project recovery complaint and appeal · 7/14/2020 · policy outline the project recovery program...

PROJECT RECOVERY COMPLAINT AND APPEAL

POLICY AND PROCEDURES

VERSION 1, 2019 VERSION 2, JULY 2020

HARRIS COUNTY, TEXAS COMMUNITY SERVICES DEPARTMENT

8410 LANTERN POINT DRIVE, HOUSTON, TX 77054

Disaster Recovery Programs Complaints & Appeals 2020

Version 2, July 2020 1

Version Date Section

Change

Table of Contents Chapter 1. Overview ..................................................................................................................... 2

1.1. Purpose ........................................................................................................................... 2

1.2. Definitions ....................................................................................................................... 2

Chapter 2. CDBG-DR Program Complaints and Appeals .............................................................. 3

2.1. Policy Outline .................................................................................................................. 3

2.2. Complaints ...................................................................................................................... 4

2.3. Appeals ............................................................................................................................ 8



Project Recovery Complaint and Appeal Policy and Procedures Harris County, TX – Community Services Department

Chapter 1. Overview

1.1. Purpose To provide the complaint and appeal policy and procedures that allows for the prompt review and equitable disposition of any complaint alleging violations of the CDBG-DR Grant Program or any appeal of a program's determination of funding award calculation or eligibility status.

1.2. Definitions Appeal – A request by an applicant or participant for a review of an eligibility, award or other program determination.

Complaint – A statement that a situation under the program is unsatisfactory or unacceptable. Non-applicants, applicants and participants can submit program complaints.

The Project Recovery Program – The name of the Harris County CDBG-DR Grant Program.

Program Management - includes 1) CSD Director; 2) Chief Operating Officer for Disaster Recovery; 3) Director of DR Operations; 4) Director of DR Planning; 5) Director of Compliance; and 5) Deputy Assistant Director – DR Housing. Project Recovery Positions Handling Complaints and Appeals:

Complaint/Appeals Coordinator

Complaint/Appeals Assistant



Chapter 2. CDBG-DR Program Complaints and Appeals

2.1. Policy Outline The Project Recovery Program is required to have a complaint process for non-applicants, applicants, and participants. The Project Recovery Program is also required to have an appeal process so that applicants and participants have recourse when the organization or their contractors make an adverse determination of eligibility or benefits.

The Project Recovery Program is responsible for providing a response to complaints and appeals within 15 business days of receipt of the concern. The Project Recovery Program will maintain a record of all complaints, appeals, and resolutions, including all communications, for a five (5) year period after the completion of the grant.

The following Policies and Procedures will be defined:

Complaints Appeals



2.2. Complaints

2.2.1. Policy Complaints alleging violation of fair housing laws will be directed to the U.S. Department of Housing and Urban Development for immediate review. Complaints regarding fraud, waste, or abuse of government funds will be forwarded to the HUD OIG Fraud Hotline (phone: 1–800–347–3735 or email: [email protected]).

For complaints not alleging a violation of fair housing and/or fraud, waste and abuse, the non-applicants, applicants, and/or participants, can submit any general program complaint in writing, in person at any Harris County Community Services Department (HCCSD) office, or over the telephone by contacting the Project Recovery Program 832-927-8301 or via email at [email protected].

The Complaint/Appeals Coordinator or Assistant will take verbal complaints and try to resolve the complaint informally. If not able to come to an agreeable resolution, the Complaint/Appeals Coordinator or Assistant will request the complainant to submit the complaint in writing to the Complaint/Appeals Coordinator.

Contact Information:

Mailing Address/Physical Location/Email: Harris County Community Services Department 13105 Northwest Freeway, 4th Floor Houston, Texas 77040 Attn: Appeals Coordinator Phone: 832-927-8301 [email protected] The Complaint Procedure is posted to the HarrisRecovery.org website. https://harrisrecovery.org/complaints-appeals-2/

Should the complainant not be satisfied with the outcome of their process with the Project Recovery Program, they have the right to escalate the complaint to the Texas General Land Office (GLO). The GLO will provide a timely response. The response will be provided within 15 business days of the receipt of the complaint or appeal, where practical.

GLO Mailing Address ATTN: GLO-CDR Texas General Land Office PO Box 12873 Austin, TX 78711-2873 GLO Email Address [email protected] GLO Telephone 844-893-8937 or 512-475-5000

mailto:[email protected]



https://harrisrecovery.org/complaints-appeals-2/



2.2.2. Required Documentation The record of each compliant received shall contain:

Applicant or third-party written complaint

Notice of Complaint Received

Appeal / Complaint Tracking Log

2.2.3. Harris County Recovery Complaint Procedures Complaints may be submitted directly or indirectly to the program in a variety of ways including but not limited to email, over the phone, in writing, or in person. Complaints may be submitted indirectly to any Harris County staff person or member of the Judge’s office or Commissioners’ offices. The complaint is then forwarded to the Complaint/Appeals Coordinator or Complaint/Appeals Assistant or Program Management.

The Complaint/Appeals Coordinator and the Complaint/Appeals Assistant and, when activated, Program Management, are tasked with handling all non-applicant’s, applicant’s, participant’s, and other organization’s complaints.

Responsibilities include:

Recording all initial complaints on the Complaint Tracking Log

o The Complaint Tracking Log will note at least the following:

Complaint Number

Name of Complainant

Customer Case Worthy ID Number (if applicable)

Address

Phone Number

Date of Receipt

Staff Assigned

Staff Responsible and date of initial response

Method initial response (Via phone, email, or in person)

Initial response deadline acknowledging receipt of complaint (within 3 business

days of receipt of concern)

Response deadline (within 15 business days of receipt of the concern)

Individuals named in complaint

Date of final response

Method of final response

Response Status

Notes

o The Complaint Tracking Log will be stored on the DR Project Recovery Program

shared drive

Determining whether complaints are related to the business or authority of the Project

Recovery Program



o If not related to the Project Recovery Program, the complaint will be forwarded to

the appropriate department

Ensuring that a response to all complaints is provided within 15 business days of the

receipt of the complaint, where practical.

o The Harris County Community Services Executive Director or designee will send

correspondence to the complainant

Ushering all complaints through to a resolution

o May call, email, or schedule meetings with the complainant as needed to provide

clarification, additional documentation, or program updates to try to reach

resolution

o If needed, the Complaint/Appeals Coordinator or Assistant should consult with

upper Program Management for additional consultation.

o If unable to come to a resolution, notify the complainant of actions taken to

attempt resolution but closing of the complaint. Provide GLO contact information

as necessary.

Maintaining documentation for each complaint in a separate labeled file. Each file will

include the following:

o Contact name and address information for the complainant

o Initial complaint and date

o Harris County assigned project number (if applicable)

o Any communications to and from complainant

o Results of the investigation, together with any notes, letters, or other investigative

documentation

The date the complaint was resolved

The name of the Project Recovery Program staff detailing the complaint

Any other action taken

o The complaint will receive a call or letter of resolution regarding complaint to

complainant, if applicable

2.2.3.1. Reporting Complaints shall be tracked electronically, and reports produced may be generated upon request for local, state, or federal funding agencies.

2.2.4. Forms These forms will be utilized as necessary in this process.

Complaint Tracking Log

Denials Tracking Log

Appeals Tracking Log

Withdrawals Tracking Log



2.2.5. Regulations 24 CFR Part 570.486(a)(7)



2.3. Appeals

2.3.1. Harris County Recovery Policy The Project Recovery Program is required to have a systematic appeal process so that applicants and/or participants have recourse when they feel the Project Recovery Program has made an adverse determination of eligibility or benefits. The Project Recovery Program has adopted an appeal process that will apply for all applicants and participants and will not be applied in a manner that discriminates against any individual based on race, color, national origin, religion, sex, sexual orientation, age, familial status, or disability. If, at any time, an individual requires a reasonable accommodation to the established appeals process, the Project Recovery Program staff will follow reasonable accommodation protocol.

Filing an Appeal with The Project Recovery Program

Contact Information:

Mailing Address/Physical Location Harris County Community Services Department 13105 Northwest Freeway, 4th Floor Houston, Texas 77040 Attn: Appeals Coordinator Phone: 832-927-8301 [email protected]

The appeals procedure is a formal process that provides applicants and participants recourse when they feel the program has made an adverse decision impacting their eligibility or award amount. The policy includes:

The appellant must appeal any issues regarding their award within 10 business days of the date on the determination letter

All appeals must be requested in writing in order to be considered

After 10 business days, the status is considered final and can no longer be reviewed o Exceptions will be considered on a case by case basis for reasonable accommodation

requests

The Appeals Coordinator or Appeals Assistant will review all relevant program information and supporting documentation for an appeal against the program policies and procedures governing eligibility and program award determinations

The Project Recovery Program will not change policies or laws set forth by the County, State of Texas, or the federal government

A final decision will be sent to the applicant or participant in an Appeals Decision Letter

After the appellant receives their Appeal Decision Letter from the Project Recovery Program, the individual has two options:

1. Accept the determination and no further action is required




OR

2. Request a review of the determination by the Texas General Land Office (GLO) as described in the Appeal Decision Letter

Filing an Appeal with the Texas General Land Office

If the Project Recovery Program denies the appeal, the appellant may submit an appeal to GLO-CDR for further consideration. The appeal must be received within ten days of Harris County’s appeal denial (documented by the certified mail delivery date).

There are two ways to submit an appeal to GLO:

1. GLO Online Form https://s3.glo.texas.gov/cdr/index.html

2. Written appeal

GLO contact information:

GLO Mailing Address ATTN: GLO-CDR Texas General Land Office PO Box 12873 Austin, TX 78711-2873 GLO Email Address [email protected] GLO Telephone 844-893-8937 or 512-475-5000

This Appeal Procedure is posted to the HarrisRecovery.org website. https://harrisrecovery.org/complaints-appeals-2/

2.3.2. Required Documentation The record of each appeal received shall contain:

Applicant appeal letter

Supporting documentation regarding the appeal

Appeals Decision Letter

Project Recovery Complaint and Appeals Policy and Procedures

Appeal / Complaint Tracker Log

2.3.3. Harris County Recovery Appeal Procedures Appeals must be submitted to the program in writing to be considered. Any Project Recovery staff person may receive an appeal. Exceptions to the requirement for appeals to be submitted in writing may be considered on a case by case basis for reasonable accommodation requests.

https://s3.glo.texas.gov/cdr/index.html

https://harrisrecovery.org/complaints-appeals-2/



The Compliant/Appeals Coordinator and Assistant are tasked with handling all applicant’s and participant’s appeals. Program Management may be included as needed or requested by Appeals Coordinator.

The Project Recovery Program appeals will have a final review and determination by an Appeals Committee. (Note: No staff involved in the initial decision or program will be included on the Appeals Committee).

The Complaint/Appeals Coordinator’s and Complaint/Appeals Assistant’s responsibilities include:

Upon Receipt of the appeal, record the appeal and date of receipt on the Appeal Tracking

Sheet in the Appeal / Complaint Tracking Log

o The Appeal Tracking Sheet will note at least the following:

Appeal Number

Name of Appellant

Customer Case Worthy ID Number

Address

Phone Number

Date of Receipt

Staff Assigned

Staff updating log

Detailed description of the appeal

Method of initial response (Via phone, email, in person)

Initial Response deadline (within 5 business days of receipt of appeal)

Written Decision to the Appellant deadline (within 45 business days of receipt

of appeal where practical)

Individuals named in Appeal

Date of final response

Method of final response

Response Status

Notes

o The Appeal/Complaint Tracking Log will be stored on the DR Project Recovery

Program shared drive

Determine whether the appeal is related to the business or authority of the Project Recovery Program o If not related to the Project Recovery Program, the appeal will be forwarded to the

appropriate department

Within 5 business days of receiving the appeal, provide the appellant with written confirmation that the appeal was received

Send the appeal request to the applicable program staff for review of completeness and accuracy



o Program staff will verify that the application was properly processed or will note

any changes or corrections to the file within ten (10) to fifteen (15) days of receipt

from the Complaint/Appeal staff

Contact the appellant to give the appellant the opportunity to provide evidence, information or additional documentation necessary to determine an outcome

Complete the following documents:

o Applicant Appeal Advisory Summary o Appeals Activity Summary Report

Forward the appeal letter and supporting documents to the Appeals Committee for review and determination including o Appellant’s file o Applicant Appeal Advisory Summary o Appeals Activity Summary Report

A determination will be made by the Appeals Committee, forwarded to the DR Complaint/Appeals Coordinator. o The applicant will be mailed the Appeals Decision Letter. o The Appeals Committee requires simple majority.

If the appeal is granted, the program staff will correct the determination and process the

applicant’s eligibility or benefit determination

The entire appeals process shall be completed within a 45-day period from receipt of initial appeal, where practical. o Complaint/Appeal Coordinator or Assistant will monitor the progress of appeals in

process to ensure that the entire process from the date of receipt of an appeal

request through the date an Appeals Decision Letter has been mailed takes no

longer than 45 days.

o Complaint/Appeal Coordinator or Assistant will document extenuating

circumstances on the Appeals Tracking Sheet and communicate with the appellant

if the 45-day timeframe cannot be met and will provide an estimated timeframe for

resolution.

Documentation for each appeal must be maintained. Each file will include the following: o Contact information for the appellant o Initial appeal o Address and Harris County assigned project number (if applicable) o Any communications to and from appellant o Results of the investigation, together with any notes, letters, or other investigative

documentation o The date the appeal was closed o Any other action taken



Appeals Process Task and Responsible Party

Timeline

1. Determination letter of Ineligibility for Program Assistance sent to Applicant

2. Applicant appeals the Determination of Ineligibility

Within 10 business days of the date of the Determination of Ineligibility Letter, applicant submits letter appealing determination to CSD-DR Appeals and Complaints

3. CSD-DR Complaints and Appeals Coordinator and/or Assistant forwards applicant’s appeal to CSD-DR Program Staff for review

Within 2 to 5 business days of receipt of appeal letter from applicant

4. CSD-DR Complaints and Appeals Coordinator and/or Assistant sends initial written response to applicant acknowledging receipt of appeal letter

Within 5 business days of receipt of appeal letter from applicant

5. CSD-DR Program staff reviews appeal and provides verification to the Appeals Coordinator and /or Assistant that the information needed for a determination is included.

Within 10-15 business days of receipt of appeal letter from the CSD-DR Complaints and Appeals Coordinator and/or Assistant

6. CSD-DR Complaints and Appeals Coordinator and/or Assistant reviews information from the CSD-DR Program staff and forwards it to the Appeals Committee for final recommendation to approve or deny appeal with copy to the CSD-DR Program Manager.

Within 5 business days of receipt of case file verification and information form CSD-DR Program staff

7. CSD-DR Appeals Committee reviews CSD-DR Program staff’s case file information along with appeals documentation and makes final determination to approve or deny appeal and forwards to appellant with copy to CSD-DR Complaints and Appeals Coordinator and/or Assistant

Within 15 business days of receipt of appeal request for appeal along with case file information from CSD-DR Complaints and Appeals Coordinator and /or Assistant

Timeline runs concurrently

Total timeline is 35 to 45

business days to allow for

investigation, compiling

documentation and response



2.3.3.1. Reporting Appeals shall be tracked, and reports produced may be generated upon request for local, state, or federal funding agencies.

2.3.4. Forms These forms will be utilized as necessary in this process.

HCCSD L Side & R Side File Checklist

Applicant Appeal Advisory Summary

Appeal / Complaint Tracker Log

Appeal Decision Letters (denied or approved)

Appeals Activity Summary Report

2.3.5. Regulations 24 CFR Part 570.486(a)(7)

project recovery complaint and appeal · 7/14/2020 · policy outline the project recovery program...

Documents