HUD 24 CFR PART 180-2011 CONSOLIDATED HUD HEARING PROCEDURES FOR CIVIL RIGHTS MATTERS《HUD统一民权事务听证程序》.pdf

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1、728 24 CFR Subtitle B, Ch. I (4111 Edition) Pt. 180 PART 180CONSOLIDATED HUD HEARING PROCEDURES FOR CIVIL RIGHTS MATTERS Subpart AGeneral Information Sec. 180.100 Definitions. 180.105 Scope of rules. Subpart BAdministrative Law Judge 180.200 Designation. 180.205 Authority. 180.210 Withdrawal or disq

2、ualification of ALJ. 180.215 Ex parte communications. 180.220 Separation of functions. Subpart CParties 180.300 Rights of parties. 180.305 Representation. 180.310 Parties. 180.315 Standards of conduct. Subpart DProceedings Prior to Hearing 180.400 Service and filing. 180.405 Time computations. 180.4

3、10 Charges under the Fair Housing Act. 180.415 Notice of proposed adverse action re-garding Federal financial assistance in non-Fair Housing Act matters. 180.420 Answer. 180.425 Amendments to pleadings. 180.430 Motions. 180.435 Prehearing statements. 180.440 Prehearing conferences. 180.445 Settlemen

4、t negotiations before a settlement judge. 180.450 Resolution of charge or notice of proposed adverse action. Subpart EDiscovery 180.500 Discovery. 180.505 Supplementation of responses. 180.510 Interrogatories. 180.515 Depositions. 180.520 Use of deposition at hearings. 180.525 Requests for productio

5、n of docu-ments or things for inspection or other purposes, including physical and mental examinations. 180.530 Requests for admissions. 180.535 Protective orders. 180.540 Motion to compel discovery. 180.545 Subpoenas. Subpart FProcedures at Hearing 180.600 Date and place of hearing. 180.605 Conduct

6、 of hearings. 180.610 Waiver of right to appear. 180.615 Failure of party to appear. 180.620 Evidence. 180.625 Record of hearing. 180.630 Stipulations. 180.635 Written testimony. 180.640 In camera and protective orders. 180.645 Exhibits. 180.650 Public document items. 180.655 Witnesses. 180.660 Clos

7、ing of record. 180.665 Arguments and briefs. 180.670 Initial decision of ALJ. 180.671 Assessing civil penalties for Fair Housing Act cases. 180.675 Petitions for review. 180.680 Final decisions. Subpart GPost-Final Decision in Fair Housing Cases 180.700 Action upon issuance of a final deci-sion in F

8、air Housing Act cases. 180.705 Attorneys fees and costs. 180.710 Judicial review of final decision. 180.715 Enforcement of final decision. Subpart HPost-Final Decision in Non-Fair Housing Act Matters 180.800 Post-termination proceedings. 180.805 Judicial review of final decision. AUTHORITY: 29 U.S.C

9、. 794; 42 U.S.C. 2000d1 3535(d), 36013619; 53015320, and 6103. SOURCE: 61 FR 52218, Oct. 4, 1996, unless otherwise noted. Subpart AGeneral Information 180.100 Definitions. As used in this part: (a) The terms ALJ, Department, Fair Housing Act, General Counsel, and HUD are defined in 24 CFR part 5, su

10、bpart A. (b) The terms Aggrieved Person, Assist-ant Secretary, Attorney General, Discrimi-natory Housing Practice, Person, and State are defined in 24 CFR part 103, subpart A. (c) Other terms used in this part are defined as follows: Agency has the same meaning as HUD. Applicant and Application have

11、 the meanings provided in 24 CFR 1.2 or 24 CFR 8.3, as applicable. Charge means the statement of facts issued under 24 CFR 103.405 upon which HUD has found reasonable cause to be-lieve that a discriminatory housing practice has occurred or is about to occur. Complaint means a complaint filed under t

12、he statutes covered by this part. VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00738 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-729 Office of Asst. Secy.,

13、Equal Opportunity, HUD 180.105 Complainant means the person (in-cluding the Assistant Secretary) who filed a complaint under the statutes covered by this part. Docket Clerk is the docket clerk for HUDs Office of Hearings and Appeals, 451 7th Street, SW., Room B133, Wash-ington, DC 20410. The telepho

14、ne num-ber is 2022540000 and the facsimile number is 2026197304. Fair Housing Act matters refers to pro-ceedings under this part pursuant to the Fair Housing Act and the imple-menting regulations at 24 CFR parts 100 and 103. Federal financial assistance has the meaning provided in 24 CFR 1.2, 6.3, 8

15、.3, or 146.7, as applicable. Hearing means a trial-type pro-ceeding that involves the submission of evidence, either by oral presentation or written submission, and briefs and oral arguments on the evidence and applica-ble law. Intervenor is a person entitled by law or permitted by the ALJ to partic

16、ipate as a party. Non-Fair Housing Act matters refers to proceedings under this part pursuant to: (1) Title VI of the Civil Rights Act of 1964, as amended, (42 U.S.C. 2000d-1) and the implementing regulations at 24 CFR part 1; (2) Section 504 of the Rehabilitation Act of 1973, as amended, (29 U.S.C.

17、 794) and the implementing regulations at 24 CFR part 8; (3) The Age Discrimination Act of 1975, as amended, (42 U.S.C. 6103) and the implementing regulations at 24 CFR part 146; or (4) Section 109 of Title I of the Hous-ing and Community Development Act of 1974, as amended, (42 U.S.C. 53015321) and

18、 the implementing regulations at 24 CFR part 6. Notice of Proposed Adverse Action is the statement of facts issued pursuant to a non-Fair Housing Act matter upon which HUD has found reason to termi-nate or refuse to grant or continue Federal financial assistance. Party is a person who has full parti

19、ci-pation rights in a proceeding under this part. Prevailing party has the same mean-ing as the term has in section 722 of the Revised Statutes of the United States (42 U.S.C. 1988). Recipient has the meaning provided in 24 CFR 1.2, 6.3, 8.3, or 146.7, as applica-ble. Respondent means the person acc

20、used of violating one of the statutes covered by this part, including a recipient. Secretary means the Secretary of HUD, or to the extent of any delega-tion of authority by the Secretary to act under any of the statutory authori-ties listed in 180.105(a), any other HUD official to whom the Secretary

21、 may hereafter delegate such authority. 61 FR 52218, Oct. 4, 1996, as amended at 64 FR 3801, Jan. 25, 1999; 72 FR 53879, Sept. 20, 2007; 74 FR 4635, Jan. 26, 2009 180.105 Scope of rules. (a) This part contains the rules of practice and procedure applicable to administrative proceedings before an ALJ

22、 under the following authorities: (1) The Fair Housing Act (42 U.S.C. 36013619) and the implementing regula-tions at 24 CFR parts 100 and 103, where no election to proceed in federal dis-trict court has been made; (2) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d1), and the imple-menting

23、 regulations at 24 CFR part 1; (3) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), and the implementing regulations at 24 CFR part 8; (4) The Age Discrimination Act of 1975 (42 U.S.C. 6103), and the imple-menting regulations at 24 CFR part 146; and (5) Section 109 of title

24、 I of the Hous-ing and Community Development Act of 1974 (42 U.S.C. 53015321) and imple-menting regulations at 24 CFR part 6. (b) In the absence of a specific provi-sion, the Federal Rules of Civil Proce-dure shall serve as a general guide. (c) Hearings under this part shall be conducted as expediti

25、ously and inex-pensively as possible, consistent with the needs and rights of the parties to obtain a fair hearing and a complete record. (d) Except to the extent that a waiv-er would otherwise be contrary to law, the ALJ may, after adequate notice to all interested persons, modify or waive any of t

26、he rules in this part upon a de-termination that no person will be VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00739 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IH

27、S-,-,-730 24 CFR Subtitle B, Ch. I (4111 Edition) 180.200 prejudiced and that the ends of justice will be served. (e) All pleadings, correspondence, ex-hibits, transcripts of testimony, excep-tions, briefs, decisions, and other docu-ments filed in any proceeding may be inspected in the Docket Clerks

28、 office during regular business hours. 61 FR 52218, Oct. 4, 1996, as amended at 64 FR 3801, Jan. 25, 1999; 74 FR 4636, Jan. 26, 2009 Subpart BAdministrative Law Judge 180.200 Designation. Proceedings under this part shall be presided over by an ALJ appointed under 5 U.S.C. 3105. 61 FR 52218, Oct. 4,

29、 1996, as amended at 73 FR 13723, Mar. 13, 2008 180.205 Authority. The ALJ shall have all powers nec-essary to conduct fair, expeditious and impartial hearings, including the power to: (a) Administer oaths and affirma-tions and examine witnesses; (b) Rule on offers of proof and receive evidence; (c)

30、 Take depositions or have deposi-tions taken when the ends of justice would be served; (d) Regulate the course of the hear-ing and the conduct of persons at the hearing; (e) Hold conferences for the settle-ment or simplification of the issues by consent of the parties; (f) Rule on motions, procedura

31、l re-quests, and similar matters; (g) Make and issue initial decisions; (h) Impose appropriate sanctions against any person failing to obey an order, refusing to adhere to reasonable standards of orderly and ethical con-duct, or refusing to act in good faith; (i) Issue subpoenas if authorized by law

32、; and (j) Exercise any other powers nec-essary and appropriate for the purpose and conduct of the proceeding as au-thorized by the rules in this part or in conformance with statute, including 5 U.S.C. 55159. 180.210 Withdrawal or disqualifica-tion of ALJ. (a) Disqualification. If an ALJ finds that t

33、here is a basis for his/her dis-qualification in a proceeding, the ALJ shall withdraw from the proceeding. Withdrawal is accomplished by enter-ing a notice in the record and providing a copy of the notice to the Director of the Office of Hearings and Appeals. (b) Motion for recusal. If a party be-li

34、eves that the presiding ALJ should be disqualified for any reason, the party may file a motion to recuse with the ALJ. The motion shall be supported by an affidavit setting forth the alleged grounds for disqualification. The ALJ shall rule on the motion, stating the grounds therefor. (c) Redesignati

35、on of ALJ. If an ALJ is disqualified, another ALJ shall be des-ignated to preside over further pro-ceedings. 61 FR 52218, Oct. 4, 1996, as amended at 73 FR 13723, Mar. 13, 2008 180.215 Ex parte communications. (a) An ex parte communication is any direct or indirect communication con-cerning the meri

36、ts of a pending pro-ceeding, made by a party in the ab-sence of any other party, to the pre-siding ALJ, and which was neither on the record nor on reasonable prior no-tice to all parties. Ex parte commu-nications do not include communica-tions made for the sole purpose of scheduling hearings, reques

37、ting exten-sions of time, or requesting informa-tion on the status of cases. (b) Ex parte communications are pro-hibited. (c) If the ALJ receives an ex parte communication that the ALJ knows or has reason to believe is prohibited, the ALJ shall promptly place the commu-nication, or a written stateme

38、nt of the substance of the communication, in the record and shall furnish copies to all parties. Unauthorized communications shall not be taken into consideration in deciding any matter in issue. Any party making a prohibited ex parte communication may be subject to sanctions including, but not limi

39、ted to, exclusion from the proceeding and an adverse ruling on the issue that is the VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00740 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted witho

40、ut license from IHS-,-,-731 Office of Asst. Secy., Equal Opportunity, HUD 180.310 subject of the prohibited communica-tion. 180.220 Separation of functions. No officer, employee, or agent of the Federal Government engaged in the performance of investigative, concilia-tory, or prosecutorial functions

41、 in con-nection with the proceeding shall, in that proceeding or any factually re-lated proceeding under this part, par-ticipate or advise in the decision of the ALJ, except as a witness or counsel during the proceedings or in its appel-late review. Subpart CParties 180.300 Rights of parties. Each p

42、arty may appear in person, be represented by counsel, examine or cross-examine witnesses, introduce documentary or other relevant evi-dence into the record and, in Fair Housing Act matters, request the issuance of subpoenas. 180.305 Representation. (a) HUD is represented by the Gen-eral Counsel. (b)

43、 Any party may appear on his/her/ its own behalf or by an attorney. Each party or attorney shall file a notice of appearance. The notice must identify the matter before the ALJ, the party on whose behalf the appearance is made, and the mailing address and telephone number of the person appear-ing. S

44、imilar notice shall also be given for any withdrawal of appearance. (c) An attorney must be admitted to practice before a Federal Court or the highest court in any State. The attor-neys representation that he/she is in good standing before any of these courts is sufficient evidence of the at-torneys

45、 qualifications under this sec-tion, unless otherwise ordered by the ALJ. 180.310 Parties. (a) Parties to proceedings under this part are HUD, the respondent(s), and any intervenors. Respondents include persons named as such in a charge issued under 24 CFR part 103 and Re-cipients/applicants named a

46、s respond-ents in hearing notices issued under 24 CFR parts 1, 6, 8 or 146 and notices of proposed adverse action under this part. (b) An aggrieved person is not a party but may file a motion to intervene. Re-quests for intervention shall be filed within 50 days after the filing of the charge; howev

47、er, the ALJ may allow intervention beyond that time. An in-tervenors right to participate as a party may be restricted by order of the ALJ pursuant to statute, the rules in this part or other applicable law. Inter-vention shall be permitted if the person requesting intervention is (1) The aggrieved

48、person on whose be-half the charge is issued; or (2) An aggrieved person who claims an interest in the property or trans-action that is the subject of the charge and the disposition of the charge may, as a practical matter, impair or impede this persons ability to protect that in-terest, unless the

49、aggrieved person is adequately represented by the existing parties. (c) A complainant in a non-Fair Housing Act matter is not a party but may file a motion to become an amicus curiae. (d) Any person may file a petition to participate in a proceeding under this part as an amicus curiae. An amicus curiae is not a party to the proceeding and may not introduce evidence at the hearing. (1) A petition to participate as ami-cus curiae shal