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]

Part

1500 General procedural provisions.

1520 Low-rent housing program.

(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 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 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 afterthe termination of such employment, appear in a representative capacity beforethe 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 SO pending:

(1) 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]

99-146-69- -30

§ 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 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.

(3) "Discriminatory practice" means any practice or action which constitutes a 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 filed 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 Offices, 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 filed 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