6964 Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

24 CFR Part 15

[Docket No. FR–4292–F–02]

RIN 2501–AC51

Revision of Freedom of Information

Act Regulations

AGENCY: Office of the Secretary, HUD.

ACTION: Final rule.

SUMMARY: This final rule amends HUD’s

Freedom of Information Act (FOIA)

regulations in their entirety. It

implements the statutory requirements

of the Electronic Freedom of

Information Act (EFOIA) and makes

various streamlining and organizational

changes to improve the clarity of the

regulatory text. Additionally, this rule

incorporates a plain language approach

to regulatory drafting by adopting a

written style that promotes responsive,

accessible and understandable written

communication. This rule follows the

publication of a July 10, 2000 proposed

rule and takes into consideration the

public comments received on the

proposed rule.

DATES: Effective Date: February 21,

2001.

FOR FURTHER INFORMATION CONTACT:

Marylea W. Byrd, Assistant General

Counsel, FOIA Division, Office of the

General Counsel, Department of

Housing and Urban Development, 451

Seventh Street, SW., Washington, DC

20410–0500, Room 10248; telephone

(202) 708–3866 (this is not a toll-free

number). Hearing or speech-impaired

individuals may access this number via

TTY by calling the toll-free Federal

Information Relay Service at 1–800–

877–8339.

SUPPLEMENTARY INFORMATION:

I. Background

HUD’s regulations at 24 CFR part 15

contain the policies and procedures

governing public access to HUD records

under the Freedom of Information Act

(FOIA) (5 U.S.C. 552). Subject to certain

statutory exceptions, the FOIA gives

persons the right to request and receive

a wide range of information from any

Federal agency. Congress has amended

the FOIA several times since its

enactment in 1982. The most recent

amendment occurred in 1996 with the

enactment of the Electronic Freedom of

Information Act (EFOIA) (Public Law

104–231, approved October 2, 1996).

Pursuant to 5 U.S.C. 552(a)(3)(B),

EFOIA requires that readily

reproducible records be made available

in the format requested, including an

electronic format, where applicable.

EFOIA also requires that agencies make

certain information available over

‘‘electronic reading rooms’’ on the

Internet (5 U.S.C. 552(a)(2)(E)).

Additionally, EFOIA modifies the

deadlines and procedures for processing

FOIA requests to provide faster

processing for some requests and to

assist agencies in reducing backlogs and

delays. For example, EFOIA permits

agencies to implement multitrack FOIA

processing systems based on the

estimated amount of work or time (or

both) involved in processing individual

FOIA requests (5 U.S.C. 552(a)(6)(D)).

On July 10, 2000 (65 FR 42578), HUD

published a proposed rule

implementing the statutory directives

contained in the EFOIA. In addition to

EFOIA-related changes, HUD proposed

to revise 24 CFR part 15 in its entirety

to improve the clarity of its FOIA

requirements and procedures. These

proposed changes included the

consolidation of HUD’s FOIA

regulations into a single subpart of 24

CFR part 15 (currently, the FOIA

regulations are located in seven separate

subparts) and the clarification of

procedures for requesting HUD records

under FOIA.

Since it is important that the

requirements governing public access to

HUD’s records be clear and readily

understandable, HUD also proposed to

rewrite its FOIA requirements using

plain language. The preamble to the July

10, 2000 proposed rule provides

additional details regarding the

proposed amendments to 24 CFR part

15.

II. Significant Differences Between this

Final Rule and the July 10, 2000

Proposed Rule

This final rule makes effective the

policies and procedures contained in

the July 10, 2000 proposed rule and

takes into consideration the public

comments received on the proposed

rule. The major changes made by this

final rule in response to public

comment are described below. The

rationales for these changes are

discussed in greater detail in Section III.

of this preamble.

(1) Incorporation of statutory

exemptions to FOIA requirements

(§ 15.3). HUD has added a new § 15.3,

which contains the nine statutory

exemptions to FOIA disclosure

authorized under 5 U.S.C. 552(b)(1).

(2) Clarification of records that are

available at HUD’s electronic reading

room (§ 15.102 (b)). HUD has modified

this paragraph to clarify that, pursuant

to EFOIA, only those documents created

after November 1, 1996 are maintained

on HUD’s electronic reading room.

(3) Address of HUD’s electronic

reading room (§ 15.103(c)). HUD has

given a more detailed URL for its

Internet web site in order to facilitate

easier access to the Department’s FOIA

electronic reading room.

(4) Estimate of time for HUD to

respond under unusual circumstances

(§ 15.104(c)). HUD has clarified that it

will provide an estimate of the time

needed to respond to a FOIA request in

cases where unusual circumstances

enable the Department to extend the

period for providing a response.

(5) Determination of effective date for

multitrack assignment when a FOIA

request is received by the wrong HUD

office (§ 15.105 (a)). HUD has clarified

that FOIA requests received by the

wrong HUD office will be assigned

within their respective tracks according

to either the date on which the request

was received by the appropriate office

or the end of the ten working day period

in which the request should have been

forwarded to the proper office.

(6) Assignment of FOIA requests for

expedited processing (§ 15.105(b)). HUD

has clarified that a FOIA request may be

assigned for expedited processing at the

Department’s discretion in absence of

compelling need pursuant to 5 U.S.C.

552(a)(6)(E)(i).

(7) FOIA requests misdirected to HUD

(§ 15.107). HUD has clarified that FOIA

requests misdirected to HUD are subject

to the requirements of 15.104(a).

(8) FOIA fee schedule (§ 15.110(c)).

HUD has added a section to the FOIA

fee schedule to provide that duplication

on electronic format such as CD ROM’s

and diskette will be charged at actual

cost.

(9) Location of FOIA reading rooms

(Appendix A). This final rule codifies

the appendix contained in the July 10,

2000 proposed rule. This appendix

provides the addresses of FOIA Reading

Rooms located in HUD field offices

throughout the country and will assist

the public in accessing the reading

rooms.

III. Discussion of the Public Comments

Received on the July 10, 2000 Proposed

Rule

The public comment period on the

July 10, 2000 proposed rule closed on

September 8, 2000. By close of business

on this date, HUD had received 3 public

comments. Comments were submitted

by a housing authority; a joint comment

was submitted by a public interest

group and an information

clearinghouse; and another joint

comment was submitted by various

legal aid groups. This section of the

Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations 6965

preamble presents a summary of the

significant issues raised by the public

comments on the July 10, 2000

proposed rule and HUD’s responses to

these comments.

Comment: The final rule should retain

FOIA statutory exemptions. The July 10,

2000 proposed rule would have

removed regulatory language restating

the FOIA statutory exemptions. Two

commenters recommended that the final

rule retain this language. Additionally,

one of the commenters suggested that

the exemptions, themselves, be

rewritten in plain language.

HUD Response. HUD agrees that, for

the convenience of readers, the FOIA

statutory exemptions listed at 5 U.S.C.

552(b)(1) should be included in the final

rule. Accordingly, this rule states the

statutory exemptions in a new § 15.3.

HUD will not, however, adopt the

suggestion that the statutory exemptions

be rewritten in plain language since to

do so could unintentionally change

their legal meaning or application.

Thus, the regulatory exemptions

language at § 15.3 continues to track the

statutory exemptions set forth in FOIA.

Comment: The rule should clarify

those records that are available through

HUD’s web site. One commenter

suggested that HUD’s proposed rule

implied that all hard copy records in its

reading rooms are also available through

HUD’s web site and that a clarification

is needed to distinguish which records

are available only in the reading room.

HUD Response. HUD agrees that a

clarification is needed to reflect EFOIA’s

requirement that records created on or

after a certain date be made available on

the Department’s website. Accordingly,

HUD has revised § 15.102 to make clear

that hard copy records are available in

HUD’s designated reading rooms and

records created on or after November 1,

1996 are also available on HUD’s

website pursuant to the requirements of

FOIA at 5 U.S.C. 552(a)(2)(E).

Comment: The rule does not

adequately explain the reasons HUD

may grant itself an extension of time to

respond due to a FOIA request because

of unusual circumstances or provide a

date by which a response is expected.

One commenter wrote that the proposed

rule at § 15.104(c) was imprecise

because it did not state that HUD would

provide the requester with the date on

which a response is expected nor with

an explanation of the reasons for the

delay.

HUD Response. The proposed rule at

§ 15.104(c) clearly stated the three

‘‘unusual circumstances’’ that constitute

grounds under which HUD may grant

itself an extension of time in which to

respond to a request. This final rule

adopts these provisions of the proposed

rule. HUD has, however, modified

§ 15.104(c) to clarify that a specific

estimate of time necessary to respond to

the request must be provided to the

requester.

Comment: The standards regarding

multitrack processing are too vague.

One commenter wrote that HUD’s

descriptions of the factors it would use

to determine whether to place a request

in its ‘‘simple’’ or ‘‘complex’’ track is

too vague to permit requesters to know

whether a given request would qualify

for the fastest track.

HUD response. HUD disagrees with

the commenter. This final rule adopts

the language of proposed § 15.105(a)

establishing the factors that HUD will

consider in determining whether to

assign a FOIA request to the ‘‘simple’’

or ‘‘complex’’ track. These include an

overall assessment of the time and work

associated with obtaining the

documents requested with specific

consideration given to (1) whether the

request involves the processing of

voluminous documents and (2) whether

the request involves responsive

documents from three or more

organizational units. It is impracticable

under any set of standards to determine

with certainty the proper classification

of a FOIA request until HUD has

actually had the opportunity to evaluate

the request. Persons submitting a

request for documents should therefore,

to the best of their ability at the time of

submission, categorize their request in

light of these factors.

Comment: HUD should establish a

third track for processing FOIA requests

involving electronic information,

particularly those requests involving

voluminous documents maintained in

an electronic format. One commenter

wrote that FOIA requests would be more

likely to be assigned to the complex

track if the request involved voluminous

documents—even in cases where they

are maintained in electronic format.

Therefore, HUD should establish a third

track for the processing of requests for

electronically maintained information.

HUD response. A FOIA request will

not automatically be assigned to the

complex track merely because it

involves voluminous records. Similarly,

a FOIA request for information existing

in electronic format does not necessarily

qualify it on its face for assignment to

the simple track. Whether a particular

request involving voluminous

documents maintained in electronic

format is assigned to the simple or

complex track will be determined

according to the same standards

applicable to all FOIA requests. For

example, pursuant to the EFOIA

amendments, reprogramming may be

necessary in regard to the search and

retrieval of electronic records. Such

efforts, depending on their extent and

complexity, may necessitate assigning a

particular request to the complex track

even though the information is

maintained in an electronic format.

HUD disagrees that a third processing

track for requests involving

electronically maintained records

should be implemented. The

Department’s proposed two-tiered

processing approach provides the best

avenue for delineating between different

levels of FOIA requests and further

change would not promote the efficient

processing of these requests.

Comment: Where requests for

classified records are referred to another

agency, the processing date should be

set as the date the request is received by

HUD. One commenter suggested that the

proposed rule at § 15.107 be amended to

provide that referrals be processed

according to the date HUD received the

request and that the requester be given

notice of the referral.

HUD response. HUD has revised

§ 15.107 to make clear that the

requirements of § 15.104(a) regarding

referral of a misdirected request to the

appropriate office also apply to § 15.107.

The Department will not, however,

assert jurisdiction over another agency’s

processing procedures by mandating

that the date HUD receives the

misdirected request constitutes the date

on which the request is processed by the

agency to which it is ultimately referred.

This comment raised an issue

concerning how the Department will

handle, for processing purposes, the

assignment of FOIA requests that have

been directed to the wrong office within

HUD. Therefore, HUD has revised

§ 15.105(a) to clarify that where a

request has been misdirected within the

Department, the date for assigning the

request for processing will be the earlier

of the date on which (1) the appropriate

office received the request or (2) the end

of the 10 working day period in which

the request should have been referred to

the appropriate office under § 15.104(a).

Comment: The rule does not address

duplication charges for electronic media

based records. HUD received a comment

that the FOIA fee schedule did not take

into account charges for reproduced

electronically based media, such as CD

ROMs and diskettes.

HUD response. HUD has revised

proposed § 15.110(c) to add a provision

specifying that the amount charged for

reproduction of electronically based

media such as CD ROMs and diskettes

will be actual cost.

6966 Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations

Comment: HUD should increase the

information accessible on its website.

One commenter suggested that HUD

should continue to build on its existing

information systems and provided

examples of additional information that

HUD should make available on its

website.

HUD response. While this comment

does not involve any suggestions for

revisions of the Department’s proposed

FOIA regulation, per se, HUD is

continuing to improve upon and expand

customer access to information on the

Department’s website.

Comment: The Internet reference to

HUD’s reading room is not sufficiently

specific. One commenter wrote that the

reference to HUD’s general website

address in § 15.102 is not specific

enough to enable the public to readily

locate indices and frequently requested

materials which the EFOIA requires be

maintained online.

HUD response. HUD agrees that a

citation in the regulation to HUD’s

specific web address containing the

Department’s reading room FOIA

bookshelf is preferable. HUD has

therefore revised § 15.102(b) to reflect

the Department’s web address for the

online FOIA bookshelf contained in the

Department’s reading room.

Comment: HUD should insert

hypertext links as a part of indices. One

commenter suggested that the value of

on-line indices would be enhanced if

the indices included hypertext links to

information and if they also included

detailed explanations of the specific

HUD office to which requests for

various kinds of information should be

directed.

HUD response. While this comment

does not involve a suggestion for

revision of HUD’s proposed FOIA

regulation, HUD will keep in mind the

comment pertaining to the on-line

treatment of indices.

Comment: HUD should adopt an

expanded definition for ‘‘located’’ in the

context of electronic records. One

commenter proposed that HUD adopt a

definition for ‘‘located,’’ which would

specify that electronic records should be

considered ‘‘located’’ at particular HUD

offices if the records are electronically

accessible by personnel at those offices,

regardless of where the machines on

which the records are stored may be

located.

HUD response. HUD has determined

that a definition for ‘‘located’’ which

would define an electronic record as

located anywhere that it can be accessed

within the agency would be confusing.

While electronic records within the

agency can be accessed from more than

one particular office, HUD still

considers it important that the

particular office that has jurisdiction of

those records be held accountable for

their accuracy and maintenance.

Therefore, for purposes of the FOIA,

HUD declines to broaden the concept

that electronic records are ‘‘located’’

anywhere other than within the

particular office which has

responsibility for those records.

Comment: HUD should provide an

exact date for providing records in

response to FOIA requests. One

commenter advised that HUD should

provide an exact date by which

information will actually be provided

after HUD approves a FOIA request and

that records should be provided no later

than twenty business days after HUD

issues its response.

HUD response. In the majority of

FOIA requests, HUD’s response either

provides the requested records, provides

appropriate exemptions for withholding

the records, or both. In other instances,

usually at the suggestion of the FOIA

requester, the Department will offer the

requester the opportunity to inspect the

documents, as opposed to providing

copies. In some instances, HUD will

provide status letters which outline the

Department’s existing backlog and

notifies the requester of their place in

HUD’s first-in, first-served queue of

pending requests. In these instances, it

is not practical to provide an exact date

in which HUD will respond to the

request.

Comment: HUD should broaden the

definition of compelling need for the

purpose of granting expedited

processing to additional types of FOIA

requests. One commenter proposed that

HUD expand the statutory bases of

‘‘compelling need,’’ contained in

§ 15.105(b), to include circumstances

involving expiring Section 8 subsidy

contracts. The commenter also

suggested that the regulation be revised

to reflect that HUD is not limited to the

statutory bases of compelling need in

order to grant expedited processing.

HUD response. The statutory

definition of compelling need limits

such a finding to circumstances

evidencing an imminent threat to life or

safety or, in the case of a person

primarily engaged in the dissemination

of information, a need to inform the

public about actual or alleged federal

government activity. HUD may,

however, assign FOIA requests for

expedited processing where appropriate

despite the absence of compelling need.

Accordingly, HUD has revised the rule

to reflect this discretion pursuant to 5

U.S.C. 552(a)(6)(E)(i).

Comment: HUD should withhold

information only if there is a need in the

public interest to withhold it. One

commenter proposed that HUD

reintroduce a provision from its present

regulation at § 15.21 that the

Department would only withhold a

requested record if it came within one

of FOIA exemptions and there is a need

in the public interest to withhold it.

HUD response. HUD follows the FOIA

policy guidance set forth by President

Clinton and Attorney General Reno in

their October 1993 statements and has

determined not to promulgate any

criteria in its regulations concerning

disclosure of information which might

be at variance with those statements.

While both statements enunciated

standards for the treatment and

disclosure of records under the FOIA,

neither statement contained an explicit

requirement that records not be

withheld unless, in addition to

applicability of FOIA’s exemptions,

there ‘‘is a need in the public interest to

withhold [the records].’’ HUD has

therefore determined that the revised

rule better conforms with the policy

statements of the President and the

Attorney General.

Comment: HUD should specifically

allow disclosure of certain housing

project financial information pursuant

to the Multifamily Assisted Housing

Reform and Affordability Act of 1997

(MAHRA). One commenter proposed

that § 15.109(a) be revised to allow

release of information from profit and

loss statements of housing projects to

HUD residents, tenant organizations,

and their representatives in the context

of multifamily operations and

restructuring activities, citing the

Multifamily Assisted Housing Reform

and Affordability Act of 1997 (Title V of

the Fiscal Year 1998 HUD

Appropriations Act, Public Law 105–65,

approved October 27, 1997) (MAHRA).

HUD response. Section 514(f) of

MAHRA requires HUD to establish

procedures to provide an opportunity

for tenants of projects, residents of the

neighborhood, the local government,

and other affected parties to participate

effectively and on a timely basis in

restructuring activities of multifamily

housing projects. To this end, HUD is

working on a proposed rule

implementing the statutory directives of

MAHRA which will include procedures

under which certain information will be

made available to tenants and other

groups pursuant to MAHRA.

Accordingly, HUD has determined that

the proposed MAHRA rule is the proper

vehicle for dealing with the types of

information to be released under

MAHRA and the procedures for making

that information available.

Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations 6967

Comment: HUD should waive fees for

certain low income individuals and

constituent groups. One commenter

proposed that HUD waive fees for

certain requesters, including lowincome HUD residents and

homeowners, tenant organizations,

advocates representing low-income

residents, homeowners or tenant

organizations and HUD funded

technical assistance grantees. In the

alternative, the commenter suggested

that these requesters be included in the

existing category for news media and

educational and scientific research.

HUD response. HUD’s determination

of whether a request for a fee waiver or

reduction is warranted is governed by

whether disclosure of the information is

in the public interest because it is (1)

likely to contribute significantly to

public understanding of the operations

or activities of the government and (2)

is not primarily in the commercial

interest of the requester. In making this

determination, HUD follows fee waiver

guidance issued by the Department of

Justice. HUD does not believe it prudent

to provide blanket fee waivers to any

particular individuals or groups.

Instead, any requester who requests a

fee waiver or reduction should justify in

light of statutory and regulatory

provisions why they qualify for such a

waiver or reduction.

Additionally, the FOIA prescribes

certain categories of fee requesters and

the types of fees which can be assessed

to these requesters. The individuals and

groups mentioned by the commenter

ordinarily would not qualify for a

waived or reduced fee assessment as

news media or educational and

scientific research requesters.

IV. Findings and Certifications

Environmental Impact

This rule is categorically excluded

from environmental review under the

National Environmental Policy Act (42

U.S.C. 4321). The revision of the FOIArelated provisions of 24 CFR part 15

falls within the exclusion provided by

24 CFR 50.19(c)(1), in that it does not

direct, provide for assistance or loan

and mortgage insurance for, or

otherwise govern or regulate, real

property acquisition, disposition,

leasing, rehabilitation, alteration,

demolition, or new construction, or

establish, revise, or provide for

standards for construction or

construction materials, manufactured

housing, or occupancy.

Regulatory Flexibility Act

The Secretary, in accordance with the

Regulatory Flexibility Act (5 U.S.C.

605(b)), has reviewed and approved this

rule before publication and in so doing

certifies that this rule will not have a

significant economic impact on a

substantial number of small entities

because the rule is procedural.

Accordingly, the rule would not have

any impact on the substantive rights or

duties of small entities requesting HUD

records under the Freedom of

Information Act. Furthermore, the fees

charged under this rule are limited by

FOIA to direct costs of searching for,

reviewing, and duplicating the records

processed for requesters and are not

economically significant.

Executive Order 13132, Federalism

Executive Order 13132 (entitled

‘‘Federalism’’) prohibits an agency from

publishing any rule that has federalism

implications if the rule either imposes

substantial direct compliance costs on

State and local governments and is not

required by statute, or the rule preempts

State law, unless the agency meets the

consultation and funding requirements

of section 6 of the Executive Order. This

final rule does not have federalism

implications and does not impose

substantial direct compliance costs on

State and local governments or preempt

State law within the meaning of the

Executive Order.

Unfunded Mandates

Title II of the Unfunded Mandates

Reform Act of 1995 (2 U.S.C. 1531–

1538) establishes requirements for

Federal agencies to assess the effects of

their regulatory actions on State, local,

and tribal governments, and on the

private sector. This final does not

impose any Federal mandates on any

State, local, or tribal governments, or on

the private sector, within the meaning of

the Unfunded Mandates Reform Act of

1995.

List of Subjects in 24 CFR Part 15

Classified information, Courts,

Freedom of information, Government

employees, Reporting and

recordkeeping requirements.

For the reasons stated in the

preamble, HUD amends 24 CFR part 15

as follows:

PART 15—PUBLIC ACCESS TO HUD

RECORDS UNDER THE FREEDOM OF

INFORMATION ACT AND TESTIMONY

AND PRODUCTION OF INFORMATION

BY HUD EMPLOYEES

1. Revise the heading of part 15 to

read as set forth above.

2. The authority citation for part 15 is

revised to read as follows:

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.

3. Revise subpart A to read as follows:

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?

§ 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.

§ 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;

6968 Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations

(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 quasijudicial 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 § 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.

§ 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.

4. Revise subpart B to read as follows:

Subpart B—FOIA Disclosure of

Information

Sec.

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?

§ 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.

§ 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

Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations 6969

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.

§ 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 § 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 § 15.104(d)) to

expedite processing of your request.

§ 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

§ 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.

§ 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 § 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.

§ 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 § 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

6970 Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations

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.

§ 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 § 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.

§ 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.

§ 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

Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations 6971

(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.

§ 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.

6972 Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations

(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 thirtyfirst 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.

§ 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 § 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.

§ 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

Federal Register / Vol. 66, No. 14 / Monday, January 22, 2001 / Rules and Regulations 6973

(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.

Subparts C, D, E, F, G, and J

[Removed]

5. Remove subparts C, D, E, F, G, and

J.

6. Redesignate subpart H, consisting

of §§ 15.71 through 15.74, as subpart C,

consisting of §§ 15.201 through 15.204,

to read as follows:

Subpart C—Production In Response to

Subpoenas or Demands of Courts or

Other Authorities

Sec.

15.201 Purpose and scope.

15.202 Production or disclosure prohibited

unless approved by the Secretary.

15.203 Procedure in the event of a demand

for production or disclosure.

15.204 Procedure in the event of an adverse

ruling.

7. In newly designated § 15.201, the

undesignated paragraph is redesignated

as paragraph (a) and a new paragraph (b)

is added to read as follows:

§ 15.201 Purpose and scope.

* * * * *

(b) The term ‘‘legal proceeding’’ has

the meaning given in § 15.301(b).

§ 15.203 [Amended]

8. In newly designated § 15.203(a),

revise the reference to ‘‘§ 15.71’’ to read

‘‘§ 15.201’’.

§ 15.204 [Amended]

9. In newly designated § 15.204,

revise the reference to ‘‘§ 15.73(b)’’ to

read ‘‘§ 15.203(b)’’.

§§ 15.81 through 15.85 [Redesignated as

§§ 15.301 through §§ 15.305]

10. Redesignate subpart I, consisting

of §§ 15.81 through 15.85, as subpart D,

consisting of §§ 15.301 through 15.305,

to read as follows:

Subpart D—Testimony of Employees

in Legal Proceedings

Sec.

15.301 Purpose.

15.302 Testimony in proceedings in which

the United States is a party.

15.303 Legal proceedings among private

litigants; general rule.

15.304 Legal proceedings among private

litigants; subpoenas.

15.305 Legal proceedings among private

litigants; expert or opinion testimony.

§ 15.304 [Amended]

11. In newly designated § 15.304,

revise the reference to ‘‘§§ 15.71–15.74’’

to read ‘‘§§ 15.201 through 15.204’’.

12. Add appendix A to part 15 to read

as follows:

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.

Dated: January 9, 2001.

Andrew Cuomo,

Secretary.

[FR Doc. 01–1397 Filed 1–19–01; 8:45 am]

BILLING CODE 4210–33–P