Part

1500 General procedural provisions.

1520 Low-rent housing program.

§ 1500.3

Claims cognizable under the Federal Tort Claims Act.

(a) The PHA will give consideration to claims brought under the Federal Tort Claims Act, as amended (28 U.S.C.A. Sections 2671-2680), if such claims meet all of the following conditions:

(1) They are for $2,500 or less;

(2) They are for injury or loss of property or personal injury or death;

(3) They result from the negligent or wrongful act or omission of an employee of the PHA acting within the scope of his employment;

(4) The PHA, if a private person, would be liable for the claim under the law of the place where the act or omission occurred.

(b) The following types of claims are excepted from the Federal Tort Claims Act by Section 421 (28 U.S.C.A. Section 2680) of that act and will not be considered by the PHA:

(1) Any claim based upon an act or omission of an employee, exercising due care, in the execution of a statute or regulation, whether or not such statute or regulation be valid;

(2) Any claim based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of the PHA or an employee, whether or not the discretion involved be abused;

(3) Any claim arising out of the loss, miscarriage, or negligent transmission of letters or postal matter;

(4) Any claim arising out of assault, battery, false imprisonment, false arrest, malicious prosecution, abuse of process, libel, slander, misrepresentation, deceit, or interference with contract rights.

(c) A claim may be filed by:

(1) The person injured or the owner of the property lost or injured;

(2) His duly authorized agent or other legal representative if, by reason of death, disability, or other reasons deemed satisfactory by the PHA, he is unable to file a claim. In such cases, the claim shall show the capacity of the person signing and shall be accompanied by evidence of the appointment of such person as agent, executor, administrator, guardian, or other fiduciary. If an attorney representing a claimant claims a fee, he shall file a statement to that effect.

(d) A claim should be filed at the PHA project or Regional Office nearest the place where the damage or injury occurred. Claims may also be filed with the Central Office of the Public Housing Administration, Longfellow Building, Washington, D.C. 20413.

(e) The claim shall be presented to the PHA on Standard Form 95, "Claim for Damage or Injury," which will be furnished by the PHA upon request, and shall be accompanied by the substantiating evidence specified on the reverse side of the form. The claimant shall also fill in that portion of the Form on the reverse side thereof which is headed "Instructions Regarding Insurance Coverage." If the claim is not submitted on Standard Form 95, the claimant shall be furnished with copies of the Form and required to fill it out and submit it with the required evidence. An insurance company or other person who has compensated the claimant for all or part of the damage or injury on which the claim is based and who claims reimbursement from the Government must clearly establish its rights as a subrogee.

(f) A claim must be presented, in writing, to the PHA within two years after the claim has accrued. This requirement is satisfied by the claimant's presenting the claim in writing even though Stand

ard Form 95 is not filled out in time. The date of filing of the claim (the date received by the PHA) will be made a matter of record on the face of the claim.

(g) Upon receipt of a Standard Form 95 in the PHA an investigation of the claim will be made by a PHA investigator. A report of the investigation will be submitted to the PHA counsel for an opinion which will include findings and a recommendation of award or denial.

(h) The Comptroller, for claims arising out of the acts or omissions of Central Office employees, and the Regional Directors, for claims arising out of acts or omissions of employees under their respective jurisdictions, will review the case and make the final determination. The claimant will be notified of the determination of his claim as soon as possible.

(1) If the determination is that the claimant is entitled to an award, he will be required to complete Standard Form 1145, a copy of which will be furnished him. If all or part of the award is in favor of a subrogee of the person who actually sustained the damage or injury, the subrogee, as well as the claimant, will be required to sign the Standard Form 1145. The claimant will be paid after he has properly executed and returned the necessary forms.

(j) If a claimant has been represented by an attorney who claims a fee, the counsel may recommend that fee be paid out of the award. If the award is $500 or more, the fee allowed may not exceed ten percent (10%) of the award. If the award is less than $500 a reasonable fee, not to exceed $50, may be allowed.

(k) There shall be no administrative appeal by the claimant from the determination of the Comptroller or Regional Directors set forth in paragraph (g) of this section.

[21 F.R. 3457, May 24, 1956, as amended at 25 F.R. 284, Jan. 14, 1960. Redesignated at 26 F.R. 7341, Aug. 12, 1961]

§ 1500.4 Testimony or production of records by employees of the PHA. (a) Definitions and scope. For purposes of this section, the term:

(1) "Testify" means to testify in administrative or court proceedings with respect to information obtained by a PHA employee in the course of the performance of his official duties.

(2) "Records" means any official files, documents, or other records of the PHA. (3) "Produce records" means to pro

duce records in administrative or court proceedings.

The procedure set forth in this section does not relate to attachment or garnishment proceedings involving debtor-employees of the PHA (19 F.R. 1851).

(b) Approval to testify or produce records. No employee of the PHA shall testify or produce records, whether pursuant to subpoena or subpoena duces tecum or otherwise, without the prior approval of the appropriate official designated below:

(1) The Deputy Commissioner is authorized to grant such approval in all

cases.

(2) The Regional Director is authorized to grant such approval with respect to Regional Office and project employees under his jurisdiction and with respect to records in the Regional or project offices under his jurisdiction.

(c) Submission of affidavit. (1) Before approval to testify or to produce records will be granted, the litigant or other party in interest or his attorney shall submit an affidavit setting forth the nature of the proceeding, the administrative body or court before which the proceeding is being conducted, the parties involved, the interest of the party seeking the information and/or records, the matters with respect to which the testimony of the officer or employee is desired and/or identification of the records sought to be produced, facts as to the service of any process compelling such testimony or requiring the production of records including the time and place of appearance designated in such process, and any other pertinent facts.

(2) In cases where the testimony of a Regional Office or project employee or the production of Regional Office or project records is desired, the affidavit shall be submitted to the appropriate Regional Attorney. In cases where the testimony of a Central Office employee or the production of Central Office records is desired, the affidavit shall be submitted to the General Counsel.

(3) Approval to testify or to produce records will, in all cases, be limited to the matters set forth in the affidavit, or to such portions thereof as the PHA approving officer may deem consistent with the public interest.

(d) Appearances by PHA employees. (1) Whenever a PHA employee is served with a subpoena or is otherwise directed or requested to testify or to produce records, he will notify the General Counsel

or the Regional Attorney, as the case may be, and if no affidavit has been submitted, the General Counsel or the Regional Attorney will notify the litigant or other party in interest or his attorney that approval to testify or produce records cannot be granted unless an affidavit is submitted in accordance with this section.

(2) Whenever a subpoena has been served and action by the approving officer has not been taken prior to the time specified in the subpoena for appearance in response thereto (whether because no affidavit was submitted or because action by the approving official on the affidavit is pending), the employee shall, unless otherwise instructed by the approving officer, appear in response to the subpoena and respectfully decline to testify or to produce records on the grounds that such action is prohibited unless approved in accordance with this section, and that no affidavit has been submitted in accordance with this section, or that action by the approving officer on such an affidavit is still pending, as the case may be.

(3) Whenever the approving officer has declined to grant approval to testify to to produce records, as to all or part of the matters covered by a subpoena, the employee shall, unless otherwise instructed by the approving officer, appear in response to the subpoena and, with the respect to those matters for which approval has not been granted, respectfully decline to testify or to produce records on the grounds that such action is prohibited unless approved in accordance with this section and that such approval has been refused.

[21 F.R. 4047, June 13, 1956. Redesignated at 26 F.R. 7341, Aug. 12, 1961]

§ 1500.5 Representative appearances before the PHA of former Government employees.

(a) Authorization to appear in representative capacity. No former officer or employee of the United States or anyone knowingly acting on behalf of or under the direct supervision of such person, may, within a period of two years after the termination of such employment, appear in a representative capacity before the PHA unless, in each matter, he obtains prior approval as prescribed herein. The term "representative capacity" shall mean the function of rendering representative services to any person, firm, corporation, or association.

(b) Form of request. A request by a former officer or employee of the United States to appear in a representative capacity before the PHA shall be made by letter, in duplicate, addressed to the Director of the Regional Office or head of the Central Office Division before which such former officer or employee desires to appear. Each such request must set forth, under oath, the following information:

(1) A brief description of his duties and functions while employed with the Government, and the duration of his employment.

(2) The subject and scope of the matter in which he desires to appear in a representative capacity.

(3) Whether the consideration of the matter would have devolved upon any division, branch, or other unit in which he was employed, either during or subsequent to his employment therein.

(4) Whether while he was employed by the Government, the matter was pending therein; and, if it was pending:

SO

(i) Whether he gave personal consideration to it, or had any knowledge thereof while so employed; and

(ii) Whether he is assisting or will be assisted by any person who has personally considered it or gained personal knowledge thereof while employed by the Government.

(c) Violations. Any former officer or employee of the United States violating the provisions of this section will be barred from appearing in a representative capacity before the PHA for such time as the Commissioner may prescribe. Also, if it appears that any violations of law are involved the matter will be referred to the Department of Justice.

(d) Approval or denial of requests. The Regional Director or Division Head to whom a request is made is authorized to solicit such information as he may deem necessary and to approve or deny the request, subject to appeal to the Commissioner as provided for below. No approval to appear in a representative capacity before the PHA will be granted if such appearance would be in violation of law or otherwise contrary to the public interest, or might involve an improper exercise of personal influence by the applicant. The applicant will be notified of the decision in writing, and the notification will include, for the applicant's guidance, a copy of a document entitled "Excerpt From Memorandum No. 40 of

the Department of Justice to Prosecuting Authorities, August 27, 1953," construing Title 18 U.S.C. 284. Letters of approval will include a statement that the approval does not constitute a finding on the part of the PHA as to the relationship of the proposed representation to the provisions of Title 18 U.S.C. 284. Letters of denial will include a statement of the reasons for the decision and a statement that the applicant may, within 10 days, appeal to the PHA Commissioner.

(e) Appeals. An appeal for review by the Commissioner shall be made in writing and shall be submitted to the Regional Director or Division Head concerned. The applicant will be notified in writing of the Commissioner's decision. [22 F.R. 371, Jan. 18, 1957. Redesignated at 26 F.R. 7341, Aug. 12, 1961]

§ 1500.6 Complaint procedures; equal opportunity in housing.

(a) Introduction. The procedures in this section are prescribed pursuant to Executive Order 11063, dated November 20, 1962, 27 F.R. 11527-30, and the statutory authority of the Public Housing Commissioner to make such rules and regulations as he may find necessary to carry out his functions, powers, and duties, 42 U.S.C. 1404a. They are for the purpose of carrying out the provisions of Executive Order 11063, Equal Opportunity in Housing, insofar as that order applies to the program of Federal financial assistance for providing lowrent public housing pursuant to the authority of the United States Housing Act of 1937, as amended, 42 U.S.C. 1401 et seq.

(b) Definitions. As used in the procedures of this section, the term

(1) "Local Authority" means a "public housing agency" as defined in section 2(11) of the United States Housing Act of 1937, as amended, 42 U.S.C. 1402(11), having a contract for financial assistance with the Public Housing Administration pursuant to that Act.

(2) "Contract obligation" means the obligation of a local authority under either of the following provisions in any contract between the Public Housing Administration and the local authority:

The local authority shall not discriminate because of race, color, creed, or national origin in the sale, leasing, rental or other disposition of housing or related facilities (including land) included in any Project or Projects initially covered after November 20, 1962, by a contract for annual contributions under the United States Housing Act of