Fair Housing: HUD Needs Better Assurance That Intake and Investigation Processes Are Consistently Thorough

On January 20, 2006 HUD issued a technical guidance memo (TGM) to all FHEO employees, which addressed all aspects of FHEO customer service and clearly listed information that should be collected during the initial contact with a complainant. In June 2006 FHEO conducted mandatory training for all FHEO staff in accordance with guidance presented the January 2006 customer service TGM and continued with training on specific topics such as Handling Difficult Customer Situations.

HUD technical guidance memo (TGM) issued on January 20, 2006 to all FHEO employees set benchmarks and performance goals for FHEO employees in responding to initial contacts (complaint inquiries). FHEO's Office of Field Oversight (OFO) conducts periodic test calls to field offices with joint objectives of examining how well these offices have implemented the customer service guidance outlined in the January 20, 2006 TGM and assessing improvements in their customer service over time. On April 7, 2006, FHEO initiated random test calls in accordance with the January 20, 2006 Customer Service Technical Guidance Memorandum.

HUD technical guidance memo (TGM) issued on January 20, 2006 to all FHEO employees provided guidance on timeframes for responding to time-sensitive inquiries.

Performance standards for FHEO regional directors reflect benchmarks such as timeliness of converting inquiries into complaints; completeness of Title Eight Automated Paperless Office Tracking System (TEAPOTS) entries; and timeliness of investigations. FHEO's Office of Field Oversight (OFO) conducts periodic test calls to field offices with joint objectives of examining how well these offices have implemented the customer service guidance outlined in the January 20, 2006 TGM and assessing improvements in their customer service over time. HUD developed a performance assessment tool for all participating FHAPs that includes an assessment of whether FHAP agencies comply with guidelines provided in 24 CFR Part 115, its new regulation for FHAPs, which was made effective April 16, 2007.

-HUD provided training for FHAP agencies based on its new regulation for FHAPs set forth in 24 CFR Part 115 and instructs FHAPs to use TEAPOTS for recording all inquiries that allege housing discrimination. HUD's 2008 cooperative agreement with all FHAP agencies states that FHAPs must use the Initial Contact Date field in TEAPOTS to record the actual date on which the complainant first contacts the Agency or FHEO to inquire about filing a housing discrimination complaint, or to report an alleged discriminatory housing practice. The cooperative agreement also contains guidance for FHAPs in documenting a complainant's initial contact. In its performance assessment tool for FHAPs, HUD includes a requirement that FHAPs use TEAPOTS for recording complaint information.

HUD's cooperative agreement with all FHAP agencies states that FHAPs must use the Initial Contact Date field in TEAPOTS to record the actual date on which the complainant first contacts the Agency or FHEO to inquire about filing a housing discrimination complaint, or to report an alleged discriminatory housing practice. The cooperative agreement also contains guidance for FHAPs in documenting a complainant's initial contact.

FHEO's April 8, 2009 Technical Guidance Memorandum (TGM) was issued to direct all FHEO staff to improve customer service and case processing in response to the concerns outlined in our 2005 report including adherence to standards and procedures concerning planning and conducting investigations. This guidance highlights the need to increase the quality of performance in the areas of documentation procedures in intake, case investigation and case closure. Specifically, the TGM addresses the need for documentation of notifications of complaint, amendment, and closure and that 100-day letters are sent before an investigation has reached 100 days.

HUD has taken steps to address this recommendation. More specifically, HUD has instituted processes to better ensure that investigative plans are completed for all complaints, in contrast to the prior FHEO practice where experienced investigators prepared such plans mainly for cases determined to be technical or very complex. HUD's Title Eight Automated Paperless Tracking Office System (TEAPOTS) includes a milestone notification feature that alerts the investigator when specific elements of the investigation process, such as preparing an investigate plan, are overdue or not completed. In response, the investigator must acknowledge the reminder before proceeding within the system. In TEAPOTS, the alert for investigative plans pops up at 30 days from the start of a new complaint record. HUD's Title VIII Handbook (issued May 2005) also describes the basic contents of an investigative plan, including a description of the allegations, issues, and bases of the complaint; a statement of the defenses raised by each respondent to the complaint; the facts to be gathered in order to prove or disprove the allegations; lists of persons to be interviewed and documents to be obtained; and a projected timetable. In addition, according to HUD, preparation of investigative plans was added as a requirement in performance evaluations for supervisors as of the 2013 performance period. This provides an opportunity for supervisors to review the contents of each plan for approval.

The new FHAP regulation (published in 2007) includes performance standards that specifically deal with conciliation and FHAP agencies ensuring compliance with conciliation agreements (24 CFR 115.206(e)(3) and (4)). In assessing the performance of these standards, as appropriate, FHEO provides technical assistance (including providing best practices) to FHAP agencies. The regulation states the following: During the period beginning with the filing of a complaint and ending with filing a charge or dismissal, the agency, to the extent feasible, attempts to conciliate the complaint. After the charge has been issued, the agency, to the extent feasible, continues to attempt settlement until a hearing or a judicial proceeding has begun. The regulation states that "In addressing this standard, review agency's policies, procedures, and actual practices related to conciliation". FHAP agencies are required to describe the extent of the 'attempt' to conciliate, e.g., one time by letter, were there early and late attempts; how/where conciliation attempts are documented and continued attempts to settle until a hearing or judicial proceeding has begun. They are required to note their observations, and any and all concerns pertaining to this standard. This assessment tool allows FHEO to identify conciliation best practices. Also, the National Fair Housing Training Academy (NFHTA) offers a course entitled Conciliation for Investigators that incorporated examples of mediation best practices. The first NFHTA Conciliation training was held December 9-12, 2008.

-HUD Technical Guidance Memo (TGM) issued on January 20, 2006 to all FHEO employees set guidelines for conciliation attempts to be made throughout the complaint process, for all attempts to be documented, and for managers to review such documentation. The documentation of conciliation attempts includes complainants' and respondent's declination of conciliation assistance. Also, HUD's TGM issued on April 8, 2009, outlines the ongoing role of HUD's conciliator. It reaffirms that the conciliator should fully document all conciliation attempts in a dated log, including notes on the course of negotiations, which clearly demonstrate his or her efforts to achieve voluntary resolution of the complaint. In its performance assessment tool for FHAPs, HUD includes an assessment of whether FHAP agencies comply with guidelines for attempting conciliation in accordance with 24 CFR Part 115 and documenting such attempts to conciliate.