitoring office as it is re-ceived. When sales or rental reports show that 20% of the units covered by the AFHM plan have been sold or rented, or whenever it appears that the plan may not accomplish its intended objective, the monitoring office shall notify the civil rights/

25、compliance re-viewing office. (d) Failure of applicant to file docu-mentation. If the applicant fails to file required documentation, the applicant shall be sent a written notice indi-cating that if the delinquent docu-mentation is not submitted to the monitoring office within 10 days from date of r

26、eceipt of the notice, the mat-ter will be referred to the civil rights/ compliance reviewing office by the monitoring office for action which may lead to the imposition of sanctions. 64 FR 44096, Aug. 12, 1999 108.21 Civil rights/compliance re-viewing office compliance responsi-bility. The civil rig

27、hts/compliance reviewing office shall be responsible for deter-mining whether an applicants actions are in apparent compliance with its ap-proved AFHM plan, the AFHM regula-tions, and this part and for deter-mining changes or modifications nec-essary in the plan after initiation of marketing. 64 FR

28、44096, Aug. 12, 1999 108.25 Compliance meeting. (a) Scheduling meeting. If an applicant fails to comply with requirements under 108.15 or 108.20 or it appears that the goals of the AFHM plan may not be achieved, or that the implemen-tation of the Plan should be modified, the civil rights/compliance

29、reviewing office shall schedule a meeting with the applicant. The meeting shall be held at least ten days before the next sales or rental report is due. The pur-pose of the compliance meeting is to review the applicants compliance with AFHM requirements and the imple-mentation of the AFHM Plan and t

30、o in-dicate any changes or modifications which may be required in the Plan. (b) Notice of Compliance Meeting. A Notice of Compliance Meeting shall be sent to the last known address of the applicant, by certified mail or through personal service. The Notice will advise the applicant of the right to r

31、espond within seven (7) days to the matters identified as subjects of the meeting and to submit information and rel-evant data evidencing compliance with the AFHM regulations, the AFHM Plan, Executive Order 11063 and title VIII of the Civil Rights Act of 1968, when appropriate. If the applicant is a

32、 small entity, as defined by the regula-tions of the Small Business Adminis-tration, the Notice shall include notifi-cation that the entity may submit comment on HUDs actions to the Small Business and Agriculture Regu-latory Enforcement Ombudsman, and shall include the appropriate contact informatio

33、n. (c) Applicant data required. The appli-cant will be requested in writing to provide, prior to or at the compliance meeting, specific documents, records, and other information relevant to com-pliance, including but not limited to: (1) Copies or scripts of all advertising in the Standard Metropolit

34、an Statis-tical Area (SMSA) or housing market area, as appropriate, including news-paper, radio and television advertising, and a photograph of any sale or rental sign at the site of construction; VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00687 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 22

35、3077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-678 24 CFR Subtitle B, Ch. I (4111 Edition) 108.35 (2) Copies of brochures and other printed material used in connection with sales or rentals; (3) Evidence of outr

36、each to commu-nity organizations; (4) Any other evidence of affirmative outreach to groups which are not like-ly to apply for the subject housing; (5) Evidence of instructions to em-ployees with respect to company policy of nondiscrimination in housing; (6) Description of training conducted with sal

37、es/rental staff; (7) Evidence of nondiscriminatory hiring and recruiting policies for staff engaged in the sale or rental of prop-erties, and data by race and sex of the composition of the staff; (8) Copies of applications and waiting lists of prospective buyers or renters maintained by applicant; (

38、9) Copies of Sign-in Lists maintained on site for prospective buyers and rent-ers who are shown the facility; (10) Copies of the selection and screening criteria; (11) Copies of relevant lease or sales agreements; (12) Any other information which documents efforts to comply with an approved plan. (d

39、) Preparation for the compliance meeting. The monitoring office will pro-vide information concerning the status of the project or housing involved to be presented to the applicant at the meet-ing. The monitoring office shall be no-tified of the meeting and may send rep-resentatives to the meeting. (

40、e) Resolution of matters. Where mat-ters raised in the compliance meetings are resolved through revision to the plan or its implementation, the terms of the resolution shall be reduced to writing and submitted to the civil rights/compliance reviewing office within 10 days of the date of the com-plia

41、nce meeting. (f) Determination of compliance. If the evidence shows no violation of the AFHM regulations and that the appli-cant is complying with its approved AFHM plan and this part, the civil rights/compliance reviewing office shall so notify the applicant within 10 days of the meeting. (g) Deter

42、mination of possible non-compliance. If the evidence indicates an apparent failure to comply with the AFHM plan or the AFHM regulation, or if the matters raised cannot be re-solved, the civil rights/compliance re-viewing office shall so notify the appli-cant no later than ten (10) days after the dat

43、e the compliance meeting is held, in writing by certified mail, re-turn receipt requested, and shall advise the applicant that the Department will conduct a comprehensive compliance review or refer the matter to the As-sistant Secretary for Fair Housing and Equal Opportunity for consideration of act

44、ion including the imposition of sanctions. The purpose of a compliance review is to determine whether the ap-plicant has complied with the provi-sions of Executive Order 11063, title VIII of the Civil Rights Act of 1968, and the AFHM regulations in conjunction with the applicants specific AFHM plan

45、previously approved by HUD. (h) Failure of applicant to attend the meeting. If the applicant fails to attend the meeting scheduled pursuant to this section, the civil rights/compliance re-viewing office shall so notify the appli-cant no later than ten (10) days after the date of the scheduled meetin

46、g, in writing by certified mail, return re-ceipt requested, and shall advise the applicant as to whether the civil rights/compliance reviewing office will conduct a comprehensive compliance review or refer the matter to the As-sistant Secretary for Fair Housing and Equal Opportunity for consideratio

47、n of action including the imposition of sanctions. 44 FR 47013, Aug. 9, 1979, as amended at 64 FR 44096, Aug. 12, 1999 108.35 Complaints. Individuals and private and public entities may file complaints alleging violations of the AFHM regulations or an approved AFHM plan with any mon-itoring office,

48、civil rights/compliance reviewing office, or with the Assistant Secretary for FH (ii) Conformance with both the De-partments Fair Housing Poster Regu-lation (24 CFR part 110) and the Adver-tising Guidelines for Fair Housing (37 FR 6700) and any revisions thereto. (3) Data relating to: (i) The size a

49、nd location of units; (ii) Services provided; (iii) Sales and/or rental price ranges; (iv) The race and sex of buyers and/or renters; (v) Race and sex of staff engaged in sale or rental of dwellings. (4) Other matters relating to the marketing or sales of dwellings under HUD affirmative marketing require-ments, the AFMH Plan and this part. 44 FR 47013, Aug. 9, 1979, as amended at 64 FR 44096, Aug. 12, 1999 108.45 Compliance report. Following a compli