Surviving a FHEO Compliance Review and Complying with AFFH

Surviving a FHEO Surviving a FHEO Compliance Review Compliance Review and Complying with and Complying with

AFFHAFFH

What is a Compliance Review? What is a Compliance Review?

• Compliance reviews (Audits) are HUD initiated assessments of a housing provider’s practices.

• Compliance reviews generally cover a number of issues and bases.

• Title VI, Section 109, Section 504, Section 3, ADA, AFFH & Equal Access Rule.

Review Topics for Title VI, Review Topics for Title VI, Section 109 & Section 504Section 109 & Section 504

• Analysis of demographic data for race, color, national origin, religion, sex and disability in the jurisdiction.

• Affirmative efforts to involve racial minorities, female-headed households and persons with disabilities in

citizen participation process.

Review Topics for Title VI, Review Topics for Title VI, Section 109 & Section 504Section 109 & Section 504Collect and maintain records showing

extent to which racial and ethnic minorities, female-headed households and persons with disabilities are participating in its federal programs.

Both applicants and beneficiaries.

Review Topics for Section 3Review Topics for Section 3Notification of Section 3 Residents and

Businesses.Incorporation of Section 3 Clause in

notices and contracts.Facilitating training and employment of

Section 3 residents and award of Section 3 contracts.

Documenting Actions taken to comply with Section 3.

Reporting Section 3 efforts.

Equal Access Rule Review topicsEqual Access Rule Review topicsHousing must be made available without

regard to actual or perceived sexual orientation, gender identity, or marital status.

Definition of a family must include persons regardless of sexual orientation, gender identity, or marital status.

Prohibit inquiries of an applicant’s or occupant’s sexual orientation or gender identity.

Review topics for Affirmatively Review topics for Affirmatively Furthering Fair HousingFurthering Fair Housing

Conducting an Analysis of Impediments to fair housing choice within the jurisdiction.

Taking appropriate actions to overcome the effects of the impediments identified through the analysis.

Maintaining records reflecting the analysis and the actions taken.

AFFH ResponsibilitiesAFFH Responsibilities The Fair Housing Act imposes an affirmative

obligation by requiring recipients to do something “more than simply refrain from discriminating themselves or aiding others in not discriminating.”

HUD has interpreted the affirmative obligations of the Fair Housing Act to mean that recipients must:

– Analyze and eliminate housing discrimination in the jurisdiction;

– Promote fair housing choice for all persons;

AFFH Responsibilities Cont.AFFH Responsibilities Cont.

– Provide opportunities for inclusive patterns of housing occupancy, regardless of race, color, national origin, religion, sex, familial status, or disability;

– Promote housing that is structurally accessible to, and usable by, people with disabilities; and

– Foster compliance with the nondiscrimination provisions of the Fair Housing Act.

Data ReviewedData Reviewed• Conplans, AAP’s, CAPERs, and AI’s.• Citizen participation plans.• LEP process and LAP.• Effective Communication policy.• Reasonable Accommodation policy.• Section 504 Grievance Procedure.• Section 504 Nondiscrimination Notice.

Data Reviewed Cont.Data Reviewed Cont.Identification of Section 504/ADA

Coordinator.Section 504/ADA self-evaluation and

transition plan recipient and subrecipients.

Physical Accessibility using UFAS.Section 3 plans and Section 3 reports

(6002’s).

Data Reviewed Cont.Data Reviewed Cont.Section 3 notices and contracts.Beneficiaries of programs funded.Monitoring process.Copies of brochures and outreach

materials.Copies of public notices.Program policy manuals.

ImplementationImplementation• Review of how you are

implementing the Civil Rights regulations and requirements in your programs.

• What documentation do you have that shows you are complying.

Staff interviews, file Staff interviews, file and records reviewsand records reviews• Interview staff

responsible for each program area.

• Program file review.• Subrecipient file

review.

File and records reviewsFile and records reviews

• Monitoring file review.

• Reasonable accommodation requests and outcomes.

• Grievances filed.

After the on-site reviewAfter the on-site reviewLetter of Findings• Preliminary finding of compliance or

noncompliance.• Notifies the housing provider of the

results of the compliance review.

Voluntary Compliance Voluntary Compliance Agreement (VCA)Agreement (VCA)

• Accompanies Preliminary Findings of Noncompliance.

• Proposes remedies.• Negotiable.

If Voluntary Compliance is If Voluntary Compliance is Not AchievedNot Achieved

• Administrative hearing leading to termination of Federal assistance.

• Referral to Department of Justice.

What can recipients do to

prepare?

Most Common ViolationsMost Common ViolationsNot having a complete and meaningful AI.Not incorporating AI into Conplans,

AAP’s and CAPER’s.Not implementing the LAP.Not implementing Citizen participation

plan.Not analyzing participation rates of

applicants and beneficiaries.

Most Common ViolationsMost Common ViolationsNot having or implementing an Effective

Communication policy.Not having or implementing a Reasonable

Accommodation policy.Not having or implementing Grievance

procedures.Not monitoring effectively for the Civil

Rights requirements.

Why the Fuss over AFFHWhy the Fuss over AFFHAFFH – a requirement of the Fair Housing

Act.45 years since the passage of the Fair

Housing Act.Proposed rule been in works for many

years.Assist local and state governments in

tackling segregation in their communities and opening housing to everyone.

Quality Plans to AFFHQuality Plans to AFFHThree-Pronged AFFH Certification [24 C.F.R. § 570.61 (a)(2) (2010)]CPD recipients certify annually that they will affirmatively further fair housing by:

1) Conducting an analysis to identify impediments to fair housing choice within the jurisdiction;

2) Taking appropriate actions to overcome the effects of any impediments identified through that analysis; and

3) Maintaining records reflecting the analysis and actions in this regard.

Conducting an AIConducting an AI– Essential Elements of an AI

A complete review of the laws, regulations, administrative policies, procedures, and practices;

An assessment of how those laws, regulations, administrative policies, procedures, and practices affect the location, availability, and accessibility of housing;

An assessment of conditions, both public and private, affecting housing choice for people in all protected classes; and

An assessment of the availability of affordable, accessible housing in a range of unit sizes.

Conducting an AIConducting an AI– Six Core Components of an AI

1) Segregation and Integration

2) Racially and Ethnically Concentrated Areas of Poverty (RCAP/ECAP)

3) Access to Opportunity

4) Fair Housing Environment

5) Infrastructure Investments

6) Public Participation

Fair Housing PlanFair Housing Plan Utilize the AI for program planning using

the consolidated planning process!

– Create long term action plan using the five-year consolidated plan.

– Plan specific annual actions to address impediments through annual action plans.

– Set realistic AFFH goals.

Fair Housing PlanFair Housing Plan Plan specific AFFH actions:

– What? Who? When? Where? – Set specific measurable goals. Use a holistic approach:

– Draw connections between planned program year activities, impediments, and actions to overcome.

Documenting ActionsDocumenting Actions Document all AFFH plans and actions within HUD

submissions:

– ConPlans: Document long term action plans.– Annual Action Plans: Document specific annual

actions planned.– CAPERs: Document actions implemented to

overcome the effects of impediments and include measurable outcomes for people in protected classes.

Maintain records that establish the connections between identified impediments, established priority housing needs, funded activities, and actions to affirmatively further fair housing.

AFFH Proposed Rule ProcessAFFH Proposed Rule Process

Published July 19, 2013 Available for public comment:

www.regulations.gov Everyone is encouraged to participate in

this rulemaking process! MORE TO COME!

For more information contact:Michele Hutchins, Equal Opportunity Specialist

Office of Fair Housing & Equal Opportunity U.S. Department of Housing & Urban

Development 125 S. State Street, Room 3001 Salt Lake City, UT 84138 (801) 524-6097-Direct line (801) 524-6909-TDD line 1-800-877-7353 – Denver Toll Free email: [email protected]