2001 FOIA 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 www.hud.gov. The report can then be accessed by clicking HUD annual FOIA report 2001.

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 www.hud.gov.

A. For the names, addresses, and telephone numbers of all offices that receive FOIA requests, visit our Web site at www.hud.gov.

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 between 250 and 300 FOIA 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 45 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.

1. HUD - Department of Housing and Urban Development

2. 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
§ 103 HUD Reform Act of 1989, Pub. L. 101-235 Funding information in advance of award
7
 None
42 USC § 3601(d) Information related to conciliation under the Fair Housing Act
10
 None
26 USC § 6103(a) Tax return information
7
 Church of Scientology v. IRS, 484 U.S. 9 (1987)
Fed. R.Cr. P. 6(e) Grand Jury Information
1
 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
5
 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
237
785
0
1022*
Number of requests received during current year
1108
2586
167
3861
Number of requests processed during current year
1027
2083
141
3251
Number of requests pending at end of year
318
1288
26
1632

* During prior reporting period this number was not broken down by HQ and field offices.

B. Disposition of initial requests.

 
Headquarters
Field
OIG
TOTAL
Total Grants
306
1516
33
1855
Partial Grants
218
185
44
447
Full Denials
30
75
42
147
Withdrawn
120
54
3
177
Other:
353
253
19
625
TOTALS
1027
2083
141
3251

C. Number of times each FOIA exemption used.

Exemption
Headquarters
Field
OIG
TOTAL
1
0
0
0
0
2
8
9
1
18
3
6
24
1
31
4
112
53
7
172
5
56
86
30
172
6
167
127
32
326
7a
6
28
27
61
7b
0
2
0
2
7c
1
29
24
54
7d
1
2
1
4
7e
0
1
1
2
7f
0
0
0
0
8
4
0
0
4
9
0
0
0
0

D. Other reasons

 
Headquarters
Field
OIG
TOTAL
No records
251
71
14
336
No Fee Agreement or fees not paid
3
27
0
30
Duplicate request
8
33
0
41
Referred
91
122
5
218
TOTALS
353
253
19
625

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

A. Number of Appeals Processed
 
Headquarters
Field
OIG
TOTAL
Received
39
7
10
56
Affirmed
17
3
3
23
Reversed
0
0
0
0
Affirmed in part / Reversed in part
2
3
7
12
Dismissed / moot
2
0
0
2
Referred for futher processing
4
1
0
5
Pending decision
14
0
0
14
B. Number of times each FOIA exemption was used on appeal.
Exemption
Headquarters
Field
OIG
TOTAL
1
0
0
0
0
2
1
1
0
2
3
0
0
1
1
4
0
2
0
2
5
3
4
7
14
6
7
1
4
12
7a
1
0
1
2
7b
0
0
0
0
7c
1
0
4
5
7d
0
0
0
0
7e
0
0
0
0
7f
0
0
0
0
8
0
0
0
0
9
0
0
0
0

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

A. Median number of days to process different type of completed requests.
  Routine Complex* Expedited
  No. of requests Median days No. of requests Median days No. of requests Median days
HQ
924
77
52
67
51
18
FIELD
2051
266
0
n/a
32
10
OIG
138
27
0
n/a
3
5

* Prior to April 23, 2001, the effective date of the HUD FOIA regulations, all FOIA cases were processed on a single track. Only cases received on or after that date by HUD Headquarters were assigned to the Complex track.

B. Status of pending requests.
  Routine Complex* Expedited
  No. of Requests Median days No. of Requests Median days No. of Requests Median days
HQ
267
77
51
52
0
n/a
FIELD
1259
266
0
n/a
0
n/a
OIG
26
11
0
n/a
0
n/a

* Prior to April 23, 2001, the effective date of the HUD FOIA regulations, all FOIA cases were processed on a single track. Only cases received on or after that date by HUD Headquarters were assigned to the Complex track.

VIII. Comparisons with Previous Year.

A. Comparison of numbers of requests received.

In FY 2001, HUD received 3694 new FOIA requests compared to 3408 in FY 2000. This is an increase of 8.4% over the previous year.

B. Comparison of numbers of requests processed.

In FY 2001, HUD processed 3111 FOIA requests compared to 2878 processed in FY 2000. This is an increase of 8.1% 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 2001, HUD Headquarters received 381 FOIA requests via e-mail through the HUD FOIA website.

During FY 2001 HUD Headquarters conducted training through interactive distance-learning for over 200 field and headquarters program staff with responsibilities for processing FOIA requests. This training included a review of the new FOIA regulations as well as legal and processing considerations.

IX. Costs/FOIA Staffing.

A. Staffing levels.

 
Headquarters
Field
OIG
TOTAL
Full time FOIA staff
17
0
1
18
FTEs for part time FOIA (Estimated)

8.2
12.9
0.7
21.8
TOTAL FTEs (Estimated)
25.2
12.9
1.7
39.8

B. Costs (Estimated)

Processing Costs
Headquarters
Field
OIG
TOTAL
FOIAs and Appeals
1631905
915368
117362
2664635
Litigation
26892
744
0
27636
TOTAL COSTS
1658797
916112
117362
2692271

X. Fees.

 
Headquarters
Field
OIG
TOTAL
Fees Billed
11819
20457
373
32649
Fees Collected
8137
7228
290
15655
 
Fee Waivers Requested
64
36
4
104
Fee Waivers Granted
52
34
3
89
Amount of Fees Waived
2392
9638
1189
13219

XI. FOIA Regulations (Including Fee Schedule).

The World Wide Web internet address to obtain the Department of Housing and Urban Development FOIA Regulation is: www.hud.gov.

 
 
Content Archived: July 19, 2010