[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

[[Page 100]]

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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