24 CFR Pt. 15 (2001)
Public
access to HUD records under the Freedom of Information Act and testimony
and production of information by HUD employees
Subpart
A--Purpose and policy
Sec.
15.1 What is the purpose of this part?
15.2
What definitions apply to this part?
15.3
What exemptions are authorized by 5 U.S.C. 552?
Subpart
B--FOIA Disclosure of Information
15.101
What is HUD's overall policy concerning disclosing identifiable
records?
15.102
Where and when may I inspect and copy records that FOIA requires
HUD to make regularly available to the public?
15.103
How can I get other records from HUD?
15.104
What are the time periods for HUD to respond to my request for records?
15.105
How will HUD process my request?
15.106
How will HUD respond to my request?
15.107
How does HUD handle requests that involve classified records?
15.108
What are HUD's policies concerning designating confidential commercial
or financial information under Exemption 4 of the FOIA and responding
to requests for business information?
15.109
How will HUD respond to a request for information from Form HUD-
92410 (Statement of Profit and Loss)?
15.110
What fees will HUD charge?
15.111
How do I appeal a denial of my request for records or a fee determination?
15.112 How will HUD respond to my appeal?
Appendix
A to Part 15--HUD FOIA Reading Rooms
Authority:
42 U.S.C. 3535(d).
Subpart
A also issued under 5 U.S.C. 552.
Section
15.107 also issued under E.O. 12958, 60 FR 19825, 3 CFR Comp., p.
333.
Subparts
C and D also issued under 5 U.S.C. 301.
Source:
40 FR 48123, Oct. 14, 1975, unless otherwise noted.
Subpart
A--Purpose and Policy
Source:
66 FR 6967, Jan. 22, 2001, unless otherwise noted.
Sec.
15.1 What is the purpose of this part?
(a)
Subpart B of this part.
Subpart
B of this part describes the procedures by which HUD makes documents
available under the Freedom of Information Act (FOIA) (5 U.S.C.
552). Subpart A of this part applies to all HUD organizational units;
however, applicability of subpart A to the Office of the Inspector
General is subject to parts 2002 and 2004 of the title.
(b)
Subpart C of this part.
Subpart
C of this part describes the procedures HUD follows in responding
to subpoenas or demands of courts and other agencies to produce
or disclose documents.
(c) Subpart D of this part.
Subpart
D of this part describes the procedures HUD follows concerning the
testimony of its employees in legal proceedings.
(d)
Inapplicability of subparts B and C to Office of Inspector General.
Subparts
B and C of this part do not apply to employees in the Office of
the Inspector General. The procedures that apply to employees in
the Office of the Inspector General are described in part 2004 of
this title.
Sec.
15.2 What definitions apply to this part?
The
following definitions apply to this part.
(a)
Terms defined in part 5 of this title.
The
terms HUD, Secretary, and Organizational unit are defined in part
5 of this title.
(b)
Other terms used in this part.
As
used in this part:
Business
information: means commercial or financial information provided
to HUD by a submitter that arguably is protected from disclosure
under Exemption 4 (42 U.S.C. 552(b)(4)) of FOIA.
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,
microfilm, audio-visual materials, or machine readable documentation
(e.g., magnetic tape or disk), among others.
Educational
institution means:
(1)
A preschool;
(2)
A public or private elementary or secondary school;
(3)
An institution of graduate higher education;
(4)
An institution of undergraduate higher education;
(5)
An institution of professional education; or
(6)
An institution of vocational education, that primarily (or solely)
operates a program or programs of scholarly research.
Employee
of the Department: means a current or former officer or employee
of the United States appointed by or subject to the supervision
of the Secretary, but does not include an officer or employee covered
by part 2004 of this title.
FOIA: means the Freedom of Information Act (5 U.S.C. 552).
Legal
proceeding: includes any proceeding before a court of law or other
authority, i.e., administrative board or commission, hearing officer,
arbitrator or other body conducting a quasi-judicial or legislative
proceeding.
Legal
proceeding among private litigants: means any legal proceeding in
which the United States is not a party.
Legal
proceeding in which the United States is a party: means any legal
proceeding including as a named party the United States, the Department
of Housing and Urban Development, or any other Federal executive
or administrative agency or department, or any official thereof
in his official capacity.
News:
means information that is about current events or that would be
of current interest to the public.
Person:
means person as defined in 5 U.S.C. 551(2). It includes corporations
and organizations as well as individuals.
Review: means the process of examining a document located in response
to a request to determine whether any portion of it may be withheld,
excising portions to be withheld, and otherwise preparing the document
for release.Review time includes time HUD spends considering any
formal objection to disclosure made by a submitter under Sec. 15.108.
Review does not include time spent resolving general legal or policy
issues regarding the application of exemptions.
Search:
includes all time spent looking manually or by automated means for
material that is responsive to a request, including page-by- page
or line-by-line identification of material within documents.
Submitter:
means any person or entity who provides business information, directly
or indirectly, to HUD. The term includes, but is not limited to,
corporations, State governments, and foreign governments.
Sec.
15.3 What exemptions are authorized by 5 U.S.C. 552?
(a)
The classes of records authorized to be exempted from disclosure
by 5 U.S.C. 552 are those which concern matters that are:
(1)
Specifically authorized under criteria established by an Executive
order to be kept secret in the interest of national defense or
foreign policy and are in fact properly classified pursuant to
such Executive order;
(2)
Related solely to the internal personnel rules and practices of
the Department;
(3)
Specifically exempted from disclosure by statute;
(4)
Trade secrets and commercial or financial information obtained
from a person and privileged or confidential;
(5)
Interagency or intra-agency memorandums or letters which would
not be available by law to a party other than an agency in litigation
with the Department;
(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 such 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 the Department
in connection with its responsibility for the regulation or supervision
of financial institutions; or
(9)
Geological and geophysical information and data, including maps,
concerning wells.
(b)
Any reasonably segregable portion of a record shall be provided
to any person requesting such record after deletion of the portions
which are exempt under this section.
Subpart
B--FOIA Disclosure of Information
Source:
66 FR 6968, Jan. 22, 2001, unless otherwise noted.
Sec.
15.101 What is HUD's overall policy concerning disclosing identifiable
records?
HUD
will fully and responsibly disclose its identifiable records and
information consistent with competing public interests concerning
the national security, personal privacy, agency deliberative process,
and obligations of confidentiality as are recognized by FOIA. HUD
will make a record available in the form or format requested, if
the record is readily reproducible in that format.
Sec.
15.102 Where and when may I inspect and copy records that FOIA requires
HUD to make regularly available to the public?
(a)
You may inspect and copy hardcopy records, including indices of
the records, that section 552(a)(2) of FOIA requires HUD make available
to the public at HUD's reading rooms. HUD has reading rooms in Headquarters
in Washington, DC and in each of the Secretary's Representative's
offices. These reading rooms are open during the business hours
for the HUD office in which they are located.
(b)
For records created on or after November 1, 1996, this information
is also available to you through HUD's Internet web site at http://www.hud.gov/ogc/bshelf2a.html.
Sec.
15.103 How can I get other records from HUD?
(a)
Generally.
You
may submit a written request for copies of records in person or
by mail.
(b)
Records located in a HUD field office.
If
you are submitting a request for records located in a HUD field
office, you should deliver or mail your request to the FOIA Liaison
in the appropriate HUD Field Office.
(c)
Records located in HUD headquarters.
If
you are submitting a request for records located in HUD Headquarters,
you should deliver or mail your request to the FOIA Division, Office
of the General Counsel. You may also use the FOIA electronic request
form on HUD's Internet web site at http://www.hud.gov/ogc/foiafree.html.
(d)
What should I include in my FOIA request?
In
your FOIA request you should:
(1)
Clearly state that you are making a FOIA request. Although Federal
agencies are required to process all requests for documents as
Freedom of Information Act requests, whether or not specifically
designated as FOIA requests, failure to clearly state that you
are making a FOIA request could unduly delay the initial handling
of your correspondence through HUD's FOIA processing;
(2)
Reasonably describe the records you seek. Include information
that you may know about the documents you are requesting;
(3)
Indicate the form or format in which you would like the record
made available;
(4)
State your agreement to pay the fee. You may specify a dollar
amount above which you want HUD to consult with you before you
will agree to pay the fee;
(5)
Indicate the fee category that you believe applies to you (see
Sec. 15.110);
(6)
If you are making a request on behalf of another person for information
about that person, include a document signed by that person authorizing
you to request the information on his or her behalf; and
(7)
If you are requesting expedited processing, your request should
set out the facts you believe show that there is a compelling
need (see Sec. 15.104(d)) to expedite processing of your request.
Sec.
15.104 What are the time periods for HUD to respond to my request
for records?
(a) What time limits generally apply?
If
you have met the fee requirements of Sec. 15.110, HUD, in general,
will respond within 20 working days after the correct office receives
your request. If you have sent your request to the wrong office,
that office will send it to the correct office within 10 working
days and will send you an acknowledgment letter.
(b)
What time limits apply to requests made on behalf of another person?
The
time limits described in paragraph (a) of this section also apply
to requests you make on behalf of another person for information
about that person. However, the time limits will not commence to
run until HUD's receipt of the document signed by that person authorizing
you to request information on his or her behalf. If you make your
request on behalf of another person without including such signed
authorization, HUD will inform you of the authorization needed.
(c)
What time limits apply in unusual circumstances?
If
you have requested an especially large number of records, the records
are not located in the office handling the request, or HUD needs
to consult with another government office, HUD will notify you that
extra time is required and provide an estimate of that time. If
the extra time needed is more than 10 working days beyond the general
time limit set out in paragraph (a) of this section, HUD will offer
you any opportunity to limit the scope of your request so that HUD
may process it within the extra 10 working day period.
(d)
What time limits apply to my request for expedited processing?
If
you requested expedited processing, HUD will notify you within 10
working days after it receives your request whether it will grant
expediting processing.
Sec.
15.105 How will HUD process my request?
(a)
Multitracking.
(1)
HUD places each request in one of two tracks. HUD places requests
in its simple or complex track based on the amount of work and time
involved in processing the request. Factors HUD will consider in
assigning a request in the simple or complex track will include
whether the request involves the processing of voluminous documents
and/or whether the request involves responsive documents from three
or more organizational units. Within each track, HUD processes requests
in the order in which they are received.
(2)
For requests that have been sent to the wrong office, HUD will
assign the request within each track using the earlier of either:
(i)
The date on which the request was referred to the appropriate
office; or,
(ii)
The end of the 10 working day period in which the request should
have been referred to the appropriate office under Sec. 15.104(a).
(b)
Expedited processing.
HUD
may take your request or appeal out of normal order if HUD determines
that you have a compelling need for the records or in other cases
as determined by the agency. If HUD grants your request for expedited
processing, HUD will give your request priority and will process
it as soon as practicable. HUD will consider a compelling need to
exist if:
(1)
Your failure to obtain the requested records on an expedited basis
could reasonably be expected to pose an imminent threat to the
life or physical safety of an individual or a threatened loss
of substantial due process rights; or,
(2)
You are primarily engaged in disseminating information and there
is an urgency to inform the public concerning actual or alleged
Federal Government activity.
Sec. 15.106 How will HUD respond to my request?
(a) Who will respond to my request?
(1)
The FOIA Division of the Office of General Counsel in HUD Headquarters
and the FOIA liaisons in each HUD Field Office are authorized
to release copies of any HUD records unless disclosure is clearly
not appropriate under FOIA.
(2)
The FOIA Division in HUD Headquarters and the FOIA liaisons in
each HUD Field Office may deny a request for a record in accordance
with the provisions of FOIA and this part.
(b)
What type of a response will I receive?
Within
the time limit described in Sec. 15.103, HUD will either:
(1)
Agree to give you all the records you requested;
(2)
Advise you that HUD will not give you some or all of the records
you requested. Any denial or partial denial of a requested record
must be concurred in by the FOIA Division in Headquarters, by
counsel in the Field Offices, or by counsel in HUD's Departmental
Enforcement Center Satellite Offices. In this case, HUD will:
(i)
Explain why it has decided not to comply fully with your request,
citing specific exemptions where applicable;
(ii)
Describe the records denied or, if there are fewer than 21 records
denied, list them specifically;
(iii)
Estimate the volume of the records denied unless doing so would
harm a protected interest; and
(iv)
Explain how to appeal that decision, and provide the name and
address of the HUD official to whom you should submit your appeal.
(3)
Tell you that HUD's estimate of the fee is more than you have
agreed to pay and ask to confer within 10 days to see if you can
reformulate your request so that HUD can meet your request at
a fee that is acceptable to you; or
(4)
Tell you that you will not receive a response until you have either
paid your fee or committed to the amount of fee you will pay,
as applicable, and will provide you 10 days to pay, or commit
to pay, the fee.
(5)
If you requested expedited processing, advise you whether your
request is granted or denied and, if your request is denied, advise
you of your right to appeal.
(c) What action may HUD take if I fail to respond?
If
you fail to respond within a period specified in this subpart, HUD
may consider your request for records withdrawn and may terminate
processing of your request.
Sec.
15.107 How does HUD handle requests that involve classified records?
If your request involves the release of documents that are classified
under Executive Order 12958, HUD will refer your request and the
pertinent documents to the originating agency for processing according
to the requirements of Sec. 15.104(a). HUD may refuse to confirm
or deny the existence of the requested information if the originating
agency determines that the fact of its existence is itself classified.
Sec.
15.108 What are HUD's policies concerning designating confidential
commercial or financial information under Exemption 4 of the FOIA
and responding to requests for business information?
(a)
HUD's general policy concerning business information which may be
considered as confidential commercial or financial information.
Except
as provided in this section or otherwise required by law, HUD officers
and employees may not disclose business information which is considered
as confidential commercial or financial information to anyone other
than to HUD officers or employees who are properly entitled to the
information to perform their official duties.
(b)
How does a submitter make a claim that business information is confidential
commercial or financial information?
(1)
If you are a submitter, you may request confidential treatment
of business information at the time the information is submitted
to HUD or within a reasonable time after it is submitted.
(2)
To obtain a designation of confidentiality, you must:
(i)
Support your request with an authorized statement or a certification
giving the facts and the legal justification for your request
and stating that the information has not been made public; and
(ii)
Clearly designate the information that you consider confidential.
(3)
Your designation of confidentiality will expire 10 years after
the date the information was submitted to HUD, unless you have
provided a reasonable explanation for a later expiration date.
(c)
How will HUD respond to a request for business information?
If
the information requested has been designated in good faith by the
submitter as information to be protected under 5 U.S.C. 552(b)(4)
(``Exemption 4'') or if HUD has reason to believe that the information
may be protected by Exemption 4, HUD shall:
(1)
Unless an exception in paragraph (c)(2) of this section applies,
promptly notify the submitter about the request or the administrative
appeal and give the submitter 10 working days to submit a written
objection to disclosure. HUD will describe the requested business
information or will provide copies of all or a portion of the
records;
(2)
If any of the following circumstances apply, HUD will not notify
the submitter:
(i)
HUD determines that the information should not be disclosed;
(ii)
The information has been published lawfully or has been made
available officially to the public;
(3)
A law other than FOIA requires HUD to disclose the information;
(4)
A HUD regulation requires HUD to disclose the information. The
regulation must:
(i)
Have been adopted pursuant to notice and public comment; and
(ii)
Specify narrow classes of records submitted to HUD that are
to be released under the FOIA.
(d)
Notice to requester.
At
the same time HUD notifies the submitter, HUD will also notify the
requester that the request is subject to the provisions of this
section and that the submitter is being afforded an opportunity
to object to disclosure of the information.
(e)
Opportunity to object to disclosure.
If
the submitter timely objects to disclosure, HUD will consider the
submitter's objections, but will not be bound by them. HUD generally
will not consider conclusory statements that particular information
would be useful to competitors or would impair sales, or other similar
statements, sufficient to justify confidential treatment. Information
provided by a submitter or its designee may itself be subject to
disclosure under the FOIA.
(f)
Notice of intent to disclose.
If
after considering the submitter's objections, HUD decides to disclose
business information over the objection of a submitter, HUD will
send a written notice of intent to disclose to both the submitter
and the requester. HUD will send these notices at least 10 working
days before the specified disclosure date. The notices will include:
(1)
A statement of the reasons why HUD rejected the submitter's disclosure
objections;
(2)
A description of the business information to be disclosed; and
(3)
A disclosure date.
(g)
What other policies apply to a submitter?
(1)
HUD notice of FOIA lawsuit. HUD will promptly notify the submitter
of any suit to compel HUD to disclose business information.
(2)
Determination of confidentiality. HUD will not determine the validity
of any request for confidentiality until HUD receives a request
for disclosure of the information.
(3)
Current mailing address for the submitter. Each submitter must
give HUD a mailing address for receipt of any notices under this
section, and must notify HUD of any change of address.
Sec.
15.109 How will HUD respond to a request for information from Form
HUD-92410 (Statement of Profit and Loss)?
(a)
To whom will HUD disclose the information? HUD will release information
from Form HUD-92410 (or a HUD approved substitute form that the
mortgagor may have submitted) only to eligible potential purchasers
and only during the period specified by HUD for the mortgage sale.
(b)
Under what conditions will HUD release such information? HUD will
release the information only if all of the following three conditions
are met:
(1)
The information concerns a project that is subject to a HUD-held
mortgage which HUD is selling under the authority of sections
207 (k) and (l) of the National Housing Act (12 U.S.C. 1713 (k)
and (l)) or section 7(i)(3) of the Department of Housing and Urban
Development Act (42 U.S.C. 3535(i)(3)).
(2)
The eligible potential purchasers have agreed to:
(i)
Keep the information confidential;
(ii)
Disclose the information only to potential investors in the
mortgage and only for the period specified by HUD for the mortgage
sale and to notify those potential purchasers of their obligations
under this section;
(iii)
Use the information only to evaluate the mortgage in connection
with the mortgage sale; and
(iv)
To follow disclosure procedures for that sale that have been
established by the Secretary.
(3)
The potential investors in the mortgage have agreed to keep the
information confidential and to use the information only to evaluate
the mortgage in connection with their investment decision.
(c)
To whom may potential investors disclose such information?
Potential
investors in the mortgage may disclose the information to other
entities only if the disclosure is:
(1)
Necessary for the investor's evaluation of the mortgage;
(2)
Made in accordance with disclosure procedures for the specific
sale that have been established by HUD; and
(3)
Limited to the period specified by HUD for the mortgage sale.
(d)
What sanctions are available for improper disclosure of such information?
An
eligible potential purchaser or a potential investor (who has received
the information from a potential purchaser and has been notified
by that entity of its obligations under paragraph (b) of this section),
who discloses information from Form HUD-92410 in violation of this
section, may be subject to sanctions under part 24 of this title.
Sec.
15.110 What fees will HUD charge?
(a)
How will HUD determine your fee?
HUD
will determine your fee based on which category of requester you
are in and on the other provisions of this section. With your request,
you should submit information to help HUD determine the proper category.
If HUD cannot tell from your request, or if HUD has reason to doubt
the use to which the records will be put, HUD will ask you to provide
additional information before assigning the request to a specific
category.
(b)
What are the categories of requesters?
(1)
Commercial use requester.
You
are a commercial use requester if you request information for
a use or purpose that furthers your commercial, trade, or profit
interests or those interests of the person on whose behalf you
have made the request. In determining whether your request properly
belongs in this category, HUD determines the use to which you
will put the documents requested.
(2)
Educational requester.
You
are an educational requester if your request is on behalf of an
educational institution and you do not seek the records for a
commercial use, but to further scholarly research.
(3)
Non-commercial scientific requester.
You
are a non-commercial scientific requester if you are not a commercial
use requester and your request is on behalf of an organization
that is operated solely for the purpose of conducting scientific
research the results of which are not intended to promote any
particular product or industry.
(4)
Representative of the news media requester.
(i)
You are a representative of the news media requester if you
actively gather news for an entity that is primarily organized
and operated to publish or broadcast news to the public.
(ii)
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.
(iii)
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.
(iv)
If you are a representative of the news media requester, HUD
will not consider you to be a commercial use requester.
(5)
Other requester.
You
are considered an "other'' requester if you do not fall within
the categories of requesters described in this paragraph (b).
(c)
FOIA Fee Schedule.
The
following table sets out the Fee Schedule that HUD uses to determine
your fee. The rates for professional and clerical search and review
includes the salary of the employee performing the work. The duplication
cost includes the cost of operating duplicating machinery. The computer
run time includes the cost of operating a central processing unit
for that portion of the operating time attributable to searching
for responsive records, as well as the costs of operator/programmer
salary apportionable to the search. HUD's fee schedule does not
include overhead expenses such as costs of space and heating or
lighting the facility in which the records are stored.
FOIA
Fee Schedule
Activity |
Rate |
Commercial
Use Requester |
News
Media, Educational Research, or Scientific Research Requester |
Other
Requester |
(1)
Professional search |
$37.00
per hour |
Applies. |
Does
not apply. |
Applies.
No Charge for first two hours of cumulative search time. |
(2)
Professional review |
$37.00
per hour |
Applies. |
Does
not apply. |
Does
not apply. |
(3)
Clerical search |
$16.35
per hour |
Applies. |
Does
not apply. |
Applies.
No Charge for first two hours of cumulative search time. |
(4)
Clerical review
|
$16.35
per hour |
Applies |
Does
not apply. |
Does
not apply. |
(5)
Programming services |
$35.00
per hour |
Applies. |
Does
not apply. |
Applies. |
(6)
Computer run time. (includes only mainframe search time, not
printing). |
The
direct cost of conducting the search |
Applies. |
Does
not apply. |
Applies. |
(7)
Duplication costs |
$0.15
per page |
Applies. |
Applies.
No charge for first 100 pages. |
Applies.
No charge for first 100 pages. |
(8)
Duplication costs -- tape, CD ROM or diskette. |
Actual
Cost. |
Applies. |
Applies. |
Applies. |
(d)
How does HUD assess review charges?
HUD
will assess review charges only for the first time it analyzes the
applicability of a specific exemption to a particular record or
portion of a record. HUD will not charge for its review at the administrative
appeal level of an exemption already applied. If HUD has withheld
in full a record or portions of a record under an exemption which
is subsequently determined not to apply, HUD will assess charges
for its review to determine the applicability of other exemptions
not previously considered.
(e)
How does HUD handle multiple requests?
If
you, or others acting with you, make multiple requests at or about
the same time for the purpose of dividing one request into a series
of requests for the purpose of evading the assessment of fees, HUD
will aggregate your requests for records. In no case will HUD give
you more than the first two hours of search time, or more than the
first 100 pages of duplication without charge.
(f)
Unsuccessful searches.
If
HUD's search for records is unsuccessful, HUD will still bill you
for the search.
(g)
No charge for costs under $25.
HUD
will not charge you a fee if the total amount calculated under this
section is less than $25.00.
(h)
Reducing fees in the public interest.
If
HUD determines that disclosure of the information you seek is in
the public interest because it is likely to contribute significantly
to public understanding of the operations or activities of the government,
and that you are not seeking the information for your own commercial
interests, HUD may waive or reduce the fee.
(i)
When do I pay the fee?
HUD
will bill you when it responds to your request. You must pay within
thirty-one calendar days. If the fee is more than $250.00 or you
have a history of failing to pay FOIA fees in a timely manner, HUD
will ask you to remit the estimated amount and any past due charges
before sending you the records.
(j)
What happens if I do not pay the fees?
(1)
If you do not pay by the thirty-first day after the billing date,
HUD will charge interest at the maximum rate allowed under 31
U.S.C. 3717.
(2)
If you do not pay the amount due within ninety calendar days of
the due date, HUD may notify consumer credit reporting agencies
of your delinquency.
(3)
If you owe fees for previous FOIA responses, HUD will not respond
to further requests unless you pay the amount due.
(k)
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 efficient method. When doing so HUD will charge the cost to
the requester that the private sector source has charged HUD for
performing these tasks. In some instances, these costs may be higher
than the charges HUD would ordinarily charge if the processing tasks
had been done by the agency itself. 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.
Sec.
15.111 How do I appeal a denial of my request for records or a fee
determination?
(a)
To what address do I submit my appeals?
You
must submit your appeal, in writing, to the address specified in
HUD's notice responding to your FOIA request (see Sec. 15.106(a)(2)(iv)).
If you send your appeal to the wrong HUD office, that office will
forward it to the correct office. That office will also notify you
that it has so forwarded your appeal and advise you that, for processing
purposes, the time of receipt will be when the appropriate office
receives your appeal.
(b)
How much time do I have to submit an appeal?
Your
written appeal must be postmarked within 30 calendar days of the
date of the HUD determination from which you are appealing. If your
appeal is transmitted by other than the United States Postal Service
(i.e., facsimile, messenger or delivery service) it must be received
in the appropriate office by close of business on the 30th calendar
day after the date of the HUD determination.
(c)
What information must I provide if I am appealing a denial of request
for information?
If
you are appealing a denial of your request for information, the
appeal must contain the following information:
(1)
A copy of your original request;
(2)
A copy of the written denial of your request; and
(3)
Your statement of the facts and legal arguments supporting disclosure.
(d)
What information must I provide if I am appealing a fee determination?
If
you are appealing a fee determination, including a denial of your
request for HUD to waive the fee, the appeal must contain the following
information:
(1)
The address of the office which made the fee determination from
which you are appealing;
(2)
The fee that office charged;
(3)
The fee, if any, you believe should have been charged;
(4)
The reasons you believe that your fee should be lower than the
fee which the Agency charged or should have been waived; and
(5)
A copy of the initial fee determination and copies of any correspondence
concerning the fee.
(e)
What information must I provide if I am appealing a denial of expedited
processing?
If
you are appealing a denial of your request for expedited processing,
your appeal must contain the following information:
(1)
A copy of your original request;
(2)
A copy of the written denial of your request; and
(3)
Your statement of the facts and legal arguments supporting expedited
processing.
Sec.
15.112 How will HUD respond to my appeal?
(a)
How much time does HUD have to decide my appeal?
HUD
will decide your appeal of a denial of expedited processing within
10 working days after its receipt. For any other type of appeal,
HUD will decide your appeal within 20 working days after its receipt.
HUD may have an additional 10 working days if unusual circumstances
require.
(b)
What action will HUD take if it grants my appeal?
(1)
Appeal of a denial of request for information.
If
you are appealing a decision to deny your request for records,
HUD will either:
(i)
Give you the records you requested or advise you that the records
will be provided by the originating office;
(ii)
Give you some of the records you requested while declining to
give you other records you requested, tell you why HUD has concluded
that the documents were exempt from disclosure under FOIA, and
tell you how to obtain judicial review of HUD's decision; or
(iii)
Decline to give you the records you requested, tell you why
HUD has concluded that the records were exempt from disclosure
under FOIA, and tell you how to obtain judicial review of HUD's
decision.
(2)
Appeal of a fee determination.
If
you are appealing a fee determination, HUD will either:
(i)
Waive the fee or charge the fee that you have requested;
(ii)
Modify the original fee charged, and explain why it has determined
that the modified fee is appropriate; or
(iii)
Advise you that the original fee charged was appropriate, and
explain why it has determined that the fee is appropriate.
(3)
Appeal of a denial of expedited processing.
If
you are appealing a denial of your request for expedited processing,
HUD will either:
(i)
Agree to expedited processing of your request; or
(ii)
Advise you that the decision to deny expedited processing has
been affirmed, and tell you how to obtain judicial review of
HUD's decision.
Appendix
A to Part 15--HUD FOIA Reading Rooms
The
Department maintains a reading room in Headquarters, 451 Seventh
Street, SW., Washington, DC 20410 and in each of its Secretary's
Representative's Offices as follows:
New England, Boston Office--Room 375, Thomas P. O'Neill, Jr. Federal
Building, 10 Causeway Street, Boston, Massachusetts 02222-1092.
The New England Office oversees jurisdiction for HUD Offices located
in Maine, New Hampshire, Vermont, Massachusetts, Connecticut, and
Rhode Island.
New
York/New Jersey, New York Office--26 Federal Plaza, New York, New
York 10278-0068. The New York/New Jersey Office oversees jurisdiction
for HUD Offices located in New York and New Jersey.
Mid
Atlantic, Philadelphia Office--Liberty Square Building, 105 South
7th Street, Philadelphia, Pennsylvania 19106-3392. The Mid Atlantic
Office oversees jurisdiction for HUD Offices located in Pennsylvania,
Delaware, Maryland, Virginia, and West Virginia.
Southeast/Caribbean,
Atlanta Office--Five Points Plaza Building, 40 Marietta St., Atlanta,
Georgia 30303. The Southeast/Caribbean Office oversees jurisdiction
for HUD Offices located in Kentucky, Tennessee, North Carolina,
South Carolina, Georgia, Alabama, Mississippi, Florida, and Puerto
Rico.
Midwest, Chicago Office--Ralph Metcalfe Federal Building, 77 West
Jackson Boulevard, Chicago, Illinois 60604-3507. The Midwest Office
oversees jurisdiction for HUD Offices located in Illinois, Indiana,
Ohio, Michigan, Wisconsin, and Minnesota.
Southwest,
Fort Worth Office--Burnett Plaza Building, 801 Cherry Street, Fort
Worth, Texas 76102. The Southwest Office oversees jurisdiction for
HUD Offices located in Oklahoma, Texas, Arkansas, Louisiana, and
New Mexico.
Great
Plains, Kansas City Office--Room 200, Gateway Tower II, 400 State
Avenue, Kansas City, Kansas 66101-2406. The Great Plains Office
oversees jurisdiction for HUD Offices located in Missouri, Iowa,
Kansas, and Nebraska. Rocky Mountain, Denver Office--633 17th Street,
Denver, Colorado 80202-3607.
The
Rocky Mountain Office oversees jurisdiction for HUD Offices located
in Colorado, Utah, Wyoming, North Dakota, South Dakota, and Montana.
Pacific/Hawaii,
San Francisco Office--Philip Burton Federal Building & U.S. Courthouse,
450 Golden Gate Avenue, PO Box 36003, San Francisco, California
94102-3448. The Pacific/Hawaii Office oversees jurisdiction for
HUD Offices located in California, Nevada, Arizona, and Hawaii.
Northwest/Alaska,
Seattle Office--Suite 200, Seattle Federal Office Building, 909
First Avenue, Seattle, Washington 98104-1000. The Northwest/Alaska
Office oversees jurisdiction for HUD Offices located in Alaska,
Washington, Oregon, and Idaho.
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