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apply to a mortgage covering a group practice facility insured under title XI of such Act.

(b) For the purposes of this subpart, all references in Part 207 of this chapter to section 207 of the Act shall be construed to refer to title XI of the Act.

(c) All of the definitions in $ 1100.1

shall apply to this subpart. In addition, as used in this part, the term "contract of insurance" means the agreement evidenced by the Commissioner's insurance endorsement and includes the provisions of this subpart and of the Act. (32 F.R. 6571, Apr. 28, 1967, as amended at 33 F.R. 11170, Aug. 7, 1968)

SUBCHAPTER Z-[RESERVED)

CHAPTER HOUSING ASSISTANCE ADMINISTRATION, DEPARTMENT OF HOUSING

AND URBAN DEVELOPMENT

Part 1500 General procedural provisions. 1520 Low-rent housing program.

ABBREVIATIONS: The following abbreviations are used in this chapter:

FHA=Federal Housing Administration. HHFA=Housing and Home Finance Agency. PHA=Public Housing Administration. HUD=Housing and Urban Development.

PART 1500_GENERAL PROCEDURAL

PROVISIONS Sec. 1500.1 Availability of records and informa

tion. 1500.4 Testimony or production of records

by employees of the PHA. 1500.5 Representative appearances before

the PHA of former Government

Employees. 1500.6 Complaint procedures; equal oppor

tunity in housing. 1500.7 Complaint procedure; nondiscrimi

nation in low-rent public housing. AUTHORITY: The provisions of this Part 1600 Issued under sec. 8, 50 Stat. 891, as amended; 42 U.S.C. 1408, except as otherwise noted. $ 1500.1 Availability of records and

information. Regulations of the Department of Housing and Urban Development providing where and how the Department's records and information may be obtained are found in Part 15 of Subtitle A of this title. (32 F.R. 13808, Oct. 4, 1967] 8 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 oficial duties.

(2) "Records” means any oficial files, documents, or other records of the PHA.

(3) "Produce records” means to produce 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 oficial 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) Be- unless approved in accordance with this: fore approval to testify or to produce section, and that no affidavit has been records will be granted, the litigant or submitted in accordance with this secother party in interest or his attorney tion, or that action by the approving ofi-. shall submit an afidavit setting forth cer on such an afidavit is still pending, the nature of the proceeding, the admin- as the case may be. istrative body or court before which the (3) Whenever the approving officer proceeding is being conducted, the has declined to grant approval to testify parties involved, the interest of the party to to produce records, as to all or part. seeking the information and/or records, of the matters covered by a subpoena, the matters with respect to which the the employee shall, unless otherwise intestimony of the officer or employee is structed by the approving oficer, appear desired and/or identification of the in response to the subpoena and, with records sought to be produced, facts as the respect to those matters for which to the service of any process compelling approval has not been granted, respect-. such testimony or requiring the produc- fully decline to testify or to produce rection of records including the time and ords on the grounds that such action is place of appearance designated in such prohibited unless approved in accordprocess, and any other pertinent facts. ance with this section and that such

(2) In cases where the testimony of a approval has been refused. Regional Office or project employee or (21 F.R. 4047, June 13, 1956. Redesignated the production of Regional Office or at 26 F.R. 7341, Aug. 12, 1961) project records is desired, the affidavit

$ 1500.5 Representative appearances be shall be submitted to the appropriate

fore the PHA of former Government Regional Attorney. In cases where the

employees. testimony of a Central Office employee or the production of Central Office rec

(a) Authorization to appear in repre-. ords is desired, the affidavit shall be sub

sentative capacity. No former oficer or mitted to the General Counsel.

employee of the United States or anyone (3) Approval to testify or to produce

knowingly acting on behalf of or under records will, in all cases, be limited to

the direct supervision of such person, the matters set forth in the affidavit,

may, within a period of two years after to such portions thereof as the PHA ap

the termination of such employment, approving officer may deem consistent with

pear in a representative capacity before the public interest.

the PHA unless, in each matter, he ob(d) Appearances by PHA employees.

tains prior approval as prescribed here(1) Whenever a PHA employee is served

in. The term “representative capacity" with a subpoena or is otherwise directed

shall mean the function of rendering or requested to testify or to produce rec

representative services to any person, ords, he will notify the General Counsel

firm, corporation, or association. or the Regional Attorney, as the case

(b) Form of requestA request by a , may be, and if no affidavit has been sub- former officer or employee of the United mitted, the General Counsel or the States to appear in a representative caRegional Attorney will notify the litigant

pacity before the PHA shall be made by or other party in interest or his attorney

letter, in duplicate, addressed to the that approval to testify or produce rec

Director of the Regional Office or head of ords cannot be granted unless an aff

the Central Office Division before which davit is submitted in accordance with such former officer or employee desires. this section.

to appear. Each such request must set. (2) Whenever à subpoena has been forth, under oath, the following inforserved and action by the approving ofi- mation; cer has not been taken prior to the time

(1) A brief description of his duties. specified in the subpoena for appearance

and functions while employed with the in response thereto (whether because

Government, and the duration of his . no affidavit was submitted or because action by the approving official on the afi

employment. davit is pending), the employee shall,

(2) The subject and scope of the matunless otherwise instructed by the ap

ter in which he desires to appear in proving officer, appear in response to the representative capacity. subpoena and respectfully decline to (3) Whether the consideration of the testify or to produce records on the matter would have devolved upon any grounds that such action is prohibited division, branch, or other unit in which

or

a

SO

8 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.

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:

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

(i) 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 oficer 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)

(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 1937, or in the use or occupancy thereof. The local authority shall not, on account of race, color, creed, or national origin, deny to any family the opportunity to apply for such housing, nor deny to any eligible applicant the opportunity to lease or rent any dwelling in any such housing suitable to its. needs.

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, or in the use or occupancy thereof. The local authority shall not, on account, of race, color, creed, or national origin, deny to any family the opportunity to apply for such housing, nor deny to any eligible applicant the opportunity to lease or rent any dwelling in any such housing suitable to its. needs.

99-146—69—-30

(3) "Discriminatory practice” means any practice or action which constitutes & violation of a contract obligation, or which would constitute such a violation If the project involved were covered by a contract obligation.

(4) “Project" means any low-rent housing project in receipt of financial assistance, or federally owned and operated, under the United States Housing Act of 1937, as amended. Federally owned projects shall be treated as projects subject to a contract obligation and their Housing Project Managers shall be treated as local authorities for purposes of the procedures of this section.

(5) "Commissioner" means the Public Housing Commissioner.

(c) Complaints. (1) A complaint of a discriminatory practice may be filed with the appropriate Regional Director of the Public Housing Administration and must be filled within ninety (90) days from the date of the alleged discriminatory practice unless the time is extended by the Regional Director for good cause. A list of PHA Regional Ofices, with their addresses and areas of jurisdiction, is published in the FEDERAL REGISTER under the heading "Housing and Home Finance Agency, Public Housing Administration, Description of Agency and Programs." Information as to locations and areas of jurisdiction of Regional Offices may also be obtained upon written request addressed to the Public Housing Administration, Washington, D.C., 20413.

(2) A complaint shall be in writing and signed by the complainant. It shall insofar as known to complainant, name the local authority and/or the project involved; state the time, place, and nature of the alleged discriminatory practice; and set forth factual information known to the complainant supporting the allegation. It shall also state the complainant's interest in or relationship to the alleged discriminatory practice.

(3) A complaint may be filed by an authorized representative of the complainant, provided that the authorization of the representative to act for the complainant is filed with the complaint.

(d) Preliminary action on a complaint. (1) Upon receipt of a complaint, the Regional Director shall promptly and in writing acknowledge its receipt and request such additional information from the complainant as may be necessary.

(2) If it appears that the complaint relates to other than a project as defined in paragraph (b) (4) of this section, the Regional Director shall advise the complainant in writing that the Public Housing Administration lacks jurisdiction in the matter and state the reason. If the complaint relates to a project as defined in paragraph (b) (4) of this section, the Regional Director shall advise the complainant either that the project is subject to a contract obligation, quoting the specific contract provision, or that the project is not subject to a contract obligation but is subject to the "good offices” provision of section 102 of the Executive Order.

(3) If the complaint is not filled within the ninety (90) day period stipulated in paragraph (c) (1) of this section, the Regional Director shall send appropriate written notification to the complainant.

(e) Regional office inquiry. If the complaint relates to a project as defined in paragraph (b)(4) of this section, and is timely (either originally or by grant of an extension of time), the Regional Director shall conduct an inquiry into the facts. If such inquiry reveals that there is no factual basis for the complaint, and the Regional Director believes further inquiry would serve no useful purpose, he shall notify the complainant in writing that he finds no factual basis for the complaint, stating such reasons or facts as may be appropriate and advising that no further action will be taken unless the complainant submits further facts supporting the complaint. If such inquiry or any further statement submitted by the complainant reveals factual basis for the complaint, the Regional Director shall proceed as set forth below in this section.

(f) Informal action. The Regional Director or his designee shall undertake by informal means (including conferences, conciliation, and persuasion) to end, remedy, or prevent the recurrence of the discriminatory practice complaint of. If the complaint is resolved by such informal means, the Regional Director shall in writing advise both the complainant and the Local Authority to that effect and that the Public Housing Administration will take no further action on the complaint.

(g) Formal action (1) Cases under section 102 of the Executive Order. If

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