HUD 24 CFR PART 2004-2010 SUBPOENAS AND PRODUCTION IN RESPONSE TO SUBPOENAS OR DEMANDS OF COURTS OR OTHER AUTHORITIES《传票和法院或其他官方当局的传票或要求的回复》.pdf

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1、100 24 CFR Ch. XII (4110 Edition) Pt. 2004 confidential sources, or reveal sen-sitive investigative techniques and pro-cedures. (3) From subsection (d)(2), because amendment or correction of investiga-tive records could interfere with pend-ing or prospective law enforcement proceedings, or could imp

2、ose an impos-sible administrative and investigative burden by requiring the OIG to con-tinuously retrograde its investigations attempting to resolve questions of ac-curacy, relevance, timeliness and com-pleteness. (4) From subsection (e)(1), because it is often impossible to determine rel-evance or

3、necessity of information in the early stages of an investigation. The value of such information is a question of judgment and timing; what appears relevant and necessary when collected may ultimately be evaluated and viewed as irrelevant and unneces-sary to an investigation. In addition, the OIG may

4、 obtain information con-cerning the violation of laws other than those within the scope of its juris-diction. In the interest of effective law enforcement, the OIG should retain this information because it may aid in establishing patterns of unlawful activ-ity and provide leads for other law en-forc

5、ement agencies. Further, in obtain-ing evidence during an investigation, information may be provided to the OIG which relates to matters inci-dental to the main purpose of the in-vestigation but which may be pertinent to the investigative jurisdiction of an-other agency. Such information cannot read

6、ily be identified. (b) The systems of records entitled Investigative Files of the Office of In-spector General, Hotline Complaint Files of the Office of Inspector Gen-eral, Name Indices System of the Of-fice of Inspector General, and Autoinvestigation of the Office of In-spector General consist in p

7、art of in-vestigatory material compiled by the OIG for the purpose of determining suitability, eligibility, or qualifica-tions for Federal civilian employment or Federal contracts, the release of which would reveal the identity of a source who furnished information to the Government under an express

8、 promise that the identity of the source would be held in confidence. Therefore, to the extent that information in these systems fall within the coverage of ex-emption (k)(5) of the Privacy Act, 5 U.S.C. 552a(k)(5), these systems of records are exempt from the require-ments of subsection (d)(1), bec

9、ause re-lease would reveal the identity of a source who furnished information to the Government under an express promise of confidentiality. Revealing the identity of a confidential source could impede future cooperation by sources, and could result in harassment or harm to such sources. 57 FR 62142

10、, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000 PART 2004SUBPOENAS AND PRO-DUCTION IN RESPONSE TO SUB-POENAS OR DEMANDS OF COURTS OR OTHER AUTHORITIES Subpart AGeneral Requirements Sec. 2004.1 Scope and purpose. 2004.2 Applicability. 2004.3 Definitions. Subpart BOffice of Inspector General

11、 Subpoenas 2004.10 Service of an Office of Inspector General subpoena. Subpart CRequests for Testimony and Production of Documents 2004.20 General prohibition. 2004.21 Factors OIG will consider. 2004.22 Filing requirements for demands or requests for documents or testimony. 2004.23 Service of subpoe

12、nas or requests. 2004.24 Processing demands or requests. 2004.25 Final determination. 2004.26 Restrictions that apply to testi-mony. 2004.27 Restrictions that apply to released records. 2004.28 Procedure in the event of an adverse ruling. 2004.29 Fees. AUTHORITY: Inspector General Act of 1978, as am

13、ended (5 U.S.C. app.) and 42 U.S.C. 3535(d). SOURCE: 68 FR 3366, Jan. 23, 2003, unless otherwise noted. VerDate Mar2010 14:09 May 05, 2010 Jkt 220081 PO 00000 Frm 00110 Fmt 8010 Sfmt 8010 Y:SGML220081.XXX 220081cprice-sewell on DSK89S0YB1PROD with CFRProvided by IHSNot for ResaleNo reproduction or n

14、etworking permitted without license from IHS-,-,-101 Office of Inspector General, HUD 2004.3 Subpart AGeneral Requirements 2004.1 Scope and purpose. (a) This part sets forth the policy for service of a subpoena issued by the Of-fice of Inspector General (OIG), and policies and procedures that you mu

15、st follow when you submit a demand or request to an employee of the OIG to produce official records and informa-tion, or provide testimony relating to official information, in connection with a legal proceeding. You must com-ply with these requirements when you request the release or disclosure of o

16、ffi-cial records and information. (b) The OIG intends these provisions to: (1) Promote economy and efficiency in its programs and operations; (2) Minimize the possibility of involv-ing OIG in controversial issues not re-lated to OIGs functions; (3) Maintain OIGs impartiality among private litigants

17、where OIG is not a named party; and (4) Protect sensitive, confidential in-formation and the deliberative proc-esses of OIG. (c) In providing for these require-ments, OIG does not waive the sov-ereign immunity of the United States. (d) This part provides guidance for the internal operations of OIG.

18、This part does not create any right or ben-efit, substantive or procedural, that a party may rely upon in any legal pro-ceeding against the United States. 2004.2 Applicability. This subpart applies to demands and requests to employees for factual or ex-pert testimony relating to official in-formatio

19、n, or for production of official records or information, in legal pro-ceedings in which HUD or OIG is not a named party. However, this subpart does not apply to: (a) Demands upon or requests for an OIG employee to testify as to facts or events that are unrelated to his or her official duties or that

20、 are unrelated to the functions of OIG; (b) Requests for the release of records under the Freedom of Information Act, 5 U.S.C. 552, or the Privacy Act, 5 U.S.C. 552a; and (c) Congressional demands and Con-gressional requests for testimony or records. 2004.3 Definitions. Counsel means the Counsel to

21、the In-spector General. Demand means a subpoena, or an order or other command of a court or other competent authority, for the pro-duction, disclosure, or release of records or for the appearance and testi-mony of an OIG employee that is issued in a legal proceeding. Legal proceeding means any matte

22、r before a court of law, administrative board or tribunal, commission, admin-istrative law judge, hearing officer, or other body that conducts a legal or ad-ministrative proceeding. Legal pro-ceeding includes all phases of litiga-tion. OIG means the Office of Inspector General, U.S. Department of Ho

23、using and Urban Development. OIG employee or employee means: (1) Any current or former officer or employee of OIG; (2) Any other individual hired through contractual agreement by or on behalf of OIG or who has performed or is performing services under such an agreement for OIG; and (3) Any individua

24、l who served or is serving in any consulting or advisory capacity to OIG, whether formal or in-formal. Records or official records or informa-tion means: (1) All documents and materials that are OIG agency records under the Free-dom of Information Act, 5 U.S.C. 552; (2) All other documents and mate-

25、rials contained in OIG files; and (3) All other information or materials acquired by an OIG employee in the performance of his or her official du-ties or because of his or her official sta-tus. Request means any informal request, by whatever method, for the produc-tion of records and information or

26、for testimony that has not been ordered by a court or other competent authority. Testimony means any written or oral statements, including depositions, an-swers to interrogatories, affidavits, declarations, recorded interviews, and VerDate Mar2010 14:09 May 05, 2010 Jkt 220081 PO 00000 Frm 00111 Fmt

27、 8010 Sfmt 8010 Y:SGML220081.XXX 220081cprice-sewell on DSK89S0YB1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-102 24 CFR Ch. XII (4110 Edition) 2004.10 statements made by an individual in connection with a legal proceeding. Subpart B

28、Office of Inspector General Subpoenas 2004.10 Service of an Office of In-spector General subpoena. Service of a subpoena issued by OIG may be accomplished as follows: (a) Personal service. Service may be made by delivering the subpoena to the person to whom it is addressed. If the subpoena is addres

29、sed to a corporation or other business entity, it may be served upon an employee of the cor-poration or entity. Service made to an employee, agent, or legal representa-tive of the addressee shall constitute service upon the addressee. (b) Service by mail. Service may also be made by mailing the subp

30、oena, cer-tified mailreturn receipt requested, to the addressee at his or her last known business or personal address. Subpart CRequests for Testi-mony and Production of Doc-uments 2004.20 General prohibition. No employee may produce official records and information or provide any testimony relating

31、 to official informa-tion in response to a demand or request without the prior, written approval of the Inspector General or the Counsel. 2004.21 Factors OIG will consider. The Counsel or Inspector General, in their discretion, may grant an em-ployee permission to testify on matters relating to offi

32、cial information, or produce official records and informa-tion, in response to a demand or re-quest. Among the relevant factors that the Inspector General or the Counsel may consider in making this decision are whether: (a) The purposes of this part are met; (b) OIG has an interest in the deci-sion

33、that may be rendered in the legal proceeding; (c) Allowing such testimony or pro-duction of records would assist or hinder OIG in performing its statutory duties or use OIG resources where re-sponding to the request will interfere with the ability of OIG employees to do their work; (d) The records o

34、r testimony can be obtained from other sources; (e) The demand or request is unduly burdensome or otherwise inappropriate under the applicable rules of discovery or the rules of procedure governing the case or matter in which the demand or request arose; (f) Disclosure would violate or be in-consist

35、ent with a statute, Executive Order, or regulation; (g) Disclosure would reveal confiden-tial or privileged information, trade se-crets, or similar, confidential commer-cial, or financial information; (h) Disclosure would impede or inter-fere with an ongoing law enforcement investigation or proceedi

36、ngs, or com-promise constitutional rights; (i) Disclosure would result in OIG ap-pearing to favor one litigant over an-other; (j) Disclosure relates to documents that were produced by another agency; (k) The demand or request is in con-formance with all other applicable rules; (l) The demand or requ

37、est is suffi-ciently specific to be answered; and (m) For any other good cause. 2004.22 Filing requirements for de-mands or requests for documents or testimony. You must comply with the following requirements whenever you issue de-mands or requests to an OIG employee for official records and informa

38、tion or testimony. (a) Your request must be in writing and must be submitted to the Counsel. If you serve a subpoena on OIG or on an OIG employee before submitting a written request and receiving a final determination from the Counsel, OIG will oppose the subpoena on grounds that your request was no

39、t submitted in accordance with this subpart. (b) Your written request must con-tain the following information: (1) The caption of the legal pro-ceeding, docket number, and name and address of the court or other authority involved; VerDate Mar2010 14:09 May 05, 2010 Jkt 220081 PO 00000 Frm 00112 Fmt

40、8010 Sfmt 8010 Y:SGML220081.XXX 220081cprice-sewell on DSK89S0YB1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-103 Office of Inspector General, HUD 2004.26 (2) A copy of the complaint or equiva-lent document setting forth the asser-tio

41、ns in the case and any other plead-ing or document sufficient to show rel-evance; (3) A list of categories of records sought, a detailed description of how the information sought is relevant to the issues in the legal proceeding, and a specific description of the substance of the testimony or record

42、s sought; (4) A statement as to how the need for the information outweighs the need to maintain any confidentiality of the information and outweighs the burden on OIG to produce the records or pro-vide testimony; (5) A statement indicating that the information sought is not available from another so

43、urce, from other per-sons or entities, or from the testimony of someone other than an OIG em-ployee, such as a retained expert; (6) If testimony is requested, the in-tended use of the testimony, a general summary of the desired testimony, and a showing that no document could be provided and used in

44、lieu of testimony; (7) A description of all prior deci-sions, orders, or pending motions in the case that bear upon the relevance of the requested records or testimony; (8) The name, address, and telephone number of counsel to each party in the case; and (9) An estimate of the amount of time that th

45、e requester and other par-ties will require with each OIG em-ployee for time spent by the employee to prepare for testimony, in travel, and for attendance in the legal proceeding. (c) The OIG reserves the right to re-quire additional information to com-plete your request where appropriate. (d) Your

46、request should be submitted at least 30 days before the date that records or testimony are required. Re-quests submitted less than 30 days be-fore records or testimony are required must be accompanied by a written ex-planation stating the reasons for the late request and the reasons for expe-dited p

47、rocessing. (e) Failure to cooperate in good faith to enable the Counsel to make an in-formed decision may serve as the basis for a determination not to comply with your request. 2004.23 Service of subpoenas or re-quests. Subpoenas or requests for official records or information or testimony must be

48、served on the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Housing and Urban Development, 451 Seventh Street, SW, Room 8260, Washington, DC 204104500. 2004.24 Processing demands or re-quests. (a) After service of a demand or re-quest to testify, the Counsel will

49、re-view the demand or request and, in ac-cordance with the provisions of this subpart, determine whether, or under what conditions, to authorize the em-ployee to testify on matters relating to official information and/or to produce official records and information. (b) The OIG will process requests in the order in which they are received. Absent exigent or unusual cir-cumstances, OIG will respond within 30 days from the date that we receive all i