OFFICE OF INSPECTOR GENERAL, DEPARTMENT OF HOUSING AND

[Title 24 CFR XII]
[Code of Federal Regulations (annual edition) - May 1, 2001 Edition]
[Title 24 - HOUSING AND URBAN DEVELOPMENT]
[Chapter Xii - OFFICE OF INSPECTOR GENERAL, DEPARTMENT OF HOUSING AND]
[From the U.S. Government Printing Office]

24HOUSING AND URBAN DEVELOPMENT52001-05-012001-05-01falseOFFICE OF INSPECTOR GENERAL, DEPARTMENT OF HOUSING ANDXIICHAPTER XIIHOUSING AND URBAN DEVELOPMENT
CHAPTER XII--OFFICE OF INSPECTOR GENERAL, DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT

PART 2000 [RESERVED]--Table of Contents

PART 2002--AVAILABILITY OF INFORMATION TO THE PUBLIC--Table of Contents

Sec.
2002.1 Scope of the part and applicability of other HUD regulations.
2002.3 Request for records.
2002.5 Records produced upon request when reasonably described.
2002.7 Fees.
2002.9 Fees to be charged--categories of requesters.
2002.11 Review of records, aggregating requests and waiving or reducing
fees.
2002.13 Charges for interest and for unsuccessful searches; utilization
of Debt Collection Act.
2002.15 Advance payments.
2002.17 Time limitations.
2002.19 Authority to release records or copies.
2002.21 Authority to deny requests for records and form of denial.
2002.23 Effect of denial of request.
2002.25 Administrative review.

Authority: 5 U.S.C. 552; Freedom of Information Reform Act of 1986
(Pub. L. 99-570); Inspector General Act of 1978 (5 U.S.C. App.); 42
U.S.C. 3535(d); Delegation of Authority, Jan. 9, 1981 (46 FR 2389).

Source: 49 FR 11165, Mar. 26, 1984, unless otherwise noted.

Sec. 2002.1 Scope of the part and applicability of other HUD regulations.

(a) General. This part contains the regulations of the Office of
Inspector General of HUD which implement the Freedom of Information Act
(5 U.S.C. 552). It tells the public how to request records and
information from the Office of Inspector General and explains the
procedure to use if a request is denied. Requests for documents made by
subpoena or other order are governed by procedures contained in part
2004 of this chapter. In addition to the regulations in this part, the
following provisions of part 15 of this title covering the production or
disclosure of material or information apply (except as limited in
paragraph (b) of this section) to the production or disclosure of
material in the possession of the Office of Inspector General:

Sec.
15.1 Definitions.
15.3 Statement of policy.
15.11 Publication in the Federal Register.
15.12 Materials not published in the Federal Register.
15.31 Information Centers.
15.32 Information officers.
15.33 Material in Department Central Information Center.

(b) Limited applicability of some sections of part 15. Sections
15.12 and 15.33 of this title describe Department material generally
available for public inspection and copying in one or more Department
Information Centers. To the extent the Information Centers listed in
Sec. 15.31 of this title maintain Office of Inspector General material
of this type, part 15 applies and members of the public may seek
assistance at these centers. A request for specific documents made under
the Freedom of Information Act must be made using the procedures
identified in this part 2002.
(c) Use of the term ``Department.'' For purposes of this part, when
the word Department is used in Secs. 15.12, 15.31, 15.32 and 15.33 of
this title, the term means Department as defined in Sec. 15.1 of this
title. When the word Department is used in Secs. 15.3 and 15.11 of this
title, the terms means Office of Inspector General.
(d) Request for declassification and release of classified material.
Section 15.81 of this title contains the provisions for requesting
declassification and release of declassified material.

[49 FR 11165, Mar. 26, 1984, as amended at 57 FR 2227, Jan. 21, 1992]

Sec. 2002.3 Request for records.

(a) A request for Office of Inspector General records may be made in
person during normal business hours at any office where Office of
Inspector General employees are permanently stationed. Although oral
requests may be honored, a requester may be asked to submit the request
in writing. A written request may be addressed to:
(1) Any Office of Inspector General employee at any location where
that employee is permanently stationed; or
(2) The Office of Inspector General, Department of Housing and Urban
Development, Washington, DC 20410.
(b) Each request must reasonably describe the desired record
including the name, subject matter, and number or date, where possible,
so that the record

[[Page 92]]

may be identified and located. The request should include the name,
address and telephone number of the requester. In order to enable the
Office of Inspector General to comply with the time limitations set
forth in Sec. 2002.17, both the envelope containing a written request
and the letter itself should clearly indicate that the subject is a
Freedom of Information Act request.
(c) The request must be accompanied by the fee or an offer to pay
the fee as determined in Sec. 2002.7. At its discretion, the Office of
Inspector General may require advance payment in accordance with
Sec. 2002.15.
(d) Copies of available records will be made as promptly as
possible. Copying service will be limited to not more than 10 copies of
any single page. Records which are published or available for sale need
not be reproduced.

[49 FR 11165, Mar. 26, 1984, as amended at 53 FR 37550 and 37552, Sept.
27, 1988; 59 FR 14097, Mar. 25, 1994]]

Sec. 2002.5 Records produced upon request when reasonably described.

(a) When a request is made which reasonably describes a record of
the Office of Inspector General (see Sec. 2002.3) which has been stored
in the National Archives or other record center of the General Services
Administration, the record will be requested by the Office of Inspector
General if it otherwise would be available under this part.
(b) Every effort will be made to make a record in use by the staff
of the Office of Inspector General available when requested, and such
availability will be deferred only to the extent necessary to avoid
serious interference with the business of the Office of Inspector
General.

Sec. 2002.7 Fees.

(a) Copies of records. HUD will charge $0.10 per page for copies of
documents up to 11" x 14". For copies prepared by computer, such as
tapes or printouts, HUD will charge the actual costs, including operator
time, of production of the tape or printout. For other methods of
reproduction or duplication, HUD will charge the actual direct costs of
producing the document(s).
(b) Manual searches for records. Whenever feasible, HUD will charge
at the salary rate(s) (i.e., basic pay plus 16 percent) of the
employee(s) making the search. However, where a homogeneous class of
personnel is used exclusively in a search (e.g., all administrative/
clerical, or all professional/executive), HUD will charge $9.25 per hour
for clercial time and $18.50 per hour for professional time. Charges for
search time less than a full hour will be billed by five-minute (\1/12\
of one hour) segments.
(c) Computer searches for records. HUD will charge at the actual
direct cost of providing the service. This will include the cost of
operating the central processing unit (CPU) for that portion of
operating time that is directly attributable to searching for records
responsive to a FOIA request and operator/programmer salary
approtionable to the search.
(d) Contract services. HUD will contract with private sector sources
to locate, reproduce and disseminate records in response to FOIA
requests when that is the most efficent and least costly method. When
doing so, however, HUD will ensure that the ultimate cost to the
requester is no greater than it would be if HUD itself had performed
these tasks. In no case will HUD contract out responsibilities which the
FOIA provides that HUD alone may discharge, such as determining the
applicability of an exemption, or determining whether to waive or reduce
fees. HUD will ensure that when documents that would be responsive to a
request are maintained for distribution by agencies operating statutory-
based fee schedule programs such as the National Technical Information
Service, HUD will inform requesters of the steps necessary to obtain
records from those sources. Information provided routinely in the normal
course of business will be provided at no charge.
(e) Restrictions on assessing fees. With the exception of requesters
seeking documents for commercial use, HUD will provide the first 100
pages of duplication and the first two hours of search time without
charge. For non-commercial use requesters, HUD will not begin to assess
fees until after HUD has provided the free search and reproduction.

[[Page 93]]

No charge will be assessed non-commercial use requesters when the search
time and reproduction costs, over and above the free search time and
reproduction allocation, totals no more than $5.00. For commercial use
requesters, no charge will be assessed when the search time,
reproduction and review costs total no more than $5.00. Search time in
this context is based on manual search. To apply this term to searches
made by computer, HUD will determine the hourly cost of operating the
central processing unit and the operator's hourly salary plus 16
percent. When the cost of the search (including the operator time and
the cost of operating the computer to process a request) equals the
equivalent dollar amount of two hours of the salary of the person
performing the search, i.e., the operator, HUD will begin assessing
charges for computer search.
(f) Payment of fees. Payment of fees under this section and under
Sec. 2002.11(a) shall be made in cash or by U.S. money order or by
certified bank check payable to the Treasurer of the United States. The
fees shall be sent to the organizational unit within HUD responding to
the request.
(g) Definitions. As used in this subpart:
(1) Direct costs means those expenditures which HUD actually incurs
in searching for and duplicating (and, in the case of commercial
requesters, reviewing) documents to respond to a FOIA request. Direct
costs include, for example, the salary of the employee performing work
(the basic rate of pay for the employee plus 16 percent of that rate to
cover benefits) and the cost of operating duplicating machinery. Not
included in direct costs are overhead expenses such as costs of space,
and heating or lighting the facility in which the records are stored.
(2) Search includes all time spent looking for material that is
responsive to a request, including page-by-page or line-by-line
identification of material within documents. Such activity is
distinguished from review of material in order to determine whether the
material is exempt from disclosure.
(3) Duplication means the process of making a copy of a document
necessary to respond to a FOIA request. Such copies can take the form of
paper copy, microform, audio-visual materials, or machine readable
documentation (e.g., magnetic tape or disk), among others.
(4) Review means the process of examining a document located in
response to a request that is for a commerical use to determine whether
any portion of it may be withheld, excising portions to be withheld and
otherwise preparing the document for release. Review does not include
time spent resolving general legal or policy issues regarding the
application of exemptions.

[53 FR 37550, Sept. 27, 1988]

Sec. 2002.9 Fees to be charged--categories of requesters.

There are four categories of FOIA requesters: Commercial use
requesters; educational and non-commercial scientific institutions;
representatives of the news media; and all other requesters. Specific
levels of fees are prescribed for each of these categories:
(a) Commercial use requesters. (1) HUD will assess charges which
recover the full direct costs of searching for, reviewing for release,
and duplicating records sought for commercial use. Requesters must
reasonably describe the records sought. Commercial use requesters are
not entitled to two hours of free search time or 100 free pages of
reproduction of documents.
(2) Commercial use refers to a request from or on behalf of one who
seeks information for a use or purpose that furthers the commercial,
trade, or profit interests of the requester or the person on whose
behalf the request is made. In determining whether a requester properly
belongs in this category, HUD must determine the use to which a
requester will put the documents requested. Moreover, where HUD has
reasonable cause to doubt the use to which a requester will put the
records sought, or where that use is not clear from the request itself,
HUD will seek additional clarification before assigning the request to a
specific category.
(b) Educational and non-commercial scientific institution
requesters. (1) HUD will provide documents to educational and non-
commercial scientific institutions for the cost of reproduction

[[Page 94]]

alone, excluding charges for the first 100 pages. To be eligible for
inclusion in this category, requesters must show that the request is
being made as authorized by and under the auspices of a qualifying
institution and that the records are not sought for a commercial use,
but are sought for furtherance of scholarly (if the request is from an
educational institution) or scientific (if the request is from a non-
commercial scientific institution) research. Requesters must reasonably
describe the records sought.
(2) Educational institution means a preschool, a public or private
elementary or secondary school, an institution of graduate higher
education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(3) Non-commercial scientific institution means an institution that
is not operated on a commercial basis as that term is referenced in
Sec. 2002.9(a) and which is operated solely for the purpose of
conducting scientific research the results of which are not intended to
promote any particular product or industry.
(c) Requesters who are representatives of the news media. (1) HUD
will provide documents to representatives of the news media for the cost
of reproduction alone, excluding charges for the first 100 pages. In
reference to this class of requester, a request for records supporting
the news dissemination function of the requester shall not be considered
to be a request that is for a commercial use. Requesters must reasonably
describe the records sought.
(2) Representative of the news media means any person actively
gathering news for an entity that is organized and operated to publish
or broadcast news to the public. The term news means information that is
about current events or that would be of current interest to the public.
Examples of news media entities include television or radio stations
broadcasting to the public at large, and publishers of periodicals (but
only in those instances when they can qualify as disseminators of news)
who make their products available for purchase or subscription by the
general public. Freelance journalists may be regarded as working for a
news organization if they can demonstrate a solid basis for expecting
publication through that organization, even though not actually employed
by it. A publication contract would be the clearest proof, but HUD may
also look to the past publication record of a requester in making this
determination.
(d) All other requesters. HUD will charge requesters who do not fit
into any of the categories above fees which recover the full reasonable
direct cost of searching for and reproducing records that are responsive
to the request, except that the first 100 pages of reproduction and the
first two hours of search time shall be furnished without charge.
Requests from subjects for records about themselves filed in agencies'
systems of records will continue to be treated under the fee provisions
of the Privacy Act of 1974 which permit fees only for reproduction.
Requesters must reasonably describe the records sought.

[53 FR 37551, Sept. 27, 1988]

Sec. 2002.11 Review of records, aggregating requests and waiving or reducing fees.

(a) Review of records. Only requesters who are seeking documents for
commercial use may be charged for time HUD spends reviewing records to
determine whether they are exempt from mandatory disclosure. Charges may
be assessed only for the initial review; i.e., the review undertaken the
first time HUD analyzes the applicability of a specific exemption to a
particular record or portion of a record. HUD will not charge for review
at the administrative appeal level of an exemption already applied.
However, records or portions of records withheld in full under an
exemption which is subsequently determined not to apply may be reviewed
again to determine the applicability of other exemptions not previously
considered. The costs for such a subsequent review would be properly
assessable. Review time will be assessed at the same rates established
for search time in Sec. 2002.7.
(b) Aggregating requests. A requester may not file multiple requests
at the same time, each seeking portions of a

[[Page 95]]

document or documents, solely in order to avoid payment of fees. When
HUD reasonably believes that a requester or a group of requesters acting
in concert, is attempting to break a request down into a series of
requests for the purpose of evading the assessment of fees, HUD may
aggregate any such requests and charge accordingly.
(c) Waiving or reducing fees. HUD will furnish documents without
charge or at reduced charge if disclosure of the information is in the
public interest because it is likely to contribute significantly to
public understanding of the operations or activities of the government
and is not primarily in the commercial interest of the requester. The
official authorized to grant access to records may waive or reduce the
applicable fee where requested. The determination not to waive or reduce
the fee will be subject to administrative review as provided in
Sec. 2002.25 after the decision on the request for access has been made.
Six factors shall be used in determining whether the requirements for a
fee waiver or reduction are met. These factors are as follows:
(1) The subject of the request: Whether the subject of the requested
records concerns ``the operations or activities of the government'';
(2) The informative value of the information to be disclosed:
Whether the disclosure is ``likely to contribute'' to an understanding
of government operations or activities;
(3) The contribution to an understanding of the subject by the
general public likely to result from disclosure: Whether disclosure of
the requested information will contribute to ``public understanding'';
(4) The significance of the contribution to public understanding:
Whether the disclosure is likely to contribute ``significantly'' to
public understanding of government operations or activities;
(5) The existence and magnitude of a commercial interest: Whether
the requester has a commercial interest that would be furthered by the
requested disclosure; and, if so
(6) The primary interest in disclosure: Whether the magnitude of the
identified commercial interest of the requester is sufficiently large,
in comparison with the public interest in disclosure, that disclosure is
``primarily in the commercial interest of the requester.''

[53 FR 37551, Sept. 27, 1988]

Sec. 2002.13 Charges for interest and for unsuccessful searches; utilization of Debt Collection Act.

(a) Charging interest. HUD will begin assessing interest charges on
an unpaid bill starting on the 31st day following the day on which the
billing was sent. A fee received by HUD, even if not processed, will
suffice to stay the accrual of interest. Interest will be at the rate
prescribed in section 3717 of title 31 U.S.C. and will accrue from the
date of the billing.
(b) Charge for unsuccessful search. Ordinarily no charge for search
time will be assessed when the records requested are not found or when
the records located are withheld as exempt. However, if the requester
has been notified of the estimated cost of the search time and has been
advised specifically that the requested records may not exist or may be
withheld as exempt, fees shall be charged.
(c) Use of Debt Collection Act of 1982. When a requester has failed
to pay a fee charged in a timely fashion (i.e., within 30 days of the
date of the billing), HUD may, under the authority of the Debt
Collection Act and part 17, subpart C of this title, use consumer
reporting agencies and collection agencies, where appropriate, to
recover the indebtedness owed the Department.

[53 FR 37552, Sept. 27, 1988]

Sec. 2002.15 Advance payments.

(a) HUD may not require a requester to make an advance payment,
i.e., payment before work is commenced or continued on a request,
unless:
(1) HUD estimates or determines that allowable charges that a
requester may be required to pay are likely to exceed $250. Then, HUD
will notify the requester of the likely cost and obtain satisfactory
assurance of full payment where the requester has a history of prompt
payment of FOIA fees, or require an advance payment of an amount up to
the full estimated charges in the case of requesters with no history of
payment; or

[[Page 96]]

(2) Where a requester has previously failed to pay a fee charged in
a timely fashion (i.e., within 30 days of the date of the billing), HUD
may require the requester to pay the full amount owed plus any
applicable interest as provided by Sec. 2002.13(a) or demonstrate that
he has, in fact, paid the fees, and to make an advance payment of the
full amount of the estimated fee before HUD begins to process a new
request or a pending request from that requester.
(b) When HUD acts under paragraph (a)(1) or (a)(2) of this section,
the administrative time limits prescribed in subsection (a)(6) of the
FOIA (i.e., 10 working days from receipt of initial requests and 20
working days from receipt of appeals from initial denial, plus
permissible extensions of these time limits) will begin only after HUD
has received fee payments described above.
(c) Where it is anticipated that either the duplication fee
individually, the search fee individually, or a combination of the two
exceeds $25.00 over and above the free search time and duplication
costs, where applicable, and the requesting party has not indicated in
advance a willingness to pay so high a fee, the requesting party shall
be promptly informed of the amount of the anticipated fee or such
portion thereof as can readily be estimated. The notification shall
offer the requesting party the opportunity to confer with agency
representatives for the purpose of reformulating the request so as to
meet that party's needs at a reduced cost.

[53 FR 37552, Sept. 27, 1988]

Sec. 2002.17 Time limitations.

(a) Upon receipt of a request for records, the appropriate Assistant
Inspector General or an appointed designee will determine within ten
working days whether to grant the request. The Assistant Inspector
General or designee will notify the requestor immediately in writing of
the determination and the right of the person to request a review by the
Inspector General of an adverse determination.
(b) The time of receipt for processing a request for records
purposes is the time it is received by the appropriate office for
review. If a request is misdirected by the requester, the Office of
Inspector General or Department official who receives the request will
promptly refer it to the appropriate office and will advise the
requester about the delayed time of receipt.
(c) A determination with respect to a request for review by the
Inspector General of HUD under Sec. 2002.25 will be made within 20
working days after receipt and will be communicated immediately to the
person requesting review.
(d) If the Office of Inspector General grants the request for
records, the records will be made available promptly to the requester.
(e) In unusual circumstances as specified in this paragraph, and
subject to the concurrence of any Assistant Inspector General or
appointed designee, the time limits prescribed in either paragraph (a)
or (c) of this section may be extended. Any extension will be in writing
to the requester and will include reasons for the extension and the date
on which the disposition of the request will be sent. No extension will
be for more than ten working days. As used in this paragraph, unusual
circumstances means (but only to the extent necessary to the proper
processing of the particular request) that there is a need:
(1) To search for and collect the requested records from field
facilities or other establishments that are separate from the office
processing the request; or
(2) To search for, collect, and appropriately examine a voluminous
amount of separate and distinct records which are demanded in a single
request; or
(3) For consultation, which shall be conducted with all practicable
speed, with another agency having a substantial interest in the
determination of the request or among two or more offices of the Office
of Inspector General having a substantial interest in the subject matter
of the request.

[49 FR 11165, Mar. 26, 1984. Redesignated and amended at 53 FR 37550,
37552, Sept. 27, 1988; 57 FR 2227; Jan. 21, 1992; 59 FR 14097, Mar. 25,
1994]

[[Page 97]]

Sec. 2002.19 Authority to release records or copies.

Any Assistant Inspector General or an appointed designee is
authorized to release any record (or copy) pertaining to activities for
which he or she has primary responsibility, unless disclosure is clearly
inappropriate under this part. No authorized person may release records
for which another officer has primary responsibility without the consent
of the officer or his or her designee.

[49 FR 11165, Mar. 26, 1984. Redesignated at 53 FR 37550, Sept. 27,
1988, as amended at 59 FR 14098, Mar. 25, 1994]

Sec. 2002.21 Authority to deny requests for records and form of denial.

(a) An Assistant Inspector General may deny a request for a record.
Any denial will:
(1) Be in writing;
(2) State simply the reasons for the denial;
(3) State that review of the denial by the Inspector General of HUD
may be requested;
(4) Set forth the steps for obtaining review consistent with
Sec. 2002.25; and
(5) Be signed by the Assistant Inspector General responsible for the
denial.
(b) The classes of records authorized to be exempted from disclosure
by the Freedom of Information Act (5 U.S.C. 552) are those which concern
matters that are:
(1)(i) Specifically authorized under criteria established by an
executive order to be kept secret in the interest of national defense or
foreign policy; and
(ii) Are in fact properly classified under the cited executive
order;
(2) Related solely to the internal personnel rules and practices of
HUD;
(3) Specifically exempted from disclosure by statute (other than
section 552b of title 5), provided that the statute either:
(i) Requires that the matters be withheld from the public in a
manner that leaves no discretion on the issue; or
(ii) Establishes particular criteria for withholding or refers to
particular types of matters to be withheld;
(4) Trade secrets and commercial or financial information that are
obtained from a person and are privileged or confidential;
(5) Inter-agency or intra-agency memoranda or letters that would not
be available by law to a party other than an agency in litigation with
HUD;
(6) Personnel and medical files and similar files the disclosure of
which would constitute a clearly unwarranted invasion of personal
privacy;
(7) Records or information compiled for law enforcement purposes,
but only to the extent that the production of such law enforcement
records or information:
(i) Could reasonably be expected to interfere with enforcement
proceedings;
(ii) Would deprive a person of a right to a fair trial or an
impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a
confidential source, including a state, local, or foreign agency or
authority, or any private institution which furnished information on a
confidential basis, and, in the case of a record or information compiled
by a criminal law enforcement authority in the course of a criminal
investigation or by an agency conducting a lawful national security
intelligence investigation, information furnished by a confidential
source;
(v) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions if the disclosure could
reasonably be expected to risk circumvention of the law; or
(vi) Could reasonably be expected to endanger the life or physical
safety of any individual;
(8) Contained in or related to examination, operating, or condition
reports prepared by, on behalf of, or for the use of an agency
responsible for the regulation or supervision of financial institutions;
or
(9) Geological and geophysical information and data, including maps,
concerning wells.
(c) With regard to a request for commercial or financial
information,

[[Page 98]]

predisclosure notification to business submitters is required by
Executive Order 12600 (3 CFR, 1987 Comp., p. 235) to afford the business
submitter an opportunity to object to disclosure of the requested
information.
(d) Any reasonably segregable portion of a record shall be provided
to any person requesting the record, after deletion of the portions that
are exempt under this section.

[57 FR 2228, Jan. 21, 1992, as amended at 59 FR 14098, Mar. 25, 1994]

Sec. 2002.23 Effect of denial of request.

Denial of a request shall terminate the authority of the Assistant
Inspector General or his or her designee to release or disclose the
requested record, which thereafter may not be made available except with
express authorization of the Inspector General of HUD.

[49 FR 11165, Mar. 26, 1984. Redesignated at 53 FR 37550, Sept. 27,
1988]

Sec. 2002.25 Administrative review.

(a) Review is available only from a written denial of a request for
a record issued under Sec. 2002.21 and only if a written request for
review is filed within 30 days after issuance of the written denial.
(b) A review may be initiated by mailing a request for review to the
Inspector General of HUD, Department of Housing and Urban Development,
451 Seventh Street, SW., Room 8256, Washington, DC 20410. Each request
for review must contain the following:
(1) A copy of the request, if in writing;
(2) A copy of the written denial issued under Sec. 2002.21; and
(3) A statement of the circumstances, reasons, or arguments advanced
in support of disclosure of the original request for the record.

In order to enable the Inspector General of HUD to comply with the time
limitations set forth in Sec. 2002.17, both the envelope containing the
request for review and the letter itself should clearly indicate that
the subject is a Freedom of Information Act request for review.
(c) Review will be made promptly by the Inspector General of HUD on
the basis of the written record described in paragraph (b) of this
section. Before a denial, the Inspector General will obtain the
concurrence of legal counsel for the Office of Inspector General.
(d) The time of receipt for processing of a request for review
purposes is the time it is received by the Inspector General of HUD. If
a request is misdirected by the requester and is received by one other
than the Inspector General, the Office of Inspector General or
Department official who receives the request will forward it promptly to
the Inspector General and will advise the requester about the delayed
time of receipt.
(e) The decision after review will be in writing, will constitute
final agency action on the request, and, if the denial of the request
for records is in full or in part upheld, the Inspector General will
notify the person making the request of his or her right to seek
judicial review under 5 U.S.C. 552(a)(4).

[49 FR 11165, Mar. 26, 1984. Redesignated and amended at 53 FR 37550,
37552, Sept. 27, 1988]

PART 2003--IMPLEMENTATION OF THE PRIVACY ACT OF 1974--Table of Contents

Sec.
2003.1 Scope of the part and applicability of other HUD regulations.
2003.2 Definitions.
2003.3 Requests for records.
2003.4 Officials to receive requests and inquiries.
2003.5 Initial denial of access to records.
2003.6 Disclosure of a record to a person other than the individual to
whom it pertains.
2003.7 Authority to make law enforcement-related requests for records
maintained by other agencies.
2003.8 General exemptions.
2003.9 Specific exemptions.

Authority: 5 U.S.C. 552a; 5 U.S.C. App. 3 (Inspector General Act of
1978); 42 U.S.C. 3535(d).

Source: 57 FR 62142, Dec. 29, 1992, unless otherwise noted.

Sec. 2003.1 Scope of the part and applicability of other HUD regulations.

(a) General. This part contains the regulations of the Office of
Inspector General (``OIG'') implementing the Privacy Act of 1974 (5
U.S.C. 552a). The regulations inform the public that the

[[Page 99]]

Inspector General has the responsibility for carrying out the
requirements of the Privacy Act and for issuing internal OIG orders and
directives in connection with the Privacy Act. These regulations apply
to all records that are contained in systems of records maintained by
the OIG and that are retrieved by an individuals's name or personal
identifier.
(b) Applicability of part 16. In addition to these regulations, the
provisions of 24 CFR part 16 apply to the OIG, except that appendix A to
part 16 is not applicable. The provisions of this part shall govern in
the event of any conflict with the provisions of part 16.

Sec. 2003.2 Definitions.

For purposes of this part:
Department means the OIG, except that in the context of
Secs. 16.1(d); 16.11(b) (1), (3), and (4); and 16.12(e), when those
sections are incorporated by reference, the term means the Department of
Housing and Urban Development.
Privacy Act Officer means an Assistant Inspector General.
Privacy Appeals Officer means the Inspector General.

[59 FR 14098, Mar. 25, 1994]

Sec. 2003.3 Requests for records.

(a) A request from an individual for an OIG record about that
individual which is not contained in an OIG system of records will be
considered to be a Freedom of Information Act (FOIA) request and will be
processed under 24 CFR part 2002.
(b) A request from an individual for an OIG record about that
individual which is contained in an OIG system of records will be
processed under both the Privacy Act and the FOIA in order to ensure
maximum access under both statutes. This practice will be undertaken
regardless of how an individual characterizes the request.
(1) The procedures for inquiries and requirements for access to
records under the Privacy Act are more specifically set forth in 24 CFR
part 16, except that appendix A to part 16 does not apply to the OIG.
(2) An individual will not be required to state a reason or
otherwise justify his or her request for access to a record.

Sec. 2003.4 Officials to receive requests and inquiries.

Officials to receive requests and inquiries for access to, or
correction of, records in OIG systems of records are the Privacy Act
Officers described in Sec. 2003.2 of this part. Written requests may be
addressed to the appropriate Privacy Act Officer at: Office of Inspector
General, Department of Housing and Urban Development, Washington, DC
20410.

[57 FR 62142, Dec. 29, 1992, as amended at 59 FR 14098, Mar. 25, 1994]

Sec. 2003.5 Initial denial of access to records.

(a) Access by an individual to a record about that individual which
is contained in an OIG system of records will be denied only upon a
determination by the Privacy Act Officer that:
(1) The record was compiled in reasonable anticipation of a civil
action or proceeding; or the record is subject to a Privacy Act
exemption under Sec. 2003.8 or Sec. 2003.9 of this part; and
(2) The record is also subject to a FOIA exemption under
Sec. 2002.21(b) of this chapter.
(b) If a request is partially denied, any portions of the responsive
record that can be reasonably segregated will be provided to the
individual after deletion of those portions determined to be exempt.
(c) The provisions of 24 CFR 16.6(b) and 16.7, concerning
notification of an initial denial of access and administrative review of
the initial denial, apply to the OIG, except that:
(1) The final determination of the Inspector General, as Privacy
Appeals Officer for the OIG, will be in writing and will constitute
final action of the Department on a request for access to a record in an
OIG system of records; and
(2) If the denial of the request is in whole or in part upheld, the
final determination of the Inspector General will include notice of the
right to judicial review.

Sec. 2003.6 Disclosure of a record to a person other than the individual to whom it pertains.

(a) The OIG may disclose an individual's record to a person other
than the

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individual to whom the record pertains in the following instances:
(1) Upon written request by the individual, including authorization
under 24 CFR 16.5(e);
(2) With the prior written consent of the individual;
(3) To a parent or legal guardian of the individual under 5 U.S.C.
552a(h); or
(4) When permitted by the provisions of 5 U.S.C. 552a(b) (1) through
(12).
(b) [Reserved]

Sec. 2003.7 Authority to make law enforcement-related requests for records maintained by other agencies.

(a) The Inspector General is authorized by written delegation from
the Secretary of HUD and under the Inspector General Act to make written
requests under 5 U.S.C. 552a(b)(7) for transfer of records maintained by
other agencies which are necessary to carry out an authorized law
enforcement activity under the Inspector General Act.
(b) The Inspector General delegates the authority under paragraph
(a) of this section to the following OIG officials:
(1) Deputy Inspector General;
(2) Assistant Inspector General for Audit;
(3) Assistant Inspector General for Investigation; and
(4) Assistant Inspector General for Management and Policy.
(c) The officials listed in paragraph (b) of this section may not
redelegate the authority described in paragraph (a) of this section.

Sec. 2003.8 General exemptions.

(a) The systems of records entitled ``Investigative Files of the
Office of Inspector General,'' ``Hotline Complaint Files of the Office
of Inspector General,'' ``Name Indices System of the Office of Inspector
General,'' and ``AutoInvestigation of the Office of Inspector General''
consist, in part, of information compiled by the OIG for the purpose of
criminal law enforcement investigations. Therefore, to the extent that
information in these systems falls within the scope of exemption (j)(2)
of the Privacy Act, 5 U.S.C. 552a(j)(2), these systems of records are
exempt from the requirements of the following subsections of the Privacy
Act, for the reasons stated in paragraphs (a)(1) through (6) of this
section.
(1) From subsection (c)(3), because release of an accounting of
disclosures to an individual who is the subject of an investigation
could reveal the nature and scope of the investigation and could result
in the altering or destruction of evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the
investigation.
(2) From subsection (d)(1), because release of investigative records
to an individual who is the subject of an investigation could interfere
with pending or prospective law enforcement proceedings, constitute an
unwarranted invasion of the personal privacy of third parties, reveal
the identity of confidential sources, or reveal sensitive investigative
techniques and procedures.
(3) From subsection (d)(2), because amendment or correction of
investigative records could interfere with pending or prospective law
enforcement proceedings, or could impose an impossible administrative
and investigative burden by requiring the OIG to continuously retrograde
its investigations attempting to resolve questions of accuracy,
relevance, timeliness and completeness.
(4) From subsection (e)(1), because it is often impossible to
determine relevance or necessity of information in the early stages of
an investigation. The value of such information is a question of
judgment and timing; what appears relevant and necessary when collected
may ultimately be evaluated and viewed as irrelevant and unnecessary to
an investigation. In addition, the OIG may obtain information concerning
the violation of laws other than those within the scope of its
jurisdiction. In the interest of effective law enforcement, the OIG
should retain this information because it may aid in establishing
patterns of unlawful activity and provide leads for other law
enforcement agencies. Further, in obtaining evidence during an
investigation, information may be provided to the OIG which relates to
matters incidental to the main purpose of the investigation but which
may be pertinent

[[Page 101]]

to the investigative jurisdiction of another agency. Such information
cannot readily be identified.
(5) From subsection (e)(2), because in a law enforcement
investigation it is usually counterproductive to collect information to
the greatest extent practicable directly from the subject thereof. It is
not always feasible to rely upon the subject of an investigation as a
source for information which may implicate him or her in illegal
activities. In addition, collecting information directly from the
subject could seriously compromise an investigation by prematurely
revealing its nature and scope, or could provide the subject with an
opportunity to conceal criminal activities, or intimidate potential
sources, in order to avoid apprehension.
(6) From subsection (e)(3), because providing such notice to the
subject of an investigation, or to other individual sources, could
seriously compromise the investigation by prematurely revealing its
nature and scope, or could inhibit cooperation, permit the subject to
evade apprehension, or cause interference with undercover activities.
(b) [Reserved]

[57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000]

Sec. 2003.9 Specific exemptions.

(a) The systems of records entitled ``Investigative Files of the
Office of Inspector General,'' ``Hotline Complaint Files of the Office
of Inspector General,'' ``Name Indices System of the Office of Inspector
General,'' and ``AutoInvestigation of the Office of Inspector General''
consist, in part, of investigatory material compiled by the OIG for law
enforcement purposes. Therefore, to the extent that information in these
systems falls within the coverage of exemption (k)(2) of the Privacy
Act, 5 U.S.C. 552a(k)(2), these systems of records are exempt from the
requirements of the following subsections of the Privacy Act, for the
reasons stated in paragraphs (a) (1) through (4) of this section.
(1) From subsection (c)(3), because release of an accounting of
disclosures to an individual who is the subject of an investigation
could reveal the nature and scope of the investigation and could result
in the altering or destruction of evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the
investigation.
(2) From subsection (d)(1), because release of investigative records
to an individual who is the subject of an investigation could interfere
with pending or prospective law enforcement proceedings, constitute an
unwarranted invasion of the personal privacy of third parties, reveal
the identity of confidential sources, or reveal sensitive investigative
techniques and procedures.
(3) From subsection (d)(2), because amendment or correction of
investigative records could interfere with pending or prospective law
enforcement proceedings, or could impose an impossible administrative
and investigative burden by requiring the OIG to continuously retrograde
its investigations attempting to resolve questions of accuracy,
relevance, timeliness and completeness.
(4) From subsection (e)(1), because it is often impossible to
determine relevance or necessity of information in the early stages of
an investigation. The value of such information is a question of
judgment and timing; what appears relevant and necessary when collected
may ultimately be evaluated and viewed as irrelevant and unnecessary to
an investigation. In addition, the OIG may obtain information concerning
the violation of laws other than those within the scope of its
jurisdiction. In the interest of effective law enforcement, the OIG
should retain this information because it may aid in establishing
patterns of unlawful activity and provide leads for other law
enforcement agencies. Further, in obtaining evidence during an
investigation, information may be provided to the OIG which relates to
matters incidental to the main purpose of the investigation but which
may be pertinent to the investigative jurisdiction of another agency.
Such information cannot readily be identified.
(b) The systems of records entitled ``Investigative Files of the
Office of Inspector General,'' ``Hotline Complaint

[[Page 102]]

Files of the Office of Inspector General,'' ``Name Indices System of the
Office of Inspector General,'' and ``Autoinvestigation of the Office of
Inspector General'' consist in part of investigatory material compiled
by the OIG for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment or Federal contracts, the
release of which would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence. Therefore, to the extent that
information in these systems fall within the coverage of exemption
(k)(5) of the Privacy Act, 5 U.S.C. 552a(k)(5), these systems of records
are exempt from the requirements of subsection (d)(1), because release
would reveal the identity of a source who furnished information to the
Government under an express promise of confidentiality. Revealing the
identity of a confidential source could impede future cooperation by
sources, and could result in harassment or harm to such sources.

[57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000]

PART 2004--PRODUCTION IN RESPONSE TO SUBPOENAS OR DEMANDS OF COURTS OR OTHER AUTHORITIES--Table of Contents

Sec.
2004.1 Purpose and scope.
2004.2 Service of an Inspector General subpoena.
2004.3 Production or disclosure prohibited unless approved by the
Inspector General.
2004.5 Procedure in the event of a demand for production or disclosure.
2004.7 Procedure in the event of an adverse ruling.

Authority: Inspector General Act of 1978, as amended (5 U.S.C.
app.); sec. 7(d) of the Department of Housing and Urban Development Act
(42 U.S.C. 3535(d)), unless otherwise noted.

Source: 49 FR 11168, Mar. 26, 1984, unless otherwise noted.

Sec. 2004.1 Purpose and scope.

This part contains provisions for service of a subpoena issued by
the Inspector General and procedures with regard to demands of courts or
other authorities for Office of Inspector General (OIG) documents or
testimony by employees of the OIG. For purposes of this part, the term
``employees of the Office of Inspector General'' includes all officers
and employees of the United States appointed by, or subject to the
supervision of, the Inspector General.

[57 FR 2228, Jan. 21, 1992]

Sec. 2004.2 Service of an Inspector General subpoena.

Service of a subpoena issued by the Inspector General may be
accomplished as follows:
(a) Personal service. Service may be made by delivering the subpoena
to the person to whom it is addressed. If the subpoena is addressed to a
corporation or other business entity, it may be served upon an employee
of the corporation or entity. Service made to an employee, agent or
legal representative of the addressee shall constitute service upon the
addressee.
(b) Service by mail. Service may also be made by mailing the
subpoena, certified mail--return receipt requested, to the addressee at
his or her last known business or personal address.

[57 FR 2228, Jan. 21, 1992]

Sec. 2004.3 Production or disclosure prohibited unless approved by the Inspector General.

(a) The rules and procedures in paragraphs (b) and (c) of this
section shall be followed when a subpoena, order or other demand
(hereinafter referred to as a ``demand'') of a court or other authority
is issued for the production of documents or disclosure of testimony
concerning:
(1) Any material contained in the files of the Office of Inspector
General;
(2) Any information relating to material contained in the files of
the Office of Inspector General; or
(3) Any information or material which an individual acquired while
an employee of the Office of Inspector General as a part of the
performance of official duties or because of his or her official status.

[[Page 103]]

(b) Without prior approval of the Inspector General, no employee or
former employee of the Office of Inspector General shall, in response to
a demand of a court or other authority, produce any material contained
in the files of the Office of Inspector General, or disclose any
information relating to material contained in the files of the Office of
Inspector General, or disclose any information or produce any material
acquired as a part of the performance of official duties or because of
official status.
(c) With regard to a request for testimony of a present or former
OIG employee as an expert or opinion witness, the employee may not be
called to testify as an expert or opinion witness by any party other
than the United States.

[57 FR 2228, Jan. 21, 1992]

Sec. 2004.5 Procedure in the event of a demand for production or disclosure.

(a) Whenever a demand is made upon an employee or former employee of
the Office of Inspector General for the production of material or the
disclosure of information described in Sec. 2004.1, he or she shall
notify immediately the Inspector General and the Office of General
Counsel. If possible, the Inspector General shall be notified before the
employee or former employee concerned replies to or appears before the
court or other authority.
(b) If oral testimony is sought by the demand, the party seeking
testimony, or his or her attorney, must furnish to the Inspector General
an affidavit, or if that is not feasible, a statement setting forth a
summary of the testimony desired.
(c) If response to the demand is required before the instructions
from the Inspector General are received, the United States Attorney, or
such other attorney as may be designated for the purpose, will appear
with the individual upon whom the demand has been made. The attorney
will furnish the court or other authority with a copy of the regulations
contained in this part and will inform the court or other authority that
the demand has been or is being, as the case may be, referred for the
prompt consideration of the Inspector General. The court or other
authority shall be respectfully requested to stay the demand pending
receipt of the requested instructions from the Inspector General.

[49 FR 11168, Mar. 26, 1984]

Sec. 2004.7 Procedure in the event of an adverse ruling.

If the court or other authority declines to stay the effect of the
demand in response to a request by the Inspector General made in
accordance with Sec. 2004.5(c), or if the court or other authority rules
that the demand must be complied with irrespective of the instructions
from the Inspector General not to produce the material or disclose the
information sought, the employee or former employee upon whom the demand
has been made shall respectfully decline to comply with the demand
United States ex rel. Touhy v. Ragen, 340 U.S. 462).

[49 FR 11168, Mar. 26, 1984, as amended at 57 FR 2229, Jan. 21, 1992]

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