<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Department of Housing and Urban Development</name>
<abbrev>
HUD
</abbrev>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10581.pdf</url>
<title> HUD/PD&amp;R.01, Veterans Homelessness Prevention
Demonstration Evaluation Data Files System (VHPD Data Files)</title>
<date year="2012" month="5" day="2"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13776.pdf</url>
<title> HUD/OCHCO.01, Grievance Records</title>
<date year="2012" month="6" day="7"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17364.pdf</url>
<title> New
Blanket Routine Uses </title>
<date year="2012" month="7" day="17"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-07-17/pdf/2012-17365.pdf</url>
<title> OGC.CAGC.01, Office General Counsel Electronic
Discovery Management System </title>
<date year="2012" month="7" day="17"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-08-09/pdf/2012-19572.pdf</url>
<title> OFHEO
-08, Computer Systems Activity and
Access Records System; OFHEO-09, Telecommunications System; and OFHEO-10, Reasonable
Accommodation Information System--
Deletions </title>
<date year="2012" month="8" day="9"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-08-15/pdf/2012-20042.pdf</url>
<title> OGC.CAGC.01, Office General Counsel Electronic
Discovery Management System--Extension of Comment Period </title>
<date year="2012" month="8" day="15"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-24927.pdf</url>
<title> HUD/HS-10, Home Equity Conversion Mortgage
System--Deletion </title>
<date year="2012" month="10" day="12"/>
</previouslyPublished>


<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-10-12/pdf/2012-24927.pdf</url>
<title>HSG/HWAT.01, Home Equity Reverse Mortgage Information Technology (HERMIT) Service Provider</title>
<date year="2012" month="10" day="12"/>
</previouslyPublished>





<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-11-15/pdf/2012-27806.pdf</url>
<title> OGC.CAGC.01, Electronic Discovery Management System
--Solicitation for Comments </title>
<date year="2012" month="11" day="15"/>
</previouslyPublished>


<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-04-13/pdf/2012-8968.pdf</url>
<title> HUD/PIH-1, Inventory Management System (IMS)</title>
<date year="2012" month="4" day="13"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-05-02/pdf/2012-10578.pdf</url>
<title> HUD/PIH.02, Housing and Urban Development--Veterans Affairs Supportive Housing System (HUD-VASH)</title>
<date year="2012" month="5" day="2"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-01-11/pdf/2013-00460.pdf</url>
<title> PDR/RRE.01, Pre-Purchase Homeownership Counseling Demonstration and Impact Evaluation Random Assignment and Service Tracking (RAST) System </title>
<date year="2013" month="1" day="11"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-02-06/pdf/2013-02672.pdf</url>
<title>Deletions and Republications of Systems of Records </title>
<date year="2013" month="2" day="6"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-02-11/pdf/2013-03071.pdf</url>
<title> OGC.CAGC.01, Office General Counsel Electronic Discovery Management System </title>
<date year="2013" month="2" day="11"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-04-01/pdf/2013-07522.pdf</url>
<title>Deletions and Republications of Systems of Records--Correction </title>
<date year="2013" month="4" day="1"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-06-12/pdf/2013-13974.pdf</url>
<title> PD&amp;R/RRE.02, Family Self-Sufficiency Program Demonstration Data </title>
<date year="2012" month="6" day="12"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-07-24/pdf/2013-17780.pdf</url>
<title> SFH/HWS.1, Federal Housing Administration Loan Sale File--Replacement for the Delinquent/Default/Assigned/Temporary Mortgage Assistance Payments Program </title>
<date year="2013" month="7" day="24"/>
</previouslyPublished>

<routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>Office of the Secretary</b></p>
<p><i>Preliminary Statement
</i></p>
<p><i>1. General Statement of Routine Uses.
</i></p><p>To appropriate agencies, entities, and persons when:
</p><p>(1) The Department suspects or has confirmed that the security or confidentiality of information
in the system of records has been
compromised;
</p><p>(2) the Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by
the HUD or another agency or entity) that rely upon the compromised information; and
</p><p>(3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the HUD's efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p><i>Routine Use--Law Enforcement</i>
</p><p>In the event that a system of records maintained by this Department to carry out its
functions indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature, and whether arising by general
statute, or by regulation, rule or order
issued pursuant thereto, the relevant records in the system of records may be referred, as a routine
use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of investigating or prosecuting
such violation or charged with enforcing or
implementing the statute, rule, regulation or order issued pursuant thereto.
</p><p><i>Routine Use--Disclosure When Requesting Information
</i></p><p>A record from a system of records maintained by this Department may be disclosed as a
routine use of a federal, state, or local agency
maintaining civil, criminal or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary
to obtain information relevant to a component decision concerning the hiring or retention of an
employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p><i>Routine Use--Disclosure or Requested Information
</i></p><p>A record from a system of records maintained by this Department may be disclosed to a
federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the
information is relevant and necessary to the requesting agency's decision on the matter.
</p><p><i>Routine Use--Disclosure to OMB
</i></p><p>The information contained in a system of records will be disclosed to the Office of
Management and Budget in connection with review of
private relief legislation as set forth in OMB Circular No. A-19 at any stage of the
legislative coordination and clearance process as
set forth in that Circular, and for the purpose of evaluating the Department's credit and debt
collection activities to further the goal of
the President's Management Improvement Council.
</p><p><i>Routine Use--Disclosure Pursuant to Congressional Inquiry
</i></p>
<p>Disclosures may be made to a Congressional office from the record of an individual in
response to an inquiry from the Congressional
office made at the request of that individual.
</p><p><b>Appendix I
</b></p>
<p><i>HUD's Library of Routine Uses</i>
</p>
<p><i>Authorized disclosures applicable to one or more HUD Privacy Act system of records.</i>
The Privacy Act allows HUD to disclose its
Privacy Act records in the following manner to appropriate agencies, entities, and persons below to
the extent such disclosures are compatible
with the purpose for which the record was collected, as set forth in each system of records notice
and in the following paragraphs (1)-
(19), provided that no routine use specified herein shall be construed to limit or waive any other
routine use or exemption specified either
herein or in the text of the individual system of records notice. (These routine uses are not meant
to exclude prior routine use publications
and may overlap in some cases.)
</p><p>(1) To a recipient who has provided the agency with advance adequate written assurance that the
record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a form that is not individually
identifiable.
</p><p>(2) To the National Archives and Records Administration (NARA) and the General Services
Administration (GSA) for records having sufficient
historical or other value to warrant its continued preservation by the United States Government, or
for inspection under authority of Title
44, Chapter 29, of the United States.
</p><p>(3) To a congressional office from the record of an individual in response to an inquiry from the
congressional office made at the request
of that individual.
</p><p>(4) To appropriate Federal, state, local government, or person pursuant to a showing of
compelling circumstances affecting the health or
safety or vital interest of an individual or data subject, including assisting such agency(ies) or
organizations in preventing the exposure to
or transmission of a communicable or quarantinable disease or to combat other significant public
health threats; if upon such disclosure
appropriate notice is transmitted to the last known address of such individual identify the health
threat or risk.
</p><p>(5) To a consumer reporting agency, when trying to collect a claim of the Government, in
accordance with 31 U.S.C. 3711(e).
</p><p>(6) To contractors, grantees, experts, consultants, and the agents of thereof, and others
performing or working on a contract, service,
grant, cooperative agreement with HUD, when necessary to accomplish an agency function related to
its system of records, limited to only those
data elements considered relevant to accomplishing an agency function. Individuals provided
information under this routine use is subject to
the same Privacy Act requirements and limitations on disclosure as are applicable to HUD officers
and employees.
</p><p>(7) To other Federal agencies or non-Federal entities with whom HUD has an approved computer
matching effort, limited to only those data
elements considered relevant to determine eligibility under a particular benefit programs
administered by those agencies or entities or by HUD
or any component thereof, to improve program integrity, and to collect debts and other monies owed
under those programs.
</p><p>(8) To contractors, experts, consultants with whom HUD has a contract, service agreement or other
assignment of the Department, when
necessary to utilize relevant data for purposes of testing new technology and systems designed to
enhance program operations and performance.
</p><p>(9) To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities
including but not limited to state and local
governments, and other research institutions or their parties entities and their agents with whom
HUD has a contract, service agreement,
grant, cooperative agreement with HUD, when necessary to accomplish an agency function related to a
system of records for the purposes of
statistical analysis and research in support of program operations, management, performance
monitoring, evaluation, risk management, and
policy development, or to otherwise support the Department's mission. Records under this routine use
may not be used in whole or in part to
make decisions that affect the rights, benefits or privileges of specific individuals. The results
of the matched information may not be
disclosed in identifiable form.
</p><p>(10) To other Federal agencies or non-Federal entities, including but not limited to state and
local government entities with whom HUD has
a contract, service agreement, grant, cooperative agreement, or computer matching agreement to
assist such agencies with preventing and
detecting improper payments, or fraud, or abuse in major programs administered by the Federal
government, or abuse by individuals in their
operations and programs, but only to the extent that the information is necessary and relevant to
preventing improper payments for services
rendered under a particular Federal or non-federal benefits programs of HUD or any of their
components to verify pre-award and pre-payment
requirements prior to the release of Federal Funds.
</p><p>(11) To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that
the security or confidentiality of
information in a system of records has been compromised; (b) HUD has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the
security or integrity of systems or
programs (whether maintained by HUD or another agency or entity) that rely upon the compromised
information; and c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist in connection with HUD's
efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm for purposes of facilitating
responses and remediation efforts in the event of
a data breach.
</p><p><i>Case Specific Actions,</i> HUD may disclose records compatible to one of its system of records
notices during case specific
circumstances, when appropriate, as follows:
</p><p>(12) To appropriate Federal, state, local, tribal, or governmental agencies or multilateral
governmental organizations responsible for
investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where HUD
determines that the information would assist in the enforcement of civil or criminal laws.
</p><p>(13) To third parties during the course of a law enforcement investigation to the extent
necessary to obtain information pertinent to the
investigation, provided disclosure is appropriate to the proper performance of the official duties
of the officer making the disclosure.
</p><p>(14) To a court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in
response to a subpoena or to a prosecution request when such records to be released are specifically
approved by a court provided order.
</p><p>(15) To appropriate Federal, state, local, tribal, or governmental agencies or multilateral
governmental organizations responsible for
investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where HUD
determines that the information would assist in the enforcement of civil or criminal laws.
</p><p>(16) To third parties during the course of a law enforcement investigation to the extent
necessary to obtain information pertinent to the
investigation, provided disclosure is appropriate to the proper performance of the official duties
of the officer making the disclosure.
</p><p>(17) To the Department of Justice (DOJ) when seeking legal advice for a HUD initiative or in
response to DOJ's request for the information,
after either HUD or DOJ determine that such information is relevant to DOJ's representatives of the
United States or any other components in
legal proceedings before a court or adjudicative body, provided that, in each case, the agency also
determines prior to disclosure that
disclosure of the records to the DOJ is a use of the information contained in the records that is
compatible with the purpose for which HUD
collected the records. HUD on its own may disclose records in this system of records in legal
proceeding before a court or administrative body
after determining that the disclosure of the records to the court of administrative body is a use of
the information contained in the records
that is compatible with the purpose for which HUD collected the records.
</p><p>(18) To another agency or to an instrumentality of any governmental jurisdiction within or under
the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized by law, and if the head of
the agency or instrumentality has made a
written request to the agency which maintains the record specifying the particular portion desired
and the law enforcement activity for which
the record is sought.
</p><p>(19) To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities
including but not limited to state and
local governments, with whom HUD has a contract, service agreement, grant, cooperative agreement
with the Department of Housing and Urban
Development for statistical analysis to advance the goals of the nation's federal strategic plan to
prevent and end veterans homelessness. The
records may not be used to make decisions concerning the rights, benefits, or privileges of specific
individuals, or providers of services
with respect to homeless veteran's efforts.
</p><p><b>Prefatory Statement of General Routine Uses
</b></p>
<p>The following routine uses apply to each system of records notice set forth below under case specific circumstances.
The Privacy Act allows HUD to disclose its Privacy Act records in the following manner to appropriate agencies, entities,
and persons below to the extent such disclosures are compatible with the purpose for which the record was collected, as
set forth in the attached system of records notifications, provided that no routine use specified herein shall be
construed to limit or waive any other routine use or exemption specified either herein or in the text of the individual
system of records notice. In addition to providing that approval is obtained from the system manager, only after
satisfactory justification has been provided to the system manager, records may be disclosed as follows:
</p><p>1. To a recipient who has provided the agency with advance adequate written assurance that the record will be used
solely as a statistical research or reporting record, and the record is to be transferred in a form that is not
individually identifiable.
</p><p>2. To the National Archives and Records Administration (NARA) and the General Services Administration (GSA) for
records having sufficient historical or other value to warrant its continued preservation by the United States
Government, or for inspection under authority of Title 44, Chapter 29, of the United States.
</p><p>3. To a congressional office from the record of an individual in response to an inquiry from the congressional office
made at the request of that individual.
</p><p>4. To appropriate Federal, state, local government, or person pursuant to a showing of compelling circumstances
affecting the health or safety or vital interest of an individual or data subject, including assisting such agency(ies)
or organizations in preventing the exposure to or transmission of a communicable or quarantinable disease or to combat
other significant public health threats; if upon such disclosure appropriate notice is transmitted to the last known
address of such individual identify the health threat or risk.
</p><p>5. To a consumer reporting agency, when trying to collect a claim of the Government, in accordance with 31 U.S.C.
3711(e).
</p><p>6. To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that the security or
confidentiality of information in a system of records has been compromised; (b) HUD has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud,
or harm to the security or integrity of systems or programs (whether maintained by HUD or another agency or entity) that
rely upon the compromised information; and c) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with HUD's efforts to respond to the suspected or confirmed compromise and prevent,
minimize, or remedy such harm for purposes of facilitating responses and remediation efforts in the event of a data
breach.
</p><p><i>Case Specific Actions,</i> In addition to the disclosures permitted under subsection (b) of the Privacy Act,
HUD may disclose information contained in this system of records without the consent of the subject individual if the
disclosure is compatible with the purpose for which the record was collected under the following routine uses provided
that approval is obtained from the system manager only after satisfactory justification has been provided to the system
manager: HUD may disclosure records compatible to one of its system of records notices during case specific
circumstances, when appropriate, as follows:
</p><p>7. To appropriate Federal, state, local, tribal, or governmental agencies or multilateral governmental organizations
responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where HUD determines that the information would assist in the enforcement of civil or
criminal laws.
</p><p>8. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information
pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of
the officer making the disclosure.
</p><p>9. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena or to a prosecution request when such records to be released
are specifically approved by a court provided order.
</p><p>10. To the Department of Justice (DOJ) when seeking legal advice for a HUD initiative or in response to DOJ's request
for the information, after either HUD or DOJ determine that such information is relevant to DOJ's representatives of the
United States or any other components in legal proceedings before a court or adjudicative body, provided that, in each
case, the agency also determines prior to disclosure that disclosure of the records to the DOJ is a use of the
information contained in the records that is compatible with the purpose for which HUD collected the records. HUD on its
own may disclose records in this system of records in legal proceeding before a court or administrative body after
determining that the disclosure of the records to the court of administrative body is a use of the information contained
in the records that is compatible with the purpose for which HUD collected the records.
</p><p>11. To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the
United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of
the agency or instrumentality has made a written request to the agency which maintains the record specifying the
particular portion desired and the law enforcement activity for which the record is sought.
</p><p>12. To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities including but not
limited to state and local governments, with whom HUD has a contract, service agreement, grant, cooperative agreement
with the Department of Housing and Urban Development for statistical analysis to advance the goals of the nation's
federal strategic plan to prevent and end veterans homelessness. The records may not be used to make decisions concerning
the rights, benefits, or privileges of specific individuals, or providers of services with respect to homeless veteran's
efforts.
</p><p>13. To HUD-paid experts or consultants, and those under contract with HUD on a "need-to-know" basis for a
purpose within the scope of the pertinent HUD task related to these systems of records. This access will be granted to an
HUD-paid expert, or consultants of contractor and their employees by a system manager only after satisfactory
justification has been provided to the system manager. Access shall be restricted and limited to only those data elements
and disclosures considered relevant to accomplishing an agency function.
</p><p>14. To other Federal agencies or non-Federal entities with whom HUD has an approved computer matching effort, limited
to only those data elements considered relevant to determine eligibility under a particular benefit programs administered
by those agencies or entities or by HUD or any component thereof, to improve program integrity, and to collect debts and
other monies owed under those programs.
</p><p>15. To contractors, experts, consultants with whom HUD has a contract, service agreement or other assignment of the
Department, when necessary to utilize relevant data for purposes of testing new technology and systems designed to
enhance program operations and performance.
</p><p>16. To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities including but not
limited to state and local governments, and other research institutions or their parties entities and their agents with
whom HUD has a contract, service agreement, grant, cooperative agreement with HUD, when necessary to accomplish an agency
function related to a system of records for the purposes of statistical analysis and research in support of program
operations, management, performance monitoring, evaluation, risk management, and policy development, or to otherwise
support the Department's mission. Records under this routine use may not be used in whole or in part to make decisions
that affect the rights, benefits or privileges of specific individuals. The results of the matched information may not be
disclosed in identifiable form.
</p><p>17. To other Federal agencies or non-Federal entities, including but not limited to state and local government
entities with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement to
assist such agencies with preventing and detecting improper payments, or fraud, or abuse in major programs administered
by the Federal government, or abuse by individuals in their operations and programs, but only to the extent that the
information is necessary and relevant to preventing improper payments for services rendered under a particular Federal or
non-federal benefits programs of HUD or any of their components to verify pre-award and pre-payment requirements prior to
the release of Federal Funds.
</p>
<p><b>Authority:</b>  5 U.S.C. 552a; 88 Stat. 1896; 42 U.S.C. 3535(d).</p>
<p><b>Office of Federal Housing Enterprise Oversight</b></p>
<p><i>Prefatory Statement of General Routine Uses
</i></p>
<p>The following general routine uses apply to and are incorporated by reference into each
system of records set forth below, except if
otherwise noted or if obviously not appropriate.
</p><p>1. It shall be a routine use of the records in this system of records to disclose them to the
Department of Justice or other Federal agency
conducting litigation when--
</p><p>(a) Any of the following is a party to the litigation or has an interest in such litigation:
</p><p>(i) The Office of Federal Housing Enterprise Oversight (OFHEO);
</p><p>(ii) Any employee of OFHEO, in his/her official capacity;
</p><p>(iii) Any employee of OFHEO, or any agency thereof, in his/her individual capacity where the
Department of Justice has agreed to represent
the employee;
</p><p>(iv) The United States or any agency thereof, where OFHEO determines that litigation is likely to
affect the United States; and
</p><p>(b) The use of such records by the Department of Justice or other Federal agency conducting the
litigation is deemed by OFHEO to be
relevant and necessary to the litigation.
</p><p>2. It shall be a routine use of the records in this system to disclose them in any proceeding
before any court or adjudicative or
administrative body when--
</p><p>(a) Any of the following is a party to the proceeding or has an interest in such proceeding:
</p><p>(i) OFHEO;
</p><p>(ii) Any employee of OFHEO, in his/her official capacity;
</p><p>(iii) Any employee of OFHEO, in his/her individual capacity, where the Department of Justice has
agreed to represent the employee;
</p><p>(iv) The United States or any agency thereof where OFHEO determines that the proceeding is likely
to affect the United States; and
</p><p>(b) OFHEO determines that use of such records is relevant and necessary in the proceeding.
</p><p>3. In the event that a system of records maintained by OFHEO indicates a violation or potential
violation of law, whether civil, criminal,
or regulatory in nature, and whether arising by general statute or particular program pursuant
thereto, the relevant records in the system of
records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local,
or foreign, charged with the
responsibility of investigating or prosecuting such violation or charged with enforcing or
implementing the statute, rule, regulation, or
order issued pursuant thereto.
</p><p>4. A record from this system of records may be disclosed to a Federal, State, or local agency
maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, if necessary to obtain information
relevant to the decision concerning the
hiring or retention of an employee or the letting of a contract.
</p><p>5. A record from this system of records may be disclosed to a Federal agency, in response to its
request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract,
or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that
the information is relevant and necessary
to the requesting agency's decision on the matter.
</p><p>6. The information contained in this system of records may be disclosed to the Office of
Management and Budget in connection with the
review of private relief legislation as set forth in Office of Management and Budget Circular No. A
-19 at any stage of the legislative
coordination and clearance process as set forth in that Circular.
</p><p>7. A record from this system of records may be disclosed to an authorized appeal grievance
examiner; a formal complaints examiner; an equal
employment opportunity investigator; or an arbitrator or other duly authorized official engaged in
investigation or settlement of a grievance,
complaint, or appeal filed by an employee. A record from this system of records may be disclosed to
the Office of Personnel Management in
connection with the evaluation and oversight of Federal personnel management.
</p><p>8. A record from this system of records may be disclosed to authorized employees of a Federal
agency for purposes of audit.
</p><p>9. Disclosure may be made to a congressional office from the record of an individual in response
to an inquiry from the congressional
office made at the request of that individual.
</p><p>10. A record in this system of records may be disclosed to the Department of Justice to determine
whether disclosure thereof is required by
the Freedom of Information Act (5 U.S.C. 552).
</p><p>11. A record in this system of records may be disclosed when the information is subject to
exemption under the Freedom of Information Act,
but OFHEO, in its discretion, determines not to assert the exemption.
</p><p>12. A record from this system of records may be disclosed to State and local taxing authorities
with which the Secretary of the Treasury
has entered into agreements and to those State and local taxing authorities for which the employee
is subject to tax whether or not tax is
withheld.
</p></xhtmlContent></routineUses>

<section id="admin1" toc="yes">
<systemNumber>/ADMIN-01
</systemNumber>
<subsection type="systemName">Transit Subsidy System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters (HQ), 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD employees who participate in transit subsidy program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications for transit subsidies include employees' name, address, home and office
telephone number, last four digits of social
security number and cost of monthly transportation and subsidy entitlement.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 103-172 dated 12/2/93, Federal Employees Clean Air Incentives Act; GSA
Bulletin FPMR D-227.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information is collected to verify the amount of monthly commuting costs and to calculate
employees' transit subsidy entitlement,
which is determined by the distance between employees' residence and the local HUD office.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Annual cost of commuting and transit subsidy entitlement is reported to the Department of
Transportation as well as, the number of HUD
employees enrolled in the program.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p><i>Storage:</i> Information is kept in files with controlled room access and is security
protected.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by employees' name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information is kept in files with controlled room access and is security protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>2228.2, General Records Schedule, Item #7.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Director, Office of Management and Planning--Administrative Officer.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether information about themselves is contained in this
system of records should address written
inquiries to the particular HUD administrator or component listed in the "system manager" location
above. Individuals should furnish full
name, current address and telephone number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 7th Street SW., Washington, DC. Written requests must include the full
name, Social Security Number, date of birth,
current address, and telephone number of the individual making the request. The procedures for
requesting access to records appear in 24 CFR
part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The rules for contesting the contents of records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16.
If additional information or assistance is needed in relation to contesting the contents of records,
it may be obtained by contacting the
Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from individuals that participate in the
Transit Subsidy Program.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="admin3" toc="yes">
<systemNumber>/ADMIN-02
</systemNumber>
<subsection type="systemName">HUD's Direct Distribution Center System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD HQ, 451 Seventh Street, SW., Washington, DC 20410, Room BS-111.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD Clients and Staff Personnel requesting general and publication information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories include an electronic database of client names, address, home, and office
telephone numbers for each request received.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>24 CFR part 7.13.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information collected is used for tracking purposes for undelivered or returned mail.
</p></xhtmlContent></subsection>
	<subsection type="routineUsesOfRecords"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Information is stored on an electronic database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Limited to staff with access and authorization to database. Information
is retrieved by client's name, address,
home and office telephone number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Database is limited to staff with access and authorization. Database is also
password protected.
</p></xhtmlContent></subsection>
	<subsection type="retentionAndDisposal"><xhtmlContent><p> Database information is kept for 3 years then archived.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Administrative and Management Services, Chief, Mail and Distribution Branch.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether information about themselves is contained in this
system of records should address written
inquiries to the particular HUD administrator or component listed in the "system manager" location
above. Individuals should furnish full
name, current address and telephone number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 Seventh Street SW., Washington, DC. Written requests must include the
full name, Social Security Number, date of
birth, current address, and telephone number of the individual making the request. The procedures
for requesting access to records appear in
24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The rules for contesting the contents of records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16.
If additional information or assistance is needed in relation to contesting the contents of records,
it may be obtained by contacting the
Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from requests from HUD clients and staff.
</p></xhtmlContent></subsection>
	<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="admin3" toc="yes">
<systemNumber>/ADMIN-03
</systemNumber>
<subsection type="systemName">One Touch Student Response System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD HQ, 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD employees enrolled in HUD approved training courses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>D Employees names, and SSNs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>U.S.C., Government Employees Training Act, Public Law 85-507, as amended, Executive
Order 11348.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is routinely used to track training information and test results.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Information may be shared with the Office of Personnel Management (OPM) for training data
only.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p><i>Storage:</i> Information is stored in an electronic database
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by employees name and/or SSN.
</p><p><i>Safeguards:</i> Information access is limited to Multimedia staff members. System is password
protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Test results are purged weekly.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Administrative and Management Services, Multimedia Branch.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether information about themselves is contained in this
system of records should address written
inquiries to the particular HUD administrator or component listed in the "system manager" location
above. Individuals should furnish full
name, current address and telephone number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 Seventh Street SW., Washington, DC. Written requests must include the
full name, Social Security Number, date of
birth, current address, and telephone number of the individual making the request. The procedures
for requesting access to records appear in
24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The rules for contesting the contents of records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16.
If additional information or assistance is needed in relation to contesting the contents of records,
it may be obtained by contacting the
Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information is obtained from HUD employees.
</p></xhtmlContent></subsection></section>
<section id="admin4" toc="yes">
<systemNumber>/ADMIN-04
</systemNumber>
<subsection type="systemName">Training Information System (TRAI).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and National Finance Center (NFC).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD employees enrolled and approved for training courses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Annual summary of employees' training courses. Information include employees' name, address,
home and office telephone number and
social security number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Shared database with NFC, 5 U.S.C., Government Employees Training Act, Public Law 85-
507, as amended Executive Order 11348.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Annual summary of employees training courses that have been approved and accepted. Cost of
training courses is collected for budgetary
and planning purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information is shared with the National Finance Center (NFC) for budgetary tracking
purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p><i>Storage:</i> Information is stored on an electronic database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by employee name, SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to information on database is limited to HUD Training Academy staff and
is password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Routinely archived and disposed by the National Finance Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>HUD Training Academy.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer, at the appropriate location
in accordance with 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The procedures for requesting access to records appear at 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear at 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from HUD employees.
</p></xhtmlContent></subsection></section>
<section id="admin5" toc="yes">
<systemNumber>/ADMIN-05
</systemNumber>
<subsection type="systemName">Training Announcement, Nomination, and Confirmation System (TANCS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD employees selected for internal training, sponsored by the HUD Training Academy (HTA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information retrieved includes, employees name, and SSN and training courses sponsored by
HTA.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C., Government Employees Training Act, Public Law 85-507, as amended, Executive
Order 11348.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Administration of internal training opportunities for HUD Staff. Information is summarized
and becomes part of employees' record.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Information may be shared with Office of Personnel Management (OPM) for training data only.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p><i>Storage:</i> Information is stored on an electronic database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by HTA Staff only includes, names and SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Database is password protected and limited to HTA staff only. IT/ADP security
standards apply.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information is retain for 5 years; information prior to 1996 has
been archived.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>HUD Training Academy.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether information about themselves is contained in this
system of records should address written
inquiries to the particular HUD administrator or component listed in the "system manager" location
above. Individuals should furnish full
name, current address and telephone number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 Seventh Street, SW., Washington, DC. Written requests must include the
full name, Social Security Number, date of
birth, current address, and telephone number of the individual making the request. The procedures
for requesting access to records appear in
24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The rules for contesting the contents of records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16.
If additional information or assistance is needed in relation to contesting the contents of records,
it may be obtained by contacting the
Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from HUD employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="admin6" toc="yes">
<systemNumber>/ADMIN-6
</systemNumber>

<subsection type="systemName">Personnel Security Files.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters.</p></xhtmlContent>
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Most personnel identity verification records are not classified. However, in some cases,
records of certain individuals, or portions
of some records, may be classified in the interest of national security.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who require regular, ongoing access to federal facilities, information
technology systems, or information classified in
the interest of national security, including applicants for employment or contracts, federal
employees, contractors, students, interns,
volunteers, affiliates, individuals authorized to perform or use services provided in HUD facilities
(<i>e.g.,</i> Credit Union, Fitness
Center, etc.), and individuals formerly in any of these positions. The system also includes
individuals accused of security violations or
found in violation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, former names, birth date, birth place, Social Security number, home address, phone
numbers, employment history, residential
history, education and degrees earned, names of associates and references and their contact
information, citizenship, names of relatives,
birthdates and birth places of relatives, citizenship of relatives, names of relatives who work for
the Federal government, criminal history,
mental health history, drug use, financial information, fingerprints, summary report of
investigation, results of suitability decisions, level
of security clearance, date of issuance of security clearance, requests for appeal, witness
statements, investigator's notes, tax return
information, credit reports, security violations, circumstances of violation, and agency action
taken.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Depending upon the purpose of your investigation, the U.S. government is authorized to ask
for this information under Executive Orders
10450, 10865, 12333, and 12356; sections 3301 and 9101 of title 5, U.S. Code; sections 2165 and 2201
of title 42, U.S. Code; sections 781 to
887 of title 50, U.S. Code; parts 5, 732, and 736 of title 5, Code of Federal Regulations; and
Homeland Security Presidential Directive (HSPD)
12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 21,
2004.
</p><p>Forms: SF-85, SF-85P, SF-86, SF-87.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system of records are used to document and support decisions regarding
the suitability, eligibility, and fitness
for service of applicants for federal employment and contract positions, including long-term
students, interns, or volunteers to the extent
their duties require access to federal facilities, information, systems, or applications. For some
positions, the records may also be used to
document and support decisions regarding National Security Clearance for access to classified
information. The records may be used to document
security violations and supervisory actions taken.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. To the Department of Justice when:
</p><p>(a) The agency or any component thereof; or
</p><p>(b) Any employee of the agency in his or her official capacity;
</p><p>(c) Any employee of the agency in his or her individual capacity where agency or the Department
of Justice has agreed to represent the
employee; or
</p><p>(d) The United States Government, is a party to litigation or has an interest in such litigation,
and by careful review, the agency
determines that the records are both relevant and necessary to the litigation and the use of such
records by DOJ is therefore deemed by the
agency to be for a purpose compatible with the purpose for which the agency collected the records.
</p><p>2. To a court or adjudicative body in a proceeding when:
</p><p>(a) The agency or any component thereof;
</p><p>(b) Any employee of the agency in his or her official capacity;
</p><p>(c) Any employee of the agency in his or her individual capacity where agency or the Department
of Justice has agreed to represent the
employee; or
</p><p>(d) The United States Government, is a party to litigation or has an interest in such litigation,
and by careful review, the agency
determines that the records are both relevant and necessary to the litigation and the use of such
records is therefore deemed by the agency to
be for a purpose that is compatible with the purpose for which the agency collected the records.
</p><p>3. Except as noted on Forms SF-85, 85-P, and 86, when a record on its face, or in
conjunction with other records, indicates a
violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general
statute or particular program statute, or
by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate
public authority, whether Federal, foreign,
State, local, or tribal, or otherwise, enforcing or implementing the statute, or rule, regulation,
or order issued pursuant thereto, if the
information disclosed is relevant to any enforcement, regulatory, investigative or prosecutorial
responsibility of the receiving entity.
</p><p>4. To a Member of Congress or to a Congressional staff member in response to an inquiry of the
Congressional office made at the written
request of the constituent about whom the record is maintained.
</p><p>5. To the National Archives and Records Administration or to the General Services Administration
for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
</p><p>6. To HUD contractors, grantees, or volunteers who have been engaged to assist the agency in the
performance of a contract service, grant,
cooperative agreement, or other activity related to this system of records and who need to have
access to the records in order to perform
their activity. Recipients shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
</p><p>7. To any source or potential source from which information is requested in the course of an
investigation concerning the retention of an
employee or other personnel action (other than hiring), or the retention of a security clearance,
contract, grant, license, or other benefit,
to the extent necessary to identify the individual, inform the source of the nature and purpose of
the investigation, and to identify the type
of information requested.
</p><p>8. To a Federal, State, local, foreign, or tribal or other public authority the fact that this
system of records contains information
relevant to the retention of an employee, the retention of a security clearance, the letting of a
contract, or the issuance or retention of a
license, grant, or other benefit. The other agency or licensing organization may then make a request
supported by the written consent of the
individual for the entire record if it so chooses. No disclosure will be made unless the information
has been determined to be sufficiently
reliable to support a referral to another office within the agency or to another Federal agency for
criminal, civil, administrative personnel
or regulatory action.
</p><p>9. To the news media or the general public, factual information the disclosure of which would be
in the public interest and which would not
constitute an unwarranted invasion of personal privacy, consistent with Freedom of Information Act
standards.
</p><p>10. To a Federal, State, or local agency, or other appropriate entities or individuals, or
through established liaison channels to selected
foreign governments, in order to enable an intelligence agency to carry out its responsibilities
under the National Security Act of 1947 as
amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable
national security directives, or classified
implementing procedures approved by the Attorney General and promulgated pursuant to such statutes,
orders or directives.
</p><p>11. To the Office of Management and Budget when necessary to the review of private relief
legislation pursuant to OMB Circular No. A-
19.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on paper and electronically in a secure location.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Background investigation files are retrieved by name, Social Security number (SSN), or
fingerprint.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p><i>For paper records:</i> Comprehensive paper records are kept in locked metal file cabinets
in locked rooms in HUD Headquarters, in
the Office of Security and Emergency Planning, which is the office responsible for suitability
determinations. Some paper records (limited in
number and scope) are kept in the HUD's Regional Human Resources in locked metal file cabinets in
locked rooms. Access to the records is
limited to those employees who have a need for them in the performance of their official duties.
</p><p><i>For electronic records:</i> Comprehensive electronic records are kept in the Office of
Security and Emergency Planning. Access to the
records is restricted to those with specific role in the PIV process that requires access to
background investigation forms to perform their
duties, and who have been given a password to access that part of the system including background
investigation records. An audit trail is
maintained and reviewed periodically to identify unauthorized access. Persons given roles in the PIV
process must complete training specific
to their roles to ensure they are knowledgeable about how to protect individually identifiable
information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained and disposed of in accordance with General Records Schedule 18,
item 22a, approved by the National Archives
and Records Administration (NARA). The records are disposed in accordance with HUD's disposal
policies. Records are destroyed upon
notification of death, or not later than five years after separation or transfer of employee to
another agency or department, whichever is
applicable.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Security and Emergency Planning, 451 Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to the Director, Office of Security and Emergency Planning, 451
Seventh St., SW., Washington, DC 20410.
Written requests must include the full name, current address, and telephone number of the individual
making the request, including a
description of the requester's relationship to the information in question. The System Manager will
accept inquiries from individuals seeking
notification of whether the system contains records pertaining to them.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR 16. If
additional information or assistance is
required, contact the Privacy Act Appeals Officer, Office of General Counsel, Department of Housing
and Urban Development, 451 Seventh Street,
SW., Washington, DC 20410
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Depending on the level of background investigation being conducted, information may be
obtained from a variety of sources, including
the employee, contractor, or applicant via use of the SF-85, SF-85P, or SF-86, as
well as personal interviews; employers'
and former employers' records; FBI criminal history records and other databases; financial
institutions and credit reports; medical records
and health care providers; educational institutions; interviews of witnesses such as neighbors,
friends, co-workers, business associates,
teachers, landlords, or family members; tax records; and other public records. Security violation
information is obtained from a variety of
sources, such as guard reports, security inspections, witnesses, supervisor's reports, audit
reports.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Upon publication of a final rule in the <i>Federal Register,</i> this system of records will
be exempt in accordance with 5 U.S.C.
552a(k)(5). Information will be withheld to the extent it identifies witnesses promised
confidentiality as a condition of providing
information during the course of the background investigation.
</p></xhtmlContent></subsection></section>
<section id="adm8" toc="yes">
<systemNumber>/ADM-08
</systemNumber>

<subsection type="systemName">Grants Interface Management System (GIMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, Charleston, West Virginia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Electronic applicants to HUD
competitive (discretionary) grant programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Electronic grant applications which typically
include statements of qualifications, which may
include resumes, program budgets and work plans, evaluation plans, and supporting documents such as
proof of local support. Resumes may
include name, home address, home telephone number, personal email address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Records are authorized by regulations governing
administration of grants and cooperative
agreements (24 CFR, Part 84 or 85), and the HUD Reform Act of 1989 Public Law 101-235 (24 CFR
Part 4) and scheduled per the NARA
requirements for records disposition at 36 CFR Part 1228.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to receive grant applications from the
Grants.gov portal. Records are maintained in
compliance with the requirements of the HUD Reform Act of 1989, Public Law 101-235 (24 CFR
Part 4) and scheduled per the NARA
requirements for records disposition at 36 CFR Part 1228.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to
those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, other routine uses
are as follows: Routine uses include
review of applications. Persons with access at various points in the process include reviewers and
program managers.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Under this section
the following subsections must be listed:
</p><p>Storage: </p><p>Paper applications are maintained in locked file cabinets and access is granted
to personnel who service the records.
Electronic data is maintained in the GIMS database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Applications are indexed by application tracking number, award tracking
number, applicant organization name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper Records are typically stored in locked cabinets and limited to those
personnel who service the records. System
access is granted by program administrators and by user ID and password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained per the requirements of the HUD Reform Act
of 1989 Pub. Law 101-235 (24 CFR
Part 4), and scheduled under the NARA requirements for records disposition at 36 CFR Part 1228.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Loyd Lamois, Supervisory Program Analyst, Office of
Departmental Grants Managements and Oversight,
Department of Housing and Urban Development, 451 Seventh Street SW., Room 3156, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer
at the Department of Housing and Urban Development, 451 Seventh Street SW., Room 4178, Washington,
DC 20410. Written requests must include the
full name, document with photo (driver's license, etc.), date of birth, current address, and
telephone number of the individual making the
request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records, and
procedures for applicants who want to
appeal initial agency determinations appear in 24 CFR part 16.
</p><p>If additional information is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh
Street, SW., Room 4178, Washington, DC
20410; and,
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is submitted by Authorized Organizational
Representatives registered at Grants.gov and
authorized by applicant organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="adm9" toc="yes">
<systemNumber>/ADM-09
</systemNumber>
<subsection type="systemName">Correspondence Tracking System (CTS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who correspond with the Secretary, Deputy Secretary, Assistant Secretaries,
or Field Office officials, (b) Individuals
whose correspondence has been referred by the White House, other federal agencies, or Members of
Congress to the Secretary, Deputy Secretary,
Assistant Secretaries, or Field Office officials for response, (c) Individuals who correspond with
departmental staff, and (d) departmental
staff creating inter-office correspondence and correspondence for signature and dispatch outside of
the agency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence identification (Correspondent's name, address, state, district, organization,
title, control number, return address,
date of letter, subject, description); status of response within the Department (office assigned,
date due, current disposition); may include
original correspondence, Department's response, referral letters, name and identification of person
referring the correspondence, and copies
of any enclosures.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7(d) of the Department of Housing and Urban Development Act of 1965, Pub. L. 89
-174.
</p><p>Purpose:</p>
<p>To accurately report and monitor the status of correspondence both internal and external to
the Department.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>In addition to those disclosures generally permitted under 5 U.S.C. 552a (b) of the Privacy
Act, other routine uses are: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>On CTS hardware storage, on backup computer drives, and, in some cases, file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>State, district, control number, name of correspondent, name of person referring
correspondence, date of letter, subject of letter,
office assigned, date due, current disposition, address, telephone number, e-mail address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer records are maintained in a secure area with access restricted to authorized
personnel; manual files are kept in folders in
lockable file cabinets and accessed only by authorized personnel. Security and hardware storage of
backup materials (i.e. disk, tapes, etc.)
are secured in accordance with HUD-wide guidance for handling and securing HUD data systems and the
Electronic Data System's (EDS) standard
procedure guide for maintaining data and system security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All computerized information is maintained on system hardware in accordance with CTS
retention schedule, then is archived and stored
in a secure location or destroyed or turned over to the National Archives and Records Administration
based on the agency's electronic records
management schedules. All manual files are maintained for 2 years and then are retained/disposed of
in accordance with HUD Handbook 2225.6,
HUD Records Schedules, Schedule 62.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Secretary, Office of the Executive Secretariat, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room
10139, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records,
contact the Departmental Privacy Act Officer at the Department of Housing and Urban Development, 451
Seventh Street, SW., Room 4178,
Washington, DC 20410, in accordance with 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Departmental Privacy Act Officer at the above location.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for amendment or correction of records, and procedures for applicants who want to
appeal initial agency determinations
appear in 24 CFR part 16. If additional information or assistance is needed contact:
</p><p>(i) In relation to contesting the contents of records, the Departmental Privacy Act Officer at
HUD, 451 Seventh Street, SW., Room 4178,
Washington, DC 20410; and,
</p><p>(ii) In relation to appeals of initial denials, the Departmental Privacy Appeals Officer, Office
of General Counsel, Department of Housing
and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject, referral source, departmental employees involved in processing the correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection>
</section>
<section id="fy1" toc="yes">
<systemNumber>/CFO/FY.01</systemNumber>
<subsection type="systemName">HUD Central Accounting and Program System (HUDCAPS, A75).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, Washington, DC 20410 and Hewlett-Packard Data Center, South Charleston, WV 25303.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Grant, subsidy, project, and loan recipients; HUD personnel; vendors; brokers; bidders; managers; individuals within
Disaster Assistance Programs: Builders, developers, contractors, and appraisers; subjects of audits.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains the following employee/vendor (non-employee) information: Name, social security number, address,
and financial data. Also included are funds control records, accounts receivable records, purchase order and contract
records, travel records including orders, vouchers, and advances, payment voucher records, deposit and receipt records,
disbursement and cancelled check records, and financial records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784); Chief Financial Officers Act
of 1990; Federal Financial Management Improvement Act of 1996; Housing and Community Development Act of 1987, 42 U.S.C.
3543 authorizes HUD to collect the SSN.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are an integral part of HUDCAPS, which provides an integrated general ledger and core accounting for the
Department's grant, subsidy, and loan programs. The general ledger posts and maintains account balances for all financial
transactions recorded in the subsidiary systems. HUDCAPS performs core accounting functions, which includes but is not
limited to keeping track of all payments to individuals, supporting and documenting expenses incurred in the performance
of official agency duties, accounting for goods and services received, accounting for funds paid and received, and
processing travel authorizations and claims.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual if the disclosure is
compatible with the purpose for which the record was collected under the following routine uses:
</p><p>1. To U.S. Treasury--for transactions such as disbursements of funds and related adjustments;
</p><p>2. To Internal Revenue Service--for reporting payments for goods and services and for reporting of discharge
indebtedness;
</p><p>3. To any other Federal agency including, but not limited to the Internal Revenue Service (IRS) pursuant to 31 U.S.C.
3720A, for the purpose of effecting an administrative offset against the debtor for a delinquent debt owed to the U.S.
Government by the debtor;
</p><p>4. To Federal Agencies--for the purpose of debt collection to comply with statutory reporting requirements;
</p><p>5. To the General Service Administration's Federal Procurement Data System, a central repository for statistical
information on Government contracting, for purposes of providing public access to Government-wide data about agency
contract actions;
</p><p>6. To consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from the
system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal
Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)). The disclosure is limited to information necessary to establish the
identity of the individual, including name, social security number, and address; the amount, status, and history of the
claim, and the agency or program under which the claim arose for the sole purpose of allowing the consumer reporting
agency to prepare a credit report.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on magnetic tape/disc/drum. There are no paper records that are maintained for this
system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number, schedule number, receipt number, voucher number, and contract
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All HUD employees have undergone background investigations. HUD buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures. Access is restricted to authorized personnel or
contractors whose responsibilities require access. System users must take the mandatory security awareness training
annually as mandated by the Federal Information Security Management Act (FISMA). Users must also sign a Rules of Behavior
form certifying that they agree to comply with the requirements before they are granted access to the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records are maintained indefinitely and destroyed in accordance with schedule 20 of the National
Archives and Records Administration General Records Schedule as specified in HUD Handbook 2225.6 Records Disposition
Schedule Appendix 14, HUD Handbook 2228.1 Records Disposition Schedule Management Chapter 9, and HUD Handbook 2228.2
General Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 3100, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act Officer, Department of
Housing and Urban Development, 451 Seventh Street, SW., Room 4178, Washington, DC 20410. (Attention: Capitol View
Building, 4th Floor). Provide verification of your identity by providing two proofs of official identification. Your
verification of identity must include your original signature and must be notarized. The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information
is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street, SW., Room 4178
(Attention: Capitol View Building, 4th Floor), DC 20410;
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from the individual who is the subject of these records, current and former
HUD employees seeking reimbursement from HUD for travel expenses personally incurred financial institutions, private
corporations or other business partners, and Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None
</p></xhtmlContent></subsection>
</section>
<section id="fy2" toc="yes">
<systemNumber>/ CFO/FY.02</systemNumber>
<subsection type="systemName">Audit Resolution and Corrective Action Tracking System (ARCATS, P136)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, Washington, DC 20410 and South Charleston, WV 25303.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD Headquarters, Office of the Inspector General (OIG) and Field Office Personnel; subjects of audits.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains the following client information: Name, social security number, date of birth, home address, home
telephone number, personal email address, race/ethnicity, gender, marital status, spouse name, number of children,
income/financial data, employment history, education level, medical history, and disability information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Managers Financial Integrity Act of 1982(Pub. L. 97-255, HR 1526); Sec. 113 of the Accounting and
Auditing Act of 1950 (31 U.S.C. 66a). ARCATS has been designed to conform with the requirements of the Inspector General
Act of 1978 as amended (5 USC APP. 3), Office of Management and Budget (OMB) Circular A-50 revised "Audit
Follow-up" and OMB Circular A-133 "Audits of States, Local Governments, and Non-Profit
Organizations."
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide an improved tool for management planning and oversight of corrective actions needed to address audit
recommendations in a timely manner. ARCATS tracks HUD's audit resolution process.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual in accordance with its
discretionary disclosures, when such disclosure is compatible with the purpose for which the record was collected. Refer
to this notice "Prefatory Statements of General Routine Uses" section for a description of these disclosures.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on electronic files or magnetic tape/disc/drum. Paper printouts or original input documents may be
stored in locked file cabinets at HUD or as imaged documents on magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved only by those who have the authority to view a specific document which may contain personally
identifiable information. Lotus Notes security is based on roles and determines if a person is authorized to view a
document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All HUD employees have undergone background investigations. HUD buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures. Access is restricted to authorized personnel or
contractors whose responsibilities require access. System users must take the mandatory security awareness training
annually as mandated by the Federal Information Security Management Act (FISMA). Users must also sign a Rules of Behavior
form certifying that they agree to comply with the requirements before they are granted access to the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records are maintained indefinitely and destroyed in accordance with schedule 20 of the National
Archives and Records Administration General Records Schedule. Other materials, including hard copy printouts derived from
electronic records created on an ad hoc basis for reference purposes or to meet day-to-day business needs, are burned
when the agency determines that they are no longer needed for administrative, legal, audit, or other operational
purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 3100, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act Officer, Department of
Housing and Urban Development, 451 Seventh Street, SW., Room 4178, Washington, DC 20410 (Attention: Capitol View
Building, 4th Floor). Provide verification of your identity by providing two proofs of official identification. Your
verification of identity must include your original signature and must be notarized. The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information
is needed, contact:
</p><p>(i.) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street, SW., Room 4178
(Attention: Capitol View Building, 4th Floor), (202) 402-8073Washington, DC 20410;
</p><p>(ii.) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from the individual who is the subject of these records, the OIG, and HUD
personnel who have access to Lotus Notes and have a specifically defined role in the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None
</p></xhtmlContent></subsection>
</section>
<section id="fy3" toc="yes">
<systemNumber>/CFO/FY.03</systemNumber>

<subsection type="systemName">Line of Credit Control Systems (LOCCS, A67).</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, Washington, DC 20410 and South Charleston, WV 25303. Refer to Appendix II for complete listing of
addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Grantees, subsidy recipients, project recipients, commercial
vendors, builders, developers, contractors, and appraisers.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains the following employee/vendor information: name, social security number, bank routing number, and
deposit account number. Also included are funds control records, receivable records, contract records, payment voucher
records, deposit and receipt records, disbursement and cancelled check records, and subsidiary ledger records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784). The Housing and Community
Development Act of 1987, 42 U.S.C.3543 authorizes HUD to collect the SSN.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system of records is to process and make grant, loan, and subsidy disbursements. LOCCS ensures that
payments are made in a timely manner thus achieving efficient cash management practices. Its function is to create
accounting transactions with the appropriate accounting classification elements to correctly record disbursements and
collections to the grant/project level subsidiary.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. To U.S. Treasury--for transactions such as disbursements of funds and related adjustments;
</p><p>2. To Internal Revenue Service--for reporting payments for goods and services and for reporting of discharge
indebtedness;
</p><p>3. To consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from the
system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal
Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)). The disclosure is limited to information necessary to establish the
identity of the individual, including name, social security number, and address; the amount, status, history of the
claim, and the agency or program under which the claim arose for the sole purpose of allowing the consumer reporting
agency to prepare a credit report.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers. Paper printouts or original input documents are stored in locked file cabinets
at HUD or as imaged documents on magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number, schedule number, receipt number, voucher number, and contract
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All HUD employees have undergone background investigations. HUD buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures. Access is restricted to authorized personnel or
contractors whose responsibilities require access. System users must take the mandatory security awareness training
annually as mandated by the Federal Information Security Management Act (FISMA). Users must also sign a Rules of Behavior
form certifying that they agree to comply with the requirements before they are granted access to the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records are maintained indefinitely and destroyed in accordance with schedule 20 of the National
Archives and Records Administration General Records Schedule as specified in HUD Handbook 2225.6 Records Disposition
Schedule Appendix 14, HUD Handbook 2228.1 Records Disposition Schedule Management Chapter 9, and HUD Handbook 2228.2
General Records. Other materials, including hard copy printouts derived from electronic records created on an ad hoc
basis for reference purposes or to meet day-to-day business needs, are burned when the agency determines that they are no
longer needed for administrative, legal, audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 3100, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act Officer, Department of
Housing and Urban Development, 451 Seventh Street, SW., Room 4178, Washington, DC 20410 (Attention: Capitol View
Building, 4th Floor). Provide verification of your identity by providing two proofs of official identification. Your
verification of identity must include your original signature and must be notarized. The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information
is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street, SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410;
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from the individual who is the subject of these records, current and former
HUD personnel, financial institutions, private corporations or business partners, and Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fy" toc="yes">
<systemNumber>/CFO/FY.04</systemNumber>
<subsection type="systemName">Integrated Automated Travel System (IATS, H18).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>CFO Accounting Center in Fort Worth, Texas 76102.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD relocating employees, HUD System Administrators, HUD System Examiners.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains the following employee information: name (as it appears on government-issued driver's license or
passport), social security number, home address, marital status, spouse name, and number of children. The records in this
system include: vendor ID or other unique 9-digit numbers, disbursements, travel authorizations (origin and destination
of relocation, authorized entitlements, dependent's names and dates of birth), and payments made to individual (amount
approved, taxes deducted, amount paid to employee, date of payment).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784); 31 USC 3511, 3512 and 3523; 5
U.S.C. Chapter 57. The personally identifiable information associated with IATS is needed to compute entitlements based
on 41CFR Chapter 302. These entitlements are considered to be taxable by IRS; W-2's must be prepared and mailed to
employees at year end. The Housing and Community Development Act of 1987, 42 U.S.C.3543 authorizes HUD to collect the
SSN.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system of records is to plan, authorize, arrange, process and manage official HUD relocation, to
maintain records on current HUD employees who are relocating to another office location within HUD and have been approved
for relocation entitlements, and to record relocation disbursements in order to compute and record taxes and W-2s.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual if the disclosure is
compatible with the purpose for which the record was collected under the following routine uses:
</p><p>1. To IRS and the SSA to generate quarterly 941's and annual W-2's to fulfill its statutory reporting of wage
and income reporting requirements to IRS and SSA.
</p><p>2. To GSA in the form of invoices to enable the GSA to perform post audit of the invoices paid by HUD directly to the
Household Good Shippers.
</p><p>3. To an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity
investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance,
complaint, or appeal filed by an employee to whom the information pertains. If HUD denies claims, HUD employees can
appeal to the GSA Civilian Board of Contract Appeals.
</p><p>4. To Officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.
</p><p>5. To a travel services provider for billing and refund purposes.
</p><p>6. To a carrier or an insurer for settlement of an employee claim for loss of or damage to personal property incident
to service under 31 U.S.C. 3721, or to a party involved in a tort claim against the Federal government resulting from an
accident involving a traveler.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Each individual relocatee has a folder with hard copies of these documents which are stored in secure cabinets in the
file room under lock and key within the Travel and Relocation Branch Office in Fort Worth, Texas. Electronic files are
supported by the HITS contract on a server physically located in Charleston, WV.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All HUD employees have undergone background investigations. HUD buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures. Access is restricted to authorized personnel or
contractors whose responsibilities require access. System users must take the mandatory security awareness training
annually as mandated by the Federal Information Security Management Act (FISMA). Users must also sign a Rules of Behavior
form certifying that they agree to comply with the requirements before they are granted access to the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records are maintained indefinitely and destroyed in accordance with schedule 20 of the National
Archives and Records Administration General Records Schedule as specified in HUD Handbook 2225.6 Records Disposition
Schedule Appendix 14, HUD Handbook 2228.1 Records Disposition Schedule Management Chapter 9, and HUD Handbook 2228.2
General Records. Other materials, including hard copy printouts derived from electronic records created on an ad hoc
basis for reference purposes or to meet day-to-day business needs, are burned when the agency determines that they are no
longer needed for administrative, legal, audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 3100, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act Officer, Department of
Housing and Urban Development, 451 Seventh Street SW., Room 4178, Washington, DC 20410. (Attention: Capitol View
Building, 4th Floor). Provide verification of your identity by providing two proofs of official identification. Your
verification of identity must include your original signature and must be notarized. The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information
is needed, contact:
</p><p>1. In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410;
</p><p>2. In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from the individual who is the subject of these records, the documents
created from this information to facilitate the relocation, household goods carriers, and document information from
HUDCAPS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fy5" toc="yes">
<systemNumber>/CFO/FY.05</systemNumber>
<subsection type="systemName">Personal Services Cost Subsystem (PSCS, A75I).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters in Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former HUD employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains the following employee information: name, social security number, and payroll costs. Also
included are HUD organizational code, pay rate, grade, pay and leave records, health benefits, debts owed to the
government as a result of overpayment, refunds owed, and time and attendance records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784). Public Law 97-255,
Financial Integrity Act, 31 U.S.C. 3512, authorizes the Department of Housing and Urban Development (HUD) to collect all
the information that will be used by HUD to protect data from fraudulent actions. The Housing and Community Development
Act of 1987, 42 U.S.C.3543 authorizes HUD to collect the SSN.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To obtain payroll costs from NFC, a bureau of the Department of Agriculture. Additionally, PSCS converts the NFC codes
to HUD organizational codes and transits the converted codes and payroll costs to HUD's Central Accounting and Program
System (HUDCAPS) for accounting of the payroll. PSCS is necessary since it sends HUD's payroll costs to HUDCAPS and
impacts HUD's financial reporting to the Office of Management and Budget (OMB). There is no public access to this system.
This is for internal use only. The system has 8 users with update privileges.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual in accordance with its
discretionary disclosures, when such disclosure is compatible with the purpose for which the record was collected. Refer
to this notice "Prefatory Statements of General Routine Uses" section for a description of these disclosures.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers. There are no paper records that are maintained for this system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number, and HUD organizational code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All HUD employees have undergone background investigations. HUD buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures. Access is restricted to authorized personnel or
contractors whose responsibilities require access. System users must take the mandatory security awareness training
annually as mandated by the Federal Information Security Management Act (FISMA). Users must also sign a Rules of Behavior
form certifying that they agree to comply with the requirements before they are granted access to the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records are maintained indefinitely and destroyed in accordance with schedule 20 of the National
Archives and Records Administration General Records Schedule as specified in HUD Handbook 2225.6 Records Disposition
Schedule Appendix 14, HUD Handbook 2228.1 Records Disposition Schedule Management Chapter 9, and HUD Handbook 2228.2
General Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 3100, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act Officer, Department of
Housing and Urban Development, 451 Seventh Street SW., Room 4178, Washington, DC 20410. (Attention: Capitol View
Building, 4th Floor). Provide verification of your identity by providing two proofs of official identification. Your
verification of identity must include your original signature and must be notarized. The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information
is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410;
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from official personnel records of employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fy6" toc="yes">
<systemNumber>/CFO/FY.06</systemNumber>
<subsection type="systemName">Financial Data Mart (FDM, A75R).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, Washington, DC 20410 and Hewlett-Packard Data Center, South Charleston, WV 25303.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Grant, subsidy, project, and loan recipients; HUD personnel; vendors; brokers; bidders; managers; individuals within
Disaster Assistance Programs: builders, developers, contractors, and appraisers; subjects of audits.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains the following employee/vendor (non-employee) information: name, social security number, address,
and financial data. Also included are funds control records, accounts receivable records, purchase order and contract
records, travel records including orders, vouchers, and advances, payment voucher records, deposit and receipt records,
disbursement and cancelled check records, and financial records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784); Chief Financial Officers Act
of 1990; The Housing and Community Development Act of 1987, 42 U.S.C.3543 authorizes HUD to collect the SSN.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To allow the Department decision makers to view financial data in desired report format. Financial Data Mart (FDM) is
a warehouse of data extracted from a variety of the Department's financial systems and supported by a number of query
tools for the purpose of improved financial and program data reporting. FDM is the primary reporting tool used to
generate internal ad-hoc reports, scheduled event driven reports, and queries. This system supports program area
managers, budget officers, and management staff by providing centralized, uniform financial information, event driven
reports, and an ad-hoc financial analysis tool.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual in accordance with its
discretionary disclosures, when such disclosure is compatible with the purpose for which the record was collected. Refer
to this notice "Prefatory Statements of General Routine Uses" section for a description of these disclosures.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers. There are no paper records that are maintained for this system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number, home address, user-id, deposit account number, and bank routing
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All HUD employees have undergone background investigations. HUD buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures. Access is restricted to authorized personnel or
contractors whose responsibilities require access. System users must take the mandatory security awareness training
annually as mandated by the Federal Information Security Management Act (FISMA). Users must also sign a Rules of Behavior
form certifying that they agree to comply with the requirements before they are granted access to the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records are maintained indefinitely and destroyed in accordance with schedule 20 of the National
Archives and Records Administration General Records Schedule as specified in HUD Handbook 2225.6 Records Disposition
Schedule Appendix 14, HUD Handbook 2228.1 Records Disposition Schedule Management Chapter 9, and HUD Handbook 2228.2
General Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 3100, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act Officer, Department of
Housing and Urban Development, 451 Seventh Street, SW., Room 4178, Washington, DC 20410. (Attention: Capitol View
Building, 4th Floor). Provide verification of your identity by providing two proofs of official identification. Your
verification of identity must include your original signature and must be notarized. The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information
is needed, contact:
</p><p>(i.) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street, SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410;
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from the individual who is the subject of these records and Federal
agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="cfo6" toc="yes">
<systemNumber>/CFO-06
</systemNumber>
<subsection type="systemName">Financial Data Mart (FDM, A75R).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Financial data, limited personnel data, vendor data, and customer data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide the Department decision makers with an online, web enabled data warehouse. FDM is
the primary reporting tool used to
generate internal ad-hoc reports, scheduled event driven reports, and queries. This system supports
program area managers, budget officers,
and management staff by providing centralized, uniformed financial information, event driven
reports, and an ad-hoc financial analysis tool.
FDM supports essential functions of the Office of Housing (OH), Office of Public and Indian Housing
(PIH), Office of Community Planning and
Development (CPD), Policy Development and Research (PDR), and other HUD support offices. There is no
public access to this system. This system
is for internal use only.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Including categories of users and the purposes of such uses: In addition to those
disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, other routine uses are as follows: The system is used as a data
warehouse. It contains personal data about
individuals including names, addresses, and social security numbers. It is used by the Department
for analysis, management reports, and
interagency reporting. There are over 400 users with customized report capability.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hard copy documents are stored in the secure cabinets; electronic files are stored on
servers
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By social security number; name; address; user-id; deposit account number; routing number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Background screening, limited authorizations and access, security guards; computer records
are maintained in secure areas with access
limited to authorized personnel and technical restraints employed with regard to accessing the
records; access to automated systems by
authorized users by passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Are in accordance with GSA schedules of retention and disposal. HUD Handbook 2225.6 Records
Disposition Schedule Appendix 14, HUD
Handbook 2228.1 Records Disposition Schedule Management Chapter 9, and HUD Handbook 2228.2 General
Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Gail B. Dise, Assistant Chief Financial Office for Systems, Office of the Chief Financial
Officer, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 3100, Washington, DC 20410, Telephone Number (202) 708
-1757.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate 451 Seventh
Street, SW., Room 4178, Washington, DC, in accordance with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the Department of Housing and Urban
Development (HUD), 451 Seventh Street, SW.,
Room 4178, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appears in 24 CFR part 16.
If additional information is needed,
contact (i) in relation to contesting contents of records, the Privacy Act Officer at HUD, 451
Seventh Street, SW., room 4178, Washington, DC
20410; and (ii) in relation to appeals of initial denials, HUD, Departmental Privacy Appeals
Officer, Office of General Counsel, 451 Seventh
Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; other individuals; financial institutions, private corporations or
firms doing business with HUD; Federal
agencies; HUD personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept1" toc="yes">
<systemNumber>/DEPT-1
</systemNumber>
<subsection type="systemName">Accidents, Employees and/or Government Vehicles.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Most Department Offices, including the Headquarters Office. For a
complete listing of these officers, with
addresses, see Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> HUD employees in on-the-job accidents,
including accidents involving official use
of motor vehicles.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Details of how accidents occurred and injuries were
sustained; employees' absences due to injuries
and resultant claims; and property damage incurred.</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Occupational Safety and Health Act of
1970, Pub.L. 91-596.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs
in prefatory statement. Other routine uses; the records are used by the Department of Labor when
personal injury occurs and/or compensations
is involved. GSA uses the records when accidents involve motor vehicles and the repair of those
vehicles.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Subject name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> The systems records are kept in lockable file cabinets, desks, and in locked
rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Procedural disposal follows: HUD Handbook General Records
Schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Policy Evaluation and Special Projects
Division, Office of Administrative Services,
Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix
A, (ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individual and supervisor, Federal Government
agencies; law enforcement agencies; current or
previous employers; accident investigation officers.
</p></xhtmlContent></subsection></section>
<section id="dept2" toc="yes">
<systemNumber>/DEPT-2
</systemNumber>
<subsection type="systemName"> Accounting Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices, with addresses, see
appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors; mortgagees; grant/project and loan applicants and recipients; HUD personnel;
vendors; brokers; bidders; managers; tenants;
individuals within Disaster Assistance Programs: builders, developers, contractors, and appraisers;
individuals writing to the Department;
employees on HUD/FHA projects; investors; subjects of audits; closing agents; former mortgagors and
purchasers of HUD-owned properties;
manufactured (mobile) home and home improvement loan debtors who are delinquent or in default on
their loans; and, rehabilitation loan debtors
who are delinquent or in default on their loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Lease and collection register; schedules of payments receivable and received; premiums due;
claims files and fee billing statements;
escrow and Certificates of Deposit files; cash flow and budget control files; earnest money
register; purchase order log; imprest fund; Field
managers' accounting records: Restitution, maintenance, and market expresses; distributive shares
records; salary; savings bonds; bills of
lading; vouchers; invoices; receipts; cancelled checks; mortgages, builders' and contractors'
financial statements, records and audit reports;
requests for termination for home mortgage insurance; deposit and receipt records; detailed
accounting reports concerning diversified
payments, disbursements, and cancelled checks; repurchases of mortgages; adjustments from
recoveries, manual adjustments, and defaults;
acquired home property records; sales closing papers; statement of accounts; tax records; notes;
records of claims and chargeoffs; repayment
agreements; credit reports; financial statements; records of foreclosures; and, collection and field
reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To the U.S. Treasury--for disbursements and adjustments thereof.
</p><p>(b) To the Internal Revenue Service--for reporting of sales commissions and for reporting of
discharge indebtedness.
</p><p>(c) To the General Accounting Office, General Services Administration, Department of Labor, Labor
housing authorities, and taxing
authorities--for audit, accounting and financial reference purposes.
</p><p>(d) To mortgage lenders--for accounting and financial reference purposes, for verifying
information provided by new loan applicants
and evaluating creditworthiness.
</p><p>(e) To HUD contractors--for debt and/or mortgage note servicing.
</p><p>(f) To financial institutions that originated or serviced loans--to give notice of
disposition of claims.
</p><p>(g) To title insurance companies--for payment of liens.
</p><p>(h) To local recording offices--for filing assignments of legal documents, satisfactions,
etc.
</p><p>(i) To the Defense Manpower Data Center (DMDC) of the Department of Defense and the U.S. Postal
Service to conduct computer matching
programs for the purpose of identifying and locating individuals who are receiving Federal salaries
or benefit payments and are delinquent in
their repayment of debts owed to the U.S. Government under certain programs administered by HUD in
order to collect the debts under the
provisions of the Debt Collection Act of 1982 (Pub. L. 97-365) by voluntary repayment, or by
administrative or salary offset procedures.
</p><p>(j) To any other Federal agency for the purpose of effecting administrative or salary offset
procedures against a person employed by the
agency or receiving or eligible to receive some benefit payments from the agency when HUD as a
creditor has a claim against that person.
</p><p>(k) With other agencies; such as, Departments of Agriculture, Education, Justice and Veteran
Affairs, and the Small Business Administration
--for use of HUD's Credit Alert Interactive Voice Response System (CAIVRS) to prescreen
applicants for loans or loans guaranteed by the
Federal Government to ascertain if the applicant is delinquent in paying a debt owed to or insured
by the Government.
</p><p>(l) To the Internal Revenue Service by computer matching to obtain the mailing address of a
taxpayer for the purpose of locating such
taxpayer to collect or to compromise a Federal claim by HUD against the taxpayer pursuant to 26
U.S.C. 6103(m)(2) and in accordance with 31
U.S.C. 3711, 3217, and 3718.
</p><p>(m) To a credit reporting agency for the purpose of either adding to a credit history file or
obtaining a credit history file on an
individual for use in the administration of debt collection.
</p><p>(n) To the U.S. General Accounting Office (GAO), Department of Justice, United States Attorney,
or other Federal agencies for further
collection action on any delinquent account when circumstances warrant.
</p><p>(o) To a debt collection agency for the purpose of collection services to recover monies owned to
the U.S. Government under certain
programs or services administered by HUD.
</p><p>(p) To any other Federal agency including, but not limited to the Internal Revenue Service (IRS)
pursuant to 31 U.S.C. 3720A, for the
purpose of effecting an administrative offset against the debtor for a delinquent debt owned to the
U.S. Government by the debtor.
</p><p>(q) To the Resolution Trust Corporation--to prescreen potential contractors for bad debts
prior to acquiring their services.
</p><p>(r) To other Federal Agencies--for the purpose of debt collection.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made from the record system to
consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966, 31
U.S.C. 3701(a)(3)). The disclosure is limited to information necessary to establish the identity of
the individual, including name, address
and taxpayer identification number (Social Security Number); the amount, status, and history of the
claim, and the agency or program under
which the claim arose for the sole purpose of allowing the consumer reporting agency to prepare a
credit report.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Desks: Safes; locked filing cabinets; central files; book cases; ledger trays and binders;
tables; magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By Social Security number; name; case file number; schedule number; audit number; control
number; receipt number; voucher number;
contract number; address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Security checks, limited authorizations and access, security guards; computer records are
maintained in secure areas with access
limited to authorized personnel and technical restraints employed with regard to accessing the
records; access to automated systems by
authorized users by passwords and code identification cards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>GSA schedules of retention and disposal; destruction after six months; transfer to either a
Federal Records Center or Archives.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Finance and Accounting, Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rule for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
initial denials, the HUD Department Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; other individuals; current or previous employers; credit bureaus;
financial institutions; private corporations or
firms doing business with HUD; Federal and non-federal governmental agencies; HUD personnel.
</p></xhtmlContent></subsection></section>
<section id="dept4" toc="yes">
<systemNumber>/DEPT-4
</systemNumber>
<subsection type="systemName">Fee Inspectors and Appraisers.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Home Ownership Centers in Atlanta, Denver, Philadelphia and Santa Ana.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have applied to HUD for appointment as roster appraisers, and fee
inspectors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications and r[eacute]sum[eacute]s containing personal data and qualifications for
position sought; assignment logs, fees paid and
appraisals made; and evaluation of qualifications and of appraisals made.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 203 and 226 of the National Housing Act, Pub. L. 73-479.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To roster appraisers for appraisal preparation;
</p><p>(b) To VA, mortgagors, mortgagees notice of FHA action, billing;
</p><p>(c) To local government officials for code enforcement, health and wetlands clearance;
</p><p>(d) To Environmental Protection Agency for environmental clearance;
</p><p>(e) To Social Security Administration for research.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>CHUMS.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name; case file number (in some cases).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Lockable file cabinets and desks.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Primarily active information; also mixed historical and active. Social Security appraisals
are historical data. Disposal in accordance
with HUD Handbook 2225.6, Records Disposition Management HUD Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Single Family Home Mortgage Insurance Division, HUAHM, Department of Housing and
Urban Development, 451 Seventh Street, SW.,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For inquiry about existence of records, contact the Privacy Officer at the appropriate
location, in accordance with procedures in 24
CFR part 16. If additional information or assistance is required, contact the Privacy Officer at the
appropriate location. A list of all
locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate locations. A list of all locations is given in
Appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; references; and HUD staff.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept5" toc="yes">
<systemNumber>/DEPT-5
</systemNumber>
<subsection type="systemName"> Architects and Engineers.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Certified architects and engineers
dealing with HUD, both directly and on a
consultant basis.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Applications containing personal data and
qualifications for position sought and assignment
logs and fees paid.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> National Housing Act, as amended, 12 U.S.C.
1702 et seq.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine Uses
Paragraph of prefatory statement. Other routine uses: To General Accounting Office--
investigation and annual audit; to the U.S Forest
Service, Bureau of Indian Affairs, Corps of Engineers, HHS, and Farmers Home Administration for
reference and information; to builders and
other individuals dealing with HUD--for planning and specifications review.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Subject name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Files are kept in file cabinets, in desks and on shelves. Access is limited
by locks, by security checks, or by
authorized individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Most files are kept active and up-to-date. Some files are partly
current and partly historical. Files are
destroyed per regulation or stored at a federal records center one year after last date of
commitment.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Single Family Development Division, HSSI,
Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned appear in 24 CFR part 16. If additional information or assistance is needed, it
may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix
A; (ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individuals and references.
</p></xhtmlContent></subsection></section>
<section id="dept10" toc="yes">
<systemNumber>/DEPT-10
</systemNumber>
<subsection type="systemName">Single Family Construction Complaints Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia,
and Santa Ana.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors of insured single family homes that have filed construction complaints with HUD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Complaints regarding construction and defects; inspection reports; records of complaint
status and disposition; compliance reports;
related correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act, as amended, 12 U.S.C. 1702 et seq.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To complainants and attorneys representing them to review complainant files for status and
information.
</p><p>(b) To the person or firm complained about for resolution of the complaint.
</p><p>(c) To the Department of Veterans Affairs or the Rural Housing Service for coordination with HUD
in processing construction complaints.
</p><p>(d) To Congressional delegations to provide information concerning status of complaints.
</p><p>(e) To originating and servicing mortgagees to provide information concerning status of
complaint.
</p><p>(f) To state agencies for investigation.
</p><p>(g) To the FBI to investigate possible fraud revealed in the course of the complaint review.
</p><p>(h) To Department of Justice for prosecution of fraud revealed in the course of complaint review.
</p><p>(i) To IRS for investigation.
</p><p>(j) To General Accounting Office (GAO) for audit purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name of subject individual; case file number, property location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in lockable file cabinets with access limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are partly current and partly historical; disposal is in accordance with HUD
Handbook 2225.6, Records Disposition Management;
HUD Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Home Mortgage Insurance Division, HUAH, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
Appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subjects and other individuals, builders and contractors and their current and previous
employees, credit bureaus and financial
institutions; Federal and non-Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept20" toc="yes">
<systemNumber>/DEPT-20
</systemNumber>

<subsection type="systemName">Single Family Homeownership Assistance Application and Recertification.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Participants in Section 235 Homeownership Assistance Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain identifying information about mortgagors, such as name, social security
number, and address as well as information on
income, assets, and family composition required to determine subsidy payment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act of 1934, Sec. 235(a)(f)(as amended by sec. 101 of the Housing and Urban
Development Act of 1968), 12 U.S.C.
1715z.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(a)  To the servicing mortgagee to give notice of miscalculations or other errors in subsidy
computation.
</p><p>(b)  To IRS to report subsidy amounts as income.
</p><p>(c)  To title insurance companies or financial institutions for payoff figures.
</p><p>(d)  To the FBI to investigate possible fraud revealed in the course of servicing efforts.
</p><p>(e)  To Department of Justice for prosecution of fraud revealed in the course of servicing
efforts and for the institution of suit or other
proceedings to effect collections.
</p><p>(f)  To General Accounting Office for audit purposes.
</p><p>(g)  To welfare agencies for fraud investigation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in case files and on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Manual records are retrieved by case file number; automated records are retrieved by case
file number, mortgagor name and social
security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer facilities are secured and accessible only by authorized personnel, and all files
are stored in a secured area.  Technical
restraints are employed with regard to accessing the computer and data files.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records system is active and kept up-to-date.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Program Accounting Division, FBBP, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the Headquarters location, in
accordance with 24 CFR part 16.  This location is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned, appear
in 24 CFR part 16.  If additional
information or assistance is required, contact the Privacy Act Officer at Headquarters.  The
location is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16.  If additional information or assistanceis needed it may be obtained by contacting: (i)
In relation to contesting contents of
records, the Privacy Act Officer at the Headquarters location.  This location is given in Appendix
A; (ii) in relation to appeals of initial
denials, the HUD Department Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Mortgagors' applications and recertifications of income.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
Retention and
</p></xhtmlContent></subsection></section>
<section id="dept22" toc="yes">
<systemNumber>/DEPT-22
</systemNumber>
<subsection type="systemName"> Housing Counseling.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices, with addresses, see
appendix A. In addition to these offices,
HUD-approved counseling agencies in many cities, both voluntary and paid by the Department, maintain
files of this type. To determine whether
such an agency exists in a particular city, contact the nearest HUD field office shown in appendix
A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records of individuals who have been referred but not counseled;
individuals who have been or are receiving
counseling and assistance with housing problems and related family and financial problems, as well
as individuals seeking general and consumer
information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains records of dates of counseling, summaries of aid furnished the
individual being counseled, correspondence with or
on behalf of the individual being counseled, standard forms, letters and reports, purchase and
financial data, medical history, employment
information and problems, family composition, referral information and specific family and/or
individual problems.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 106(a) of the 1968 Housing Act; 12 U.S.C. 1701x.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other routine uses: to HUD-approved
counseling agency staff for the purpose of
providing supportive counseling services to meet the short and long term needs of the individual
being counseled. Financial institutions
servicing HUD insured or assisted loans; local housing authorities; rental agents and managers; real
estate brokers, agents and creditors have
access only to current financial, employment and family composition data regarding persons currently
being counseled. Data available to these
institutions and individuals in such circumstances is limited to: Savings/checking/credit union
account records, commercial credit reports,
and credit account records with utility companies, retail stores, and other commercial credit
sources; specific employment information
concerning name and address of employer, length of service, and salary; and family composition data
through the authorized counseling agency
or HUD staff. Community service agencies to which the individual being counseled is referred for
additional supportive services have limited
access to information appropriate to the reason for referral only through authorized counseling
agency staff.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are stored in paper files which are kept in standard lockable file cabinets and
desks.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, case number, or property address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>During the counseling process and the retention period, records are maintained in
confidential files with access limited to those
whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Counseling records are maintained by the counseling agency for as long as the individual
being counseled participates in the program
and up to five (5) years thereafter. The Department may maintain summary records of the counseling
for as long as the individual being
counseled lives in HUD-insured or assisted property.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Single Family Loan Servicing Division, HSSL
</p><p>Department of Housing and Urban Development
</p><p>451 Seventh Street, SW
</p><p>Washington, DC 20410
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officers, Office of General Counsel,
Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is: (1) Supplied directly by the individual, and/or
(2) supplied by a member of the individual's
family, and/or (3) supplied by mortgages, employers (past and present), creditors and credit
reports, landlords (both public and private)
and/or (4) supplied by sources to whom the individual being counseled has been referred, or has gone
to for assistance, and/or (5) derived
from information supplied by the individual, and/or (6) supplied by Department officials and/or (7)
supplied by program counselors
</p></xhtmlContent></subsection></section>
<section id="dept23" toc="yes">
<systemNumber>/DEPT-23
</systemNumber>
<subsection type="systemName"> Single-Family Research Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters Office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Single-family mortgagors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Sample of single-family home cases for most recent
five-year period.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> National Housing Act of 1934 (Pub.L. 73-
479), Sec. 209.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine Uses
paragraphs in prefatory statement. Other routine uses: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name; case file number; property address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Computer facilities are secured and accessible only by authorized personnel,
and all files are stored in a secured
area. Technical restraints are employed with regard to accessing the computer and data files.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records system is active and kept up-to-date.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Chief, Single Family Insured Branch, Management
Information Systems Division, HAI, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at
Headquarters. This location is given in appendix
A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the Headquarters location.
This location is given in appendix A; (ii)
in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individuals; financial institutions; federal
government agencies.
</p></xhtmlContent></subsection></section>
<section id="dept25" toc="yes">
<systemNumber>/DEPT-25
</systemNumber>
<subsection type="systemName"> Legal Actions Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices, with addresses, see
appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Litigants; potential and past claimants against the government.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Threatened, pending and past litigation involving HUD as a party; summons; writs;
indictments; pleadings; decisions; legal memoranda;
litigation reports; deposition; deficiencies on court judgments; notices of levy; settlement
negotiations; legal rulings; claims against the
government; employee claims.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>42 U.S.C 3533; 42 U.S.C. 3535.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other routine uses: To Justice
Department--information for purposes of
litigation, and representation of HUD before the courts and performance of all legal work incident
thereto; to HHS--for investigation and
litigation; to IRS--for investigation, litigation and collection of levies; to Local Housing
Authorities--for investigation and
litigation; to local governments--for investigation and litigation; to parties to litigation
--to provide status and facts in
litigations; to private individuals and corporations--to assist co-defendants or to provide
documents and information as required by the
Federal Rules or Civil Procedure; various uses under the Freedom of Information Act; to other
Federal agencies for the purpose of collecting
debts owed to the Federal Government by administrative or salary offset.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15 1681a(f) or the Federal Claims Collection Act of
1966 31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, case names; case numbers assigned by courts.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records maintained in locked and lockable metal file cabinets with access limited to
authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are partly active and partly historical; disposal in accordance with HUD Handbook.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Administrative Services Staff, Office of General Counsel, GA, Department of
Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individuals concerned appear
in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer at the appropriate location.
A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by containing:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
Appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; other individuals; current or previous employers; financial
institutions; firms and corporations; Federal
government agencies; non-Federal government agencies; and Federal, state, and local courts.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory material in the record which
meets the criteria of these subsections is
exempted from the notice, access, and contest requirements (under 5 U.S.C. 552a(3), (d), (e)(1), (e)
(4)(G), (H), and (I) and (f) of the agency
regulations in order for the Department's legal staff to perform its functions properly.
</p></xhtmlContent></subsection></section>
<section id="dept28" toc="yes">
<systemNumber>/DEPT-28
</systemNumber>
<subsection type="systemName"> Property Improvement and Manufactured (Mobile) Home Loans--
Default.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices, with addresses, see
appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Manufactured (mobile) home and home improvement loan debtors who are delinquent or in
default on their loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names, credit applications, Social Security Number where available, case histories of
borrowers; records of payment; financing
statements; notes; mortgages and other evidences of indebtedness; delinquent and defaulted loan
records and account cards; collection and
field reports; records of claims and chargeoffs; creditor requests for collection assistance;
justifications for closing collection action;
related correspondence and documents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title I, Sec. 2, National Housing Act, 12 U.S.C. 1703; Federal Claims Collection Act of 1966
(Sec. 1, Pub. L 89-506).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To the Department of Justice for prosecution of fraud in the course of claims collection
efforts and for the institution of suit or
other proceedings to effect collection of claims.
</p><p>(b) To the FBI to investigate possible fraud revealed in the course of claims collection efforts.
</p><p>(c) General Accounting Office for audit purposes.
</p><p>(d) Private employers and Federal agencies to facilitate collection of claims against employees.
</p><p>(e) Office of Personnel Management for offsetting retirement payments.
</p><p>(f) Consumer reporting and commercial credit agencies to facilitate claims collection consistent
with Federal Claims Collection Standards,
4 CFR 102.4.
</p><p>(g) To financial institutions that originated or serviced loans to give notice of disposition of
claims.
</p><p>(h) To title insurance companies for payment of liens.
</p><p>(i) To local recording offices for filing assignments of legal documents, satisfactions, etc.
</p><p>(j) To bankruptcy courts for filing of proofs of claim.
</p><p>(k) To HUD contractors for debt servicing.
</p><p>(l) To state motor vehicle agencies and Internal Revenue Service to obtain current addresses of
debtors.
</p><p>(m) To prospective purchasers--for sale of mortgages, loans, or insurance premiums or
charges.
</p><p>(n) To other Federal agencies--for the purpose of debt collection.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15 U.S.C. 1698a(f) or the Federal Claims Collection Act
of 1966, 31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders and on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Claim number, name or other identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual files are kept in lockable cabinets or rooms; automated records are maintained in
secured areas. Access to either type of
record is limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are partly active and partly historical and are disposed of in accordance with HUD
Handbook 2225.6, Records Disposition
Management: HUD Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Title I Insured Loans, HSI, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Deparetment's rules for providing access to records to the individual concerned appear
in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer at the appropriate location.
A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials
by the individual concerned appear in 24
CFR part 16. If additional information or assistance is needed, in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual; current and previous employers; credit bureaus; financial institutions;
business firms; federal and non-federal
agencies; law enforcement agencies; title companies and abstractors; bankruptcy courts.
</p></xhtmlContent></subsection></section>
<section id="sfh1" toc="yes">
<systemNumber>/SFH/HWS.1</systemNumber>
<subsection type="systemName">Federal Housing Administration Loan Sale File--Replacement for the Delinquent/Default/Assigned/Temporary Mortgage Assistance
Payments Program.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>451 Seventh Street SW., Washington, DC 20410. Debt Exchange, Inc., 133 Federal Street, 10th Floor, Boston, MA 02110 will maintain
some records on the loan sale program, and NARA for archival purposes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors with HUD/FHA insured single-family mortgages that are delinquent or in default; mortgagors seeking assistance to
prevent foreclosures; and mortgagors whose mortgages are held by HUD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in this system consist of the following information which is provided to HUD by mortgage servicing entities that include:
Mortgage loan origination information and servicing histories, loss mitigation and payment histories, notices of delinquent
mortgages, FHA case numbers, current unpaid principal balance, current scheduled principal and interest payment, current interest
rate, day month and year through which the mortgage is paid, date of last payment, amount of last payment, payments in last 12
months, escrow balance, mortgage rate, origination date, original balance, first payment date, maturity date, original term,
remaining months to maturity, payment frequency, date of last modification, manner in which title held, subordinate liens and lien
priority, original appraised value, original loan
to value ratio, borrower credit scores and date of credit report, borrowers' current income, mortgage debt to income ratios, borrower
employment status, date foreclosure initiated, borrower bankruptcies, date loan referred for foreclosure, date of complaint or
petition for foreclosure, date of foreclosure sales, deeds of trust; and related correspondence. In addition, records in the system
will include loan payment performance information and information pertaining to the history of the servicing of the loan, which
include the number of default episodes, the length of the between loan origination and the first default episode, and information
pertaining to prior loan modifications files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The authority for maintenance of the system: Sec. 204(g) of the National Housing Act 12 U.S.C. 1710(g).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Federal Housing Administration ("FHA") Loan Sale File is used to make financial information available to
prospective investors purchasing defaulted FHA-insured loans. The FHA insures mortgages on single-family homes and pays insurance
claims to lenders upon the mortgagor's default. After paying an insurance claim submitted by a lender on a defaulted mortgage loan,
the FHA must utilize various disposition strategies to reduce claim costs and maximize recoveries to the mortgage insurance funds.
One such disposition strategy is the FHA Loan Sale Program, which offers pools of defaulted single-family loan for competitive bid at
auction. Investors purchase the loans based on their determination of potential returns following acquisition. In order to maximize
recovery to FHA and enable prospective purchasers to calculate pricing, FHA makes due diligence information available to prospective
bidders. This information consists of detailed loan-level information, which is reviewed by bidders to
evaluate investment potential. The availability of this due diligence information enhances pricing, improves returns, reduces claim
costs and maximizes recovery to the FHA insurance funds.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act. In addition to those disclosures
generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose information contained in this system of records
without the consent of the subject individual in accordance with its discretionary disclosures, when such disclosure is compatible
with the purpose for which the record was collected providing that approval is obtained from the HUD's system manager, only after
satisfactory justification has been provided to the system manager, records may be disclosed. Please refer to HUD discretionary
blanket routine uses[1] to see those uses that may be applicable to this system. Other routine uses applying to
this system are as follows:
</p><p>[1] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.</i>
</p><p>(a) To the Internal Revenue Service for the purpose of administering tax reporting requirements.
</p><p>(b) To General Accounting Office for the purpose of performing audit for investigations, or oversight of operations as authorized
by law, but only such information as is necessary and relevant to such audit or oversight function.
</p><p>(c) To HUD loan sale contractors to assist in the marketing and sale of loans, real estate, or other assets held by the HUD; due
diligence information provided by prospective bidders will be granted pursuant to an executed confidentiality agreement.
</p><p>(d) To prospective purchasers (or any other individual or entities) who have signed an executed confidentiality agreement.
</p><p>(e) To consumer reporting agencies: Disclosure pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures may
be made to a consumer reporting agency as defined in the Fair Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act
of 1966 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders, desks and on computer server, magnetic tapes, drums, and discs, and NARA for archival purposes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name; case file number, property address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in lockable file cabinets; access to automated systems is by passwords and code identification cards access
limited to authorized personnel. Access to due diligence information by prospective purchasers is subject to execution of a
Confidentiality Agreement including specific requirements for the safeguarding of Personally Identifiable Information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All electronic due diligence files received and posted by FHA contractors are returned to FHA's Asset Sales Office at the
expiration of the contract term. Electronic data files returned to HUD by contractors are maintained in accordance with HUD's Records
Disposition Schedule, Handbook 2225.6, 7.1-10; Retain, archive, destroy as designated by schedule. Records can be destroyed
when the destruction date is reached. As such, manual records will be destroyed by shredding or burning; electronic records will be
disposed in accordance with IT Security Handbook 2400.25, 4.7.6.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Asset Sales Office, Department of Housing and Urban Development, 451 Seventh Street SW., insert room number, Washington,
DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Chief Privacy Officer, Department of Housing
and Urban Development, 451 Seventh Street SW., Room 4156, Washington, DC 20410. (Attention: Capitol View Building, 4th Floor).
Provide verification of your identity by providing two proofs of official identification. Your verification of identity must include
your original signature and must be notarized. The Department's rules for providing access to records to the individual concerned
appear in 24 CFR Part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials, by the individual concerned, appear
in 24 CFR Part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at the appropriate location.
</p><p>(ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The source of records are subject individual; other individuals; current or previous employers; credit bureaus; financial
institutions; other corporations or firms; Federal Government agencies; non-federal government (including foreign, state and local)
agencies; law enforcement agencies.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept34" toc="yes">
	<systemNumber>/DEPT-34
</systemNumber>
<subsection type="systemName"> Pay and Leave Records of Employees.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>All Department offices and the Department of Agriculture's National Finance Center. For a
complete listing of Department offices, with
addresses, see appendix A. The address of the National Finance Center is PO Box 60000, New Orleans,
LA 70160.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and separated HUD employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, Social Security Number and employee number, grade, step, and salary; organization,
retirement or FICA data as applicable;
Federal, state, and local tax deductions; regular and optional Government life insurance
deduction(s), health insurance deduction and plan or
code; Thrift Savings Plan participation and contribution; cash award data; jury duty data; military
leave data; pay differentials; union dues
deduction; allotments by type and amount; financial institution code and employee account number;
leave status and data of all types
(including annual, compensatory, jury duty, maternity, military, retirement disability, sick,
transferred, and without pay); time and
attendance records, including sign in/sign out sheets and related documentation; leave applications
and reports; individual daily time
reports; adjustments to time and attendance; overtime reports, supporting data, such as medical
certificates; number of regular, overtime,
holiday, Sunday, and other hours worked; pay period number and ending dates; cost of living
allowances; mailing address; co-owner and/or
beneficiary of bonds; marital status and number of dependents; "Notification of Personnel Actions,"
Congressional requests or inquiries on the
pay/leave problems of employees; court orders; personnel/payroll data requests; information about
the problem received from the employee, an
Administrative Office, or from a personnel employee, including supporting documentation; written
correspondence pertaining to pay/leave
problems; and related information or documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7(d), Department of Housing and Urban Development Act, 42 U.S.C. 3535(d).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other Routine Uses: Transmittal of data
to U.S. Treasury to effect issuance of
paychecks to employees and distribution of pay according to employee directions for savings bonds,
allotments, financial institutions, and
other authorized purposes. Annual reporting of W-2 statements to Internal Revenue Service,
Social Security Administration, the
individual, and taxing authorities of the States, the District of Columbia, territories,
possessions, and local governments, except Social
Security Numbers shall be reported only to such authorities that have satisfied the requirements set
forth in section 7(a)(2)(B) of the
Privacy Act of 1974. To the Office of Personnel Management concerning pay, benefits, retirement
deductions, and other information necessary
for the office to carry on its Governmentwide personnel functions; to other Federal agencies to
facilitate employee transfers; to the
Department of Labor to process workers compensation injury claims; to other Federal agencies for the
purpose of collecting debts owed to the
Federal Government by administrative or salary offset; to the Federal Retirement Thrift Investment
Board to administer the Thrift Savings
Plan; to the Department of Agriculture's National Finance Center for payroll/personnel action,
receipt account, time and attendance, and
administrative overpayment processing; to the Department of Agriculture, Office of Inspector
General, for audits of the payroll personnel
system; to Federal, State, and local agencies to assist in the enforcement of child and spousal
support obligations; to State governments, the
District of Columbia, the Commonwealth of Puerto Rico, and the Virgin Islands to assist in
processing unemployment claims under the
Unemployment Compensation for Federal Employees Program.
</p><p>The names, social security numbers, home addresses, dates of birth, dates of hire, quarterly
earnings, employer identifying information,
and State of hire of employees may be disclosed to the Office of Child Support Enforcement,
Administration for Children and Families,
Department of Health and Human Services for the purpose of locating individuals to establish
paternity, establishing and modifying orders of
child support, identifying sources of income, and for other child support enforcement actions as
required by the Personal Responsibility and
Work Opportunity Reconciliation Act, Pub. L. 104-193).
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15. U.S.C. 1681a(f) or the Federal Claims Collection
Act of 1966, 31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual, machine-readable, and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of employee, Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical, technical, and administrative security is maintained with all storage equipment
and/or rooms locked when not in use.
Admittance, when open, is restricted to authorized personnel only. All payroll personnel, computer
operators, programmers, and other staff are
instructed and cautioned on the confidentiality of the records. Manual files are kept in lockable
desks, file cabinets, and safes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained on site until after GAO audit, then disposed of or transferred to Federal Records
Storage Centers in accordance with fiscal
records program approval by GAO, as appropriate, or General Record Schedules of the General Services
Administration. Generally, records on
employee pay/leave problems are retained in the operating office for three years after a decision
has been made on the problem. For payroll
related records, the retention schedule is the same as that for employee pay and leave records. In
offices not actually processing the
pay/leave problem resolution, problem pay/leave records are retained for six months after a decision
has been made on the problem, and then
may be disposed of.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Systems and Payroll Division, Office of Personnel and Training,
Department of Housing and Urban Development, 451
Seventh Street, Southwest, Washington, DC 20410.
</p>
<p>For information, assistance, or inquiry about the existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with procedures in 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contracting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location (a list of all locations is given in
appendix A) and (ii) in relation to appeals
of initial denials, the Department of Housing and Urban Development Departmental Privacy Appeals
Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, Southwest, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; supervisors; timekeepers; official personnel records; previous
employers; or other Federal Government agencies;
Headquarters or Regional Office personnel responsible for solving pay/leave/time problems; National
Finance Center personnel responsible for
solving pay/leave/time problems; Field Office personnel who have information about pay/leave
problems, banks, other financial institutions,
and courts.
</p></xhtmlContent></subsection></section>
<section id="dept37" toc="yes">
<systemNumber>/DEPT-37
</systemNumber>
<subsection type="systemName"> Personnel Travel System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>All Department offices maintain employee travel records. For a complete listing of offices,
with addresses, see appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD personnel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>All travel records, including vouchers, requests, advances, receipts for requests, orders.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7(d) of the Department of Housing and Urban Development Act of 1965, Pub. L. 89
-174; Budget and Accounting Act of 1950,
31 U.S.C. 66a.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other routine uses: To Treasury--
for payment of vouchers; vouchers and
receipts are available to GAO and GSA for audit purposes and vouchers are verified by private
transporters; to other Federal agencies for the
purpose of collecting debts owed to the Federal Government by administrative or salary offset.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act
of 1966 31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders and on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Almost always retrievable by name, occasionally by Social Security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Lockable desks or file cabinets; computer records are maintained in secure areas with access
limited to authorized personnel and
technical restraints employed with regard to accessing the records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are active and kept up-to-date. Files purged in accordance with HUD Handbook.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Finance and Accounting, Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p><p>For Transportation Requests: Director, Office of Administrative Services, Department of Housing
and Urban Development, 451 Seventh Street
SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appeared
in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer at the appropriate location.
A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
record, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual and supervisors.
</p></xhtmlContent></subsection></section>
<section id="dept43" toc="yes">
<systemNumber>/DEPT-43
</systemNumber>
<subsection type="systemName">Property Disposition Files (A43; A43C; A80S).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, HUD's Philadelphia, Atlanta, Denver and Santa Ana Homeownership Centers
[HOCs] and multiple contractor sites. For a
complete listing of these offices, with addresses, see Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors with HUD/FHA insured single family homes who have had their mortgages foreclosed
and properties acquired by HUD;
individuals who have had their properties acquired by the Department of Defense and transferred to
HUD; single family mortgagors who defaulted
on Section 312 loans and had their properties acquired by HUD; and potential buyers of HUD-held
single-family properties.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Documents pertaining to acquisition of foreclosed HUD/FHA insured single family homes and
single family homes transferred from the
Department of Defense. The documents include names, addresses, loan amounts and payments, and
reasons for default; leases and rental
information if properties are rented; purchasers' family characteristics, income and employment
histories, credit reports, sales contracts,
and settlement costs; and related correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act of 1937 as amended (Pub. L. 75-412).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To IRS for auditing individual income tax returns;
</p><p>(b) To insurance companies to file claims for amounts due;
</p><p>(c) To mortgagees to review the credit of prospective purchasers;
</p><p>(d) To local public authorities to check on acquisition, reuse and sales of real estate;
</p><p>(e) To real estate management and marketing contractors who are performing HUD's property
disposition activities in specific geographic
areas.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders, disks, tapes, electronic records in multiple computer record systems.
Secure records maintenance requirements are
incorporated into the real estate marketing and management contracts.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>FHA Case number, property address, and by former mortgagor's name. Data on a current/recent
purchaser of a HUD owned property.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Lockable file cabinet; secured computer facilities at HUD and at the contractor's offices.
There are background checks of all
Contractor staff. Computer access to multiple HUD record systems is restricted by passwords, defined
individual access profiles, restricted
access to specified data fields. Data Transmission over secure T-1 and Shiva lines.
Information about the properties is available to the
public via the Internet for marketing purposes. However, information covered by the Privacy Act of
1974 and the Right to Financial Privacy Act
(12 U.S.C. 3401) is not incorporated in any Internet site.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Obsolete records are destroyed or sent to storage facility in accordance with HUD Handbook.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Single Family Asset Management Division, HUAM, Office of Single Family Housing,
Department of Housing and Urban Development,
451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
Appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>HUD/FHA Claims for Insurance Benefits, subject individuals; other individuals; current or
previous employers; credit bureaus;
financial institutions; other corporations or firms; federal government agencies; non-federal
(including foreign, state and local) government
agencies; real estate brokers and agents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept44" toc="yes">
<systemNumber>/DEPT-44
</systemNumber>
<subsection type="systemName"> Relocation Assistance Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Displaced persons and relocation
claimants who have filed grievances.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Names of relocation claimants; family
characteristics; personal and family financial data;
relocation needs and problems; claims; documentation and evaluation of claims; recommendations;
inquiries and grievances; responses to
grievances; audits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970 (Pub. L.
91-646), Sec. 205(c)(2), 42 U.S.C. 4625.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine Uses
paragraphs in prefatory statement. Other routine uses: To GAO--for audit purposes; to the
Department of Justice--for investigation
and prosecution; to local public agencies--for processing, training and monitoring purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By name and case file number of subject individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Stored in lockable file cabinets; access limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Files are partly active and partly historical, disposal is in
accordance with HUD Handbook.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Relocation and Real Estate Division, Office of Urban
Rehabilitation and Community Reinvestment
Community Planning and Development, Department of Housing and Urban Development, 451 Seventh Street,
SW, Washington, DC 20410.</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer
at the appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional informational or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix
A; (ii) in relation to appeals of initial denials, the HUD Department at Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject and other individuals; current and previous employers;
credit bureaus and financial
institutions; firms federal and non-federal agencies.
</p></xhtmlContent></subsection></section>
<section id="dept46" toc="yes">
<systemNumber>/DEPT-46
</systemNumber>
<subsection type="systemName">Single Family Insured Case Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia,
and Santa Ana.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have obtained a mortgage under HUD/FHA's single family mortgage insurance
programs. Also, individuals who
unsuccessfully applied for an insured mortgage requiring processing by HUD underwriters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain identifying information about applicants, such as name, Social Security
Number, and current address; and records
commonly used to determine the credit-worthiness of a potential borrower, such as income and
employment information, and credit bureau
reports. In addition, the files may contain appraisal and inspection reports, sales agreement,
conditional and firm commitments, underwriting
worksheets, HUD-1, mortgage note and deed of trust, insurance documents, and correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act as amended (12 U.S.C. 1702 et seq.)
</p><p>The information collection enables HUD/FHA to process applications for HUD mortgage insurance and
respond to inquiries regarding
applications and insured mortgages.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include:
</p><p>(a) To the Department of Veteran Affairs for information on veterans' participation.
</p><p>(b) To complainants and attorneys representing them to review complainant files for status and
information.
</p><p>(c) To the person or firm complained about--for resolution of the complaint.
</p><p>(d) To Congressional delegations to provide information concerning status of complaints.
</p><p>(e) To the FBI to investigate possible fraud revealed in underwriting, insuring or monitoring.
</p><p>(f) To Department of Justice for prosecution of fraud revealed in underwriting, insuring or
monitoring.
</p><p>(g) To General Accounting Office (GAO) for audit purposes.
</p><p>(h) To financial institutions and computer software companies for automated underwriting, credit
scoring and other risk management
evaluation studies.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored in file folders (automated systems containing data from these files
are described in separate system of
records notices).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by case file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Insured case files are shipped to a Federal Records Center within days of receipt at HUD for
insurance endorsement processing;
retrieval is limited to authorized personnel. Rejected case files and cases in processing are
maintained in secure office space with access
limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Insured case files are retained for 12 years and rejected cases are retained for one year.
Obsolete records are destroyed in
accordance with HUD Handbook 2225.6, Records Disposition Management; HUD Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Insured Single Family Housing, HUA, Department of Housing and Urban
Development, 451 Seventh Street SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the appropriate location,
in accordance with 24 CFR part 16. A list of all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list of all locations is given in
Appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals, current and previous employers, credit bureaus and financial
institutions, corporations and firms and federal and
non-federal government agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept51" toc="yes">
<systemNumber>/DEPT-51
</systemNumber>
<subsection type="systemName"> Standards of Conduct File.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> HUD employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Financial statements; statements of employment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> E.O. 11222, Sec. 305-402, 5 CFR 735.401.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine Uses
paragraphs in prefatory statements. Other routine uses to the Department of Justice, the Federal
Bureau of Investigation, and the Internal
Revenue Service for purposes of investigation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> File folders and standard forms.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Files are active and kept up-to-date, partly current and partly
historical.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Assistant General Counsel for Finance and Administrative
Law Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
headquarters location, in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
126. If additional information or assistance is required, contact the Privacy Act Officer at
Headquarters. This location is given in appendix
A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents or records, the Privacy Act Officer at the headquarters location.
This location is given in appendix A; (ii)
in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individuals.
</p></xhtmlContent></subsection></section>
<section id="dept52" toc="yes">
<systemNumber>/DEPT-52
</systemNumber>
<subsection type="systemName">  Privacy Act Requesters.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices, with addresses, see
appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals inquiring about existence of records about them, and requesting access to and
correction of such records under provisions
of the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Personal identification of requester, nature of request, and disposition of the request by
the Department.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Privacy Act of 1974 (5 U.S.C. 552a(c)).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other routine uses: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by case number and name of individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records maintained in locked and lockable file cabinets with access limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are primarily active. Inactive files are normally disposed of after a one-year
period.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Information Policies and Systems, AI, Department of Housing and Urban
Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents or
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
intitial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals.
</p></xhtmlContent></subsection></section>
<section id="dept53" toc="yes">
<systemNumber>/DEPT-53
</systemNumber>
<subsection type="systemName"> Consumer Complaint Handling System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Field Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any member of the public who registers a complaint with HUD, including but not limited to:
Community Development Block Grant (CDBG)
recipients or individuals who use facilities or services supported by CDBG money; mortgagors;
mortgagees having or seeking FHA-insured
mortgages; tenants in FHA/insured projects; tenants in HUD-supported Low Rent Housing Projects;
employees on HUD-assisted or insured
construction projects and their unions; and public interest groups. Excluded are complaints from HUD
employees arising out of the
administration of internal HUD policies or procedures.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Complaints expressing dissatisfaction with a Departmental program, policy, or service. Name
of complainant and action dates.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Housing and Community Development Act of 1974, Pub. L. 93-383.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other routine uses: The following may
receive individual records to assist in the
resolution of a complaint--State and local officials; public and private counseling agencies;
building associations; developers;
financial institutions holding HUD-insured mortgages; Federal, State and local Consumer Affairs
offices; Consumer Protection agencies; State
and local real estate and planning Commissions.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders, cassettes, computerized tape, disc, and drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Control number, date of receipt, name of complainant, date of complaint, date of final
reply, nature of complaints HUD program
category, assigned due date, date of interim reply, date of last update on the System, and HUD
Office to which complaint was referred for
action.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the automated System is accomplished by passwords and code identification codes
limited in use to authorized personnel.
Cassettes and computer/data files will be stored in computer facilities which are secured and
accessible only to authorized personnel. File
folders of pending and closed cases to be stored in lockable file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Manual file is closed upon final response and purged after one year. Automated records are
maintained for five years. Complaints
pending response will remain open and active until final response is sent. Obsolete records will be
disposed of in accordance with HUD
Handbook.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Secretary for Housing--Federal Housing Commissioner, Department of Housing
and Urban Development 451 Seventh Street,
SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents or
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
initial denials, the HUD Department Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Letters of complaints from individuals, telephone calls of complaints from individuals, and
walk-in complaints from individuals, and
consumer oriented agencies on behalf of individuals.
</p></xhtmlContent></subsection></section>
<section id="dept54" toc="yes">
<systemNumber>/DEPT-54
</systemNumber>
<subsection type="systemName"> Parking Application Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> HUD employees and individuals from
other Government agencies or private sector
organizations who made application to park in HUD controlled space.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>For the applicant and carpool members, names (print and signature), home addresses, office
telephone numbers, social security numbers,
year and make of vehicles, states (in which vehicles are registered) and tag numbers; for the
applicant, room number, permit number,
correspondence (organization) code, date of application, and priority group (handicapped, job
requirements/executive officials (SES) or
carpool/vanpool); for pool members, agency or company name; for administrative purposes, date
issued, type of permit (new or replacement), and
signature of approving official.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Property Management Regulations, Section 101
-20.104, Parking facilities.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine
Uses paragraphs in prefatory statement. Other Routine Uses: To contractor for managing the parking
facilities; to parking coordinators of
Government agencies and private sector organizations for verification of employment and
participation of pool.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> For manual records, legal size file foleder; for automated records, hard
disk.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name, address, social security number, permit number, vehicle tag
number, and agency name or HUD correspondence
(organization) code on either the applicant or pool members. .
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Manual records are maintained in a lockable file cabinets with access
limited to authorized personnel. Access to
automated records is by password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> (1) For individuals issued permits, as long as permits are
valid; (2) for individuals on the waiting list,
approximately 2 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Mail and Transportation Branch, Office of Administrative and Management Services,
ASBR, Department of Housing and Urban
Development,451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Office at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned appear in 24 CFR part 16. If additional information or assistance is needed, it
may be obtained by contacting; (i) In
relation to contesting contents of records, the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix
A; (ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Parking Permit Applicants.
</p></xhtmlContent></subsection></section>
<section id="dept56" toc="yes">
<systemNumber>/DEPT-56
</systemNumber>
<subsection type="systemName"> Telephone Numbers of HUD Officials.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>  HUD senior staff officials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Name, title, home and office phone numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Section 7(d) Department of HUD Act (42 U.S.C.
3535(d)).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See routine uses
paragraph in prefatory statement. Other routine uses: Executive Office of the President for
identification and communication with key staff.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Bookcase of Director, Office of Executive Secretariat.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Office, name, and title.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Records are maintained in lockable room with access limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records are revised as personnel and telephone numbers change.
When records are revised, older records are
destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Chief, Secretary's Correspondence Unit, Department of
Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about the existence of
records contact the Privacy Act officer at
the headquarters location, in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act officer at the
headquarters location. This location is given
in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Departments' rules for contesting the contents of
records and appealing initial denials, by the
individuals concerned, appear in 24 CFR part 16. If additional information or assistance is needed
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act officer at the headquarters location.
This location is given in appendix A; (ii)
in relation to appeals of initial denials, the HUD departmental privacy appeals officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals.
</p></xhtmlContent></subsection></section>
<section id="dept62" toc="yes">
<systemNumber>/DEPT-62
</systemNumber>
<subsection type="systemName">Claims Collection Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices with addresses, see
appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors; mortgagees; grant/project and loan applicants and recipients; HUD personnel;
vendors; brokers; bidders; managers; tenants;
builders; developers, contractors, and appraisers; employees on HUD/FHA projects; investors;
subjects of audit; closing agents; former
mortgagors and purchasers of HUD-owned properties.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Lease and loan collection register; schedules of payments receivable and received; premiums
due; claim files; fee billing statements;
escrow and Certificates of Deposit files; cash flow and budget control files; earnest money
register; purchase order log; imprest fund; area
managers' accounting records; restitution, maintenance, and market expenses; bills lading; vouchers;
invoices; receipts mortgagors, builder's
and contractor's financial statements, records and audit reports; deposit and receipt records;
disbursements and cancelled checks; repurchases
of mortgages; adjustments from recoveries, defaults, acquired home property records; sales closing
papers; statements of accounts; tax records
certifications and applications for assistance; and notice of court action.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Claims Collection Act of 1966 (Section 1, Pub. L. 89-508).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Users paragraphs in prefatory statement. Other routine uses; Justice Department
--for prosecution of fraud revealed in
the course of claims collection efforts, and for the institution of foreclosure or other proceedings
to effect collection of claims; FBI
--for investigation of possible fraud revealed in the course of claims collection efforts;
General Accounting Office--for the
institution of proceedings to effect collection of claims; other Federal Agencies--to
facilitate collection of claims against Federal
employees; Office of Personnel Management--for offsetting retirement payments; to commercial
credit bureaus--to facilitate claims
collection consistent with Federal Claims Collection Standards, 4 CFR 102.4; to other Federal
agencies for the purpose of collecting debts
owed to the Federal Government by administrative or salary offset; to IRS for reporting of
discharged indebteness.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act
of 1966; 31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Desks; safes; locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, Social Security Number, Project Name and Number, and Contract Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Locked files; limited access by authorized individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>GSA schedules of retention and disposal; destruction one year after statute of limitation
expiration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department Claims Officer, Officer of Finance and Accounting, Department of Housing and
Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, Contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A, (ii) in relation to appeals of
initial denials, the HUD Department Privacy Appeals Officer, Office of General Counsel. Department
of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; other individuals; current or previous employers; credit bureaus;
financial institutions; private corporations or
firms doing business with HUD; Federal and non-Federal government agencies; HUD personnel.
</p></xhtmlContent></subsection></section>
<section id="dept63" toc="yes">
<systemNumber>/DEPT-63
</systemNumber>
<subsection type="systemName"> Secretary's Correspondence Control System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who correspond with the
Secretary or the Under Secretary, (b)
Individuals whose correspondence has been referred by the White House, other Executive agencies, or
members of Congress to the Secretary or
Under Secretary for response.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Correspondence identification (correspondent's
name, address, organization, title, control
number, date of letter, subject); status or response within the Department (office assigned, date
due, current disposition); may include
original correspondence, Department's response, referral letters, name and identification of person
referring the correspondence, and copies
of any enclosures.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Section 7(d) of the Department of Housing and
Urban Development Act of 1965, Pub. L. 89
-174.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine Uses
paragraphs or prefatory statement. Other routine uses: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> In file folders, on microfiche and on magnetic disc/tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name, control number, name of person referring correspondence, return
address on letters, organization name,
title, date of letter, subject of letter, office assigned, date due, current disposition.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Manual files and microfiche are kept in folders and accessed only by
authorized personnel, computer records are
maintained in a secure area with access restricted to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> All files are maintained in the Executive Secretariat for three
years and then are retained/disposed of in
accordance with HUD Handbook 225.6, Schedule 62, dated March, 1976. All computerized information is
maintained on magnetic disc for one year,
then is copied to magnetic tape and stored in a secure location.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Chief, Secretary's Correspondence Unit, Department of
Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned, appear in 24 CFR
part 16. If additional information or assistance is required, contact the Privacy Act Officer at the
Headquarters location. This location is
given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the Headquarters location.
This location is given in Appendix A, (ii)
in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
</section>
<section id="dept64" toc="yes">
<systemNumber>/DEPT-64
</systemNumber>
<subsection type="systemName"> Congregate Housing Services Program Data Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Offices of HUD contractor.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Congregate Housing Services Program (CHSP) participants and selected applicants and non-
applicants residing in grantee public housing
and Section 202 (elderly) projects; and selected individuals residing in non-grantee public housing
and Section 202 projects.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The files will contain the following records on CHSP participants: Name, project, file
number, race/ethnic background, birthdate, sex,
marital status, residential history and current living arrangement, number of minors residing,
number of children/relatives nearby and family
relationships, education, socioeconomic status (occupation/income), total housing expense,
characteristics (special features) of the Housing
unit, size of unit, sources of income and medical coverage, handicap type, disability type, medical
status (recurrent/chronic medical
problems) and hospitalization in past year, scores on activities of daily living tests, level of
informal service supports (family, friends,
etc.), current and previous services received by program type (formal services), dates of services
receipt, service needs assessment, moral
scale and satisfaction with services and residential arrangements, mental status (primarily,
disorientation for elderly and cognitive
functioning for mentally retarded), emotional status, social interaction assessment (participation
in formal and informal activities, and
interpersonal skills), cost and usage of CHSP and other services, project admission date, CHSP
application date, physical functioning/health
status when entered project, current physical functioning/health status, physical functioning/health
status of entry to CHSP, Professional
Assessment Committee (PAC) determinations and recommended services, physical functioning/health
status when left CHSP, date moved out of
project, physical functioning/health status when moved out of project, new address/telephone (or
contact person), name/telephone of physician,
legal guardian, or family member.
</p><p>The files will contain the following records on CHSP applicants who were not selected as
participants: Name, project, file number,
race/ethnic background, birthdate, sex, marital status, resident history and current living
arrangement, number of minors residing, number of
children/relatives nearby and family relationships, education, socioeconomic status
(occupation/income), total housing expense,
characteristics (special features) of the housing unit, size of unit, sources of income and medical
coverage, handicap type, disability types,
medical status (recurrent/chronic medical problems) and hospitalization in past year, scores on
activities of daily living tests, level of
informal service supports (family, friends, etc.), current and previous services received by program
type (formal services), dates of service
receipt, service needs assessment, morale scale and satisfaction with services and residential
arrangements, mental status (primarily,
disorientation for elderly and cognitive functioning for mentally retarded), emotional status,
social interaction assessment (participation in
formal and informal activities, and interpersonal skills), cost and usage of services, project
admission date, CHSP application date, physical
functioning/health status when entered project, physical functioning/health status when applied to
CHSP, current physical functioning/health
status, PAC determinations, date moved out of project, physical functioning/health status when moved
out of project, new address/telephone (or
contract person), name/telephone of physician, legal guardian, or family member.
</p><p>The files will contain the following records on residents of CHSP projects who did not apply to
the program and residents of non-CHSP
projects: Name, project, file number, race/ethnic background, birthdate, sex, marital status,
residential history and current living
arrangement, number of minors residing, number of children/relatives nearby and family
relationships, education, socioeconomic status
(occupation/income), total housing expense, characteristics (special features) of the housing unit,
size of unit, sources of income and
medical coverage, handicap type, disability type, medical status (recurrent/chronic medical
problems) and hospitalization in past year, scores
on activities of daily living tests, level of informal service supports (family, friends, etc.),
current and previous services received by
program type (formal services), dates of service receipt, service needs assessment, morale scale and
satisfaction with services and
residential arrangements, mental status (primarily, disorientation for elderly and cognitive
functioning for mentally retarded), emotional
status, social interaction assessment (participation in formal and informal activities, and
interpersonal skills), cost and usage of services,
project admission date, physical functioning/health status when entered project, current physical
functioning/health status, date moved out of
project, physical functioning/health status when moved out of project, new address/telephone (or
contact person), name/telephone of physican,
legal guardian, or family member.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV, Housing and Community Development Amendments of 1978 (Congregate Housing Services
Act of 1978).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To HUD Contractor for conducting the evaluation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders and on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, project, file number, race/ethnic background, birth date, sex, marital status,
residential history and current living
arragement, number of minors residing, number of children/relatives nearby and family relationships,
education, socioeconomic status
(occupation/income), total housing expense, characteristics (special features) of the housing unit,
size of unit, sources of income and
medical coverage, handicap type, disability type, medical status (recurrent/chronic medical
problems) and hospitalization in past year, scores
on activities of daily living tests, level of informal service supports (family, friends, etc.),
current and previous services received by
program type (formal services), dates of service receipt, service needs assessment, morale scale and
satisfaction with services and
residential arrangements, mental status, emotional status, social interaction assessment
(participation in formal and informal activities, and
interpersonal skills), cost and usage of CHSP and other services, project admission date, CHSP
application date, physical functioning/health
status when entered project, current physical functioning/health status, physical functioning/health
status at entry to CHSP, PAC
determinations and recommended services, physical functioning/health status when left CHSP, date
moved out of project, physical
functioning/health status when moved out of project, new address/telephone (or contact person),
name/telephone of physician, legal guardian,
or family member.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual files will be kept in lockable cabinets in a secured area, computer records will be
maintained in a separate secured area.
Access to either type of record will be limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Manual and automated records are retained in accordance with officially approved mandatory
standards contained in HUD Handbooks 2225.6
and 2228.2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Elderly, Cooperative, Congregate and Health Facilities Divsion, HMME
</p><p>Office of Mutifamily Housing Development
</p><p>Department of Housing and Urban Development
</p><p>451 Seventh Street, SW, Washington, DC 20410
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at Headquarters. This location is given
in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial
denials, the HUD's Departmental Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh
Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals, Professional Assessment Committee, Project Managers.
</p></xhtmlContent></subsection></section>
<section id="dept65" toc="yes">
<systemNumber>/DEPT-65
</systemNumber>
<subsection type="systemName"> IDEAS Program Case Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Field Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Federal employees who submit ideas for
improving Departmental efficiency and
effectiveness.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Idea subject, suggester name, Idea number, position
title of suggester, title of organization
to which suggester is assigned, location of suggester's organization, suggester's room number,
suggester's phone number, statement of
organization responsible for implementing ideas, statement of current use, statement of anonymity,
statement of cash award waiver, agreement
to waive further rights, description of Idea, Social Security Number, disposition of idea, cash
award amount.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Government Employees Incentive Awards Act (45
U.S.C. 5).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> To news media to
publicize awards; to other Government agencies for evaluation and possible adoption; in the case of
cash awards, to Treasury to issue check;
to printing firms to produce award certificates.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> In file folders and on magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Subject, name, number, originating organization, evaluating
organization, disposition.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Paper files are kept in lockable cabinets in secured areas. Magnetic files
will be maintained in a separate secured
area. Access to either type of file is limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Manual and automated records are retained in accordance with
officially approved mandatory standards
contained in HUD Handbooks 2225.6 and 2228.2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Management Systems and Organization Division,
Office of Organization and Management
Information, Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of record, the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix
A, (ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Suggesting individual, processing organization, evaluating
organization.
</p></xhtmlContent></subsection></section>
<section id="dept67" toc="yes">
<systemNumber>/DEPT-67
</systemNumber>
<subsection type="systemName"> Employee Counseling and Occupational Health Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Employees seeking assistance with
alcoholism, drugs or emotional problems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Name, duty assignment, service to which the
employee is referred, request, status memoranda
from referral services and occasionally diagnosis.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Pub. L. 79-658, Employee Health Act,
1946, Pub. L. 89-183, Mental Health Act,
1963, Pub. L. 91-616, Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and
Rehabilitation Act, 1970, Pub. L. 92-
225, Drug Abuse Office and Treatment Act, 1972.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> To referral
services to document referral, status.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Files are stored in a lockable cabinet in a secured area.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name, service to which employee is referred.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Files will be kept in locked cabinets. Access will be strictly controlled,
and limited to employees who must have
access in order to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> These records are disposed of in accordance with the mandatory
General Records Schedules contained in HUD
Handbook 2228.2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Employee Relations and EEO Division, Department
of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Office at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix
A. (ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject employee, referral service.
</p></xhtmlContent></subsection></section>
<section id="dept68" toc="yes">
<systemNumber>/DEPT-68
</systemNumber>
<subsection type="systemName"> HUD Government Motor Vehicle Operators Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices. For a complete listing of these offices
with addresses, see appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> HUD employees who are authorized to
operate Government Motor Vehicles on official
business.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Standard Form 47, Physical Fitness Inquiry for
Motor Vehicle Operators and HUD Form 87,
Drivers Past Performance Record. These forms include name, Social Security Number, physical fitness
data, and driving performance information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Federal Property and Administrative Services
Act of 1949, 41 U.S.C. 231, Pub. L. 81
-152, Sec. 201.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> To Department of
Transportation for verification with National Driver Register.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Desks; safes; locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name, Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Locked files; limited access by authorized individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with officially approved mandatory
standards contained in HUD Handbooks 2225.6 and
2282.2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Facilities Operations Division, ASB, Department
of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed
regarding contesting record contents,
contact the Privacy Act Office at the appropriate location. A list of all locations is given in
aAppendix A. If additional information or
assistance is needed in relation to appeals, contact the HUD Department Privacy Appeals Officer,
Officer of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individuals.
</p></xhtmlContent></subsection></section>
<section id="dept69" toc="yes">
<systemNumber>/DEPT-69
</systemNumber>
<subsection type="systemName"> Intergovernmental Personnel Act Assignment Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current or former employees of State or local governments, educational institutions, Indian
tribal governments, or other eligible
organizations who are presently on or have completed a detail with the Department of Housing and
Urban Development (HUD) under the provisions
of the Intergovernmental Personnel Act (IPAP).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records are comprised of a copy of the assignee's IPA agreement between HUD and a
State or local government, educational
institution, Indian tribal government, or other eligible organization: Resume, personal
qualifications statement, and background information
about the assignee(s); records of interviews with assignee(s) and any required assignment
evaluations and reports; and any documents which
affect the status of the assignment such as extensions, amendments and terminations of contracts.
The following data will be included in the
records: Name of employee, social security number, date of birth, home address, agency employed by,
job title, name and title of immediate
supervisor, office telephone number, annual salary, date employed by agency, position to which
assignment will be made, type of assignment,
and period of assignment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Intergovernmental Personnel Act of 1970 (84 Stat. 1909), 5 U.S.C. 3371-3376, and
E.O. 11589.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To the Merit System Protection Board, Federal Labor Relations Authority, and the Equal
Employment Opportunity Commission when
requested in performance of authorized duties. To Office of Personnel Management for personnel
inspections of the Department; to other Federal
agenices for the purpose of collecting debts owed to the Federal Government by administrative or
salary offset.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C. 552a(b)(12), disclosures
may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act
of 1966 31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are kept in a secured area, with access limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with officially approved mandatory standards contained in
HUD Handbooks 2225.6 and 2228.2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Employment Planning and Standards Division, Office of Personnel, Department of
Housing and Urban Development, 451 Seventh
Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A, (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Participating individual; individual's permanent employing organization; Department
personnel files and records.
</p></xhtmlContent></subsection></section>
<section id="dept71" toc="yes">
<systemNumber>/DEPT-71
</systemNumber>

<subsection type="systemName">Identity Management System (IDMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Data covered by this system are maintained at the following locations: U.S. Department of
Housing and Urban Development (HUD), Office
of Security and Emergency Planning (OSEP), 451 Seventh Street, SW., Washington, DC 20410. Some data
covered by this system is at HUD Regional
and Field Office locations, both Federal buildings and Federally-leased space, where staffed guard
stations have been established in
facilities that have installed the Personal Identity Verification (PIV) system, as well as the
physical security office(s) or computer
security offices of those locations.
</p></xhtmlContent></subsection>
<subsection type="securityClassification"><xhtmlContent><p>Most identity records are not classified. However, in some cases, records of a few
individuals, or portions of some records, may
potentially be classified in the interest of national security.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals (employees or contractors) who require regular, ongoing access to agency
facilities, information technology systems, or
information classified in the interest of national security, including applicants for employment or
contracts, Federal employees, contractors,
students, interns, volunteers, affiliates, and individuals formerly in any of these positions. The
system also includes individuals authorized
to perform or use services provided in HUD facilities (<i>e.g.,</i> Credit Union, Fitness Center,
etc.). The system does not apply to
occasional visitors or short-term guests to whom HUD will issue temporary identification and
credentials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained on individuals issued credentials by HUD include the following data
fields: Full name, Social Security number; date
of birth; signature; image (photograph); fingerprints; hair color; eye color; height; weight;
organization/office of assignment; company name
(for contractors); telephone number; copy of background investigation form (Standard Form 85 or 85P
or 86); PIV card issue and expiration
dates; personal identification number (PIN) for the PIV Card; results of background investigation;
PIV request form; PIV registrar approval
signature; PIV card serial number; emergency responder designation; copies of documents used to
verify identification or information derived
from those documents (such as document title, document issuing authority, document number, document
expiration date, document other
information); level of national security clearance and expiration date; computer system user name;
user access and permission rights,
authentication certificates; and digital signature information.
</p><p>Records maintained on PIV card holders entering HUD facilities or using HUD systems may include:
Full name; PIV Card serial number; date,
time, and location of entry; company name (for contractors); card expiration date; digital signature
information; and computer
networks/applications/data accessed.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Federal Information Security Act (Pub. L. 104-106, sec. 5113);
Electronic Government Act (Pub. L. 104-347,
sec. 203); the Paperwork Reduction Act of 1995 (44 U.S.C. 3501); Government Paperwork Elimination
Act (Pub. L. 105-277, 44 U.S.C. 3504);
Homeland Security Presidential Directive 12 (HSPD-12), Policy for a Common Identification
Standard for Federal Employees and
Contractors, August 27, 2004; and Federal Property and Administrative Act of 1949, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purposes of the system of records are: (a) To ensure the safety and security of
HUD facilities, systems, or information,
and our occupants and users; (b) to verify that all persons entering Federal facilities or using
Federal information resources are authorized
to do so; (c) to track and control PIV cards issued to persons entering and exiting the facilities,
or using information systems.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information about covered individuals may be disclosed without consent as permitted by the
Privacy Act of 1974, 5 U.S.C. 552a(b), and:
</p><p>(1) To the Department of Justice when:
</p><p>(a) The agency or any component thereof; or
</p><p>(b) Any employee of the agency in his or her official capacity;
</p><p>(c) Any employee of the agency in his or her individual capacity where agency or the Department
of Justice has agreed to represent the
employee; or
</p><p>(d) The United States Government, is a party to litigation or has an interest in such litigation,
and by careful review, the agency
determines that the records are both relevant and necessary to the litigation and the use of such
records by DOJ is therefore deemed by the
agency to be for a purpose compatible with the purpose for which the agency collected the records.
</p><p>(2) To a court or adjudicative body in a proceeding when:
</p><p>(a) The agency or any component thereof;
</p><p>(b) Any employee of the agency in his or her official capacity;
</p><p>(c) Any employee of the agency in his or her individual capacity where agency or the Department
of Justice has agreed to represent the
employee; or
</p><p>(d) The United States Government, is a party to litigation or has an interest in such litigation,
and by careful review, the agency
determines that the records are both relevant and necessary to the litigation and the use of such
records is therefore deemed by the agency to
be for a purpose that is compatible with the purpose for which the agency collected the records.
</p><p>(3) Except as noted on Forms SF 85, 85-P, and 86, when a record on its face, or in
conjunction with other records, indicates a
violation or potential violation of law, whether civil, criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may
be made to the appropriate public
authority, whether Federal, foreign, State, local, or tribal, or otherwise, responsible for
enforcing, investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or rule, regulation, or order
issued pursuant thereto, if the information
disclosed is relevant to any enforcement, regulatory, investigative or prosecutorial responsibility
of the receiving entity.
</p><p>(4) To a Member of Congress or to a Congressional staff member in response to an inquiry of the
Congressional office made at the written
request of the constituent about whom the record is maintained.
</p><p>(5) To the National Archives and Records Administration or to the General Services Administration
for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
</p><p>(6) To HUD contractors, grantees, or volunteers who have been engaged to assist the agency in the
performance of a contract service, grant,
cooperative agreement, or other activity related to this system of records and who need to have
access to the records in order to perform
their activity. Recipients shall be required to comply with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a.
</p><p>(7) To a Federal, State, local, foreign, or tribal or other public authority the fact that this
system of records contains information
relevant to the retention of an employee, the retention of a security clearance, the letting of a
contract, or the issuance or retention of a
license, grant, or other benefit. The other agency or licensing organization may then make a request
supported by the written consent of the
individual for the entire record if it so chooses. No disclosure will be made unless the information
has been determined to be sufficiently
reliable to support a referral to another office within the agency or to another Federal agency for
criminal, civil, administrative personnel
or regulatory action.
</p><p>(8) To the Office of Management and Budget when necessary to the review of private relief
legislation pursuant to OMB Circular No. A-
19.
</p><p>(9) To a Federal, State, or local agency, or other appropriate entities or individuals, or
through established liaison channels to selected
foreign governments, in order to enable an intelligence agency to carry out its responsibilities
under the National Security Act of 1947 as
amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable
national security directives, or classified
implementing procedures approved by the Attorney General and promulgated pursuant to such statutes,
orders or directives.
</p><p>(10) To notify another Federal agency when, or verify whether, a PIV card is no longer valid.
</p><p>(11) To the news media or the general public, factual information the disclosure of which would
be in the public interest and which would
not constitute an unwarranted invasion of personal privacy, consistent with Freedom of Information
Act standards.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in electronic media and in paper files. Paper files are kept in file
folders or card files. Automated records are
maintained in HUD's Security Control Access Tracking System (SCATS), and the DSX card access control
system for HUD Headquarters.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by last name, Social Security number, other ID number, PIV card
serial number, image (photograph), or
fingerprint.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are kept in locked cabinets in secure facilities. Access to them is restricted
to individuals whose role requires use of
the records. The computer servers in which records are stored are located in facilities that are
secured by alarm systems and off-master key
access. The computer servers themselves are password-protected. Access to individuals working at
guard stations is password-protected; each
person granted access to the system at guard stations must be individually authorized to use the
system. A Privacy Act Warning Notice appears
on the monitor screen when records containing information on individuals are first displayed. Data
exchanged between the servers and the
client PCs at the guard stations and badging office will be encrypted when HUD upgrades to a PIV-II
compliant system in 2007. Backup tapes are
stored in a locked and controlled room in a secure, off-site location.
</p><p>An audit trail is maintained and reviewed periodically to identify unauthorized access. Persons
given roles in the PIV process must
complete training specific to their roles to ensure they are knowledgeable about how to protect
individually identifiable information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records relating to persons' access covered by this system are retained in accordance with
HUD Handbook 2228.2, General Records
Schedule 18, Item 17, approved by the National Archives and Records Administration (NARA). Unless
retained for specific, ongoing security
investigations, records of access are maintained for five years and then destroyed. For other
facilities, records are maintained for two years
and then destroyed.
</p><p>All other records relating to individuals are retained and disposed of in accordance with General
Records Schedule 18, item 22a, approved
by NARA. Records are destroyed upon notification of death or not later than five years after
separation or transfer of employee, whichever is
applicable.
</p><p>In accordance with HSPD-12, PIV Cards are deactivated within 18 hours of cardholder
separation, loss of card, or expiration. The
information on PIV Cards is maintained in accordance with General Records Schedule 11, Item 4. PIV
Cards are destroyed by cross-cut shredding
<i>no later than</i> 90 days after deactivation.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Physical Security Division, Office of Security and Emergency Planning, 451 Seventh
Street, SW., Washington, DC 20410. Phone:
(202) 708-2914.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual can determine if this system contains a record pertaining to him/her by
sending a request in writing, signed, to
Director, Physical Security Division, Office of Security and Emergency Planning, 451 Seventh Street,
SW., Washington, DC 20410. Phone: (202)
708-2914.
</p><p>When requesting notification of or access to records covered by this Notice, an individual should
provide his/her full name, date of birth,
agency name, and work location. An individual requesting notification of records in person must
provide identity documents sufficient to
satisfy the custodian of the records that the requester is entitled to access, such as a government-
issued photo ID. Individuals requesting
notification via mail or telephone must furnish, at minimum, full name, date of birth, Social
Security number, and home address in order to
establish identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as notification procedures. Requesters should also reasonably specify the record
contents being sought. Rules regarding access to
Privacy Act records appear in 24 CFR part 16. If additional information or assistance is required,
contact HUD's Privacy Act Officer in the
Office of the Chief Information Officer, 451 Seventh Street, SW., Washington, DC 20410. Phone: (202)
708-2374.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as notification procedures. Requesters should also reasonably identify the record,
specify the information they are contesting,
state the corrective action sought and the reasons for the correction along with supporting
justification showing why the record is not
accurate, timely, relevant, or complete. Rules regarding amendment of Privacy Act records appear in
24 CFR part 16. If additional information
or assistance is required, contact HUD's Privacy Appeals Officer in the Office of the General
Counsel, 451 Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee, contractor, or applicant; sponsoring agency; former sponsoring agency; other
Federal agencies; contract employer; former
employer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dept72" toc="yes">
<systemNumber>/DEPT-72
</systemNumber>
<subsection type="systemName"> Congressional Correspondence Files (Communication Control System).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and some field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> (a) Individuals who correspond with the
Secretary, Under Secretary, Assistant
Secretary or Field Officials, (b) Individuals whose correspondence has been referred by the White
House, other Executive agencies, or Members
of Congress to the Secretary, Under Secretary, Assistant Secretary or Field Officials for responses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Correspondence identification (Member of Congress
name, correspondent's name, address, state,
district, organization, title, control number, return address, date of letter, subject); status of
response within the Department (office
assigned, date due, current disposition); may include original correspondence, Department's
response, referral letters, name and
identification of person referring the correspondence, and copies of any enclosures.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Section 7(d) of the Department of Housing and
Urban Development Act of 1965, Pub.L. 89
-174.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>None.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> In file folders and on magnetic disc/tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> State, district, control number, name of Member of Congress, name of
person referring correspondence, date of
letter, subject of letter, office assigned, date due, current disposition.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Manual files are kept in folders in lockable file cabinets and accessed only
by authorized personnel, computer records
are maintained in a secure area with access restricted to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> All manual files are maintained for one year and then are
retained/disposed of in accordance with HUD
handbook 2225.6, HUD Records Schedules, Schedule 54.
</p><p>All computerized information is maintained on magnetic disc for two years, then is copied to
magnetic tape and stored in a secure location.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Administrative Staff Assistant, Office of Legislation and
Congressional Relations, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix A.
If additional information or assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD
Department Appeals Officer, Office of General Counsel, Department of Housing and Urban Development
451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject, referral source, Department employees involved in
processing the correspondence.
</p></xhtmlContent></subsection></section>
<section id="dept73" toc="yes">
<systemNumber>/DEPT-73
</systemNumber>
<subsection type="systemName"> Government Property on Personal Charge Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Current or former HUD employees to whom
HUD has issued government property on
personal charge.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> These records are comprised of a copy of each
receipt for government property on a charge,
and a property receipt control register. The following data will be included in the records: Name of
employee, office telephone number, room
number and location, organization symbol, custody-receipt and property pass number, description of
property, certificate of receipt and
responsibility, dates of issuance, return due, follow-up, extension, and return and signature of
chargeable employee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> Federal Property and Administrative Services
Act of 1949, 40 U.S.C. Sec. 483.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Routine Uses
paragraphs in prefatory statement. Other routine uses: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Paper records will be stored in card files and file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Files are kept in a secured cabinet, with access limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> These records are disposed of in accordance with the Mandatory
General Records Schedules contained in HUD
Handbook 2228.2, General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Chief, Property and Supply Branch, Facilities Operations
Division, Office of Administrative
Services, Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix A.
If additional information or assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD
Department Appeals Officer, Office of General Counsel, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Individuals to whom property is charged.
</p></xhtmlContent></subsection></section>
<section id="dept74" toc="yes">
<systemNumber>/DEPT-74
</systemNumber>
<subsection type="systemName"> Executive Emergency Cascade Alerting System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Current HUD employees who have been
designated as executive emergency team
members.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> These records are comprised of the employee's name,
office and home telephone numbers, only.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> These records are maintained under the
authority of Executive Order No. 11490.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Distribution of team lists and access to team lists is restricted to
authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> These records are retained and disposed of in accordance with
officially approved mandatory standards
contained in HUD Handbooks 2225.6 (HUD Records Schedules) and 2228.2 (General Records Schedules).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Emergency Preparedness Staff, Office of
Administrative Services, Department of Housing
and Urban Development 451 Seventh Street, SW, Washington, DC 20410
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix A.
If additional information or assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD
Departmental Appeals Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individuals.
</p></xhtmlContent></subsection></section>
<section id="dept75" toc="yes">
<systemNumber>/DEPT-75
</systemNumber>
<subsection type="systemName"> Priority Consideration/Special Reassignment Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Current or former HUD employees who
have been demoted without personal cause; who
did not receive proper consideration in an earlier merit staffing action; or who are entitled to
grade retention due to a demotion through no
personal cause.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> These files are comprised of copies of the
eligible's Personal Qualifications Statement (SF
-171); the eligible's current performance evaluation, and where appropriate, an appraisal of
potential; certification of the eligible
for priority consideration/special reassignment; correspondence both from and to the eligible
concerning priority consideration/special
reassignment; documentation relating to non-selection of the eligible; and any other correspondence
or documentation relating to the priority
consideration/special reassignment process.
</p><p>The following data will be included in the records:</p><p> Name of employee, Social Security number,
date of birth, home address, home
telephone number, job title and occupational group (series), name and title of immediate supervisor,
office telephone number, annual salary,
and date employed by the agency, work experience, training, and related items.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 5 U.S.C. 3301; 5 U.S.C. 5364.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> To the Merit Systems
Protection Board, the Federal Labor Relations Authority, and the Equal Opportunity Commission, when
requested in performance of authorized
duties for examination of effectiveness of HUD priority consideration and special reassignment
procedures; to the Office of Personnel
Management for personnel inspections of the Department.</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Individual name and occupational grouping (series).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Files are kept in a secured area, with access limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records are retained and disposed of in accordance with
officially approved manadatory standards contained
in HUD Handbooks 2225.6 (HUD Records Schedules), and 2228.2 (General Records Schedules).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Employment Planning and Standards Division,
Office of Personnel, Department of Housing
and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
Appropriate location in accordance with 24 CFR part 16. A list of all locations is given in appendix
A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
appropriate location. A list of all locations
is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appeals initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at the appropriate location. A
list of all locations is given in appendix A.
If additional information or assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD
Departmental Appeals Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Participating individual; Department personnel files and
records.
</p></xhtmlContent></subsection></section>
<section id="dept76" toc="yes">
<systemNumber>/DEPT-76
</systemNumber>
<subsection type="systemName">Headquarters.
</subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former HUD employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records are comprised of a copy of all Changes in Telephone Listings, SF-146,
submitted by Administrative Officers. The
following data will be included in the records: Name of employees, office telephone number, room
number and location, and organization symbol.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Magnetic media and file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The automatic records and manual files are kept in a secured area, with access limited to
authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are disposed of in accordance with the Mandatory General Records Schedules
contained in HUD Handbook 2228.2, General
Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Publications and Information Division, Office of Administrative Services,
Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the Headquarters location. This
location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contracting the Privacy Act Officer at the Headquarters location. This location is given in appendix
A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Administrative Officers.
</p></xhtmlContent></subsection></section>
<section id="dept78" toc="yes">
<systemNumber>/DEPT-78
</systemNumber>
<subsection type="systemName">Government National Mortgage Association (GNMA) Registry of Foreclosure Attorneys.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters Office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Attorneys and law firms that have voluntarily submitted the information contained in the
record system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, firm name, address, and telephone numbers; death and place of bar membership; and
experience in foreclosures.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title III, Section 309 of the National Housing Act authorizes GNMA to do the following: To
enter into and perform contracts with any
person or firm; to sue and be sued, and to complain and defend in any court of competent
jurisdiction; to select and appoint or employ
attorneys.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To GNMA services-to permit the servicer to obtain the services of a registered
attorney.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual records stored in lockable file drawers located in lockable rooms.  Access limited to
authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name and address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual records stored in lockable file cabinets in secured areas.  No computer records will
be maintained.  Access to records is
limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records on attorneys are kept for at least three years.  Attorneys must reapply within the
three year period.  Failure to reapply will
result in deletion from the Registry.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant General Counsel for Finance, Department of Housing and Urban Development,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the Headquarters location, in
accordance with 24 CFR part 16.  This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16.  If additional
information or assistance is required, contact the Privacy Act Officer at the Headquarters location.
This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16.  If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the Headquarters location.  This location is given in appendix
A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals.
</p></xhtmlContent></subsection></section>
<section id="dept80" toc="yes">
<systemNumber>/DEPT-80
</systemNumber>
<subsection type="systemName"> Long Distance Telephone Call Detail System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who make long distance calls and individuals who receive calls placed from or
charged to Department telephones.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include: (1) The names and assigned organizations of individuals who make long
distance calls from Department telephones
and who receive long distance calls that are charged to Department telephones, (2) the names and
addresses of called parties and parties who
initiate collect calls from outside the Department which are charged to Department telephones, (3)
records indicating assignment of telephone
numbers to employees, and (4) records relating to location of telephones. Records may be maintained
at worksites and used by supervisors in
establishing responsibility for specific telephone calls. Subsequent inquiries may require that
these records become a part of an
investigation file.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7(d), Department of Housing and Urban Development Act, 42 U.S.C. 3535(d); 44 U.S.C.
3101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Use paragraphs in prefatory statement. Other routine uses: (1) To Members of
Congress to respond to inquiries made on
behalf of individual constituents that are record subjects; (2) to representatives of the General
Services Administration or the National
Archives and Records Administration who are conducting records management inspections under the
authority of 44 U.S.C. 2904 and 2906; (3) in
response to a request for discovery or for the appearance of a witness, to the extent that the
subject matter in a pending judicial or
administrative proceeding concerns the misuse of Government telephones or a violation of law or
regulation; (4) in a proceeding before a court
or adjudicative body to the extent that the records are relevant and necessary to the proceeding,
and the proceeding concerns the misuse of
Government telephones or a violation of law or regulation; and (5) to employees of the Department to
determine their individual responsibility
for telephone calls.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosure may be made from this system to
"consumer reporting agencies" as defined in
the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31
U.S.C. 3701 (a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Various portions of the system are maintained on computer disks, magnetic tape, computer
printout, and other hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by employee name or identification number, by name of recipient of
telephone call, and by telephone number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to records is limited to Department employees who have an official need for the
records. Internal procedures governing the use,
transfer, and photocopying of the records have been established. Records in the system are
maintained in a locked room and file folders are
maintained in locked cabinets. Automated records are protected from unauthorized access through
password identification procedures and other
system-based protection methods.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed of as provided in the National Archives and Records Administration
General Records Schedule 12.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Communications and Space Management Division, Department of Housing and Urban
Development, 451 Seventh Street, Southwest,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the HUD
Headquarters Privacy Act Officrer in accorance
with procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the organization or individual
concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the HUD Headquarters Privacy Act Officer.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the HUD Headquarters Privacy Act Officer; (ii) in relation to appeals of initial denials,
the Department of Housing and Urban
Development Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing
and Urban Development, 451 Seventh Street,
Southwest, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>HUD telephone assignment records; call detail listing; and results of administrative
inquiries relating to assignment of
responsibility for placement of specific long distance calls.
</p></xhtmlContent></subsection></section>
<section id="dept81" toc="yes">
<systemNumber>/DEPT-81
</systemNumber>
<subsection type="systemName"> Ethics Filings.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitivity--S2. Disclosure or alteration of data rated S2 represents a small but
unimportant risk to the organization and its
mission.
</p><p>Criticality--C2. Since systems rated C2 will be needed eventually, security officers should
write a contingency plan. Management
should attempt recover only after restoring the more critical systems.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters, Office of Ethics.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Section 102
</p><p>Any applicant that submits an application for assistance within the jurisdiction of the
Department to HUD, to a State, or to a unit of
general local government, if the applicant has received, or can reasonably expect to receive, an
aggregate amount of all forms of such
assistance in excess of 200,000 dollars during the Federal fiscal year in which an application is
submitted.
</p><p>Section 112
</p><p>A. Any person who makes or agrees to make an expenditure to influence the decision of any officer
or employee of the Department, through
communications with such officer or employee, with respect to: (1) The award of any financial
assistance within the jurisdiction of the
Department, or (2) any management action involving a change in the terms and conditions or status of
financial assistance awarded to any
person; and,
</p><p>B. Any person who receives payment or is retained for the purposes described in A. above.
</p><p>Byrd Amendment
</p><p>Any person who requests or receives a Federal contract, grant, loan, cooperative agreement or
loan insurance or commitment from HUD and who
makes a payment, or agrees to make a payment for influencing, or attempting to influence, an officer
or employee of the United States, a
Member of Congress, an officer or employee of Congress, and an employee of a Member of Congress in
connection with a Federal contract, grant,
loan, cooperative agreement or loan insurance or commitment from HUD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The files consist of applicant information and information regarding lobbyist/consultant
activity. The documents may include reporting
applicant/individual/entities' or lobbyists' name, addresses, payments made, types of payments,
compensation received, and services performed;
officers, employees, or Members of Congress contacted; previous Government employment; type of
assistance received and requested, names of
project/activity participants; expected sources and uses of funds; Social Security Numbers (SSNs) or
Employer Identification Numbers (EINs);
Federal Action Numbers; payor/payee's names, addresses, dates of agreements, and estimated valuation
of payments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 102 and 112 of the HUD Reform Act of 1989, 42 U.S.C. 3545 and 3537b; the Byrd
Amendment (Section 319 of the Department of
Interior and Related Agencies Appropriations Act for Fiscal Year 1990, Pub. L. 101-121), 31
U.S.C. 1352; and the Housing and Community
Development Act of 1987, 42 U.S.C. 3543.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information collected under section 102 will enable HUD to provide public disclosure of
documentation adequate to indicate how HUD
and recipients of HUD assistance provided or denied the assistance to their applicants; e.g., other
government assistance being requested,
names and financial interest of all interested parties, and a report of expected sources and uses of
funds.
</p><p>The information collected under section 112 of the HUD Reform Act and the Byrd Amendment will
identify those who make an expenditure for
lobbying purposes and those lobbyists and consultants who may be engaged in influencing the outcome
of decisions made by the Department. This
information will improve HUD's ability to assure that the award of financial assistance is conducted
in a manner that is fair and open, and
free from improper influence.
</p><p>The system will assist the Department in complying with legislative requirements, and will ensure
greater accountability and integrity in
HUD's grant and loan processes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Section 102 information will be made available for public inspection.
</p><p>Section 112 information will be compiled in a report to be published in the <i>Federal Register
</i>, shall constitute part of the public
records of the Department, and shall be open to public inspection.
</p><p>The Byrd Amendment information will be compiled in a report for submission to the Secretary of
the Senate and the Clerk of the House of
Representatives on a semi-annual basis. The report, including the compilation, shall be available
for public inspection 30 days after the
receipt of the report by the Secretary and the Clerk.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders; in computers with limited access.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of reporting individual/entity, SSN, EIN, any project number or grant or loan number,
name of person or entity in whose interest
the registrant appears or works, federal action number, HUD program, and registration number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>File folders and computers kept in a secured area; access restricted to authorized
individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records collected pursuant to Section 112 of the HUD Reform Act of 1989 will be retained for
two years in accordance with section 13,
42 U.S.C. 3537b. Records collected pursuant to section 102 will be retained for five years in
accordance with 42 U.S.C. 3545 of the HUD Reform
Act of 1989. For the Byrd Amendment, records will be destroyed in accordance with HUD Handbook
2225.6, Records Disposition Management: HUD
Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Ethics, Department of Housing and Urban Development, 451 Seventh Street,
SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Headquarters location,
in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the Department of Housing and Urban
Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the Headquarters location. If additional information or
assistance is needed in relation to appeals of
initial denials, it may be obtained by contacting the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection></section>
<section id="dept82" toc="yes">
<systemNumber>/DEPT-82
</systemNumber>
<subsection type="systemName"> ADP Security Clearance Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitivity-S3. Serious risk. Disclosure or alteration of data rated S3 could
seriously threaten the organization or its
mission.
</p><p>Criticality-C1. Useful. The system warrants neither a specific contingency plan nor any
concern during recovery.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All current, former, and prospective HUD employees, as well as contractor personnel,
assigned to sensitive positions related to ADP
systems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains the name, social security number, position sensitivity classification,
location of individual, dates and types of
investigations, and dates and levels of clearances.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintenance of the system includes the following with any revisions or
amendments: Executive Order 10450 and Executive
Order 12065; and, the Housing and Community Development Act of 1987 (42 U.S.C. 3543).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used for administrative reference to schedule and control background
investigations of HUD personnel, as well as
contractor personnel, who have access to sensitive systems of HUD.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other Routine Uses: To officials of
labor organizations recognized under 5 U.S.C.
Chapter 71--(1) notice of the sensitivity level of all sensitive systems, which will be updated
annually; (2) lists of bargaining unit
positions designated as sensitive (provided periodically); (3) schedule of bargaining unit positions
which require background investigations;
(4) notice at the time an employee's access is removed from sensitive systems as a result of any
adverse action; and (5) when possible, intent
to perform planned reviews of ADP security in a specific work environment.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on disks, in computers with limited access, and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name, location, or social security number of an individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The disks, and file folders are kept in a secured area; access restricted to authorized
individuals. The disks and file folders do not
leave the Office of Information Policies and Systems.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Most records are retained for one year after the individual leaves HUD and then are disposed
of by erasing the disks or shredding the
files.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>ADP Security Officer, ADP Security Staff, Office of Information Policies and Systems, 451
7th Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appears
in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer at the appropriate location.
A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules contesting the contents of records and appealing initial denials, by
the individual concerned, appear in 24 CFR
part 16. If additional information or assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of
records, the Privacy Act Officer at the Headquarters location, which is given in appendix A; (ii) in
relation to appeals of initial denials,
the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing and
Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals.
</p></xhtmlContent></subsection></section>

<section id="ec1" toc="yes">
<systemNumber>/EC-01
</systemNumber>
<subsection type="systemName">Compliance Case Tracking System (CCTS--F73).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Computer Center, Lanham, Maryland.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual, corporation, partnership, association, unit of government or legal entity,
however organized,--except; foreign
governments or foreign governmental entities, public international organizations, foreign government
owned (in whole or in part) or controlled
entities, and entities consisting wholly or partially to foreign governments or foreign governmental
entities--proposed for debarment,
suspended, debarred, or voluntarily excluded government-wide, unless otherwise noted, from Federal
procurement and sales programs, non-
procurement programs, and financial benefits. An exclusion may be based on the Federal Acquisition
Regulation (FAR) 9.4; Federal Property
Management Regulation (FPMR) 101-45.6; Government Printing Office (GPO) Instruction 110.11 A;
U.S. Postal Service (PS) Publication 41;
the Non-procurement Common rule; or the authority of a statute, Executive Orders 12549 and 12689 or
regulation applying to procurement or non-
procurement programs. Following are some examples of individuals or persons (proposed for debarment,
debarred, suspended, or voluntarily
excluded): participants who are direct or indirect recipients of HUD funds; and those who represent
entities such as contractors or
corporations who are participants in HUD FHA assisted or sponsored programs including mortgage
insurance programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The automated database contains pertinent information obtained from hard copy compliance
case files. These automated records contain,
but are not limited to: Names; addresses of all persons proposed for debarment; persons debarred,
suspended, or excluded by a Limited Denial
of Participation (LDP) action; cross-references when more than one name is involved in a single
action; the type of action; the cause of the
action; the scope of the action; any termination date for each listed action; and the agency name
and telephone number of the agency point of
contact for the action. The system also contains records of referrals for administrative sanction
action where action is pending or where no
action was taken.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Orders 12549 and 12689; U.S.C. 31, 41, and 42.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To the extent permitted by law, executive departments and agencies shall participate in a
government-wide system for the following
purposes: (1) To exclude from Federal financial and non-financial assistance and benefits under
Federal programs and activities those who have
been debarred or suspended; and (2) to include in the List of Parties Excluded from Federal
Procurement and Nonprocurement Programs all
persons proposed for debarment, debarred, suspended, or excluded by a Limited Denial of
Participation (LDP).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, these records, or information
contained therein, may specifically be disclosed outside of the agency as routine use pursuant to 5
U.SC. 552a(b)(3) as follows, provided that
no routine use listed shall be construed to limit or waive any other routine use specified herein:
</p><p>(a) Internal Revenue Service (IRS)--for the purpose of effecting an administrative offset
against the debtor for a delinquent debt
owed to the U.S. Government by the debtor.
</p><p>(b) Department of Justice (DOJ)--for prosecution of fraud, and for the institution of suit
or other proceedings to effect collection
of claims.
</p><p>(c) General Accounting Office (GAO)--for further collection action on any delinquent account
when circumstances warrant.
</p><p>(d) Outside collection agencies and credit bureaus--for the purpose of either adding to a
credit history file or obtaining a credit
history file on an individual for use in the administration of debt collection for further
collection action.
</p><p>(e) U.S. General Services Administration (GSA)--for compilation and maintenance of a List of
Parties Excluded From Federal Procurement
and Non-procurement Programs in accordance with a recommendation from the Interagency Committee on
Debarment and Suspension, and
identification and monthly distribution of a list of those parties excluded throughout the U.S.
Government (unless otherwise noted) from
receiving Federal contracts or certain subcontracts and from certain types of federal financial and
non-financial assistance and benefits.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The automated records are stored and saved in access files in the CCTS (F73 System).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by names of individuals and companies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The automated records are stored and saved in limited access files in the CCTS (F73 System)
and available only to those persons whose
official duties require such access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>CCTS (F73 System) users, in accordance with internal retention procedures, maintain records
relating to each suspension or debarment
action taken by the Agency. Automated records are retained in the CCTS (F73 System) and kept up to
date.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Departmental Enforcement Center, 1250 Maryland Avenue, Southwest, Suite 200,
Washington, DC 20024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at HUD, 451 7th Street, SW,
room P8202, Washington, DC 20410, in accordance with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rule for providing access to records to the individual concerned appear in
24 CFR, part 16. If additional information
or assistance is required, contact the Privacy Act Officer at HUD, 451 7th Street SW, room P8202,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned appear in 24
CFR, part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at HUD, 451 7th Street, SW, room P8202, Washington, DC 20410; and
(ii) in relation to appeals of initial
denials, the Department of Housing and Urban Development (HUD), Departmental Privacy Appeals
Officer, Office of General Counsel, HUD, 451
Seventh Street, Southwest, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>IInformation in this system of records is obtained from any source which has information to
provide concerning the existence of a
cause for administrative sanction. Examples of record sources include, but are not limited to HUD
employees, Federal government agencies, non-
federal government agencies, Federal and state courts, financial institutions, state and local law
enforcement offices, and regulatory or
licensing agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="ec2" toc="yes">
<systemNumber>/EC-02
</systemNumber>
<subsection type="systemName">Departmental Tracking System (DTS), V02A.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and HUD Computer Center, Lanham, Maryland.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of any program participant who is a direct or indirect recipient
of HUD funds and who is subject to
enforcement action due to fraud, waste, abuse and mismanagement of HUD funds. Individuals would
include: Mortgagors, mortgagees, partners,
partnerships, associations, trustees, boards, board members, managers, developers, sponsors,
builders, administrators, executives, tenants,
employees, health care providers, vendors, consultants, bidders, brokers, appraisers, borrowers,
sellers, contractors, corporations (include
non-profits), attorneys, underwriters, inspectors, grant recipients, accountants, real estate and
closing agents, companies, and units of
government (however organized).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records include pertinent information obtained from other automated systems
such as: Name, address, title, job
classification; identifying numbers such as social security number, tax identification number,
project, and program identification numbers,
and violations; sanctions including debarments, suspensions, Limited Denial of Participation (LDP),
indictments, judgments, convictions, civil
money penalties, reprimands, fines, settlement agreements, foreclosures, removal of program
participants, takeovers, receiverships, 2530
denials, revocation of designation, grant and subsidy sanctions; and all enforcement actions taken
by or on behalf of the Department.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>42 U.S.C. 3533 and 3535
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The DTS is being developed to serve the following purposes: (1) To establish an agency-wide
database that will allow personnel to
access and track information to generate reports on all of the Department's efforts to eliminate
fraud, waste, abuse and mismanagement in all
HUD programs, and (2) to provide a mechanism to cross reference and match data on individuals
against which an enforcement action has been
taken or is in the process of being taken. This information may be used to determine whether those
individuals are eligible to receive or to
continue to receive federal financial and non-financial assistance and benefits under federal
programs and activities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See General Statement of Routine Use paragraphs in prefatory statement, which are
disclosures generally permitted under 5 U.S.C. 552
a(b) of the Privacy Act. In addition to those disclosures generally permitted under the Privacy Act,
these records or information contained
therein, may specifically be disclosed outside of the agency as routine use pursuant to 5 U.S.C.
552a(b)(3) as follows, provided that no
routine use listed shall be construed to limit or waive any other routine use specified herein:
</p><p>a. Internal Revenue Service (IRS)--for the purpose of effecting an administrative offset
against the debtor for a delinquent debt owed
to the U.S. Government by the debtor;
</p><p>b. Department of Justice (DOJ)--for investigation and litigation and representation of HUD
before the courts and performance of all
legal work incident thereto;
</p><p>c. General Accounting Office (GAO)--for further collection action on any delinquent account
when circumstances warrant;
</p><p>d. Outside collection agencies and credit bureaus--for the purpose of either adding to a
credit history file or obtaining a credit
history file on an individual for use in the administration of debt collection for further
collection action;
</p><p>e. Congress and the General Accounting Office (GAO) to provide reports on the Department's
efforts to restore public trust.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic records will be stored in the DTS (V02A System). Printouts will be stored
manually in locked and lockable metal file
cabinets and desk drawers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic records may be retrieved by individual or company name, case name, HUD/FHA
program case number, social security number,
tax/employee Identification number. Printouts may be retrieved manually from metal cabinets and
drawers in the manner in which they are filed.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Automated records will be saved in the DTS (V02A System) and accessed by authorized
personnel who must use secured passwords to enter
the system. Printouts are maintained in file cabinets and drawers within a limited access area.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Automated records will be retained in the DTS (V02 System) and updated. Printouts will be
disposed of in accordance with HUD Handbook
2225.6.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Departmental Enforcement Center, Portals Building, Suite 200, 1250 Maryland
Avenue, SW, Washington, DC 20024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the appropriate location,
in accordance with procedures in 24 CFR part 16. A list of all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individuals concerned appear
in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer at the appropriate location.
A list of all locations is given in
Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location (a list of all locations is given in
Appendix A) and (ii) in relation to appeals
of initial denials, the Department of Housing and Urban Development Departmental Privacy Appeals
Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The Departmental Tracking System will interface with other HUD information systems to
extract pertinent data for tracking and
reporting.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="cagc1" toc="yes">
<systemNumber>/OGC.CAGC.01
</systemNumber>
<subsection type="systemName">Office General Counsel Electronic Discovery Management System. (OGC-EDMS)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The EDMS application will be stored on servers located at 4701 Forbes Boulevard, Lanham, MD 20706. Custodian data to be retrieved is
stored on servers and HUD workstations located throughout the country.[4]</p>
<p>[4] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=append2.pdf</i></p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>OGC-EDMS provides OGC with a method to initiate, track, and manage the collection, organization, and production of paper and
electronic documents for discovery requests, such as litigation hold memoranda, E-Discovery certifications, electronically stored
information (ESI) search requests, closure letters, and any other documents and data relevant to the discovery process requiring
analysis, review, redaction, and production to respond to litigation discovery requirements. The purpose of this system is to assist
HUD to collect electronically stored information and data of any individual who is, or will be, in litigation with HUD, as well as the
attorneys representing the plaintiff(s) and defendant(s) in response to claims by employees, former employees, and other individuals;
to assist in the settlement of claims against the government; to represent HUD during litigation, and to maintain internal statistics.
A new software component is being added to HUD's EDMS process that will streamline the collection, storage, and analysis of case data
to be responsive to requests to HUD.
</p><p>On December 1, 2006, the Federal Rules of Civil Procedure were amended to create and clarify responsibility for preserving and
accessing ESI. The obligation to preserve ESI, as well as paper records, begins when an individual "reasonably anticipates"
litigation and concludes that the evidence may be relevant to such future litigation. Once an individual "reasonably
anticipates" litigation, he/she must suspend any document alteration or destruction to ensure the preservation of relevant
documents and electronically stored information, including emails.
</p><p>EDMS and its various capabilities will allow OGC to streamline and automate the document and data reviews it conducts, allow the
attorneys to analyze the information in different formats, conduct the analysis in bulk more efficiently, and protect unwarranted
disclosure of information by flagging files that contain information therein that is protected from disclosure.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The federal regulation(s)/statute(s) that gives OGC the authority to collect and store this information is Federal Rules of Civil
Procedure (FRCP) 16(b) which allows the court to establish rules around disclosure, privilege, methods and work product prior to
electronic discovery commencing. In this context, disclosure is the collection of data. Other relevant regulations surrounding the
collection and management of electronic discovery are FRCP 26(b)(2), 26(b)(5)(B), 26(f), 33(d), 34(a), 34(b), 37(f), and 45.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: (1) all persons subject to a litigation hold due to a "reasonable
anticipation of litigation" as determined by HUD's OGC; (2) all persons deemed a participant of past or present litigation,
investigations, or arbitration where HUD is involved; and (3) specified individuals impacted by FOIA requests, litigation, and other
cases in HUD.
</p><p>A wide variety of individuals are covered by the system including: individuals who either file administrative complaints with HUD or
are the subject of administrative complaints initiated by HUD; individuals who are named parties in cases in which HUD believes it will
or may become involved; individuals involved in matters within the jurisdiction of HUD either as plaintiffs or as defendants in both
civil and criminal matters; witnesses, and to the extent not covered by any other system, tort and property claimants who have filed
claims against the Government; individuals who are the subject of an action requiring approval or action by a HUD official, such as
appeals, actions, training, awards, promotions, selections, grievances and delegations, including the OGC attorneys to whom cases are
assigned, and attorneys and authorized representatives for whom HUD has received complaints regarding their practices before HUD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include: (1) Custodian name; (2) Custodian work address; (3) Custodian email address; (4) Case
Name; (5) Case number; (6) Custodian email data, including messages among other HUD employees and/or personnel of other federal
agencies or outside entities, and attachments; (7) Custodian local/shared drive data of information collected or compiled from law
enforcement or other agency databases; (8) Spreadsheets including data collections, often including personally identifiable information
and sensitive law enforcement data used to track the process or investigations or focus investigative priorities; records relating to
litigation by or against the U.S. Government (or litigation in which the U.S. Government is not a party, but has an interest) resulting
from questions concerning HUD cases and legal actions that HUD either is involved in or in which it believes it will or may become
involved; claims by or against the U.S. Government, other than litigation cases, arising from a transaction with HUD, and documents
related thereto, including demographic information, vouchers, witness statements, legal decisions, and related material pertaining to
such claims; investigation reports; legal authority; legal opinions and memoranda; criminal actions; criminal conviction records;
claims and records regarding discrimination, including employment and sex discrimination; claims and records regarding the
Rehabilitation Act of 1973 (26 U.S.C. 701); personnel matters; contracts; foreclosures; actions against HUD officials; records relating
to requests for HUD records other than requests under the Freedom of Information Act and the Privacy Act of 1974; testimonies of HUD
employees in federal, state, local, or administrative criminal or civil litigation; documentary evidence; supporting documents
including the legal and programmatic issues of the case, correspondence, legal opinions and memoranda and related records; security
clearance information; any type of legal document, including but not limited to complaints, summaries, affidavits, litigation reports,
motions, subpoenas, and any other court filing or administrative filing or evidence; employee and former employee ethics question forms
and responses; and court transcripts.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. To a Congressional office from the record of an individual in response to an inquiry from that Congressional office made at the
request of the individual to whom the records pertain;
</p><p>2. To the National Archives and Records Administration for use in its records management inspections and its role as an Archivist;
</p><p>3. To the Department of Justice (DOJ) when seeking legal advice for a HUD initiative or in response to DOJ's request for the
information, after either HUD or DOJ determine that such information is relevant to DOJ's representatives of the United States or any
other component in legal proceedings before a court or adjudicative body, provided that, in each case, the agency also determines prior
to disclosure that disclosure of the records to the DOJ is a use of the information contained in the records that is compatible with
the purpose for which HUD collected the records. HUD on its own may disclose records in this system of records in legal proceedings
before a court or administrative body after determining that the disclosure of the records to the court or administrative body is a use
of the information contained in the records that is compatible with the purpose for which HUD collected the records; or to another
agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or
criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a
written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for
which the record is sought;
</p><p>4. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>5. To contractors, grantees, experts, consultants, and the agents thereof, and others performing or working on a contract, service,
grant, cooperative agreement, or other assignment for HUD, when necessary to accomplish an agency function related to its system of
records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on
disclosure as are applicable to HUD officers and employees;
</p><p>6. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to
the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the
disclosure;
</p><p>7. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a subpoena;
</p><p>8. To a grand jury agent pursuant either to a federal or state grand jury subpoena, or to a prosecution request that such record be
released for the purpose of its introduction to a grand jury, where the subpoena or request has been specifically approved by a court;
and
</p><p>9. To appropriate agencies, entities, and persons when: a) HUD suspects or has confirmed that the security or confidentiality of
information in a system of records has been compromised; b) HUD has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of
systems or programs (whether maintained by HUD or another agency or entity) that rely upon the compromised information; and c) the
disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with HUD's efforts to respond
to the suspected or confirmed compromise and prevent, minimize, or remedy such harm for purposes of facilitating responses and
remediation efforts in the event of a data breach.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data collected by OGC-EDMS is stored electronically in a Storage Area Network/Network Attached. There are no manual records
stored or maintained outside the system. Storage is at a secure Lockheed Martin facility, and backed up via an Avamar Backup Storage
system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrieved by the (1) Custodian name; (2) Work address; (3) Custodian email address; (4) Case name; (5) Case number;
(6) Custodian email data; (7) Custodian local drive data; (8) Custodian home/shared drive data; (9) Litigation hold closures; (10)
Litigation hold memoranda; (11) Litigation preservation notices; (12) Litigation hold reminder notices; and (13) ESI identification
email notifications. E-Discovery notifications data is only accessed by individually assigned legal counsel on a case by case basis.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer
system containing the records in this system is limited to those individuals who are authorized to access by appropriate security
clearances and user ID/password permissions. Only assigned users with a need-to-know are allowed access, on a case-by-case basis, after
going through HUD's background investigation process.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In response to the FRCP 16(b), when litigation is "reasonably anticipated," related electronic data is copied and
maintained in a secure server environment separate from HUD's network servers as part of the EDMS.[5] Upon authorization
from a HUD Associate General Counsel, Regional Counsel, or other designated official, OGC closes a case. The closed case and related
electronic litigation data that has been copied and secured in a production environment for the purposes of litigation is purged
electronically from the EDMS. The purging process does not extend to purging electronic data from its original source, such as network
servers. Electronic data is properly retained on network servers and other sources as required by HUD's Office of General Counsel
Records Disposition Schedule 2--Legal Records, 2225.6 REV-1, CHG-APPENDIX 2 [6] and the Electronic
Mail Policy, 2400.1 REV01, CHG.[7]</p>
<p>[5] Other relevant regulations surrounding the collection and management of electronic discovery are FRCP 26(b)
(2), 26(b)(5)(B), 26(f), 33(d), 34(a), 34(b), 37(f), and 45.
</p><p>[6] <i>
http://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/hudclips/handbooks/admh/2225.6.</i>
</p><p>[7] <i>http://www.hud.gov/offices/adm/hudclips/handbooks/cioh/.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of General Counsel (OGC) Tenille Washburn, Assistant General Counsel, Field Management and IT Division, Department of Housing
and Urban Development, 1250 Maryland Avenue SW., Suite 200, Washington, DC 20024. The phone contact information is (202)
402-6536. This is not a toll free number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about them, or those seeking access to such
records, should address inquiries to Donna Staton-Robinson, Chief Privacy Officer, Department of Housing and Urban Development, 451 7th
Street SW., Room 4156, Washington, DC 20410. (Attention: Capitol View Building, 4th Floor.) The phone contact information is (202)
708-5495. This is not a toll free number. Provide verification of your identity by providing two proofs of official
identification. Your verification of identity must include your original signature and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>HUD's rules for contesting the contents of records and appealing initial denials by the individual concerned appear in 24 CFR part
16. If additional information or assistance is needed, it may be obtained by contacting HUD officials as follows:
</p><p>(i) Contesting contents of records: The Department of Housing and Urban Development, Chief Privacy Officer, 451 Seventh Street SW.,
Washington, DC 20410;
</p><p>(ii) Appeals of initial HUD determinations: In relation to contesting contents of records, the HUD Departmental Privacy Appeals
Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Documents and records in this system originate from HUD and its components, courts, subpoenas, law enforcement agencies, other
federal, state, and local agencies, inquiries and/or complaints from witnesses or members of the general public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The records in EDMS are maintained for use in civil rather than criminal actions. For that reason, the relevant provision of the
Privacy Act is 5 U.S.C. 552a(d)(5) which states "nothing in this [Act] shall allow an individual access to any information
compiled in reasonable anticipation of a civil action or proceeding." (See U.S. Department of Justice, Office of Privacy and
Civil Liberties, Overview of the Privacy Act of 1974 (2010) 212.[8])</p>
<p>[8] <i>http://www.justice.gov/opcl/1974tenexemp.htm#one</i>.
</p></xhtmlContent></subsection></section>
<section id="gnma1" toc="yes">
<systemNumber>/GNMA-01
</systemNumber>

<subsection type="systemName">Ginnie Mae Mortgage-Backed Securities Unclaimed Funds System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bank of New York (Contractor site), New York, New York.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Ginnie Mae-guaranteed mortgage-backed securities certificate holders who have not been
located.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Security holder's(s') name(s), address, social security number, certificate number, Ginnie
Mae pool number, and Committee on Uniform
Securities Identification Procedures (CUSIP) number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 306(g), National Housing Act, 12 U.S.C. 1721(g).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is used to track unclaimed security holder payments. Such unclaimed payments are
owed to certificate holders of Ginnie Mae-
guaranteed mortgage-backed securities who cannot be located by the Ginnie Mae servicer.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To the U.S. Treasury--for disbursements and adjustments; and
</p><p>(b) To the Internal Revenue Service and to state and local governments--for reporting
payments for interest; and
</p><p>(c) To the U.S. Department of Justice, courts, Federal, state and local government agencies in
conjunction with civil, administrative and
criminal litigation as well as investigations and audits; and
</p><p>(d) To individuals and entities under contract, cooperative agreement, or working agreement with
HUD to assist the Department in fulfilling
its statutory and management responsibilities.
</p><p>Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the Event
of a Data Breach. A record from a system
of records maintained by this Department may be disclosed to appropriate agencies, entities, and
persons when:
</p><p>(a) The Department suspects or has confirmed that the security or confidentiality of information
in the system of records has been
compromised; and
</p><p>(b) the Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by
the HUD or another agency or entity) that rely upon the compromised information; and
</p><p>(c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the HUD's efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers and back-up files are stored on tapes. Servers are
stored in a secured server room and at an
offsite secured facility for disaster contingency. The original documents (hard copy) are stored
securely at the contractor's office or at a
secured offsite document storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by security holder's(s') name(s), address, social security number,
certificate number, Ginnie Mae pool
number, and CUSIP number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic records are maintained in a secured computer network behind a firewall. Access to
records is limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Are in accordance with HUD Records Disposition Schedule 2225.6, Appendix 20.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Bank of New York servicing Ginnie Mae, Office of Program Operations guaranteed mortgage-
backed securities. Inquiries or requests are
to be submitted to the Bank of New York Mellon, 101 Barclay Street 8 East, New York, New York 10286
(Attention) Evan Delcolle, (202) 815
-2086.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information is needed,
contact:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Officer at HUD, 451
Seventh Street, SW., Room 2256, Washington,
DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are established using information received from servicers of Ginnie Mae-guaranteed
mortgage-backed securities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="gnma2" toc="yes">
<systemNumber>/GNMA-02</systemNumber>

<subsection type="systemName">Ginnie Mae Master Subservicer System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Individual borrowers' and co-borrowers' data relating to mortgage loans pooled in or
formerly pooled in Ginnie Mae Mortgage-Backed
Securities are located at their respective Ginnie Mae Master Subservicer.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Borrowers and co-borrowers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>May include but are not limited to: Borrower's name, co-borrowers' name(s), social security
number, date of birth, property address,
telephone number, email address, and income and other financial data; also, the Federal Housing
Administration (FHA), Department of Veterans
Affairs (VA), Department of Agriculture Rural Housing Service (RHS), or HUD Office of Public and
Indian Housing (PIH) loan number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 306(g), National Housing Act, 12 U.S.C. 1721(g).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information is used to perform a wide range of loan servicing functions. The data are
maintained in a comprehensive loan servicing
system that processes transactions relating to the servicing of home and project loans on behalf of
Ginnie Mae.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To the U.S. Treasury--for disbursements, adjustments, collection services; and
</p><p>(b) To the Internal Revenue Service and to state and local governments--for reporting
payments for mortgage interest, for reporting of
discharge indebtedness and real estate taxes; and
</p><p>(c) To the U.S. Department of Justice, courts, Federal, state and local government agencies in
conjunction with civil, administrative and
criminal litigation as well as investigations and audits; and
</p><p>(d) To individuals and entities under contract, cooperative agreement, or working agreement with
HUD to assist the Department in fulfilling
its statutory and management responsibilities; and
</p><p>(e) To credit bureaus and other entities for credit reporting purposes; and
</p><p>(f) To employers to effect wage garnishment; and
</p><p>(g) To third party purchasers or potential purchasers in connection with asset sale transactions;
and
</p><p>Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the Event
of a Data Breach. A record from a system
of records maintained by this Department may be disclosed to appropriate agencies, entities, and
persons when:
</p><p>(a) The Department suspects or has confirmed that the security or confidentiality of information
in the system of records has been
compromised; and
</p><p>(b) The Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by
the HUD or another agency or entity) that rely upon the compromised information; and
</p><p>(c) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the HUD's efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers and back-up files are stored on tapes. Servers are
stored in a secured server room and at an
offsite secured facility for disaster contingency. The original collateral documents (hard copy) are
stored securely at the contractors'
offices or at a secured offsite document storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information can be retrieved by borrower's name, social security number, property address,
or by FHA, VA, Department of Agriculture
RHS, and PIH Master Subservicer's loan numbers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic records are maintained in a secured computer network behind a firewall. Access to
records is limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Are in accordance with HUD Records Disposition Schedule 2225.6, Appendix 20.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The offices of various contractors servicing as Master Subservicers for Ginnie Mae, Office
of Mortgage-Backed Securities. Individual
borrowers and co-borrowers are to contact the appropriate Master Subservicer identified on their
loan payment statements when requesting
record access, corrections, monthly mortgage loan payment instructions and/or inquiries.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, individual borrowers and co-borrowers are to contact the System Manager
identified above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information is needed,
contact:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Officer at HUD, 451
Seventh Street, SW., Room 2256, Washington,
DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are established using information received from borrowers and from legal instruments
related to borrowers' loans (i.e.,
mortgages, notes, and deeds).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="h3" toc="yes">
<systemNumber>/H-3
</systemNumber>
<subsection type="systemName"> Single Family Housing Monitoring System (F-39).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Single-family mortgagors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Cross-indexes (used to support studies and
investigations).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> National Housing Act of 1934, Pub.L. 73-
479, Sec. 209.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p> Magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name; case file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Computer facilities are secured and accessible only by authorized personnel,
and all files are stored in a secured
area. Technical restraints are employed with regard to accessing the computer and data files.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records system is active and kept up-to-date.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Management Information Systems Division, HAI,
Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. A list of all locations is given in
Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at
Headquarters. A list of all locations is given in
appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the Headquarters location.
This location is given in appendix A; (ii)
in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Subject individuals; current or previous employers; credit
bureau; financial institutions; corporations;
firms; federal government agencies.
</p></xhtmlContent></subsection></section>
<section id="h5" toc="yes">
<systemNumber>/H-5
</systemNumber>
<subsection type="systemName">Single Family Computerized Homes Underwriting Management System (CHUMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia,
and Santa Ana.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have obtained a mortgage insured under HUD/FHA's single family mortgage
insurance programs and individuals who
unsuccessfully applied for an insured mortgage. Also, individuals involved in the HUD/FHA single-
family underwriting process (builders, fee
appraisers, fee inspectors, mortgagee staff appraisers, mortgagee staff underwriters) and HUD
employees involved in the single family
underwriting process (<i>e.g.,</i> staff appraisers, staff mortgage credit examiners, architectural
employees, receiving clerks, assignment
clerks, commitment clerks, records clerks, and closing clerks).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Automated files contain name, address, Social Security Number or other identification
number; racial/ethnic background, if disclosed,
of the mortgagor and information about the mortgage loan. These records also contain the name,
address, Social Security Number or other
identification number, territory, workload, and minority data (including racial/ethnic background,
Minority Business Enterprise (MBE) Code,
and sex, for statistical tracking purposes) of builders, fee appraisers, and fee inspectors. These
records will further contain the name and
identifying number of each mortgagee staff appraiser and each mortgagee staff underwriter and the
territory and workload of those individuals.
Additionally, the automated files contain identification (name and social security or other
identifying number) of HUD employees involved in
the single family underwriting process (Homeownership Center managers, staff appraisers,
architectural employees, receiving clerks, assignment
clerks, commitment clerks, records clerks, and closing clerks).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 203, National Housing Act, Public Law 73-479. The information collection
enables HUD/FHA to process applications for HUD
mortgage insurance and respond to inquiries regarding applications and insured mortgages.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Computerized Homes Underwriting Management System supports Housing staff in the
processing of single family mortgage insurance
applications, from initial receipt through endorsement. F17/CHUMS processes loans for first time
homebuyers, Home Equity Conversion Mortgages
(HECM), Section 203(k) for the rehabilitation of existing properties, VA Certified FHA loans and
other programs. F17/CHUMS also provides
automated assistance in appraisal, mortgage credit evaluation, and FHA's TOTAL Scorecard, a
standardized credit assessment tool. It supports
the conditional commitment process from the Mortgagee's request for property appraisal through
issuance of a conditional commitment, firm
commitment, endorsement, and the automated production of the Mortgage Insurance Certificate.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include: (a) To
other agencies; such as, Departments of Agriculture, Education and Veterans Affairs, and the Small
Business Administration--for use of
HUD's Credit Alert Interactive Voice Response System (CAIVRS) to prescreen applicants for loans or
loans guaranteed by the Federal Government
to ascertain if the applicant is delinquent in paying a debt owed to or insured by the Government.
(b) To the FBI to investigate possible
fraud revealed in underwriting, insuring or monitoring. (c) To Department of Justice for prosecution
of fraud revealed in underwriting,
insuring or monitoring. (d) To General Accounting Office (GAO) for audit purposes. (e) To other
federal agencies, including the Federal
Reserve, and to financial institutions and computer software companies for automated underwriting,
credit scoring and other risk management
evaluation studies. (f) To other Federal agencies, including the Federal Reserve, for purposes of
statistical research, not involving
personally identifiable information, to evaluation program effectiveness in meeting the United
States Department of Housing and Urban
Development/FHA's mission and to inform policy makers on changes to effect program improvements. If
the Department suspects or has confirmed
that the security or confidentiality of information in the system of records has been compromised;
or if the Department has determined that as
a result of the suspected or confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm
to the security or integrity of this system or other systems or programs (whether maintained by the
HUD or another agency or entity) that rely
upon the compromised information; than the disclosure made to such agencies, entities, and persons
is reasonably necessary to assist in
connection with the HUD's efforts to respond to the suspected or confirmed compromise and prevent,
minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, Social Security Number or other identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Automated records are maintained in secured areas. Access is limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computerized records of insured cases are retained for 10 years and those on rejected cases
are retained for 3 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Home Mortgage Insurance Division, HUAH, Department of Housing and Urban
Development, 451 Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 7th Street, SW., Washington, DC. Written requests must include the full
name, Social Security Number, date of
birth, current address, and telephone number of the individual making the request.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Include the following standard language: Procedures for the amendment or correction of
records, and for applicants want to appeal
initial agency determination appear in 24 CFR part 16. If additional information or assistance is
needed, it may be obtained by contacting:
(i) In relation to contesting contents of records, the Privacy Act Officer at the appropriate
location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals
Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Mortgagors, appraisers, inspectors, builders, mortgagee staff appraisers, mortgagee staff
underwriters, and HUD employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="h6" toc="yes">
<systemNumber>/H-6
</systemNumber>
<subsection type="systemName">Single Family Section 518 Files (Construction Complaints).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia, and
Santa Ana.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HUD insured owners of one-to-four family dwellings who filed claims because of structural or
other major defects found in their homes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, home phone number, property inspection report, disposition of claim
information and other information pertinent to the
claim.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 104, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C. 1735b.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To complainants and attorneys representing them to review complainant files for status and
information.
</p><p>(b) To the person or firm complained about for resolution of the complaint.
</p><p>(c) To the Department of Veterans Affairs or the Rural Housing Service for coordination with HUD
in processing construction complaints.
</p><p>(d) To Congressional delegations to provide information concerning status of complaints.
</p><p>(e) To originating and servicing mortgagees to provide information concerning status of
complaint.
</p><p>(f) To state agencies for investigation.
</p><p>(g) To the FBI to investigate possible fraud revealed in the course of the complaint review.
</p><p>(h) To Department of Justice for prosecution of fraud revealed in the course of complaint review.
</p><p>(i) To IRS for investigation.
</p><p>(j) To General Accounting Office (GAO) for audit purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, case number, and claim number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are kept in lockable file cabinets with access limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for six years and then disposed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Home Mortgage Insurance Division, HUAH, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
Appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals and Departmental records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="h7" toc="yes">
<systemNumber>/H-7
</systemNumber>
<subsection type="systemName">Previous Participation Review System (PPRS F19), and Active Partners Performance System
(APPS F24P) Previous Participation Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Principals (owners, general contractors, management agents, consultants and packagers) in
HUD multifamily housing programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information concerning the Department's consideration/approval/disapproval of HUD
multifamily housing program principals, including
names and Social Security Numbers of principals; lists of prior HUD projects; summaries of
financial, management, or operational difficulties
with prior HUD projects (if any); indication of whether principals are or have been the subject of a
government investigation; other
information relevant to the standards for previous participation approval; minutes of deliberative
meetings. Both F19 and F24P contain flags
and the reason for the flag on an external individual or company participant.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7(d), Department of HUD Act, 79 Stat. 670, (42 U.S.C. 3535(d)).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows: To
state and local governments participating in HUD housing programs as co-insurers or finance agencies
--to assist in project application
reviews.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper support files are stored in file folders in locked filing cabinets in a secure room.
F19 runs on the UNISYS system and F24P runs
on a LAN SERVER. It is an Internet/Intranet application.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of principal and HUD project case number. F19 is retrievable by Name and Project
Number. F24P is retrievable by Name, SSN, Tax
ID, Property Name, and Project Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are kept in locked filing cabinets in a secure room. Access is limited to authorized
personnel. F19 is accessible by Authorized
personnel in the Field Offices and Headquarters. F24P is accessible by authorized Business Partners
(for each individual's information only),
Field Office Staff and Headquarters Staff.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are primarily active; disposal is in accordance with HUD Handbook 2225.6 REV-1
on disposition of records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Business Performance Review Division, HRDP, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington,
DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the Headquarters location. A list of
all locations is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list of all locations is given in
Appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Appeals Officer, Office
of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; HUD Field Offices; other governmental agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="h9" toc="yes">
<systemNumber>/H-9
</systemNumber>
<subsection type="systemName"> Project Management Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters, HUD Field Offices and HUD Project Managers under the jurisdiction of the HUD
Field Offices. For a complete listing of
HUD Field Offices with addresses, see appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Occupants (prospective, current and former) of multifamily projects (five or more units)
which HUD expects to acquire, generally as a
result of foreclosure, or has acquired, or of which HUD expects to or his taken possession.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records consist of documents pertaining to rental applications and rent payments. The
documents include leases and rental
information if the projects are being conveyed or transferred to HUD; individuals' names, addresses,
telephone numbers, identifying numbers
such as Social Security Numbers (if available), income, circumstances or employment, expenses,
liabilities, and personal and credit
references, and records of rents paid and owed while tenants of HUD, and related information and
correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>U.S. Housing and Urban Development Act, 42 U.S.C. 3535(d).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See routine uses paragraph in prefatory statement. Other routine uses: Consumer reporting
and commercial credit agencies--to
facilitate claims collection consistent with Federal claims collection standards, 4 CFR 102.4; to
Federal, State and local governmental
organizations--to verify information provided on applications to expose fraudulent information;
to HUD project managers--to permit
them to perform their property management functions; to State motor vehicle agencies and Internal
Revenue Service--to obtain current
addresses to debtors; to attorneys hired by the Department in connection with eviction related
activities--to facilitate eviction related
activities; to collection agencies hired by the Department--to collect delinquent rent; and to
prospective purchasers of tenant occupied
properties--to provide them rent rolls and income and expense data.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders and on magnetic tape, disc or drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Project number, project address, and name of tenant.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Desk, file cabinets kept in secured area. Computer records are maintained in secured areas
with technical restraints employed with
regard to accessing records. Access restricted to authorized individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed of in accordance with the mandatory General Records Schedules contained
in HUD Handbook 2228.2. Project records
are conveyed to purchasers of the projects.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Multifamily Financing and Preservation, Department of Housing and Urban
Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tenants and prospective tenants.
</p></xhtmlContent></subsection></section>
<section id="h11" toc="yes">
<systemNumber>/H-11
</systemNumber>
<subsection type="systemName">Tenant Housing Assistance and Contract Verification Data.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Field Offices. For a listing of Field Offices with addresses, see 24 CFR
part 16, appendix A. Decentralized portions
of this data may be maintained by selected contractors with research contracts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This file contains a record for each individual receiving housing assistance from HUD under
the following programs: Section 8,
Public/Indian Housing, Section 236 (including Section 236 RAP), Rent Supplement, Section 221(d)3
BMIR, Section 811, and Section 202. The file
will also contain a record for each PHA/owner/management agent who receives payments for the
assisted housing programs mentioned above.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records provides data needed to: (1) Determine the amount of housing
assistance tenants may receive, (2) calculate
payments due to public housing agencies, owners/management agents, or contract administrators, (3)
forecast budgets and (4) control funds. The
system of records also contains manual and automated records consisting of: Identification
information such as Name; SSNs for all individuals
six (6) years of age and older; Alien Registration Information; address and tenant unit number;
financial data such as income, adjustments to
income; contract rent amount; tenant rent; tenant characteristics such as number in family, sex of
family member, information about the family
that would qualify them for certain adjustments or for admission to a project limited to a special
population (e.g., elderly, handicapped or
disabled); relationships of members of the household to the Head of household (e.g., spouse, child);
preference(s) applicable to the family at
admission; income status at admission and race and ethnicity of Head of household; unit
characteristics such as number of bedrooms; geographic
data information obtained by PHA or owner from third parties used to verify data supplied by the
applicant or tenant to determine eligibility
or level of assistance; information obtained from a state wage information collection agency on
wages and claim information; information
obtained through computer matching by HUD or a PHA with Federal and State agencies; information on
the results of the follow-up phase of owner
verifications or a computer match of tenant income (i.e., dollar amount of overpaid assistance,
amount repaid, prosecution, termination of
assistance, and termination of tenancy); and related correspondence.
</p><p>Also included are manual and automated records on all contractual agreements, and financial
information (i.e., names, addresses, Taxpayer
Identification Numbers (TINs) or Social Security Numbers (SSNs), obligations, payments, contract
terms) for public housing agencies, and/or
owners/management agents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>United States Housing Act of 1937; as amended, 42 U.S.C. 1437 et seq., and the Housing and
Community Development Amendments of 1981,
Public Law 97-35, 95 Stat. 408.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See routine uses paragraph in prefatory statement. Other routine uses include:
</p><p>1. To Federal, State, and local agencies to verify the accuracy and completeness of data, to
verify eligibility or continued eligibility in
HUD's rental assistance programs, and to aid in identifying tenant errors, fraud and abuse. When
this involves computer matching, the matching
is conducted using HUD/PIH-1, the Tenant Eligibility Verification Files;
</p><p>2. Individuals under contract, cooperative agreement or grant, to HUD or under contract,
cooperative agreement or grant to another agency
with funds provided by HUD--for the performance of research and statistical activities directly
related to the management of HUD's rental
assistance programs, to support quality control for tenant eligibility efforts requiring a random
sampling of tenant files to determine the
extent of administrative errors in making rent calculations, eligibility determinations, etc., for
processing certifications/recertifications,
and for other research and statistical purposes not otherwise prohibited by law or regulation;
</p><p>3. Housing Authorities, (HAs)--to verify the accuracy and completeness of tenant data used
in determining eligibility and continued
eligibility and the amount of housing assistance received;
</p><p>4. Private Owners of assisted housing--to verify the accuracy and completeness of applicant
and tenant data used in determining
eligibility and continued eligibility and the amount of assistance received;
</p><p>5. To HAs, owners/management agents and contract administrators--to identify and resolve
discrepancies in tenant data;
</p><p>6. To the Internal Revenue Service--to report income using IRS Form 1099;
</p><p>7. To Social Security Administration and Immigration and Naturalization Service--to verify
alien status and continued eligibility in
HUD's rental assistance programs;
</p><p>8. To researchers affiliated with academic institutions, with not-for-profit organizations, or
with Federal, state or local governments, or
to policy researchers--in the form of user--defined microdata files, without individual
identifiers--name, address, date of
birth, and Social Security Number--for the performance of research and statistical activities
on housing and community development
issues. Even though no individual identifiers will be included in the data files, patterns in the
data may result in identification of some
individual tenants. Researchers receiving these files may not use them in whole or in part in making
any determination about an identifiable
individual, nor may they release the data to others in a form that can identify individual tenants.
Records will be released under this
paragraph only with approval of the Assistant Secretary for Policy Development and Research;
</p><p>9. To State/County welfare, social service, or employment agencies for the purpose of matching
assisted housing tenant records to
employment, education and other data which would be transmitted to the HUD Office of Policy
Development and Research for statistical analyses
of the resource requirements of welfare reform. The assisted housing tenant records released under
this paragraph may not be used by the
State/County agencies to make decisions concerning the rights, benefits, or privileges of specific
individuals.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folder; magnetic tape/disk.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of tenant and all household members, address, SSN, or other identification number. Name
of owners/management agents by name, SSN
or TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>File folders, automated records kept in a secured area. Access restricted to authorized
individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Obsolete records are destroyed or sent to a storage facility in accordance with HUD Handbook
2235.6, Records Disposition Management;
HUD Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Section 8, Section 236 (including Section 236 RAP), Rent Supplement, Section 221(d)3
BMIR, Section 811, and Section 202--
Office of the Assistant Secretary for Housing: Director, Housing Information and Statistics
Division, Office of Management; Director, Planning
and Procedures Division, Office of Multifamily Housing Management, Deputy Assistant Secretary for
Multifamily Housing Programs; Department of
Housing and Urban Development, 451 7th Street, SW., Washington, DC 20410.
</p><p>For Public and Indian Housing and Section 8 existing and Mod Rehab Programs--Office of
Assistant Secretary for Public and Indian
Housing: Office of Public Housing, Chief, Occupancy Branch, Department of Housing and Urban
Development, 451 7th Street, SW., Washington, DC
20410.
</p><p>For Computer Matching Activities--Director, Computer Matching Activities Division, Office of
Public and Indian Housing Comptroller,
U.S. Department of Housing and Urban Development, 451 7th Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rule for contesting the contents of records and appealing initial denials
by the individual concerned appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 7th Street, SW.,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals, other individuals and organizations, Federal, State, and local
agencies. PHA staff/private owners/management
agents.
</p></xhtmlContent></subsection></section>
<section id="h12" toc="yes">
<systemNumber>/H-12
</systemNumber>
<subsection type="systemName">  Housing Compliance Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Field Offices. For a listing of Field Offices with addresses, see appendix
A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals (those who are direct or indirect recipients of HUD funds; participants, or
contractors with participants in HUD-FHA
assisted or sponsored programs including mortgage insurance programs; or former HUD employees as set
forth in 24 CFR 24.3 and 24.4(f)) who
have been suspended, or debarred, or who are ineligible to participate in HUD programs or those
whose records of participation in HUD programs
are being reviewed for possible administrative actions to exclude them from further participation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The files consist of correspondence and documents pertaining to the subject individuals. The
documents may include indictments,
information, judgments, audits, inspector general investigation reports, credit reports and
financial reports, FBI reports, copies of HUD/FHA
forms, and related documentation and information. The individual's name, family composition, marital
status, arrest record address, telephone
number (if provided), and employment information are also included in the file together with
documentary evidence and/or narrative details
relative to improper or illegal acts or omissions of participants in HUD programs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Department of HUD Act, 79 Stat. 670; (42 U.S.C. 3535(d)).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See routine uses paragraph in prefatory statement. Other routine uses: Attorneys who are in
private practice who represent clients who
have files in the system--to permit the attorneys to properly represent their clients; to
licensing and regulatory agencies as well as to
other Federal and State government agencies--to provide information concerning individuals who
have been administratively sanctioned by
HUD.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Desks, file cabinets kept in a secured area. Access restricted to authorized individuals.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Obsolete records are destroyed or sent to storage facility in accordance with HUD Handbook
2225.6, Records Disposition Management: HUD
Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Participation and Compliance Division, Office of Management, HAC, Department of
Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry abut the existence of records, contact the Privacy
Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in relation to contesting the
contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may be obtained by contacting the
HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>HUD employees, Federal government agencies, non-Federal government agencies, Federal and
State courts, financial institutions
(mortgagees), State, and local law enforcement, regulatory or licensing agencies.
</p></xhtmlContent></subsection></section>
<section id="hs15" toc="yes">
<systemNumber>/HS-15
</systemNumber>
<subsection type="systemName">Single Family Housing Enterprise Data Warehouse (SFHEDW).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The HUD Data Center, Hewlett Packard Facility, South Charleston, West Virginia. HUD staff
throughout the United States access SFHEDW
through HUD's standard telecommunications network from desktop workstations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have obtained a mortgage insured under HUD/FHA's single family mortgage
insurance programs, individuals who assumed
such a mortgage, and individuals involved in appraising or underwriting the mortgage.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Automated files contain name, address, date of birth, home address, and social security
number; racial/ethnic background, if
disclosed, on mortgagors; identifying numbers on individuals involved in processing the loan; and
data regarding currently and formerly
insured mortgages. The loan data includes underwriting data, such as loan-to-value ratios and credit
ratios; original terms, such as mortgage
amount, interest rate, term in months; status of the mortgage insurance; and history of payment
defaults, if any.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 203, National Housing Act, Public Law 73-479; 42 U.S.C. 3543, Housing &amp;
Community Development Act of 1987.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The SFHEDW is an ongoing, fully operational data warehouse that is the key source of data
for anyone who needs Single Family data. It
is an integrated data warehouse that contains critical Single Family business data from fourteen
(14) sources, mostly from FHA Single Family
automated systems. The system allows queries and provides reporting tools to support oversight
activities, market and economic assessment,
public and stakeholder communication, planning and performance evaluation, policies and guidelines
promulgation, monitoring and enforcement.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include:
</p><p>(a) To the FBI to investigate possible fraud revealed in underwriting, insuring or monitoring.
</p><p>(b) To Department of Justice for prosecution of fraud revealed in underwriting, insuring or
monitoring.
</p><p>(c) To Federal National Mortgage Association (also known as Fannie Mae), when Fannie Mae is the
holder of single-family energy efficient
mortgage and Title I home improvement loans, without the use of SSN's.
</p><p>(d) To appropriate agencies, entities, and persons when:
</p><p>(1) the Department suspects or has confirmed that the security or confidentiality of information
in the system of records has been
compromised;
</p><p>(2) the Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by
the HUD or another agency or entity) that rely upon the compromised information; and
</p><p>(3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the HUD's efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on magnetic tape/disc/drum. Manual files are stored in file cabinets with
secured by locks.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number or other identification number, case
number, property address, or any other type
of stored data.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Automated records are maintained in secured areas. Access is limited to authorized
personnel. Manual records are accessed by only
those who have a need-to-know. System access is granted by user id and password only.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computerized records of insured cases are retained for at least 10 years beyond maturity,
prepayment, or claim termination, approved
under HUD's Record Disposition Schedule 13, Title I Records, Appendix 13.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mary Jo Sullivan, Deputy Director, Office of Single Family Program Development, HUP,
Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Acting
Departmental Privacy Act Officer at the
appropriate location in accordance with 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting the contents of records and appealing initial denials appear
in 24 CFR Part 16. If additional
information or assistance is required, contact:
</p><p>(i) The Acting Departmental Privacy Act Officer, Department of Housing and Urban Development; 451
Seventh Street, SW., Room 2256,
Washington, DC 20410, if contesting the content of records; or
</p><p>(ii) The Departmental Privacy Appeals Office, Office of General Counsel, Department of Housing
and Urban Development, 451 Seventh Street,
SW., Washington, DC 20410 for appeals of initial denials.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Mortgagors, appraisers, mortgagee staff underwriters, and HUD employees--indirectly,
immediate sources are the following:
</p><p>1. A43--Single Family Insurance System (SFIS)
</p><p>2. A43C--Single Family Insurance Claims System (CLAIMS)
</p><p>3. A80R--Single Family Premium Collections System--Upfront (SFPCS-U)
</p><p>4. A80H--Single Family Mortgage Asset Recovery Technology System (SMART)
</p><p>5. A80S--Single Family Acquired Assets Management System (SAMS)
</p><p>6. F17--Computerized Home Underwriting Mortgage System (CHUMS)
</p><p>7. F42D--Single Family Default Monitoring System (SFDMS)
</p><p>8. F42--Consolidated Single Family Statistical System (CSFSS)
</p><p>9. F51--Institution Master File (IMF)
</p><p>10. A80N--SF Mortgage Notes Servicing (SFMNS/IFS)
</p><p>11. F72--Title I Insurance and Claims System (TIIS)
</p><p>12. F12--Home Equity Conversion Mortgages (HECM)
</p><p>13. HMDA data from Federal Reserve Board (FRB)
</p><p>14. F71A--Generic Debt Management System (GDEBT)
</p><p>15. A15--Geocoding Service Center (GSC)
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hs16" toc="yes">
<systemNumber>/HS-16
</systemNumber>
<subsection type="systemName">Single Family Neighborhood Watch Early Warning System (NW).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system's databases and coldfusion code are located in Lanham, MD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have obtained a mortgage insured under HUD/FHA's single-family mortgage
insurance programs. Additionally, individuals
involved in the HUD/FHA single-family loan origination process.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of the borrower's name, property address, Social Security Number or other
identification number (ID). Also included in
the records is originating, sponsoring, holder and servicer lender ID and name, mortgage amount,
interest rate, front and back ratios, FHA ADP
code, loan purpose, gift source and amount, loan closing and endorsement dates, default status,
default reason, default date, post endorsement
technical review ratings, underwriter ID and name, appraiser ID and name, HUD indemnification
information, and other data fields associated
with an FHA Case Number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 203, National Housing Act, Pub. L. 73-479.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>NW enables HUD staff and lenders to monitor the default and claim rates on FHA insured loans
for FHA-approved lenders and FHA
programs. NW is designed to highlight exceptions--lenders, programs, loan characteristics and
geographic areas with unusual originations
or high defaults and claims on FHA insured loans. The loan level information is password protected
and can only be viewed by HUD staff with  a
need to know and lenders who were the originator, sponsor, holder, or servicer on the loan.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include:
</p><p>(a) To FHA approved mortgage institutions to monitor the default and claim rates on FHA insured
loans. Mortgage institutions can only view
the loan level information where they were the originator, sponsor, holder, or servicer on the loan.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The NW records are stored on a Sybase 12.5 server HLANUDP001 in the database sfapps and on
Sybase IQ server HUDDW database sfdw.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by a manual or computer search on the number of originations, default,
and defaults and claims from the Early
Warnings menu option, by computer search on the counts in the Loss Mitigation--Current Defaults
Reported display from the Servicing menu
option, and by accessing the Late Endorsement, Pipeline/Uninsured, the Default Report by Servicer
queries. Entering an FHA Case Number from
the Case Status Query feature also retrieves case level detail.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Automated records are maintained in secured areas. Access is limited to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Neighborhood Watch retains up to 13 quarter end dates of two years of summary originations
data, and three quarter end dates of loan
level data.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Quality Assurance Division, HULQ, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 7th Street SW., Washington, DC. Written requests must include the full
name, Social Security Number, date of birth,
current address, and telephone number of the individual making the request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) in relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
initial denials, the HUYD Department Privacy Appeals Officer, Office of General Counsel Department
of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information may be collected from HUD, program participants, and subject individuals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="hs22" toc="yes">
<systemNumber>/HS-22
</systemNumber>
<subsection type="systemName">Housing Counseling System (HCS) with a sub-module as a database naming Client Activity
Report System (CARS)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters, Washington DC and Field Offices. In addition to these offices, HUD-
approved counseling agencies in many cities, both
voluntary and grant awarded by HUD, maintain files of this type. To determine whether such an agency
exists in a particular city, contact the
nearest HUD field office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains records of individuals who have been referred; individuals who have
been or are receiving counseling; assistance
with housing problems and financial problems; and individuals seeking debt and mortgage information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains records on the counseling agency profiles, grant award processes and
client counseling performances. It contains
information on the clients participating in the program; such as, name, address, household
demographics (age, gender, race, ethnicity, income,
assets, marital status, education, current work status, number of dependents, living situation and
costs); financial information (gross
monthly income, amount in savings, amount in retirement accounts, monthly rent paid, monthly
utilities paid, mortgage payment status); Social
Security Number, homeownership status, program status information, counseling agency ID, employment
history of counselor, Born in U.S.,
English as primary language, homeownership status, foreclosure status; name, address, and telephone
numbers of two relatives or friends for
future follow-up.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 106(a) of the 1968 Housing Act; 12 U.S.C. 1701.
</p><p>Purpose:</p>
<p>Is to administer Housing Counseling Assistance to enable anyone who wants to (or already
does) rent or own housing--whether
through a HUD program, a Veterans Affairs program, other Federal programs, a State or local program,
or the regular private market--to
get the counseling they need to make their rent or mortgage payments and to be a responsible tenant
or owner in other ways. The counseling is
provided by HUD-approved housing counseling agencies.
</p><p>Three strategic goals undergird the programs: (1) To improve the quality of renter and homeowner
education, (2) to develop a reliable
stream of funding and resources for counseling agencies, and (3) to enhance coordination among local
housing providers. HUD intends that these
strategies together will create a new expectation among mortgage lenders and insurers, homebuilders,
real estate brokers, nonprofit
organizations, and government agencies: to make counseling an integral part of services for
potential renters and homebuyers.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses paragraphs in prefatory statement. Other routine uses:
</p><p>&#149; For Pooling current agency contact information for the public awareness, monitoring
agency grant spending, monitoring agency
performance in client counseling;
</p><p>&#149; To HUD systems such as, CHUMS, and Office of the Chief Financial Officer (CFO) to
allow lending institutions verification of
HUD programs for agencies;
</p><p>&#149; To the Office of Policy Development and Research, individual under contract with
funds provided by HUD for the preparation of
studies and statistical reports directly related to the management of HUD's Housing Counseling
Program.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>All documents are stored electronically in secure locations--there will be no retaining
of paper copies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>During the counseling process and the retention period, records are maintained in
confidential files with access limited to those
whose official duties require access. Data transmitted from agencies will have SSN and other client
identification data encrypted to conceal
this information. Access to the system is password/ID controlled.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, Case Number, Client property address
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Counseling records are maintained by the counseling agency for as long as the individual
being counseled participates in the program
and up to five (5) years thereafter. The Department may maintain summary records of the counseling
for as long as the individual being
counseled lives in HUD-insured or assisted property.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>George Grotheer, Program Manager, Single Family Housing Program Support Division, HUPH 451
Seventh Street, SW., Room 9274, Washington,
DC 20410. Phone: 202-402-2294
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location, in
accordance with 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act, Department of
Housing and Urban Development, 451 Seventh
Street SW., Room 2256, Washington, DC 20410
</p><p>(ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officers,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is: (1) Supplied directly by the individual, and/or
(2) supplied by Housing Counseling Agency,
and/or (3) supplied by HUD system users.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hsg1" toc="yes">
<systemNumber>/HSG/HWAT.01
</systemNumber>

<subsection type="systemName">Home Equity Reverse Mortgage Information Technology (HERMIT) Service Provider formerly
HUD/HS-10, Home Equity Conversion System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>External hosting location at the following address: 21701 Filigree Ct., Building D, Ashburn,
VA 20147; Housing and Urban Development
(HUD) workstations at 451 Seventh Street SW., Washington, DC 20410; HUD National Servicing Center 2
West 2nd Street, Suite 400, Tulsa, OK
74103; HUD Atlanta Homeownership Center, Five Points Plaza 40 Marietta Street, Atlanta, GA 30303
-2806; HUD Philadelphia Homeownership
Center, The Wanamaker Building, 100 Penn Square East, Philadelphia, PA 19107-3389; HUD Denver
Homeownership Center Processing &amp;
Underwriting--20th FL 1670 Broadway Denver, CO 80202; Santa Ana Homeownership Center, Santa Ana
Federal Building, 34 Civic Center Plaza,
Room 7015, Santa Ana, CA 92701-4003.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>HECM mortgagees and HECM mortgagors for Home Equity Conversion Mortgages insured under HUD's
HECM mortgage insurance program, and FHA-
Approved Housing Counselors who participate in the HECM program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The categories of records in the HERMIT system are as follows:
</p><p>(1) Insurance-in-Force (IIF)/Premiums: HECM insurance-in-force and premium records which include
PII data pertaining borrowers' full names,
property addresses, birthdates, Social Security Numbers, phone numbers and dates of death; case-
level details on the HECM housing counseling
certificate, Maximum Claim Amount (MCA), property appraised values, initial and monthly mortgage
insurance premiums (IMIP &amp; MMIP), set
asides, note interest rates and expected interest rates and case statuses and sub-case statuses;
payment plan types, and other financial
account data such as Principal Limits, monthly interest accruals, late charge and interest charge
fees, historical transaction records for
HECM cases, property taxes and hazard insurance amounts, business partners' banking information
(routing and account numbers); and accounting
data including accounts receivable and payable due to and from HUD.
</p><p>(2) HECM Claims: Borrowers' names, addresses, social security numbers; maximum claim amount, due
and payable approvals; death
notifications, deed-in-lieu; foreclosure actions, extension approvals, interest rates and account
statuses; payment and other financial
account data such as unpaid loan balances, interest accrued, service fees, expenses incurred for
foreclosure and acquisition, protection and
preservation, attorney fees, special assessments; disbursements for taxes, insurance, utilities,
eviction fees, and any other miscellaneous
disbursements; MIP, appraisals, closing costs; claims filed and paid; indemnifications and claim
blocks; business partner banking information
(Tax Identification Number, routing and account numbers), mortgagee reference number; accounting
data including established accounts
receivables and payables; and information for reporting and assumption of servicing activities in
cases of investor claim or default.
</p><p>(3) HECM Loan Servicing: Borrowers' and authorized contacts' names and addresses, birthdates,
age, Social Security Numbers, phone numbers;
email addresses; marital status, gender, preferred language, banking information (institutional
information, routing, account numbers and
account type) maximum loan amounts, premium collection, interest rates and account statuses; payment
and other financial account data such as
loan balance, loan history, interest accrued, fees incurred, claims filed and paid, real estate
property information, property taxes and
insurance amounts, accounting data including debits and credits to HUD accounts based on transaction
events, vendor information; and
information for reporting and assuming servicing activities in case of servicer or investor claim or
default.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 255 of the National Housing Act of 1934 authorizes the FHA reverse mortgage program
for the elderly, the Home Equity
Conversion Mortgage (HECM) program (12 U.S.C.1715Z-20). The Housing and Community Development
Act of 1987 (42 U.S.C. 3543--Sec.
3543) specifically provides authority to collect Social Security Numbers.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>HERMIT provides FHA with a comprehensive service that integrates and automates five
operations of the HECM program (insurance
servicing; claims payment; notes servicing, accounting, and reporting). The HECM program promotes
continued homeownership for the elderly by
allowing elderly borrowers to access the equity in their homes while continuing to live in the
property. HERMIT allows the Secretary to
maintain the "public trust" over the HECM program by seamlessly, accurately and timely
managing the HECM program in an automated
environment. HERMIT allows HECM program personnel to collect and maintain the data necessary to
support activities related to the endorsement
of loans, including collection of initial and monthly premiums. The claims process includes the
filing of claims for insurance benefits and
disbursement of funds to lenders of loans insured under the HECM program. Servicing activities
include maintaining the data necessary to
support performance requirements of servicing for FHA insured and Secretary-held first and second
mortgages. The major activities include
acceptance of assignment and title review, servicing requests for HECM endorsed cases from
Mortgagees (due and payable, short sale, over-
allowables for preservation and protection costs, subordination extension requests and partial
releases), accounting functions, collections
according to the Fair Debt Collection Practices Act, disbursement of payment, annual
recertification, foreclosure activities, bankruptcy
activities, and compliance monitoring. The new HERMIT replacement system will permit HECM mortgagees
to: (1) Interact with one, integrated HUD
HECM system; (2) Interact with HUD's National Servicing Center (NSC) through a new, automated
workflow process; and, (3) Replace manual claims
filing processes with an online, automated claims filing procedure.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 522a(b), other routine
uses are as follows:
</p><p>(1) To servicing mortgagee to give notice of miscalculations or other errors in subsidy
computation, to pay claims, or for other servicing-
related functions.
</p><p>(2) To taxing authorities, insurance companies, homeowners associations or condominium
associations for maintaining the property while HUD
is the servicer of record to ensure property taxes are current.
</p><p>(3) To the U.S. Department of the Treasury for collection and disbursement transactions (Pay.gov,
ACH and check).
</p><p>(4) To title insurance companies or financial institutions to allow HUD to respond to inquiries
for payoff figures on HECM assigned loans.
</p><p>(5) To recorders' offices for recording legal documents and responses to bankruptcy courts or
other legal responses required during the
servicing of the insured loan to allow HUD to release mortgage liens, respond to bankruptcies or
deaths of mortgagors to protect the interest
of the Secretary of HUD.
</p><p>(6) To the Federal Bureau of Investigation (FBI) to investigate possible fraud revealed in the
course of servicing efforts to allow HUD to
protect the interest of the Secretary.
</p><p>(7) To an Administrative Law Judge and to the interested parties to the extent necessary for
conducting administrative proceedings where
HUD is a party.
</p><p>(8) To welfare agencies for fraud investigation to allow HUD to respond to state government
inquiries when a HECM mortgagor is committed to
a nursing home.
</p><p><i>See also on HUD's privacy Web site, Appendix 1 for discretionary routine uses that may be
applicable to this system of records.</i>
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored in case files on servers and backup files are stored on tapes.
Electronic files are replicated at a
disaster recovery offsite location in case of loss of computing capability or other emergency at the
primary facility. HERMIT has no hard
"Paper" copies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records are granted by user ID and password to users who have a need to
know such records. In addition to the
safeguards provided by access controls all electronic data is encrypted while stored on any systems
media within HERMIT or in any transport
mode. Servers are contained in a secured facility with 24x7 security guards including electronic
access and surveillance capabilities (CCTV
and recorders, motion detectors, hand geometry readers, fiber vault) at an offsite location. HERMIT
has no hard "Paper" copies.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, SSN, identification number, home telephone number, personal email address, FHA Case
Number and Mortgagee TIN.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are held in accordance with HUD's Records Disposition Schedules Handbook (2225.6)
Appendix 20(Single Family Home Mortgage
Insurance Program Records) and Appendix 21(Financial Management Information Systems. Paper records
are not in use. Electronic records are held
consistent with standards for paper records. Archival tape media is kept for 7 years and the tapes
are in rotation. Tapes that are faulty and
need to be disposed of follow HUD's IT Security Handbook (2400.25), pursuant to NIST SP 800-88
guidelines section 2.1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Housing Finance and Budget; Department of Housing and Urban Development,
451 Seventh Street SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to Chief Privacy Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 4156,
Washington, DC 20410. (Attention: Capitol View Building, 4th Floor) Requestors must provide identity
verification by providing two proofs of
official identification. Your verification of identity must include your original signature and must
be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR &#167; 16. If additional information or assistance is needed, it may be obtained by
contacting:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at the appropriate
location;
</p><p>(ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Mortgagors, mortgagees, taxing authorities, insurance companies and Housing counselors. The
mortgagors and mortgagees collect the
personal information from program participants and enters the information into the HUD the Single
Family Computerized Home Underwriting
Management System (CHUMs). The HERMIT system interfaces CHUMS for its information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hs50" toc="yes">
<systemNumber>/HS-50
</systemNumber>
<subsection type="systemName">HUD/FHA Lender Approval Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia, and
Santa Ana.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are principals or officers of financial institutions seeking approval or
approved to originate, service or hold FHA
single family or multifamily insured mortgages, or Title I insured loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Manual files contain name, address, social security number, and may contain resumes and
credit bureau reports. Automated files contain
name and social security number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title I and Title II of the National Housing Act; 12 U.S.C. 1703, 1709 and 1751b; 42 U.S.C.
1436a and 3535(d).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in this system of records enables HUD/FHA to comply with any orders of the
Mortgagee Review Board which disqualify
individuals as principals or officers of FHA-approved lenders. It also permits correspondence to be
addressed to individuals rather than job
titles.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include:
</p><p>(a) To the FBI to investigate possible fraud revealed in underwriting, insuring or monitoring.
</p><p>(b) To Department of Justice for prosecution of fraud revealed in underwriting, insuring or
monitoring.
</p><p>(c) To General Accounting Office (GAO) for audit purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual records are stored in file folders. Automated records are stored on magnetic
tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number or other identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual records are maintained in lockable file cabinets in secure office space. Automated
records are maintained in secured areas.
Access is limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Manual records are maintained for 10 years beyond the lender's approval termination.
Automated records are maintained for 10 years
beyond the individual's replacement.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Lender Approval and Recertification Division, HULL, Department of Housing and
Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer at the appropriate location in
accordance with 24 CFR part 16. A list of all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department
of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Mortgagee officer or principal.
</p></xhtmlContent></subsection></section>
<section id="hs52" toc="yes">
<systemNumber>/HS-52
</systemNumber>
<subsection type="systemName">Single Family Acquired Asset Management System (SAMS--A80S).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Charlestown, West Virginia
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are covered by this system include successful bidders of a HUD-owned
property.
</p><p>Also, individuals involved in the sale of HUD/FHA single-family homes Management and Marketing
contractors (M&amp;M), HUD employees,
brokers, Name and Address identifier contractors, and financial control contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain identifying information about purchasers, such as name, Social Security
Number, and current address. In addition, the
files contain appraisal information, tax payments, sales offer information, HUD-1, contract
information, vendor information, 1099
information, and accounting transactions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act as amended (12 U.S.C. 1702 <i>et seq.</i>).
</p><p>Purpose:</p>
<p>SAMS is a management and accounting system for HUD owned and HUD managed single-family
properties. The re-engineered application was
introduced into production in 1996. SAMS supports HUD staff at Headquarters and Homeownership
Centers (HOCs), and HUD's Management and
Marketing (M&amp;M) contractors to track single-family properties from their acquisition by HUD
through the steps necessary to resell the
properties. SAMS captures pertinent data relating to the properties, including acquisition,
maintenance and sales cost, property description
and value, bids and sales proceeds, and special program designations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include:
</p><p>(a) To General Accounting Office (GAO) for audit purposes.
</p><p>(b) IRS for tax purposes.
</p><p>(c) Inspector General Office (IG) for audit purposes.
</p><p>(d) Management and Marketing contractors for processing the sale of HUD Homes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in a computer mainframe.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by computer search by the FHA Case Number, Property Address, or
Purchaser's name and/or social security
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secured computer network behind HUD's firewall. Access is
limited to authorize personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information is archived electronically and stored on magnetic tapes. Records will be
retained and disposed of in accordance with the
General Records Schedule included in HUD Handbook 2228.2, appendix 14, items 21-26.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Jeannie Bonifer, Office of Single Family Asset Management, 451 7th Street, SW., Room 9184,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 Seventh Street, SW., Washington, DC. Written requests must include the
full name, Social Security Number, date of
birth, current address, and telephone number of the individual making the request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records, and for applicants want to appeal
initial agency determination appear in 24 CFR
part 16.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Purchasers, Brokers, appraisers, contractors, and HUD employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hs54" toc="yes">
<systemNumber>/HS-54
</systemNumber>
<subsection type="systemName"> Title I Insurance System (TIIS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p> Mainframe in HUD Headquarters, 451 7th Street SW., Suite P-7110, Washington, DC
20410. Records in HUD's Financial Operations
Center, 52 Corporate Circle, Albany, New York 12203.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals include persons who have made loans insured under HUD's Title I
program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains data fields pertaining to
borrowers' names, addresses, and Social Security
Numbers. The system also contains data fields for records relating to payment and other financial
account data such as loan balance; loan
origination information such as date and amount of loan; date of default; and account statuses.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintaining TIIS and the records it contains is established under the
regulations implementing the Title I loan program,
viz., 24 CFR 201.1 through 200.63. HUD's statutory authority for implementing the regulations
supporting HUD programs is found at 42 U.S.C
3532(a) and (b) and at 12 U.S.C. 1701(a) and (c).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purpose of TIIS is to collect and maintain the data necessary to support
activities related to the servicing of loans
insured under the Title I program. Servicing activities include maintaining records pertaining to
lenders' insurance premiums and processing
claims for loss submitted by participating lenders.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 522a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>1. Records may be disclosed to individuals under contract, cooperative agreement, or working
agreement with HUD to assist the Department in
fulfilling its statutory financial and asset management responsibilities.
</p><p>2. Records may be disclosed during the course of an administrative proceeding, where HUD is a
party, to an Administrative Law Judge and to
the interested parties to the extent necessary for conducting the proceeding.
</p><p>3. Records may be disclosed to the Department of Justice for litigation purposes associated with
the representation of HUD or other Federal
agency before the courts.
</p><p>4. Records may be disclosed to a confidential source to the extent necessary to assist the Office
of the Inspector General or the
Government Accounting Office in an investigation or audit.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Records are stored electronically in computer hardware devices and in hard copy in file
cabinets or other secure storage units.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by computer search via the name of the borrower, name of the
lender, or loan case number and, for a limited
number of records, manually by loan case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network and in locked file cabinets in office
space with controlled access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer records for all active cases are available online in TIIS. Computer records on
inactive cases retired from the system are
removed from the TIIS online files and retained in batch files. Certain records are copied onto
microfiche. Computer records for inactive
cases that have been purged from the system are not retained in a batch file. The financial
histories for these cases have been printed to
microfiche. Records stored in paper files for inactive cases are retained in a Federal Records
Center. Records are disposed of and archived in
a manner that is consistent with the applicable official HUD Records Disposition Schedules and
guidelines.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Lester J. West, Director, HUD, Financial Operations Center, 52 Corporate Circle, Albany, New
York 12203.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to the Project Manager of OHHLHC-CIEF, U.S. Department of
Housing and Urban Development, 451 7th
Street, SW., Suite P-7110, Washington, DC 20410. Written requests must include the full name,
current address, and telephone number of
the individual making the request, including a description of the requester's relationship to the
information in question. The System Manager
will accept inquiries from individuals seeking notification of whether the system contains records
pertaining to them.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information or assistance is
required, contact the Privacy Act Appeals Officer, Office of General Counsel, Department of Housing
and Urban Development, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The insured lenders and loan servicing companies provide the information for the records
stored on TIIS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="hs55" toc="yes">
<systemNumber>/HS-55
</systemNumber>

<subsection type="systemName">Debt Collection and Asset Management System (DCAMS), which consists of two sister systems
identified as F71 and F71A.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Mainframe maintained in HUD Headquarters, 451 Seventh Street, SW., Suite P-7110,
Washington, DC 20410. Records management
performed by HUD's Financial Operations Center, 52 Corporate Circle, Albany, New York 12203.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals who have debts resulting from default on HUD/FHA-insured Title I
loans and from other HUD/FHA loan programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains data fields pertaining to defaulted borrowers that include defaulted
borrowers' names, addresses, Social Security
Numbers, and phone numbers. The system also contains data fields for records relating to payment and
other financial account data such as debt
balance; loan origination information such as date and amount of loan; date of default; and
collection and account statuses. The system also
contains narrative remarks (called Case Remarks) that may include notes pertaining to discussions
with defaulted borrowers and other parties;
information obtained from public and court records, such as assessed property values, lien
histories, case information from probate, state,
and bankruptcy courts; and employer information for defaulted borrowers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>HUD is granted the authority in 24 CFR 17.60 through 17.170 to collect on claims for money
or property arising out of the program
activities of the Department. HUD's statutory authority for collecting and managing claims is found
at 5 U.S.C. 5514, 28 U.S.C. 2672, and 31
U.S.C. 3711, 3716-18, and 3721. The implementing regulations pertaining to HUD's debt
collection activities and collection and use of
personal data to support those activities are found at 24 CFR 17.60 through 17.170.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purpose of DCAMS is to collect and maintain data needed to support activities
related to the collection and servicing of
various HUD/FHA debts. Debt collection and servicing activities include sending both automated and
manually generated correspondence; making
official phone calls; reporting consumer data to the credit bureaus; supporting collection
initiatives, such as wage garnishment, offset of
federal payments, pursuit of judgments, and foreclosure; and supporting defensive litigation related
to foreclosure and actions to quiet
title. It contains information on individuals who have debts resulting from default on HUD/FHA
insured Title I loans and from other HUD/FHA
loan programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 522a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>1. Records may be disclosed to individuals under contract, cooperative agreement, or working
agreement with HUD to assist the Department in
fulfilling its statutory financial and asset management responsibilities.
</p><p>2. Records may be disclosed during the course of an administrative proceeding, where HUD is a
party, to an Administrative Law Judge and to
the interested parties to the extent necessary for conducting the proceeding.
</p><p>3. Records may be disclosed to the Department of Justice for litigation purposes associated with
the representation of HUD or other Federal
agency before the courts.
</p><p>4. Records may be disclosed to the Department of Treasury who provides collection services for
HUD.
</p><p>5. Records may be provided to the national credit bureaus for credit reporting purposes.
</p><p>6. Records may be disclosed to a confidential source to the extent necessary to assist the Office
of the Inspector General or the
Government Accounting Office in an investigation or audit.
</p><p>7. Records may be disclosed to employers to effect wage garnishment.
</p><p>8. Records may be disclosed in asset sale transactions to third party debt purchasers.
</p><p>9. Records may be transmitted to CAIVRS (Credit Alert Interactive Verification Reporting System)
which is a HUD-sponsored database that
makes a federal debtor's delinquency and claim information available to federal lending and
assistance agencies and private lenders who issue
federally insured or guaranteed loans for the purpose of evaluating a loan applicant's
creditworthiness.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in computer hardware devices and in hard copy in file
cabinets or other secure storage units.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by computer search via the name, address, or Social Security Number
of the defaulted borrower and manually by
combination of account number and name of primary defaulted borrower.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network and in locked file cabinets in office
space with controlled access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer records for all active cases are available online in DCAMS. Computer records on
inactive cases retired from the system are
removed from the DCAMS online files and retained in batch files. The case remarks for these cases
remain available online. Some reports can be
generated based on the information stored in the batch files. Computer records for inactive cases
that have been purged from the system are
not retained in a batch file. The financial histories for these cases have been printed to
microfiche. No other reports are available for
purged cases. Records stored in paper files for inactive cases are retained in a Federal Records
Center. Records are disposed of and archived
in a manner that is consistent with the applicable official HUD Records Disposition Schedules and
guidelines.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Lester J. West, Director, HUD, Financial Operations Center, 52 Corporate Circle, Albany, New
York 12203.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to the Project Manager of OHHLHC-CIEF, U.S. Department of
Housing and Urban Development, 451 Seventh
Street, SW., Suite P-7110, Washington, DC 20410. Written requests must include the full name,
current address, and telephone number of
the individual making the request, proof of identity, including a description of the requester's
relationship to the information in question.
The System Manager will accept inquiries from individuals seeking notification of whether the system
contains records pertaining to them.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records and appealing initial
denials appear in 24 CFR part 16. If additional
information or assistance is required, contact:
</p><p>(i) In relation to contesting the content of records, the Departmental Privacy Act Officer at
HUD, 451 Seventh Street, SW., Room 4156,
Washington, DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, the Departmental Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information may be collected from a variety of sources, including HUD, other federal, state,
and local agencies, public records,
credit reports, and HUD-insured lenders and other program participants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hs56" toc="yes">
<systemNumber>/HS-56
</systemNumber>

<subsection type="systemName">Distributive Shares and Refunds System (DSRS, A80D).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Government-owned HITS Data Center in South Charleston, West Virginia and
Lanham, Maryland.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All homeowners who had FHA-guaranteed
loans or FHA direct loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Borrows, co-borrow and claimant, name, social
security number, mailing address; Loan/ Case
Data, FHA Case Number, Property Address Endorsement Date, Termination Date; Financial data;
Correspondence data
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 203 of the National Housing Act and
Section 7(d) of the Department of Housing and
Urban Development Act; Public Law 89-174; 24 CFR 5.210, 24 CFR 200.1101, 24 CFR 203.35; Debt
Collection Act of 1982, Public Law 97
-365; Housing and Community Development Act of 1987, 42 U.S.C 3543
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Upon loan termination DSRS calculates the unearned portion of the upfront
MIP, and for eligible cases to distribute
payments of the unearned portion of the upfront mortgage insurance premium to homeowners; and serves
as the repository of all non-claim
terminated loan data in the Federal Housing Administration's (FHA) single family guaranteed loan
portfolio. DSRS receives information from the
Single Family Insurance (SFIS-A-43) when the insurance is terminated. In approximately
75 % of these situations, a refund is
automatically made to the homeowner, for the remaining cases, DSRS generates an application for
Premium Refund of Distributive Share Payment
(form HUD-27050-B) that is sent to the homeowner. The homeowner returns this form and
supporting documentation to HUD. These
records are forwarded to a data entry contractor who extracts information from the form and prepares
an electronic submission to DSRS.
Documents are returned to HUD headquarters where they are reviewed and shredded after processing of
the payment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follow:
</p><p>(a) HUD staff/management--in order to review and authorize payment to the homeowner(s),
management reporting summary information
(number and type of refunds/distributive shares, dollar value) for production/operations reporting;
</p><p>(b) Online system access if provided to Contractor operated call centers--for general
homeowner inquiries, form request, payments
status. In compliance with the Privacy Act and Litigation, after a two-year period during which the
payment has not yet been made, the
Department has an online query screen, Does HUD Owe You a Refund? (<i>
http://www.hud.gov/ofices/hsg/cop/refunds/index.cfm</i>). At this site,
homeowners and other interested parties can determine if they have a refund/share due;
</p><p>(c) To the Financial Transaction Repository--in order to record accounting transactions in
the U.S. General Ledger format. Summary
information is case specific details (excluding SSN) are provided during the financial and systems
audits conducted by the HUD OIG,CFO, and
external auditors for audit purposes; and,
</p><p>(d) To the U.S. Department of the Treasury--to issue payment to the homeowner(s) and/or
claimants.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Records are maintained on the mainframe and on microfilm, microfiche, and
CD.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by FHA case number and for the webpage by an
individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in secured office space and secure file rooms to which
access is limited to those personnel who
service the records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Documents are destroyed by shredding once the review and/or
approval of payment has been made and the
document image has been verified (usually within 30 days of receipt). Microfilm, microfiche, and CD
images of the records are maintained for
40 years after which they are destroyed by shredding or burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Disbursements &amp; Customer Services Branch,
Office of the Single Family Insurance
Operations Division, Department of Housing and Urban Development, 470 L'Enfant Plaza East, Room
3120, Washington, DC 20026; Chief, Systems
Management Branch, Office of the Single Family Insurance Operations Division, Department of Housing
and Urban Development, 470 L'Enfant Plaza
East, Room 3120, Washington, DC 20026
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at
the Department of Housing and Urban Development, 451 Seventh Street, SW., Room 4176, Washington, DC
20410, in accordance with the procedures
in 24 CFR Part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records, and
appeals appear in 24 CFR part 16. If
additional information or assistance is required, contact the Privacy Act Officer at HUD, 451
Seventh Street, SW., Room 4176, Washington DC
20410.
</p></xhtmlContent></subsection>
	<subsection type="recordSourceCategories"><xhtmlContent><p>Homeowners provide the data on their loan application--the
HUD/VA Addendum to Uniform Residential
Loan Application (form HUD-92900-A). Part III of this form, Notice to Borrowers,
discusses the collection of personal information.
In addition, homeowners are provided with the Important Notice to Homebuyers (form HUD-92900
-B) at loan origination and at loan
termination by the lender. For those refunds that are not automatically paid, a form HUD-27080
-B (OMB Control Number 2502-
0414) is generated and requires the homeowner/claimant to fill in data in order to validate that
they are due the refund/share payment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hs57" toc="yes">
<systemNumber>/HS-57
</systemNumber>

<subsection type="systemName">Single Family Mortgage Notes System (SFMNS) (A80N/NOTES).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Charleston, West Virginia. System software is loaded on computers in HUD
Headquarters, Washington, DC, the
National Servicing Center, Tulsa, OK, and the Servicing Contractors, C&amp;L Service/Morris-Griffin
Corporation, located in Tulsa, OK who
access by VPN access.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors (Secretary-Held Notes and
Subordinate Mortgages).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Mortgagors' name, address, and social security
number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of
1950, 31 U.S.C. 66a. (Pub. L. 81-784).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information is used to track the mortgagors' remittances and the system's
disbursements for protecting HUD's interest
in the mortgaged properties. This information is used by HUD to report to the IRS. The system
contains information about monthly billing,
disbursements, monthly payment applications, and interest and principal data.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those
disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, other routine uses are as
follows:
</p><p>(a) To the U.S. Treasury--for disbursements and adjustments; and
</p><p>(b) To the Internal Revenue Service for reporting of: Payments for mortgage interest; discharge
indebtedness; and real estate taxes.
</p><p>(c) To CAIVRS--Records may be manually keyed into CAIVRS (Credit Alert Interactive
Verification Reporting System) which is a HUD-
sponsored database that makes a federal debtor's delinquency and claim information available to
federal lending and assistance agencies and
private lenders who issue federally insured or guaranteed loans for the purpose of evaluating a loan
applicant's creditworthiness.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Electronic files are stored on disc and backup files are stored on tape.
The original documents (hard copy) are
stored in Tulsa, Oklahoma.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by mortgagor name and/or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are stored in locked cabinets in rooms to which access is limited to
those personnel who service the records.
Background screening, limited authorizations and access, with access limited to authorized
personnel; technical restraints employed with
regard to accessing the records; and access to automated systems by authorized users with passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Are in accordance with HUD Records Disposition Schedule 2225.6,
Appendix 20.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Single Family Post Insurance Division (System
Owner), Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 6232, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer, 451
Seventh Street, SW., Room 4178, Washington, DC 20410, in accordance with the procedures in 24 CFR
part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at HUD, 451
Seventh Street, SW., Room 4178,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of
records appear in 24 CFR part 16. If
additional information is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh
Street, SW., Room 4178, Washington, DC
20410; and,
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The original information was transferred from the A43C System;
new records are established using the
legal instruments (i.e., mortgage, deed, subordinate mortgage, etc.) received from the mortgagees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="hs58" toc="yes">
<systemNumber>/HS-58
</systemNumber>
<subsection type="systemName">Single Family Mortgage Asset Recovery Technology (SMART).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Morris-Griffin Corporation (Sub-Contractor site), Lanham, Maryland; C &amp; L Service
Corporation/Morris-Griffin Corporation
(Contractor/Sub-Contractor site), Tulsa, Oklahoma (Access for HUD users is through a Citrix Server).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagors (Secretary-Held First, Second and Subordinate Note and mortgages).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Mortgagor's name, Spouse name, social security number, loan number, date of birth, property
address, home telephone, personal email
address, telephone number, FHA case number, and income financial data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 204, National Housing Act, 12 U.S.C. 1710(a) in general.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information is used to perform a wide range of FHA Insured and Secretary-held first,
second and subordinate note and mortgage loan
servicing functions. The SMART System is a comprehensive loan servicing system that processes the
mortgage transactions for both forward and
reverse mortgages, including interest, appreciation, amortization and other agreed calculations for
the Secretary-Owned Title II Portfolio.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To the U.S. Treasury--for disbursements and adjustments; and
</p><p>(b) To the Internal Revenue Service--for reporting payments for mortgage interest, for
reporting of discharge indebtedness and real
estate taxes.
</p><p>(c) To CAIVRS--Records may be manually keyed into CAIVRS which is a HUD-sponsored database
that makes a federal debtor's delinquency
and claim information available to federal lending and assistance agencies and private lenders who
issue federally insured or guaranteed loans
for the purpose of evaluating a loan applicant's creditworthiness.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers and back up files are stored on tapes. Servers are
stored in a secured server room and at an
offsite secured facility for disaster contingency.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information can only be retrieved by Mortgagor's name, SSN, FHA Case Number, and home
address. Only individuals with rights to the
full/limited access can view this type of information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The original collateral documents (hard copy) are stored at the Contractors office site for
all open loans and the closed documents
are stored at a secured offsite document storage facility. All hard copy files are stored within a
secured room within the Contractor's
secured office suite when not in use. Background screening, limited authorizations and access, with
access limited to authorized personnel and
technical restraints employed with regard to accessing the records; access to automated systems by
authorized users by passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Are in accordance with HUD Records Disposition Schedule 2225.6, Appendix 20.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Sharon Lundstrom, Director, Housing, Office of Single Family Asset Management, Servicing
&amp; Loss Mitigation Division (a/k/a
National Servicing Center), Tulsa, Oklahoma, Department of Housing and Urban Development, National
Servicing Center, Tulsa, Oklahoma,
Telephone Number (405) 609-8443.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information assistance, or inquiry about existence of records, contact Donna Robinson-
Staton, Departmental Privacy Act Officer,
Department of Housing and Urban Development, 451 Seventh Street, SW., Room 2256, Washington, DC
20410, Telephone Number (202) 402-8073.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Departmental Privacy Act Officer, Department of Housing and
Urban Development, 451 Seventh Street, SW.,
Room 2256, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information is needed,
contact:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act Officer at HUD,
451 Seventh Street, SW., Room 2256,
Washington, DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The original information was transferred from the A43C System and an access database
program; records were also established using the
legal instruments (<i>i.e.,</i> mortgage, deed, subordinate mortgage, etc.) received from the
mortgagees; and loan balances were taken from
F12 (IACS). New loan data is currently loaded via upload of data through a FTR from CHUMS(F17) and
IACS(F12), and the legal instruments.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="hs59" toc="yes">
<systemNumber>/HS-59
</systemNumber>
<subsection type="systemName">Asset Disposition and Management System (ADAMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Dallas, TX and Phoenix, AZ.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are covered by this system include successful bidders of a HUD-owned
property, and non-profit organizations and Asset
Control Area (ACA) participants approved by HUD to purchase HUD/FHA single-family homes. Also,
individuals involved in the sale of HUD/FHA
single-family homes Management and Marketing contractors (M&amp;M), HUD employees, brokers, Name and
Address identifier contractors, and
financial control contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain identifying information about purchasers, such as name, Social Security
Number, and current address. In addition, the
files contain appraisal information, tax payments, sales offer information, HUD-1, contract
information, vendor information, and
financial transactions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act as amended (12 U.S.C. 1702 <i>et seq.</i>).
</p><p>Purpose:</p>
<p>ADAMS is a case management system for HUD owned and HUD managed single-family properties.
The re-engineered application will be
introduced into production in 2009. ADAMS supports HUD staff at Headquarters and Homeownership
Centers (HOCs), and HUD's Management and
Marketing (M&amp;M) contractors to track single-family properties from their acquisition by HUD
through the steps necessary to resell the
properties. ADAMS captures pertinent data relating to the properties, including acquisition,
maintenance and sales cost, property description
and value, bids and sales proceeds, and special program designations. ADAMS also tracks and monitors
certain events after sales under the Good
Neighbor Next Door, non-profit, and ACA sales programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act other routine uses include:
</p><p>(a) To General Accounting Office (GAO) for audit purposes.
</p><p>(b) IRS for tax purposes.
</p><p>(c) Inspector General Office (IG) for audit purposes.
</p><p>(d) Management and Marketing contractors for processing the sale of HUD Homes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in a computer mainframe.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records can be viewed using computer search by the FHA Case Number, Property Address
(including other geographical characteristics
such as contract area, property state/city/county/zip code, Homeownership Center), or contractor ID
or name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secured computer network. Access is limited to authorized
personnel. ADAMS access requires two levels of
logins to access the system. The first login uses HUD Siteminder system to verify that the user has
active HUD authorization. The second login
uses ADAMS internal security system to set permissions for data access and system functionality.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information is archived electronically. Records will be retained and disposed of in
accordance with the General Records Schedule
included in HUD Handbook 2228.2, appendix 14, items 21-26.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Michael Reyes, Office of Single Family Asset Management, 451 7th Street, SW., Room 9178,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 Seventh Street, SW., Washington, DC. Written requests must include the
full name, Social Security Number, date of
birth, current address, and telephone number of the individual making the request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records, and for applicants who want to appeal
initial agency determination appear in 24
CFR part 16. If additional information is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act Officer at HUD,
451 Seventh Street, SW., Room 2256,
Washington, DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Purchasers, Brokers, appraisers, contractors, and HUD employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="hs60" toc="yes">
<systemNumber>/HS-60
</systemNumber>
<subsection type="systemName">Institution Master File (IMF).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is physically housed in a government-owned building (i.e., the U.S. Department of
Housing and Urban Development) in
Washington, DC and at HUD's Charleston, West Virginia field office; backup facilities are located in
HUD's Pennsylvania office. These
buildings are occupied by the Department of HUD's Civil Service employees and contractor personnel
(that use picture identification cards to
access the buildings) and are not open to the general public. System software is loaded on computers
in HUD Headquarters in Washington, DC.
Servicing Contractors access HUD systems via Virtual Private Network (VPN).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Institution Master File (IMF) maintains data on Title I lenders and Title II mortgagees
who originate, underwrite or service a
HUD-insured mortgage.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>IMF includes data such as the lender's first name, last name, Social Security Number (SSN)
and title/position (i.e., Chief Executive
Officer). The IMF application includes data such as the principal employee's name (i.e., first and
last), email address, title, and SSN. The
other records include the following data elements: Tax ID, Title I ID, Institution ID, GNMA ID,
Institution Name, Institution Type, Insurance
Type, Mortgage Type, Doing Business As (aka <i>Fictitious Name),</i> Fiscal Year End, Approval Date,
Phone Number, Fax, E-mail, and
Geographical Address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act of 1937 as amended (Pub. L. 75-412).
</p><p>Purpose:</p>
<p>The IMF maintains the official record of Institutions (Title I lenders and Title II
mortgagees) that are approved by HUD/Federal
Housing Administration (FHA) to originate, service, or invest in FHA-insured mortgages or loans. The
IMF centralizes institution data needed
for the operation of FHA's home mortgage, project mortgage and home improvement, mobile homes and
manufactured homes. This information is used
by more than a dozen other Housing and Ginnie Mae systems for validation of institutional
identification/approval, validation of relationships
between sponsor and loan correspondents, lender notifications, and claim payments. In addition to
being a critical component of insurance
application processing and accounting, an extract from the IMF, together with data from the Single
Family Housing Enterprise Data Warehouse
(SFHEDW), on HUD's Web site, allows the public to locate approved institutions located or doing
business in their area. IMF data (e.g.,
lender's name, address, telephone, fax number, and e-mail address) is extracted and posted on HUD's
Web site (<i>
http://www.hud.gov/ll/code/llslcrit.cfm</i>) to apprise the public of all FHA-approved lenders
within their respective geographic areas. This
information is releasable through the Freedom of Information Act (Pub. L. 89-554, 80 Stat.,
383; Amended 1996, 2002, 2007). The IMF is
used to generate correspondence welcoming newly approved lenders, reminding institutions of their
annual certification requirements, warning
and subsequently advising institutions of withdrawal of their approval for failure to submit
required documentation or pay the required annual
recertification fee. The principal objectives of the IMF are to consolidate information on the
approval status of mortgagees and lenders
participating in FHA's insurance programs. The approval information is fed to FHA processing systems
for use in processing and editing
individual mortgage/loan insurance applications, servicing transactions, and claims. The IMF is the
repository for banking information
(encrypted) for wire transferring payments to mortgagees/lenders for claim reimbursements and
premium refunds. The personal information
collected pertains to the SSNs and Names of the Lenders. The purpose of the information being
collected is to ensure that any senior officer
(e.g., Chief Executive Officer (CEO), Chief Financial Officer (CFO), partner, director, or principal
is in compliance with Section 203(b) of
the Helping Families Save Their Homes Act of 2009, which was enacted on May 20, 2009. The Privacy
Impact Assessment is currently being re-
visited and updated as necessary to incorporate HUD's new Electronic Annual Certification Process
for FHA-approved lenders. Under the former
certification process, lenders certified manually via the submission of a Title II Yearly
Verification Report (i.e., V-Form).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>All external disclosure of data must be accounted for or information from the system is not
released. If unaccounted for, data from
the system cannot be disclosed to any entity external to HUD, including contractors. The following
are examples of routine uses of data
maintained in the system:
</p><p>1. HUD's Office of Policy Development and Research often use IMF data (i.e., non-personally
identifiable information) to conduct studies
and statistical reports--directly related to the management of HUD's FHA Lender and Mortgagee
Certification Program;
</p><p>2. HUD's Office of Lender Activities and Program Compliance use IMF data (i.e., non-personally
identifiable information) to create
correspondence for lenders and mortgagees, reminding them of their annual renewal requirements and
notifying them of their non-compliance with
Departmental rules and requirements for continued program participation; and
</p><p>3. Internal HUD Users and HUD's Office of Lender Activities and Program Compliance contractors
(required to modify IMF per the terms of
their contract) have limited access to "read only" data. As such, HUD staff and
contractors do not have access to privacy
information.
</p><p>4. Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the
Event of a Data Breach. A record from a
system of records maintained by this Department may be disclosed to appropriate agencies, entities,
and persons when:
</p><p>a. The Department suspects or has confirmed that the security or confidentiality of information
in a system of records has been
compromised;
</p><p>b. The Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of systems or programs
(whether maintained by the Department or
another agency or entity) that rely upon the compromised information; and,
</p><p>c. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data is stored on magnetic discs and tapes. UPS is used to transport the tapes on which data
is stored. There is a courier log at the
data center. As of August 2009, there will be no magnetic discs or tapes. Furthermore, there are no
printouts and hardcopies stored,
maintained, or generated from the system. The hard copy V-Form is filed and maintained on microfilm.
However, there is no privacy information
on the hard copy of the V-form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data is retrieved by the Lenders' first and last name, and Social Security Number. Federal
employees and FHA-approved lenders must
access IMF by inputting their User IDs and Passwords, issued by the Department of HUD. Again, all
users with access to IMF are unable to view
personally identifiable data as they have access to "read only" data.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secured computer network behind HUD's protective automated
firewall, which ensures limited access to those
persons whose official duties require the use of such records. Access to automated records is
limited to authorized personnel who must receive
a valid User ID and password. All HUD users and developers access the system from work stations
connected through the local area network (LAN)
routers to the Department's IBM Mainframe platform. Mortgagee/Lender employees view and/or update
selected data in the system through HUD's
WEB portal, FHA Connection. Functional access is granted on an "as needed" basis only by
the IMF Security Administrator or the
Security Coordinator for the lending institution, as appropriate.
</p><p>IMF's software packages provide authentication of a User. User authorizations are controlled at
the application level. The IMF system
controls all online screen authorizations on the Customer Information Control System (CICS). Also,
the FHA Connection security
administration's application controls access to the FHA Connection modules of the IMF system. HUD
will safeguard the SSN and personal
identifying information obtained pursuant to 26 U.S.C. 6103(l) (7) (A) and (B) in accordance with 26
U.S.C. 6103(p)(4), and the IRS's "
Tax Information Security Guidelines for Federal, State and Local Agencies," Publication 1075
(REV 6/2000). Security and private measures
are in place for the organization's implementation of the appropriate safeguards to assure
confidentiality, integrity and availability of
personal information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be retained and disposed of in accordance with the General Records Schedule
included in HUD Handbook 2228.2, appendix 14,
item 25; and appendices 15 and 20. HUD handles and retains output data (i.e., stored on magnetic
discs and tapes) from the information system
in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards,
and operational requirements.
</p><p>Computerized records are maintained in a password-protected environment. If information is needed
for evidentiary purposes, documentation
will be referred to the HUD Office of Inspector General (OIG) in Washington, DC or other appropriate
Federal, State or local agencies charged
with the responsibility of investigating or prosecuting violators of Federal law. Documents referred
to HUD's OIG will become part of OIG's
investigative files.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Housing/Single Family Housing Office of Lender Activities and Program
Compliance (System Owner), Department of
Housing and Urban Development, 451 Seventh Street, SW., Room B133/P3214, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact Donna Robinson-
Staton, Departmental Privacy Act Officer,
451 Seventh Street, SW., Room 2256, Washington, DC 20410, telephone (202) 402-8073 in
accordance with the procedures in 24 CFR Part 16.
Written request for access to records must include satisfactory proof of identity. The means of
proof by certificate of a notary public or
equivalent officer empowered to administer oaths must accompany the request. The certificate within
or attached to the letter must include
full name, current address, city and state of birth, copy of drivers license or equivalent bearing
the requester's signature.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR Part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act, Department of
Housing and Urban Development, 451 Seventh
Street SW., Room 2256, Washington, DC 20410.
</p><p>(ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is supplied directly by the individual, and/or HUD
system users.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sf01" toc="yes">
<systemNumber>/SF01.2502
</systemNumber>
<subsection type="systemName">Lender Electronic Assessment Portal (LEAP/P278), formerly "HUD/FHA Lender Approval
Files."
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>LEAP is hosted on HUD servers located in Charleston, West Virginia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by the system are principals or officers (<i>i.e.</i> director's
managers and owners) of financial institutions
that seek approval or are approved to originate service or hold single family or multifamily FHA-
insured mortgages, or Title I and Title II
insured loans.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>All documents and related data required for a lender's application; including entity-level
information such as lender institution name
and address, business email address, and telephone number, tax identification number, corporate
financial and organizational document,
licenses and corporate credit reports. Other LEAP information include individual personal
information on lending institution officials such as
names, social security numbers, credit reports; background investigation documents types, excluded
party report and individual resumes, and
financial statements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title I and Title II of the National Housing Act; 12 U.S.C. 1703, 1709 and 1751b; 42 U.S.C.
1436a and 3535(d).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To obtain information from lenders and the principals or officers of financial institutions
seeking approval or approved to originate,
service or hold single family or multifamily FHA-insured mortgages, or Title I and Title II insured
loans. The information in this record
system enables HUD/FHA to process applications received for (1) Suitability and verification
purposes; (2) to ensure conformance to FHA Title
I and Title II authorities; (3) to identify specific individuals and roles at lending institutions,
permitting correspondence to be addressed
to individuals rather than job titles.
</p><p>Currently, lenders seeking authority to issue FHA-insured mortgages or Title I and Title insured
loans must manually submit a paper-based
application package, which is analyzed and reviewed by HUD staff. This review ensures the
applicant's capability to adhere to the requirements
of FHA's mortgage insurance programs. LEAP has been developed to streamline the application process
by migrating to electronic transmission of
the requisite package.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses include:
</p><p>(a.) To the FBI during the course of investigating possible fraud in the FHA mortgage insurance,
underwriting, insuring or monitoring
process, to the extent necessary to obtain information pertinent to the investigation,
</p><p>(b.) To the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding,
or in preparation for any proceeding, when
HUD or any component thereof discloses information to DOJ during the course of an investigation to
the extent necessary to obtain information
pertinent to the investigation under the FHA Mortgage Insurance Program,
</p><p>(c.) To HUD contractors, lenders and financial institutions for the purpose of conducting
oversight and monitoring of program operations to
determine compliance with applicable laws and regulations, and financial reporting requirements,
</p><p>(d.) Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the
Event of a Data Breach. A record from a
system of records maintained by HUD may be disclosed to appropriate agencies, entities, and persons
when:
</p><p>(1.) The Department suspects or has confirmed that the security or confidentiality of information
in a system of records has been
compromised,
</p><p>(2.) the Department has determined that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or
other systems or programs (whether
maintained by HUD or another agency or entity) that rely upon the compromised information,
</p><p>(3.) the disclosure made to such agencies, entities, and persons is reasonably necessary to
assist in connection with the HUD's efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm, and
</p><p>(e.) To a commercial or consumer reporting agency to use in obtaining credit reports on
individuals and credit and background reports on
entities.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Automated records are stored on magnetic tape/disc/drum and will be maintained on HUD secure
servers. Paper records will no longer
collected or used by the system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number or other identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Automated records are maintained in secured areas. Access is limited to authorized personnel
with a need-to-know. Paper records are no
longer used by the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The electronic records in LEAP will be maintained in accordance with Schedule 20 of the NARA
General Records Schedule. By reference,
retention policies will also mirror Appendix 20 ("Single Family Home Mortgage Program")
of HUD Handbook 2225.6 REV-1 CHG
-53.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Lender Approval and Recertification Division, Department of Housing and Urban
Development, 451 Seventh Street SW.,
Washington, DC 20410. Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Acting
Departmental Privacy Act Officer identified above.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Include the following standard language: "For information, assistance, or inquiry
about the existence of records, contact Harold
Williams, Acting Departmental Privacy Act Officer at the Department of Housing and Urban
Development, 451 Seventh Street SW., Washington, DC
20410, telephone number (202) 402-8087. Written requests must include the full name, social
security number, date of birth, current
address, and telephone number of the individual making the request."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Include the following standard language: Procedures for the amendment or correction of
records, and for applicants who want to appeal
initial agency determinations appear in 24 CFR part 16. If additional information or assistance is
needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Acting Departmental Privacy Act Officer at
HUD, 451 Seventh Street SW., Room 4178,
Washington, DC 20410; and,
</p><p>(ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, HUD, 451 Seventh
Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Source information is received from financial institution principals, and can include
corporate documents like articles of
incorporation and financial statements.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ochco1" toc="yes">
<systemNumber>/OCHCO.01
</systemNumber>
<subsection type="systemName">Grievance Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The files are maintained at the following locations: U.S. Department of Housing and Urban
Development Headquarters location, 451 7th
Street SW., Washington, DC 20410; and HUD field offices located in the following cities: Washington,
DC; Boston, MA; New York, NY;
Philadelphia, PA; Chicago, IL; Atlanta, GA; Fort Worth, TX; Denver, CO; Seattle, WA; San Francisco,
CA; and Los Angeles, CA. (See also on
HUD's privacy Web site, Appendix II for the addresses of the above Field Offices where Privacy Act
records may in some cases be maintained or
accessed).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current or former HUD employees who have submitted grievances in accordance with part 771 of
OPM regulations (5 CFR part 771), HUD
regulations, or a negotiated procedure.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains records relating to internal grievances filed by agency employees with
any part of the Department. These case
files contain all documents related to the grievance, including, but not limited to statements of
witnesses, reports of interviews and
hearings, examiner's findings and recommendations, a copy of the original and final decision, and
related correspondence and exhibits. This
system includes copies of files and records of internal grievance and arbitration systems that HUD
may establish through negotiations with
recognized labor organizations. This system also includes, contact information, on HUD employees
responsible for processing grievance
requests, such as position/job title, org code, office phone number and work email address and work
address, and office stop. Additional
records will include any other contact information for witnesses, interviewers, examiners and
employee representatives of the grievant. HUD
captures a unique non-indentifying piece of information called, a grievance control number. The only
personal information collected on the
above people would be their name. Other identifying information is dependent upon the specific
nature of the topic being grieved and may
involve the collection of personal data from the grievant.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302, 3301, 3302, E.O. 10577, 3 CFR part 1954-1958 Comp., p. 218, EO 10987, 3
CFR parts 1959-1963 Comp., p. 519.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in the system will be disclosed as follows. In addition to those disclosures
generally permitted under 5 U.S.C. 552a (b) of
the Privacy Act other routine uses include:
</p><p>1. To a congressional office from the record of an individual in response to an inquiry from that
congressional office made at the request
of that individual.
</p><p>2. To the National Archives and Records Administration in records management inspections
conducted under authority of 44 U.S.C. 2004 and
2908.
</p><p>3. To the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or
in preparation for any proceeding, when
HUD or any component thereof disclose information to DOJ during the course of an investigation to
the extent necessary to obtain information
pertinent to the investigation under applicable HUD administered Rental Housing Assistance Programs.
</p><p>4. To HUD contractors for the purpose of conducting oversight and monitoring of program
operations to determine compliance with applicable
laws and regulations, and reporting requirements relevant to this system of records. Individuals
provided information under this routine use
is subject to Privacy Act requirement and limitation on disclosures as are applicable to HUD
officials and employees.
</p><p>5. To the appropriate Federal, State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute,
rule, regulation, or order, where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or
criminal law or regulation.
</p><p>6. To any individual (in the course of processing a grievance) from which additional information
is relevant to the adjudication and/or the
course of processing a grievance, to the extent necessary to identify the individual, inform the
individual of the purpose(s) of the request
for the information and to identify the type of information requested. This routine use is
compatible to the purpose because it is necessary
to disclose information that is appropriate for proper performance of the official duties of the
officer making the disclosure.
</p><p>7. To Federal agency in response to its request, in connection with the hiring or retention of an
employee, the issuance of a security
clearance, the conducting of a security or suitability investigation of an individual, the
classifying of jobs, the letting of a contract, or
the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the
information is relevant and necessary to
requesting the agency's decision on the matter.
</p><p>8. To a court when the Government is party to a judicial proceeding before the court.
</p><p>9. To any individual's in the form of summary descriptive statistics and analytical studies in
support of the function for which the
records are collected and maintained, or for related work force studies. (Note: While published
statistics and studies do not contain
individual identifiers, in some instances the selection of elements of data included in the study
may be structured in such a way as to make
the data individually identifiable by inference.)
</p><p>10. To the Office of Personnel Management (OPM), the Merit Systems Protection Board (and its
office of the Special Counsel), the Federal
Labor Relations Authority (and its General Counsel), or the Equal Employment Opportunity Commission
when requested in performance of their
authorized duties of exclusive representation concerning personnel policies, practices, and matters
affecting work conditions.
</p><p>11. To a request for discovery or for appearance of a witness, information that is relevant to
the subject matter involved in a pending
judicial or administrative proceeding.
</p><p>12. To officials of labor organizations recognized under the Civil Service Reform Act when
relevant and necessary to their duties of
exclusive representation concerning personnel policies, practices, and matters affecting work
conditions.
</p><p>13. To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that
the security or confidentiality of
information in a system of records has been compromised; (b) HUD has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the
security or integrity of systems or
programs (whether maintained by HUD or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist in connection with HUD's
efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm for purposes of facilitating
responses and remediation efforts in the event of
a data breach. (See also on HUD's privacy Web site, Appendix I for other ways that the Privacy Act
permits HUD to use or disclose system
records outside the agency).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are currently maintained in hardcopy file folders. There is currently no
electronic storage of any grievance records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These hardcopy file records are retrieved by the names of the individuals on whom they are
maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Currently, these hardcopy file records are maintained in locked metal filing cabinets to
which only authorized personnel have access.
There are no current electronically stored file folders.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These hardcopy file records are disposed of 3 years after closing of the case. Disposal is
by shredding or burning. See OCHCO Handbook
2225.6, Rev-1, CHG-23, Appendix 3, "Records Disposition Schedule 3", Item 8-
1, dated July 1996.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Employee and Labor Relations Division, Office of Chief Human Capital Officer
(OCHCO), Department of Housing and Urban
Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to, Chief Privacy Officer, Department of Housing and Urban
Development, 451 Seventh Street SW., Room 4156,
Washington, DC 20410. Provide verification of your identity by providing two proofs of
identification. Your verification of identity must
include your original signature and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>It is required that individuals submitting grievances be provided a copy of the record under
the grievance process. However, after the
action has been closed an individual may request access to the official copy of the grievance file.
The Department's rules for providing
access to records to the individual concerned appear in 24 CFR part 16. If additional information or
assistance is required, contact the
Privacy Officer at the appropriate location.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Review of requests from individuals seeking amendment of their records which have been the
subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of these records will be restricted to
determining if the record accurately
documents the action of the agency ruling on the case, and will not include a review of the merits
of the action, determination, or finding.
The Department's rules for contesting the contents of records and appealing initial denials by the
individual concerned appear in 24 CFR part
16.
</p><p><i>(i) Contesting content of records:
</i></p><p>The Chief Privacy Officer, Department of Housing and Urban Development; 451 Seventh Street
SW., Room 4156, Washington, DC 20410, if
contesting the content of records; or
</p><p><i>(ii) Appeals of initial HUD determinations:
</i></p><p>The Departmental Privacy Appeals Office, Office of the General Counsel, Department of
Housing and Urban Development, 451 Seventh
Street SW., Washington DC 20410 for in relation to appeals of initial denials,
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided:
</p><p>Records source are individuals who file a grievance; by testimony of witnesses, by agency
officials, grievance examiners, and/or
arbitrators, and by related correspondence from organizations or persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="cpo1" toc="yes">
<systemNumber>/CPO-01
</systemNumber>

<subsection type="systemName">HUD Integrated Acquisition Management System (HIAMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Information Technology Systems (HITS) Production Data Center located in South
Charleston, West Virginia, and the HUD Headquarters,
Washington, DC 20410, Intranet General Support System, which is also managed by the HITS contractor.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All companies or institutions doing business with HUD and registered as vendors within the
Central Contractor Registry (CCR).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>HIAMS will collect and store vendor Taxpayer Identification Numbers (TINs), vendor names,
and associated point-of-contacts
information: such as names, Social Security numbers when used in lieu of TINs, Dun and Bradstreet
Number (DUN) numbers, and other business
related data, such as business telephone numbers, email addresses and business addresses.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Businesses that choose to do business with the Department are required by law to provide the
information identified herein (31 U.S.C.
7701(c); 31 U.S.C. 3325(d); 26 U.S.C. 6050M; 26 U.S.C. 6041 and 6041A). The vendor Tax ID Number is
transmitted from the CCR. CCR registration
requires vendors who want to do business with the federal government to supply TINs under 31 U.S.C.
7701(c). Vendor SSNs are supplied under
Clause 52.222-8, Payrolls and Basic Records, of the Federal Acquisition Regulations (FAR) in
accordance with the Davis Bacon Act.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Office of the Chief Procurement Officer is implementing the HIAMS as an enterprise-wide,
end-to-end acquisition management system.
The information in HIAMS will be used by HUD to identify companies or institution doing business
with HUD. The information in HIAMS will be
shared with HUD financial management systems to: Record contract obligations and facilitate timely
payments; meet mandatory reporting
requirements (Federal Procurement Data System--Next Generation; and to compile statistics
regarding HUD procurement activity. HIAMS will
include acquisition and/or procurement-related data from planning through contract completion. The
data maintained in HIAMS include budget
execution information required to facilitate financial transactions throughout the procurement
process (e.g., agency expenditures; invoices;
billing dispute resolution documentation; reconciliation documents; service level agreements;
distribution of shared expenses; goods
acquisition information (which involves the procurement of physical goods, products, and capital
assets to be used by the Federal government);
and services acquisition information, which involves oversight and/or management of contractors and
service providers from the private sector.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. To HUD contractors, consultants or others, when necessary to perform a function or
service related to this system of records for
which they have been engaged. Such recipients are required to comply with the Privacy Act of 1974,
as amended (5 U.S.C. 552a).
</p><p>2. To Federal, State and local entities for the purpose of the regular exchange of business
contact information to facilitate collaboration
for official contract business.
</p><p>3. To disclose requirements, and business opportunities through Federal Business Opportunities
(FEDBizOpps) and FedConnect. All information
posted is non-proprietory and unclassified. HUD uses FedBizOpps and FedConnect, to solicit
vendor(s).
</p><p>4. To appropriate agencies, entities, and persons when:
</p><p>a. the Department suspects or has confirmed that the security or confidentiality of information
in the system of records has been
compromised;
</p><p>b. the Department has determined that, as a result of the suspected or confirmed compromise,
there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or
other systems or programs (whether
maintained by HUD or another agency or entity) that rely upon the compromised information; and
</p><p>c. the disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with HUD's efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>All data are stored on the production HIAMS database servers. The data are backed up
regularly in accordance with HUD policy. The
storage practice for paper-based records includes storage, indirect monitoring, and file expiration.
Paper based records do not include
electronic downloads. All paper records are stored in a metal Electronic "Lektriever Vertical
Carousel" repository. Sign out
sheets are used to remove the files from the repository.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Vendor points-of-contacts names, vendor name and address and telephone number, DUN, TIN, and
SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Strict access controls are governed for electronic records by the use of a user ID and
password that require authentication before
access is granted to HIAMS. Paper based records do not include electronic downloads. All paper
records are stored in a metal Electronic
"Lektriever Vertical Carousel" repository. Sign out sheets are used to remove the files
from the repository.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records retention and disposal are in accordance with FAR Subpart 4.7 for Contractor Records
Retention. HIAMS has the ability to store
archived data and is defaulted after 7 years. This complies with all federal regulations. The
retention periods for contract files and/or
procurement files are found in the General Records Schedule issued by the National Archives and
Records Administration, Schedule 3, Item 3.
The procurement records are held for 6 years and 3 months and destroyed in accordance with the
referenced schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Elie Stowe, Assistant Chief Procurement Office for Policy and Systems, HUD, Washington DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Acting
Departmental Privacy Act Officer,
Department of Housing and Urban Development, 451 7th Street SW., Washington, DC 20410. Written
requests must include the full name, Social
Security number, date of birth, current address, and telephone number of the individual making the
request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records, and for applicants who want to appeal
initial agency determinations, appear in
24 CFR, Part 16.
</p><p>(i) In relation to contesting contents of records, the Acting Departmental Privacy Act Officer at
HUD, 451 Seventh Street, SW., Room 4178,
Washington, DC 20410, and;
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from information contained in other
government agencies CCR, Federal Procurement Data
System--Next Generation (FPDS-NG), Online Representations and Certifications Application
(ORCA), Federal Business Opportunities
(FedBizOpps), and FedConnect; and/or information already in other HUD financial systems: HUD Central
Accounting and Program System, and
PeopleSoft HUD Integrated Core Financial System.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="mfh8" toc="yes">
<systemNumber>/MFH-08
</systemNumber>

<subsection type="systemName">Development Application Processing System (DAP/F24A).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Charleston, West Virginia, and all HUD Field Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Mortgagees (Multifamily Map lenders)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Mortgagees name, Employee Identification Number, Tax Identification Number, Social Security
Number, Project address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information is used to verify that the Mortgagees are approved Lenders by HUD.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>(a) To the U.S. Treasury--for disbursements and adjustments; and,
</p><p>(b) To the Internal Revenue Service--for reporting payments for mortgage interest, for
reporting of discharge indebtedness and real
estate taxes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on disc and back up files are stored on tape. The original
documents (hard copy) are stored in each HUD
office.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved via the Project number or the Project status.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are stored in locked cabinets in rooms to which access is limited to those personnel
who service the records. Background
screening, limited authorizations and access, with access limited to authorized personnel and
technical restraints employed with regard to
accessing the records; access to automated systems by authorized users by passwords. Only
individuals with rights to the Mortgage Credit
Discipline can view this type of information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Are in accordance with GSA schedules of retention and disposal. All manual files are locked
in cabinets when not in use. Computerized
files/records are retained for 6 weeks. Obsolete records are destroyed after 3 years. Manual
files/records are sent to storage upon project
receiving final endorsement to the storage facility in Tulsa, OK.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Acting Director, Multifamily Housing Development (System Owner), Department of Housing and
Urban Development, 451 Seventh Street, SW.,
Room 6150, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of records, contact the Privacy Act
Officer, 451 Seventh Street, SW., Room
4178, Washington, DC 20410, in accordance with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appears
in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer at HUD, 451 Seventh Street,
SW., Room 4178, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information is needed,
contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh
Street, SW., Room 4178, Washington, DC
20410; and,
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>All data on the application for Multifamily Housing projects (HUD 92013) and other required
HUD forms, drawings and narratives
(Lender's submission package) is submitted to HUD Field Office.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="mfh10" toc="yes">
<systemNumber>/MFH-10
</systemNumber>

<subsection type="systemName">Real Estate Management System (REMS), effective Fiscal Year 2008 the new system name will be
Integrated Real Estate Management System
(iREMS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Charleston West Virginia, Philadelphia Pennsylvania (back-up facility).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>External business partners approved to do Multifamily business with HUD (e.g., property
owners, management agents, contract
administrators, and owner/agent contacts. (Address, phone, fax, and e-mail)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Loan Servicing information, Section 8 subsidy contract renewals, property management
reviews, physical condition of multifamily
properties and ownership data, workload tracking of HUD staff, Departmental Enforcement Center
tracking for corrective actions/referrals, and
participant/partner information. Within the participant data (owners, lessees, management agents,
and sponsor/developers), the name, address,
telephone number, fax number, e-mail address, and Tax ID Number or Social Security Number are
stored.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>42 U.S.C. 3543, Section 165 of the Housing and Community Development Act, 24 CFR part 5(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>REMS/iREMS is HUD's multifamily property management tool for the Office of Multifamily
Housing (MFH), the Departmental Enforcement
Center (DEC), and the Real Estate Assessment Center (REAC). REMS provides regulatory control over
HUD's Multifamily housing portfolio, and
ensures compliance with HUD program requirements. REMS/iREMS data is the repository of HUD's data
that define the property portfolio of
insured, subsidized, HUD-held, HUD-owned, co-insured, elderly and disabled properties, and provides
portfolio management for Section 8
contracts, physical property inspection follow-up, and financial assessment reviews.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses of the data are to
ensure compliance with HUD regulations and business agreements:
</p><p>(1) Office of Multifamily Housing--to define the portfolio of insured, subsidized, HUD-held,
HUD-owned, co-insured, elderly and
disabled properties; Provides portfolio management for Section 8 contracts, physical inspection
follow-up and financial assessment reviews;
Track property status, loan status and characteristics, Section 8 contract renewals, and financial
status of property owners.
</p><p>(2) Real Estate Assessment Center--to validate financial statement submissions and mortgagee
inspections.
</p><p>(3) Departmental Enforcement Center and Office of Affordable Housing Preservation--to track
property/owner corrective action
referrals.
</p><p>(4) HUD Headquarters staff and Field Offices use data to uniquely identify program participants,
</p><p>(5) Government National Mortgage Association (GNMA) receives monthly extracts of participant data
to confirm the status of active loans.
</p><p>(6) HUD Business Partners (Public Housing Authorities and Community Development Corporations
serving as Performance-Based Contract
Administrators (PBCAs)) will use the information to manage their assigned Section 8 contracts.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The REMS/iREMS database is termed the Housing Enterprise Real Estate Management System
(HEREMS) database. There are three HEREMS
database servers: The main production DB server in Charleston WVA, a hot-backup copy which is
updated several seconds behind the Charleston
server, and a nightly created copy of the HEREMS DB from which standardized reports (created with
Actuate) and Ad hoc reports (via MS Access)
are retrieved. These files are stored on disk and backups are stored on tape. Manual files are
stored in local field office per the records
disposition schedule 18 in Handbook 2225.6 Rev-1.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by Property identification or Contract ID. Within these, it is
possible to use screen queries to drill down
into other layers of subordinate data. In some cases, participant/partner information and security
system access is via name, Taxpayer
Identification Number (TIN) and/or Social Security Number (SSN). However, the Property
Identification or Contract ID are the primary sources
used to retrieve information from the REMS/iREMS.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Data can only be accessed via entry of a valid HUD User ID and Password. HUD Security access
to REMS is controlled by the Web Access
Subsystem (WASS), a common security module for multiple web-based applications.
</p><p>Manual records from forms and printed reports are secured and stored in an enclosed office space
that is accessible only to HUD personnel
with a need to use/know the records content. (i.e., Records are stored in cabinets in rooms to which
access is restricted to those HUD/PBCA
persons performing property asset management functions. Background screening, limited authorization
to specific property and technical web-
based restraints are employed with regard to accessing records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Property data, both current and historical is not archived or destroyed. Owner history data
is maintained indefinitely to support
enforcement actions and portfolio analysis. REMS/iREMS receives data primarily from other computer
applications at HUD. Paper records are
stored here or at the HUD Field Office. These systems follow the records disposition schedule
defined in Appendix 18 of Handbook 2225.6 Rev-1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Stephen A. Martin, Director, Office of Program Systems Management, Office of Multifamily
Housing. Address: 451 Seventh Street, SW.,
Washington, DC 20410
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at the Department of Housing
and Urban Development, 451 Seventh Street, SW., Room 4178, Washington, DC 20410, in accordance with
the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Include the following standard language: Procedures for the amendment or correction of
records, and for applicants want to appeal
initial agency determination appear in 24 CFR part 16. If additional information is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh
Street, SW., Room 4178, Washington, DC
20410; and,
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The sources of data are contractual agreements between HUD and property owners (e.g.,
Regulatory Agreement, Section 8 Housing
Assistance Payments (HAP) contract) and memorandums to HUD from the business partners.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ofheo1" toc="yes">
<systemNumber>/OFHEO-01
</systemNumber>
<subsection type="systemName">Financial Management System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Finance and Administration, OFHEO, 1700 G Street, NW., Fourth Floor, Washington,
DC 20552.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former OFHEO employees and individuals who are providing or have provided goods
or services to OFHEO under contractual
agreements.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relate to employee claims for reimbursement of official travel expenses, including
travel authorizations and advances, and
vouchers showing amounts claimed, exceptions taken as a result of audit, advance balances applied,
and amounts paid. Other records maintained
on employees, where applicable, include records relating to claims for reimbursement for relocation
expenses, including authorizations and
advances, and vouchers showing amounts claimed and amounts paid; records pertaining to reimbursement
for educational expenses and other
miscellaneous reimbursement for small purchases made for official business; records including the
account number of the employee's Government
American Express travel cards; records including the financial institution code and employee account
number for direct deposit; and records
relating to funds owed to OFHEO. Records on individuals who are not employees of OFHEO include
information relating to the purchase of and
payments made for goods or services from individuals, including the financial institution code and
account number for direct deposit of
payments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5701-5709; 12 U.S.C. 4513(b)(9); 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See the Prefatory Statement of General Routine Uses. Another routine use is transmittal of
data contained in the records to the U.S.
Treasury to effect issuance of nonsalary payments to employees and payments to vendors and
contractors;
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in a computerized system and in paper files that are stored in file
folders in locked file drawers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Computerized records are retrieved by the individual's name or by taxpayer identification
number if the individual is a vendor or
contractor. File folders are indexed by year and by a unique order number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system is safeguarded by password and user identification number that provides
specific levels of access or by locked
file drawers and is restricted to employees who have a need to access the system in the performance
of their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention is determined by the General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Financial Management Officer, Office of Finance and Administration, OFHEO, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The OFHEO regulation for providing access to records appears at 12 CFR part 1720. If
additional information or assistance is required,
contact the Privacy Act Officer at OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting initial denials for access to or amendment of records appears
at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act Appeals Officer at OFHEO, 1700 G
Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information is obtained from the individual on whom the record is maintained, other
Federal agencies, financial institutions, and
courts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ofheo4" toc="yes">
<systemNumber>/OFHEO-04
</systemNumber>
<subsection type="systemName">Property Inventory System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Finance and Administration, OFHEO, 1700 G Street, NW., Fourth Floor, Washington,
DC 20552.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former OFHEO employees who have had property items assigned to them.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include the employee name, OFHEO organizational unit, office telephone number, pager
number, room number, description of
property item, and copies of signed custody receipts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 4513(b)(9); 40 U.S.C. 47, et seq..
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See the Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in a computerized system and in paper files that are stored in file
folders in locked file drawers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Computerized records are retrieved by the individual's name. File folders are indexed by
property item.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system is safeguarded by password or by locked file drawers and is restricted
to employees who have a need to access the
system in the performance of their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention is determined by the General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Contracting/Facilities Management Specialist, Office of Finance and Administration, OFHEO,
1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The OFHEO regulation for providing access to records appears at 12 CFR part 1720. If
additional information or assistance is required,
contact the Privacy Act Officer at OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting initial denials for access to or amendment of records appears
at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act Appeals Officer at OFHEO, 1700 G
Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the OFHEO Contracting/Facilities Management Specialist, Office
of Finance and Administration, and from
subject individuals to whom property items are assigned.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ofheo7" toc="yes">
<systemNumber>/OFHEO--07
</systemNumber>

<subsection type="systemName">Mortgage Fraud System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Mortgage Fraud System is located in the Office of Federal Housing Enterprise Oversight,
1700 G Street, NW., Fourth Floor,
Washington, DC 20552, and in any alternate work site utilized by employees of the Office of Federal
Housing Enterprise Oversight (OFHEO) or
individuals assisting such employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Mortgage Fraud System contains information about:
</p><p>1. Individuals or entities that are known perpetrators or suspected perpetrators of a known or
possible mortgage fraud committed or
attempted against the Federal National Mortgage Association (Fannie Mae) or the Federal Home Loan
Mortgage Corporation (Freddie Mac)
(collectively, the Enterprises).
</p><p>2. In connection with any such known or possible mortgage fraud:
</p><p>(a) Individuals who are directors, officers, employees, agents, of an Enterprise;
</p><p>(b) Individuals or entities that are actual or potential victims of mortgage fraud;
</p><p>(c) Individuals or entities involved;
</p><p>(d) Individuals who are named as possible witnesses;
</p><p>(e) Individuals or entities who have or might have information about reported matters;
</p><p>(f) Individuals or entities named as preparers of any reports; or
</p><p>(g) Individuals or entities named as persons to be contacted for assistance by OFHEO.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records in the Mortgage Fraud System contain information about the categories of persons
or entities specified in "Categories of
Individuals Covered by the System." The records may also contain information pertaining to criminal
prosecutions, civil actions, enforcement
proceedings, and investigations resulting from or relating to the records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The system is established and maintained pursuant to 12 U.S.C. 4513 and 12 CFR part 1731.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Mortgage fraud or possible mortgage fraud information is used by OFHEO in furtherance of its
supervisory responsibilities to ensure
the safe and sound operations of the Enterprises.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b), and in addition to the
general routine uses identified in the
Prefatory Statement of General Routine Uses in 63 FR 9007 (February 23, 1998), OFHEO may use the
records contained in Mortgage Fraud System,
to:
</p><p>1. Provide information derived from the system to the Financial Crimes Enforcement Network, the
Department of Housing and Urban
Development, and other government authorities, as determined by OFHEO to be appropriate;
</p><p>2. Disclose information or records to individuals or entities in furtherance of eliciting
information pertinent to the supervisory
responsibilities of OFHEO; and
</p><p>3. Furnish analytic and statistical reports to government authorities and the public providing
information about trends and patterns
derived from information contained in the system, in a form in which individual identities are not
revealed.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in electronic and paper format. Paper records are maintained in file
folders, index cards, rolodex-type files,
notebooks, or files. Computer files are maintained on magnetic tape, diskette, or other machine
readable format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data in the Mortgage Fraud System may be retrieved by sectionalized data fields or by the
use of search and selection criteria, such
as an individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system is located in a guarded building that has restricted access. Access to the
computer facilities and any paper records is
subject to additional physical safeguards that restrict access. Access to any electronic records in
the system is restricted by means of
passwords and non-transferable identifiers. Back-up magnetic tapes are kept in an off-site storage
facility in Sterling, VA. Records in hard
copy are maintained in locked file cabinets. Access is limited to those individuals who have an
official need to know.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be updated periodically to reflect changes, and will be
maintained in electronic form as long as needed
for the purpose for which the information was collected. Records will be disposed of in accordance
with applicable law.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Information Officer, Office of Technology and Information Management, Office of
Federal Housing Enterprise Oversight, 1700 G
Street, NW., Fourth Floor, Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The OFHEO regulation for providing access to records appears at 12 CFR part 1702. If
additional information or assistance is required,
contact the Privacy Act Officer at OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting initial denials for access to or amendment of records appears
at 12 CFR part 1702. If additional
information or assistance is required, contact the Privacy Act Appeals Officer at OFHEO, 1700 G
Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system may be provided by the Enterprises and members of the public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ofheo11" toc="yes">
<systemNumber>/OFHEO-11
</systemNumber>
<subsection type="systemName">Litigation and Enforcement Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Most records are not classified. However, in some cases, records of certain individuals, or
portions of some records may be classified
in the interest of national security.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The LEIS is located in the Office of Federal Housing Enterprise Oversight, 1700 G Street,
NW, Fourth Floor, Washington, DC 20552, and
any alternate work site utilized by employees of the Office of Federal Housing Enterprise Oversight
(OFHEO) or individuals assisting such
employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The LEIS contains information about individuals in connection with civil, regulatory and
administrative proceedings, including
enforcement proceedings, brought by or against OFHEO, and other proceedings in which OFHEO
participates or has an interest. The LEIS contains
the names and other personally identifiable information of individuals who are parties to such
proceedings and actual or potential witnesses
in connection with such proceedings.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The LEIS includes records generated or assembled in connection with civil, regulatory and
administrative proceedings, including
enforcement proceedings, other proceedings brought by or against OFHEO, and other proceedings in
which OFHEO participates or has an interest.
Such records may include but are not limited to intra- or inter-agency correspondence or memoranda;
criminal referral reports; federal, state
or local criminal law enforcement agency investigatory reports, intra-agency investigative reports;
citizen accounts of events that may
include allegations of wrongdoing; evidentiary material, transcripts of testimony and exhibits
thereto, names of witnesses, discovery
materials, and other documents generated or obtained in connection with the proceeding. The LEIS
also includes records and documents generated
in connection with court or administrative tribunal databases and electronic access services such as
Public Access to Court Electronic Records
(PACER). Note: Certain records contained in this system of records may be proprietary to other
federal agencies. OFHEO will notify the
proprietary agency of any request relating to such records and seek its guidance with respect to
disposition. OFHEO may forward such a request
to the proprietary agency for disposition under its regulations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Safety and Soundness Act (12 U.S.C. 4513(b); and 12 U.S.C. 4631-4636.)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in this system is used by OFHEO to support its regulatory, supervisory and
enforcement functions, and to represent its
interests in connection with civil, regulatory or administrative proceedings, including enforcement
actions brought by or against OFHEO, or in
which OFHEO participates.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b) and in addition to the
general routine uses identified in the
Prefatory Statement of General Routine Uses, 63 FR 9007 (February 23, 1998), it shall be a routine
use to disclose information contained in
this system for the purposes and to the users identified below:
</p><p>1. To the Department of Justice or any other federal government agency such as the Securities and
Exchange Commission, or Congress or any
foreign, state or local agency responsible for enforcing, investigating or prosecuting civil or
criminal laws or regulations where the
information is relevant to an enforcement proceeding, investigation or prosecution within such
agency's jurisdiction, and as may be necessary
to pursue or coordinate enforcement, administrative, regulatory, or other proceedings,
investigations and inquiries;
</p><p>2. To a Federal or State court, magistrate, administrative law judge, administrative tribunal, or
grand jury in the course of presenting
evidence, including disclosures to counsel or witnesses in the course of discovery, litigation, or
settlement negotiations and/or in response
to subpoenas seeking documents or testimony relevant or potentially relevant to the subject
proceeding; and, where relevant or potentially
relevant to the proceeding, to the court or administrative tribunal databases and electronic access
services such as PACER;
</p><p>3. To a consultant, person, or entity, including outside counsel, contractors, copying services,
document database service providers, or
other firms or individuals who contract or subcontract with OFHEO, to the extent necessary for the
performance of the contract or subcontract
and consistent with the purposes of this system of records. The recipient of the records shall be
required to comply with the requirements of
the Privacy Act of 1974, as amended (5 U.S.C. 552a).
</p><p>4. To the General Services Administration and the National Archives and Records Administration
for the purpose of records management
inspections conducted under statutory authority of 44 U.S.C. 2904 and 2906.
</p><p>5. To appropriate agencies, entities, and persons when (a) OFHEO suspects or has confirmed that
the security or confidentiality of
information in the system of records has been compromised; (b) OFHEO has determined, that as a
result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or
harm to the security or integrity of this
system or other systems or programs that rely upon the compromised information; and (c) the
disclosure made to such agencies, entities, and
persons is reasonably necessary to assist in connection with OFHEO's efforts to respond to the
suspected or confirmed compromise and prevent,
minimize or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures may be made from this system pursuant to 5 U.S.C. 552a(b)(12) to consumer
reporting agencies as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) when OFHEO is trying to collect a claim of the Government under a
law, except the Internal Revenue Code of
1986, in accordance with 31 U.S.C. 3711(e).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in electronic format and in paper format in a secure location. Paper
records are maintained in file folders, index
cards, rolodex-type files, notebooks, or files. Electronic records are maintained on computer hard
drives, network systems, magnetic tape,
diskette, or other machine readable formats.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by subject name, title, or other personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic records are password protected and available only to authorized personnel. Paper
documents are kept in locked offices and
only available to authorized personnel. Access is restricted to staff who have a need to access the
system in performance of their duties.
Back up tapes are stored in a locked, controlled room in a secure location.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be retained for a minimum of seven years. The National Archives and
Records Administration (NARA) will determine if
the retention period should be longer than seven years. Paper records that have met the NARA
approved schedule will be disposed of by
shredding. Electronic records that have met the NARA approved schedule will be deleted, erased, or
overwritten.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>General Counsel, Office of Federal Housing Enterprise Oversight, 1700 G Street, NW.,
Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the Privacy Act Officer, Office of Federal Housing Enterprise Oversight, 1700 G
Street, NW., Fourth Floor, Washington, DC
20552.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The OFHEO regulation for providing access to records appears at 12 CFR part 1702. If
additional information or assistance is required,
contact the Privacy Act Officer, Office of Federal Housing Enterprise Oversight, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Access to certain materials in this System of Records may be withheld or exempted under 5 U.S.C.
552a(d)(5) if compiled in reasonable
anticipation of litigation or if subject to the attorney-client privilege or other recognized
privileges.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The OFHEO regulation for contesting records procedures appears at 12 CFR part 1702. If
additional information or assistance is
required, contact the Privacy Act Appeals Officer, Office of Federal Housing Enterprise Oversight,
1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in these records is provided by the individual who is the subject
of the record, the Federal National
Mortgage Association or the Federal Home Loan Mortgage Corporation (collectively, "Enterprises
") for whom the individual works or
worked; witnesses; consultants to the Enterprise for whom the individual works or worked;
consultants to OFHEO; U.S. attorneys, administrative
tribunals, U.S. district courts; other federal, state, or local agencies; parties to the
proceedings; or other sources of discovery relevant
to the proceedings.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Certain records and information in this system that are investigatory and compiled for law
enforcement purposes are exempt under
subsection 552a(k)(2) of the Privacy Act to the extent that information within the system meets the
criteria of that subsection of the Act.
Such information has been exempted from the provisions of subsections (c)(3); (d)(1), (2), (3) and
(4); (e)(1), (3), (4)(G) and (I); and (f)
of the 5 U.S.C. 552a; see 12 CFR part 1702.
</p><p>The exemption is necessary in order to protect information relating to law enforcement
investigations from disclosure to subjects of
investigations and others who could interfere with investigatory and law enforcement activities.
Exemption will preclude subjects of
investigations from frustrating investigations, will avoid disclosure of investigative techniques,
will protect the identities and safety of
confidential informants and of law enforcement personnel, will ensure OFHEO's ability to obtain
information from human sources, will protect
the privacy of third-parties, and will safeguard sensitive information.
</p><p>Certain records contained in this system of records may be proprietary to other federal agencies
and subject to exemptions imposed by those
agencies, including the criminal law enforcement investigatory material exemption of 5 U.S.C.
552a(j)(2).
</p></xhtmlContent></subsection></section>
<section id="ohhlhc1" toc="yes">
<systemNumber>/OHHLHC-1
</systemNumber>
<subsection type="systemName">Compliance Investigation and Enforcement Files of the Office of Healthy Homes and Lead
Hazard Control ("CIEF").
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals included in the system with respect to residential properties
include: Owners, managers, agents, and
landlords; potential purchasers; and prospective and actual tenants. Categories of individuals
included in the system with respect to
referrals of concerns include: tips or complaints that are not anonymous, EPA, local government
agencies (e.g., health departments and
building code enforcement agencies), not for profit organizations interested in protecting the
rights and health of tenants, and the HUD
Inspector General. Categories of individuals included in the system with respect to investigation of
properties include: HUD employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of the following information pertaining to the owner, manager and agent:
Name, title, address, telephone number, fax
number, e-mail address, company name, corporate registration number, and corporate registered agent
name. Records also include: Property
information, residential lease information, documents related to lead-based paint and lead-based
paint hazards, inspection reports, risk
assessment reports, clearance tests, and associated disclosures and notifications, local housing
code violation information, number of child
lead-poisoning reports for a property, source of referral, consent agreements and administrative
settlements, and the associated monitoring of
these agreements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>HUD is charged with ensuring proper disclosure of information concerning lead upon transfer
of residential property, whether by sale
or lease, under 42 U.S.C. 4852(d). HUD has authority to promulgate regulations to enforce the
statutory requirements under 42 U.S.C. 4852d(a)
(1) and (2). HUD's statutory authority to enforce its regulations are found at 42 U.S.C. 4852d(a)(5)
and (b). Additionally, HUD is charged
with establishing procedures to eliminate the hazards of lead-based paint in any housing receiving
Federal assistance under 42 U.S.C. 4822(a).
24 CFR part 35 contains the implementing regulations promulgated pursuant to the statutes.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purpose of CIEF is to enable OHHLHC to complete its statutory responsibility to
ensure compliance with the Lead Disclosure
Rule 24 CFR 35, subpart A, and the Lead Safe Housing Rule 24 CFR part 35, subparts B-R. The
lead disclosure is to occur before a lessee
or buyer is obligated under a lease or sale agreement. The only way to verify disclosure is to
evaluate the documentation that memorializes
these transactions and the parties involved. Since knowledge is an integral aspect of disclosure,
any documentation regarding knowledge of
lead (e.g., lead-based paint inspections, lead-based paint inspections risk assessments, hazard
reduction activities, local abatement orders
or notices of code violations, etc.) is necessary for verifying what and when the owner or his agent
knew or should have known.
</p><p>In the case of federally assisted housing, the owner or designated party is required to perform
some type of inspection and attendant
abatement action. The regulations require ongoing activities until all lead-based paint is removed,
including use of lead safe work practices
and notification of tenants regarding all of these activities.
</p><p>If an OHHLHC investigation indicates a violation or potential violation of the lead disclosure
rule, relevant documents may be disclosed to
the appropriate Federal, state or local authority for investigation or enforcement of the applicable
laws and regulations. If an OHHLHC
investigation indicates a violation or potential violation of the lead safe housing rule, relevant
documents may be disclosed to the
appropriate program office or Enforcement Center for investigation or enforcement of the applicable
laws and regulations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 552a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>1. Records may be disclosed to individuals under contract, cooperative agreement, or working
agreement with HUD to assist the Department in
fulfilling its statutory lead disclosure responsibilities.
</p><p>2. Records may be disclosed during the course of an administrative proceeding where HUD or other
federal agency is a party, to the
Administrative Law Judge and the interested parties to the extent necessary for conducting the
proceeding.
</p><p>3. Records may be disclosed to the Department of Justice for litigation purposes associated with
the representation of HUD or other Federal
agency before the courts.
</p><p>4. Records may be disclosed to a confidential source to the extent necessary to assist the Office
of Inspector General in an investigation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in computers and in hard copy format in file cabinets or
other secure storage units.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by manual or computer search by the name of the property owner,
manager, or agent.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network, and in locked file cabinets in rooms
with controlled access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information will be archived electronically for the database and physically for paper
records when an active case or consent is closed
or after seven years, whichever is earlier. Documents referred to HUD's OIG will become part of the
OIG Investigative Files. Records will be
retained and disposed of in accordance with the General Records Schedule included in HUD Handbook
2228.2, appendix 14, items 21-26.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Walter D. Wynn, Office of Healthy Homes and Lead Hazard Control, 451 7th Street, SW., Suite
P-7110, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to the Project Manager of OHHLHC-CIEF, U.S. Department of
Housing and Urban Development, 451 7th
Street, SW., Suite P-7110, Washington, DC 20410. Written requests must include the full name,
current address, and telephone number of
the individual making the request, including a description of the requester's relationship to the
information in question. The System Manager
will accept inquiries from individuals seeking notification of whether the system contains records
pertaining to them.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information or assistance is
required, contact the Privacy Act Appeals Officer, Office of General Counsel, Department of Housing
and Urban Development, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information may be collected from a wide variety of sources, including from HUD, other
Federal, state, Indian tribal, and local
agencies, program participants, subject individuals, complainants, witnesses and other non-
government sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="egid1" toc="yes">
<systemNumber>/FHEO/EGID.01</systemNumber>
<subsection type="systemName">Title Eight Automated Paperless Office Tracking System (TEAPOTs)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Electronic Records reside on HUD Network servers. Location is 2020 Union Carbide Drive South Charleston West Virginia
25303-2734. The Paper Records are located at the office where the investigation originated and may also be
transferred to associated area and/or Regional Offices, or the Headquarters Office. In addition to HUD's headquarters
building located at 451 Seventh Street SW., Washington, DC 20715, HUD also operates Regional and Field Offices locations
where TEAPOTs Privacy Act records may in some cases be maintained or accessed, including: Baltimore MD; Boston, MA;
Pittsburgh, PA; Hartford, CT; Richmond, VA; New York, NY; Newark, NJ; Atlanta, GA; Buffalo, NY; San Juan, Puerto Rico;
Philadelphia, PA; Louisville, KY; Miami, FL; Birmingham, AL; Knoxville, TN; Greensboro, SC; Chicago, IL; Columbus, OH;
Detroit, MI; Minneapolis, MN; Milwaukee, WI; Indianapolis, IN; Cleveland, OH; Jackson MS; Jacksonville, FL; Albuquerque,
NM; Little Rock, AR; Houston, TX; Houston, TX; Kansas City, KS; St. Louis, MO; Omaha, NE; Denver, CO; Fort Worth, TX; New
Orleans; Oklahoma City, OK; Honolulu, HI; Seattle, WA; San Francisco, CA; Los Angeles, CA; Portland, OR; Anchorage, AK.
Refer to Appendix II for complete address listings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title VIII of the Civil Rights Act of 1968, as amended by the Fair Housing Act of 1988 (42 U.S.C. 3601 et seq.), Title
VI of the Civil Rights Act of 1964 (42 U.S.C. Sections 2000d-2000d-7), Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 791 et seq.), Section 109 of Title I of the Housing and Community Development Act of 1974 (42 U.S.C.
5301-5321), Title II of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seq.), Age Discrimination Act of
1975 (42 U.S.C. Sections 6101-107), Title IX of the Education Amendments Act of 1972(Title 20 U.S.C. Sections
1681-1688), and the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>FHEO TEAPOTS is the system that maintains case file data when further investigation is warranted, under a filed
housing discrimination complaint. This is where the housing discrimination complaint inquiries and case files are
documented and stored during the investigation process. Information on the complainants is collected on a case-by-case
basis only if relevant to the particular case. The origination of a compliant begins with the origination of the HUD Form
903. The HUD Form 903 is used for filing discrimination complaints over unfair housing practices. This form is available
in paper and on-line. The public may submit a HUD Form 903 (a housing discrimination complaint form) via the internet or
by mail. HUD Form 903 collects initial potential case information for assessment and turns the information over to the
appropriate regional office jurisdiction. Information gathered through the HUD Form 903 system opens an inquiry with FHEO
that is explored through further discussion between FHEO staff and the complainant. These discussions gather additional
data that establish jurisdiction and determine whether or not to launch an investigation. HUD's FHEO also use these
records within TEAPOT's to monitor the quality of the investigations performed by authorized non-Federal agencies, and to
determine the amount these agencies should be paid for performing the investigating. A paper case file that includes the
information tracked in TEAPOTS, as well as additional information, is maintained outside of TEAPOTS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All persons filing a housing discrimination complaint (known as Complainants) and their representatives; all persons
and/or organizations identified by Complainants as having committed housing discrimination (known as Respondents) and
their representatives; all those investigating and reviewing the housing discrimination complaint
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>All persons filing a housing discrimination complaint (known as Complainants) and their representatives; All persons
and/or organizations identified by Complainants as having committed housing discrimination (known as Respondents) and
their representatives; All those investigating and reviewing the housing discrimination complaint. Personal information
which is generally maintained in TEAPOTS include: Name of Complainant, Respondent, Respondent Organization, Witnesses,
and Complainant's or Respondent's Representative (if applicable); Home and work address of Complainant, Respondent
Organization, and Representative; Contact number for Complainant, Respondent/Respondent Organization, Witnesses, and
Representative. Because TEAPOTS is the fair housing complaints database, it normally maintains the following personal
information of the Complainant, other aggrieved parties information, the Respondent, and/or witnesses based on the issues
and bases of what is alleged in the complaint cases. Also included is race, national origin, disability
(mental/physical); family status (pregnancy, families with children under 18); religion types of personal information,
documents that may be maintained and found in TEAPOTS; Letters from physicians/medical records (in disability-
based/reasonable accommodation claims); Rental lease agreements; Financial and loan information (in fair lending cases);
Name, age/date of birth of minor children, and number of dependents (in family status cases, which includes families with
children under the age of 18.)
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual if the disclosure is
compatible with the purpose for which the record was collected under the following routine uses:
</p><p>1. To individuals under contract to HUD or under contract to another agency with funds provided by HUD for the purpose
of conducting oversight and monitoring of program operations to determine compliance with applicable laws and
regulations, and FHEO reporting requirements (individuals provided information under this routine use is subject to
Privacy Act requirements and limitation on disclosures as are applicable to HUD officials and employees);
</p><p>2. To State and local agencies Once certified by HUD to investigate and adjudicate Title VIII housing discrimination
complaints, State and local agencies also use TEAPOTS to record investigation information;
</p><p>3. To authorized requestors requesting release from records under the Freedom of Information Act (FOIA) and the
Privacy Act request; and
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data is stored on the TEAPOTS production server, and the reporting server. The data is backed up every night to
tape and is stored at the National Archives and Record Administration on a CD for permanent storage, when applicable.
Manual records are stored in lockable file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by file number, Complaint name, or respondent name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>A User ID and password are required for authentication, Files Rules of Behavior form prior to being granted system
access. These rules emphasize privacy protections of the personally identifiable information in TEAPOTS. Permission
restrictions prevent unsolicited and illicit access to another region's data. Manual records are stored in lockable file
cabinets; computer facilities are secured and accessible only by authorized personnel, and all files are stored in a
secured area. Technical restraints are employed with regard to accessing the computer and data files.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention period for the information in TEAPOTs is maintained for the life of the case to support the activity and
other enforcement activities that may become related to the case. When the life of the case is closed (the case is no
longer needed for administrative or reference use, or to satisfy preservation requirements), and a final determination
has been made of the case records, records in the system are maintained in accordance with the approved records schedule,
HUD's Records and Disposition Schedule Handbook 2225.6, Appendix 50. [2] Historic or significant
investigation files are PERMANENT, pending appraisal by NARA. Files Transfers are made to the National Archives and
Records Administration every 5 years, when applicable (Including a listing of restricted data fields, which remain in
place 30 years after which a final appraisal is conducted.
</p><p>[2] http://portal.hud.gov/hudportal/documents/huddoc?id=22256x50ADMH.pdf
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Nina B. Aten, Director, Office of Information Services and Communications, Fair Housing and Equal Opportunity,
Department of Housing and Urban Development, 451 Seventh Street, SW., Room 5118, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about them, or those seeking
access to such records, should address inquiries to Donna Robinson-Staton Chief Privacy Officer, Department of Housing
and Urban Development, 451 Seventh Street SW., Washington, DC 20410 (Attention: Capitol View Building, 4th
Floor). Provide verification of your identity by providing two proofs of identification. Your verification of identity
must include your original signature and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR Part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) CONTESTING CONTENTS OF RECORDS: Department of Housing and Urban Development, Chief Privacy Officer, 451 Seventh
Street, SW., Washington, DC 20410 (Attention: Capitol View Building, 4th Floor);</p>
<p>(ii) APPEALS OF INITIAL HUD DETERMINATIONS: In relation to contesting contents of records, the HUD Departmental
Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW.,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the record subject.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The records in TEAPOTs are maintained for use in civil rather than criminal actions and are prohibited from disclosure
pursuant to exemption 5 U.S.C. 552a (d)(5) of the Privacy Act.

</p></xhtmlContent></subsection></section>
<section id="oig2" toc="yes">
<systemNumber>/OIG-2
</systemNumber>
<subsection type="systemName">Hotline Complaint Files of the Office of Inspector General.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of: (1) HUD program participants and HUD employees who are
subjects of hotline complaints alleging
possible violations of law, rules or regulations, mismanagement, gross waste of funds, abuse of
authority or a substantial and specific danger
to the public health and safety; and (2) HUD employees and members of the general public who are
complainants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of all forms and documentation generated by the complaint, including
recommended and final disposition of the matter.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, 5 U.S.C. App., authorizes the Inspector General to
conduct, supervise and coordinate activities
that promote economy and efficiency in the programs and operations of HUD, and to receive and
investigate complaints concerning possible
violations of law, rules, or regulations, or mismanagement, gross waste of funds, abuse of authority
or a substantial and specific danger to
the public health or safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 552a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether
criminal, civil or regulatory in nature, the
relevant records may be disclosed to the appropriate Federal, State, or local agency charged with
the responsibility for investigating or
prosecuting such violation or enforcing or implementing such statute, rule or regulation.
</p><p>2. Records may be disclosed to a congressional office in response to an inquiry from that
congressional office made at the request of the
individual who is the subject of the records.
</p><p>3. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents
of HUD-assisted housing projects, in order
to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation
or audit, where such recovery or personnel action serves to promote the integrity of the programs or
operations of HUD.
</p><p>4. Records may be disclosed during the course of an administrative proceeding where HUD is a
party to the litigation and the disclosure is
relevant and reasonably necessary to adjudicate the matter.
</p><p>5. Records may be disclosed to any source, either private or governmental, to the extent
necessary to elicit information relevant to an OIG
investigation.
</p><p>6. Records may be disclosed to appropriate State boards of accountancy for possible
administrative or disciplinary sanctions such as
license revocation. These referrals will be made only after the independent auditor has been
notified that the OIG is contemplating disclosure
of its findings to an appropriate State board of accountancy, and the independent auditor has been
provided with an opportunity to respond in
writing to the OIG's findings.
</p><p>7. Records may be disclosed to DOJ for litigation purposes associated with the representation of
OIG and/or HUD before the courts.
</p><p>8. Records may be disclosed to persons engaged in conducting and reviewing internal and external
peer reviews of OIG to ensure adequate
internal safeguards and management procedures exist within any office that had received law
enforcement authorization.
</p><p>9. In the event that these records respond to an audit, investigation or review, which is
conducted pursuant to an authorizing law, rule or
regulation, and in particular those conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to
the PCIE and other Federal agencies, as necessary.
</p><p>10. Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the
Event of a Data Breach. A record from a
system of records maintained by this Department may be disclosed to appropriate agencies, entities,
and persons when:
</p><p>a. The Department suspects or has confirmed that the security or confidentiality of information
in a system of records has been
compromised;
</p><p>b. The Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of systems or programs
(whether maintained by the Department or
another agency or entity) that rely upon the compromised information; and,
</p><p>c. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p><p>11. Records may be disclosed to private, State or Federal licensing authorities or boards
regulating professional services, such as
appraisers, attorneys, insurers, or mortgage brokers, when the records reveal conduct related to
activities associated with a HUD program that
is appropriate for possible administrative or disciplinary sanctions, such as license revocation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually in file jackets and electronically in office automation
equipment.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by manual or computer search of indices containing the name, home
address, home telephone number, and
identification number assigned to the individual to whom the record pertains.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in locked file cabinets or in metal file cabinets in secured rooms or
premises with access limited to those
persons whose official duties require access. Computer terminals are secured in controlled areas
which are locked when unoccupied. Access to
automated records is limited to authorized personnel who must use a password system to gain access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal is in accordance with Records Disposition Schedule 3, Items 79-
1 to 86, Appendix 3, HUD Handbook 2225.6,
Rev. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General, Office of Management and Policy, Office of the Inspector
General, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room Number 5254, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Records are generally exempt from Privacy Act access. However, the System Manager will give
consideration to a request from an
individual for notification of whether the system contains records pertaining to that individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Records are generally exempt from Privacy Act access. However, the System Manager will give
consideration to a request from an
individual for access to records pertaining to that individual. The procedures for requesting access
to records appear in 24 CFR parts 16 and
2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Records are generally exempt from Privacy Act amendment or correction. However, the System
Manager will give consideration to a
request from an individual for amendment or correction of records pertaining to that individual. The
procedures for requesting amendment or
correction of records appear in 24 CFR part 16 and 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from a wide variety of sources, including from HUD, the General
Accounting Office, other Federal
agencies, program participants, subject individuals, complaints, witnesses and other nongovernmental
sources.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the
purpose of criminal investigations, has been
exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3) of
the Privacy Act pursuant to 5 U.S.C.
552a(j)(2). In addition, this system of records, to the extent that it consists of other
investigatory material compiled for law enforcement
purposes, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2) and (e)(1)
of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2). Finally, this system of records, to the extent that it consists of investigatory
material compiled for the purpose of determining
suitability, eligibility, or qualifications 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 promise that the
identity of the source would be held in
confidence, has been exempted from the requirements of subsection (d)(1) of the Privacy Act pursuant
to 5 U.S.C. 552a(k)(5). Rules have been
promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and have been
published in the <i>Federal Register.</i>
</p></xhtmlContent></subsection></section>
<section id="ga1" toc="yes">
<systemNumber>/OIG-GA.01
</systemNumber>
<subsection type="systemName">Independent Auditor Monitoring Files of the Office of Inspector General.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, 451 7th Street SW; Washington DC and field office in Cherry Hill, New Jersey. Refer to Appendix
II for complete address listings.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered are non-federal independent auditors who have
conducted audits of recipients of Federal funds received under HUD's programs. An independent auditor is: (a) A licensed
certified public accountant or a person working for a licensed certified public accounting firm, or (b) a public
accountant licensed on or before December 31, 1970, or a person working for a public accounting firm licensed on or
before December 31, 1970.</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of materials generated in connection with quality control reviews of the working papers of independent
auditors, including standardized checklists for evaluating an independent auditor's work performance. Elements collected
will include the name of the independent auditor and his or her contact information and name of the entity audited. The
remaining information collected generally consists of pdfs or copies of audit work papers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, 5 U.S.C. App., requires the Inspector General to assure that any work performed by
non-federal auditors complies with the auditing standards established by the Comptroller General of the United States for
audits of federal establishments, organizations, programs, activities and functions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act of 1974, 5 U.S.C.
552a(b), records may also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether criminal, civil or regulatory
in nature, the relevant records may be disclosed to the appropriate federal, State or local agency charged with the
responsibility for investigating or prosecuting such violation or enforcing or implementing such statute, rule or
regulation.
</p><p>2. Records may be disclosed to a congressional office in response to an inquiry from that congressional office made at
the request of the individual who is the subject of the records.
</p><p>3. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents of HUD-assisted
housing projects, in order to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation or audit, where such recovery or personnel action serves to promote the
integrity of the programs or operations of HUD.
</p><p>4. Records may be disclosed during the course of an administrative proceeding where HUD is a party to the litigation
and the disclosure is relevant and reasonably necessary to adjudicate the matter.
</p><p>5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit
information relevant to an OIG investigation.
</p><p>6. Records may be disclosed to appropriate State boards of accountancy for possible administrative or disciplinary
sanctions such as license revocation. These referrals will be made only after the independent auditor has been notified
that the OIG is contemplating disclosure of its findings to an appropriate State board of accountancy, and the
independent auditor has been provided with an opportunity to respond in writing to the OIG's findings.
</p><p>7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before
the courts.
</p><p>8. Records may be disclosed to persons engaged in conducting and reviewing internal and external peer reviews of OIG
to ensure adequate internal safeguards and management procedures exist within any office that had received law
enforcement authorization.
</p><p>9. In the event that these records respond to an audit, investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those conducted at the request of the PCIE pursuant to Executive
Order 12993, the records may be disclosed to the PCIE and other federal agencies, as necessary.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually in file jackets and electronically in office automation equipment.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by manual or computer search of indices containing the name of the individual to whom the record
pertains or the name of the entity.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in locked file cabinets or in metal file cabinets in secured rooms or premises with access
limited to those persons whose official duties require access. Computer terminals are secured in controlled areas which
are locked when unoccupied. Access to automated records is limited to authorized personnel who must use a password system
to gain access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal: Retention and disposal is in accordance with Records Disposition Schedule 3, Item 79, Appendix
3, HUD Handbook 2225.6, Rev. 1. Data is to be retained for 10 years. Paper records shall be shredded or burned. Back up
media may be overwritten until such time as the media is no longer of use; then it shall be purged. All other electronic
media shall be purged at the end of its retention.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General, Office of Management and Policy, Office of the Inspector General, Department of Housing
and Urban Development, 451 Seventh Street SW., Room Number 5254, Washington, DC 20410.
</p></xhtmlContent></subsection>
	<subsection type="recordAccessProcedures"><xhtmlContent><p>These records are generally exempt from Privacy Act access. The System Manager will give consideration to a request
from an individual for notification of whether the system contains records pertaining to that individual. Requests may be
made to the OIG Office of Audit, Attn: FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington, DC 20410.
The procedures for requesting access to records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR parts 16 and 2003. The records are
generally exempt from Privacy Act amendment or correction. However, the System Manager will give consideration to a
request from an individual for amendment or correction of records pertaining to that individual that are indexed and
retrieved by reference to that individual's name. Requests may be made to the OIG Office of Audit, Attn: FOIA/Privacy Act
Office; 451 Seventh Street SW., Room 8260, Washington, DC 20410. The procedures for requesting amendment or correction of
records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from the subject independent auditor, HUD, auditees, program participants, complainants
and other nongovernment sources.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>This system of records, to the extent that it consists of
information compiled for the purpose of criminal investigations, has been exempted from the requirements of subsections
(c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, this
system of records, to the extent that it consists of other investigatory material compiled for law enforcement purposes,
has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). Finally, this system of records, to the extent that it consists of investigatory material compiled for
the purpose of determining suitability, eligibility, or qualifications 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 promise that the identity of the source would be held in confidence, has been exempted from the requirements
of subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in accordance with
the requirements of 5 U.S.C. 553(b), (c) and (e) and have been published in the <i>Federal Register</i>.
</p></xhtmlContent></subsection></section>
<section id="gap1" toc="yes">
<systemNumber>/OIG/GAP.01
</systemNumber>
<subsection type="systemName">Auto Audit of the Office of Inspector General.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, 451 Seventh Street SW; Washington DC, District Offices, and Field Offices have access to the
database. (Boston, MA; New York City, NY; Philadelphia, PA; Atlanta, GA; Tampa, FL; New Orleans, LA; Kansas City, KS;
Chicago, IL; Fort Worth, TX; Los Angeles, CA; Seattle, WA.) Refer to Appendix II for complete address listings.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of: (1) HUD program participants and
HUD employees who are associated with an activity that OIG is auditing or reviewing; (2) requesters of an OIG audit or
other activity; and (3) persons and entities performing some other role of significance to the OIG's efforts, such as
relatives or business associates of HUD program participants or employees, potential witnesses, or persons who represent
legal entities that are connected to an OIG audit or other activity. The system also tracks information pertaining to OIG
staff handling the audit or other activity, and may contain contact names for relevant staff in other agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of materials compiled and/or generated in connection with audits and other activities performed by OIG
staff. These materials include information regarding the planning, conduct and resolution of audits and reviews of HUD
programs and participants in those programs, internal legal assistance requests, information requests, responses to such
requests, reports of findings, etc. The information consists of audit work papers which are pdf files located within the
Auto Audit database. The documents are filed according to their purpose and sequence, not by personal identifiers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978 (5 U.S.C. App. 3) authorizes the Inspector General to conduct, supervise and
coordinate audits and investigations relating to the programs and operations of HUD, to engage in other activities that
promote economy and efficiency in the programs and operations of HUD, and to receive and investigate complaints
concerning possible violations of law, rules, or regulations, or mismanagement, gross waste of funds, abuse of authority,
or a substantial or specific danger to the public health or safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act of 1974, 5 U.S.C.
552a(b), records may also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether criminal, civil or regulatory
in nature, the relevant records may be disclosed to the appropriate federal, state, or local agency charged with the
responsibility for investigating or prosecuting such violation or enforcing or implementing such statute, rule or
regulation.
</p><p>2. Records may be disclosed to a congressional office in response to an inquiry from that congressional office made at
the request of the individual who is the subject of the records.
</p><p>3. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents of HUD-assisted
housing projects, in order to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation or audit, where such recovery or personnel action serves to promote the
integrity of the programs or operations of HUD.
</p><p>4. Records may be disclosed during the course of an administrative proceeding where HUD is a party to the litigation
and the disclosure is relevant and reasonably necessary to adjudicate the matter.
</p><p>5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit
information relevant to an OIG investigation.
</p><p>6. Records may be disclosed to appropriate state boards of accountancy for possible administrative or disciplinary
sanctions such as license revocation. These referrals will be made only after the independent auditor has been notified
that the OIG is contemplating disclosure of its findings to an appropriate state board of accountancy, and the
independent auditor has been provided with an opportunity to respond in writing to the OIG's findings.
</p><p>7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before
the courts.
</p><p>8. Records may be disclosed to persons engaged in conducting and reviewing internal and external peer reviews of OIG
to ensure auditing standards applicable to Government audits by the Comptroller General of the United States are applied
and followed.
</p><p>9. In the event that these records respond to an audit, investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those conducted at the request of the PCIE pursuant to Executive
Order 12993, the records may be disclosed to the PCIE and other federal agencies, as necessary.
</p><p>10. Records may be disclosed to private, state or Federal licensing authorities or boards regulating professional
services, such as appraisers, attorneys, insurers, or mortgage brokers, when the records reveal conduct related to
activities associated with a HUD program that is appropriate for possible administrative or disciplinary sanctions, such
as license revocation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in office automation equipment and manually in file jackets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by computer search of the Auto Audit software by reference to a particular file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network, and in locked file cabinets or in metal file cabinets in rooms
with controlled access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal: Retention and disposal is in accordance with Records Disposition Schedule 3, Item 79, Appendix
3, HUD Handbook 2225.6, Rev. 1. Historic or significant audit files are PERMANENT, pending appraisal by NARA. All other
case files are to be destroyed 10 years after the audit is closed. Records shall be shredded or burned. Electronic media
may be overwritten until such time as the media is no longer of use; then it shall be purged. All other electronic media
shall be purged at the end of its retention.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Audit, Office of Audit, Office of the Inspector General, Department of Housing and
Urban Development, 451 Seventh Street SW., Room Number 5254, Washington, DC 20410.
</p></xhtmlContent></subsection>
	<subsection type="recordAccessProcedures"><xhtmlContent><p>These records are generally exempt from Privacy Act access. The System Manager will give consideration to a request
from an individual for notification of whether the system contains records pertaining to that individual. Requests may be
made to the OIG Office of Investigations, Attn: FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington,
DC 20410. The procedures for requesting access to records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR parts 16 and 2003. The records are
generally exempt from Privacy Act amendment or correction. However, the System Manager will give consideration to a
request from an individual for amendment or correction of records pertaining to that individual that are indexed and
retrieved by reference to that individual's name. Requests may be made to the OIG Office of Investigations, Attn:
FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington, DC 20410. The procedures for requesting amendment
or correction of records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from a wide variety of sources, including from HUD, other federal agencies, the General
Accounting Office (GAO), law enforcement agencies, program participants, subject individuals, complainants, witnesses and
other non-governmental sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the purpose of criminal
investigations, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3)
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, this system of records, to the extent that it consists
of other investigatory material compiled for law enforcement purposes, has been exempted from the requirements of
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of
records, to the extent that it consists of investigatory material compiled for the purpose of determining suitability,
eligibility, or qualifications 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 promise that the identity of the
source would be held in confidence, has been exempted from the requirements of subsection (d)(1) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c)
and (e) and have been published in the <i>Federal Register.</i>
</p></xhtmlContent></subsection></section>
<section id="gfb1" toc="yes">
<systemNumber>/
OIG/GFB.01
</systemNumber>
<subsection type="systemName">Hotline Information Sub System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of: (1) HUD program participants and
HUD employees who are subjects of hotline complaints alleging possible violations of law, rules or regulations,
mismanagement, gross waste of funds, abuse of authority or a substantial and specific danger to the public health and
safety; and (2) HUD employees and members of the general public who are complainants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of all forms and documentation generated by the complaint, including recommended and final disposition
of the matter. Information collected depends on the nature of the complaint but may consist of Names, Addresses,
Telephone Numbers, Place of Employment, Types of Vehicles, Income, and Dates of Birth.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, 5 U.S.C. App., authorizes the Inspector General to conduct, supervise and
coordinate activities that promote economy and efficiency in the programs and operations of HUD, and to receive and
investigate complaints concerning possible violations of law, rules, or regulations, or mismanagement, gross waste of
funds, abuse of authority or a substantial and specific danger to the public health or safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act of 1974, 5 U.S.C.
552a(b), records may also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether criminal, civil or regulatory
in nature, the relevant records may be disclosed to the appropriate federal, state, or local agency charged with the
responsibility for investigating or prosecuting such violation or enforcing or implementing such statute, rule or
regulation.
</p><p>2. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents of HUD-assisted
housing projects, in order to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation or audit, where such recovery or personnel action serves to promote the
integrity of the programs or operations of HUD.
</p><p>3. Records may be disclosed during the course of an administrative proceeding where HUD is a party to the litigation
and the disclosure is relevant and reasonably necessary to adjudicate the matter.
</p><p>4. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit
information relevant to an OIG investigation.
</p><p>5. Records may be disclosed to appropriate state boards of accountancy for possible administrative or disciplinary
sanctions such as license revocation. These referrals will be made only after the independent auditor has been notified
that the OIG is contemplating disclosure of its findings to an appropriate state board of accountancy, and the
independent auditor has been provided with an opportunity to respond in writing to the OIG's findings.
</p><p>6. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before
the courts.
</p><p>7. Records may be disclosed to persons engaged in conducting and reviewing internal and external peer reviews of OIG
to ensure adequate internal safeguards and management procedures exist within any office that had received law
enforcement authorization.
</p><p>8. In the event that these records respond to an audit, investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those conducted at the request of the PCIE pursuant to Executive
Order 12993, the records may be disclosed to the PCIE and other federal agencies, as necessary.
</p><p>9. Records may be disclosed to private, state or Federal licensing authorities or boards regulating professional
services, such as appraisers, attorneys, insurers, or mortgage brokers, when the records reveal conduct related to
activities associated with a HUD program that is appropriate for possible administrative or disciplinary sanctions, such
as license revocation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in office automation equipment.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by a computer search of indices containing the name, home address, home telephone number, and
identification number assigned to the individual to whom the record pertains.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in secured rooms or premises with access limited to those persons whose official duties require
access. Computer terminals are secured in controlled areas which are locked when unoccupied. Access to automated records
is limited to authorized personnel who must use a password system to gain access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal: Retention and disposal is in accordance with Records Disposition Schedule 3, Item 81, Appendix
3, HUD Handbook 2225.6, Rev. 1. Historic or significant investigation files are PERMANENT, pending appraisal by NARA. All
other case files are to be destroyed 10 years after the case is closed. Records shall be shredded or burned. Electronic
media may be overwritten until such time as the media is no longer of use; then it shall be purged. All other electronic
media shall be purged at the end of its retention period.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General, Office of Management and Policy, Office of the Inspector General, Department of Housing
and Urban Development, 451 Seventh Street SW., Room Number 5254, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Records are generally exempt from Privacy Act access. The System Manager will give consideration to a request from an
individual for notification of whether the system contains records pertaining to that individual. Requests may be made to
the OIG Office of Management and Policy, Attn: FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington, DC
20410. The procedures for requesting access to records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR parts 16 and 2003. The records are
generally exempt from Privacy Act amendment or correction. However, the System Manager will give consideration to a
request from an individual for amendment or correction of records pertaining to that individual that are indexed and
retrieved by reference to that individual's name. Requests may be made to the OIG Office of Management and Policy, Attn:
FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington, DC 20410. The procedures for requesting amendment
or correction of records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from a wide variety of sources, including from HUD, the General Accounting Office, other
federal agencies, program participants, subject individuals, complaints, witnesses and other nongovernmental sources.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the purpose of criminal
investigations, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3)
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, this system of records, to the extent that it consists
of other investigatory material compiled for law enforcement purposes, has been exempted from the requirements of
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of
records, to the extent that it consists of investigatory material compiled for the purpose of determining suitability,
eligibility, or qualifications 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 promise that the identity of the
source would be held in confidence, has been exempted from the requirements of subsection (d)(1) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c)
and (e) and have been published in the <i>Federal Register.</i>
</p></xhtmlContent></subsection></section>

<section id="gip1" toc="yes">
<systemNumber>/OIG/GIP.01</systemNumber>
<subsection type="systemName">Investigative Files of the Office of Inspector General.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, Washington DC and OIG Office of Investigations field offices.[3]</p>
<p>[3] <i>http://csfintraweb.hudoig.gov/offices.html.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of: (1) HUD program participants and HUD employees who are associated with an activity
that OIG is investigating or evaluating; (2) requesters of an OIG investigative or other activity; and (3) persons and
entities performing some other role of significance to the OIG's efforts, such as relatives or business associates of HUD
program participants or employees, potential witnesses, or persons who represent legal entities that are connected to an
OIG investigation or other activity. The system also tracks information pertaining to OIG staff handling the
investigation or other activity, and may contain contact names for relevant staff in other agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These materials include information regarding the planning, conduct and prosecution of investigations of HUD program
participants and employees, legal assistance requests, information requests, responses to such requests, reports of
investigations, etc. Data resources include the individual's name, Social Security Number, date of birth, home address,
home telephone number, personal email address, Employee Identification Number, Tax Identification, Driver License Number
and name, passport information, State Identification, Narcotics and Dangerous Drugs Information System, Federal Bureau
Investigation Number ; Race/ethnicity, Gender, Employment History, Education, Income, and Financial information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, 5 U.S.C. Appx. authorizes the Inspector General to conduct, supervise and
coordinate investigations relating to the programs and operations of HUD.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act of 1974, 5 U.S.C.
552a(b), records may also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether criminal, civil or regulatory
in nature, the relevant records may be disclosed to the appropriate federal, state, or local agency charged with the
responsibility for investigating or prosecuting such violation or enforcing or implementing such statute, rule or
regulation.
</p><p>2. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents of HUD-assisted
housing projects, in order to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation or audit, where such recovery or personnel action serves to promote the
integrity of the programs or operations of HUD.
</p><p>3. Records may be disclosed during the course of an administrative proceeding where HUD is a party to the litigation
and the disclosure is relevant and reasonably necessary to adjudicate the matter.
</p><p>4. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit
information relevant to an OIG investigation.
</p><p>5. Records may be disclosed to appropriate state boards of accountancy for possible administrative or disciplinary
sanctions such as license revocation. These referrals will be made only after the independent auditor has been notified
that the OIG is contemplating disclosure of its findings to an appropriate state board of accountancy, and the
independent auditor has been provided with an opportunity to respond in writing to the OIG's findings.
</p><p>6. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before
the courts.
</p><p>7. Records may be disclosed to persons engaged in conducting and reviewing internal and external peer reviews of OIG
to ensure adequate internal safeguards and management procedures exist within any office that had received law
enforcement authorization.
</p><p>8. In the event that these records respond to an audit, investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those conducted at the request of the CIGIE pursuant to Executive
Order 12993, the records may be disclosed to the CIGIE and other federal agencies, as necessary.
</p><p>9. Records may be disclosed to private, state or Federal licensing authorities or boards regulating professional
services, such as appraisers, attorneys, insurers, or mortgage brokers, when the records reveal conduct related to
activities associated with a HUD program that is appropriate for possible administrative or disciplinary sanctions, such
as license revocation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually in file jackets in an office file system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by manual search of indices containing the name of the individual to whom the record pertains or
by the case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in locked file cabinets or in metal file cabinets in secured rooms or premises with access
limited to those persons whose official duties require access. The public does not access to these spaces.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal: Retention and disposal is in accordance with Records Disposition Schedule 3, Item 81, Appendix
3, HUD Handbook 2225.6, Rev. 1. Historic or significant investigation files are PERMANENT, pending appraisal by NARA. All
other case files are to be destroyed 10 years after the case is closed. Records shall be shredded or burned.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General, Office of Investigations, Office of the Inspector General, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room Number 5254, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>These records are generally exempt from Privacy Act access. The System Manager will give consideration to a request
from an individual for notification of whether the system contains records pertaining to that individual. Requests may be
made to the OIG Office of Investigations, Attn: FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington,
DC 20410. The procedures for requesting access to records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR parts 16 and 2003. The records are
generally exempt from Privacy Act amendment or correction. However, the System Manager will give consideration to a
request from an individual for amendment or correction of records pertaining to that individual, that are indexed and
retrieved by reference to that individual's name. Requests may be made to the OIG Office of Investigations, Attn:
FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington, DC 20410. The procedures for requesting amendment
or correction of records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from a wide variety of sources, including from HUD, law enforcement agencies, program
participants, subject individuals, complainants witnesses and other nongovernmental sources.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the purpose of criminal
investigations, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3)
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, this system of records, to the extent that it consists
of other investigatory material compiled for law enforcement purposes, has been exempted from the requirements of
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of
records, to the extent that it consists of investigatory material compiled for the purpose of determining suitability,
eligibility, or qualifications 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 promise that the identity of the
source would be held in confidence, has been exempted from the requirements of subsection (d)(1) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c)
and (e) and have been published in the <i>Federal Register</i>.
</p></xhtmlContent></subsection></section>

<section id="gip2" toc="yes">
<systemNumber>/OIG/GIP.02</systemNumber>
<subsection type="systemName">Auto Investigation and Case Management Information Subsystem (AI/CMISS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, 451 Seventh Street SW., Washington DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of: (1) HUD program participants and HUD employees who are associated with an activity
that OIG is investigating or evaluating; (2) requesters of an OIG investigative or other activity; and (3) persons and
entities performing some other role of significance to the OIG's efforts, such as relatives or business associates of HUD
program participants or employees, potential witnesses, or persons who represent legal entities that are connected to an
OIG investigation or other activity. The system also tracks information pertaining to OIG staff handling the
investigation or other activity, and may contain contact names for relevant staff in other agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of investigatory material compiled and/or generated for law enforcement purposes in connection with
investigations and other activities performed by OIG staff. These materials include information regarding the planning,
conduct and prosecution of investigations of HUD program participants and employees, legal assistance requests,
information requests, responses to such requests, reports of investigations, etc. Data resources include the individual's
name, Social Security Number, date of birth, home address, home telephone number, personal email address, Employee
Identification Number, Tax Identification, Driver License Number and name, passport information, State Identification,
Narcotics and Dangerous Drugs Information System, Federal Bureau Investigation Number ; Race/ethnicity, Gender,
Employment History, Education, Income, and Financial information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978 authorizes the Inspector General to conduct, supervise and coordinate audits and
investigations relating to the programs and operations of HUD, to engage in other activities that promote economy and
efficiency in the programs and operations of HUD, and to receive and investigate complaints concerning possible
violations of law, rules, or regulations, or mismanagement, gross waste of funds, abuse of authority, or a substantial or
specific danger to the public health or safety.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>AI/CMISS provides HUD OIG Investigations with an automated system which manages cases under investigation from their
inception to their closing through a centralized data repository of case information. AI/CMISS and its environment is a
secure environment where access to information is controlled through a formal process of checks and authorizations
involving a hierarchical supervisory structure. Special Agents in Charge (SAC), Assistant Special Agents in Charge
(ASAC), Supervisory Forensic Auditors (SFA), Forensic Auditors (FA), Special Agents (SA) and support staff, document all
steps in their assigned activities. Additionally, due to judicial involvement in some of the cases, the files kept and
maintained by HUD OIG may be made available to the courts under discovery. AI/CMISS provides data that is currently
available through the intranet to the investigators and auditors. This provides a method for remote HUD OIG users and
traveling employees to access the AI/CMISS systems from their laptops regardless of whether or not they are located
within a HUD OIG office. Both Systems support the HUD OIG requirement to maintain a detailed audit trail of cases to
closure. This requires a system, which will be capable of capturing and maintaining data integrity during the complete
case cycle while ensuring data privacy and confidentiality.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act of 1974, 5 U.S.C.
552a(b), records may also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether criminal, civil or regulatory
in nature, the relevant records may be disclosed to the appropriate federal, state, or local agency charged with the
responsibility for investigating or prosecuting such violation or enforcing or implementing such statute, rule, or
regulation.
</p><p>2. Records may be disclosed to a congressional office in response to an inquiry from that congressional office made at
the request of the individual who is the subject of the records.
</p><p>3. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents of HUD-assisted
housing projects, in order to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation or audit, where such recovery or personnel action serves to promote the
integrity of the programs or operations of HUD.
</p><p>4. Records may be disclosed during the course of an administrative proceeding where HUD is a party to the litigation
and the disclosure is relevant and reasonably necessary to adjudicate the matter.
</p><p>5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit
information relevant to an OIG investigation.
</p><p>6. Records may be disclosed to appropriate state boards of accountancy for possible administrative or disciplinary
sanctions such as license revocation. These referrals will be made only after the independent auditor has been notified
that the OIG is contemplating disclosure of its findings to an appropriate state board of accountancy, and the
independent auditor has been provided it an opportunity to respond in writing to the OIG's findings.
</p><p>7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before
the courts.
</p><p>8. Records may be disclosed to persons engaged in conducting and reviewing internal and external peer reviews of OIG
to ensure adequate internal safeguards and management procedures exist within any office that had received law
enforcement authorization.
</p><p>9. In the event that these records respond to an audit, investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those conducted at the request of the PCIE pursuant to Executive
Order 12993, the records may be disclosed to the PCIE and other federal agencies, as necessary.
</p><p>10. Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the Event of a Data
Breach. A record from a system of records maintained by this Department may be disclosed to appropriate agencies,
entities, and persons when:
</p><p>a. The Department suspects or has confirmed that the security or confidentiality of information in a system of records
has been compromised;
</p><p>b. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of systems or programs
(whether maintained by the Department or another agency or entity) that rely upon the compromised information; and,
</p><p>c. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>11. Records may be disclosed to private, state or Federal licensing authorities or boards regulating professional
services, such as appraisers, attorneys, insurers, or mortgage brokers, when the records reveal conduct related to
activities associated with a HUD program that is appropriate for possible administrative or disciplinary sanctions, such
as license revocation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in office automation equipment.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by computer search of the CMISS software by reference to individual's name, Social Security
Number, Employee Identification Number, Tax Identification, Driver License Number and name, passport information, State
Identification, Narcotics and Dangerous Drugs Information System, or Federal Bureau Investigation Number, and/or by
reference to a particular file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal: Retention and disposal is in accordance with Records Disposition Schedule 3, Item 81, Appendix
3, HUD Handbook 2225.6, Rev. 1. Historic or significant investigation files are PERMANENT, pending appraisal by NARA. All
other case files are to be destroyed 10 years after the case is closed. Records shall be shredded or burned. Electronic
media may be overwritten until such time as the media is no longer of use; then it shall be purged. All other electronic
media shall be purged at the end of its retention.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigation, Office of the Inspector General, Department of Housing and Urban
Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>These records are generally exempt from Privacy Act access. The System Manager will give consideration to a request
from an individual for notification of whether the system contains records pertaining to that individual. Requests may be
made to the OIG Office of Investigations, Attn: FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington,
DC 20410. The procedures for requesting access to records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR parts 16 and 2003. The records are
generally exempt from Privacy Act amendment or correction. However, the System Manager will give consideration to a
request from an individual for amendment or correction of records pertaining to that individual that are indexed and
retrieved by reference to that individual's name. Requests may be made to the OIG Office of Investigations, Attn:
FOIA/Privacy Act Office; 451 Seventh Street SW., Room 8260, Washington, DC 20410. The procedures for requesting amendment
or correction of records are publicized in 24 CFR part 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from a wide variety of sources, including from HUD, other federal agencies, GAO, law
enforcement agencies, program participants, subject individuals, complainants, witnesses and other non-governmental
sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the purpose of criminal
investigations, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3)
of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, this system of records, to the extent that it consists
of other investigatory material compiled or generated for law enforcement purposes, has been exempted from the
requirements of subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
Finally, this system of records, to the extent that it consists of investigatory material compiled or generated for the
purpose of determining suitability, eligibility, or qualifications 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
promise that the identity of the source would be held in confidence, has been exempted from the requirements of
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in accordance with the
requirements of 5 U.S.C. 553(b), (c) and (e) and have been published in the <i>Federal Register</i>.
</p></xhtmlContent></subsection></section>
<section id="cpd/dghr1" toc="yes">
<systemNumber>/CPD/DGHR.01</systemNumber>
<subsection type="systemName">Relocation Assistance Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters and field offices. The storage facility for Relocation Assistance Files is the Washington National
Records Center (WNRC), 4205 Suitland Road, Suitland, MD 20746-8001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons (individuals, families, partnerships, corporations, associations) who have been, or will be, displaced or
moved temporarily from a HUD-assisted program or project, and relocation claimants who have filed grievances.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>For relocation complaints and appeals: Names of relocation claimants; documentation of relocation needs and problems;
relocation claims; documentation and evaluation of relocation claims; recommendations concerning amounts of assistance;
inquiries and grievances; responses to grievances; audits. For persons displaced from residential units only, records may
contain information on household occupants including gender, age, income, assets, certain deductible expenses, housing
costs, utility costs and information related to mobility and other special needs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 91-646), 42 U.S.C.
4601, and Section 104(d) of the Housing and Community Development Act of 1974, 42 U.S.C. 5304(d)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To demonstrate that relocation assistance provided to displaced persons or temporarily relocated persons is in
compliance with the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
and, where applicable, Section 104(d) of the Housing and Community Development Act of 1974. HUD uses the information in
the Relocation Assistance Files to determine a person's eligibility to receive relocation assistance and to determine the
type of assistance and the monetary amounts of assistance, if any, a person is eligible to receive. CPD analyzes the
information, makes a determination and conveys its determination to (1) the program participant that administers the HUD-
assisted program or project which has affected the displaced or relocated person and (2) the complainant. The information
in the Relocation Assistance Files is maintained by HUD.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual if the disclosure is
compatible with the purpose for which the record was collected under the following routine use:
</p><p>1. Other routine uses: To local public agencies--for processing, training and monitoring purposes to assure
compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and/or Section
104(d) of the Housing and Community Development Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders. No electronic records are maintained by the system of records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and case file number of subject individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in lockable file cabinets; access limited to authorized personnel. No electronic records are maintained by the
system of records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are active. Disposition: Temporary.
</p><p>Records are retained in CPD for at least 3 years after each person displaced or temporarily relocated for a HUD-
assisted program or project receives the final payment to which he or she is entitled under the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, or Section 104(d) of the Housing and Community Development
Act. After 3 years, these records become inactive and are boxed and sent to the Washington National Records Center
(WNRC), 4205 Suitland Road, Suitland, MD 20746-8001. WNRC holds inactive files for 6 years and 30 days, after which
they are shredded or burned as appropriate, in accordance with WNRC policy.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Relocation and Real Estate Division, Office of Affordable Housing Programs, Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional informational or assistance is needed, it may be obtained by
contacting:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street, SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410; or
</p><p>(ii) In relation to appeals of initial denials, the HUD Department at Privacy Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject and other individuals; current and previous employers; credit bureaus and financial institutions; firms
federal and non-federal agencies.
</p></xhtmlContent></subsection></section>
<section id="oig6" toc="yes">
<systemNumber>/OIG-6
</systemNumber>
<subsection type="systemName">Auto Investigation and Case Management Information Subsystem (AI/CMISS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD OIG Headquarters, Washington, DC (Boston, MA; New York City, NY; Philadelphia, PA;
Baltimore, MD; Atlanta, GA; Tampa, FL; New
Orleans, LA; Kansas City, KS; Chicago, IL; Cleveland, OH; Fort Worth, TX; Los Angeles, CA; Seattle,
WA.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered consist of: (1) HUD program participants and HUD employees who are
associated with an activity that OIG is
investigating or evaluating; (2) requesters of an OIG investigative or other activity; and (3)
persons and entities performing some other role
of significance to the OIG's efforts, such as relatives or business associates of HUD program
participants or employees, potential witnesses,
or persons who represent legal entities that are connected to an OIG investigation or other
activity. The system also tracks information
pertaining to OIG staff handling the investigation or other activity, and may contain contact names
for relevant staff in other agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of investigatory material compiled and/or generated for law enforcement
purposes in connection with investigations and
other activities performed by OIG staff. These materials include information regarding the planning,
conduct and prosecution of investigations
of HUD program participants and employees, legal assistance requests, information requests,
responses to such requests, reports of
investigations, <i>etc.</i> Data resources include the individual's name, Social Security Number,
date of birth, home address, home telephone
number, personal e-mail address, Employee Identification Number, Tax Identification, Driver License
Number and name, passport information,
State Identification, Narcotics and Dangerous Drugs Information System, Federal Bureau Investigation
Number; Race/ethnicity, Gender,
Employment History, Education, Income, and Financial information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978 authorizes the Inspector General to conduct, supervise and
coordinate audits and investigations
relating to the programs and operations of HUD, to engage in other activities that promote economy
and efficiency in the programs and
operations of HUD, and to receive and investigate complaints concerning possible violations of law,
rules, or regulations, or mismanagement,
gross waste of funds, abuse of authority, or a substantial or specific danger to the public health
or safety.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>AI/CMISS provides HUD OIG Investigations with an automated system which manages cases under
investigation from their inception to
their closing through a centralized data repository of case information. AI/CMISS and its
environment is a secure environment where access to
information is controlled through a formal process of checks and authorizations involving a
hierarchical supervisory structure. Special Agents
in Charge (SAC), Assistant Special Agents in Charge (ASAC), Supervisory Forensic Auditors (SFA),
Forensic Auditors (FA), Special Agents (SA)
and support staff, document all steps in their assigned activities. Additionally, due to judicial
involvement in some of the cases, the files
kept and maintained by HUD OIG may be made available to the courts under discovery. AI/CMISS
provides data that is currently available through
the intranet to the investigators and auditors. This provides a method for remote HUD OIG users and
traveling employees to access the AI/CMISS
systems from their laptops regardless of whether or not they are located within a HUD OIG office.
Both Systems support the HUD OIG requirement
to maintain a detailed audit trail of cases to closure. This requires a system, which will be
capable of capturing and maintaining data
integrity during the complete case cycle while ensuring data privacy and confidentiality.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 552a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether
criminal, civil or regulatory in nature, the
relevant records may be disclosed to the appropriate Federal, State, or local agency charged with
the responsibility for investigating or
prosecuting such violation or enforcing or implementing such statute, rule, or regulation.
</p><p>2. Records may be disclosed to a congressional office in response to an inquiry from that
congressional office made at the request of the
individual who is the subject of the records.
</p><p>3. Records may be disclosed to HUD contractors, Public Housing Authorities or management agents
of HUD-assisted housing projects, in order
to assist such entities in taking or defending actions to recover money or property, or take
personnel actions based on an OIG investigation
or audit, where such recovery or personnel action serves to promote the integrity of the programs or
operations of HUD.
</p><p>4. Records may be disclosed during the course of an administrative proceeding where HUD is a
party to the litigation and the disclosure is
relevant and reasonably necessary to adjudicate the matter.
</p><p>5. Records may be disclosed to any source, either private or governmental, to the extent
necessary to elicit information relevant to an OIG
investigation.
</p><p>6. Records may be disclosed to appropriate State boards of accountancy for possible
administrative or disciplinary sanctions such as
license revocation. These referrals will be made only after the independent auditor has been
notified that the OIG is contemplating disclosure
of its findings to an appropriate State board of accountancy, and the independent auditor has been
provided it an opportunity to respond in
writing to the OIG's findings.
</p><p>7. Records may be disclosed to DOJ for litigation purposes associated with the representation of
OIG and/or HUD before the courts.
</p><p>8. Records may be disclosed to persons engaged in conducting and reviewing internal and external
peer reviews of OIG to ensure adequate
internal safeguards and management procedures exist within any office that had received law
enforcement authorization.
</p><p>9. In the event that these records respond to an audit, investigation or review, which is
conducted pursuant to an authorizing law, rule or
regulation, and in particular those conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to
the PCIE and other Federal agencies, as necessary.
</p><p>10. Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the
Event of a Data Breach. A record from a
system of records maintained by this Department may be disclosed to appropriate agencies, entities,
and persons when:
</p><p>a. The Department suspects or has confirmed that the security or confidentiality of information
in a system of records has been
compromised;
</p><p>b. The Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of systems or programs
(whether maintained by the Department or
another agency or entity) that rely upon the compromised information; and,
</p><p>c. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p><p>11. Records may be disclosed to private, State or Federal licensing authorities or boards
regulating professional services, such as
appraisers, attorneys, insurers, or mortgage brokers, when the records reveal conduct related to
activities associated with a HUD program that
is appropriate for possible administrative or disciplinary sanctions, such as license revocation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in office automation equipment and manually in file
jackets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by computer search of the Auto Investigation or CMISS software by
reference to individual's name, Social
Security Number, Employee Identification Number, Tax Identification, Driver License Number and name,
passport information, State
Identification, Narcotics and Dangerous Drugs Information System, or Federal Bureau Investigation
Number, and/or by reference to a particular
file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network, and in locked file cabinets or in metal
file cabinets in rooms with controlled
access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention and disposal is in accordance with (1) Records Disposition Schedule 3
(Administrative Records), Item Nos. 79-1 to 86,
Appendix 3, HUD Handbook 2225.6 Rev. 1; and (2) General Records Schedules, Appendix 22 (Inspector
General Records), HUD Handbook 2228.2 Rev.
4.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigation, Office of the Inspector General, Department
of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Records are generally exempt from Privacy Act access. However, the System Manager will
accept and give consideration to a request from
an individual for notification of whether the system contains records pertaining to that individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Records are generally exempt from Privacy Act access. However, the System Manager will
accept and give consideration to a request from
an individual for access to records pertaining to that individual. The procedures for requesting
access to records appear in 24 CFR parts 16
and 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Records are generally exempt from Privacy Act amendment or correction. However, the System
Manager will accept and give consideration
to a request from an individual for amendment or correction of records pertaining to that individual
that are indexed and retrieved by
reference to that individual's name and/or social security number. The procedures for requesting
amendment or correction of records appear in
24 CFR parts 16 and 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The OIG collects information from a wide variety of sources, including from HUD, other
Federal agencies, GAO, law enforcement
agencies, program participants, subject individuals, complainants, witnesses and other non-
governmental sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the
purpose of criminal investigations, has been
exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3) of
the Privacy Act pursuant to 5 U.S.C.
552a(j)(2). In addition, this system of records, to the extent that it consists of other
investigatory material compiled or generated for law
enforcement purposes, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2)
and (e)(1) of the Privacy Act pursuant to
5 U.S.C. 552a(k)(2). Finally, this system of records, to the extent that it consists of
investigatory material compiled or generated for the
purpose of determining suitability, eligibility, or qualifications 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
promise that the identity of the source
would be held in confidence, has been exempted from the requirements of subsection (d)(1) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
have been published in the <i>Federal
Register</i>.
</p></xhtmlContent></subsection></section>
<section id="oig7" toc="yes">
<systemNumber>/OIG-7
</systemNumber>

<subsection type="systemName">OIG Giglio Information Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The offices of Special Agents in Charge and Regional Inspectors General for Audit nationwide
and the office of the Deputy Assistant
Inspector General for Investigations and Deputy Assistant Inspector General for Audit, all
identified as <i>Giglio</i> Officials in the OIG <i
>Giglio</i> Policy (Boston, MA; New York City, NY; Philadelphia, PA; Baltimore, MD; Atlanta, GA;
Tampa, FL; New Orleans, LA; Kansas City, KS;
Chicago, IL; Cleveland, OH; Fort Worth, TX; Los Angeles, CA; Seattle, WA.).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who may serve as affiants or testify as witnesses in criminal proceedings
brought by the U.S. Department of Justice. All
OIG employees are potential witnesses or affiants in Federal criminal prosecutions brought in
connection with the work of OIG.  Categories of
Records in the System: This system contains potential witness impeachment information including
records of disciplinary actions. Records will
include, but are not limited to: (a) Specific instances of witness conduct that may be used for the
purpose of attacking the witness'
credibility or character for truthfulness; (b) evidence in the form of opinion as to a witness'
character or reputation for truthfulness; (c)
prior inconsistent statements; and (d) information that may be used to suggest that a witness is
biased. The system may also contain any
judicial rulings, related pleadings, correspondence, or memoranda pertaining to a relevant criminal
case.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978 (5 U.S.C. App. 3) authorizes the Inspector General to
conduct, supervise and coordinate audits and
investigations relating to the programs and operations of HUD, and to receive and investigate
complaints concerning possible violations of
law, rules, or regulations, or mismanagement, gross waste of funds, abuse of authority, or a
substantial or specific danger to the public
health or safety. These activities can require OIG employees to testify in Federal criminal
prosecution.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system has been established to enable OIG <i>Giglio</i> Officials (Special Agents in
Charge and Regional Inspectors General for
Audit nationwide and the office of the Deputy Assistant Inspector General for Investigations and
Deputy Assistant Inspector General for Audit)
to maintain and disclose records of potential impeachment information on OIG employees who are
expected to testify in criminal cases as
required by the case law following <i>Giglio.</i> It permits the OIG <i>Giglio</i> Officals to
acquire, maintain, and disclose for law
enforcement purposes, records relating to impeachment information on OIG employees. It permits the
OIG offices identified above to obtain
information from Federal and State agencies and personnel records and to maintain and disclose for
law enforcement purposes records of
impeachment information that is material to the defense of Federal criminal prosecutions.  Primary
users of this system will be OIG Giglio
Officials, who are the regional Special Agents in Charge and Regional Inspectors General for Audit
nationwide and the office of the Deputy
Assistant Inspector General for Investigations and Deputy Assistant Inspector General for Audit.
Secondary users will be Requesting Officials
within the Department of Justice, who are senior officials serving as the points of contact
concerning potential impeachment information
within each of the United States Attorneys' offices, and Assistant United States Attorneys who are
prosecuting cases and have an obligation to
disclose impeachment material under the <i>Giglio</i> decision.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 552a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>A record maintained in this system of records may be disseminated as a routine use of such record
as follows:
</p><p>(a) Upon request by a Requesting Official within the Department of Justice or a United States
Attorney's office, to the Requesting
Official, as defined in the United States Attorney's Manual, Title 9, paragraph 5.100, for the
United States Attorney for each district (<i>
see</i> Appendix USA-999 or EOUSA Internet addresses at <i>http://www.usdoj.gov/eousa</i>) to
be used in accordance with that policy.
</p><p>(b) A record will be provided to a court and/or defense attorney in satisfaction of the
prosecuting attorneys' obligations under the <i>
Giglio</i> decision and the case law following that decision.
</p><p>(c) To the Department of Justice (including United States Attorney Offices) or other Federal
agency conducting litigation or in proceedings
before any court, adjudicative or administrative body when it is necessary to the litigation and one
of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. HUD or HUD OIG or any component of either;
</p><p>2. Any employee of OIG in his/her official capacity;
</p><p>3. Any employee of OIG in his/her individual capacity where the Department of Justice has agreed
to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in
such litigation, and HUD OIG determines that
the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which OIG
collected the records.
</p><p>(d) In any case in which there is an indication of a violation or potential violation of law,
criminal or regulatory in nature, the record
in question may be disseminated to the appropriate Federal, State, local, or foreign agency charged
with the responsibility for investigating
or prosecuting such violation or charged with enforcing or implementing the law;
</p><p>(e) In the course of investigating any potential or actual violation of any law, criminal, civil,
or regulatory in nature, or during the
course of a trial or hearing or the preparation for a trial or hearing for such violation, a record
may be disseminated to a Federal, State,
local, or foreign agency, or to an individual or organization, if there is reason to believe that
such agency, individual, or organization
possesses information relating to the investigation, trial, or hearing and the dissemination is
reasonably necessary to elicit such
information or to obtain the cooperation of a witness or an informant;
</p><p>(f) A record relating to a case or matter may be disseminated in an appropriate Federal, State,
local, or foreign court or grand jury
proceeding in accordance with established constitutional, substantive, or procedural law or
practice;
</p><p>(g) Subject to the limitations of 28 CFR 50.2, regarding the release of information during the
pendency of criminal trials, and after a
determination that release of the specific record in the context of a particular case would not
constitute an unwarranted invasion of personal
privacy, a record may be disseminated to the news media and public;
</p><p>(h) Records not otherwise required to be released pursuant to 5 U.S.C. 552a may be made available
to a Member of Congress or staff acting
upon the Member's behalf when the Member or staff requests information on behalf of and at the
request of the individual who is the subject of
the record;
</p><p>(i) A record may be disclosed as a routine use to the National Archives and Records
Administration (NARA) and to the General Services
Administration (GSA) in records management inspections conducted under the authority of 44 U.S.C.
2904 and 2906.
</p><p>(j) Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the
Event of a Data Breach. A record from a
system of records maintained by this Department may be disclosed to appropriate agencies, entities,
and persons when:
</p><p>a. The Department suspects or has confirmed that the security or confidentiality of information
in a system of records has been
compromised;
</p><p>b. The Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of systems or programs
(whether maintained by the Department or
another agency or entity) that rely upon the compromised information; and,
</p><p>c. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Generally, all records are recorded on basic paper/cardboard material and stored in file
folders in file cabinets. Some <i>Giglio</i>
Officials may maintain the records in electronic format available through the <i>Giglio</i>
Official's computer terminal.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved primarily by the name of the prospective witness. Identify the other
means for retrieving records from the
system. A record within this system of records may be accessed by the <i>Giglio</i> Official and
provided to the Requesting Official.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in the system are confidential and are located in file cabinets in the offices of
the Special Agents in Charge or Deputy
Assistant Inspector General for Investigations. Offices are locked during non-working hours and are
secured by either the Federal Protective
Service or in a private building with controlled access. The ability to access electronically is
restricted to those who have a valid ID and
password. Authorized access is limited to those with a need-to-know and for the appropriate
functions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are to be retained and disposed of in accordance with agency retention plans is in
accordance with Records Disposition
Schedule 3, Items 79-1 to 86, Appendix 3, HUD Handbook 2225.6, Rev. 1, and the OIG <i>Giglio
</i> Policy, which states "Upon
transfer or reassignment of the employee within OIG, the <i>Giglio</i> file will be forwarded to the
<i>Giglio</i> Official at the employee's
new duty station. Upon retirement, resignation, or transfer, the employee's <i>Giglio</i> file will
be destroyed and anyone with a copy of the
file will be informed to destroy their file on the employee."
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>System Manager for the system in each office is the OIG Giglio Official, defined in the OIG
Giglio Policy as the Special Agent in
Charge for each region and the Deputy Assistant Inspector General for Investigations. Point of
Contact is the Assistant Inspector General for
Investigation, Office of the Inspector General, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Records are generally exempt from Privacy Act access. However, the System Manager will
accept and give consideration to a request from
an individual for notification of whether the system contains records pertaining to that individual.
Address inquiries to the System Managers
listed above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this record system has been exempted from the
access provisions in 5 U.S.C. 552a(d).
However, the System Manager will accept and give consideration to a request from an individual for
access to records pertaining to that
individual that are indexed and retrieved by reference to that individual's name and/or social
security number. The procedures for requesting
access to records appear in 24 CFR parts 16 and 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this record system has been exempted from the
record contesting provisions in 5 U.S.C.
552a(d)(3)-(4). However, the System Manager will accept and give consideration to a request
from an individual for amendment or
correction of records pertaining to that individual that are indexed and retrieved by reference to
that individual's name and/or social
security number. The procedures for requesting amendment or correction of records appear in 24 CFR
part 16 and 2003.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Sources of records contained in this system include, but are not limited to, reports of
Federal, State and local law enforcement
agencies; official personnel files, reports by investigative agencies; data, memoranda and reports
from the Court and agencies; and pleadings
and other documents relevant to the court proceedings in particular cases. The OIG collects
information from a wide variety of sources,
including other Federal agencies, law enforcement agencies, program participants, subject
individuals, complainants, witnesses and other non-
governmental sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system of records, to the extent that it consists of information compiled for the
purpose of criminal investigations, has been
exempted from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1), (e)(2) and (e)(3) of
the Privacy Act pursuant to 5 U.S.C.
552a(j)(2). In addition, this system of records, to the extent that it consists of other
investigatory material compiled or generated for law
enforcement purposes, has been exempted from the requirements of subsections (c)(3), (d)(1), (d)(2)
and (e)(1) of the Privacy Act pursuant to
5 U.S.C. 552a(k)(2). Finally, this system of records, to the extent that it consists of
investigatory material compiled or generated for the
purpose of determining suitability, eligibility, or qualifications 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
promise that the identity of the source
would be held in confidence, has been exempted from the requirements of subsection (d)(1) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(5).
Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and
have been published in the <i>Federal
Register</i>.
</p></xhtmlContent></subsection></section>
<section id="pdr1" toc="yes">
<systemNumber>/PD&amp;R.01
</systemNumber>
<subsection type="systemName">Veterans Homelessness Prevention Demonstration Evaluation Data Files System (VHPD Data
Files).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Silber &amp; Associates, 13067 Twelve Hills Road, Suite B Clarksville, Maryland 21029-
1144; Urban Institute, 2100 M Street NW.,
Washington, DC 20037.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons enrolled in VHPD, the Homelessness Prevention and Rapid Re-housing Program (HPRP),
and Veterans Affairs medical service
centers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Some but not all records under this System of Records Notice will be derived from the
Homeless Management Information System (HMIS)
and the Veteran Affairs Medical Centers (VAMC) records that collect homeless data. Other records,
including personal and sensitive
information, will be obtained from persons enrolled in VHPD, as follows: name, social security
number, participant study unique ID, date of
birth, home address, home telephone, and personal email address, as well as names and contact
information for up to three friends and/or
family members. The dataset will also contain sensitive information, including race/ethnicity,
gender, marital status, spouse's name, number
of children, income and financial data (earned income, benefit receipt, including Supplementary
Social Security Income, Social Security
Disability Insurance, Temporary Assistance for Needy Families and other benefits, and assets),
employment history, educational level, medical
history and information, disability, criminal record, residential history, homeless program
utilization, barriers to housing, and veteran
status.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Housing and Urban Development Act of 1970, Section 502 (Pub. L. 91-609; 84 Stat. 1784;
12 U.S.C. 1701z-1 <i>et seq.</i>)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system of records will enable evaluation of the Veterans Homelessness Prevention
Demonstration. The Notice of Funding Availability
(NOFA) issued by HUD stated that "the evaluation will include an in-depth exploration of
programs developed in each of the five sites.
" The five sites are: Camp Pendleton (San Diego, CA); Fort Hood (Killeen, TX); Fort Drum
(Watertown, NY); Joint Base Lewis-McChord
(Tacoma, WA); MacDill Air Force Base (Tampa, FL). The Notice directs the evaluation to focus
particular attention "on the structure and
effectiveness" of collaboration at the local level between the local Continuum of Care
grantee, the Veterans Administration and the
Department of Labor. The evaluation will assess the effectiveness of homelessness prevention
assistance delivered through this demonstration
program; outcomes of interest include housing stability, earnings, employment, and access to health
services. Further, the evaluation will
investigate the unique needs of new cohorts of veterans, especially veterans of Operation Enduring
Freedom and Operation Iraqi Freedom,
particular types of veterans, such as female veterans, members of the National Guard and Reserve,
military families and veterans with combat-
related risk factors. To measure the effectiveness of the program, the evaluation will follow
veterans and their families after program
completion and ascertain if there have been any improvements in measures of housing stability, self-
sufficiency, employment and earnings,
family well-being, and health. There will be two types of data files created as part of this
evaluation: a Master File will be created that
contains personally identifying information but does not contain study data. A Study File will be
created that does not contain any personally
identifying information. The only variable in both the Master File and the Study File will be a
numeric unique study identifier. The Study
File will be used for data analysis and will be stored in a separate location from the Master File
that contains identifying information. This
will enable the Master File to be used for follow-up contacts and for linking data from
administrative datasets, while minimizing the risk to
confidentiality. The evaluation goal is to collect data to enable analysis, research, and program
evaluation to promote better practice and
monitoring of outcomes in certain HUD homelessness prevention programs, to assist with resolving
complex matters affecting veteran
homelessness today.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>The proposed routine use disclosures of data in the system are all necessary for, or at
least compatible with, the purposes for which
the SOR will be created. We propose to establish the following routine use disclosures of
information maintained in the system:
</p><p>1. To a Congressional office from the record of an individual in response to an inquiry from that
Congressional office made at the request
of the individual to whom the records pertain;
</p><p>2. To the National Archives and Records Administration or other Federal Records management agency
pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906;
</p><p>3. To the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or
in preparation for any proceeding, when
HUD or any component thereof disclose information to DOJ during the course of an investigation to
the extent necessary to obtain information
pertinent to the investigation under applicable HUD administered Rental Housing Assistance Programs;
</p><p>4. To contract researchers, researchers consultants, grantees and their employees authorized to
collect, analyze, and write reports about
the data as needed to evaluate the effectiveness of prevention homeless assistance efforts; to
analyze primary study data with administrative
data as needed to track program participants' outcomes as required for the evaluation research; to
conducting research and statistical
analyses and for writing reports related to the evaluation of HUD programs and demonstrations
relevant to this system of records pursuant to
an approved data sharing agreement; and
</p><p>5. To appropriate agencies, entities, and persons when: (a) HUD or a provider of service to HUD
suspects or has confirmed that the security
or confidentiality of the system of records has been compromised; (b) the Department has determined
that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by HUD or another agency or entity)
that rely upon compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to
assist HUD's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Survey and administrative data will be stored on a secure, password-protected network drive.
Only personnel authorized by the project
director will be given access using technical controls based on access policies administered by the
system administrator. Hard copies,
including DVDs and other records, are stored in locked cabinets to which only authorized personnel
have access.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>When used for data analysis, records are retrieved by unique study identifier. To link data
from administrative sources to study data
records are retrieved by social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Hard copy files are stored in a locked file which can be accessed only by staff who have
signed a Staff Confidentiality Pledge. Each
data user's permissions will be defined based on the user's role in the project. Study data will be
aggregated or de-identified at the highest
level possible for each, required, authorized use. Survey and administrative data will be stored on
a secure, password-protected network
drive. Authorized personnel accessing the data through the survey system will be monitored through a
secured restricted access monitoring
system, which complies with Federal Information Processing Standards (FIPS). Data is protected by
endpoint protection, firewall access
controls and policies that provide access to authorized personnel only. Full disk encryption and
software and client firewall policies are
implemented. Authorized uses are allowed access with user name and password. The system resides on
locked premises and is accessible only by
the system administrator.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All hard copy data files and materials containing personal identifiers will be destroyed
within six months of project completion in
2014. The Master File containing personally identifiable information will be destroyed within 6
months of study completion using a method
described by the NIST SP 800-88 "Guidelines for Media Sanitization" (September
2006). At the end of the contract, dvd(s) and
hardcopy records that do not need to be retained will be shredded and the remainder of the files
will be shredded after the three-year
retention period required in the contract. Stripped electronic data files that do not contain any
personally identified information will be
retained permanently in accord with 44 U.S.C. 101 and the policies governing retention and disposal
of research data in HUD Handbook 2225.6
(Appendices 9 and 67) and HUD Handbook 2229.1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Carol S. Star, Director, Department of Housing and Urban Development, Office of Policy
Development &amp; Research, Division of Program
Evaluation, 451 Seventh Street SW., Room 8120, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact Harold
Williams, Acting Chief Privacy Officer,
Department of Housing and Urban Development, 451 Seventh Street SW., Room 4156, Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to Harold Williams, Acting Chief Privacy Officer, Department of
Housing and Urban Development, 451 Seventh
Street SW., Room 4156, Washington, DC 20410. Provide verification of your identity by providing two
proofs of official identification. Your
verification of identity must include your original signature and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) Contesting contents of records: U.S. Department of Housing and Urban Development, Chief
Privacy Officer, 451 Seventh Street SW.,
Washington, DC 20410;
</p><p>(ii) Appeals of initial HUD determinations: In relation to contesting contents of records, the
HUD Departmental Privacy Appeals Officers,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW.,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the record subjects and the Homeless Management Information
Systems in participating Continuums of Care.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="pdr2" toc="yes">
<systemNumber>/PD&amp;R/RRE.02</systemNumber>
<subsection type="systemName">Family Self-Sufficiency Program Demonstration Data.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>MDRC 16 East 34th Street, New York, NY 10016-4326; Department of Housing and Urban Development, 451 7th St. SW., Washington
DC 20410; Iron Mountain, 1101 Enterprise Drive, Royersford, PA 19468.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Participants in the Family Self-Sufficiency Program Demonstration.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The dataset will contain the following categories of records:
</p><p>1. Output of random assignment process: Identify treatment group status, sample ID and research ID.
</p><p>2. Responses to baseline information form: This initial survey collects PII, including social security number, full name, date of
birth, public housing authority household ID number, address, phone numbers, email addresses, and contact information of family or
friends. In addition, it will collect demographic data, family status, household composition, employment status, and income.
</p><p>3. Responses to follow-up survey: Respondents' subjective assessments of FSS; respondents' experiences with other public housing
programs; respondents' earning of degrees and credentials; involvement in education, training, and employment services; respondent
and household income; material hardship; family well-being; savings, debt, and financial behaviors; household demographics; housing
circumstances and conditions.
</p><p>4. Administrative data: Data on households available through HUD administrative data collections will be brought into the dataset
directly from participating public housing authorities and extracted from HUD's Inventory Management System, including information
pertaining to family structure, household size, household assets, household income, total tenant payment and subsidy amount, FSS
escrow account eligibility, timing and amount of FSS escrow account contributions, withdrawals from FSS escrow account, eligibility
for Section 8 housing, residence status in public housing, and participation in other HUD programs.
</p><p>5. Management information system data: When necessary, each study site will include information about FSS pre-employment,
education, and training services providers will be collected, including service type, service referral, start and end dates, end
reason, degree/credential receipt, and supportive services payment types.
</p><p>6. Data from State Unemployment Insurance systems and other administrative systems outside of HUD: In addition to the data
collected through the follow-up survey, the FSS Demonstration Data will also include quarterly data drawn from the Unemployment
Insurance (UI) system on employment, earnings, and UI benefit receipt. It may also include data on receipt of Supplemental Nutrition
Assistance Program (SNAP) benefits and Temporary Assistance to Needy Families (TANF) benefits collected from the responsible entities
in each study site.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 502(g) of the Housing and Urban Development Act of 1970 (Public Law 91-609) (12 U.S.C. 1701z-1; 1701z-2(d) and (g)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the FSS Demonstration is to evaluate the impact of the FSS program. The FSS Demonstration is a random-assignment
study to evaluate the effectiveness of the Family Self-Sufficiency (FSS) Program. FSS has operated since 1992 and serves voucher
holders and residents of public housing. The FSS program offers participants case management plus an escrow account in which they
must deposit a proportion of any increased earnings during the time they stay in the program. The FSS program aims to help
participants increase their earnings. To date, HUD previously funded two studies of the FSS program, but neither can tell us how well
families would have done in the absence of the program. The FSS Demonstration will compare FSS participants to nonparticipants in
terms of employment, earnings and housing stability over several years. Because participants and non-participants will be randomly
assigned instead of self-selected, the FSS Demonstration findings will allow us to attribute participant gains to the impact of the
program. This study will provide critical information for developing policies that truly support families toward self-sufficiency.
The findings of the FSS Demonstration can inform decisions about the modification or expansion of the FSS program. Furthermore, the
FSS Demonstration is in direct service of the mission of HUD's Office of Policy Development and Research, which is to "inform
policy development and implementation to improve life in American communities through conducting, supporting, and sharing research,
surveys, demonstrations, program evaluations, and best practices." In sum, the purposes of the FSS Demonstration are (1) to
find out if the FSS program helps families achieve self-sufficiency and (2) to provide policy makers with insight into how policy can
best help families achieve self-sufficiency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose information
contained in this system of records without the consent of the subject individual in accordance with the following discretionary
disclosures set forth by the <i>Federal Register</i> Notice "HUD's Routine Use Inventory" [Docket No.
FR-5613-N-07] published on 7/17/2012 [1] when such disclosure is compatible with the purpose
for which the record was collected, providing that approval is obtained from the system manager. Routine uses applicable to the FSS
Demonstration Data System include:
</p><p>[1] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.</i>
</p><p>(1) To a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p><p>(2) To the National Archives and Records Administration (NARA) and the General Services Administration (GSA) for records having
sufficient historical or other value to warrant its continued preservation by the United States Government, or for inspection under
authority of Title 44, Chapter 29, of the United States;
</p><p>(3) To a congressional office from the record of an individual in response to an inquiry from the congressional office made at the
request of that individual;
</p><p>(4) To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities including but not limited to state
and local governments, and other research institutions or their parties, other entities and their agents with whom HUD has a
contract, service agreement, grant, or cooperative agreement, when necessary to accomplish an agency function related to a system of
records for the purposes of statistical analysis and research in support of program operations, management, performance monitoring,
evaluation, risk management, and policy development, or otherwise to support the Department's mission. Records under this routine use
may not be used in whole or in part to make decisions that affect the rights, benefits or privileges of specific individuals. The
results of matched information may not be disclosed in identifiable form;
</p><p>(5) To the Department of Justice (DOJ) when seeking legal advice for a HUD initiative or in response to DOJ's request for the
information, after either HUD or DOJ determine that such information is relevant to DOJ's representatives of the United States or any
other components in legal  proceedings before a court or adjudicative body, provided that, in each case, the agency also determines
prior to disclosure that disclosure of the records to the DOJ is a use of the information contained in the records that is compatible
with the purpose for which HUD collected the records;
</p><p>(6) HUD on its own may disclose records in this system of records in legal proceeding before a court or administrative body after
determining that the disclosure of the records to the court or administrative body is a use of the information contained in the
records that is compatible with the purpose for which HUD collected the records;
</p><p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States
for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or
instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the
law enforcement activity for which the record is sought; and
</p><p>(8) To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that the security or confidentiality of
information in a system of records has been compromised; (b) HUD has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of systems or programs (whether maintained by HUD or another agency or entity) that rely upon the compromised information; and (c)
the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with HUD's efforts to
respond to the suspected or confirmed compromise  and prevent, minimize, or remedy such harm for purposes of facilitating responses
and remediation efforts in the event of a data breach.
</p><p>Storage:</p>
<p>Records are stored on secure servers. System users are not allowed to download, keep, or process individual-level data on the hard
drives of their MDRC work stations. Archived study data will be stored on secure servers, and the IRON Mountain Storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrieved by social security number and/or unique study identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to any server, security, storage, backup, and infrastructure equipment is monitored, restricted to only those with a need-
to-have system access, including being secured by administrative password and authentication methods. All system users are required
to sign a confidentiality pledge to abide by corporate policies and by HUD policies. There are no paper-based records associated with
this study.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records (electronic data) files are maintained in accordance with HUD Records Disposition Schedule 67.9.b and 67.9.f; [2]
 this schedule requires that records be retained or archived for 6 years. As such, when projects are satisfactorily closed and
records are no longer needed for administrative purposes, the records can be destroyed when the destruction date is reached. Manual
records are destroyed by shredding or burning; electronic records are destroyed in accordance with HUD's IT Security Handbook
2400.25, Section 4.7.6.[3]</p>
<p>[2] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=22256x67ADMH.pdf.</i>
</p><p>[3] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=240025CIOH.pdf.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Division of Program Evaluation, Department of Housing and Urban Development, Office of Policy Development and Research,
451 Seventh Street SW., Room 8120, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Chief Privacy Officer, Department of Housing
and Urban Development, 451 Seventh Street SW., Room 4156, Washington, DC 20410. (Attention: Capitol View Building, 4th Floor).
Provide verification of your identity by providing two proofs of official identification. Your verification of identity must include
your original signature and must be notarized. The Department's rules for providing access to records to the individual concerned
appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information is needed,
contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street SW., Room 4178 (Attention:
Capitol View Building, 4th Floor), Washington, DC 20410;
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh
Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Output of random assignment process, (2) Responses to baseline information form, (3) Responses to follow-up survey, (4)
Administrative data, (5) Management information system data from public housing agencies, and (6) Data from administrative systems,
including State Unemployment Insurance and entities responsible for Supplemental Nutrition Assistance Program (SNAP) benefits and
Temporary Assistance to Needy Families (TANF) in each study site.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="pdr6" toc="yes">
<systemNumber>/PD&amp;R-6
</systemNumber>
<subsection type="systemName">Real Estate Settlement Costs Research Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Contractor's office (contractor to be selected).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Buyers and sellers of individual
residential housing units and owners of such
units who refinance their mortgages.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A national sample of Uniform Settlement Statement
(HUD-1) forms, showing detailed
settlement items and their costs, will be collected from mortgage lenders. Follow-up phone calls to
buyers and sellers listed on these forms
may be made to elicit information on settlement procedures, costs, etc. In addition, a sample of HUD
-1 forms and good-faith estimates of
settlement costs will be collected from mortgage lenders in about 12 different housing markets
across the country; a sub-sample of these forms
will be used to draw a sample of buyers and sellers, as well as a sample of attorneys, mortgage
lenders, and others who provided services to
buyers and sellers in the sub-sample; this sub-sample will then be interviewed. Data will also be
collected from national experts in this
subject area and from State and local bodies which regulate providers of settlement services.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 14, Real Estate Settlement Procedures Act
of 1974 (88 Stat. 1724), 12 U.S.C. 2613.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Routine Uses
paragraphs in prefatory statement. Other routine uses: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>File folders and magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name or address of subject;
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual records stored in lockable file cabinets and desks in lockable rooms
and computer facilities are in secured
areas. Access to both types of records are limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All records will be maintained for five years until the end of
1983.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Housing and Demographic Analysis Division, TEH,
Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
Headquarters location in accordance with 24 CFR part 16. This location is given in Appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
headquarters location. This location is given
in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the Headquarters location.
This location is given in appendix A; (ii)
in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, mortgage lenders, title insurance firms,
real estate agents, title abstractors, land
surveyors and other providers of settlement services.
</p></xhtmlContent></subsection></section>
<section id="pdr7" toc="yes">
<systemNumber>/PD&amp;R-7
</systemNumber>
<subsection type="systemName">Section 8 Program Research Data Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Cambridge, Massachusetts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Families selected in a random sample of
applicants to and certificate holders in
the Section 8 Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, household demographics (age, sex,
race, income, handicapped status), condition
of pre-program housing unit, program status information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 501, 502, Housing and Urban Development
Act of 1970 (Pub.L. 91-609), 12 U.S.C.
1701z-1, 1701z-2.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A. To authorized social science researchers participating in the Moving to Opportunities for
Fair Housing Demonstration Program (MTO)
and in the Chicago Gautreau Program.
</p><p>B. To Abt Associates, and to other contractors selected by HUD to carry out the objectives of
MTO-related research and evaluation.
</p><p>C. To the Social Security Administration to verify income/wage data.
</p><p>D. To the Internal Revenue Service to verify income data.
</p><p>E. To the Illinois Department of Employment Security verify income/wage data for Section 8
certificate recipients in the Chicago CMSA.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>In file folders and on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual files will be kept in lockable cabinets in a secured area; computer
records will be maintained in a separate
secured area. Access to either type of record will be limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All personal identifiers will be destroyed approximately four
months after the system is created.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Housing Assistance Research Division, TRH
Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence or
records, contact the Privacy Act Officer at the
Headquarters locations, in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, Contact the Privacy Act Officer at the
Headquarters location. This location is given
in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear information or assistance is needed, it may be obtained by contacting:
(i) In relation to contesting contents of
records, the Privacy Act Officer at the headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial
denials, the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection></section>
<section id="pdr8" toc="yes">
<systemNumber>/PD&amp;R-8
</systemNumber>
<subsection type="systemName">Income Certification Evaluation Data Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Applied Management Science, Inc., Silver Spring, MD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Tenants of Section 8, Section 236, and
Public Housing projects. Projects are
selected randomly from a subset of all projects, tenants are selected randomly from the set of all
tenants of the projects thus sampled.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Family identification (name, address, Social
Security Number), household demographics (age,
sex, family size, income and income sources, length of tenure), verification of income data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title V, Section 501 and 502 of the Housing and
Community Development Act of 1970, Pub.L.
91-609.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See routine uses
paragraphs of prefatory statement. Other routine uses: Applied Management Science, Inc.--to
carry out objectives of study, Social
Security Administraiton, Internal Revenue Service--to verify income data.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>In file folders and on magnetic tape/disc/drum.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, address, Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual files will be kept in lockable cabinets in a secured area; computer
records will be maintained in a separate
secured area. Access to either type of record will be limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All records will be destroyed at the completion of the study.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Evaluation Division, Department of Housing and
Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence of
records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This location is given in appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part
16. If additional information or assistance is required, contact the Privacy Act Officer at the
Headquarter's location. This location is given
in appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of
records and appealing initial denials, by the
individual concerned, appear in 24 CFR part 16. If additional information or assistance is needed,
it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer at the Headquarters location.
This location is given in appendix A; (ii)
in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject, Income Sources.
</p></xhtmlContent></subsection></section>
<section id="pdr9" toc="yes">
<systemNumber>/PD&amp;R/RPT.09
</systemNumber>
<subsection type="systemName">HUD USER File for Research Products, Services and Publications.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD USER Warehouse located at 44077 Mercure Circle, Sterling, VA 20166 and HUD USER Clearinghouse System located at
11491 Sunset Hills Road, Suite 350, Reston VA 20190.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system contains information on those individuals who have expressed an interest in receiving research products and
services publications.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system provides a record of individuals who request research products which includes name, title and address;
telephone and fax numbers; emails; organizations affiliation and areas of interest; publications of interest; and order
information including what was ordered and when.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title V of the Housing and Urban Development Act of 1970, section 501.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information is collected for the purpose of fulfilling order requests from individuals to receive
PD&amp;R research products including publications, data sets, brochures, and other materials.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act. HUD may disclose
information contained in this system of records without the consent of the subject individual in accordance with its
discretionary disclosures, when such disclosure is compatible with the purpose for which the record was collected. Refer
to this notice "Prefatory Statements of General Routine Uses" section for a description of these disclosures
that may apply this this system of records.
</p><p>1. Records from the system are provided to the contractor providing service on behalf of PD&amp;R, with funds provided
by PDR for the purpose of disseminating PD&amp;R research products.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hard copy files are stored at the HUD User Information Center and electronically on office automation equipment.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individual.</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are available only to those persons whose official duties require such access. Hard copy records are
stored in locked file cabinets. Access to electronic records are restricted and granted by User ID and password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Written and electronic records are maintained in accordance with the HUD's Records Disposition Schedules, Handbook
2225.6, Appendix 9. Hard copy records are held for a period of three years, and then destroyed by shredding. Hard copy
files of an historical value are converted to electronic format after a (3) month period and destroyed afterwards by
shredding. All electronic files are of historical value and are stored for an indefinite period at the HUD User
Information Center as part of the HUD User Order Processing System.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Research Utilization Division, 451 Seventh Street, SW., Room 8110, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about them, or those seeking
access to such records, should address inquiries to Donna Staton-Robinson, Chief Privacy Officer, Department of Housing
and Urban Development, 451 Seventh Street SW., Room 4156, Washington, DC 20410. (Attention: Capitol View Building, 4th
Floor). Record access requestors must provide identity verification by providing two proofs of official identification.
Your verification of identity must include your original signature and must be notarized. The procedures for requesting
access to records appear in 24 CFR parts 16 and 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The rules for contesting the contents of records and appealing initial denials, by the individual concerned, appear in
24 CFR part 16. The procedures for requesting amendment or correction of records appear in 24 CFR parts 16 and 2003.
Individuals seeking to contest records contained in this system are as follows:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street, SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410; or
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel,
451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from requests for information made from HUD User or individuals
identified to receive notification of new products or initiatives. The requests for information or printed material may
come through the Internet, phone, fax, mail, or a site visit.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="pdr10" toc="yes">
<systemNumber>/PDR-10</systemNumber>
<subsection type="systemName">Housing Counseling Research Data Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Housing Counseling Research Data Files servers are in Cambridge Massachusetts. System is
maintained and operated by Abt Associates,
IMPAQ International and software is loaded on their desktop computer at the Columbia Maryland
location. The client system database software
will be installed on secure servers at IMPAQ International in Columbia, MD. Project staff at IMPAQ
will access the servers via the IMPAQ
computer network infrastructure, again with authorization (username and password) required.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals selected in a random sample of clients participating in housing counseling.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, household demographics (age, gender, race, ethnicity, income, assets, marital
status, education, current work status,
number of dependents, living situation and costs); financial information (gross monthly income,
amount in savings, amount in retirement
accounts, monthly rent paid, monthly utilities paid, mortgage payment status); Social Security
Number, homeownership status, program status
information, counseling agency ID, employment history of counselor, Born in U.S., English as primary
language, homeownership status,
foreclosure status; name, address, and telephone numbers of two relatives or friends for future
follow-up.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C.
1701z-1, 1701z-2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To conduct an outcome evaluation study on the outcomes realized by clients of HUD-funded
Housing Counseling Agencies seeking
assistance to either purchase a home (pre-purchase clients) or to resolve or prevent a mortgage
delinquency (foreclosure mitigation clients).
The study is designed to gather statistically accurate information on outcomes realized by the
clients of the participating housing counseling
agencies. The study focuses on two groups of clients: (1) Clients seeking assistance to purchase a
home (pre-purchase clients) and (2) clients
seeking to resolve or prevent a mortgage delinquency (foreclosure mitigation clients). Up to Thirty
housing counseling agencies at random will
be recruited to participate in this study. The selected agencies will provide samples of data from
each of the two groups, selected. The data
collected through the study will support analysis of not just the frequency of different client
outcomes, but also the association between
these outcomes and client characteristics, client circumstances, and the extent of services
received. Additionally, the proposed study will
fulfill two important needs for HUD and the counseling field. First, it will provide systematic
information on the outcomes realized by
counseling clients and how these outcomes vary with the characteristics or clients and the services
they receive. The study will also lay the
groundwork for a subsequent pre-purchase impact evaluation by testing data collection procedures to
be used to enroll clients, gather
information on the characteristics of the services they receive, and track them over time.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those
disclosures generally permitted under 5 U.S.C. A.
</p><p>A. To individuals under contract to HUD or under contract to another agency with funds
provided by HUD--for the preparation of
studies and statistical reports directly related to the management of HUD's Housing Counseling
Programs.
</p><p>B. To future researchers selected by HUD to carry out the objectives of HUD's Housing Counseling
Program in aggregate form without
individual identifiers--name, address, social security number--for the performance of
research and statistical activities of the
Housing Counseling Programs.
</p><p>C. To authorized social science researchers participating in HUD's Housing Counseling Program in
aggregate form without individual
identifiers--name, address, social security number--for the performance of research and
statistical activities of the Housing
Counseling Programs.
</p><p>D. To participating counseling agencies for only part of the database to gather data identifying
information that they gather from their
own clients participating in the study and not the part of the database that contains social
security numbers, birth dates, or data on the
housing counseling clients of other agencies.
</p><p>E. To credit bureaus to draw credit reports on the individuals selected to participate in the
Housing Counseling Outcome Evaluation.
</p><p>F. To HUD's Housing Counseling System, including the Client Activity Reporting System (CARS) to
match sample clients' baseline, service
tracking, and outcome data gathered during the course of this research to data reported on those
clients in CARS.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders and electronic files stored on contractors' secured servers and computers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual files will be kept in sealed envelopes, in locked cabinets, in locked offices;
computer records will be maintained in a
separate secured area accessible only to authorized personnel with passwords. The consent forms will
be scanned into electronic files that
will be encrypted and then provided to Abt Associates via a secure, password protected HTTPS site.
When the consent forms are used to obtain
credit reports for the study, a copy of the consent form will be provided using the same secure
HTTPS site and encrypted files to the agency
that obtains the credit reports. The baseline questionnaires will be entered into an electronic
database that will be encrypted at the
database level and accessible only to authorized personnel with passwords. Both the consent forms
and baseline questionnaires will then be
stored at a secure off-site facility for the duration of the project.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All personal identifiers will be destroyed approximately six months after the research is
completed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mark Shroder, Acting Director of the Program Evaluation Division, Office of Policy
Development and Research, Department of Housing and
Urban Development, 451 Seventh Street, SW., Washington, DC 20410, Telephone Number (202) 402-
5922.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence or records, contact Donna Robinson-
Staton, Departmental Privacy Act Officer,
Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC, in accordance
with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records, and for applicants who want to appeal
initial agency determination appear in 24
CFR part 16. If additional information is needed, contact:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act Officer at HUD,
451 Seventh Street, SW., Room 2256,
Washington, DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street,
SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The original records are transferred from information obtained from <i>baseline
questionnaires</i> for participating clients and <i>
service tracking surveys</i> on counseling services received by those clients from the record
subjects, participating counseling agencies, and
credit bureaus.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="pdr10" toc="yes">
<systemNumber>/PD&amp;R-10</systemNumber>
<subsection type="systemName">Homeless Families Impact Study Data Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Homeless Families Impact Study Data Files are to be located at Abt Associates Inc., 55
Wheeler Street, Cambridge, MA; Abt Associates
Inc., 4550 Montgomery Avenue, Bethesda, MD; and the AT&amp;T Datacenter, 15 Enterprise Ave.,
Secaucus, NJ 07094.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Families enrolled in Homeless Families Impact Study.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; Social Security Number; study identifier; birth date; contact information (home
address, telephone numbers, e-mail address);
demographic characteristics of the family head (<i>e.g.,</i> race/ethnicity, gender, marital
status); number of children and other adults in
the household (a roster of adults and children with the family head at baseline and spouse/partner
and children not with the family head at
baseline, and characteristics of these family members); income sources and total family income;
employment and earnings for the family head;
health (behavioral health and physical health of the family head); substance use; foster care
history for the family head; exposure to
domestic violence; housing status prior to shelter entry; homelessness history; barriers to housing;
homeless program participation; contact
information for family and friends; and assigned study intervention, and study involvement
information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C.
1701z-1, 1701z-2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The U.S. Department of Housing and Urban Development (HUD) is undertaking an evaluation of
the Impacts of Housing and Services
Interventions for Homeless Families to provide research evidence to help federal policymakers,
community planners, and local practitioners
make sound decisions about the best ways to address homelessness among families. This study will
compare four combinations of housing and
service interventions for homeless families in a rigorous, multi-site experiment, to determine what
interventions work best to promote family
stability and well-being and, within the limits of statistical power, what sorts of families benefit
most from each intervention. The
interventions are: (1) Permanent housing subsidy without services (Subsidy Only); (2) Community-
Based Rapid Re-housing (CBRR), consisting of
temporary housing subsidy provided in conventional housing with limited supportive services; (3)
temporary housing subsidy provided in
facility-based housing with intensive services but no guarantee of a permanent subsidy (Project-
Based Transitional Housing-PBTH); and (4)
shelter, with whatever services the shelter ordinarily provides to its residents and any other
assistance available in the community (Usual
Care). This study will also exploit naturally occurring variation in program features within these
categories and across sites to explore,
non-experimentally, what features of programs seem most responsible for success.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>&#2022; Authorized AbtSRBI researchers will collect the data from participating
families and will match these primary study data
with other datasets for tracking (<i>e.g.,</i> matching with change of address databases) to track
and locate families throughout the study
and to manage the data collection process.
</p><p>&#2022; A limited number of authorized Abt researchers will access personally identifying
information to link data from one phase of
data collection to another or to match primary study data with other datasets for data collection
purposes (<i>e.g.,</i> matching with HUD's
public housing dataset to measure housing receipt).
</p><p>&#2022; Authorized Abt researchers will also use the data for statistical analysis and to
develop findings for this research study.
</p><p>&#2022; Authorized Abt researchers may use the data to create a public use file of non-
identifiable data for disclosure to authorized
researchers for other purposes. The Department suspects or has confirmed that the security or
confidentiality of information in the system of
records has been compromised; the Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm
to economic or property interests, identity theft or fraud, or harm to the security or integrity of
this system or other systems or programs
(whether maintained by the HUD or another agency or entity) that rely upon the compromised
information.
</p><p>&#2022; If the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has
been compromised; or if the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of
this system or other systems or programs
(whether maintained by the HUD or another agency or entity) that rely upon the compromised
information; than the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in connection with the HUD's
efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Each data user's permissions will be defined based on the user's role on the project. For
example, the local site interviewer will be able
to review data for study participants only for his or her own specific site.Study data will be
aggregated or de-identified at the highest
level possible for each required, authorized use.
</p><p>Abt Associates will not use or disclose the data for any purposes other than for the "The
Impacts of Housing and Services
Interventions for Homeless Families" study ("Homeless Families Study") or related
follow-up studies. Abt Associates will not
disclose the data to additional parties without the written authority of the providing organization,
except where required by law.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The following safeguards shall be used to secure data in storage, retrieval, during access,
and disposal.
</p><p>&#2022; All personal data (identifiable and de-identified data analyses files) will be
encrypted and maintained on a secure
workstation or server that is protected by a firewall, complex passwords, and multi-authentication
factors, in a directory that can only be
accessed by the network administrators and the analysts actively working on the data.
</p><p>&#2022; Data on the secure server will be encrypted using an industry standard algorithm
incorporating at least 128-bit encryption.
The decryption key will only be known to analysts actively working with the data.
</p><p>&#2022; Separate data files will be maintained for each questionnaire and for identifying
information. Data files used for analysis
will be stored in a separate location from files with identifying information to minimize the risk
that an unauthorized user could use the
unique identification number to link de-identified files with the identifiers. The unique
identification number will be protected through
multi-mode authentication, in addition to encryption technologies.
</p><p>&#2022; Access rights to the data are granted to limited researchers on a need-to-know
basis, and the level of access provided to each
researcher is based on the minimal level required that individual to fulfill his research role.
</p><p>&#2022; Abt Associates will backup the data on a regular basis to safeguard against system
failures or disasters. Only encrypted
versions of the data will be copied to the backup media. Unencrypted data will never be stored on a
laptop or on a movable media such as CDs,
diskettes, or USB flash drives.
</p><p>&#2022; If an authorized researcher leaves employment or is no longer working on this
project, their user ID and access will be
terminated within one day, as will VPN access. These steps will be documented as part of termination
process.
</p><p>&#2022; The site interviewers will securely store any hard copy documents with personal
protected information, such as signed consent
forms, tracking letters, or interview appointment schedules.
</p><p><i>Consent Forms.</i> After the family signs the informed consent form, the site interviewers
will seal the form in an envelope at the
conclusion of the interview. Envelopes will be stored in a box in the trunk of the interviewer's car
until the interviewer returns home. Once
home, the interviewers will complete all necessary paperwork and will submit the completed surveys
to the Abt Project Director via FedEx
signature required.
</p><p><i>Tracking documentation.</i> Each site interviewer must store any tracking letters, appointment
schedules, or other documentation with
personal protected information, such as name, in a locked cabinet that can only be accessed by the
interviewer. Tracking documentation with
personal protected information should not be generated until needed in the tracking process to limit
risk of unauthorized disclosures. Site
interviewers should use study IDs in lieu of personal protected information on tracking
documentation whenever feasible to limit risk of
unauthorized disclosures.
</p><p>All hard copy forms with personal identifying data (the participant agreement/informed consent
form) will be stored securely in a locked
cabinet that can only be accessed by authorized individuals working on the data. The locked cabinet
will be stored in a locked office in a
limited-access building.
</p><p>Hard copy forms that are no longer needed for the study will be shredded. If site interviewers do
not have access to a paper shredder, they
will submit the paperwork to the Abt Project Director via FedEx with clear instructions to destroy
the documents upon receipt.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The random assignment datafile within this system will include personal identifiers that can
be used to locate records to update
families' whereabouts or to verify if a family has already been enrolled in the study. Records
within the random assignment datafile can be
retrieved by name, social security number, study identification number, birthdate, or spouse name.
</p><p>After data collection is complete, researchers will use a dataset that is stripped of identifying
information for all analyses, with the
exception of a unique study identification number assigned to each participating family. The study
identification number will be randomly
generated at the time of random assignment and will be unrelated to personal information such as
SSN, DOB, or name. The study identifier can
be linked to the personal identifying information but only by a small number of central research
staff at Abt Associates.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>PII will be maintained only as long as required and only under conditions specified in the
study protocol. Upon completion of all
research for the Homeless Families study, Abt Associates will permanently destroy of all electronic
personally-identifiable information on the
working server using one of the methods described by the NIST SP 800-88.
</p><p>"Guidelines for Media Sanitization" (September 2006). Encrypted versions of the data
may remain on backup media for a longer
period of time, but will be similarly permanently destroyed.
</p><p>At the end of the contract, records that do not need to be retained will be shredded and the
remainder of the files will be shredded after
the three-year retention period required in the contract. The retention and disposal procedures are
in keeping with HUD's records management
policies as described in HUD Records Disposition Schedules (2225.6) Appendix 67.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Carol Star, Director of the Program Evaluation Division, Office of Policy Development and
Research, Department of Housing and Urban
Development, 451 Seventh Street, SW., Washington, DC 20410, Telephone Number (202) 402-6139.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence or records, contact Donna Robinson-
Stanton, Departmental Privacy Act Officer,
Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC, in accordance
with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act, Department of
Housing and Urban Development, 451 Seventh
Street, SW., Room 2256, Washington, DC 20410.
</p><p>(ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officers,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Original data collected directly from participating families, third party data for tracking
purposes (<i>e.g.</i> National Change of
Address database, credit bureaus), and administrative data on HUD's public housing programs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="pdr/rre3" toc="yes">
<systemNumber>/PD&amp;R/RRE.03</systemNumber>
<subsection type="systemName">Rapid Re-Housing for Homeless Families Data Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Rapid Re-Housing for Homeless Families Data Files are to be located at Abt Associates Inc.,
55 Wheeler Street, Cambridge, MA; Abt
Associates Inc., 4550 Montgomery Avenue, Bethesda, MD; and the AT&amp;T Datacenter, 15 Enterprise
Ave., Secaucus, NJ 07094.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Families enrolled in RRHFD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; Social Security Number; study identifier; birth date; contact information (home
address, telephone numbers, e-mail address);
demographic characteristics of the family head (<i>e.g.,</i> race/ethnicity, gender, marital
status); number of children and other adults in
the household (a roster of adults and children with the family head at baseline and spouse/partner
and children not with the family head at
baseline, and characteristics of these family members); income sources and total family income;
employment and earnings for the family head;
current housing conditions, rent and rental assistance received; housing history since program
completion; barriers to housing; homeless
program participation; contact information for landlord, family and friends; and study tracking
information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C.
1701z-1, 1701z-2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The FY 2008 budget for the U.S. Department of Housing and Urban Development (H.R. 2764)
included a $25 million set-aside to implement
a Rapid Re-housing for Families Demonstration Program "expressly for the purposes of providing
housing and services to homeless
families." Also included in the legislation was a requirement that there be an evaluation of
the demonstration program "in order
to evaluate the effectiveness of the rapid re-housing approach in addressing the needs of homeless
families." The underlying presumption
of the rapid re-housing program posits that providers, through the use of an assessment tool they
have developed for the program, will be able
to predict with considerable confidence which homeless families, with a minimum amount of housing
and supportive services, will be able to
achieve housing stability and self-sufficiency at the conclusion of the program. In order to measure
the efficacy of the program, HUD will
seek to enroll approximately 1,200 participating families into the outcomes evaluation. A follow-up
survey will be administered to each
participating family 12 months after completion of the program. The survey will collect data related
to housing stability; self-sufficiency;
employment and earnings; family well-being; and health.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>&#149; Authorized Abt/SRBI staff will use the data files in the Web-based study contact
database to track study participants and
locate participants for 12-month follow-up interviews. Staff will use the data files to match with
other datasets for tracking purposes, such
as change of address and credit bureau databases.
</p><p>&#149; A limited number of authorized Abt researchers will access personally identifying
information to link data from one phase of
data collection to another or to match primary study data with other datasets for data collection
purposes (<i>e.g.,</i> matching records from
primary data collection with local Homeless management Information Systems (HMIS) administrative
data).
</p><p>&#149; Authorized Abt researchers will also use the data for statistical analysis and to
develop findings for this research study.
</p><p>&#149; Authorized Abt researchers may use the data to create a public use file of non-
identifiable data for disclosure to authorized
researchers for other purposes.
</p><p>&#149; If the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has
been compromised; or if the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of
this system or other systems or programs
(whether maintained by the HUD or another agency or entity) that rely upon the compromised
information; then the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in connection with the HUD's
efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Each data user's permissions will be defined based on the user's role on the project. For
example, the local site interviewer will be able
to review data for study participants only for his or her own specific site. Study data will be
aggregated or de-identified at the highest
level possible for each required, authorized use.
</p><p>Abt Associates will not use or disclose the data for any purposes other than for the "The
Evaluation of the Rapid Re-Housing for
Families Demonstration Program." Abt Associates will not disclose the data to additional
parties without the written authority of the
providing organization, except where required by law.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The following safeguards shall be used to secure data in storage, retrieval, during access,
and disposal.
</p><p>&#149; All personal data (identifiable and de-identified data analyses files) will be
encrypted and maintained on a secure workstation
or server that is protected by a firewall, complex passwords, and multi-authentication factors, in a
directory that can only be accessed by
the network administrators and the analysts actively working on the data.
</p><p>&#149; Data on the secure server will be encrypted using an industry standard algorithm
incorporating at least 128-bit encryption. The
decryption key will only be known to analysts actively working with the data.
</p><p>&#149; Separate data files will be maintained for each questionnaire and for identifying
information. Data files used for analysis
will be stored in a separate location from files with identifying information to minimize the risk
that an unauthorized user could use the
unique identification number to link de-identified files with the identifiers. The unique
identification number will be protected through
multi-mode authentication, in addition to encryption technologies.
</p><p>&#149; Access rights to the data are granted to limited researchers on a need-to-know basis,
and the level of access provided to each
researcher is based on the minimal level required by that individual to fulfill his research role.
</p><p>&#149; Abt Associates will backup the data on a regular basis to safeguard against system
failures or disasters. Only encrypted
versions of the data will be copied to the backup media. Unencrypted data will never be stored on a
laptop or on a movable media such as CDs,
diskettes, or USB flash drives.
</p><p>&#149; If an authorized researcher leaves employment or is no longer working on this
project, their user ID and access will be
terminated within one day, as will VPN access. These steps will be documented as part of termination
process.
</p><p>&#149; The site interviewers will securely store any hard copy documents with personal
protected information, such as signed consent
forms, tracking letters, or interview appointment schedules.
</p><p><i>Consent Forms.</i> The participation agreement/informed consent and contact information form
will be a paper form. After the family
signs the informed consent form, the RRHD program staff person will record the participant's contact
information in the secure, Web-based
study contact database. After the contact information is recorded, the hard copy form will be placed
within a sealed envelope and stored
temporarily in a locked cabinet in a secure physical location within the RRHD program's
administrative office. (If the contact information
cannot be immediately recorded in the database, the RRHD program staff will store the signed form in
the designated locked cabinet until the
staff person is able to record the data. Alternatively, the program can submit the signed form to
the Abt Director of Analysis, and Abt
research staff can enter the contact information into the study contact database.)
</p><p><i>Tracking documentation.</i> The site interviewer will store any tracking letters, appointment
schedules, or other documentation with
personal protected information, such as name, in a locked cabinet that can only be accessed by the
interviewer. Tracking documentation with
personal protected information should not be generated until needed in the tracking process to limit
risk of unauthorized disclosures. Site
interviewers should use study IDs in lieu of personal protected information on tracking
documentation whenever feasible to limit risk of
unauthorized disclosures.
</p><p>All hard copy forms with personal identifying data (the participant agreement/informed consent
form) will be stored securely in a locked
cabinet that can only be accessed by authorized individuals working on the data. The locked cabinet
will be stored in a locked office in a
limited access building.
</p><p>Hard copy forms that are no longer needed for the study will be shredded. If site interviewers do
not have access to a paper shredder, they
will submit the paperwork to the Abt Director of Analysis via FedEx with clear instructions to
destroy the documents upon receipt.
</p></xhtmlContent></subsection>
	<subsection type="retrievability"><xhtmlContent><p>The contact database will include personal identifiers that can be used to locate records to
update families' whereabouts during the
tracking period. Records within the contact database can be retrieved by name, social security
number, study identification number, birthdate,
or spouse name.
</p><p>After data collection is complete, researchers will use a dataset that is stripped of identifying
information for all analyses, with the
exception of a unique study identification number assigned to each participating family. The study
identification number will be randomly
generated at the time of random assignment and will be unrelated to personal information such as
SSN, DOB, or name. The study identifier can
be linked to the personal identifying information but only by a small number of central research
staff at Abt Associates.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>PII will be maintained only as long as required and only under conditions specified in the
study protocol. Upon completion of all
research for The Evaluation of the Rapid Re-Housing for Families Demonstration Program, Abt
Associates will permanently destroy all electronic
personally-identifiable information on the working server using one of the methods described by the
NIST SP 800-88 "Guidelines for
Media Sanitization" (September 2006). Encrypted versions of the data may remain on backup
media for a longer period of time, but will be
similarly permanently destroyed.
</p><p>At the end of the contract, records that do not need to be retained will be shredded and the
remainder of the files will be shredded after
the three-year retention period required in the contract. The retention and disposal procedures are
in keeping with HUD's records management
policies as described in 44 USC 3101 and 44 USC 3303.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Carol Star, Director of the Program Evaluation Division, Office of Policy Development and
Research, Department of Housing and Urban
Development, 451 Seventh Street SW., Washington, DC 20410, Telephone Number (202) 402-6139.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about existence or records, contact Donna Robinson-
Stanton, Departmental Privacy Act Officer,
Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC, in accordance
with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. If additional information
or assistance is required, contact the Privacy Act Officer at the appropriate location.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act, Department of
Housing and Urban Development, 451 Seventh
Street SW., Room 2256, Washington, DC 20410;
</p><p>(ii) In relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officers,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Original data collected directly from participating families, third party data for tracking
purposes (<i>e.g.</i>, National Change of
Address database, credit bureaus), and administrative data on Homeless Management Information
Systems.
</p></xhtmlContent></subsection></section>
<section id="pih1" toc="yes">
<systemNumber>/PIH.01
</systemNumber>
<subsection type="systemName">Inventory Management System (IMS), also known as the Public and Indian Housing (PIH)
Information Center (PIC), HUD/PIH.01. Note: This
system was previously enumerated as HUD/PIH-4. With the publication of this notice, HUD will
now reference the system number of
HUD/PIH.01 to IMS/PIC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The files are maintained at the following locations: U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW.,
Washington, DC 20410; and IMS/PIC servers are located in Charleston, WV; and are accessed through
the Internet. The servers are maintained by
HUD Information Technology Services (HITS) contractor, and HUD's information technology partners:
Electronic Data Services (EDS) and Lockheed
Martin.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The U.S. Housing Act of 1937, as amended, 42 U.S.C. 1437; Title VI of the Civil Rights Act
of 1962 (42 U.S.C. 2000d); The Fair Housing
Act (42 U.S.C. 3601-3619); The Housing Community Development Act of 1981, Public Law 97-
35, 85 stat., 348,408; and The Housing and
Community Development Act of 1987, 42 U.S.C. 3543.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>IMS/PIC serves as a national repository of information related to Public Housing Authorities
(PHAs), HUD-assisted families, HUD-
assisted properties for the purpose of monitoring and evaluating the effectiveness of PIH rental
housing assistance programs. IMS/PIC allows
PHAs and PHA-hired management agents to electronically submit information to HUD that is related to
the administration of HUD's PIH programs.
It collects data for PIH operations, including data submitted via the Internet from HUD's field
offices, and accurately tracks activities and
processes. IMS/PIC also helps to increase sharing of information throughout PIH and HUD, which
improves staff awareness of activities related
to the administration of HUD-subsidized housing programs. IMS/PIC is a flexible, scalable, internet-
based integrated system, which enables PHA
users and HUD personnel to access a common database of PHA information via their web browser.
IMS/PIC aids HUD and entities that administer
HUD's assisted housing programs in: (a) Increasing the effective distribution of rental assistance
to individuals that meet the requirements
of federal rental assistance programs; (b) detecting abuses in assisted housing programs; (c) taking
administrative or legal actions to
resolve past and current abuses of assisted housing programs; (d) monitoring compliance with HUD
program requirements (e) deterring abuses by
verifying the employment and income of tenants at the time of annual and interim reexaminations of
family income and composition via the PIH
Enterprise Income Verification (EIV) system; (f) evaluating program effectiveness; (g) improving PHA
IMS/PIC reporting rate; (h) forecasting
budgets; (i) controlling funds; (j) updating tenant information; and (k) updating building and unit
data.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Families residing in a HUD-assisted property and/or receiving rental housing assistance via
programs administered by the Department of
Housing and Urban Development, Public Housing Agencies (PHAs) and PHA-hired management agents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of the following information as reported to HUD by PHAs and PHA-hired
management agents:
</p><p>1. PHA information: agency name, HUD-assigned PHA Code, HUD program type family participates in;
project number, building number, building
entrance number, and unit number (applicable to only the Public Housing program).
</p><p>2. PHA point of contact information for individuals that work for, and access IMS/PIC and oversee
the PHA's administration (i.e. Mayors,
board members, managers, directors, etc.: individual's name, agency's physical address, agency's
mailing address, agency's telephone numbers,
email addresses for point of contacts.
</p><p>3. Action information: type of action (new admission, annual reexamination, interim
reexamination, portability move-in, portability move-
out, end of participation, other change of unit, FSS/WTW addendum only, annual reexamination
searching (Section 8 program only), issuance of
voucher (Section 8 program only), expiration of voucher (Section 8 program only), flat rent annual
updated (Public Housing program only),
annual HQS inspection (Section 8 program only), historical adjustment, and void); effective date of
action, indication of correction of
previous submitted information, type of correction, date family was admitted into a PIH rental
assistance program, projected effective date of
next reexamination of family income and/or composition, projected date of next flat rent annual
updated (applicable only to the Public Housing
program), indication of whether or not the family is or has participated in the Family Self-
sufficiency (FSS) program within the last year,
identification of special Section 8 program (applicable only to the Section 8 program),
identification of other special HUD rental program(s)
the family is participating in, and "PHA Use Only" fields which are used by PHAs for
general administrative purposes or other uses
as prescribed by HUD.
</p><p>4. Family composition (which includes the following personally identifiable information) as
reported by the family and verified by PHAs and
PHA-hired management agents: Last name, first name, middle initial, date of birth, age on effective
date of action, sex, relationship to head
of household, citizenship status, disability status, race, ethnicity, social security number, alien
registration number, compliance with
community service or self-sufficiency requirement for public housing tenants, total number of
household members, family subsidy status under
the noncitizens rule, eligibility effective date, and former head of household's social security
number.
</p><p>5. Geographical and unit information:
</p><p>a. Background at admission information as reported by the family: date family entered the waiting
list, zip code before admission, whether
or not the family was homeless at time of admission, whether or not the family qualifies for
admission over the very low-income limit, whether
or not the family is continuously assisted under the 1937 Housing Act, whether or not there is a
HUD-approved income targeting disregard.
</p><p>b. Subsidized Unit information: unit number and street address, city, state and zip code in which
the subsidized unit is located, whether
or not the family's mailing address is the same address of the unit to be occupied by the family,
family's mailing address (unit number and
street address, city, state, and zip code) if different from the address of the subsidized unit,
number of bedrooms, whether or not the unit
is an accessible unit (applicable to the Public Housing program only), whether or not the family has
requested accessibility features
(applicable to the Public Housing program only), whether or not the family has received the
requested accessibility features (applicable to
the Public Housing program only), date the unit last passed Housing Quality Standards (HQS)
inspection (applicable to the Section 8 program
only, except Homeownership and Project-Based Vouchers programs), date of last annual HQS inspection
(applicable to the Section 8 program only,
except Homeownership and Project-Based Vouchers programs), year the unit was built (applicable to
the Section 8 program only), and the
structure type of the unit (applicable to the Section 8 program only).
</p><p>6. Family assets information, as reported by the family and verified by PHAs and PHA-hired
management agents, which includes the type of
asset, cash value of the asset, anticipated annual income derived from the asset, passbook rate,
imputed asset income, and final asset income.
</p><p>7. Family income information, as reported by the family and verified by PHAs and PHA-hired
management agents, which includes the income
source, PHA income calculations, annual income derived from the income source, income exclusion
amount in accordance with HUD program
requirements and annual income amount after deducting allowable income exclusion for each household
member of the family, total household
annual income, amounts of permissible deductions and other deductions to annual income in accordance
with HUD program requirements, and amount
of family adjusted annual income.
</p><p>8. Total tenant payment (TTP), minimum rent amount, most recent TTP amount, and tenant rent
calculation information in accordance with HUD
requirements for the specific PIH rental assistance program the family is currently participating
in.
</p><p>9. Family Self-Sufficiency (FSS) and Welfare-to-Work (WTW) program information: type of self-
sufficiency program the family is
participating in, FSS report category, FSS effective date, PHA code of PHA administering FSS
contract, WTW report category, WTW effective date
of action, PHA code of PHA that issued the WTW voucher, PHA code of PHA counting the family as
enrolled in its WTW voucher program if
different than the PHA Code of PHA that issued the WTW voucher; and general information pertaining
to the employment status of the head of
household, date current employment began, type of employment benefits head of household receives
from employer, number of years of school
completed by the head of household, type of other federal assistance received by the family, number
of children receiving childcare services,
and optional information related to the type of family services the family needs, whether or not the
need was met during participation in the
FSS or WTW program, and the name of the service provider; FSS contract, account and exit
information; and WTW voucher program information.
</p><p>10. PHA IMS/PIC system user's information: Name, telephone number, fax number, email address,
mailing address, agency Web site address.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted pursuant to 5 U.S.C. 552a(b) of the
Privacy Act, other routine uses include:
Categories of users and routine uses of information contained in IMS/PIC may include:
</p><p>1. To a Congressional office from the record of an individual in response to an inquiry from that
Congressional office made at the request
of the individual to whom the records pertain;
</p><p>2. To the National Archives and Records Administration (NARA) for use in its records management
inspections and its role as an Archivist;
</p><p>3. To the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or
in preparation for any proceeding, when
HUD or any component thereof disclose information to DOJ during the course of an investigation to
the extent necessary to obtain information
pertinent to the investigation under applicable HUD administered rental housing assistance programs;
</p><p>4. To third parties during the course of law enforcement investigation to the extent necessary to
obtain information pertinent to the
investigation;
</p><p>5. To GEO Coding Service Center system to obtain GEO coding for all HUD-subsidized units;
</p><p>6. To any federal, state, and local agency pursuant to an approved computer matching agreement
(e.g., state agencies administering the
state's unemployment compensation laws, state welfare and food stamp agencies, U.S. Department of
Health and Human Services, and U.S. Social
Security Administration): To verify the accuracy and completeness of the data provided, to verify
eligibility or continued eligibility in
HUD's rental assistance programs, to identify and recover improper payments in accordance with the
Improper Payments Elimination and Recovery
Act of 2010 (Pub. L. 111-204, 31 U.S.C. 3301 note and 31 U.S.C. 3321 note), and to aid in the
identification of tenant errors, fraud,
and abuse in assisted housing programs through HUD's tenant income computer matching programs in
accordance with the Federal Privacy Act and
Computer Matching and Privacy Protection Act;
</p><p>7. To individuals under contract to HUD or under contract to another agency with funds provided
by HUD: For the preparation of studies and
statistical reports directly related to the management of HUD's rental assistance programs, to
support quality control for tenant eligibility
efforts requiring a random sampling of tenant files to determine the extent of administrative errors
in making rent calculations, eligibility
determinations, etc., and for processing re-examinations (individuals provided information under
this routine use is subject to Privacy Act
requirements and limitation on disclosures as are applicable to HUD officials and employees);
</p><p>8. To PHAs and PHA-hired management agents, and auditors of HUD rental housing assistance
programs: To verify the accuracy and completeness
of tenant data used in determining eligibility and continued eligibility and the amount of housing
assistance received;
</p><p>9. To PHAs and PHA-hired management agents of HUD rental housing assistance programs: To identify
and resolve discrepancies in tenant data;
</p><p>10. To researchers affiliated with academic institutions, with not-for-profit organizations, or
with federal, state or local governments,
or to policy researchers: Without personally identifiable information: For the performance of
research and statistical activities on housing
and community development issues (individuals provided information under this routine use is subject
to Privacy Act requirements and
limitation on disclosures as are applicable to HUD officials and employees);
</p><p>11. To HUD contractors, independent public auditors and accountants, and PHAs: For the purpose of
conducting oversight and monitoring of
program operations to determine compliance with applicable laws and regulations, and financial
reporting requirements (individuals provided
information under this routine use is subject to Privacy Act requirements and limitation on
disclosures as are applicable to HUD officials and
employees);
</p><p>12. To the U.S. Department of Veterans Affairs (VA) for statistical analysis to advance the goals
of the nation's federal strategic plan to
prevent and end homelessness through the collection, analysis, and reporting of quality and timely
data on veterans homelessness to assist VA
with the establishment and/or verification of the following: Reducing homelessness among our
nation's veterans; identify and understand the
needs of homeless veterans and to develop programs and services to address those needs; effective
administration of the HUD-Veterans
Affairs Supportive Housing (VASH) program by HUD and VA business partners; HUD-VASH program
monitoring and evaluation; and the
production of aggregate statistical data without any personal identifiers, which will not be used to
make decisions concerning the rights,
benefits, or privileges of specific individuals, or providers of services with respect to assistance
provided under the HUD-VASH
program;
</p><p>13. To the U.S. Department of Veterans Affairs (VA), under approved computer matching agreement,
or data sharing agreement pursuant to a
Presidential Executive Order (EO) mandate and in accordance with the Federal Privacy Act and
Computer Matching and Privacy Protection Act: To
identify and recover overpayments (improper payments) of rental assistance, determine compliance
with program requirements by program
administrators and participants of HUD rental housing assistance programs, deter future abuses in
rental housing assistance programs, reduce
administrative costs associated with manual program evaluation and monitoring efforts, and ensure
that only eligible participants receive
rental assistance in the correct amount;
</p><p>14. To the Federal Emergency Management Agency (FEMA), under an approved computer matching
agreement, or data sharing agreement pursuant to
a Presidential EO mandate in accordance with the Federal Privacy Act and Computer Matching and
Privacy Protection Act: To identify existing
families which participate in a HUD rental assistance program and are currently receiving housing
assistance;
</p><p>15. To any Federal agency pursuant to statutory or regulatory authority in accordance with the
provisions of the U.S. Federal Privacy Act
(5 U.S.C. 552a) and Computer Matching and Privacy Protection Act; and
</p><p>16. To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that
the security or confidentiality of
information in a system of records has been compromised; (b) HUD has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the
security or integrity of systems or
programs (whether maintained by HUD or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist in connection with HUD's
efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm for purposes of facilitating
responses and remediation efforts in the event of
a data breach.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually and electronically in PHA office automation equipment and paper
files, respectively. Records are stored on
HUD computer servers for HUD and PHA staff to access via the Internet. HUD's information technology
partners, Electronic Data Services (EDS)
and Lockheed Martin maintain disk and backup files of IMS/PIC data.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Tenant records may be retrieved by computer search of indices by the Head of Household's or
household member's name, date of birth,
and/or SSN of an existing or form HUD program participant. PHA records may be retrieved by PHA Code,
User ID, and/or IMS/PIC user's last name.</p>
<p><i>Note:</i> A user's search capability is limited to only those program participants within the
user's jurisdiction and assigned to his or
her User ID.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained at the U.S. Department of Housing and Urban Development in
Washington, DC with limited access to those persons
whose official duties require the use of such records. Computer files and printed listings are
maintained in locked cabinets. Background
screening, limited authorization and access with access limited to authorize personnel and authorize
users. User's access, updates access,
read-only access, and approval access based on the user's role and security access level.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic records are maintained and destroyed in accordance with requirements of the HUD
Records Disposition Schedule, 2225-6.
In accordance with 24 CFR 908.101 and HUD record retention requirements at 24 CFR 85.42, PHAs are
required to retain at least three years'
worth of IMS/PIC data either electronically or in paper form.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Public and Indian Housing (PIH), Real Estate Assessment Center (REAC) Nicole
Faison, IMS/PIC System Business Owner.
Department of Housing and Urban Development, 451 Seventh Street SW., Room PCFL1, Washington, DC
20410; Eugene Chen, PIC/IMS System Project
Manager, Department of Housing and Urban Development, 451 Seventh Street SW., Room PCFL2,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to Harold Williams, Acting Chief Privacy Officer, Department of
Housing and Urban Development, 451 Seventh
Street SW., Room 4156, Washington, DC 20410. Provide verification of your identity by providing two
proofs of identification. Your
verification of identity must include your original signature and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Since tenant information reported in IMS/PIC is submitted to HUD by PHAs based on
information collected directly from the individual,
tenants must contact the PHA to request correction of any tenant-supplied information reported
incorrectly by the PHA. HUD does not have the
ability to modify PHA-reported data within IMS/PIC. With respect to any HUD determination based on
IMS/PIC data, the procedures for appealing
HUD's initial determination records are outlined in 24 CFR part 16. If additional information is
needed, contact:
</p><p>(i) <i>Contesting content of records:</i> The Acting Chief Privacy Officer, Department of Housing
and Urban Development, 451 Seventh Street
SW., Room 4156, Washington, DC 20410, if contesting the content of records; or
</p><p>(ii) <i>Appeals of initial HUD determinations:</i> The Departmental Privacy Appeals Office,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410 for appeals of initial
denials.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>IMS/PIC receives data from HUD staff, HUD contractors, PHAs, PHA-hired management agents,
the Social Security Administration, the
Department of Veteran Affairs, the Federal Emergency Management Agency, other federal, state and
local agencies. The IMS/PIC data reported by
PHAs and PHA-hired management agents is electronically transmitted to IMS/PIC using PHA-owned
software or via HUD's Family Reporting Software
(FRS).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="pih2" toc="yes">
<systemNumber>/PIH.02
</systemNumber>
<subsection type="systemName">Housing and Urban Development--Veterans Affairs Supportive Housing System (HUD-
VASH).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The files will be maintained at the following locations: U.S. Department of Housing and
Urban Development, 451 Seventh Street SW.,
Washington, DC 20410; and on servers located in Charleston, WV. The servers are maintained by HUD's
contractor, Information Technology
Services (HITS) and HUD's information technology partners: Electronic Data Services (EDS) and
Lockheed Martin.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The U.S. Housing Act of 1937, as amended, 42 U.S.C. 1437 <i>et seq;</i> Title VI of the
Civil Rights Act of 1962 (42 U.S.C. 2000d);
The Fair Housing Act (42  U.S.C. 3601-3619); The Housing and Community Development
Act of 1981, Public Law 97-35, 85
stat., 348,408; The Housing and Community Development Act of 1987, 42 U.S.C. 3543; The National
Housing Act: Research and Demonstrations, 12
U.S.C. 170z-1; and Establishment of Department, 42 U.S.C. 3532(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>HUD-VASH will serve as a national repository of information related to PHAs, HUD-
assisted families, HUD-assisted properties for
the purpose of monitoring and evaluating the effectiveness of the HUD-VASH program. Through a
collaborative effort, HUD and the
Department of Veteran Affairs (VA) seek to advance the goals of the nation's federal strategic plan
to prevent and end homelessness of
veterans through the collection, analysis, and reporting of quality and timely data on veterans'
homelessness. HUD will use the data provided
by VA to track a veteran's use of available HUD and VA resources to secure affordable rental
housing; as well as monitor administration of the
HUD-VASH program by Public Housing Agencies (PHAs) and PHA-hired management agents. HUD will
compare VA-provided data related to the HUD
-VASH program to data maintained in HUD's system of records, the Inventory Management System,
also known as the Public and Indian
Housing Information Center (PIC) (referred hereinafter as IMS/PIC), HUD/PIH.01 for the purpose of
assisting HUD and VA with the following: (1)
Reducing homelessness among the nation's veterans; (2) identifying and understanding the needs of
homeless veterans and developing programs
and services to address those needs; (3) effectively administering the HUD-VASH program by HUD
and VA business partners; (4) monitoring
and evaluating the HUD-VASH program; and 5) producing aggregate statistical data without any
personal identifiers, precluding the use of
this data to make decisions concerning the rights, benefits, or privileges of specific individuals,
or providers of services with respect to
assistance provided under the HUD-VASH program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Families residing in a HUD-assisted property and/or receiving rental housing assistance via
the HUD-VASH program administered by
HUD, PHAs and PHA-hired management agents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of the following information as reported to HUD by VA, PHAs and PHA-hired
management agents.
</p><p>A. The following information is provided to HUD by VA through a current Data Use Agreement,
Computer Matching Agreement, or other
authorizing document pursuant to the Federal Privacy Act (5 U.S.C. 552a, as amended):
</p><p>1. General information including: Homeless Operational Management and Evaluation System (HOMES)
start date, the name of the lease case
manager, the primary VA Medical Center (VAMC) where the veteran is/has been seen; the secondary VAMC
where the veteran is/has been seen (if
applicable); and the date that the HUD-VASH entry form was completed;
</p><p>2. Personally identifiable information (PII) of the veteran including: the veteran's name, social
security number (SSN), date of birth,
identification as to whether or not the veteran entered the HUD-VASH program, the date of HUD
-VASH program entry by the veteran,
the reason why the veteran did not enter the HUD-VASH program (if applicable), and the
veteran's current address;
</p><p>3. A HUD-VASH monthly status report including the following information: the veteran's
voucher status, the PHA code, the date the
referral package was forwarded to the PHA, the date the voucher was issued/denied by the PHA, the
date the voucher was revoked or expired (if
applicable), the date the veteran selected a home to occupy, the date of the housing quality
inspection, the date the housing assistance
payment was paid to the landlord, the date the housing assistance payment contract was signed, the
date the veteran moved into HUD-VASH
housing, the date the voucher was ported (if applicable), an indication of whether or not the
veteran had contact with a HUD-VASH
clinician for case management during the past 30 days, the veteran's housing arrangement and zip
code during the reporting period, a
description of the veteran's employment pattern in the past 30 days, an indication of whether or not
the veteran received any money in the
past 30 days, an indication of whether or not the veteran received any non-cash benefit during the
past 30 days, an indication of whether or
not the veteran has a representative payee or fiduciary, and the veteran's responses to a service
satisfaction survey.
</p><p>4. Exit information including: the date the veteran ended participation in the HUD-VASH
program, the most important reason why the
veteran ended participation in HUD-VASH case management, status of the veteran's HUD-
VASH voucher, veteran's housing arrangement
and zip code after ending participation in the HUD-VASH program, the name of the individual
the veteran will be living with after ending
participation in the HUD-VASH program, the veteran's arrangement for employment after ending
participation in the HUD-VASH
program, the veteran's arrangement for receipt of VA financial benefits (disability payments or
other support) after ending participation in
the HUD-VASH program; and whether or not the veteran received any money in the 30 days prior
to ending participation in the HUD-
VASH program.
</p><p>B. The following information is provided to HUD by PHAs and PHA-hired management agents to HUD's
existing system of records, IMS/PIC,
HUD/PIH.01:
</p><p>1. PHA information: agency name, HUD-assigned PHA code, and the HUD program type in which the
family participates.
</p><p>2. PHA point of contact information for individuals that work for, and access IMS/PIC and oversee
the PHA's administration (i.e. Mayors,
board members, managers, directors, etc.: individual's name, agency's physical address, agency's
mailing address, agency's telephone numbers,
email addresses for points of contact.
</p><p>3. Action information: type of action (new admission, annual reexamination, interim
reexamination, portability move-in, portability move-
out, end of participation, other change of unit, Family Self Sufficiency/Welfare-to-Work (FSS/WTW)
addendum only, annual reexamination
searching, issuance of voucher, expiration of voucher, annual Housing Quality Standards (HQS)
inspection, historical adjustment, and void);
effective date of action, indication of correction of previous submitted information, type of
correction, date family was admitted into a PIH
rental assistance program, projected effective date of next reexamination of family income and/or
composition, indication of whether or not
the family is or has participated in the FSS program within the last year, identification of special
Section 8 program, identification of
other special HUD rental program(s) the family is participating in, and "PHA Use Only"
fields which are used by PHAs for general
administrative purposes or other uses as prescribed by HUD.
</p><p>4. Family composition (which includes the following (PII) as reported by the family and verified
by PHAs and PHA-hired management agents:
last name, first name, middle initial, date of birth, age on effective date of action, sex,
relationship to head of household, citizenship
status, disability status, race, ethnicity, SSN, alien registration number, total number of
household members, family subsidy status under the
noncitizens rule, eligibility effective date, and former head of household's SSN.
</p><p>5. Geographical and unit information:
</p><p>i. Background at admission information as reported by the family: date family entered the waiting
list, zip code before admission, whether
or not the family was homeless at time of admission, whether or not the family qualifies for
admission over the very low-income limit, whether
or not the family is continuously assisted under the 1937 Housing Act, whether or not there is a
HUD-approved income targeting disregard.
</p><p>ii. Subsidized Unit information: unit number and street address, city, state and zip code in
which the subsidized unit is located, whether
or not the family's mailing address is the same address of the unit to be occupied by the family,
family's mailing address (unit number and
street address, city, state, and zip code) if different from the address of the subsidized unit,
number of bedrooms, date the unit last passed
HQS inspection, date of last annual HQS inspection, year the unit was built, and the structure type
of the unit.
</p><p>6. Family assets information, as reported by the family and verified by PHAs and PHA-hired
management agents, which includes the type of
asset, cash value of the asset, anticipated annual income derived from the asset, passbook rate,
imputed asset income, and final asset income.
</p><p>7. Family income information, as reported by the family and verified by PHAs and PHA-hired
management agents, which includes the income
sources, PHA income calculations, annual income derived from the income sources, income exclusion
amount in accordance with HUD program
requirements and annual income amount after deducting allowable income exclusions for each household
member of the family, total household
annual income, amounts of permissible deductions and other deductions to annual income in accordance
with HUD program requirements, and amount
of family adjusted annual income.
</p><p>8. Total tenant payment (TTP), minimum rent amount, most recent TTP amount, and tenant rent
calculation information in accordance with HUD
requirements for the specific PIH rental assistance program the family is currently participating
in.
</p><p>9. Family Self-Sufficiency (FSS) and Welfare-to-Work (WTW) program information: type of self-
sufficiency program the family is
participating in, FSS report category, FSS effective date, PHA code of PHA administering FSS
contract, WTW report category, WTW effective date
of action, PHA code of PHA that issued the WTW voucher, PHA code of PHA counting the family as
enrolled in its WTW voucher program if
different than the PHA Code of PHA that issued the WTW voucher; and general information pertaining
to the employment status of the head of
household, date current employment began, type of employment benefits head of household receives
from employer, number of years of school
completed by the head of household, type of other federal assistance received by the family, number
of children receiving childcare services,
and optional information related to the type of family services the family needs, whether or not the
need was met during participation in the
FSS or WTW program, and the name of the service provider; FSS contract, account and exit
information; and WTW voucher program information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted pursuant to 5 U.S.C. 552a(b) of the
Privacy Act, other routine uses include:
</p><p>Categories of users and routine uses of information contained in HUD-VASH may include:
</p><p>1. To a Congressional office from the record of an individual in response to an inquiry from that
Congressional office made at the request
of the individual to whom the records pertain;
</p><p>2. To the National Archives and Records Administration (NARA) for use in its records management
inspections and its role as an Archivist;
</p><p>3. To the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or
in preparation for any proceeding, when
HUD or any component thereof disclose information to DOJ during the course of an investigation to
the extent necessary to obtain information
pertinent to the investigation under applicable HUD administered rental housing assistance programs;
</p><p>4. To third parties during the course of a law enforcement investigation to the extent necessary
to obtain information pertinent to the
investigation;
</p><p>5. To any federal, state, and local agency pursuant to an approved computer matching agreement
(e.g., state agencies administering the
state's unemployment compensation laws, state welfare and food stamp agencies, U.S. Department of
Health and Human Services, and U.S. Social
Security Administration): To verify the accuracy and completeness of the data provided, to verify
eligibility or continued eligibility in
HUD's rental assistance programs, to identify and recover improper payments in accordance with the
Improper Payments Elimination and Recovery
Act of 2010 (Pub. L. 111-204, 31 U.S.C. 3301 note and 31 U.S.C. 3321 note), and to aid in the
identification of tenant errors, fraud,
and abuse in HUD rental assistance programs through HUD's routine tenant income computer matching
programs in accordance with the Federal
Privacy Act and Computer Matching and Privacy Protection Act;
</p><p>6. To individuals under contract to HUD or under contract to another agency with funds provided
by HUD: For the preparation of studies and
statistical reports directly related to the management of HUD's rental assistance programs, to
support quality control for tenant eligibility
efforts requiring a random sampling of tenant files to determine the extent of administrative
errors, eligibility determinations, etc.,
(individuals provided information under this routine use is subject to Privacy Act requirements and
limitation on disclosures as are
applicable to HUD officials and employees);
</p><p>7. To PHAs and PHA-hired management agents, and auditors of HUD rental housing assistance
programs: To verify program compliance, continued
eligibility and the amount of housing assistance received;
</p><p>8. To PHAs and PHA-hired management agents of HUD rental housing assistance programs: To identify
and resolve discrepancies in tenant and
program data;
</p><p>9. To researchers affiliated with academic institutions, with not-for-profit organizations, or
with federal, state, or local governments,
or to policy researchers: Without personally identifiable information: For the performance of
research and statistical activities on housing
and community development issues (individuals provided information under this routine use is subject
to Privacy Act requirements and
limitation on disclosures as are applicable to HUD officials and employees);
</p><p>10. To HUD contractors, independent public auditors and accountants, and PHAs: For the purpose of
conducting oversight and monitoring of
program operations to determine compliance with applicable laws and regulations, and financial
reporting requirements (individuals provided
information under this routine use is subject to Privacy Act requirements and limitation on
disclosures as are applicable to HUD officials and
employees);
</p><p>11. To the U.S. Department of Veterans Affairs (VA) for statistical analysis to advance the goals
of the nation's federal strategic plan to
prevent and end homelessness through the collection, analysis, and reporting of quality and timely
data on veterans homelessness to assist VA
with the establishment and/or verification of the following: Reducing homelessness among our
nation's veterans; identify and understand the
needs of homeless veterans and to develop programs and services to address those needs; effective
administration of the HUD-Veterans
Affairs Supportive Housing (VASH) program by HUD and VA business partners; HUD-VASH program
monitoring and evaluation; and the
production of aggregate statistical data without any personal identifiers, which will not be used to
make decisions concerning the rights,
benefits, or privileges of specific individuals, or providers of services with respect to assistance
provided under the HUD-VASH
program;
</p><p>12. To the U.S. Department of Veterans Affairs (VA), under approved computer matching agreement,
or data sharing agreement pursuant to a
Presidential Executive Order (EO) mandate and in accordance with the Federal Privacy Act and
Computer Matching and Privacy Protection Act: To
identify and recover overpayments (improper payments) of rental assistance, determine compliance
with program requirements by program
administrators and participants of HUD rental housing assistance programs, deter future abuses in
rental housing assistance programs, reduce
administrative costs associated with manual program evaluation and monitoring efforts, and ensure
that only eligible participants receive
rental assistance in the correct amount;
</p><p>13. To any Federal agency pursuant to statutory or regulatory authority in accordance with the
provisions of the U.S. Federal Privacy Act
(5 USC 552a) and Computer Matching and Privacy Protection Act; and,
</p><p>14. To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that
the security or confidentiality of
information in a system of records has been compromised; (b) HUD has determined that as a result of
the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the
security or integrity of systems or
programs (whether maintained by HUD or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist in connection with HUD's
efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm for purposes of facilitating
responses and remediation efforts in the event of
a data breach.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually and electronically in PHA office automation equipment and paper
files, respectively. Records are also
stored on HUD computer servers for HUD and PHA staff to access via the Internet. HUD's information
technology partners, Electronic Data
Services (EDS) and Lockheed Martin maintain disk and backup files of IMS/PIC data.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>An individual's records may be retrieved by computer search of indices by the individual's
name, date of birth, and/or SSN. PHA
records may be retrieved by PHA Code, User ID, and/or IMS/PIC user's last name. <i>Note:</i> A
user's search capability is limited to only
those program participants within the user's jurisdiction and assigned to his or her User ID.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records have limited access to those persons whose official duties require the use of such
records. Computer files and printed
listings are maintained in locked cabinets. Background screening, limited authorization and access
with access limited to authorize personnel
and authorize users. User's access, updates access, read-only access, and approval access based on
the user's role and security access level.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic records are maintained and destroyed in accordance with requirements of the HUD
Records Disposition Schedule, 2225-6.
In accordance with 24 CFR 908.101 and HUD record retention requirements at 24 CFR 85.42, PHAs are
required to retain at least three years'
worth of IMS/PIC data either electronically or in paper form.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Public and Indian Housing (PIH), Real Estate Assessment Center (REAC) Nicole
Faison, HUD-VASH Business Owner.
Department of Housing and Urban Development, 451 Seventh Street SW., Room PCFL1, Washington, DC
20410; John D. Strzalka, HUD-VASH System
Project Manager. Department of Housing and Urban Development, 451 Seventh Street SW., Room PCFL2,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to Harold Williams, Acting Chief Privacy Officer, Department of
Housing and Urban Development, 451 Seventh
Street SW., Room 4156, Washington, DC 20410. Provide verification of your identity by providing two
proofs of official identification. Your
verification of identity must include your original signature and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Since individual information reported in HUD-VASH is submitted to HUD by VA and PHAs based
on information collected directly from the
individual, individuals must contact the VA and PHA, respectively, to request correction of any
individual-supplied information reported
incorrectly by the VA or PHA. HUD does not have the ability to modify VA or PHA-reported data within
HUD-VASH. With respect to any HUD
determination based on HUD-VASH data, the procedures for appealing HUD's initial determination
records are outlined in 24 CFR Part 16.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>i. Contesting contents of records: U.S. Department of Housing and Urban Development, Chief
Privacy Officer, 451 Seventh Street SW.,
Washington, DC 20410;
</p><p>ii. Appeals of initial HUD determinations: In relation to contesting contents of records, the HUD
Departmental Privacy Appeals Officers,
Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW.,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>HUD-VASH receives data from HUD contractors, PHAs, PHA-hired management agents, the
Department of Veteran Affairs, and other federal,
state and local agencies. The HUD-VASH data reported by PHAs and PHA-hired management agents is
electronically transmitted to IMS/PIC using
PHA-owned software or via HUD's Family Reporting Software (FRS) and subsequently imported into HUD-
VASH.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="pih5" toc="yes">
<systemNumber>/PIH-5
</systemNumber>
<subsection type="systemName">Enterprise Income Verification (EIV).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The files are maintained at the following locations:
</p><p>1. U.S. Department of Housing and Urban Development, 451 7th Street, SW., Washington, DC 20410;
and
</p><p>2. Lockheed Martin Corporation, located at 4701 Forbes Blvd., Lanham, MD 20706, will monitor
access of any encrypted files containing
social security and rent information (subject to the provisions of 26 U.S.C. 6103).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Families receiving rental housing assistance (now including Disaster Housing Assistance) via
programs administered by the Department
of Housing and Urban Development, Tribally Designated Housing Entities participating in the Section
8 program, PHAs and/or O/As and State
agencies and PHAs acting as CAs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records consist of unit address (subsidized property address), family composition, and
income data obtained from PHAs and O/As. The
system of records contains: Identification information such as names, dates of birth and SSNs for
individuals; addresses; financial data such
as tenant-reported income; employment, wage, and unemployment benefit data obtained from HHS and SS
and SSI benefit data obtained from the
SSA; annual income discrepancies as a result of the comparison of tenant-reported income to actual
income as reported by the HHS and SSA;
failed identity verification report; multiple subsidies report, which identifies families who may be
receiving multiple rental assistance in
various HUD rental assistance program; new hires report, which identifies family members who have
started a new job; deceased tenants report,
which identifies family members who are deceased. Effective September 2009, PIH's EIV system will
contain the following new records:
Repository of debts owed to PHAs and adverse terminations of former program participants, as
reported to HUD by program administrators; and an
immigration report, which will identify the immigration status of program participants as reported
by PHAs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pursuant to the Stewart B. McKinney Homeless Assistance Amendments Act of 1988, as amended,
and Section 303(i) of the Social Security
Act, HUD and HUD-funded PHAs may request wage and claim data from State Wage Information Collection
Agencies (SWICAs), also now known as State
Workforce Agencies (SWAs), responsible for administering State unemployment laws.
</p><p>On October 1, 1994, Section 542(a)(1) of HUD's 1998 Appropriation Act, eliminated a sunset
provision to Section 303(i) of the Social
Security Act, effectively making permanent the authority requiring State agencies to disclose wage
and claim information to HUD and PHAs. On
January 23, 2004, Section 453(j) of the Social Security Act (42 U.S.C. 653(j)) was amended to allow
HUD to obtain income information from the
(National Directory of New Hires) NDNH database (owned by the U.S. Department of Health and Human
Services (HHS)) and disclose this
information to PHAs for the purpose of verifying employment and income of rental housing program
participants. HUD may disclose NDNH data to a
private owner, management agent, and contract administrator under contract with HUD based on (1) an
evaluation of the costs and benefits of
disclosures made to PHAs, and (2) the adequacy of measures used to safeguard the security and
confidentiality of information so disclosed.
Disclosure of NDNH data to O/As and CAs is only as needed for verifying the employment and income of
multifamily housing program participants.
On March 11, 2009, Section 239 of HUD's 2009 Appropriations Act modified Section 904 of the Stewart
B. Mckinney Act of 1988, as amended, to
include the Disaster Housing Assistance Program (DHAP) as a "program" of HUD for the
purpose of income verifications and computer
matching. The Housing and Community Development Act of 1987 authorizes HUD to require applicants for
and participants in HUD-administered
rental housing assistance programs to disclose to HUD their SSNs as a condition of initial or
continued eligibility for participation in these
HUD programs. The Omnibus Budget Reconciliation Act of 1993 (Budget Reconciliation Act) authorizes
HUD to request from SSA Federal tax data,
as prescribed in section 6103(l)(7) of title 26 of the United States Code (Internal Revenue Code).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purpose of EIV is to allow PHAs, O/As, and CAs to verify tenant-reported income,
identify unreported income sources and/or
amounts received by program participants, and identify substantial annual income discrepancies
amongst households that receive HUD-provided
rental assistance through programs administered by PIH and Housing. The first release of EIV was
successfully implemented on August 16, 2004.
EIV is a simple, Internet-based integrated system, which enables PHA users, HUD personnel, O/As, and
CAs to access a database of tenant
information via their Web browser. EIV will aid HUD and entities that administer HUD's assisted
housing programs in: (a) Increasing the
effective distribution of rental assistance to individuals that meet the requirements of Federal
rental assistance programs, (b) detecting
abuses in assisted housing programs, (c) taking administrative or legal actions to resolve past and
current abuses of assisted housing
programs, (d) deterring abuses by verifying the income of tenants at the time of annual and interim
reexaminations via the use of electronic
income data received from the HHS and SSA, (e) evaluating the effectiveness of income discrepancy
resolution actions taken by PHAs, O/As and
CAs for some of HUD's rental assistance programs, and (f) reducing administrative burden of
obtaining written or oral third party verification
(when the tenant does not dispute information provided by EIV. EIV is a management information
system that contains tools to help: (1) Improve
the income verification process, (2) monitor incidents of potential tenant under reporting of
household income, (3) produce management
reports, (4) reduce duplicate rental assistance, (5) reduce overpayment of housing assistance
payments of deceased single member households,
and (6) conduct risk assessments. The EIV system serves as a repository for automated information
used when comparing family income data
reported by recipients of Federal rental assistance to income data received from external sources (
<i>e.g.,</i> HHS and SSA). Records in
TRACS, IMS, and EIV are subject to use in authorized and approved computer matching programs
regulated under the Privacy Act of 1974, as
amended.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the uses cited in the section of this document titled "Purposes",
other routine uses may include:
</p><p>1. To Federal, State, and local agencies (<i>e.g.,</i> State agencies administering the State's
unemployment compensation laws, State
welfare and food stamp agencies, U.S Office of Personnel Management, U.S. Postal Service, U.S.
Department of Defense, U.S. Department of
Health and Human Services, and U.S. Social Security Administration): to verify the accuracy and
completeness of the data provided, to verify
eligibility or continued eligibility in HUD's rental assistance programs, and to aid in the
identification of tenant errors, fraud, and abuse
in assisted housing programs through HUD's tenant income computer matching program;
</p><p>2. To individuals under contract to HUD or under contract to another agency with funds provided
by HUD: for the preparation of studies and
statistical reports directly related to the management of HUD's rental assistance programs, to
support quality control for tenant eligibility
efforts requiring a random sampling of tenant files to determine the extent of administrative errors
in making rent calculations, eligibility
determinations, etc., and for processing certifications/re-certifications;
</p><p>3. To PHAs, O/As, and CAs: to verify the accuracy and completeness of tenant data used in
determining eligibility and continued eligibility
and the amount of housing assistance received;
</p><p>4. To PHAs, O/As, and CAs: to identify and resolve discrepancies in tenant data; and
</p><p>5. To PHAs: information related to debts owed to PHAs and participant's termination from a PIH
program, to determine an applicant's
suitability for tenancy in a PIH housing program.
</p><p>6. To researchers affiliated with academic institutions, with not-for-profit organizations, or
with Federal, State or local governments, or
to policy researchers: without individual identifiers--name, address, SSN: for the performance
of research and statistical activities on
housing and community development issues.
</p><p>7. To HUD staff, HUD contractors, independent public auditors and accountants, PHAs, and CAs for
the purpose of conducting oversight and
monitoring of program operations to determine compliance with applicable laws and regulations, and
financial reporting requirements.
</p><p>8. To the Federal Emergency Management Agency (FEMA): to identify existing families which
participate in a HUD rental assistance program
and are currently receiving housing assistance. HUD may provide FEMA with the following information
about the HUD-assisted family: (1) The PHA
name, address and contact information currently assisting the family, (2) the effective date of the
last transaction the PHA conducted with
the family; (3) family composition information, including household member names and date of births;
and any other information from the form
HUD-50058, which may assist FEMA in determining eligibility of assistance.
</p><p>9. <i>Additional Disclosure for Purposes of Facilitating Responses and Remediation Efforts in the
Event of a Data Breach.</i> A record from
a system of records maintained by this Department may be disclosed to appropriate agencies,
entities, and persons when:
</p><p>1. The Department suspects or has confirmed that the security or confidentiality of information
in a system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there
is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of systems or programs
(whether maintained by the Department or
another agency or entity) that rely upon the compromised information; and,
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually in family case files and electronically in office automation
equipment. Records are stored on HUD computer
servers for field office, PHAs', and O/AS' access via the Internet to:
</p><p>1. Obtain SS and SSI data that are not subject to provisions of 26 U.S.C. 6103;
</p><p>2. Obtain employment, wage and unemployment compensation data; and
</p><p>3. Obtain the following reports:
</p><p>a. Failed Verification.
</p><p>b. Failed EIV-Prescreening.
</p><p>c. Identity Verification.
</p><p>d. Income Discrepancy.
</p><p>e. New Hires.
</p><p>f. Deceased Tenants.
</p><p>g. Multiple Subsidy.
</p><p>h. Debts Owed to PHAs and Termination.
</p><p>Note: Software in EIV precludes the transfer of any data subject to 26 U.S.C. 6103 to
unencrypted media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by computer search of indices by the Head of Household's name, date
of birth, and/or SSN of an existing HUD
program participant.
</p><p>Note: A user's search capability is limited to only those program participants within the
user's jurisdiction and assigned to his or her
User ID.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained at the U.S. Department of Housing and Urban Development in
Washington, DC with limited access to those persons
whose official duties require the use of such records. Computer files and printed listings are
maintained in locked cabinets. Printed listings
include masked dates of birth and SSNs. Computer terminals are secured in controlled areas, which
are locked when unoccupied. Access to
automated records is limited to authorized personnel who must use a password to gain access to the
system. HUD will safeguard the SSN, income,
and personal identifying information obtained pursuant to 26 U.S.C. 6103(l)(7)(A) and (B) in
accordance with 26 U.S.C. 6103(p)(4) and the
IRS's "Tax Information Security Guidelines for Federal, State and Local Agencies,"
Publication 1075 (Revised October 2007).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Handbook 2228.2, appendix 14, item 25. EIV-reported income information is retained for the
duration of tenancy plus three years from
the end of program participation date or move-out date. Electronic data is disposed of by erasing
data from all media types. Data retained in
paper format is destroyed by shredding or burning. Computerized family records are maintained in a
password-protected environment. If
information is needed for evidentiary purposes, documentation will be referred to the HUD Office of
Inspector General (OIG) in Washington, DC
or other appropriate Federal, State or local agencies charged with the responsibility of
investigating or prosecuting violators of Federal
law. Documents referred to HUD's OIG will become part of OIG's Investigative Files. Records will be
retained and disposed of in accordance
with the General Records Schedule included in HUD.
</p><p>Debts owed to PHAs and termination information is retained for a period of ten years from the end
of participation date.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p><i>Office of Public and Indian Housing (PIH):</i> Nicole Faison, PIH EIV System Owner.
Department of Housing and Urban Development,
451 Seventh Street, SW., Room 4226, Washington, DC 20410; David Sandler, PIH EIV System Project
Manager. Department of Housing and Urban
Development, 550 12th Street SW., First Floor--Desk 1304, Washington, DC 20410.
</p><p><i>Office of Housing:</i> Gail Williamson, Housing EIV System Owner. Department of Housing and
Urban Development, 451 Seventh Street, SW.,
Room 6138, Washington, DC 20410. Lanier Hylton, Housing EIV System Project Manager. Department of
Housing and Urban Development, 451 Seventh
Street, SW., Room 6140, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about
them, or those seeking access to such
records, should address inquiries to Donna Robinson-Staton, Departmental Privacy Act Officer,
Department of Housing and Urban Development, 451
Seventh Street SW., Room 2256, Washington, DC 20410. For written request provide verification of
your identity by stating your full name,
current address, social security number, date of birth, and place of birth. Your verification of
identity must include your original signature
and must be notarized.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>Employment and wage information</i> reported in EIV originates from the employer. The
employer reports this information to the
local State Workforce Agency (SWA), who in turn, reports the information to the NDNH database. If a
participant of a HUD rental assistance
program disputes this information, he or she should contact the employer directly in writing to
dispute the employment and/or wage information
and request that the employer correct erroneous information. If employer resolution is not possible,
the program participant should contact
the local SWA for assistance.
</p><p><i>Unemployment benefit information</i> reported in EIV originates from the local State Workforce
Agency (SWA). If a participant of a HUD
rental assistance disputes this information, he or she should contact the SWA directly, in writing
to dispute the unemployment benefit
information, and request that the SWA correct erroneous information.
</p><p><i>SS and SSI benefit information</i> reported in EIV originates from the SSA. If a participant
of a HUD rental assistance program disputes
this information, he or she should contact the SSA at (800) 772-1213 or visit your local SSA
office. SSA office information is available
in the government pages of your local telephone directory or online at <i>
http://www.socialsecurity.gov.</i>
</p><p><i>Debts owed to PHAs and termination information</i> is reported to HUD by the PHA. If a current
or former participant of a HUD rental
assistance program disputes this information, he or she should contact the PHA directly in writing
to dispute this information and provide any
documentation that supports the dispute. If the PHA determines that the disputed information is
incorrect, the PHA will update or delete the
record from EIV.
</p><p>For all other information, procedures for the amendment or correction of records are located at
24 CFR parts 16.8. and 16.9.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>PIH and Housing may receive data from HUD field office staff, Federal Government agencies,
State and local agencies, private data
sources, owners and management agents, PHAs, and contract administrators. PHAs and O/As routinely
collect personal and income data from
participants in and applicants for HUD's public and assisted housing programs. The data collected by
PHAs and O/As is entered into the PIC and
TRACS system, respectively, online via the system itself, via PHA or O/A-owned software, or via
HUD's Family Reporting Software (FRS). Data
from PIC and TRACS is imported into EIV and used to create request files for computer matching
programs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="pih-reac1" toc="yes">
<systemNumber>/PIH-REAC/PE.01
</systemNumber>
<subsection type="systemName">Tracking-at-a-Glance (TAAG)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Housing and Urban Development, 451 Seventh Street SW., Washington DC 20410
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DHAP participants who were displaced by Hurricanes Katrina or Rita, who received rental subsidy through the DHAP and
agreed to all program requirements including case management.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain identifying information about program participants: and their household members at the time of program
implementation: such as name, social security number, FEMA ID number of the eligible head of household member, birth
date, current telephone number, and current address. The files hold sensitive information about education level, criminal
records, income/financial data, employment and training, disability status, medical history information, and information
that were used to assess any barriers to permanent housing attainment and/or increased self- sufficiency.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Legal authority for the data maintained in DHAP is based on the Department of Homeland Security's general grant
authority under section 102(b)(2) of the Homeland Security Act, 6 U.S.C. 112, and sections 408(b)(1), 426 and 306(a) of
the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act), 42 U.S.C. 5174(b)(1), 5189d and
5149(a), respectively.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The data was collected to support DHAP grantees in their case management efforts and HUD staff in their program
monitoring activities in order to provide required reports to FEMA in fulfillment of its responsibilities outlined within
the Inter Agency Agreement. The case management and program monitoring activities for DHAP ended February 28, 2009.
Subsequently, the DHAP data still requires further analysis and evaluation by the Department's Office of Policy
Development and Research (PD&amp;R), Program Management and Research Division to conduct research and evaluation of
national program outcomes. In such cases, PD&amp;R and its approved researchers will further evaluate the data presented
by DHAP to produce research reports that will include aggregate level data based on higher level demographic variables
that will not disclose information that can be used to identify any individual represented in the system. The records
stored hold pertinent data relating to family self-sufficiency, permanent housing status and service needs. The system
was procured through contract number: C-DEN-02199 and allowed DHAP grantees to implement and report case
management services for FEMA's DHAP- Ike program, for which HUD was the servicing agent. This system and grantee data
inputs assisted with the implementation and administration of rental housing assistance and case management services to
individuals and families whose residence was rendered uninhabitable as a result of the disaster caused by Hurricanes
Katrina and Rita.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual if the disclosure is
compatible with the purpose for which the record was collected under the following routine use:
</p><p>1. To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities including but not
limited to state and local governments, and other research institutions or their parties entities and their agents with
whom HUD has a contract, service agreement, grant, cooperative agreement with HUD, when necessary to accomplish an agency
function related to a system of records for the purposes of statistical analysis and research in support of program
operations, management, performance monitoring, evaluation, risk management, and policy development, or to otherwise
support the Department's mission. Records under this routine use may not be used in whole or in part to make decisions
that affect the rights, benefits or privileges of specific individuals. The results of the matched information may not be
disclosed in identifiable form. Any data presented will be provided at the aggregate level.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on the hard drive of a desktop computer. At the HUD level, no manual records are retained. At the
grantee level, hard copy files are locked, secured, and reviewed by limited agency staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by PHA name, participant's name, city, zip code, or general demographic characteristics. Clients
cannot be searched through the use of a social security number. The data is located on the hard drive of a desktop
computer that resides in a locked cabinet, within a locked office. The desktop computer requires a user id and password
to log on to the machine. In order to access the data, a user name and password must be utilized to enter the site where
the data is housed.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Data is housed on a desktop computer hard drive located within a locked cabinet that resides in a locked office.
Access to data records are limited to staff who work with the data. Hard copy files retained by grantees are stored by
the PHA in locations that are locked and secured, with access granted only to a limited number of authorized agency users
in accordance with HUD's approved retention schedule.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Data is archived and stored via hard drive. Records will be retained and disposed of in accordance with the General
Records Schedule included in HUD Handbook 2228.2, appendix 14, items 21-26 and HUD Record Schedule 8 [
4]: Departmental Grant Financial Assistance Records. System records are retained and disposed of in accordance
with the HUD Record Schedule 8. Records will be retired to a record center within a sufficient amount of time as
appropriate to meet program business needs. Inactive records shall be retained for a minimum of six years, and then
destroyed (shredded (or burned) at the end of their retention schedule of lifecycle) when no longer needed for reference
or 20 years after cutoff, whichever is sooner. (NARA Job No. NI-207-04-3, item Sb).</p>
<p>[4] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=22256x8ADMH.pdf.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Iyabo Morrison, Office of Public Housing and Voucher Programs, Department of Housing and Urban Development, 451
Seventh Street SW., Room 4232, Washington, DC, 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned are in accordance with 24 CFR Part
16--Implementation of the Privacy Act of 1974. Individuals seeking information, assistance, or inquiry about the
existence of records should contact the Departmental Privacy Act Officer, Department of Housing and Urban Development,
451 Seventh Street SW., Room 2256, Washington, DC 20410. Written requests must include the full name, current address,
and telephone number of the individual making the request, as well as proof of identity, including a description of the
requester's relationship to the information in question.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting the contents of records and appealing initial denials appear in 24 CFR part
16--Implementation of the Privacy Act of 1974. If additional information or assistance is required, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410; or
</p><p>(ii) The Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development,
451 Seventh Street SW., Washington, DC, 20410, for appeals of initial denials.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic participant information was initially transmitted electronically to the TAAG system through an upload from the
HUD Disaster Information System in December 2007. Housing assistance information about program participants was uploaded
to TAAG on a weekly basis from December 2007 until February 2009.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="pih-reac2" toc="yes">
<systemNumber>/PIH-REAC/PE.02
</systemNumber>
<subsection type="systemName">Efforts to Outcome Case Management Tracking System for DHAP-Ike.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DHAP- Ike participants displaced by hurricanes Gustav and Ike. All family members who were deemed eligible to
participate in the DHAP- Ike program by the Federal Emergency Management Agency (FEMA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files contain identifying information about program participants and their household members at program implementation
including: name, social security number, FEMA ID number of the eligible head of household member, birth date, current
telephone number and current address. The files hold sensitive information about education level, race/ethnicity,
gender/sex, employment and training needs, elderly and disabled status, social service needs and service referrals.
Information regarding education level, criminal records, income/financial data, employment and training, disability
status, medical history information, and social service needs as information that were used to assess any barriers to
permanent housing attainment and/or increased self-sufficiency.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Legal authority for DHAP is based on the Department of Homeland Security's general grant authority under section
102(b)(2) of the Homeland Security Act, 6 U.S.C. 112, and sections 408(b)(1), 426 and 306(a) of the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (Stafford Act), 42 U.S.C.5174(b)(1), &#167; 5189d and
&#167; 5149(a), and HUD's 2009 Appropriations Act modified Section 904 of the Stewart B. McKinney Act of 1988, as
amended, to include Disaster Housing Assistance Program Ike (DHAP-Ike) as a "program" of HUD, respectively.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>ETO captured pertinent data relating to family self-sufficiency, permanent housing status and service needs. The data
for ETO was collected to support DHAP-Ike grantees in their case management efforts and HUD staff in their program
monitoring activities and providing required reports to FEMA in fulfillment of its responsibilities outlined within the
Inter Agency Agreement (IAA). The case manager used this information to identify appropriate service referrals, to help
prepare clients for the end of DHAP- Ike case management which occurred on September 30, 2011. As such, the DHAP-Ike
still requires further analysis and evaluation by the Department's Office of Policy Development and Research (PD&amp;R),
Program Management and Research Division to allow research and evaluation of the national program outcomes. In such
cases, PD&amp;R and its approved researchers will further evaluate the data presented by DHAP- Ike to produce research
reports. These reports will include aggregate level data based on higher level demographic variables that will not
disclose information that can be used to identify any individual represented in the data retained by HUD. The records
stored hold pertinent data records relating to family self-sufficiency, permanent housing status and service needs. The
system was procured through contract number: C-DEN-02332 which allowed grantees to implement and report case
management services for FEMA's DHAP- Ike program, for which HUD was the servicing agent. The system and data input by
grantees assisted with the administration of rental housing assistance and case management services to individuals and
families whose residences were rendered uninhabitable as a result of Hurricanes Gustav and Ike. The data stored in this
system of record may be used for research and statistical purposes. In such cases, data presented in any research report
will be aggregated to a level that does not disclose information that can be used to identify any individual represented
in the system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose
information contained in this system of records without the consent of the subject individual if the disclosure is
compatible with the purpose for which the record was collected under the following routine use:
</p><p>1. To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities including but not
limited to state and local governments, and other research institutions or their parties entities and their agents with
whom HUD has a contract, service agreement, grant, cooperative agreement with HUD, when necessary to accomplish an agency
function related to a system of records for the purposes of statistical analysis and research in support of program
operations, management, performance monitoring, evaluation, risk management, and policy development, or to otherwise
support the Department's mission. Records under this routine use may not be used in whole or in part to make decisions
that affect the rights, benefits or privileges of specific individuals. The results of the matched information may not be
disclosed in identifiable form. Any data presented will be provided at the aggregate level.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on an individual hard drive. At the HUD level, no manual records are retained. At the grantee
level, hard copy files are locked, secured, and reviewed at the PHA by limited agency staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by PHA name, participant name, Social Security Number, FEMA Number, city, zip code, or general
demographic characteristics. However, the general search method is by last name. The data is located on an individual
hard drive that resides in a locked cabinet, within a locked office. In order to access the data, an employee must
retrieve the hard drive from its locked location and attach the drive to a computer via a USB port. The files on the hard
drive must be opened in an Excel Spreadsheet or SQL Server database.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Data is housed on an individual hard drive located within a locked cabinet that resides in a locked office. In order
to review the data, the hard drive must be attached to a computer. Access to data records are limited to agency staff who
work with the data. Hard copy files are also retained by grantees are stored by PHA in locations that are locked and
secured, with access granted only to a limited number of authorized grantee users in accordance with HUD's approved
retention schedule.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Data are archived and stored via hard drive. Records will be retained and disposed of in accordance with the General
Records Schedule included in HUD Handbook 2228.2, appendix 14, items 21-26 and HUD Record Schedule 8: Departmental
Grant Financial Assistance Records. System records are retained and disposed of in accordance with the HUD Record
Schedule 8. Records will be retired to record center within a sufficient amount of time as appropriate to meet program
business needs. Inactive records shall be retained for a minimum of six years, and then destroyed (shredded or burned) at
the end of their retention schedule of lifecycle) when no longer needed for reference or 20 years after cutoff, whichever
is sooner. (NARA Job No. NI-207-04-3, item Sb).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Iyabo Morrison, Public and Indian Housing, Office of Public Housing and Voucher Programs, Department of Housing and
Urban Development, 451 Seventh Street SW., Room 4232, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned are in accordance with 24 CFR part
16--Implementation of the Privacy Act of 1974. Individuals seeking information, assistance, or inquiry about the
existence of records should contact the Departmental Privacy Act Officer, Department of Housing and Urban Development,
451 Seventh Street SW., Room 2256, Washington, DC 20410. Written requests must include the full name, current address,
and telephone number of the individual making the request, as well as proof of identity, including a description of the
requester's relationship to the information in question.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting the contents of records and appealing initial denials appear in 24 CFR part
16--Implementation of the Privacy Act of 1974. If additional information or assistance is required, contact:
</p><p>(i) In relation to contesting contents of records, the Privacy Act Officer at HUD, 451 Seventh Street SW., Room 4178
(Attention: Capitol View Building, 4th Floor), Washington, DC 20410; or
</p><p>(ii) The Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development,
451 Seventh Street SW., Washington, DC 20410, for appeals of initial denials.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic participant information was initially transmitted electronically to the ETO system through an upload from the
HUD Disaster Information System in November 2008. Housing rental assistance information about program participants was
uploaded to ETO on a weekly basis from November 2008 until September 2011.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="reac2pih" toc="yes">
<systemNumber>/REAC-2
</systemNumber>
<subsection type="systemName">Independent Public Accountant Quality Assurance Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All independent public accountants who have conducted audits of PHAs or FHA-insured, direct
loan, HUD-held or assisted multifamily
properties under HUD programs. An independent public accountant is defined as (a) a licensed,
certified public accountant or a person working
for a licensed certified public accounting firm, or (b) a public accountant licensed on or before
December 31, 1970, or a person working for a
public accounting firm licensed on or before December 31, 1970. The system also contains information
by individual name of the REAC auditors
conducting the QAR, and may contain memorandums of the QAR results sent to HUD program officials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains the names and ID numbers of REAC auditors, and of IPAs who perform
audits of PHAs or FHA-insured, direct loan,
HUD-held, or assisted multifamily properties under HUD programs. Records consist of materials
generated in connection with quality assurance
reviews of the working papers of IPAs including information from the FDS and the AFS submitted to
HUD. These materials include QAR checklists,
documentation of work performed by REAC auditors in evaluating the work of the IPA, interviews with
IPAs, correspondence between REAC auditors
and the IPA, and copies of work papers from IPA files and other documents used in evaluating an
IPA's work performance to assure compliance
with government and AICPA auditing standards. Other records include information regarding the
planning, conduct and results of the QAR, trend
analyses, internal legal assistance requests, information requests, responses to such requests,
reports of findings, etc.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>OMB Circular A-133 (the Single Audit Act) requires that PHAs and non-profit
organizations receiving federal funds obtain an IPA-
performed audit. The AICPA has issued Statements of Position (SOP) 98-3 "Audits of States,
Local Governments, and Not-for-Profit
Organizations Receiving Federal Awards" to address the additional requirements of government
auditing standards. Additional guidance is
offered in the HUD Consolidated Audit Guide for Audits of HUD Programs, HUD Handbook 2000.04 REV
-2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>REAC performs a quality assurance review of the audited financial statements submitted by
IPAs in order to assure that the information
contained in the financial statements is accurate and reliable and that the IPA's work was performed
in accordance with government and AICPA
auditing standards. In the event that records generated during the QAR process indicate a violation
or potential violation of law, the
relevant records may be disclosed to the appropriate federal, state or local disciplinary forum, or
the AICPA, for investigation or
enforcement of the applicable laws.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under subsection (b) of the Privacy Act
of 1974, 5 U.S.C. 552a(b), records may
also be disclosed routinely to other users under the following circumstances:
</p><p>1. In the event that records indicate a violation or potential violation of law, whether
criminal, civil or regulatory in nature, the
relevant records may be disclosed to the appropriate federal, state, or local agency charged with
the responsibility for investigating or
prosecuting such violation or enforcing or implementing such statute, rule or regulation.
</p><p>2. Records may be disclosed to a congressional office in response to an inquiry from that
congressional office made at the request of the
individual who is the subject of the records.
</p><p>3. Records may be disclosed to HUD contractors, PHAs or management agents of HUD-assisted housing
properties, in order to assist such
entities in taking action to recover money or property, where such recovery serves to promote the
integrity of the programs or operations of
HUD.
</p><p>4. Records may be disclosed during the course of an administrative proceeding where HUD is a
party to the litigation and the disclosure is
relevant, reasonable and necessary to adjudicate the matter.
</p><p>5. Records may be disclosed to appropriate state boards of accountancy, or the AICPA, for
possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after the IPA has been notified that
HUD is contemplating disclosure of its
findings to an appropriate state board of accountancy, or the AICPA, and the IPA has been provided
with an opportunity to respond in writing
to HUD's findings.
</p><p>6. Records may be disclosed to the Department of Justice for litigation purposes associated with
the representation of HUD before the
courts.
</p><p>7. Records may be disclosed to any source, either private or governmental, to the extent
necessary to elicit information relevant to an
Office of Inspector General investigation.
</p><p>8. Records may be disclosed to the auditee to evaluate the contractual relationship between the
IPA and the PHA, owner or management agent
of a FHA-insured, direct loan, HUD-held or assisted multifamily property.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in office automation equipment and manually in file
jackets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by computer search using the AutoAudit software, and/or by
reference to a particular file number, or by name,
address, tax identification number or social security number of the IPA.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure computer network, and in locked file cabinets or in metal
file cabinets in rooms with controlled
access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are retained and disposed of in accordance with the General Records Schedule
contained in HUD Handbook 2228.2, appendix
14, item 25.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Peter Bell, Real Estate Assessment Center, 1280 Maryland Avenue, SW, Suite 800, Washington,
DC 20024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Privacy
Act Officer at HUD, 451 7th Street, SW,
Room P8001, Washington, DC 20410, in accordance with the procedures in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The procedures for requesting access to records appear in 24 CFR parts 16 and 2003.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information may be collected from a wide variety of sources, including from HUD, program
participants, subject individuals,
complainants, witnesses and other non-government sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sfh1" toc="yes">
<systemNumber>/SFH-01
</systemNumber>
<subsection type="systemName">Single Family Default Monitoring System, SFDMS, F42D.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>HUD Headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Single-family FHA loan borrowers and mortgagors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>FHA insured loan borrowers who are late in their monthly mortgage payment to their FHA loan
financial institution. Information
includes borrowers and mortgagors name, property address, Social Security Number, FHA Case Number,
ADP Code, case file number, Notices of
delinquent mortgages; requests for forebearance or assignment; forebearances or assignment reviews
include data on mortgage amount and
payments made, employment and income, financial institution names and routing numbers, mortgagor's
account number, debts and expenses, reasons
for delinquency, recommendations and actions on requests; credit reports; forebearance agreements;
deeds of trust; and related correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act of 1934, Pub.L. 73-479, Sec. 209; Sec. 114(a), Housing Act of
1959 (Pub. L. 86-372), 12 U.S.C. 1702
et seq.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Single Family Default Monitoring System is a subsystem of F42. When a mortgage is 90 or
more days or more delinquent, the
Mortgagee or Servicer must submit a Single Family Form 92068-a to HUD on a monthly basis until
its status has been completed by all
Mortgagees and/or is terminated or deleted. Mortgagees and Servicers provide default data via
Electronic Data Interchange (EDI) or using the
WEB via FHA connection to HUD where they are sorted, pre-screened, key entered, edited, processed
and reports are generated for HUD
Headquarters and Field Offices review.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, other routine uses are as follows:
Disclosure external to HUD:
</p><p>(a) To FHA--for insurance investigations and underwriting.
</p><p>(b) To the Internal Revenue Service and the General Accounting Office for investigations.
</p><p>(c) To state banking agencies to aid in processing mortgagor complaints.
</p><p>(d) To mortgagees--to verify information provided by new loan applicants and to evaluate
credit worthiness.
</p><p>(e) To counseling agencies for counseling.
</p><p>(f) To Legal Aid--to assist mortgagors.
</p><p>(g) To other Federal agencies for the purposes of collecting debts owed to the Federal Government
by administrative or salary offset.
</p><p>(i) To prospective purchasers--for sale of mortgages, loans or insurance premiums or
charges.
</p><p>Internal HUD Systems:
</p><p>(a) To CAIVRS (Credit Alert Interactive Verification Response System) which is a HUD-sponsored
database that makes a federal debtor's
delinquency and claim information available to federal lending and assistance agencies and private
lenders who issue federally insured or
guaranteed loans for the purpose of evaluating a loan applicant's creditworthiness.
</p><p>(b) To Single Family Housing Enterprise Data Warehouse--The delinquency and default data is
contained in SFDW for allowing FHA
officials and employees to view Single Family insured loans from cradle to grave. This comprehensive
and unique view allows staff to help
troubled homeowners through referrals to counseling agencies or refinancing/workout agreements. FHA
staff also uses the data to review
underwriting policy and perform additional risk analysis including actuarial soundness.
</p><p>(c) To Single Family Neighborhood Watch--The lenders use this system to provide error
feedback; and to view the data they have
submitted over time and compare their performance to the industry average in various geographical
areas including metropolitan area.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> magnetic tapes, drums, and discs.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name; case file number, property address and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer facilities are secured and accessible only by authorized personnel, and all files
are stored in a secured area.
</p><p>Technical restraints are employed with regard to accessing the computer and data files. Records
maintained in desks and lockable file
cabinets; access to automated systems is by passwords and code identification cards access limited
to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records system is active and kept up-to-date. All electronic records are maintained in the
system and not removed. Paper records do
not exist.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office and Evaluation, HWE, Department of Housing and Urban Development, 451
Seventh Street, SW., Room 2228, Washington, DC
20410; Director, Single Family Servicing Division, HSSI, Department of Housing and Urban
Development, 451 Seventh Street, SW., Washington, DC
20410.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. For information,
assistance, or inquiry about existence of records, contact the Departmental Privacy Act Officer, 451
Seventh Street, SW., Room 4156,
Washington, DC 20410. Written request must include the full name, current address, and telephone
number of the individual making the request,
including a description of the requester's relationship to the information in question. The system
manager will also accept inquires from
individuals seeking notification of whether the system contains records pertaining to them.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department's rules for contesting the contents of records and appealing initial denials,
by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may be obtained by contacting:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Act Officer, 451
Seventh Street SW., Suite 4156, Washington, DC
20410; and,
</p><p>(ii) in relation to appeals of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual; other individuals; current or previous employers; credit bureaus;
financial institutions; other corporations or
firms; Federal Government agencies; non-federal government (including foreign, state and local)
agencies; law enforcement agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sfh2" toc="yes">
<systemNumber>/SFH-02
</systemNumber>
<subsection type="systemName">Single Family Insurance Claims Subsystem (A43C)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The CLAIMS system hardware is located on HUD's mainframe, which is in Charleston, WV. Backup
facilities are provided by SUNGUARD in
Philadelphia, PA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>A43C maintains data on mortgagors that have obtained a HUD insured mortgage. The system also
records the servicer and holder of HUD
insured mortgages.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The application includes data such as case number, the mortgagor's name, Social Security
Number and property address, and mortgage
amount.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Housing Act of 1937 as amended (Pub. L. 75-412).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Single Family Insurance Claims Subsystem (CLAIMS) processes single family (SF) insurance
claims against defaulted loans. CLAIMS
also processes accounts receivables relating to SF claims, performs collection activities, processes
cash receipts, and records accounts
receivable activities as well as providing accounting information to users. The claims process is
initiated when a servicing mortgagee
completes and submits an application for Single Family Insurance Benefits (HUD Form 27011) to HUD
headquarters, via Electronic Data
Interchange (EDI), the FHA Connection, or paper. Each type of claim requires the submission of a
Part A (Initial Application) and Part B
(Fiscal Data). When submitting a paper conveyance claim, a Title Approval Letter (TAL) must
accompany the claim. However, when transmitting
the claim through EDI, the TAL is not submitted with the conveyance claim because the title approval
data from A80S-Single Family Acquired
Asset Management System (SAMS) is stored in an authorization file.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552 a(b) of the Privacy
Act, other routine uses are as follows:
</p><p>1. U.S. Treasury: A43C provides the EFT disbursement information to Treasury for claim payments.
</p><p>2. Claims Lockbox: SFICS receives batches of AR cases from U.S. Bank. Processing is performed on
a daily basis following FedEx delivery of
the schedule from U.S. Bank.
</p><p>3. CENCOR: Automated mailing contractor--Advice of Payment, (AOP), Billing, and Title
Approval letters.
</p><p>4. Federal Housing Administration (FHA)-Approved Lenders: Lenders submit claims using the Single
Family Application for Insurance Benefits
(Form HUD-27011) via Electronic Data Interchange (EDI), the FHA Connection, or paper. Form HUD
-27011 includes PII such as name,
Social Security Number, and property address. Upon analysis of the claim, the lender will receive
from HUD TS824, "Request for Correction",
stating any deficiencies that need to be corrected, or TS820, AOP, informing the lender that the
claim has been paid.
</p><p>5. SFIS (A43): The purpose of the outgoing interface to SFIS is to update the FHA insurance
status to "CLAIM" and to provide an effective
date for the status change upon authorization of a claim for payment.
</p><p>6. CAIVRS (F57): Outgoing--With authorized lenders and Federal agencies for the purpose of
prescreening applicants for loans or loans
guaranteed by the Federal Government for the purpose of evaluating a loan applicant's
creditworthiness. Provision of the Social Security
Numbers of mortgagors associated with the initial claim payment (Part A) over the past three years.
</p><p>7. FHASL (PO13): FHASL is provided with paid claims fiscal data from SFICS and Loss Mitigation on
a daily and monthly basis.
</p><p>8. SFHEDW (D64A): SFICS data is extracted and uploaded to the SFHEDW for analysis on a weekly
basis
</p><p>9. CHUMS (F17): SFICS receives indemnification information related to specific cases from CHUMS
on a daily basis.
</p><p>10. SAMS (A80S): Outgoing--Provides financial information for paid Conveyance claims or paid
Supplemental claims with an original paid
Conveyance claim on a daily basis. Additionally, the SAMS extract file (from ARS) provides case-
level information for established and adjusted
receivables on a monthly basis. Incoming--Defines whether Title Evidence was approved; title
approval is a pre-requisite for processing
Part B Conveyance claims.
</p><p>11. SFMNS/IFS (A80N): Provides the Strategy Group with paid Loss Mitigation--Partial Claims
(Claim Type 33) data daily for the
monitoring of these Secretary-held subordinate notes.
</p><p>12. FHAC (F17C): Outgoing--Provides lenders and HUD users with case status information and
title approval via the Internet. Incoming
--Provides the capability for authorized lender employees to submit individual claims for
specified claim types.
</p><p>13. IMF (F51): SFICS accesses the IMF to obtain lender institution information for the purpose of
EFT payment and address generation.
</p><p>14. EDIS (U26A): Transfer of the TS 998 to confirm receipt of a claim transmitted via Electronic
Data Interchange. Transfer of the TS 820
and TS824 files to the respective trading partners for the servicer or holder to indicate either
payment or suspension of incoming claims
received as TS260 transactions. The TS824 transactions are error records from the A43C batch load
process.
</p><p>15. GNMA: Provides GNMA with paid claims information for FHA-insured loans in GNMA pools.
</p><p>16. Fannie Mae: Fannie Mae, as a holder, receives data regarding paid claims information for FHA-
insured loans through an Advice of
Payment.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Various types of storage media are used depending on the method used for filing a claim.
Paper claims are filed at our contractor's
office after processing, while disks and tapes are used to store electronic records in multiple
computer record systems.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data regarding a claim filed on a HUD insured property is obtained using the FHA Case
Number, property address, mortgagor's name,
mortgagee servicing number, or mortgagee holder number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Safeguards that are in place include:
</p><p>&#149; Lockable file cabinets;
</p><p>&#149; Secured computer facilities at HUD and their contractor's offices;
</p><p>&#149; Background checks of all HUD employees and contractor staff;
</p><p>&#149; Computer access to the multiple HUD record systems is restricted by passwords,
defined individual access profiles (least
privileges), and access to specified data fields is restricted. Users, whether at HUD Headquarters
or the Homeownership Centers, obtain access
to CLAIMS through a HUD INET communication link from their LAN to the IBM mainframe computer;
</p><p>&#149; Data is transmitted over secure T-1 and Shiva lines;
</p><p>&#149; Information about conveyed properties is available to the public via the Internet for
marketing purposes. However, information
covered by the Privacy Act of 1974 and the Right to Financial Privacy Act (12 U.S.C. 3401) is not
incorporated in any Internet site.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Depending on the age of the records, obsolete records are either sent to a storage facility
or destroyed in accordance with HUD
Housing Handbook 2226.1, Chapter 3 and Appendix 20 of HUD Housing Handbook 2225.6.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Single Family Post Insurance Division and Chief, Single Family Claims Branch; HUD,
451 7th Street, SW., Room 6248,
Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned are in
accordance with 24 CFR part 16--
Implementation of the Privacy Act of 1974. Individuals seeking information, assistance, or inquiry
about the existence of records can contact
the Departmental Privacy Act Officer at the Department of Housing and Urban Development, 451 Seventh
Street, SW, Room 4156, Washington, DC
20410. Written requests must include the full name, current address, and telephone number of the
individual making the request, as well as
proof of identity, including a description of the requester's relation to the information in
question.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to an individual's records appear in 24 CFR Part
16--Implementation of the Privacy
Act of 1974. If additional information or assistance is required, contact the Departmental Privacy
Act Officer.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for contesting the contents of records and appealing initial denials appear
in 24 CFR Part 16--Implementation of
the Privacy Act of 1974. If additional information or assistance is required, contact:
</p><p>(i) The Departmental Privacy Act Officer, HUD; 451 7th St., SW., Room 4156, Washington, DC 20410,
if contesting the content of records; or
</p><p>(ii) The Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing
and Urban Development; 451 7th St., SW.,
Washington, DC 20410, for appeals of initial denials.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Record source categories include HUD/FHA Claims for Insurance Benefits, subject individuals;
other individuals; credit bureaus;
financial institutions; other corporations or firms; federal government agencies; non-federal
(including foreign, state and local) government
agencies; real estate brokers and agents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ginnie mae1" toc="yes">
<systemNumber>/GINNIE MAE/TN.01</systemNumber>
<subsection type="systemName">Enterprise Wide Operational Data Store (EWODS)
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bank of New York Mellon (Contractor site), New York, New York. Access is authorized via
application and approval process for rights
and privileges administered by Ginnie Mae's Security Officer.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include individual borrower data associated
with government insured or guaranteed
mortgage loans that are the underlying collateral for Ginnie Mae-guaranteed mortgage-backed
securities (MBS); issuers and document custodians
involved in the pooling, certification, and monthly reporting process; and individuals who currently
or previously held physical certificates
of Ginnie Mae-guaranteed mortgage-backed securities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information collected and nature collected are defined in the following four categories:
</p><p>1. Loan origination and servicing data: Borrower/co-borrower name, Social Security Number,
gender, date of birth, and income and other
financial data (such as credit score) of the borrower and any co-borrower; property address,
mortgage amount, origination date, funding date,
payments made, maximum claim amount, payment option selected by the borrower, remaining amount of
principal that may be drawn by the borrower,
reasons for delinquency, unique identifiers assigned by insuring agencies, such as the Federal
Housing Administration (FHA), U.S. Department
of Veterans Affairs (VA), U.S. Department of Agriculture Rural Development (RD) formerly the Rural
Housing Service and Farmers Home
Administration, or HUD Office of Public and Indian Housing (PIH), the loan number assigned by the
issuer, the loan number assigned by the
Mortgage Electronic Registrations System, and Ginnie Mae loan number.
</p><p>2. Physical security holders (investors) data: Social Security Number/Tax ID, name, mailing
address, phone number, or email address of
those holding the security.
</p><p>3. Issuer and document custodian data: Name, title, and phone number of the issuer and document
custodian employees involved in the
pooling, certification, and monthly reporting process.
</p><p>4. Security Level Data: Ginnie Mae pool number, Committee on Uniform Securities Identification
Procedures (CUSIP) number, pool issuance
characteristics, maturity date, security rate, and pool balance amount.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 306(g) of the National Housing Act, 12 U.S.C. 1721(g). The collection of Social
Security Numbers are authorized pursuant to
the Internal Revenue Service Code 26 U.S.C. 6109 and 26 C.F.R. 1.6049-4 and 1.6050H-2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Ginnie Mae uses the information collected in EWODS to administer and carry out its functions
as guarantor of securities under Section
306(g) of the National Housing Act, 12 U.S.C. 1721(g). The primary purpose of this system of records
is to serve as a central back-end
repository to house loan origination and servicing, security holder, issuer, document custodian, and
security-level data associated with
government insured and guaranteed mortgage loans that are underlying collateral for Ginnie Mae-
guaranteed mortgage-backed securities. The
system maintains data submitted to Ginnie Mae by issuers who issue securities backed by insured or
guaranteed mortgage loans, mainly those
administered for HUD's Federal Housing Administration or the U.S. Department of Veterans Affairs.
The data housed in the system is necessary
to support the pooling process by which eligible issuers create Ginnie Mae-guaranteed MBS. The
system also captures security-level data that
is created for the purposes of disclosure, and security holder information that is used to ensure
timely payment of a pro rata share of the
principal and interest on the underlying mortgage loans in a security, net of servicing and guaranty
fees, to MBS investors. If Ginnie Mae
defaults and extinguishes an issuer, then one of Ginnie Mae's functions as guarantor of securities
will be to begin servicing the mortgage
loans. Ginnie Mae must collect borrower SSNs so that it may, if it extinguishes an issuer and begins
to service the mortgage loans, comply
with IRS reporting requirements, including the requirement to provide the IRS and borrowers with
information returns regarding interest
received on which Ginnie Mae must identify the borrower SSNs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act (Accordingly, discretionary disclosures
that may apply to EWODS [1]), other routine uses are as follows:
</p><p>[1] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.</i>
</p><p>(a) To the public for the purpose of achieving a fair and open market in Ginnie Mae-guaranteed
single and multiclass securities by making
information available to investors that should lead to greater investor confidence and more accurate
pricing on these securities that could
decrease the cost of individual borrowing. In all cases, the public will access on Ginnie Mae's Web
site a public use file that will be
maintained for such purposes and will only contain [de-identified] data that is structured to
protect borrower and co-borrower confidentiality
where identities may be discerned. The authority for this routine use is Section 306(g) of the
National Housing Act, 5 U.S.C. 552a and the
SORN when published to establish the routine use.
</p><p>(b) To other Federal agencies to ascertain if the loan is insured or guaranteed by a Federal
agency under an eligible insuring or
guaranteeing authority. The authority for this routine use is Section 306(g) of the National Housing
Act, 5 U.S.C. 552a and the SORN when
published to establish the routine use.
</p><p>(c) To the Internal Revenue Service and to state and local governments--for reporting
payments for interest. The authority is Section
306(g) of the National Housing Act, 26 U.S.C. 6109, 26 CFR 1.6049-4, 5 U.S.C. 552a, and the
SORN when published to establish the routine
use.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic files are stored on servers and back-up files are stored on tapes. Servers are
stored in a secured server room and at an
offsite secured facility for disaster contingency. Hard copy data submissions are imaged by a third-
party vendor and stored securely at the
contractor's office or at a secured offsite document storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>For loan origination and servicing data, information will be retrieved by borrower/co-
borrower name, Social Security Number, property
address, Ginnie Mae loan number, MERS loan number, loan number assigned by the issuer, or unique
identifiers assigned by insuring agencies.
For physical security holders (investors) data, information can be retrieved by Social Security
Number/Tax ID, name, address, phone number, or
email address. For loan issuers and document custodians, information can be retrieved by name and
phone number. For security-level data,
information can be retrieved by Ginnie Mae pool number of CUSIP.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic records are maintained in a secured computer network behind a firewall. Access to
records is limited to authorized
personnel. All information that is stored on EWODS is accessed according to user rights and
privileges that are authenticated by the access
manager for the system. Paper-based records are kept in a secure location at contractor's site with
limited access to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with HUD Records Disposition Schedule 2225.6, Appendix 64. Records are
retained for at least 7 years after pool maturity
or when all claims arising under the pool have been satisfied, whichever is later. After which paper
records are shredded or burned, and/or
media records are disposed of pursuant to Federal media sanitization requirements.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Ginnie Mae, Office of Securities Operations, U.S. Department of Housing and Urban
Development, 550 12th Street SW., 3rd Floor,
Washington, DC 20024.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Department's rules for providing access to records to the individual concerned appear in
24 CFR part 16. Since the Borrowers and
Co-borrowers information associated with loan originations in EWODS is collected and submitted to
Ginnie Mae by issuers responsible for the
loan data, individual borrowers and co-borrowers seeking to determine whether this system of records
contains information about them, or those
seeking access to such loan records, should address inquiries to or contact the appropriate
mortgagee identified on their loan payment
statements. Ginnie Mae does not have the ability to modify these types of records within EWODS. Any
other written requests must provide
verification of your identity by providing two proofs of official identification. Your verification
of identity must include your original
signature and must be notarized.
</p><p>For physical security holders (investors) data, written requests must include full name, Social
Security Number/Tax ID, mailing address,
and phone number of the requestor.
</p><p>For loan issuers, issuer proxy, and guarantor's data, written request must include name, title,
mailing address, and phone number of the
requestor.
</p><p>All requests should be directed to Ginnie Mae, Office of Securities Operations, U.S. Department
of Housing and Urban Development, 550 12th
Street SW., 3rd Floor, Washington, DC 20024. Attention: Privacy Officer.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The procedures for requesting amendment or correction of records appear in 24 CFR part 16.
If additional information is needed,
contact:
</p><p>(i) In relation to contesting contents of records, the Departmental Privacy Officer, U.S.
Department of Housing and Urban Development, 451
Seventh Street SW., Room 2256, Washington, DC 20410; and
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, U.S. Department of
Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>For loan origination data, records are established using information received from issuers
of Ginnie Mae-guaranteed mortgage-backed
securities via system interface or via hard-copy form. For physical security holders (investors)
data, records were established from
information received by lenders creating the security, via hard copy forms. Physical securities are
still held by investors but are no longer
issued by Ginnie Mae. For loan issuers and issuer proxy data, records are established using
information from the initial approval process, via
hard copy application forms.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="pdf1" toc="yes">
<systemNumber>/PDF/RRE.01</systemNumber>

<subsection type="systemName">Pre-Purchase Homeownership Counseling Demonstration and Impact Evaluation Random Assignment and
Service Tracking (RAST) System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Pre-Purchase Homeownership Counseling Demonstration and Impact Evaluation data files are to be
located at Abt Associates Inc., 55 Wheeler Street, Cambridge, MA 02138; Abt Associates Inc., 4550
Montgomery Avenue, Bethesda, MD 20814; Abt Associates Inc., 275 Seventh Avenue, Suite 2700, New
York, NY 10001; Sage Computing Inc., 11491 Sunset Hills Road, Suite 350, Reston, VA 20190; HUD
Office of Policy Development and Research, 451 7th Street SW., Rm. 8120, Washington, DC 20410; HUD
Records Management Facility, 451 7th Street SW., Rm. B229, Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Households enrolled in the Pre-Purchase Homeownership Counseling Demonstration and Impact
Evaluation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The categories of records in the RAST system are as follows:
</p><p>Study Participant Intake Data:
</p><p>Name; Social Security Number; study identifier; birth date; contact information (home address,
telephone numbers, email address); co-borrower(s) on home loan; demographic characteristics of the
household (e.g., race/ethnicity, gender, marital status); number of children and other adults in the
household; income sources and total family income; employment and earnings for the household; co-
borrower name and contact information; veteran's status, educational level; first-time homebuyer
status; early-stage borrower status; reliable access to transportation; language competency (English
or Spanish); prior experience completing pre-purchase counseling or education; regular access to a
computer and Internet; the stage in the home purchase process and preparedness for home purchase
(e.g., the extent of respondents' home search prior to pre-qualification, intended down payment
amount, expected timeline for home purchase); financial characteristics (e.g., income sources and
total family income, financial literacy, non-housing savings/debts, budgeting activities, and
employment and earnings, learning and planning preferences); participant's experience with the
study's recruitment and enrollment process; random assignment of counseling services and whether or
not study participants sought and received them; opinions on the pre-purchase counseling and
education services study participants may have received; contact information for him or herself and
the first and last name of a family members or friends.
</p><p>Co-borrower(s) Intake Data:
</p><p>Name, Social Security Number
</p><p>Lender Intake Data:
</p><p>Lender's Name; MSA/City/Branch; Data Transfer Date; Client's First Name; Client's Last Name;
Address, City, State, Zip; Preferred Phone Number; Alternative Phone Number; Email; Date of Birth;
Date customer gave consent for contact information to be sent to the study team; Date customer first
contacted lender about home loan; Unique Customer Identifier; First-time homebuyer status; Presence
of a co-borrower; Name and first-time homebuyer status of co-borrower(s);
</p><p>Lender Origination and Loan Performance Data:
</p><p>Loan number; Date of closing; Purchase price; Monthly income; Back end ratio; Front end ratio;
Down payment; Initial LTV; Mortgage type; Mortgage terms; Interest rate (initial and information on
any fixed period or adjustment caps for ARMs); Closing costs and fees; Ever 30 days delinquent; Ever
90 days delinquent; Prepayment; Foreclosure; Bankruptcy; Updated mortgage balance; recruitment call
outcomes and dispositions; recruitment call experiences;
</p><p>HUD Administrative Data:
</p><p>Loan number; Date of closing; Purchase price; Monthly income; Back end ratio; Front end ratio;
Down payment; Initial LTV; Mortgage type; Mortgage terms; Interest rate <i>(initial and
information on any fixed period or adjustment caps for ARMs);</i> Closing costs and fees; Ever 30
days delinquent; Ever 90 days delinquent; Prepayment; Foreclosure; Bankruptcy; Updated mortgage
balance;</p>
<p>Pre-Purchase Counseling and Education Data:
</p><p>First contact date with counseling agency; date of first online pre-purchase education session,
how many times a study participant signs into online education system to complete all pre-purchase
modules; length of time spent completing each module; if pre-purchase online education module was
started, but not completed; date completed online pre-purchase education modules; test scores of
online pre-purchase modules; date(s) of group education session(s); length of time of session(s);
how many participants in group education/workshop; how many household members attended; date of
first telephone counseling session; length of time for telephone counseling session; date of in-
person counseling session; length of time for in-person counseling session; topics covered during
counseling session; counselor's name and position at agency; action steps before or during
counseling session, recommendations to study participants; counseling and education outcomes;
general information about housing counseling agency (mission, lead agency, budget, partnerships,
target population); staff requirements, number of staff, training for staff; contacting study
participants; type of pre-purchase education delivered; topics covered; type of pre-purchase
counseling delivered; topics covered; collecting service tracking data; and experience participating
in study.
</p><p>Equifax Data:
</p><p>Risk scores (Vantage Score and Beacon 09/FICO); Total non-housing debt balance; Sum of balances
for all open auto finance accounts on file with update within the last 3 months; Sum of balances for
all open bankcard accounts on file with update within the last 3 months; Sum of balances for all
open personal finance/student loan accounts on file with update within the last 3 months; Total
monthly payment non-housing debt; Total monthly payment auto debt; Total monthly payment credit card
debt; Total monthly payment student loan debt; Individual's monthly housing expenses (for numerator
of front-end-ratio); Individual's monthly debt payments (for numerator of back-end-ratio); Indicator
for loan type (e.g. FHA, VA, conventional); Indicator for whether a home was purchased since
enrollment; Date of home purchase/closing if home was purchased since enrollment; Total housing debt
balance; Total monthly payment on housing debt; Housing debt from first mortgage; Monthly payment on
housing debt from first mortgage; Housing debt from subordinate mortgage(s); Monthly payment on
housing debt from subordinate mortgage(s); Total HELOC balance; HELOC balance on first mortgage;
HELOC balance on subordinate mortgages; Total HELOC monthly payment; HELOC monthly payment on first
mortgage; HELOC monthly payment on subordinate mortgages; Indicator for whether a mortgage was
refinanced; Indicator for presence of a subordinate mortgage; Ever 30 days past due on mortgage
payment within the past 12 months; Ever 60 days past due on mortgage payment within the past 12
months; Ever 90 days past due on mortgage payment within the past 12 months; Ever 120 days past due
on mortgage payment within the past 12 months; Number of first mortgage accounts on file with any of
the following within the last 24 months: charge off, bankruptcy, internal collection (i.e.
collection being handled by original creditor and not a third party); Number of home equity line
accounts on file with any of the following ever: charge off, bankruptcy, internal collection (i.e.
collection being handled by original creditor and not a third party); Experienced bankruptcy since
enrollment; and Experienced foreclosure since enrollment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C.
1701z-1, 1701z-2. 12 U.S.C. 1701z-2(g) provides the authority to request social
security numbers from individuals interested in participating in a research study.
</p><p>Purpose:</p>
<p>The Pre-purchase Homeownership Counseling Demonstration and Impact Evaluation will examine the
impact that different types of pre-purchase counseling have on mortgage preparedness, homeowner
outcomes, and loan performance for prospective low-to moderate income, first-time homebuyers.
Clients participating in the study will be asked to complete an eligibility assessment and baseline
survey at the time they are enrolled in the study. Additionally, some study participants will be
asked to participate in semi-structured follow-up interviews that seek to learn about participants'
experiences with enrollment and interaction with participating counseling agencies. Participating
counseling agencies' staff will be asked to participate in semi-structured interviews that seek to
understand provision of counseling in each jurisdiction and provide the study team information on
counseling and education services that study participants receive. Staff at lenders will be asked to
participate in semi-structured interviews that seek to understand the recruitment process and
provide the study team a weekly outcome report for recruitment calls through to the enrollment and
intervention period to determine the impact of two different pre-purchase education and counseling
interventions through a randomized experimental design. A computer program will be used to randomly
assign program participants to one of the two interventions or the control group: (1) Home buyers
will receive education and counseling in person at local agency; and (2) Home buyers will receive
education and counseling over the Internet and telephone; and (3) Control group homebuyers will not
receive any counseling. The purpose of these data collection activities is to collect the
information needed to evaluate the impact of pre-purchase housing counseling. Specifically, this
evaluation will recruit 7,000 low-to-moderate income, first-time homebuyers who have pre-qualified
for a home purchase loan. Upon study enrollment, study participants will be randomly assigned to one
of three research groups: two treatment groups (one for each intervention type) and a control group
that will not receive any pre-purchase counseling services. The collection of data received from
study participants, lenders, counseling agencies, and other entities is vital to understand where
potential borrowers begin in the process, how they are affected by pre-purchase education and
counseling, and if their behaviors have changed as a result of the evaluation. To collect and
organize the data required to perform the analyses, the RAST System will serve as the central
collection point for maintaining participant's data and generating the reports needed for analysis.
Conducting this study will allow HUD to provide reliable counseling and better monitory the
performance and services provided by HUD-approved and HUD-funded counseling agencies.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a.
</p><p>1. To authorized Abt SRBI researchers to collect the data from study participants to match these
primary study data with other datasets for tracking (e.g., matching with change of address
databases); to track and locate study participants throughout the study and to manage the data
collection process; for statistical analysis and to develop findings for this research study to
allow HUD and researchers to understand the impact of pre-purchase homeownership counseling on a
range of outcomes for low-to-moderate and middle- income, first-time homebuyers; and link data from
one phase of data collection to another or to match primary study data with other datasets for data
collection purposes in order to ascertain the impact of pre-purchase counseling on homebuyer
outcomes. The production of aggregate statistical data will be without any personal identifiers,
which will not be used to make decisions concerning the rights, benefits, or privileges of specific
individuals under any HUD loan program.
</p><p>2. To make public use of file in non-identifiable form for disclosure to authorized researchers
for additional statistical analysis.
</p><p>3. To Credit Bureaus to obtain credit report data on study participants.
</p><p>4. To Local and National organizations (counseling agencies) to enroll study participants in
different pre-purchase education and counseling intervention group.
</p><p>5. To FHA Approved lenders to determine participant's enrollment after the study and to track
information received from lenders participating in the study.
</p><p><i>Discretionary disclosures that may be applicable to this system of records notice are
found on the Department Privacy Web site under Appendix 1.</i>[1]
</p><p>[1] <i>http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf
.</i>
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Pre-Purchase Homeownership Counseling Demonstration and Impact Evaluation data files are to be
located at Abt Associates Inc., 55 Wheeler Street, Cambridge, MA; Abt Associates Inc., 4550
Montgomery Avenue, Bethesda, MD; Abt SRBI Inc., 275 Seventh Avenue, Suite 2700, New York, NY 10001;
Sage Computing Inc., 11491 Sunset Hills Road, Suite 350, Reston, VA 20190, HUD Records Management
Facility, 451 7th St. SW., Rm. B229, Washington, DC 20410. Three years after satisfactory close of
project, per the Records Disposition Schedule, 67 Federal Records Center, 4205 Suitland Road,
Suitland, MD 20746-8001. Back-up data is stored offsite at: Abt Associates Inc., 55 Wheeler
St., Cambridge, MA 02138; Iron Mountain Storage: Bethesda: 8928 McGaw Court, Columbia, MD 21045;
Cambridge: 21 Terry Ave., Burlington, MA 01803; 75 Bearfoot Road, Northboro, MA 01532; 96 High
Street, Billerica, MA 01821. All hard copy forms with personal identifying data (the participant
agreement/informed consent form) will be stored securely in a locked cabinet that can only be
accessed by authorized individuals working on the data. The locked cabinet will be stored in a
locked office in a limited-access building. All electronic files: Data files used for analysis will
be stored in a separate location from files with identifying information to minimize the risk that
an unauthorized user could use the unique identification number to link de-identified files with the
identifiers. Access rights to the data are granted to limited researchers on a need-to-know basis,
and the level of access provided to each researcher is based on the minimal level required that
individual to fulfill his research role.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records within the random assignment data file will be retrieved by name, Social Security Number,
study identification number, or date of birth.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Safeguards: Electronic files: All personal data will be encrypted and maintained on a secure
workstation or server that is protected during the storage, retrieval, access, and disposal process
that is firewall protected and a complex password in a directory that can only be accessed by the
network administrators and the analysts actively working on the data. Access rights to the data are
granted to limited researchers on a need-to-know basis, and the level of access provided to each
researcher is based on the minimal level required that individual to fulfill his research role. All
data users will be aware of and trained on their responsibilities to protect participants' personal
information, including the limitations on uses and disclosures of data. Backup media will be
encrypted. Data will never be stored on a laptop or on a movable media such as CDs, diskettes, or
USB flash drives without encryption. Hardcopy files: All hard copy forms with personal identifying
data (the participant agreement/informed consent form) will be stored securely in a locked cabinet
that can only be accessed by authorized individuals working on the data. The locked cabinet will be
stored in a locked office in a limited-access building, (e.g. Study team interviewers will securely
store any hard copy documents with personal protected information, such as tracking letters.)
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records Disposition Schedule, [2] 2225.6, REV-1, Appendix 67, Policy
Development and Research Records, provides disposition instructions for Headquarters and Field
Office records produced in connection with activities conducted under Title V of the Housing and
Urban Development Act of 1970 (Pub. L. 91-609, 84 Stat. 1784; 12 U.S.C. 17Dlz-1). Per
the Records Disposition Schedule 67, project case files reflecting a complete history of each
project from initiation through research, development, design, testing, and demonstration, records
should retire to Federal Records Center 3 years after satisfactory close of project that volume
warrants. Destroy 6 years after satisfactory close of project. (NARA Job
NCl-207-78-6, item 5). In accordance with the Records Disposition Schedule, the
Contractor will return all electronic and hard copy study records to PD&amp;R under the retention
period for records. Hard copy forms that are no longer needed for the study will be shredded. The
data will not be used after the final acceptance of the report by HUD. Upon request of the agency,
Abt Associates will permanently destroy all electronic personally-identifiable information on the
system using the methods described by the NIST SP 800-88 "Guidelines for Media
Sanitization" (September 2006). Encrypted versions of the data may remain on backup media for
a longer period of time, but will be similarly permanently destroyed.</p>
<p>[2] <i>
http://www.hud.gov/offices/adm/hudclips/handbooks/admh/2225.6/index.cfm</i>.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Carol Star, Director of the Program Evaluation Division, Office of Policy Development and
Research, Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410,
Telephone Number (202) 402-6139.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For information, assistance, or inquiry about the existence of records, contact the Chief Privacy
Officer, Department of Housing and Urban Development, 451 Seventh Street SW. (Attention: Capitol
View Building, 4th Floor), Washington, DC 20721. Written requests must include the full name, Social
Security Number, date of birth, current address, and telephone number of the individual making the
request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Procedures for the amendment or correction of records and for applicants who want to appeal
initial agency determination appear in 24 CFR part 16.
</p><p>(i) In relation to contesting contents of records, the Chief Privacy Officer at HUD, 451 Seventh
Street SW., (Attention: Capitol View Building, 4th Floor), Washington, DC 20410; and,
</p><p>(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office
of General Counsel, 451 Seventh Street SW., Washington, DC 20410.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Original data collected directly from study participants, study participant lenders and
counseling agencies, third party data (e.g. National Change of Address database, credit bureaus) and
administrative data from HUD.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>

<appendix id="app" toc="yes" letter="A">
<title> Officials to Receive Inquiries, Requests for Correction or Amendment
Access and Requests </title>
<xhtmlContent>
<p><b>Headquarters
</b></p><p>Privacy Act Officer, 451 Seventh Street, SW, Washington, DC 20410.
</p><p><i>Region I
</i></p><p>Regional Administrator-Regional Housing Commissioner, 10 Causeway Street, Room 375, Federal
Building, Boston, Massachusetts 02222
-1092.
</p><p>Manager, 330 Main Street, 1st Floor, Hartford, Connecticut 06106-1860.
</p><p>Manager, Norris Cotton Federal Building, 275 Chestnut Street, Manchester, New Hampshire 03101
-2487.
</p><p>Chief, Casco Northern Bank Building, 23 Main Street, 1st Floor, Bangor, Maine 04401-4318.
</p><p>Manager, Room 330, John O. Pastore Federal Building and U.S. Post Office, Kennedy Plaza,
Providence, Rhode Island 02903-1785.
</p><p>Chief, Federal Building, 11 Elmwood Avenue, Room B-31, Burlington, Vermont 05402-
0879.
</p><p><i>Region II
</i></p><p>Regional Administrator-Regional Housing Commissioner, 26 Federal Plaza, New York, New York
10278-0068.
</p><p>Manager, the Parkade Building, 519 Federal Street, Camden, New Jersey 08103-9998.
</p><p>Manager, Military Park Building, 60 Park Place, Newark, New Jersey 07102-5504.
</p><p>Manager, 465 Main Street, Lafayette Court, Buffalo, New York 14203-1780.
</p><p>Manager, New San Juan Office Building, 159 Carlos E. Chardon Avenue, San Juan, Puerto Rico 00918
-1804.
</p><p>Manager, Leo W. O'Brien Federal Building, North Pearl Street and Clinton Avenue, Albany, New York
12207-2395.
</p><p><i>Region III
</i></p><p>Regional Administrator-Regional Housing Commissioner, Liberty Square Building, 105 South 7th
Street, Philadelphia, Pennsylvania 19106
-3392.
</p><p>Manager, HUD Building, 451 Seventh Street, SW, Room 3158, Washington, District of Columbia 20410
-5500.
</p><p>Manager, the Equitable Building, 3rd Floor, 10 North Calvert Street, Baltimore, Maryland 21202
-1865.
</p><p>Manager, Old Post Office Courthouse Building, 7th Avenue and Grant Street, Pittsburgh,
Pennsylvania 15219-1906.
</p><p>Manager, 400 North Eighth Street, Richmond, Virginia 23240.
</p><p>Chief, Federal Building, 844 King Street, Room 1304, Wilmington, Delaware 19801-3519.
</p><p>Manager, 405 Capitol Street, Suite 708, Charleston, West Virginia 25301-1795.
</p><p><i>Region IV
</i></p><p>Regional Administrator-Regional Housing Commissioner, Richard B. Russell Federal Building,
75 Spring Street, SW, Atlanta, Georgia
30303-3388.
</p><p>Manager, Beacon Ridge Tower, 600 Beacon Parkway West, Birmingham, Alabama 35233-3144.
</p><p>Manager, 325 West Adams Street, Jacksonville, Florida 32202-4303.
</p><p>Manager, PO Box 1044, 601 West Broadway, Louisville, Kentucky 40201-1044.
</p><p>Manager, Doctor A. H. McCoy Federal Building, 100 West Capitol Street, Room 910, Jackson,
Mississippi 39269-1096.
</p><p>Manager, 415 North Edgeworth Street, Greensboro, North Carolina 27401-2107.
</p><p>Manager, Strom Thurmond Federal Building, 1835-45 Assembly Street, Columbia, South Carolina
29201-2480.
</p><p>Manager, 3rd Floor, John J. Duncan Federal Building, 710 Locust Street, Knoxville, Tennessee
37902-2526.
</p><p>Manager, Gables One Tower, 1320 South Dixie Highway, Coral Gables, Florida 33146-2911.
</p><p>Manager, 700 Twiggs Street, Room 527, PO Box 17910, Tampa, Florida 33672-2910.
</p><p>Manager, One Memphis Place, 200 Jefferson Avenue, Suite 1200, Memphis, Tennessee 38103-
2335.
</p><p>Manager, Cumberland Bend Drive, Suite 200, Nashville, Tennessee 37228-1803.
</p><p>Manager, Langley Building, 3751 Maguire Boulevard, Suite 270, Orlando, Florida 32803-3032.
</p><p><i>Region V
</i></p><p>Regional Administrator-Regional Housing Commissioner, 626 West Jackson Boulevard, Chicago,
Illinois 60606-5601.
</p><p>Manager, 151 North Delaware Street, Indianapolis, Indiana 46205-2526
</p><p>Manager, Patrick V. McNamara Federal Building, 477 Michigan Avenue, Detroit, Michigan 48226
-2592.
</p><p>Manager, 220 Second Street, South, Minneapolis, Minnesota 55401-2195.
</p><p>Manager, 200 North High Street, Columbus, Ohio 43215-2499.
</p><p>Manager, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue, Suite 1380, Milwaukee,
Wisconsin 53203-2289.
</p><p>Chief, 524 South Second Street, Suite 672, Springfield, Illinois 62701-1774.
</p><p>Manager, Amitec Building-Local, 352 South Saginaw Street, Room 200, Flint, Michigan 48502-
1953.
</p><p>Manager, 2922 Fuller Avenue, NE, Grand Rapids, Michigan 49505-3499.
</p><p>Manager, Federal Office Building, 550 Main Street, Cincinnati, Ohio 45202-3253.
</p><p>Manager, One Playhouse Square, 1375 Euclid Avenue, Room 420, Cleveland, Ohio 44114-1670.
</p><p><i>Region VI
</i></p><p>Regional Administrator-Regional Housing Commissioner, 1600 Throckmorton, Post Office Box
2905, Fort Worth, Texas 76113-2905.
</p><p>Manager, Lafayette Building, 523 Louisiana, Suite 200, Little Rock, Arkansas 72201-3707.
</p><p>Manager, Fisk Federal Building, 1661 Canal Street, New Orleans, Louisiana 70112-2887.
</p><p>Manager, 525 Griffin Street, Room 860, Dallas, Texas 75202-5007.
</p><p>Manager, Washington Square, 800 Dolorosa Street, San Antonio, Texas 78207-4563.
</p><p>Manager, Joe D. Waggoner Federal Building, 500 Fannin Street, Room 6B04, Shreveport, Louisiana
71101-3077.
</p><p>Manager, 625 Truman Street, NE, Albuquerque, New Mexico 87100-6443.
</p><p>Manager, Murrah Federal Building, 200 NW 5th Street, Oklahoma City, Oklahoma 73102-3202.
</p><p>Manager, 1516 S. Boston Avenue, Suite 110, Tulsa, Oklahoma 74119-4032.
</p><p>Manager, Norfolk Tower, 2211 Norfolk, Suite 200, Houston, Texas 77098-4096.
</p><p>Manager, Federal Office Building, 1205 Texas Avenue, Lubbock, Texas 79401-4093.
</p><p><i>Region VII
</i></p><p>Regional Administrator-Regional Housing Commissioner, Professional Building, 1103 Grand
Avenue, Kansas City, Missouri 64106-
2496.
</p><p>Manager, 210 North Tucker Boulevard, St. Louis, Missouri 63101-1997.
</p><p>Manager, Braiker/Brandeis Building, 210 South 16th Street, Omaha, Nebraska 68102-1622.
</p><p>Manager, Federal Building, 210 Walnut Street, Room 239, Des Moines, Iowa 50309-2155.
</p><p>Chief, Frank Carlson Federal Building, 444 SE Quincy Street, Room 256, Topeka, Kansas 66683
-0001.
</p><p><i>Region VIII
</i></p><p>Regional Administrator-Regional Housing Commissioner, Executive Tower Building, 1405 Curtis
Street, Denver, Colorado 80202-2349.
</p><p>Manager, Federal Office Building Drawer 10095, 301 S. Park, Room 340, Helena, Montana 59626
-0095.
</p><p>Chief, Federal Building, PO Box 2483, 653 2nd Avenue North, Fargo, North Dakota 58108-2483.
</p><p>Chief, 300 Building, 300 North Dakota Avenue, Suite 116, Sioux Falls, South Dakota 57102-
0311.
</p><p>Manager, 324 South State Street, Suite 220, Salt Lake City, Utah 84111-2321.
</p><p>Chief, 4225 Federal Office Building, 100 East B Street, Post Office Box 580, Casper, Wyoming
82602-1918.
</p><p><i>Region IX
</i></p><p>Regional Administrator-Regional Housing Commissioner, Federal Building, 450 Golden Gate
Avenue, Post Office Box 36003, San Francisco,
California 94102-3448.
</p><p>Manager, 1615 W. Olympic Boulevard, Los Angeles, California 90015-3801.
</p><p>Manager, One North First Street, Suite 300, Post Office Box 13468, Phoenix, Arizona 85002-
3468.
</p><p>Manager, Pioneer Plaza, 100 North Stone Avenue, Suite 410, Tucson, Arizona 86701-1467.
</p><p>Manager, 1630 East Shaw Avenue, Suite 138, Fresno, California 93710-8193.
</p><p>Manager, 777 12th Street, Suite 200, Sacramento, California 95809-1997.
</p><p>Manager, Federal Office Building, 880 Front Street, Room 5S3, San Diego, California 92188-
0100.
</p><p>Manager, 34 Civic Center Plaza, PO Box 12850, Santa Ana, California 92712-2850.
</p><p>Manager, 300 Ala Moana Boulevard, Room 3318, Honolulu, Hawaii 96850-4991.
</p><p>Manager, 1500 East Tropicana Avenue, 2nd Floor, Las Vegas, Nevada 89119-6516.
</p><p>Manager, 1050 Bible Way, Post Office Box 4700, Reno, Nevada 89505-4700.
</p><p><i>Region X
</i></p><p>Regional Administrator-Regional Housing Commissioner, Arcade Plaza Building, 1321 Second
Avenue, Seattle, Washington 89101-2058.
</p><p>Manager, 520 Southwest Sixth Avenue, Portland, Oregon 97204-1596.
</p><p>Manager, 222 West 8th Avenue, 64, Anchorage, Alaska 99513-7537.
</p><p>Manager, FB/USCH, Box 042, 550 West Fort Street, Boise, Idaho 83724-0420.
</p><p>Manager, 8th Floor East, Farm Credit Bank Building, West 601 First Avenue, Spokane, Washington
99204-0317.
</p></xhtmlContent></appendix>

<appendix id="app" toc="yes" letter="B">
<title> Departmental
Enforcement Center Headquarters and Satellite Office
Locations </title>
<xhtmlContent>
<p>U. S. Department of Housing and Urban Development, Departmental Enforcement Center, Portals
Building 1250 Maryland Avenue, SW, Suite
200, Washington, DC 20024
</p><p>HUD Illinois Enforcement Center, Ralph H. Metcalfe Federal building 77 West Jackson Boulevard,
Room 2207, Chicago, IL 60604-3507
</p><p>HUD Georgia Enforcement Center, Richard B. Russell Federal Building 75 Spring Street, SW, Room
1070, Atlanta, GA 30303-3388
</p><p>HUD Ft. Worth Enforcement Center, Federal Building 819 Taylor Street, Room 13A47, Ft. Worth, TX
76113
</p><p>HUD Los Angeles Enforcement Center, 611 West 6th Street, Suite 3800, Los Angeles, CA 90017-
3127
</p><p>HUD New York Enforcement Center, 26 Federal Plaza, Room 3237, New York, NY 10278-0068
</p></xhtmlContent></appendix>

<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>

<regulations id="reg1" toc="yes">
<regulationsTitle number="24">
<heading> Housing and Urban Development </heading>
<regulationsPart number="16">
<heading> IMPLEMENTATION OF THE PRIVACY ACT OF 1974</heading>
<xhtmlContent>
<p><b>Subpart A--Office of the Secretary, Department of Housing and Urban Development</b></p>
<p>Sec.
</p>
<p>16.1 Purpose and statement of policy.
</p>
<p>16.2 Definitions.
</p>
<p>16.3 Procedures for inquiries.
</p>
<p>16.4 Requests for access; requirements.
</p>
<p>16.5 Disclosure of requested information to individuals.
</p>
<p>16.6 Initial denial of access.
</p>
<p>16.7 Administrative review of initial denial of access.
</p>
<p>16.8 Request for correction or amendment to record.
</p>
<p>16.9 Agency procedures upon request for correction or amendment of record.
</p>
<p>16.10 Appeal of initial adverse agency determination on correction or amendment.
</p>
<p>16.11 Disclosure of record to person other than the individual to whom it pertains.
</p>
<p>16.12 Fees.
</p>
<p>16.13 Penalties.
</p>
<p>16.14 General exemptions.
</p>
<p>16.15 Specific exemptions.
</p>
<p><b>Authority:</b> 5 U.S.C. 552(a); 42 U.S.C. 3535(d).
</p>
<p><b>Source:</b> 40 FR 39729, Aug. 28, 1975, unless otherwise noted.
</p>
<p><b>&#167; 16.1
 Purpose and statement of policy.
</b></p>
<p>(a) The purpose of this part is to establish policies and procedures for implementing the
Privacy Act of 1974 (Pub. L. 93-579),
5 U.S.C. 552(a). The main objectives are to facilitate full exercise of rights conferred on
individuals under the Act and to insure the
protection of privacy as to individuals about whom the Department maintains records in systems of
records under the Act. The Department
accepts the responsibility to act promptly and in accordance with the Act upon receipt of any
inquiry, request or appeal from a citizen of the
United States or an alien lawfully admitted for permanent residence into the United States,
regardless of the age of the individual.
</p>
<p>(b) Further, the Department accepts the obligations to maintain only such information on
individuals as is relevant and necessary to the
performance of its lawful functions, to maintain that information with such accuracy, relevancy,
timeliness and completeness as is reasonably
necessary to assure fairness in determinations made by the Department about the individual, to
obtain information from the individual to the
extent practicable, and to take every reasonable step to protect that information from unwarranted
disclosure. The Department will maintain no
record describing how an individual exercises rights guaranteed by the First Amendment unless
expressly authorized by statute or by the
individual about whom the record is maintained or unless pertinent to and within the scope of an
authorized law enforcement activity.
</p>
<p>(c) This part applies to all organizational components in the Department in order to assure the
maximum amount of uniformity and
consistency within the Department in its implementation of the Act.
</p>
<p>(d) The Assistant Secretary for Administration shall be responsible for carrying out the
requirements of this part, for issuing such orders
and directives internal to the Department as are necessary for full compliance with the Act, and for
effecting publication of all required
notices concerning systems of records.
</p>
<p>(e) Requests involving information pertaining to an individual which is in a record or file but
not within the scope of a System of Records
Notice published in the <i>Federal Register</i> are outside the scope of this part. Requests for
departmental records will be considered to
determine whether processing under this part, part 15, or both is most appropriate, notwithstanding
the requester?s characterization of the
request, as follows:
</p>
<p>(1) <i>A Privacy Act request from an individual for records about that individual and not
contained in a Privacy Act Records System</i>
shall be considered a Freedom of Information Act request and processed under HUD Freedom of
Information Act regulations (24 CFR part 15) to
the extent that the requester has provided the Department a reasonable description of the documents
requested. When a request for records is
so considered as a Freedom of Information Act request, the Privacy Act Officer shall promptly refer
it to the head of the appropriate
organizational unit in accordance with HUD FOIA Regulations and shall advise the requester that time
of receipt for processing purposes will
be the time when it is received by the appropriate official.
</p>
<p>(2) <i>A Freedom of Information Act request from an individual for records about that individual
contained in a Privacy Act Records System
</i> shall be processed as follows:
</p>
<p>(i) If the request in whole or in part contains a reasonable description of any HUD document,
processing shall be carried out pursuant to
HUD FOIA Regulations.
</p>
<p>(ii) If the request in whole or in part does not contain a reasonable description of any HUD
document, but does provide sufficient
information under HUD Privacy Act Regulations to undertake a Privacy Act Records System search, the
Department will provide full access under
HUD Privacy Act Regulations. In this situation, the Department will comply with the deadlines for
response set forth in the Privacy Act and
HUD implementing regulations. In that event, an explanation will be provided to the requester
advising that the request did not contain a
reasonable description of a particular document as required under the FOIA and offering to process
the request under FOIA procedures upon
receipt of additional information sufficient to constitute a <i>reasonable description.</i>
</p>
<p>(3) <i>A Freedom of Information Act request from an individual for records about another
individual contained in a Privacy Act Records
System</i> shall be processed as follows: When an exemption under subsection (b) of FOIA is
available, the Privacy Act governs the public
interest determination under HUD FOIA Regulations (24 CFR 15.21) and compels the withholding of such
documents unless: (i) The subject of
those records consents to their release or (ii) disclosure comes within one of the subsections of 5
U.S.C. &#167; 552a(b).
</p>
<p>(4) <i>A Privacy Act request from an individual for records about another individual</i> shall be
processed as follows: Except as expressly
permitted in this part, requests by persons who are not the subject of a record contained in a
Privacy Act Records System shall be outside the
scope of this part. If the request satisfies the Freedom of Information Act requirement that
requested records be reasonably described, the
Privacy Act Officer shall consider the requests as a Freedom of Information Act request and shall
proceed as in &#167; 16.1(e)(1) of this
section.
</p>
<p>[40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976]
</p>
<p><b>&#167; 16.2
 Definitions.
</b></p>
<p>(a) The definitions of 5 U.S.C. 552a apply in this part.
</p>
<p>(b) As used in this part:
</p>
<p>(1) <i>Act</i> means the <i>Privacy Act of 1974,</i> Pub. L. 93-579.
</p>
<p>(2) <i>Privacy Act Officer</i> means those officials, identified in Appendix A to this part, or
their designees, who are authorized to
receive and act upon inquiries, requests for access, and requests for correction or amendment.
</p>
<p>(3) <i>Privacy Appeals Officer</i> means the General Counsel.
</p>
<p>(4) <i>Inquiry</i> means a request by an individual that the Department determine whether it has
any record in a system of records which
pertains to that individual.
</p>
<p>(5) <i>Request for access</i> means a request by an individual or guardian to inspect and/or copy
and/or obtain a copy of a record which is
in a particular system of records and which pertains to that individual.
</p>
<p>(6) <i>Request for correction or amendment</i> means the request by an individual or guardian
that the Department change (either by
correction, addition or deletion) a particular record in a system of records which pertains to that
individual.
</p>
<p>(7) <i>Appeal</i> means the request by an individual that an initial denial of a request for
access or correction or amendment by that
individual be reviewed and reversed.
</p>
<p>[40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976; 61 FR 5204, Feb. 9, 1996]
</p>
<p><b>&#167; 16.3
 Procedures for inquiries.
</b></p>
<p>(a) Any individual, regardless of age, may submit an inquiry to the Department. The inquiry
should be made either in person at the
office of, or by mail addressed to, the appropriate Privacy Act Officer. Although oral requests may
be honored, a requester may be asked to
submit his request in writing. The envelope containing the request and the letter itself should both
clearly indicate that the subject is a
"PRIVACY ACT INQUIRY". If an individual believes the Department maintains a record pertaining to
that individual but does not know which
system of records might contain such a record and/or which organizational component of the
Department maintains the system of records,
assistance in person or by mail will be provided at the first address listed in Appendix A to this
part.
</p>
<p>(b)(1) An inquiry should contain the following information:
</p>
<p>(i) Name, address and telephone number of the individual making the request;
</p>
<p>(ii) Name, address and telephone number of the individual to whom the record pertains, if the
requesting individual is either the parent of
a minor or the legal guardian of the individual to whom the record pertains;
</p>
<p>(iii) A certified or authenticated copy of documents establishing parentage or guardianship;
</p>
<p>(iv) Whether the individual to whom the record pertains is a citizen of the United States or an
alien lawfully admitted for permanent
residence in to the United States;
</p>
<p>(v) Name of the system of records, as published in the <i>Federal Register</i>;
</p>
<p>(vi) Location of the system of records, as published in the <i>Federal Register</i>;
</p>
<p>(vii) Such additional information as the individual knows will or believes might assist the
Department in responding to the inquiry (for
example, the individual?s past or present relationship with the Department, e.g. mortgagor,
contractor, employee, including relevant dates)
and in verifying the individual?s identity (for example, date of birth, place of birth, names of
parents, place of work, dates of employment,
position title, etc.);
</p>
<p>(viii) Date of inquiry; and,
</p>
<p>(ix) Individual?s signature.
</p>
<p>The Department reserves the right to require compliance with the identification procedures
appearing at &#167; 16.4(d) where
circumstances warrant.
</p>
<p>(2) In compliance with 5 U.S.C. 552a (e)(3) each individual supplying the information in
accordance with paragraph (b)(1) of this section
hereby is informed that:
</p>
<p>(i) The authority authorizing solicitation of the information is 5 U.S.C. 552a, disclosure is
voluntary, and no penalty is attached for
failure to respond;
</p>
<p>(ii) The principal purpose for which the information is intended to be used is processing the
inquiry under the Act;
</p>
<p>(iii) The routine uses which may be made of the information are the routine uses appearing as a
prefatory statement to the Department?s
notice of systems of records published in the <i>Federal Register</i>; and,
</p>
<p>(iv) The effects of not providing all or any part of the information may delay, or in some cases
make impossible, the Department?s
processing of the action on the request under the Act.
</p>
<p>(3) If, having been made aware of the contents of paragraph (b)(2) of this section, an individual
submits the information listed in
paragraph (b)(1) of this section, he or she will be deemed to have made the submission on a purely
voluntary and consensual basis.
</p>
<p>(c) When an inquiry is misdirected by the requester, or not addressed as specified in paragraph
(a) of this section, the Department
official receiving same shall make reasonable effort to identify, and promptly refer it to, the
appropriate Privacy Act Officer and the time
of receipt for processing purposes will be the time when it is received by the Privacy Act Officer.
</p>
<p>(d) When an inquiry fails to provide necessary information as set forth in paragraph (b) of this
section, the requester shall be advised
that the time of receipt for processing purposes will be the time when the additional necessary
information is received by the Privacy Act
Officer.
</p>
<p>(e) Each inquiry received shall be acted upon promptly by the responsible Privacy Act Officer.
Every effort will be made to respond within
ten days (excluding Saturdays, Sundays and holidays) of the date of receipt. If a response cannot be
made within ten days, the Privacy Act
Officer shall send an acknowledgement during that period providing information on the status of the
inquiry. The Privacy Act Officer may
indicate that additional information would facilitate processing or that further information is
necessary to process the inquiry.
</p>
<p><b>&#167; 16.4
 Requests for access; requirements.
</b></p>
<p>(a) Any individual, regardless of age, may submit to the Department a request for access to
records of the Department. The request
should be made either in person at the Office of, or by mail addressed to, the responsible Privacy
Act Officer identified in Appendix A to
this part. Although oral requests may be honored, a requester may be asked to submit his request in
writing. The envelope containing the
request and the letter itself should both clearly indicate that the subject is a PRIVACY ACT REQUEST
FOR ACCESS TO RECORDS.
</p>
<p>(b) When a request for access to records is misdirected by the requester, or not addressed as
specified in paragraph (a) of this section,
the Department official receiving same shall promptly refer it to the appropriate Privacy Act
Officer and the time of receipt for processing
purposes will be the time when it is received by that official.
</p>
<p>(c) When a request for access to records fails to provide necessary information as set forth in
paragraph (b) of this section the requester
shall be advised that the time of receipt for processing purposes will be the time when the
additional necessary information is received by
the appropriate official.
</p>
<p>(d) The requirements for identification of individuals seeking access to records are as follows:
</p>
<p>(1) <i>In person.</i> Each individual making a request in person shall be required to present
satisfactory proof of identity. The means of
proof, in the order of preference and priority, are:
</p>
<p>(i) A document bearing the individual?s photograph (for example, passport or military or civilian
identification card);
</p>
<p>(ii) A document bearing the individual?s signature (for example, driver?s license, social
security card, unemployment insurance book,
employer?s identification card, national credit card and professional, craft or union membership
card); and
</p>
<p>(iii) A document bearing neither the photograph nor the signature of the individual (for example,
a Medicaid card). In the event the
individual can provide no suitable documentation of identity, the Department will require a signed
statement asserting the individual?s
identity and stipulating that the individual understands the penalty provision of 5 U.S.C. 552a(i)
(3). That penalty provision also appears at
&#167; 16.13(a). In order to avoid any unwarranted disclosure of an individual?s records, the
Department reserves the right to determine
to its satisfaction whether proof of identity offered by any individual is adequate.
</p>
<p>(2) <i>Not in person.</i> If the individual making a request does not appear in person before a
Privacy Act Officer, the information set
forth in &#167; 16.3(b)(1) and a certificate of a notary public or equivalent officer empowered
to administer oaths must accompany the
request. The certificate within or attached to the letter must be substantially in accord with the
following text:
</p>
<p>City of ____________________
</p>
<p>County of ____________________:
</p>
<p>ss ____________________ (name of individual), who affixed (his) (her) signature below in my
presence, came before me, a ________________
(title), in and for the aforesaid County and State, this ____________ day of ____________,
19--, and established (his) (her) identity to
my satisfaction.
</p>
<p>My commission expires ____________________.
</p>
<p>___________________________________</p>
<p>      (signature)
</p>
<p>If the request follows inquiry under &#167; 16.3, this should be indicated in the request
for access in order to facilitate
processing.
</p>
<p>(3) <i>Parents of minors and legal guardians.</i> An individual acting as the parent of a minor
or the legal guardian of the individual to
whom a record pertains shall establish his or her personal identity in the same manner prescribed in
either paragraph (d) (1) or (2) of this
section. In addition, such other individual shall establish his or her representative capacity of
parent or legal guardian. In the case of the
parent of a minor, the proof of identity shall be a certified or authenticated copy of the minor?s
birth certificate. In the case of a legal
guardian of an individual who has been declared incompetent due to physical or mental incapacity or
age by a court of competent jurisdiction,
the proof of identity shall be a certified or authenticated copy of the court?s order. A parent or
legal guardian may act only for a living
individual, not for a decedent. A parent or legal guardian may be accompanied during personal access
to a record by another individual,
provided the provisions of &#167; 16.5(e) are satisfied.
</p>
<p>(e) When the provisions of this part are alleged to have the effect of impeding an individual in
exercising his or her right to access, the
Department will consider alternative suggestions from an individual making a request, regarding
proof of identity and access to records.
</p>
<p>(f) An individual shall not be required to state a reason or otherwise justify his or her request
for access to a record.
</p>
<p><b>&#167; 16.5
 Disclosure of requested information to individuals.
</b></p>
<p>(a) Each request received shall be acted upon promptly by the responsible Privacy Act
Officer. Every effort will be made to respond
within ten days (excluding Saturdays, Sundays and holidays) of the date of receipt. If a response
cannot be made within ten days due to
unusual circumstances, the Privacy Act Officer shall send an acknowledgement during that period
providing information on the status of the
request and asking for such further information as may be necessary to process the request. <i>
Unusual circumstances</i> shall include
circumstances where a search for and collection of requested records from inactive storage, field
facilities or other establishments are
required, cases where a voluminous amount of data is involved, instances where information on other
individuals must be separated or expunged
from the particular record, and cases where consultations with other agencies having a substantial
interest in the determination of the
request are necessary.
</p>
<p>(b) <i>Grant of access</i>--(1) <i>Notification.</i> An individual shall be granted access
to a record pertaining to him or her,
except where the provisions of &#167; 16.6 apply. The Privacy Act Officer shall notify the
individual of such determination and provide
the following information:
</p>
<p>(i) The methods of access, as set forth in paragraph (b)(2) of this section;
</p>
<p>(ii) The place at which the record may be inspected;
</p>
<p>(iii) The earliest date on which the record may be inspected and the period of time that the
records will remain available for inspection
and/or the estimated date by which a copy of the record could be mailed and the estimate of fees
pursuant to &#167; 16.12;
</p>
<p>(iv) The fact that the individual, if he or she wishes, may be accompanied by another individual
during personal access, subject to
procedures set forth in paragraph (e) of this section; and
</p>
<p>(v) Any additional requirements needed to grant access to a specific record.
</p>
<p>(2) <i>Methods of access.</i> The following methods of access to records by an individual may be
available depending on the circumstances
of a given situation:
</p>
<p>(i) Inspection in person may be had in the office specified by the Privacy Act Officer granting
access during hours indicated by the
Privacy Act Officer;
</p>
<p>(ii) Transfer of records to a Federal facility more convenient to the individual may be arranged,
but only if the Privacy Act Officer
determines that a suitable facility is available, that the individual?s access can be properly
supervised at the facility, and that
transmittal of the records to that facility will not unduly interfere with operations of the
Department or involve unreasonable costs, in
terms of both money and manpower; and
</p>
<p>(iii) Copies may be mailed at the request of the individual, subject to payment of the fees
prescribed in &#167; 16.12. The
Department, at its own initiative, may elect to provide a copy by mail, in which case no fee will be
charged the individual.
</p>
<p>(c) The Department shall supply such other information and assistance at the time of access as to
make the record intelligible to the
individual.
</p>
<p>(d) The Department reserves the right to limit access to copies and abstracts of original
records, rather than the original records. This
election would be appropriate, for example, when the record is in an automated data media such as
tape or disc, when the record contains
information on other individuals, and when deletion of information is permissible under exemptions
(for example, 5 U.S.C. 552a(k)(2)). In no
event shall original records of the Department be made available to the individual except under the
immediate supervision of the Privacy Act
Officer or his designee. It is a crime to conceal, mutilate, obliterate, or destroy any record filed
in a public office, or to attempt to do
any of the foregoing, Title 18, United States Code, 2701(a).
</p>
<p>(e) Any individual who requests access to a record pertaining to that individual may be
accompanied by another individual of his or her
choice. <i>Accompanied</i> includes discussion of the record in the presence of the other
individual. The individual to whom the record
pertains shall authorize the presence of the other individual by a signed and dated document which
includes the name of the other individual
and specifically describes the record to which access is sought. The other individual shall sign the
authorization in the presence of the
Privacy Act Officer. An individual shall not be required to state a reason or otherwise justify his
or her decision to be accompanied by
another individual during personal access to a record.
</p>
<p><b>&#167; 16.6
 Initial denial of access.
</b></p>
<p>(a) <i>Grounds.</i> Access by an individual to a record which pertains to that individual
will be denied only upon a determination by
the Privacy Act Officer that:
</p>
<p>(1) The record is subject to an exemption under &#167; 16.14, &#167; 16.15 or to an
exemption determined by another agency
noticing the system of records;
</p>
<p>(2) The record is information compiled in reasonable anticipation of a civil action or
proceeding; or
</p>
<p>(3) The individual unreasonably has failed to comply with the procedural requirements of this
part.
</p>
<p>(b) <i>Notification.</i> The Privacy Act Officer shall give notice of denial of access to records
to the individual in writing and shall
include the following information:
</p>
<p>(1) The Privacy Act Officer?s name and title or position;
</p>
<p>(2) The date of the denial;
</p>
<p>(3) The reasons for the denial, including citation to the appropriate section of the Act and/or
this part;
</p>
<p>(4) The individual?s opportunities, if any, for further administrative consideration, including
the identity and address of the appropriate
Privacy Appeals Officer. If no further administrative consideration within the Department is
available, the notice shall state that the denial
is administratively final; and,
</p>
<p>(5) If stated to be administratively final; and, within the Department, the individual?s right to
judicial review under 5 U.S.C. 552a(g)
(1), as amended by 5 U.S.C. 552a(g)(5).
</p>
<p>[40 FR 39729, Aug. 28, 1975, as amended at 42 FR 20297, Apr. 19, 1977]
</p>
<p><b>&#167; 16.7
 Administrative review of initial denial of access.
</b></p>
<p>(a) Review shall be available only from a written denial of a request for access issued
under &#167; 16.6(a) (2) or (3) and only
if a written request for review is filed within thirty calendar days after the issuance of the
written denial.
</p>
<p>(b) A request for review shall be addressed to the Privacy Appeals Officer identified in the
initial denial, which official is authorized
to make final determinations. The envelope containing the request for review and the letter itself
should both clearly indicate that the
subject is a PRIVACY ACT REQUEST FOR REVIEW.
</p>
<p>(c) When a request for review is misdirected by the requester, or not addressed as specified in
paragraph (b) of this section, the
Department official receiving same shall promptly refer it to the Privacy Appeals Officer and the
time of receipt for processing purposes will
be the time when it is received by the appropriate official.
</p>
<p>(d) When a request for review fails to provide necessary information as set forth in paragraph
(e) of this section, the requester shall be
given reasonable opportunity to amend the request and shall be advised that the time of receipt for
processing purposes will be the time when
the additional necessary information is received by the appropriate official.
</p>
<p>(e) The filing of a request for review may be accomplished by mailing to the Privacy Appeals
Officer a copy of the request for access, if
in writing; a copy of the written denial issued under &#167; 16.6; and a statement of the
reasons why the initial denial is believed to
be in error. The appeal shall be signed by the individual.
</p>
<p>(f) No hearing will be allowed in connection with administrative review of an initial denial of
access.
</p>
<p>(g) The Privacy Appeals Officer shall act upon the appeal and issue a final determination in
writing not later than thirty days (excluding
Saturdays, Sundays and holidays) from the date on which the appeal is received; provided, that the
Privacy Appeals officer may extend the
thirty days upon deciding that a fair and equitable review cannot be made within that period, but
only if the individual is advised in writing
of the reason for the extension and the estimated date by which a final determination will issue,
which estimated date should not be later
than the sixtieth day (excluding Saturdays, Sundays and holidays) after receipt of the appeal unless
there exist unusual circumstances, as
described in &#167; 16.5(a).
</p>
<p>(h) The decision after review will be in writing, will constitute final action of the Department
on a request for access, and, if the
denial of the request is in whole or part upheld, the Department shall notify the person making the
request of his right to judicial review
under 5 U.S.C. 552a(g)(1), as amended by 5 U.S.C. 552a(g)(5).
</p>
<p><b>&#167; 16.8
 Request for correction or amendment to record.
</b></p>
<p>(a) Any individual, regardless of age, may submit to the Department a request for correction
or amendment of a record pertaining to
that individual. The request should be made either in person at the office of, or by mail addressed
to, the Privacy Act Officer who processed
the individual?s request for access to the record. Although an oral request may be honored, a
requester may be asked to submit his or her
request in writing. The envelope containing the request and the letter itself should both clearly
indicate that the subject is a PRIVACY ACT
REQUEST FOR CORRECTION OR AMENDMENT.
</p>
<p>(b) When a request for correction or amendment is misdirected by the requester, or not addressed
as specified in paragraph (a) of this
section, the Department official receiving same shall make reasonable effort to identify, and
promptly refer it to, the appropriate Privacy
Act Officer and the time of receipt for processing purposes will be the time when it is received by
the appropriate official.
</p>
<p>(c) When a request for correction or amendment fails to provide necessary information as set
forth in paragraph (e) of this section, the
requester shall be given reasonable opportunity to answer the request and shall be advised that the
time of receipt for processing purposes
will be the time when the additional necessary information is received by the appropriate official.
</p>
<p>(d) Since the request, in all cases, will follow a request for access under &#167; 16.4, the
individual?s identity will be established
by his or her signature on the request.
</p>
<p>(e) A request for correction or amendment should include the following:
</p>
<p>(1) A specific identification of the record sought to be corrected or amended (for example,
description, title, date, paragraph, sentence,
line and words);
</p>
<p>(2) The specific wording to be deleted, if any;
</p>
<p>(3) The specific wording to be inserted or added, if any, and the exact place at which it is to
be inserted or added; and
</p>
<p>(4) A statement of the basis for the requested correction or amendment, with all available
supporting documents and materials which
substantiate the statement.
</p>
<p>(f) The provisions of &#167; 16.3(b) (2) and (3) apply to the information obtained under
paragraph (e) of this section.
</p>
<p><b>&#167; 16.9
 Agency procedures upon request for correction or amendment of record.
</b></p>
<p>(a)(1) Not later than ten days (excluding Saturdays, Sundays and holidays) after receipt of
a request to correct or amend a record,
the Privacy Act Officer shall send an acknowledgment providing an estimate of time within which
action will be taken on the request and asking
for such further information as may be necessary to process the request. The estimate of time may
take into account unusual circumstances as
described in &#167; 16.5(a). No acknowledgment will be sent if the request can be reviewed,
processed, and the individual notified of the
results of review (either compliance or denial) within the ten days. Requests filed in person will
be acknowledged at the time submitted.
</p>
<p>(2) Promptly after acknowledging receipt of a request, or after receiving such further
information as might have been requested, or after
arriving at a decision within the time prescribed in &#167; 16.9(a)(1), the Privacy Act Officer
shall either:
</p>
<p>(i) Make the requested correction or amendment and advise the individual in writing of such
action, providing either a copy of the
corrected or amended record or a statement as to the means whereby the correction or amendment was
effected in cases where a copy cannot be
provided; or,
</p>
<p>(ii) Inform the individual in writing that his or her request is denied and provide the following
information:
</p>
<p>(A) The Privacy Act Officer?s name and title and position;
</p>
<p>(B) The date of the denial;
</p>
<p>(C) The reasons for the denial, including citation to the appropriate sections of the Act and
this part; and,
</p>
<p>(D) The procedures for appeal of the denial as set forth in &#167; 16.10, including the name
and address of the Privacy Appeals
Officer. The term <i>promptly</i> in this &#167; 16.9 means within thirty days (excluding
Saturdays, Sundays and holidays). If the
Privacy Act Officer cannot make the determination within thirty days, the individual will be advised
in writing of the reason therefor and of
the estimated date by which the determination will be made.
</p>
<p>(b) Whenever an individual?s record is corrected or amended pursuant to a request by that
individual, the Privacy Act Officer shall see to
the notification of all persons and agencies to which the corrected or amended portion of the record
had been disclosed prior to its
correction or amendment, if an accounting of such disclosure was made as required by the Act. The
notification shall require a recipient
agency maintaining the record to acknowledge receipt of the notification, to correct or amend the
record and to appraise any agency or person
to which it had disclosed the record of the substance of the correction or amendment.
</p>
<p>(c) The following criteria will be considered by the Privacy Act Officer in reviewing a request
for correction or amendment:
</p>
<p>(1) The sufficiency of the evidence submitted by the individual;
</p>
<p>(2) The factual accuracy of the information;
</p>
<p>(3) The relevance and necessity of the information in terms of the purpose for which it was
collected;
</p>
<p>(4) The timeliness and currency of the information in terms of the purpose for which it was
collected:
</p>
<p>(5) The completeness of the information in terms of the purpose for which it was collected:
</p>
<p>(6) The possibility that denial of the request could unfairly result in determinations adverse to
the individual;
</p>
<p>(7) The character of the record sought to be corrected or amended; and
</p>
<p>(8) The propriety and feasibility of complying with the specific means of correction or amendment
requested by the individual.
</p>
<p>(d) The Department will not undertake to gather evidence for the individual, but does reserve the
right to verify the evidence which the
individual submits.
</p>
<p>(e) Correction or amendment of a record requested by an individual will be denied only upon a
determination by the Privacy Act Officer
that:
</p>
<p>(1) There has been a failure to establish, by the evidence presented, the propriety of the
correction or amendment in light of the criteria
set forth in paragraph (c) of this section;
</p>
<p>(2) The record sought to be corrected or amended was compiled in a terminated judicial, quasi-
judicial, legislative or quasi-legislative
proceeding to which the individual was a party or participant;
</p>
<p>(3) The information in the record sought to be corrected or amended, or the record sought to be
corrected or amended, is the subject of a
pending judicial, quasi-judicial or quasi-legislative proceeding to which the individual is a party
or participant;
</p>
<p>(4) The correction or amendment would violate a duly enacted statute or promulgated regulation;
or,
</p>
<p>(5) The individual unreasonably has failed to comply with the procedural requirements of this
part.
</p>
<p>(f) If a request is partially granted and partially denied, the Privacy Act Officer shall follow
the appropriate procedures of this section
as to the records within the grant and the records within the denial.
</p>
<p><b>&#167; 16.10
 Appeal of initial adverse agency determination on correction or amendment.
</b></p>
<p>(a) Appeal shall be available only from a written denial of a request for correction or
amendment of a record issued under
&#167; 16.9, and only if a written appeal is filed within thirty calendar days after the
issuance of the written denial.
</p>
<p>(b) Each appeal shall be addressed to the Privacy Appeals Officer identified in the written
denial. The envelope containing the appeal and
the letter itself should both clearly indicate that the subject is PRIVACY ACT APPEAL.
</p>
<p>(c) When an appeal is misdirected by the requester, or not addressed as specified in paragraph
(b) of this section, the Department official
receiving same shall promptly refer it to the appropriate Privacy Appeals Officer and the time of
receipt for processing purposes will be the
time when it is received by the appropriate official.
</p>
<p>(d) When an appeal fails to provide the necessary information as set forth in paragraph (e) of
this section, the requester shall be advised
that the time for receipt for processing purposes will be the time when the additional necessary
information is received by the appropriate
official.
</p>
<p>(e) The individual?s appeal papers shall include the following: A copy of the original request
for correction or amendment; a copy of the
initial denial; and a statement of the reasons why the initial denial is believed to be in error.
The appeal shall be signed by the
individual. The record which the individual requests be corrected or amended will be supplied by the
Privacy Act Officer who issued the
initial denial. While the foregoing normally will comprise the entire record on appeal, the Privacy
Appeals Officer may seek additional
information necessary to assure that the final determination is fair and equitable and, in such
instances, the additional information will be
disclosed to the individual to the greatest extent possible and an opportunity provided for comment
thereon.
</p>
<p>(f) No hearing on appeal will be allowed.
</p>
<p>(g) The Privacy Appeals Officer shall act upon the appeal and issue a final Department
determination in writing not later than thirty days
(excluding Saturdays, Sundays and holidays) from the date on which the appeal is received; provided,
that the Privacy Appeals Officer may
extend the thirty days upon deciding that a fair and equitable review cannot be made within that
period, but only if the individual is advised
in writing of the reason for the extension and the estimated date by which a final determination
will issue (which estimated date should not
be later than the sixtieth day (excluding Saturdays, Sundays and holidays) after receipt of the
appeal unless unusual circumstances, as
described in &#167; 16.5(a), are met).
</p>
<p>(h) If the appeal is determined in favor of the individual, the final determination shall include
the specific corrections or amendments to
be made and a copy thereof shall be transmitted promptly both to the individual and to the Privacy
Act Officer who issued the initial denial.
Upon receipt of such final determination, the Privacy Act Officer promptly shall take the actions
set forth in &#167; 16.9(a)(2)(i) and
&#167; 16.9(b).
</p>
<p>(i) If the appeal is denied, the final determination shall be transmitted promptly to the
individual and shall state the reasons for the
denial. The notice of final determination also shall inform the individual of the following
information:
</p>
<p>(1) The right of the individual to file a concise statement of reasons for disagreeing with the
final determination. The statement
ordinarily should not exceed one page and the Department reserves the right to reject a statement of
excessive length. Such a statement shall
be filed with the Privacy Appeals Officer. It should identify the date of the final determination
and be signed by the individual. The Privacy
Appeals Officer shall acknowledge receipt of such statement and inform the individual of the date on
which it was received;
</p>
<p>(2) The fact that any such disagreement statement filed by the individual will be noted in the
disputed record and that a copy of the
statement will be provided to persons and agencies to which the record is disclosed subsequent to
the date of receipt of such statement;
</p>
<p>(3) The fact that prior recipients of the disputed record will be provided a copy of any
statement of the dispute to the extent that an
accounting of disclosures, as required by the Act, was made;
</p>
<p>(4) The fact that the Department will append to any such disagreement statement filed by the
individual, a copy of the final determination
or summary thereof which also will be provided to persons and agencies to which the disagreement
statement is disclosed; and,
</p>
<p>(5) The right of the individual to judicial review of the final determination under 5 U.S.C.
552a(g)(1)(A), as limited by 5 U.S.C. 552a(g)
(5).
</p>
<p>(j) In making the final determination, the Privacy Appeals Officer shall employ the criteria set
forth in paragraph 16.9(c) and shall deny
an appeal only on the grounds set forth in &#167; 16.9(e).
</p>
<p>(k) If an appeal is partially granted and partially denied, the Privacy Appeals Officer shall
follow the appropriate procedures of this
section as to the records within the grant and the records within the denial.
</p>
<p>(l) Although a copy of the final determination or a summary thereof will be treated as part of
the individual?s record for purposes of
disclosure in instances where the individual has filed a disagreement statement, it will not be
subject to correction or amendment by the
individual.
</p>
<p>(m) The provisions of &#167; 16.3(b) (2) and (3) apply to the information obtained under
paragraphs (e) and (i)(1) of this section.
</p>
<p><b>&#167; 16.11
 Disclosure of record to person other than the individual to whom it pertains.
</b></p>
<p>(a) The Department may disclose a record pertaining to an individual to a person other than
the individual only in the following
instances:
</p>
<p>(1) Upon written request by the individual, including authorization under &#167; 16.5(e);
</p>
<p>(2) With the prior written consent of the individual;
</p>
<p>(3) To a parent or legal guardian under 5 U.S.C. 552a(h); and,
</p>
<p>(4) When required by the Act and not covered explicitly by the provisions of 5 U.S.C. 552a(b);
and,
</p>
<p>(5) When permitted under 5 U.S.C. 552a(b) (1) through (11), which read as follows:
</p>
<p>(1) To those officers and employees of the agency which maintains the record who have a need for
the record in the performance of their
duties;
</p>
<p>(2) Required under section 552 of this title;
</p>
<p>(3) For a routine use as defined in subsection (a)(7) of this section and described under
subsection (e)(4)(D) of this section;
</p>
<p>(4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or
related activity pursuant to the provisions
of title 13;
</p>
<p>(5) To a recipient who has provided the agency with advance adequate written assurance that the
record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a form that is not individually
identifiable;
</p>
<p>(6) To the National Archives of the United States as a record which has sufficient historical or
other value to warrant its continued
preservation by the United States Government, or for evaluation by the Administrator of General
Services or his designee to determine whether
the record has such value;
</p>
<p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under
the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized by law, and if the head of
the agency or instrumentality has made a
written request to the agency which maintains the record specifying the particular portion desired
and the law enforcement activity for which
the record is sought;
</p>
<p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety
of an individual if upon such disclosure
notification is transmitted to the last known address of such individual;
</p>
<p>(9) To either House of Congress, or, to the extent of matter within its jurisdiction, any
committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
</p>
<p>(10) To the Comptroller General, or any of his authorized representatives, in the course of the
performance of the duties of the General
Accounting Office; or
</p>
<p>(11) Pursuant to the order of a court of competent jurisdiction.
</p>
<p>(b) The situations referred to in paragraph (a)(4) of this section include the following:
</p>
<p>(1) 5 U.S.C. 552a(c)(4) requires dissemination of a corrected or amended record or notation of a
disagreement statement by the Department
in certain circumstances:
</p>
<p>(2) 5 U.S.C. 552(a)(g) authorizes civil action by an individual and requires disclosure by the
Department or the court;
</p>
<p>(3) Section 5(e)(2) of the Act authorizes release of any records or information by the Department
to the Privacy Protection Study
Commission upon request of the Chairman; and
</p>
<p>(4) Section 6 of the Act authorizes the Office of Management and Budget to provide the Department
with continuing oversight and assistance
in implementation of the Act.
</p>
<p>(c) The Department shall make an accounting of each disclosure of any record contained in a
system of records in accordance with 5 U.S.C.
552a(c) (1) and (2). Except for a disclosure made under 5 U.S.C. 552a(b)(7), the Privacy Act Officer
shall make such accounting available to
any individual, insofar as it pertains to that individual, on request submitted in accordance with
&#167; 16.4. The Privacy Act Officer
shall make reasonable efforts to notify any individual when any record in a system of records is
disclosed to any person under compulsory
legal process, promptly upon being informed that such process has become a matter of public record.
</p>
<p><b>&#167; 16.12
 Fees.
</b></p>
<p>(a) The only fees to be charged to or collected from an individual under the provisions of
this part are for copying records at the
request of the individual.
</p>
<p>(1) No fees shall be charged or collected for the following: Search for and retrieval of the
records; review of the records; copying at the
initiative of the Department without a request from the individual; transportation of records and
personnel; and first class postage.
</p>
<p>(2) It is the policy of the Department to provide an individual with one copy of each record
corrected or amended pursuant to his or her
request without charge as evidence of the correction or amendment.
</p>
<p>(3) As requested by the United States Civil Service Commission in its published regulations
implementing the Act, the Department will
charge no fee to an individual who requests copies of a personnel record covered by that
Commission?s Government-wide published notice of
systems of records. However, when such records are voluminous and the cost of copying would be in
excess of five dollars ($5) the Department
may, in its discretion, charge a fee.
</p>
<p>(b) The copying fees prescribed by paragraph (a) of this section are:
</p>
<p>$0.10 Each copy of each page, up to 8 1/2 x 14" made by photocopy or similar process.
</p>
<p>$0.20 Each page of computer printout without regard to the number of carbon copies concurrently
printed.
</p>
<p>(c) Payment of fees under this section shall be made in cash, or preferably by check or money
order payable to the "Treasurer of the United
States." Payment shall be delivered or sent to the office stated in the billing notice or, if none
is stated, to the Privacy Act Officer
processing the request. Payment may be required in the form of a certified check in appropriate
circumstances. Postage stamps will not be
accepted.
</p>
<p>(d) A copying fee totaling $1 or less shall be waived, but the copying fees for contemporaneous
requests by the same individual shall be
aggregated to determine the total fee. A copying fee shall not be charged or collected, or
alternatively, it may be reduced when such action
is determined by the Privacy Act Officer to be in the public interest.
</p>
<p>(e) Special and additional services provided at the request of the individual, such as
certification or authentication, postal insurance
and special mailing arrangement costs, will be charged to the individual in accordance with other
published regulations of the Department
pursuant to statute (for example, 31 U.S.C. 433a).
</p>
<p>(f) This section applies only to individuals making requests under this part. All other persons
shall remain subject to fees and charges
prescribed by other and appropriate authorities.
</p>
<p>[40 FR 39729, Aug. 28, 1975, as amended at 42 FR 29479, June 9, 1977]
</p>
<p><b>&#167; 16.13
 Penalties.
</b></p>
<p>(a) The Act provides, in pertinent part:
</p>
<p>Any person who knowingly and willfully requests or obtains any record concerning an individual
from an agency under false pretences shall
be guilty of a misdemeanor and fined not more than $5,000. (5 U.S.C. 552a(i)(3))
</p>
<p>(b) A person who falsely or fraudulently attempts to obtain records under the Act may also be
subject to prosecution under such other
criminal statutes as 18 U.S.C. 494, 495 and 1001.
</p>
<p><b>&#167; 16.14
 General exemptions.
</b></p>
<p>(a) Individuals may not have access to records maintained by the Department but which were
provided by another agency which has
determined by regulation that such information is subject to general exemption under 5 U.S.C.
552a(j). If such exempt records are within a
request for access, the Department will advise the individual of their existence and of the name and
address of the source agency. For any
further information concerning the record and the exemption, the individual must contact that source
agency.
</p>
<p>(b) The Secretary of Housing and Urban Development has determined that the Office of the
Assistant Inspector General for Investigation
performs, as its principal function, activities pertaining to the enforcement of criminal laws. The
records maintained by that office in a
system identified as "HUD/DEPT-24, Investigation Files," primarily consist of information
compiled for the purpose of criminal
investigations and are associated with identifiable individuals. Therefore, the Secretary has
determined that this system of records shall be
exempt, consistent with 5 U.S.C. 552a(j)(2), from all requirements of the Privacy Act except 5
U.S.C. 552a (b), (c) (1) and (2), (e)(4) (A)
through (F), (e) (6), (7), (9), (10), and (11), and (i) unless elsewhere exempted.
</p>
<p>[40 FR 39729, Aug. 28, 1975, as amended at 49 FR 20486, May 15, 1984]
</p>
<p><b>&#167; 16.15
 Specific exemptions.
</b></p>
<p>Whenever the Secretary of Housing and Urban Development determines it to be necessary and
proper, with respect to any system of
records maintained by the Department, to exercise the right to promulgate rules to exempt such
systems in accordance with the provisions of 5
U.S.C. 552a(k), each specific exemption, including the parts of each system to be exempted, the
provisions of the Act from which they are
exempted, and the justification for each exemption shall be published in the <i>Federal Register</i>
as part of the Department?s Notice of
Systems of Records.
</p>
<p>(a) Exempt under 5 U.S.C. 552a(k)(2) from the requirements of 5 U.S.C. 552a (c)(3), (d), (e)(1),
(e)(4) (G), (H), (I), and (f). This
exemption allows the Department to withhold records compiled for law enforcement purposes. The
reasons for adopting this exemption are to
prevent individuals, who are the subjects of investigation, from frustrating the investigatory
process, to ensure the integrity of the
investigatory process, to ensure the integrity of law enforcement activities, to prevent disclosure
of investigative techniques, and to
protect the confidentiality of sources of information. The names of systems correspond to those
published in the <i>Federal Register</i> as
part of the Department?s Notice of Systems of Records.
</p>
<p>(1) HUD/DEPT-15. Equal Opportunity Housing Complaints.
</p>
<p>(2) HUD/DEPT-24. Investigation Files in the Office of the Inspector General.
</p>
<p>(3) HUD/DEPT-25. Legal Action Files.
</p>
<p>(b) Exempt under 5 U.S.C. 552(k)(5) from the requirements of 5 U.S.C. 552a (c)(3), (d), (e)(1),
(e)(4), (G), (H), and (I), and (f). This
exemption allows the Department to withhold records compiled solely for the purpose of determining
suitability, eligibility, or qualifications
for Federal contracts, or access to classified material. The reasons for adopting this exemption are
to insure the proper functioning of the
investigatory process, to insure effective determination of suitability, eligibility and
qualification for employment and to protect the
confidentiality of sources of information. The names of systems correspond to those published in the
<i>Federal Register</i> as part of the
Department?s Notice of Systems of Records.
</p>
<p>(1) HUD/DEPT-24. Investigation Files in the Office of the Inspector General.
</p>
<p>(2) HUD/DEPT-25. Legal Action Files.
</p>
<p>(c) The system of records entitled "HUD/PIH-1. Tenant Eligibility Verification Files"
consists in part of investigatory material
compiled for law enforcement purposes. Relevant records will be used by appropriate Federal, state
or local agencies charged with the
responsibility for investigating or prosecuting violations of law. Therefore, to the extent that
information in the system falls within the
coverage of subsection (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), the system is exempt from the
requirements of the following subsections
of the Privacy Act, for the reasons stated below.
</p>
<p>(1) From subsection (c)(3) because release of an accounting of disclosures to an individual who
may be the subject of an investigation
could reveal the nature and scope of the investigation and could result in the altering or
destruction of evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the investigation.
</p>
<p>(2) From subsection (d)(1) because release of the records to an individual who may become or has
become the subject of an investigation
could interfere with pending or prospective law enforcement proceedings, constitute an unwarranted
invasion of the personal privacy of third
parties, reveal the identity of confidential sources, or reveal sensitive investigative techniques
and procedures.
</p>
<p>(3) From subsection (d)(2) because amendment or correction of the records could interfere with
pending or prospective law enforcement
proceedings, or could impose an impossible administrative and investigative burden by requiring the
office that maintains the records to
continuously retrograde its verifications of tenant eligibility attempting to resolve questions of
accuracy, relevance, timeliness and
completeness.
</p>
<p>(4) From subsection (e)(1) because it is often impossible to determine relevance or necessity of
information in pre-investigative early
stages. 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 unnecessary to an investigation. In addition, the
Assistant Secretary for Public and Indian Housing,
or investigators, may obtain information concerning the violation of laws other than those within
the scope of its jurisdiction. In the
interest of effective law enforcement, the Assistant Secretary for Public and Indian Housing, or
investigators, should retain this information
because it may aid in establishing patterns of unlawful activity and provide leads for other law
enforcement agencies. Further, in obtaining
the evidence, information may be provided which relates to matters incidental to the main purpose of
the inquiry or investigation but which
may be pertinent to the investigative jurisdiction of another agency. Such information cannot
readily be identified.
</p>
<p>(d) The system of records entitled "HUD/PIH-1. Tenant Eligibility Verification Files"
consists in part of material that may be used
for the purpose of determining suitability, eligibility, or qualifications 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 promise that the identity of the
source would be held in confidence. Therefore, to the extent that information in this system falls
within the coverage of subsection (k)(5) of
the Privacy Act, 5 U.S.C. 552a(k)(5), the system is exempt from the requirements of the following
subsection of the Privacy Act, for the
reasons stated below.
</p>
<p>(1) From subsection (d)(1) because release 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.
</p>
<p>[42 FR 49810, Sept. 28, 1977, as amended at 59 FR 9407, Feb. 28, 1994]
</p>

</xhtmlContent>
</regulationsPart>
</regulationsTitle>
</regulations>
<regulations id="reg2" toc="yes">
<regulationsTitle number="24">
<heading>Housing and Urban Development </heading>
<regulationsChapter number="XII">
<heading> Office of Inspector General, Department of Housing and Urban Development </heading>
<regulationsPart number="2003">
<heading> IMPLEMENTATION OF THE PRIVACY ACT OF 1974</heading>
<xhtmlContent>
<p>Sec.
</p>
<p>2003.1 Scope of the part and applicability of other HUD regulations.
</p>
<p>2003.2 Definitions.
</p>
<p>2003.3 Requests for records.
</p>
<p>2003.4 Officials to receive requests and inquiries.
</p>
<p>2003.5 Initial denial of access to records.
</p>
<p>2003.6 Disclosure of a record to a person other than the individual to whom it pertains.
</p>
<p>2003.7 Authority to make law enforcement-related requests for records maintained by other
agencies.
</p>
<p>2003.8 General exemptions.
</p>
<p>2003.9 Specific exemptions.
</p>
<p><b>Authority:</b> 5 U.S.C. 552a; 5 U.S.C. App. 3 (Inspector General Act of 1978); 42 U.S.C.
3535(d).
</p>
<p><b>Source:</b> 57 FR 62142, Dec. 29, 1992, unless otherwise noted.
</p>
<p><b>&#167; 2003.1
 Scope of the part and applicability of other HUD regulations.
</b></p>
<p>(a) <i>General.</i> This part contains the regulations of the Office of Inspector General
("OIG") implementing the Privacy Act of 1974
(5 U.S.C. 552a). The regulations inform the public that the Inspector General has the responsibility
for carrying out the requirements of the
Privacy Act and for issuing internal OIG orders and directives in connection with the Privacy Act.
These regulations apply to all records that
are contained in systems of records maintained by the OIG and that are retrieved by an individual?s
name or personal identifier.
</p>
<p>(b) <i>Applicability of part 16.</i> In addition to these regulations, the provisions of 24 CFR
part 16 apply to the OIG, except that
appendix A to part 16 is not applicable. The provisions of this part shall govern in the event of
any conflict with the provisions of part 16.
</p>
<p><b>&#167; 2003.2
 Definitions.
</b></p>
<p>For purposes of this part:
</p>
<p><i>Department</i> means the OIG, except that in the context of &#167;&#167; 16.1(d);
16.11(b) (1), (3), and (4); and 16.12(e), when
those sections are incorporated by reference, the term means the Department of Housing and Urban
Development.
</p>
<p><i>Privacy Act Officer</i> means an Assistant Inspector General.
</p>
<p><i>Privacy Appeals Officer</i> means the Inspector General.
</p>
<p>[59 FR 14098, Mar. 25, 1994]
</p>
<p><b>&#167; 2003.3
 Requests for records.
</b></p>
<p>(a) A request from an individual for an OIG record about that individual which is not
contained in an OIG system of records will be
considered to be a Freedom of Information Act (FOIA) request and will be processed under 24 CFR part
2002.
</p>
<p>(b) A request from an individual for an OIG record about that individual which is contained in an
OIG system of records will be processed
under both the Privacy Act and the FOIA in order to ensure maximum access under both statutes. This
practice will be undertaken regardless of
how an individual characterizes the request.
</p>
<p>(1) The procedures for inquiries and requirements for access to records under the Privacy Act are
more specifically set forth in 24 CFR
part 16, except that appendix A to part 16 does not apply to the OIG.
</p>
<p>(2) An individual will not be required to state a reason or otherwise justify his or her request
for access to a record.
</p>
<p><b>&#167; 2003.4
 Officials to receive requests and inquiries.
</b></p>
<p>Officials to receive requests and inquiries for access to, or correction of, records in OIG
systems of records are the Privacy Act
Officers described in &#167; 2003.2 of this part. Written requests may be addressed to the
appropriate Privacy Act Officer at: Office of
Inspector General, Department of Housing and Urban Development, Washington, DC 20410.
</p>
<p>[57 FR 62142, Dec. 29, 1992, as amended at 59 FR 14098, Mar. 25, 1994]
</p>
<p><b>&#167; 2003.5
 Initial denial of access to records.
</b></p>
<p>(a) Access by an individual to a record about that individual which is contained in an OIG
system of records will be denied only upon
a determination by the Privacy Act Officer that:
</p>
<p>(1) The record was compiled in reasonable anticipation of a civil action or proceeding; or the
record is subject to a Privacy Act exemption
under &#167; 2003.8 or &#167; 2003.9 of this part; and
</p>
<p>(2) The record is also subject to a FOIA exemption under &#167; 2002.21(b) of this chapter.
</p>
<p>(b) If a request is partially denied, any portions of the responsive record that can be
reasonably segregated will be provided to the
individual after deletion of those portions determined to be exempt.
</p>
<p>(c) The provisions of 24 CFR 16.6(b) and 16.7, concerning notification of an initial denial of
access and administrative review of the
initial denial, apply to the OIG, except that:
</p>
<p>(1) The final determination of the Inspector General, as Privacy Appeals Officer for the OIG,
will be in writing and will constitute final
action of the Department on a request for access to a record in an OIG system of records; and
</p>
<p>(2) If the denial of the request is in whole or in part upheld, the final determination of the
Inspector General will include notice of the
right to judicial review.
</p>
<p><b>&#167; 2003.6
 Disclosure of a record to a person other than the individual to whom it pertains.
</b></p>
<p>(a) The OIG may disclose an individual?s record to a person other than the individual to
whom the record pertains in the following
instances:
</p>
<p>(1) Upon written request by the individual, including authorization under 24 CFR 16.5(e);
</p>
<p>(2) With the prior written consent of the individual;
</p>
<p>(3) To a parent or legal guardian of the individual under 5 U.S.C. 552a(h); or
</p>
<p>(4) When permitted by the provisions of 5 U.S.C. 552a(b) (1) through (12).
</p>
<p>(b) [Reserved]
</p>
<p><b>&#167; 2003.7
 Authority to make law enforcement-related requests for records maintained by other agencies.
</b></p>
<p>(a) The Inspector General is authorized by written delegation from the Secretary of HUD and
under the Inspector General Act to make
written requests under 5 U.S.C. 552a(b)(7) for transfer of records maintained by other agencies
which are necessary to carry out an authorized
law enforcement activity under the Inspector General Act.
</p>
<p>(b) The Inspector General delegates the authority under paragraph (a) of this section to the
following OIG officials:
</p>
<p>(1) Deputy Inspector General;
</p>
<p>(2) Assistant Inspector General for Audit;
</p>
<p>(3) Assistant Inspector General for Investigation; and
</p>
<p>(4) Assistant Inspector General for Management and Policy.
</p>
<p>(c) The officials listed in paragraph (b) of this section may not redelegate the authority
described in paragraph (a) of this section.
</p>
<p><b>&#167; 2003.8
 General exemptions.
</b></p>
<p>(a) The systems of records entitled "Investigative Files of the Office of Inspector
General," "Hotline Complaint Files of the Office
of Inspector General," "Name Indices System of the Office of Inspector General," and
"AutoInvestigation of the Office of Inspector General"
consist, in part, of information compiled by the OIG for the purpose of criminal law enforcement
investigations. Therefore, to the extent that
information in these systems falls within the scope of exemption (j)(2) of the Privacy Act, 5 U.S.C.
552a(j)(2), these systems of records are
exempt from the requirements of the following subsections of the Privacy Act, for the reasons stated
in paragraphs (a)(1) through (6) of this
section.
</p>
<p>(1) From subsection (c)(3), because release of an accounting of disclosures to an individual who
is the subject of an investigation could
reveal the nature and scope of the investigation and could result in the altering or destruction of
evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the investigation.
</p>
<p>(2) From subsection (d)(1), because release of investigative records to an individual who is the
subject of an investigation could
interfere with pending or prospective law enforcement proceedings, constitute an unwarranted
invasion of the personal privacy of third
parties, reveal the identity of confidential sources, or reveal sensitive investigative techniques
and procedures.
</p>
<p>(3) From subsection (d)(2), because amendment or correction of investigative records could
interfere with pending or prospective law
enforcement proceedings, or could impose an impossible administrative and investigative burden by
requiring the OIG to continuously retrograde
its investigations attempting to resolve questions of accuracy, relevance, timeliness and
completeness.
</p>
<p>(4) From subsection (e)(1), because it is often impossible to determine relevance or 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 unnecessary to an investigation. In addition,
the OIG may obtain information concerning
the violation of laws other than those within the scope of its jurisdiction. In the interest of
effective law enforcement, the OIG should
retain this information because it may aid in establishing patterns of unlawful activity and provide
leads for other law enforcement agencies.
Further, in obtaining evidence during an investigation, information may be provided to the OIG which
relates to matters incidental to the main
purpose of the investigation but which may be pertinent to the investigative jurisdiction of another
agency. Such information cannot readily
be identified.
</p>
<p>(5) From subsection (e)(2), because in a law enforcement investigation it is usually
counterproductive to collect information to the
greatest extent practicable directly from the subject thereof. It is not always feasible to rely
upon the subject of an investigation as a
source for information which may implicate him or her in illegal activities. In addition, collecting
information directly from the subject
could seriously compromise an investigation by prematurely revealing its nature and scope, or could
provide the subject with an opportunity to
conceal criminal activities, or intimidate potential sources, in order to avoid apprehension.
</p>
<p>(6) From subsection (e)(3), because providing such notice to the subject of an investigation, or
to other individual sources, could
seriously compromise the investigation by prematurely revealing its nature and scope, or could
inhibit cooperation, permit the subject to
evade apprehension, or cause interference with undercover activities.
</p>
<p>(b) [Reserved]
</p>
<p>[57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000]
</p>
<p><b>&#167; 2003.9
 Specific exemptions.
</b></p>
<p>(a) The systems of records entitled "Investigative Files of the Office of Inspector
General," "Hotline Complaint Files of the Office
of Inspector General," "Name Indices System of the Office of Inspector General," and
"AutoInvestigation of the Office of Inspector General"
consist, in part, of investigatory material compiled by the OIG for law enforcement purposes.
Therefore, to the extent that information in
these systems falls within the coverage of exemption (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2),
these systems of records are exempt from
the requirements of the following subsections of the Privacy Act, for the reasons stated in
paragraphs (a) (1) through (4) of this section.
</p>
<p>(1) From subsection (c)(3), because release of an accounting of disclosures to an individual who
is the subject of an investigation could
reveal the nature and scope of the investigation and could result in the altering or destruction of
evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the investigation.
</p>
<p>(2) From subsection (d)(1), because release of investigative records to an individual who is the
subject of an investigation could
interfere with pending or prospective law enforcement proceedings, constitute an unwarranted
invasion of the personal privacy of third
parties, reveal the identity of confidential sources, or reveal sensitive investigative techniques
and procedures.
</p>
<p>(3) From subsection (d)(2), because amendment or correction of investigative records could
interfere with pending or prospective law
enforcement proceedings, or could impose an impossible administrative and investigative burden by
requiring the OIG to continuously retrograde
its investigations attempting to resolve questions of accuracy, relevance, timeliness and
completeness.
</p>
<p>(4) From subsection (e)(1), because it is often impossible to determine relevance or 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 unnecessary to an investigation. In addition,
the OIG may obtain information concerning
the violation of laws other than those within the scope of its jurisdiction. In the interest of
effective law enforcement, the OIG should
retain this information because it may aid in establishing patterns of unlawful activity and provide
leads for other law enforcement agencies.
Further, in obtaining evidence during an investigation, information may be provided to the OIG which
relates to matters incidental to the main
purpose of the investigation but which may be pertinent to the investigative jurisdiction of another
agency. Such information cannot readily
be identified.
</p>
<p>(b) The systems of records entitled "Investigative Files of the Office of Inspector General,"
"Hotline Complaint Files of the Office of
Inspector General," "Name Indices System of the Office of Inspector General," and "Autoinvestigation
of the Office of Inspector General"
consist in part of investigatory material compiled by the OIG for the purpose of determining
suitability, eligibility, or qualifications 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 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 exemption (k)(5) of the Privacy Act, 5 U.S.C. 552a(k)(5),
these systems of records are exempt from
the requirements of subsection (d)(1), because release 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.
</p>
<p>[57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000]

</p>

</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
<regulations id="reg3" toc="yes">
<regulationsTitle number="48">
<heading> Federal Acquisition Regulations System
</heading>
<regulationsChapter number="24">
<heading> Department of Housing and Urban Development </heading>
<regulationsPart number="2424">
<heading> PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION </heading>
<xhtmlContent>
	<p><b>Subpart 2424.1--Protection of Individual Privacy
</b></p>
<p>Sec.
</p>
<p>2424.103 Procedures.</p>
<p><b>Subpart 2424.2--Freedom of Information Act
</b></p>
<p>2424.203 Policy.
</p>
<p><b>Authority:</b> 5 U.S.C. 552, 552a; 40 U.S.C. 486(c); 42 U.S.C. 3535(d).
</p>
<p><b>Source:</b> 49 FR 7708, Mar. 1, 1984, unless otherwise noted.</p>
<p><b>Subpart 2424.1--Protection of Individual Privacy
</b></p>
<p>2424.103
 Procedures.
</p>
<p>(b)(2) See 24 CFR part 16 for the HUD regulations which implement the Privacy Act.
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>
