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2002 Annual Report


	Information by State Print version

U.S. Department Housing and Urban Development 2002 Annual Report

I. Basic Information Regarding Report

A. Questions about this report should be directed to:

Marylea W. Byrd
Assistant General Counsel
Freedom of Information Act Division
Office of General Counsel
Room 10248
451 Seventh Street, SW
Washington, DC 20410
(202) 708-3866

B. The World Wide Web address to obtain an electronic copy of the Freedom of Information Act (FOIA) report is http://www.hud.gov/offices/ogc/foia/foiarpts.cfm. The report can then be accessed by clicking HUD annual FOIA report 2002.

C. A paper copy of the report can be obtained by submitting a request to:

The Assistant General Counsel
Freedom of Information Act Division
451 Seventh Street, SW, Room 10248
Washington, DC 20410

II. How to Make a FOIA Request.

For basic information about how to make a FOIA request, please visit our Web site at http://www.hud.gov/offices/ogc/foia/foiarequests.cfm.

A. For the names, addresses, and telephone numbers of all offices that receive FOIA requests, visit our Web site at http://www.hud.gov/offices/ogc/foia/foialiaisons.cfm.

B. Brief description of HUD's response time ranges.

Because the FOIA process is decentralized at HUD, the response time will vary from office to office depending on the complexity of the request and on the FOIA workload of the office which is processing the request. The response time for the majority of requests handled by the HUD field offices is within the 20 working days provided by statute. In HUD Headquarters, there is a backlog of approximately 500 requests. Requests are processed on a multi-track system. Some routine requests are processed within 20 working days, but the average processing time for such requests is 40 days. The average time for processing complex requests is between 60 and 90 days.

C. Brief description of why FOIA requests are not granted.

The most frequent reason that a FOIA request is not granted is that no documents responsive to the request were located.

The primary reasons for not granting a request where documents could be located is that disclosure would result in an unwarranted invasion of personal privacy or that the records are protected by the deliberative process, attorney-client, or attorney work product privilege.

III. Definitions of Terms and Acronyms Used in the Report.

A. Agency-specific acronyms or other terms are as follows.

HUD - Department of Housing and Urban Development

OIG - Office of Inspector General

B. Basic terms expressed in common terminology.

1. FOIA/PA request - Freedom of Information Act/Privacy Act request. A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest. A Privacy Act request is a request for records concerning oneself; such requests are also treated as FOIA requests. (All requests for access to records, regardless of which law is cited by the requester, are included in this report).

2. Initial Request - a request to a federal agency for access to records under the FOIA.

3. Appeal - a request to a federal agency asking that it review at a higher administrative level a full denial or partial denial of access to records under the FOIA, or any other FOIA determination such as a matter pertaining to fees.

4. Processed Request or Appeal - a request or appeal for which an agency has taken a final action on the request or the appeal in all respects.

5. Expedited processing - an agency will process a FOIA request on an expedited basis when a requester has shown an exceptional need or urgency for the records that warrants prioritization of his or her request over other requests that were made earlier.

6. Routine/Simple request - a FOIA request that is processed based on the simplicity of records requested.

7. Complex request - a FOIA request that is processed based on the volume and/or complexity of records requested.

8. Grant - an agency decision to disclose all records in full in response to a FOIA request.

9. Partial grant - an agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more FOIA exemptions; or a decision to disclose some records in their entirety, but to withhold others in whole or in part.

10. Denial - an agency decision not to release any part of a record or records in response to a FOIA request because all the information in the requested records is determined by the agency to be exempted under one or more of the FOIA exemptions, or for some procedural reason.

11. No Documents - no records are located in response to a FOIA request.

12. Time limits - the time period for an agency to respond to a FOIA request, is ordinarily 20 working days from the receipt of the FOIA request.

13. Exemption 3 statute - a separate federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).

14. Median number - the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.

15. Average number - the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group. For example, of 3, 7, and 14, the average number is 8.

IV. Exemption 3 Statutes.

Statute/Rule	Type of Information Withheld	Times Invoked	Case Citation
42 USC § 3537a	Funding information in advance of award	2	None
42 USC § 3601(d)	Information related to conciliation under the Fair Housing Act	8	None
Fed. R.Cr. P. 6(e)	Grand Jury Information	2	Senate of P.R. v. United States Dep't of Justice, 823 F.2d 574 (D.C.Cir. 1987)
41 USC § 253b(m)	Proposals received from unsuccessful offerors and successful offerors not incorporated into the contract	7	None

V. Initial FOIA/PA Access Requests.

A. Number of initial requests.

	Headquarters	Field	OIG	TOTAL
Number of requests pending at end of previous year	318	1288	26	1632
Number of requests received during current year	1162	1927	121	3210
Number of requests processed during current year	925	3099*	147	4171*
Number of requests pending at end of year	555	116	0	671

*Includes 1082 requests that were administratively closed, where responses had been provided in previous years but still were reported as pending in prior reports.

B. Disposition of initial requests.

1	Headquarters	Field	OIG	TOTAL
Total Grants	293	1357	36	1686
Partial Grants	15	336	33	384
Full Denials	157	80	44	281
Other	460	1326*	34	1820*

*Includes 1082 requests that were administratively closed, where responses had been provided in previous years but still were reported as pending in prior reports.

C. Number of times each FOIA exemption used.

Exemption	Headquarters	Field	OIG	TOTAL
1	0	0	0	0
2	13	6	0	19
3	6	11	2	19
4	91	92	4	187
5	42	110	12	164
6	117	142	35	294
7a	1	36	22	59
7b	0	2	0	2
7c	1	6	35	42
7d	0	6	1	7
7e	0	0	2	2
7f	0	0	1	1
8	0	2	0	2
9	0	0	0	0

D. Other reasons

11	Headquarters	Field	OIG	TOTAL
No records	140	106	8	254
Referred	113	79	14	206
Withdrawn	97	31	2	130
Fee-related reason	17	11	4	32
Not Reasonably described	0	7	0	7
Not a proper FOIA request	36	8	1	45
Not an agency record	10	0	3	13
Duplicate request	47	2	2	51
Other (administratvely closed)	0	1082	0	1082

TOTALS	460	1326	34	1820

VI. Appeals of Initial Denials of FOIA/PA Request.

A. Number of Appeals Processed

1	Headquarters	Field	OIG	TOTAL
Received	50	15	13	78
Processed	30	15	13	58

B. Disposition of Appeals

1	Headquarters	Field	OIG	TOTAL
Completely Upheld	19	10	6	35
Partially Reversed	2	4	1	7
Completely Reversed	0	0	1	1

Number of times each FOIA exemption was used on appeal (counting each exemption once per appeal.)

Exemption	Headquarters	Field	OIG	TOTAL
1	0	0	0	0
2	1	1	0	2
3	0	0	0	0
4	1	5	1	7
5	6	1	1	8
6	7	5	1	13
7a	2	0	2	2
7b	0	0	0	0
7c	4	0	3	7
7d	0	0	0	0
7e	0	0	0	0
7f	0	0	0	0
8	1	0	0	1
9	0	0	0	0

Other reasons for nondisclosure

1	Headquarters	Field	OIG	TOTAL
No records	0	0	0	0
Referrals	0	0	0	0
Request withdrawn	0	0	0	0
Fee-related reason	0	0	0	0
Not reasonably described	0	0	0	0
Not a proper FOIA request	0	0	0	0
Not an agency record	0	0	0	0
Duplicate request	0	0	0	0
Other - Dismissed/Moot	3	1	3	7
Other-Remanded	6	0	2	8
TOTAL	9	1	5	15

VII. Compliance with Time Limits/Status of Pending Requests.

A. Status and median number of days to process different type of completed requests.

	Headquarters		Field*		OIG
	No. of requests	Median days	No. of requests	Median days	No. of requests	Median days
Expedited	27	27	10	5	13	7
Simple	627	59	1974	15	101	19
Complex	271	83	33	34	33	43
All Requests	925	.	2017	.	147	5

*Does not include 1082 cases that were administratively closed.

B. Status of pending requests.

.	Headquarters	Field	OIG	TOTAL
Expedited	2	0	0	2
Simple	359	116	0	475
Complex	194	0	0	194
All Pending Requests	555	116	0	671

C . Median Days for Pending FOIAs

.	Headquarters	Field	OIG
Expedited	7	0	0
Simple	42	18	0
Complex	68	0	0

VIII. Comparisons with Previous Year(s).

A. Comparison of numbers of requests received.

In FY 2002, HUD received 3210 new FOIA requests compared to 3694 in FY 2001. This is an increase of 1.3% over the previous year.

B. Comparison of numbers of requests processed.

In FY 2002, HUD processed 3089 FOIA requests compared to 3111 processed in FY 2001. This is an increase of .07% over the previous year.

C. Comparison of median number of days requests were pending as of end of year.

Varies by component.

D. Other significant statistics.

In FY 2002, HUD received 71 requests for expedited processing and granted 50 requests.

In FY 2002, HUD Headquarters received 367 FOIA requests via e-mai. This constituted 31% of the total FOIA requests received by Headquarters.

In FY 2002, 3 experienced FOIA specialists left the FOIA Division in HUD headquarters. Although these employees were replaced by the end of the fiscal year, their loss resulted in a decrease in the number of FOIAs processed and an increase in the time to process requests.

E. Other narrative statements describing efforts to improve timeliness of FOIA performance and to make records available to the public.

In August 2002, HUD conducted a 2 1/2 day classroom training program in Washington, DC for 120 FOIA Liaisons. This training covered general FOIA matters as well as issues specifically related to HUD programs. One of the results of this training was that Field FOIA Liaisons were able to identify and properly close cases that had been completed in previous years but were still being reported as pending.

Briefing sessions on recent developments in FOIA and FOIA processing were included in meetings held for the 10 Regional Counsel (April 2002) and for 70 OGC Managers (September 2002.)

IX. Costs/FOIA Staffing.

A. Staffing levels.

.	Headquarters	Field	OIG	TOTAL
Full time FOIA staff	16	2	2	20
FTEs for part time FOIA	(19.250 hours) 9.2	(24.843 hours) 11.8	0	21
TOTAL FTEs (Estimated)	25.2	13.8	2	41

B. Costs

Processing Costs	Headquarters	Field	OIG	TOTAL
FOIAs and Appeals	1,546,797	652,082	123,516	2,322,395
Litigation	76,529	0	0	76,529
TOTAL COSTS	1,623,326	652,082	123,516	2,398,924

X. Fees.

Total fees collected $26,588.

XI. FOIA Regulations (Including Fee Schedule).

The World Wide Web internet address to obtain the Department of Housing and Urban Development FOIA Regulation is: http://www.hud.gov/offices/ogc/foia/foiareg.cfm.

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