Systems of Records Published Between January 2, 2024 and December 31, 2025

HUD/Understanding Rapid Re-housing HUD/Understanding Rapid Re-housing

Unclassified.

Abt Associates, 4550 Montgomery Avenue, Suite 800 North, Bethesda, MD. A list of additional contractor sites where records under this system are maintained is available upon request to the system manager.

Mindy Ault, Social Science Analyst, Program Evaluation Division, U.S. Department of Housing and Urban Development, 451 7th St. SW, Room 8120, Washington, DC 20410.

The authority for the collection of the data and the maintenance of this system can be found at Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub.L. 91-609), 12 U.S.C. 1701z-1, 1701z-2. One part of HUD’s established mission and responsibilities is to monitor family housing conditions and options. To evaluate the effectiveness of the programs that affect the conditions and options, HUD needs to collect participant data over time which includes the necessary contact and tracking information.

This system is meant to provide HUD with a more in-depth understanding of the efficacy of RRH programs nationwide at both the program and participant levels.

Individuals covered by the system are voluntary participants in HUD-funded rapid re-housing programs and Continuums of Care and rapid re-housing program staff.

The specific types of records collected from study participants and maintained will include: names, birth dates, home addresses, telephone numbers, personal e-mail addresses, demographic information, income information, housing history, mental and physical health, and family status information.

This project includes five instruments for data collection: (1) Web Census for CoCs and Rapid Re-Housing Programs, (2) Interview Guide for Rapid Re-Housing Programs, (3) Rapid Re-housing Participant Interview Guide, (4) Rapid Re-housing Participant Follow-up Interview Guide, and (5) Quarterly Household Tracking Guide for Ethnographic Panel. Of these, the first two are program-level data collections and as such will include minimal personally identifiable information (PII), including only the name and contact information for the CoC Collaborative Applicant and RRH program staff person completing the survey. The Rapid Re-Housing Participant Interview Guide, Rapid Re-housing Participant Follow-up Interview Guide, and Quarterly Household Tracking Guide will collect information from participants via interview questions asked in person and recorded for this study. This information will be collected after obtaining written consent regarding participation and will be de-identified in the report. All of the data collection records containing PII will be destroyed at the end of the study period.

In addition to those disclosures generally permitted under 5 U.S.C. Section 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside HUD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

To appropriate agencies, entities, and persons for disclosures compatible with the purpose for which the records in this system were collected, as set forth by Appendix I—HUD’s Routine Use Inventory Notice, 80 Fed. Reg. 81837 (December 31, 2015).

1. To the National Archives and Records Administration or to the General Services Administration for records having enough historical or other value to warrant continued preservation by the United States Government, or for inspection under Title 44 U.S.C. 2904 and 2906.

2. 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.

3. To contractors performing or working under a contract with HUD, when necessary to accomplish an agency function related to this system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

4. 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 relates to DOJ’s representation 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 DOJ is a use of the information 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.

5. 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, or cooperative agreement for statistical analysis to advance the goals of the nation’s federal strategic plan to prevent and end 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 a homeless individual’s efforts.

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.

Abt has implemented full disk encryption (FIPS 140-2 compliant) software in our environment to protect the storage of data, as well as a file transfer application (also FIPS 140-2 compliant), Huddle, for the secure, encrypted transmission of sensitive data such as PII and PHI to and from our clients and subcontractors. Huddle offers secure content collaboration to share data and is FedRAMP certified. Huddle encrypts data in-transit using TLS (128-bit or 256-bit encryption) and at rest with 256-bit AES.

Abt has also implemented anti-malware software in its environment and updates definitions daily on each workstation. For boundary protection, Abt has implemented Cisco ASA Firewalls.

Hard copy notes and other materials that are collected as part of the ethnographic work in Task 8 will be securely stored in locked file cabinets when not in use.

During the course of the study, program-level records may be retrieved by program name or assigned unique identifier; participant-level records may be retrieved by assigned unique identifier.

Abt Associates will retain all data collected over the life of the study and any analysis files generated with those data under conditions specified in the study protocol. At the end of the contract, Abt will destroy all PII per the contract terms. The retention and disposal procedures are in keeping with HUD’s records management policies as described in 44 USC 3101 and 44 USC 3303. Abt Associates will submit all de-identified data to HUD at the end of 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. Study participant PII to be retained for the length of the study (and then destroyed at the end of the contract period, in October 2019) includes the following:

•Name

•Birth date

•Home address

•Telephone number

•Personal e-mail address

The retention and disposal procedures are in keeping with HUD’s records management policies as described in section below:

2225.6 REV-1, Appendix 67, Records Disposition Schedule 67 PD &R, Item No. 5

Disposition:

Project case files reflecting a complete history of each project from initiation through research, development, design, testing, and demonstration will be retired to a Federal Records Center three years after satisfactory close of the project. Files will be destroyed six years after satisfactory close of the project (NARA Job NCl-207-78-6, Item 5). https://portal.hud.gov/hudportal/documents/huddoc?id=22256x67ADMH.pdf

The contractor, Abt Associates, has a dedicated Analytic Computing Environment (ACE3) for storing ONLY sensitive information such as PII and PHI. Only authorized personnel can access this environment through a Virtual Private Network (VPN). Authentication to the system is done via Active Directory and DUO multi-factor authentication. Users connect to the system via remote desktop sessions (RDS). ACE3 is FISMA and FIPS 140-2 compliant.

To ensure data privacy and security, the Abt Confirmit Horizons web survey platform that will be used for the CoC and RRH program web survey allows for tight control over sampling, respondent recruitment, and data acquisition while addressing both data security and confidentiality concerns. Confirmit invests considerable time updating the software to ensure it has the latest technologies to boost security, performance, and reliability. Respondents will access the RRH web survey through Abt’s web site, where they are protected by Abt’s strict data security system. HTTPS is enforced for transmission of all Confirmit Horizons credentials by Abt at the user level. All user accounts are named users linked to individual email addresses except for a translation account with extremely limited rights that is provided by the software vendor. Strong password policies are enforced, including minimum length, mixed case, special characters, and a password expiry after a set number of days. A password history is also kept to prevent passwords from being continuously reused. Accounts are locked by the system after 5 consecutive failed login attempts. Upon entering the 7-digit PIN assigned by the software, the respondent moves to a non-public directory inaccessible through the Internet.

As data are entered, they are stored on a second non-public directory accessible only to the Abt system administrator. Partial responses are saved in this way. Once respondents finish the census and press the "Submit" button on the screen, the ID number used to access the survey becomes invalid and the instrument cannot be accessed again with that number. The SQL server databases that store respondent/response data are behind the firewall and data can only be accessed through the Horizons application by our named users. No application users can access the database directly, the servers are only accessible by our database administrators. Confirmit surveys are stateless and session-less. No user identifiable information is required when transmitting information between page submissions. A combination of hidden form fields and system generated identifiers can identify a respondent and the correct state when moving from page to page. Pages use metadata code to prevent them from being cached, and no information is stored on a respondent’s computer when the browser is closed.

Abt takes every precaution to ensure that data collected on the Internet remain both secure and confidential. All Abt data collection servers are housed in an AT&T Network Operations Center (NOC) with redundant power, expandable bandwidth, and a high level of physical security. All study staff are required to sign a confidentiality pledge stating that no data will be released to unauthorized personnel. In addition, all electronic data for the study are stored on the ACE3 system (described above).

Abt complies with the Privacy Act of 1974, Health Insurance Portability and Accountability Act of 1996 (HIPAA), and the E-Government Act of 2002, including Title III: Federal Information Security Management Act (FISMA), which covers site security, security control documentation, access control, change management, incident response, and risk management. Abt has implemented full disk encryption (FIPS 140-2 compliant) software in its environment to protect the storage of data, as well as a file transfer application (also FIPS 140-2 compliant), Huddle, for the secure, encrypted transmission of sensitive data such as PII and PHI to and from our clients and subcontractors. Huddle offers secure content collaboration to share data and is FedRAMP certified. Huddle encrypts data in-transit using TLS (128-bit or 256-bit encryption) and at rest with 256-bit AES.

Abt has also implemented anti-malware software in its environment and update definitions daily on each workstation. For boundary protection, Abt has implemented Cisco ASA Firewalls.

Hard copy notes and other materials that are collected as part of the ethnographic work in Task 8 will be securely stored in locked file cabinets when not in use.

For information, assistance, or inquiry about records, contact Marcus Smallwood, Acting, Chief Privacy Officer 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number (202) 708-3054. When seeking records about yourself from this system of records or any other Housing and Urban Development (HUD) system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16. You must first verify your identity, meaning that you must provide your full name, address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

a. Explain why you believe HUD would have information on you.

b. Identify which Office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the Freedom of Information Act (FOIA), staff determine which HUD office may have responsive records.

If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA Office may not conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR part 16, Implementation of the Privacy Act of 1974. Additional assistance may be obtained by contacting Helen Goff Foster, Chief Privacy Officer, 451 Seventh Street, SW, Room number 10139, Washington, DC 20410. Individuals desiring to contest records may also refer to the HUD Privacy Act Handbook available on the website:

https://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/hudclips/handbooks/admh/1325.1

Individuals wishing to determine whether this system of records contains information about them may do so by contacting HUD’s Privacy Office or Freedom of Information Act Office at the addresses above.

None.

Not applicable. This is a new SORN.

HOU-31

Home Equity Reverse Mortgage Information Technology (HERMIT), HOU-31.

Unclassified.

The systems are hosted by the business service providers, Reverse Market Insight, Inc. at these primary locations: 2101 Gaithersburg Road, Rockville MD 20850; and 4100 Smith School Road, Austin Texas 78744.

Juanita Johnson, System Manager, Office of Systems and Technology, 451 Seventh Street SW, Room 2242, Washington, DC 20410, telephone number (202) 402-5348.

Section 255 of the National Housing Act of 1934 (12 U.S.C. 1715z-20) covers the Federal Housing Administration (FHA) reverse mortgage program for the elderly, the Home Equity Conversion Mortgage (HECM) program. The Housing and Community Development Act of 1987 (42 U.S.C. 3543(a)) and the Debt Collection Act of 1982, Public Law 97-365.

HERMIT is a conversion mortgage loan servicing technology, operated by Federal Housing Administration (FHA) for Home Equity Conversion Mortgage (HECM) Programs including insurance Endorsed loans and Secretary-held Assigned Notes. HECM Program personnel operate HERMIT to collect, store, present, and deliver core reverse mortgage data, including all borrower and loan characteristics required to manage HECM Program obligations and performance such as loan setup, servicing actions, compliance monitoring, default management, asset sale transfers, claims processing, payment reporting’s, and lender portfolio management. Records collected are utilized to analyze and assess the health of the program, its impact on FHA operations, and program participants compliance with specific Federal requirements.

HECM mortgagors (homeowners) including borrower, co-borrower, and non-borrowing spouse; FHA-approved HECM business partners including mortgagee (lender) originators, servicers, and investors; and HECM personnel for Home Equity Conversion Mortgages insured under HUD's HECM mortgage insurance program.

Categories of records in HERMIT include:

System Users: Full name (first, middle, last), telephone number, email address, user id, user passcode, lender id.

Borrowers (Mortgagors): Full names (first, middle, last), property address, social security numbers (SSNs), driver license, telephone number, email address, marital status, gender, birth, and death dates including death notification details; financial account information including bank accounts and routing numbers, debits and credits to HUD accounts based on transaction events; and details about the mortgage loan, including loan application and appraisal documents.

Non-Borrower Spouses: full name (first, middle, last), SSN, date of birth; and details about the mortgage loan including loan application documentation.

FHA-approved HECM business partners: (mortgagees/investors): Full name (first, middle, last), SSN, tax identification number (TIN), lender id; organization name; and banking information (institutional information, routings account numbers, and account types); telephone number, fax number, email address, and FHA Case Number (For HECM loans reported to HUD, the FHA case number represents the lender requested case number).

Borrowers’ property inspections: Full name (first, middle, last), SSN; property inspections; property address, annual occupancy certification and recording of assigned notes.

Borrowers’ claims information: Full name (first, middle, last), property address, SSN, driver license, email address, date and death dates, gender, marital status; assisted living and healthcare details; disposition information including deed-in-lieu, short sale, foreclosure, and appraisal claim; property protection and preservation details; loan application and payment details; financial account information including bank accounts and routing numbers, debits and credits to HUD accounts based on transaction events.

Borrowers of Investors (Purchasers) asset sales information: Full name (first, middle, last), property address, SSN, birth, and death dates) and loan balance details

Borrowers’ death indications: Full name (first, middle, last), social security number, date of birth, and date of death.

Records in this system are provided on behalf of the borrowers (mortgagors) from individuals (FHA HECM approved mortgagee and Business Service Provider) and HUD personnel.

Existing HUD information systems: F17/Computerized Homes Underwriting Management System (CHUMS), A80S/Single Family Acquired Asset Management; Single Family Asset Sales by Secure File Transfer Protocol, P269/Reporting and Feedback System. Information is also shared with Federal information systems Social Security Administration Death Master File (DMF), and U.S. Department of Treasury's Pay.gov and Secure Payment System.

Besides those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information in this system may be disclosed outside of HUD as a routine use under 5 U.S.C. 552a(b)(3):

General Service Administration Information Disclosure Routine Use:

(a) 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 Code.

(a)

To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’s offering of mediation service to resolve disputes between persons making FOIA requests and administrative agencies.

(2) Congressional Inquiries Disclosure Routine Use:

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.

(3) Health and Safety Prevention Disclosure Routine Use:

To appropriate Federal, State, and local governments, or persons, under showing compelling circumstances affecting the health or safety or vital interest of an individual or data subject, including assisting such agencies 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 was transmitted to the last known address of such individual to identify the health threat or risk.

(4) Prevention of Fraud, Waste, and Abuse Disclosure Routine Use:

To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for: (1) Detection, prevention, and recovery of improper payments; (2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (3) detection of fraud, waste, and abuse by individuals in their operations and programs, but only if the information shared is necessary and relevant to verify pre-award and prepayment requirements before the release of Federal funds, prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(5) Research and Statistical Analysis Disclosure Routine Uses:

(a) 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, and 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 statistical analysis and research supporting 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.

(b) To a recipient who has provided the agency with advance, adequate written assurance that the record provided from the system of records will be used solely for statistical research or reporting purposes. Records under this condition will be disclosed or transferred in a form that does not identify an individual.

(6) Information Sharing Environment Disclosure Routine Uses:

(a)

To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

(b)

To FHA-approved HECM servicing mortgagees to give notice of miscalculations or other errors in subsidy computation, to pay claims, or for compliance or other servicing-related functions.

(c)

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, insurance payments, and/or homeowners/condominium association fees are current.

(d)

To the U.S. Department of the Treasury for collection and disbursement transactions (Pay.gov, Automated Clearing House (ACH), Secure Payment System (SPS)).

(e)

To title insurance companies or financial institutions to allow HUD to respond to inquiries for payoff figures on HECM assigned loans.

(f)

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.

(g)

To the Federal Bureau of Investigation to investigate possible fraud revealed while servicing efforts to allow HUD to protect the interests of the Secretary of HUD.

(h)

To an Administrative Law Judge and to the interested parties to the extent necessary for conducting administrative proceedings where HUD is a party.

(i)

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.

(j)

To requestors, as required by the FOIA, records that have been frequently requested" and disclosed under the FOIA within the meaning of that Act, as determined by the HUD, are provided to the public for routine inspection and copying.

(7) Data Testing for Technology Implementation Disclosure Routine Use:

To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize data to test new technology and systems designed to enhance program operations and performance.

(8) Data Breach Remediation Purposes Routine Use:

To appropriate agencies, entities, and persons when:

To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed there has breached the system of records, (2) the HUD has determined that because of the suspected or confirmed breach there is a risk of harm to individuals, the HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist with the HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(9) Disclosures for Law Enforcement Investigations Routine Uses:

(a) 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 help to enforce civil or criminal laws.

(b) To third parties during a law enforcement investigation, to the extent to obtain information pertinent to the investigation, disclosed such information is appropriate to the proper performance of the official duties of the officer making the disclosure.

(10) Court or Law Enforcement Proceedings Disclosure Routine Uses:

(a) To a court, magistrate, administrative tribunal, or arbitrator while presenting evidence, including disclosures to opposing counsel or witnesses in civil discovery, litigation, mediation, 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.

(b) 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 help to enforce civil or criminal laws.

(c) To third parties during a law enforcement investigation to the extent 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.

(d) 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 that maintains the record, specifying the portion desired and the law enforcement activity for which the record is sought.

(11) Department of Justice for Litigation Disclosure Routine Use:

To the Department of Justice (DOJ) when seeking legal advice for a HUD initiative or in response to DOJ's request for the Start Printed Page 81840information, after either HUD or DOJ determine that such information relates 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 before disclosure that disclosure of the records to DOJ is a use of the information in the records 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 disclosing the records to the court or administrative body is a use of the information in the records compatible with the purpose for which HUD collected the records.

Paper and Electronic.

Records are retrieved by name, Social Security Number, Tax Identification Number, FHA case number, location and contact information (home address, telephone number, personal e-mail address).

The policies and practices for retention and disposal of records includes:

GRS 5.2, item 20, Collections, Disbursements, Servicing, and Asset management records. This schedule covers records created by FHA and its approved business partners to administer HECM Program loans granted, serviced, assigned, or claims related submission. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

GRS 1.1, item 010, HECM Premiums, Notes, and Claims Records. This schedule covers records created by FHA and its approved business partners to perform financial management responsibilities. Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

GRS 3.2, item 031, Correspondence, Emails, Non-financial Transactions, and Reports. This schedule supports user account management and administration. Destroy 6 years after password is altered or user account is terminated, but longer retention is authorized if required for business use.

FHA ensures the protection of program participants’ PII and mortgagee business sensitive information by ensuring HERMIT’s compliance with Federal requirements and HUD’s security and privacy standards.

Administrative Controls: Data backups secured off-site; access granted only to authorized personnel; periodic security audits; regular monitoring of users’ security practices. HUD access is safeguarded according to rules and policies, including all applicable automated processes according to security and privacy safeguard policies.

Physical Controls: Key card, controlled access, security guards, and identification badges and secure data physical methods are used to ensure only authorized users have access to PII; Periodic security audits, regular monitoring of system users’ behavior are conducted; Primary and recovery facilities control physical access to information system output devices to prevent unauthorized individuals from obtaining the output.

Technical Controls: Biometrics, firewalls, role-based access controls, virtual private network, use of privileged (Elevated Roles), external certificate authority certificates, PIV cards and intrusion detection system. The system sends and receives data through HUD Security File Transfer Protocol (SFTP), which encrypts the data. SSNs are encrypted during transmission to protect session information and at rest. System incorporates least privilege access, user identification and passwords.

Individuals seeking to determine whether this System of Records contains information on themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW Washington, DC, 20410-0001. For verification, individuals should provide full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 28 U.S.C. 1746, in the following format:

If executed within the United States, its territories, possessions, or commonwealths: "I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (Date). (Signature)."

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16 or may be obtained from the system manager.

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Department of Housing Urban Development Office of Systems and Technology, 451 7th street SW, Washington, DC 20410-0001. For verification, individuals should provide full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 28 U.S.C. 1746, in the following format:

If eLadoxecuted outside the United States: "I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. executed on (Date). (Signature)."

None

The SORN History includes HSNG/HWAT.01:

81 FR-33690 (May 27, 2016)

77 FR-61620 (October 10, 2012)

HOU-58

Single-Family Mortgage Asset Recovery Technology (SMART), HUD/HOU-58.

Unclassified

Digital records are maintained at the Amazon Web Services (AWS) Simple Technology Solutions Inc, 1775 I Street NW, Suite 1150, Washington, DC 2006-2402. Active paper records are kept at ISN Corporation, 2000 N Classen Blvd, Suite 3200, Oklahoma City, OK 73106.

Office of Single-Family Housing, Julia Rogers, Director, National Servicing Center, 301 NW 6th Street, Suite 200, Oklahoma City, OK 73102, Telephone Number (405) 609-8414.

The Housing and Community Development Act of 1987, 42 U.S.C. 3543(a); Sec. 204, National Housing Act, 12 U.S.C. 1710(a). 42 U.S. Code 3543

The Single Family Mortgage Asset Recovery Technology (SMART) System is a specialized servicing web-application that is used to service and track servicing activities for the Secretary Held portfolio including 235 insured, Asset Control Area Program (ACA), Emergency Home Loan Program (EHLP), Good Neighbor Next Door Program (GNND), Hope for Homeowners (H4H), Nehemiah Program, Partial Claim (PC), Purchase Money Mortgage (PMM). SMART provides automated business processes to perform comprehensive loan servicing for loan programs that are under the jurisdiction of the National Servicing Center.

Mortgagors.

Full Name, Social Security Number, Date of Birth, Email work Address, Financial Information, Home Address, Phone Number, Spouse Name, Lender Loan Number, FHA Case Number.

Records are initiated from HUD employees and their contractors. Information is also received from Single Family Insurance System (CLAIMS Subsystem), Asset Disposition and Management System, HUD FHA Resource Center Customer Relationship Management System (CRM).

(1) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

(2) 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.

(3) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(4) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: 1) detection, prevention, and recovery of improper payments; 2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; 3) detection of fraud, waste, and abuse by individuals in their operations and programs; or 4) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs. Records under this routine use may be disclosed only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds, prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(5) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement for the purposes of statistical analysis and research in support of program operations, management, performance monitoring, evaluation, risk management, and policy development, to otherwise support the Department’s mission, or for other research and statistical purposes not otherwise prohibited by law or regulation.. 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.

(6) To contractors, experts, and consultants with whom HUD has a contract, service agreement, assignment, or other agreement, when necessary, to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(7) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD, the Federal Government, or national security; and (3) 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 breach to prevent, minimize, or remedy such harm.

(8) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(9) To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(10) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(11) To the U.S. Treasury for disbursements and adjustments.

(12) To the IRS for reporting of discharge indebtedness.

Electronic and paper records.

Records are retrieved by mortgagor name, FHA Case Number, or property address.

In accordance with HUD records disposition schedule 2225.6, Appendix 20. records are

destroyed upon successful creation of the final document or file, or when no longer needed for business use, whichever is later. Backup and recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88 "Guidelines for Media Sanitization." GRS 5.2, Item 20, DAA-GRS2017-0003-0002. Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

Administrative Safeguards: When first gaining access to SMART and annually, all users must agree to the systems "Rules of Behavior" which specify handling of personal information and any physical records.

Technical Safeguards: Controls for the system include, but are not limited to, username identification, password protection, multi-factor authentication, firewalls, virtual private network, encryption, and is limited to authorized users.

Physical Safeguards: Controls to secure the data and protect paper records are maintained and locked in file cabinets. The original collateral documents (hard copy) are stored at the contractor’s 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 regarding accessing the records, access to automated systems by authorized users by username and passwords.

Individuals requesting records of themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW Washington, DC 20410-0001. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing Urban Development, 451 7th street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

None.

Docket No. FR-5386-N-05, 75 FR 34755, June 18, 2010.

HUDIPHL Supportive Services Demonstration Data Collection Platform.

No information in the system is classified.

Records are stored on Microsoft Azure secure cloud servers administered by Preferred Population Health Management, LLC (PPHM). All data is stored in the Microsoft Azure platform. The primary datacenter is located in Chicago, while the geo-redundant datacenter is in California.

Carol S. Star, Program Evaluation Division, Office of Policy Development and Research, U.S. Department of Housing and Urban Development, 451 7th Street, SW; Washington, DC 20410; telephone number 202-402-6139 (this is not a toll-free number).

Sec. 501 and 502 of the Housing and Urban Development Act of 1970 (Public Law 91-609), 12 U.S.C. 1701z-1, 1701z-2.

As an essential part of the Supportive Services Demonstration, Resident Wellness Director and Wellness Nurse teams will conduct a Resident Assessment and use a standardized, third-party web-based platform to capture and store self-reported demographic and health and social status information from demonstration participants, including personally identifying information (PII) and protected health information (PHI).

Use of this platform is essential to the successful implementation of the demonstration because Resident Wellness Directors and Wellness Nurses must be able to adequately assess and track residents' needs, monitor referrals, and ensure access to providers.

The demonstration also requires a web-based platform to support program development and performance monitoring, as well as evaluation efforts. This requires standardized, adaptable, accessible and easy to use web-based platform to administer assessments, securely house and track data, quality assurance measures and outcomes, and produce reports throughout the three-year demonstration period.

Data will be collected from residents who live in 40 HUD-assisted Multifamily housing properties in California, Illinois, Maryland, Massachusetts, Michigan, New Jersey and South Carolina. The vast majority of individuals will be HUD-assisted seniors aged 62 or older.

 Participant Details: Full Name, Address, Phone, Email, Date of Birth, Social Security Number, Ethnicity, Race, Gender, Marital Status, Spoken Language, Veteran Status, Consent Form Status

 Household Members

 Emergency Contacts

 Advanced Directives and Powers of Attorney

 Insurance Information

 Clinician Information

 Specialist Information

 Hospital Information

 Service Needs

 Case Manager Information

 Caregiver Information

 Pre-Screens

 Medications

 Health Conditions

 Surgical History Conditions

 Allergies

 Immunizations

 Vitals

 Pain Scale

 Vision/Dental Health/Foot Practice Assessment

 Functional Assessment

 Smoking Assessment

 Nutrition Assessment

 Falls Risk Assessment

 Additional Depression Screening Using the PHQ-9 or the GDS-S

 Generalized Anxiety Disorder Scale (GAD-7)

 Drug and Alcohol Screening Tool (DAST-10)

 Short Michigan Alcoholism Screening Test — Geriatric Version (SMAST-G)

 Mini-Cog

Residents in HUD-assisted Multifamily 40 housing properties in California, Illinois, Maryland, Massachusetts, Michigan, New Jersey and South Carolina who have agreed to participate in the Demonstration.

To appropriate agencies, entities, and persons for disclosures compatible with the purpose for which the records in this system were collected, as set forth by Appendix I—HUD's Routine Use Inventory Notice, 80 Fed. Reg. 81837 (December 31, 2015).

2. 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.

4. To the Department of Justice (DOJ) when seeking legal advice for a HUD initiative or in response to DOD's request for the information, after either HUD or DOJ determine that such information relates to DOJ' s representation 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 DOJ is a .use of the information 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.

5. To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities including but not limited to state and local governments, with whom I-IUD has a contract, service agreement, grant, or cooperative agreement. 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 a homeless individual's efforts.

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.

Records are stored on Microsoft Azure secure cloud servers administered by Preferred Population Health Management, LLC (PPHM). All data is stored in a secure datacenter. The primary datacenter is located in Chicago, while the geo-redundant datacenter is in California. The data management at the facility is built with multiple layers of security and follows best practices for securing sensitive data. Any paper-based records (e.g. printed Resident Assessment forms) will be stored in a locked file cabinet, in private offices, at the housing property. Staff will be trained on proper confidentiality and privacy acts prior to enrolling participants.

Records in PHL will be retained throughout the 3-year demonstration period and destroyed at the end of the implementation contract. Prior to destruction of the data, housing property sites will be given an opportunity to continue using PHL outside of the demonstration, with no further involvement from HUD. Many housing providers use similar data platforms to collect resident PII. If housing sites elect to use PHL after the demonstration period, they may do so, but will have to enter in to their own licensing agreements with PHL. Resident Wellness Directors may retain their own records in accordance with Chapter 8 of the Office of Multifamily Housing Management Agent Handbook, which covers the roles and responsibilities of the traditional Service Coordinator Program.

As part of the contract supporting the implementation of the SSD, the implementation contractor is expected to fully cooperate with the evaluation team and share data as necessary. Privacy and security measures governing any data that is transferred to the evaluation contractor will be covered in the evaluation contract and associated SORN.

Records will be retrieved by SSD staff (Resident Wellness Directors and Wellness Nurses) to maintain accuracy of data and to verify various program components. Staff will have unique identifiers which will provide them access to only the participants within their property. PHL user logins are tracked and each login is given a unique session ID. Sessions are marked inactive when users log out of the system.

Records will also be retrieved by HUD funded contractors to monitor program performance and model fidelity for the duration of the demonstration. HUD contractors will have unique identifiers which will provide them access to both property and participant-level records.

Records in PIE, will be retained throughout the three-year demonstration period and destroyed at the end of the implementation contract. Prior to destruction of the data, housing property sites will be given an opportunity to continue using PHL outside of the demonstration, with no further involvement from HUD. If housing sites elect to use PHL after the demonstration period, they may do so, but will have to enter in to their own licensing agreements with PHL. Resident Wellness Directors may retain their own records in accordance with Chapter 8 of the Office of Multifamily Housing Management Agent Handbook, which covers the roles and responsibilities of the traditional Service Coordinator Program.

As part of the contract supporting the implementation of SSD, the implementation contract is expected to fully cooperate with the evaluation team and share data as necessary. Privacy and security measures governing any data that are transferred to the evaluation contractor are covered by the evaluation contract.

The data management at the facility is built with multiple layers of security and follows best practices for securing sensitive data. The main levels of security include: media and server physical security in the data center, data user access controls, and virtual server security. The data center is physically located within a building having limited, electronic passkey access in addition to physical sign in and identification with security staff. Physical access to the data center is limited to data center staff and few key personnel. Physical access requires photo identification, access cards and passwords along with manual sign in and sign out procedures. The data center is monitored on a 24x7 basis. Desktop computers and laptops in offices outside the data center do not store any data. These user end-points are encrypted, password protected, protected by hardware firewalls and antivirus software. Periodic security audits of all computers are performed along with vulnerability audits. Access to the data on the servers that reside inside the datacenter is limited to access through secure Virtual Private Networks (VPNs).

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. Data access is limited to data analysts and key members of the IT staff. Prior to receiving PHI access, all staff members will receive HIPAA training and abide by security procedures developed by the management. Each user (e.g., Resident Wellness Directors and Wellness Nurses) are assigned as user type that administrators are able to assign to individual users; users will only have access to the data of the residents they are working with, and no access to data from other sites. PHL also records the user, time, and items clicked on or visited throughout PHL. All staff members are required to sign and abide by data security and privacy agreements required by PHL, as well as HUD policies.

For information, assistance, or inquiry about records, contact John Bravacos, Senior Agency Official for Privacy, at 451 7th Street, SW, Room 10139; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, telephone number 202-708-3054 (this is not a toll-free number). When seeking records about yourself from this system of records or any other Housing and Urban Development (HUD) system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16. You must first verify your identity, meaning that you must provide your full name, address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made, under penalty of perjury, as a substitute for notarization. In addition, your request should: Explain why you believe HUD would have information on you.

a. Identify which Office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying their agreement for you to access their records.

Without the above information, the HUD FOIA Office may not conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with regulations.

The Department's rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting John Bravacos, Senior Agency Official for Privacy, at 451 7th Street, SW, Room 10139; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, or the HUD Departmental Privacy Appeals Officers; Office of General Counsel; U.S. Department of Housing and Urban Development; 451 7th Street, SW; Washington DC 20410-0001.

Individual wishing to determine to whether this system of records contains information about them may do so by contacting their lending institutions or contacting HUD's Privacy Officer or Freedom of Information Act Office at the addresses above.

None.

HUD/ Payroll Data Analytics Project

Payroll Data Analytics Project.

Unclassified.

Records collected by HUD OCFO are maintained at the Department of Housing and Urban Development Local Area Network (LAN), which resides at the National Center for Critical Information Processing and Storage (NCCIPS), Stennis Space Center, MS and at the Mid-Atlantic Data Center, Clarksville, VA.

Director, OCFO Financial Policy and Procedures Division, 451 7th St. SW Washington, DC 20410-0001

5 U.S.C. §§ 6101-6133; 5 U.S.C. §§ 6301-6387; 44 U.S.C. § 3101; 5 U.S.C. §§ 5501-5597; 5 C.F.R. Part 630; 31 USC 3512(b); 31 U.S.C. 3351 et seq - Payment Integrity Information Act (PIIA) of 2019; Executive Order 13478; OMB Circular No. A 123, Appendix A, Management of Reporting and Data Integrity Risk.

Identification and Validation - Payroll data is collected for reviewing and identifying questionable payroll transactions and/or outliers (e.g. mismatch of Employee Name and SSN) that may require further review by HUD Management to comply with OMB Circular No. A 123, Appendix A, "Management of Reporting and Data Integrity Risk."

All HUD employees from the previous fiscal year.

The following data is collected from Treasury ARC: first five characters of HUD employee’s first name; last four digits of HUD employee’s SSN. If further review needs to be done on an individual’s payroll accounting, the SF-50 is collected from HUD OCHCO, which includes: Full name, date of birth, SSN, pay grade, salary, veterans preference, and all other data included in the SF-50 template.

These records contain information obtained from the Department of Treasury, Administrative Resource Center (ARC), which serves as the HR shared service provider for HUD. Note: HUD OCFO is not the initial collector of the information from individuals.

Categories of users and purposes of such uses: In addition, the Privacy Act allows HUD to disclose records from its systems of records, from the following headings (1)−(14), to appropriate agencies, entities, and persons, when the records being disclosed are compatible with the purpose for which the system was developed. The routine use statements specified in this notice shall not be used to construe, limit, or waive any other routine use condition or exemption specified in the text of an individual system of records, and may overlap in some cases. The routine use statements and their conditions for disclosure are categorized below.

(1) Department of Treasury for Payroll Adjustments/Corrections Disclosure Routine Use:

To the Department of Treasury’s Administrative Resource Center (ARC), for the purpose of adjusting any payroll transactional error findings.

(2) General Service Administration Information Disclosure Routine Use:

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 Code.

(3) Congressional Inquiries Disclosure Routine Use:

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.

(4) Health and Safety Prevention Disclosure Routine Use:

To appropriate Federal, State, and local governments, or persons, pursuant to a showing of compelling circumstances affecting the health or safety or vital interest of an individual or data subject, including assisting such agencies 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 was transmitted to the last known address of such individual to identify the health threat or risk.

(5) Consumer Reporting Agency Disclosure Routine Use:

To a consumer reporting agency, when trying to collect a claim owed on behalf of the Government, in accordance with 31 U.S.C. 3711(e).

(6) Computer Matching Program Disclosure Routine Use:

To Federal, State, and local agencies, their employees, and agents for the purpose of conducting computer matching programs as regulated by the Privacy Act of 1974, as amended (5 U.S.C. 552a).

(7) Prevention of Fraud, Waste, and Abuse Disclosure Routine Use:

To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: 1) detection, prevention, and recovery of improper payments; 2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; 3) detection of fraud, waste, and abuse by individuals in their operations and programs, but only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds, prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(8) Research and Statistical Analysis Disclosure Routine Uses:

a) 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, and 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 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.

b) To a recipient who has provided the agency with advance, adequate written assurance that the record provided from the system of records will be used solely for statistical research or reporting purposes. Records under this condition will be disclosed or transferred in a form that does not identify an individual.

(9) Information Sharing Environment Disclosure Routine Uses:

(10) Data Testing for Technology Implementation Disclosure Routine Use:

To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(11) Data Breach Remediation Purposes Routine Use:

a) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with [the agency’s] efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

b) To another Federal agency or Federal entity, when HUD determines that information from this systems of record is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal government, or national security resulting from a suspected or confirmed breach.

(12) Disclosures for Law Enforcement Investigations Routine Uses:

a) 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.

b) To third parties during the course of a law enforcement investigation, to the extent necessary to obtain information pertinent to the investigation, provided the disclosure of such information is appropriate to the proper performance of the official duties of the officer making the disclosure.

(13) Court or Law Enforcement Proceedings Disclosure Routine Uses:

a) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, 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.

b) 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.

c) To third parties while 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.

d) 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 that maintains the record, specifying the particular portion desired and the law enforcement activity for which the record is sought.

(14) Department of Justice for Litigation Disclosure Routine Use:

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 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.

General Records Records will be stored on a shared drive (J:/ Drive) in a restricted folder with restricted access to specific staff. The shared drive is a part of the HUD Local Area Network (LAN).

Designated OCFO Financial Management staff members will pull records from the restricted shared drive folder (J:/ Drive).

Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

Users must log into their workstation with their PIV (ID) badge and a PIN number to log into the computer and access the HUD network. The data is stored on the HUD LAN resides at the Stennis and Clarksville Data Centers. Both data centers are managed by the OCIO Infrastructure and Operations Office (IOO) and are secured by security guards with ID badges and cameras. Files are stored on a shared drive folder J:/ drive in a restricted folder with restricted access to specific staff and the files are encrypted at rest. All OCFO staff must complete annual IT Security Awareness/Privacy Awareness Training, and electronically sign the Enterprise Rules of Behavior.

Individuals seeking to determine whether this System of Records contains information on themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW Washington, DC. For verification purposes, individuals should provide full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16 or may be obtained from the system manager.

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Department of Housing Urban Development Chief Financial Officer, 451 7th Street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide full name, office or organization where currently assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:

N/A.

/HSNG03

Single Family Mortgage Insurance Origination System (SFMIOS), HUD/HSNG-03.

Unclassified.

The core CHUMS system is in HUD Headquarters, 451 7th Street SW, Washington, DC 20410-1000, and Microsoft Azure Federal Cloud US East Data Center in One Microsoft Way, Redmond, Washington, 98052–6399. The Technology Open to Approved Lenders (TOTAL) Scorecard and CHUMS, FHAC and LAMS remain at the National Center for Critical Information Processing and Storage located at NASA’s Shared Services Center, Building 1111, Stennis Space Center, MS 39529-6000.

Brian Faux, Director, Office of Single-Family Program Development, HUD Headquarters, 451 7th Street, SW, Washington, DC 20410; telephone (800) 225-5342.

The National Housing Act, Title I, Section 2 (12 U.S.C. 1703), Section 202 (12 U.S.C. 1708), Section 203 (12 U.S.C. 1709), and Section 255 (12 U.S.C. 1715z-20); 31 U.S.C. 7701; 42 U.S.C. 3543; 24 CFR Part 200, Subpart U; 24 CFR 203.35; and 31 U.S.C. 3351-3358.

Federal Housing Administration (FHA) Connection (FHAC) is integrated with HUD’s security infrastructure to assign user roles and permissions based on business needs. FHAC’s function as a security and access management portal includes web pages to collect legal first and last names, Social Security Numbers (SSNs), dates of birth (DOB), mother’s maiden name, work telephone number and email address. All data collected by FHAC for security and access management is stored in Computerized Homes Underwriting Management System (CHUMS).

CHUMS supports HUD and its approved business partners with processing and underwriting applications for single-family mortgages insurance under the National Housing Act. CHUMS provides functionality for tracking and processing cases and managing workloads by HUD field office management. CHUMS also provides functionality to assist lenders and HUD in determining eligibility for participation in HUD’s Single Family mortgage insurance program. CHUMS enables lenders to use automated underwriting systems (AUS) provided by mortgage financial institutions by granting authorized AUS providers access to FHA’s Technology Open to Approved Lenders (TOTAL) Scorecard. TOTAL Scorecard is an automated scorecard tool in CHUMS that is owned and maintained by HUD that must be used in combination with an authorized AUS to evaluate the overall creditworthiness of mortgage loan applications based on a number of credit variables and determines the associated level of risk for all loans submitted for FHA mortgage insurance with the exception of Streamline Refinances and Home Equity Conversion Mortgage (commonly referred to as reverse mortgage) loans.

Loan Application Management System (LAMS) supports the Federal Housing Administration (FHA) mortgage insurance program by providing automated processing, analysis, and screening of appraisal documentation. LAMS receives and stores appraisal data from the Electronic Appraisal Delivery (EAD) portal in a Mortgage Industry Standards Maintenance Organization (MISMO) Extensible Markup Language (XML) format tailored to HUD specifications. LAMS passes certain data elements onto FHAC and CHUMS to ensure data integrity and provide valuable time savings to lenders by reducing the burden of paper-based delivery and manual data entry processes. LAMS provides a limited user interface consisting pre-formatted (canned) reports used by HUD to monitor system activity and to monitor appraiser compliance to HUD requirements.

System Users, HUD business partners (appraisers, inspectors, mortgagee staff underwriters), HUD employees and contractors, Mortgagors (Borrowers), Individuals who applied for a mortgage insured under HUD/FHA's single family mortgage insurance programs, including Home Equity Conversion Mortgages (HECM) Non-Borrowing Spouses, Appraisers (both applicants and Appraisers listed on the HUD Appraiser Roster), 203k Consultants (both applicants and 203k Consultants listed on the HUD 203k Consultant Roster), Mortgagee (Lender) Staff including, but not limited to, loan originators, appraisers, underwriters, processors and file clerks, Individuals registering for access to the HUD Housing Counselor Certification Examination, whether or not they become certified, Individuals registering for HUD Certified Housing Counselor certification or housing counseling clients receiving housing counseling from an agency participating in HUD's Housing Counseling Clients.

Full name, Social Security Number (SSN), User ID, Employment information (status, history), Marital Status, Certificates (birth, death, marriage, housing counseling, mortgage insurance), IRS Employer Identification Number (EIN), Taxpayer ID, Appraiser Roster ID number, 203k Consultant ID number, License Number, Date of Birth (DOB), Mother’s maiden name, Home and/or work telephone number, Email address, Mailing address (home and/or work) and Agency or organization affiliation, Lender ID, racial/ethnic background (if disclosed), Sex (if disclosed), Credit report and scores (FICO® scores), Non-borrowing Spouse status (HECM loans only), Mortgage loan terms, including documents used by the lender when underwriting the loan (including, but not limited to paystubs, bank statements, tax returns, legal documents, including deeds of trust, title records, and lender’s loan account number), Appraiser’s license/expiration date, mailing address, email address, demographic data, Minority Business Enterprise (MBE) Code, 203K Consultant ID number, 203K License ID number (if applicable), Roster termination date for Appraisers, 203k Consultants, Housing Counselors, Business territory/participation state, Nationwide Mortgage Licensing System (NMLS) number, Transaction history and/or workload of the individuals using the system, Housing Counseling System (HCS) number, Preferred language, and Subject property addresses.

Mortgagors, Appraisers, 203k Consultants, Mortgagees and their employees and service providers (loan originators, processors, underwriters), Housing Counselors, Individuals that pass the HUD Certified Housing Counselor examination, HUD Housing Counseling Program clients that receive education and counseling from a HUD participating housing counseling agency, and HUD employees and contractors.

A. To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that there has been a breach of the system of records; (b) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; 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 breach or to prevent, minimize, or remedy such harm.

B. To another Federal agency or Federal entity, when HUD determines that information from this system of record is reasonably necessary to assist the recipient agency or entity in (a) responding to a suspected or confirmed breach or (b) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal government, or national security resulting from a suspected or confirmed breach.

C. 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 record pertains.

D. To the General Accounting Office (GAO) for audit purposes.

E. To contractors, grantees, experts, consultants, and the agents thereof, and others performing or working on a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to these systems of records, limited to only those data elements considered relevant to accomplishing an agency function.

F. To the general public through rosters maintained and published by HUD to look up Appraisers, 203k Consultants, Housing Counselors, and HECM Counselors. The information will be released to any interested person only through a specific Web page on either www.hud.gov or the HUD Exchange designated by HUD. Such disclosures are limited to name, contact information, licensing, and certification status.

G. To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for: a) detection, prevention, and recovery of improper payments; b) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; c) detection of fraud, waste, and abuse by individuals in their operations and programs; or d) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs. Records under this routine use may be disclosed only to the extent that the information shared is necessary and relevant to verify pre-award and pre-payment requirements prior to the release of Federal funds, or to prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

H. To Federal agencies, and non-Federal entities, including, but not limited to contractors, grantees, experts, consultants, State and local governments and other research institutions or their parties, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement, for the purposes of analysis and research to support 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.

I. To appropriate Federal, State, local, tribal, or other 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 help in the enforcement of civil or criminal laws and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

J. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (a) HUD, or any component thereof; or b) any HUD employee in his or her official capacity; or (c) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (d) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

K. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (a) HUD, or any component thereof; or (b) any HUD employee in his or her official capacity; or (c) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (d) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

L. To the Social Security Administration (SSA) through a computer matching program to verify the eligibility of program participants and applicants in FHA’s housing finance programs. (This computer matching program is conducted by an interface between CHUMS and the SSA Enumeration Verification System (EVS).)

M. To HUD authorized AUS providers and software companies involved in providing access to TOTAL Scorecard including but not limited to Government Sponsored Enterprises (GSEs) Fannie Mae and Freddie Mac, financial institutions, and software companies to respond to requests for assistance with individual cases submitted to TOTAL Scorecard and for the purposes of research and analysis to enhance program operations and performance through automated underwriting, credit scoring and risk management. PII data used for research and analysis including the results of the research and analysis must be de-identified and aggregated and may not be disclosed or published. (This use is specific to CHUMS data.)

N. To other Federal agencies, (including but not limited to the Federal Housing Finance Agency (FHFA) and the Consumer Financial Protection Bureau), and their contractor/s through data sharing and other agreements for the purposes of research and analysis of automated underwriting, credit enhance oversight of the mortgage market, inform rulemaking, assess program effectiveness and to publish de-identified aggregate data and results of research and analysis. (This use is specific to CHUMS data.)

O. To Federal financial regulators, Fair Lending enforcement agencies, and financial institutions (including, but not limited to the Federal Housing Finance Agency (FHFA), Government Sponsored Enterprises (GSEs) Fannie Mae and Freddie Mac, Veterans Administration, US Department of Agriculture Rural Development Agency, Consumer Financial Protection Bureau, the Federal Reserve, and the Appraisal Subcommittee) through data sharing agreements and other agreements for the purposes of analysis and research to assess program compliance and risks associated with real estate appraisal and other property valuation methods used in Federal housing finance transactions. Recipients may use the data, including analysis and research, in conducting investigations and taking enforcement action (including cases and administrative proceedings) for violations of laws, rules, or regulations, and for coordinated policy development and implementation. (This routine use is specific to LAMS data.)

P. To the US Department of Treasury through a computer matching program interface between CHUMS and Treasury’s Do Not Pays (DNP) system for the purposes of preventing and recovering improper payments and to verify borrower eligibility to participate in FHA’s mortgage insurance programs per the Payments Integrity Information Act of 2019.

Electronic only.

Records are retrieved by Name, Social Security Number, and Taxpayer ID.

Per HUD Schedule Appendix 20 Single Family Home Mortgage Insurance Program Records, item 13B6, and HUD Schedule Appendix 5, Technical Support Records, all records in FHAC, CHUMS and LAMS will be destroyed when superseded or obsolete. Per General Record Schedule 5.2, Item 20, all FHAC, CHUMS and LAMS records are temporary and are to be destroyed upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

Administrative Safeguards: The core CHUMS system and all data are maintained simultaneously across multiple data centers within the Microsoft Azure Federal cloud, which are located within FedRAMP security approved facilities. For technical reasons, certain CHUMS databases, FHAC and LAMS are located and backed up on servers housed within secure Federal data facilities and not in the cloud.

Physical Safeguards: Controls to secure the data and protect electronic records, buildings, and related infrastructure against threats associated with their physical environment include, but are not limited to, using cypher and combination locks, key card-controlled access, security guards, closed circuit TV, identification badges, and safes. Administrative controls include encryption of back-up data, back-ups secured off-site, methods to ensure only authorized users have access to PII, periodic security audits, regular monitoring of system users’ behavior and users’ Security Practices.

Technical Safeguards: Controls for the systems include, but are not limited to, encryption of Data at Rest and in Transit, firewalls at HUD, user ID, password protection, role-based access controls, Least Privileged access, elevated and/or administrative privileged access, Personal Identify Verification cards, intrusion detection systems. Unauthorized access is controlled by application-level security.

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16 or may be obtained from the system manager.

None.

Docket No. FR-7092-N-30, 89 FR 47978, June 4, 2024; Docket No. FR-7077-N-12, 88 FR 44386, July 12, 2023; Docket No. FR-5921-N-17, 81 FR 71750, October 18, 2016.

/ADMIN-6 Personnel Security Files.

HUD Headquarters.

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.

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 (e.g., 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.

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.

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.

Forms: SF-85, SF-85P, SF-86, SF-87.

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.

1. To the Department of Justice when:

(a) The agency or any component thereof; or

(b) Any employee of the agency in his or her official capacity;

(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

(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.

2. To a court or adjudicative body in a proceeding when:

(a) The agency or any component thereof;

(b) Any employee of the agency in his or her official capacity;

(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

(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.

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.

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.

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.

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.

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.

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.

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.

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.

11. To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB Circular No. A- 19.

Storage:

Records are stored on paper and electronically in a secure location.

Background investigation files are retrieved by name, Social Security number (SSN), or fingerprint.

For paper records: 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.

For electronic records: 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.

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.

Director, Office of Security and Emergency Planning, 451 Seventh Street, SW., Washington, DC 20410.

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.

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

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.

Upon publication of a final rule in the Federal Register, 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.

/ADM-05

Privacy Act Request Files (PARF), HUD/ADM-05.

Unclassified.

Records are maintained at HUD Headquarters, 451 7th Street, SW, Washington, DC 20410-0001.

LaDonne White, Chief Privacy Officer, Office of Administration, 451 Seventh Street, SW, Room 2184, Washington, DC 20410-0001. Phone: (202) 710-1298.

Privacy Act, 5 U.S.C. 552a, and HUD Privacy Handbook 1325.1 Rev. 1.0.

This system enables HUD to manage Privacy Act administration activities under the Privacy Act; process and track Privacy Act requests and appeals; and record access and amendment requests filed with HUD.

Individuals who submit information, or appeals, covered by the Privacy Act; individuals whose requests for records have been referred to HUD by other agencies or entities; attorneys or other persons representing individuals submitting such requests and appeals; individuals who are the subject of such requests and appeals or whose information may appear in records required for processing requests and appeals; and individuals who file litigation based on their requests.

Name, address (home & email), date of birth, alias used by the requester, requesters' parents' names (if applicable), dates requests are submitted and received, related appeals, and agency responses which could include internal Privacy Act administrative documents and responsive records.

Individual.

1. To a congressional office from the record of an individual, in response to an inquiry at the request of that individual.

2. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service agreement, grant, cooperative agreement, or other agreement with HUD or under contract to another agency when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

3. To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records, (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

4. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

5. To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law. Records may only be disclosed upon a showing by the requester that the information is pertinent to the investigation.

6. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, and to another party before such court, adjudicative, or administrative body; when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

7. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

8. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Paper and electronic.

Name, email address, and contact number.

Records are covered under General Records Schedule (GRS) 4.2, Information Access and Protection Records. GRS 4.2 item 050, Privacy Act Accounting of Disclosure files, are disposed of in accordance with the subject individual records, or five years after the disclosure, whichever is later. GRS 4.2 item 060, erroneous release files associated with specific records, generally follow the original records disposition or are destroyed six years after the erroneous release, whichever is later.

For Electronic Records: Records are maintained and stored on the SharePoint environment, which runs on HUD’s network. These records can only be accessed based off the user’s rights and privileges to the system. Records are on an encrypted database system. This environment complies with the security and privacy controls and procedures as described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal Information Processing Standards (FIPS). A valid HSPD-12 ID Credential, access to HUD’s Local Area Network (LAN), a valid User ID and Password and a Personalized Identification Number (PIN) is required to access the records.

For Electronic Records (cloud based): Records are secured and maintained on a cloud-based software server and operating system that resides in Federal Risk and Authorization Management Program (FedRAMP) and FISMA Moderate dedicated hosting environment. All data located in the cloud-based server is firewalled and encrypted at rest and in transit. The security mechanisms for handing data at rest and in transit are in accordance with HUD encryption standards.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A.

/ADM-09 Correspondence Tracking System (CTS), HUD/ADM-09.

Unclassified

HUD Headquarters location, 451 7th Street SW, Washington, DC 20410–0001.

Juanita Johnson, System Manager, Office of Systems and Technology, 451 Seventh Street SW, Room 2242, Washington, DC 20410, telephone number (202) 402-5348.

Sections 2 and 7(d) of the Department of Housing and Urban Development Act of 1965, Pub. L. 89-174.

CTS will allow users and management to track and report on correspondence throughout the workflow process. HUD uses information in CTS to provide appropriate responses to inquiries. CTS will streamline the collection of inquiries from the public regarding their requests for assistance with HUD funded programs.

Individuals who correspond with HUD’s Secretary, Deputy Secretary, or Assistant Secretaries, Individuals whose correspondence has been referred by the White House, other federal agencies, or Members of Congress to the Secretary or Deputy Secretary.

Correspondence: name, home address, email address(es), home telephone number(s), work telephone number(s), legal documents and records, requesters, attorneys or representatives’ names, fax number, office information, case identifier.

Records are provided by individuals.

(1) 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.

(2) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Contractors provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

(3) To contractors, experts, and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize data to test new technology and systems designed to enhance program operations and performance.

(4) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed there has breached the system of records; (2) HUD has determined that because of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(5) To another Federal agency or Federal entity, when HUD determines that information from this system of record is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal government, or national security resulting from a suspected or confirmed breach.

(6) To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(7) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components. .

(8) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(9) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

Electronic and Paper.

Name and case number.

Destroyed upon verification of successful creation of the final document or file or when no longer needed for business use, whichever is later.

For Paper Records: The analysts will securely store any hard copy forms with personal identifiers until they are archived; all hard copy forms with personal identifying data will be stored securely in a locked cabinet that can only be accessed by authorized individuals working on the data.

Individuals requesting records of themselves should address written inquiries to the Department of Housing and Urban Development 451 7th Street, SW Washington, DC 20410-0001. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing Urban Development, 451 7th Street SW, Washington, DC 20410–0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

None

Docket Citation: 72 FR-55801 (October 1, 2007).

/ADM-10 Emergency Notification System.

Unclassified.

HUD Emergency Operations Center, Office of Disaster Management and National Security, Office of the Chief Administrative Officer, Department of Housing and Urban Development, 451 Seventh Street SW, Room 6280, Washington, DC 20410-0001,

Everbridge, 25 Corporate Drive, Suite 400 Burlington, MA, US 01803. Data centers are located in Northern California and West Virginia.

Ms. Laura L. McClure, HUD Emergency Operations Center, Office of Disaster Management and National Security, Office of the Chief Administrative Officer, Department of Housing and Urban Development, 451 Seventh Street SW, Room 6280, Washington, DC 20410-0001.

5 U.S.C. 301, Departmental regulations, 44 U.S.C. 3101, Records management by agency heads; general duties, The Department of Housing and Urban Development Act of 1965, Presidential Policy Directive 8, Presidential Policy Directive 40, Federal Continuity Directive 1, Federal Executive Branch National Continuity Program and Requirements and Federal Continuity Directive 2, Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process.

The purpose of this system is to maintain emergency contact information for HUD personnel. The system provides for high-speed message delivery that reaches all HUD personnel in response to alerts and notification issued by the Department of Homeland Security, other Federal Operations Centers, and local emergency officials regarding weather related emergencies, national security incidents, or other critical situations that disrupt the operations and accessibility of a worksite. The system will also enable the Department to account for the safety of HUD personnel during an emergency or incident.

Federal employees, interns and detailees.

Name, email address, phone number, organization/office of assignment, and duty station. Individuals may voluntarily provide alternate contact information, personal email address or phone number.

Individuals and HUD Active Directory System.

(1) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(2) (a) Appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(3) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(4) 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.

(5) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(6) 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

Electronic and Paper records.

Records are retrievable by a variety of fields including, name, email address, phone number, organization/office assignment, or by some combination thereof

The system is subject to HUD’s existing records schedule and electronic records retention policy. HUD will maintain computer and paper records for three years, but longer retention is authorized if required for business use.

We retain electronic files containing personal identifiers in secure storage areas accessible only by our authorized employees and contractors who have a need for the information when performing their official duties. Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes, unique identifiers, authentication ID, and passwords. Paper records are printed for quality control purposes and are considered working documents and they are maintained per the Policies and Practices for Retention and Disposal Records. Authorized personnel will be provided security awareness and incident response training no less than annually.

Individuals seeking notification of and access to their records in this system of records may submit a request in writing to the Department of Housing and Urban Development, Attn: FOIA Program Office, 451 7th Street SW, Suite 10139, Washington, DC 20410-0001. or by emailing foia@hud.gov. Individuals must furnish the following information for their records to be located:

1. Full name.

2. Signature.

3. The reason why the individual believes this system contains information about him/her.

4. The address to which the information should be sent.

Same as the Notification Procedures below

Any person wanting to know whether this system of records contains information about him or her should contact the System Manager. Such person should provide his or her full name, position title and office location at the time the accommodation was requested, and a mailing address to which a response is to be sent.

None.

This is a newly proposed system of records.

/ADM-11 FOIA Management System (FMS2), HUD/ADM-11.

Unclassified.

OPEXUS, 1101 17th Street, NW, 12th floor, Washington, DC 20036-0001 and HUD Headquarters, Office of Administration, 451 7th Street SW, Room 10139, Washington, DC 20410–0001.

Ms. Bao-Anh Trinh, Director, FOIA Branch, Office of Administration, 451 7th Street SW, Room 10139, Washington, DC 20410–0001; (202) 402-7641 and Mrs. Sandra J. Wright, System Manager, Office of Administration, 451 7th Street SW, Room 10139, Washington, DC 20410-0001; (202) 402-5510.

The collection and maintenance of accommodation records are authorized by sections 2 and 7(d) of the Department of Housing and Urban Development Act of 1965 (42 U.S.C. 3531, 3535(d)), and the Freedom of Information Act (5 U.S.C. 552).

FMS2 will help HUD track correspondence both internally among program offices and externally from outside entities. This system will enable HUD to track FOIA inquiries (both internal and external) submitted to HUD.

Individuals who correspond with the Secretary, Deputy Secretary, Assistant Secretaries, HUD Program Offices, or Field Office officials.

Full name, home address, email address(es), telephone number (work and home), legal documents and records, individual’s attorneys or representatives’ names, phone number (work and fax), address, and case identifier, date of birth, place of birth, and citizenship.

Records are provided by individuals or their designated representative.

1. 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 or their designated representative.

2. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

3. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

4. To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

5. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

6. To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

7. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

8. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic and Paper.

Name, and Requester Case Number.

Per General Record Schedule 4.2, item 040, Correspondence, Emails, Non-financial Transactions, and Reports. Temporary. Destroy 5 years after the date of the last entry or final action by agency, as appropriate, but longer retention is authorized if required for business use.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing and Urban Development, 451 7th Street SW, Washington, DC 20410–0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

None.

Docket No. FR-7092-N-33, 89 FR 53632, June 27, 2024.

/AHFDC.01 Freedom of Information Act, Privacy Act, and Administrative Appeals Request Files.

The system is physically located at the Department of Housing and Urban Development, Office of the Executive Secretariat, 451 Seventh Street, SW, Washington DC 20410; at the service providers under contract with HUD, and at HUD regional and field offices where, in some cases, FOIA and Privacy Act records may be maintained or accessed.

This system encompasses all individuals who submit FOIA and/or Privacy Act requests or administrative appeals to the Department. Other individuals covered by the system include HUD staff assigned to process a request and staff that may have responsive records or are mentioned in such records. Note: FOIA requests are subject to the Privacy Act only to the extent that the information pertains to personal information concerning an individual (i.e., only the information that is personal about the individual who is the subject of the record is subject to the Privacy Act). Information pertaining to corporations, businesses, and organizations are not subject to the Privacy Act.

Records in this system may include information about the handling of FOIA and Privacy Act requests and administrative appeals. The information maintained by the system may include: (1) Records received, copied, created, or compiled during the search and processing of initial requests and administrative appeals; (2) fee schedules, cost calculations, and costs assessed for processing FOIA requests (disclosed FOIA records – cost can be incurred even for records that are not provided to requesters); (3) appeals, intra-agency or interagency memorandums, and correspondence with the requesters or entities who submitted the requests and appeals; (4) the Department’s responses and transferals to HUD regional/field offices or other agencies; (5) copies of records disclosed or withheld; (6) requesters’ names, organizations, titles, addresses, emails, telephone numbers, fax numbers, Social Security numbers (which may be submitted with documentation or as proof of identification when requesting access to Privacy Act records); (7) information compiled on and about the parties who made written requests or appeals, including individuals on whose behalf such written requests or appeals were made; (8) FOIA tracking numbers; (9) descriptions of the types of requests or appeals, and dates the requests or appeals were received by the Department; (10) statuses of Department responses (i.e., the offices to which the requests were assigned, the dates by which responses to assigned request are due, the current dispositions of the requests); (11) and may include the requester’s original Privacy Act/FOIA requests. The system also includes information on the Department personnel involved in the processing of FOIA and/or Privacy Act requests and appeals (e.g., FOIA staff and/or Privacy Act staff, appeals officials, and members of the Office of General Counsel staff) who respond to requests or appeals and process any final dispositions. The system also covers records related to requests for OGIS assistance.

Freedom of Information Act, as amended, 5 U.S.C 552; Privacy Act, as amended, 5 U.S.C. 552a.

The purpose of the information maintained by the system is to allow the Department to effectively monitor and track FOIA and Privacy Act requests, and administrative appeals received or issued by the Department. The information gathered by the system is used by the Department to satisfy its annual reporting obligations under the FOIA, manage FOIA-related fees and calculations, and respond to FOIA and Privacy Act requests and appeals.

Records from this system may be disclosed for routine uses to:

1. A congressional office from the record of an individual, in response to a verified inquiry from the congressional office made at the request of that individual.

2. The Department of Justice for the purpose of obtaining advice regarding whether or not the records should be disclosed, when applicable.

3. Student volunteers, individuals working under a personal services contract, and other individuals performing functions for the Department, but technically not having the status of agency employees, if they need access to the records in order to perform their assigned agency functions.

4. Contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish the agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under this routine use conditions are subject to the Privacy Act requirements and disclosure limitations imposed on the Department.

5. Appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I, HUD’s Routine Use Inventory notice published in the Federal Register.

6. The National Archives and Records Administration, OGIS, to the extent necessary to allow OGIS to fulfill its responsibilities under 5 U.S.C. § 552(h) to review administrative agency policies, procedures, and compliance with the FOIA, and to offer mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

7. 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.

Storage:

The originals, or a copy, of the incoming requests and the written responses are maintained in case file folders and stored in metal file cabinets. Cross-reference data is maintained electronically and on CD-ROM.

Electronic and paper records are almost always retrieved by the name of the individual who made the request, the FOIA control number, or the subject of the request.

(1) Access Safeguards: Record access is restricted to FOIA and Privacy Act staff, involved program officials, appeals officials, and Office of General Counsel staff involved in the processing of such requests; (2) Physical Safeguards: Case file folders are stored in file cabinets located in secure areas that are either occupied by staff involved in processing FOIA and Privacy Act requests and administrative appeals or locked up during nonworking hours or whenever staff is not present in these areas, and entrance to the buildings where case files are maintained is controlled by security guards; (3) Logical Access: Records in the system are maintained in a secure area with access restricted to authorized personnel, security and hardware storage of backup material (e.g., disk, tape, CD-ROM) are secured in accordance with HUD-wide guidance for handling and securing information systems and cross-reference data is maintained electronically and access to the records is granted by User ID and password; and (4) Procedural Safeguards: Access to the systems records is limited to those staff members who are familiar with FOIA- and Privacy Act-related requests and who have a need to know. System managers are held responsible for safeguarding the records that are under their control.

Computer and paper records will be maintained and disposed of in accordance with published NARA Transmittal No. 22, General Records Schedule 14, "Information Services Records". Paper records will be destroyed by shredding or burning. Electronic records will be destroyed pursuant to NIST Special Publication 800-88, "Guidelines for Media Sanitization."

Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number 202-402-6828 (this is not a toll-free number) (refer to the SORN’s location caption for additional locations where Privacy Act records are accessed and maintained).

For Information, assistance, or inquiries about the existence of records, contact Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number 202-402-6828 (this is not a toll-free number). When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16 "Procedures for Inquiries". You must first verify your identity by providing your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

(1) Explain why you believe HUD would have information on you.

(2) Identify which HUD office you believe has the records about you.

(3) Specify when you believe the records would have been created.

(4) Provide any other information that will help the FOIA staff determine which HUD office may have responsive records.

If you are seeking records pertaining to another living individual, you must obtain a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD Office may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR part 16, "Procedures for Inquiries." Additional assistance may be obtained by contacting Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110, Washington DC 20410.

The source of information is from the individuals making a FOIA request or a request for Privacy Act records, and components of the Department and other agencies that search for and provide records and related correspondence maintained in the case files.

Pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect records that are contained in other systems of records that are designated as exempt, are exempt from the requirements of subsection s (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. These exemptions apply only to the extent that information in the system is subject to an exemption pursuant to

5 U.S.C. 552a (k)(2) or a rule promulgated concerning the exemption of such records.

A75 HUD Central Accounting and Program System (HUDCAPS, A75)

Unclassified.

HUD Headquarters, 451 7th Street, SW, Washington, DC 20410-1001 and National Center for Critical Information Processing and Storage (NCCIPS), Stennis Space Center, MS 39529. The backup data center is at Mid-Atlantic Data Center in Clarksville, VA 23927.

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

31 USC 3511The Chief Financial Officers Act of 1990 (31 U.S.C. 901, et seq.)

Executive Order 9397, as amended by Executive Order 13478

Housing and Community Development Act of 1987, 42 U.S.C. 3543

A75 HUDCAPS is an Office of the Chief Financial Officer (OCFO) system that serves as a sub-ledger financial system for HUD.

HUDCAPS provides the capability of capturing, recording, and summarizing HUD’s financial results of operations across all business areas.

PIH Section 8 recipients and grantees.

Records collected and/or stored in HUDCAPS includes grantee/recipient name, Business Tax-ID (can be EIN, SSN, and/or TIN), Business address, Data Universal Numbering System (DUNS), business banking account and routing numbers, and financial data.

PIH Section 8 recipients/grantees provide data to the Ft. Worth Accounting Center to enter into HUDCAPS.

(A)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.

(B To appropriate agencies, entities, and persons when: (I) HUD suspects or has confirmed that there has been a breach of the system of records; (II) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (III) 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 breach or to prevent, minimize, or remedy such harm.

(C)To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (I) responding to a suspected or confirmed breach or (II) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(D) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(E) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(G) To appropriate Federal, State, local, tribal, or other 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(F) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: (I) Detection, prevention, and recovery of improper payments; (II) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (III) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs; (IV) detection of fraud, waste, and abuse by individuals in their operations and programs. Records under this routine use may be disclosed only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds or to prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(G) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement 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.

(H) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

Records are maintained in Electronic and paper formats

Records can be retrieved by the Business Tax ID (this is called the Vendor ID in the system, and it can be the SSN/TIN/EIN depending on the grantee).

Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

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. HUDCAPS resides on the P207 IBM Mainframe general support system, which is at NASA's Stennis Space Center. The physical security controls for P207 IBM Mainframe is the responsibility of OCIO. OCIO handles the backups and encryption of backups on the P207 IBM Mainframe. OCIO is also responsible for the mainframe/LAN-based security controls (e.g. VPN, encryption of data in transit, IDS). All users authenticate to the HUD LAN with PIV cards before they can access HUDCAPS. OCFO limits access to records that contain PII data on a need to know basis, user recertification is performed, audit logs are reviewed, security assessments are performed, and background checks are performed prior to granting access. Not all employees and contractors have access to the vendor table that includes the PII. Updates to HUDCAPS vendor data is limited to those with specific roles.

1. Full name.

2. Signature.

3. The reason why the individual believes this system contains information about him/her.

4. The address to which the information should be sent.

Same as the Notification Procedures above.

None.

Docket No. FR-7009-N-04; 83 FR 11240 (March 14, 2018)

/ CFO/FY.02 Audit Resolution and Corrective Action Tracking System (ARCATS, P136)

HUD Headquarters, Washington, DC 20410 and South Charleston, WV 25303.

HUD Headquarters, Office of the Inspector General (OIG) and Field Office Personnel; subjects of audits.

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.

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."

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.

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.

Storage:

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.

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.

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.

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.

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.

The procedures for requesting amendment or correction of records appear 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 (Attention: Capitol View Building, 4th Floor), (202) 402-8073Washington, DC 20410;

(ii.) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street, SW., Washington, DC 20410.

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.

None

A67

Line of Credit Control System (LOCCS, A67).

Sensitive but Unclassified.

HUD Headquarters, 451 7th Street, SW, Washington, DC 20410 and Microsoft Azure Cloud US East Data Center.

Sairah Ijaz, 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

• 31 U.S.C. 3511

• The Chief Financial Officers Act of 1990 (31 U.S.C. 901, et seq.)

• Executive Order 9397, as amended by Executive Order 13478

• Housing and Community Development Act of 1987, 42 U.S.C. 3543

The system is to process and make grant, loan, and subsidy disbursements. LOCCS ensures that payments are made promptly thus achieving efficient cash management practices. It creates accounting transactions with the appropriate accounting classification elements to correctly record disbursements and collections to the grant/project level subsidiary.

Section 8 Contract Administrators (S8CA) and grant recipients (excludes Section 8 Voucher Program).

Vendor name, Vendor Number (e.g. EIN, SSN, or TIN), address, DUNS, Banking Account/Routing numbers, and financial data.

Section 8 Contract Administrators and grant recipients provide data to Ft. Worth Accounting Center to enter LOCCS.

(1) 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 Code.

(2) 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.

(3) To appropriate Federal, State, and local governments, or persons, under showing compelling circumstances affecting the health or safety or vital interest of an individual or data subject, including assisting such agencies 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 was transmitted to the last known address of such individual to identify the health threat or risk.

(5) a) 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, and 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 statistical analysis and research supporting 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.

b) To a recipient who has provided the agency with advance, adequate written assurance that the record provided from the system of records will be used solely for statistical research or

reporting purposes. Records under this condition will be disclosed or transferred in a form that does not identify an individual.

(6) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

(7) To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize data to test new technology and systems designed to enhance program operations and performance.

(8) a) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed there has breached the system of records; (2) HUD has determined that because of the suspected or confirmed breach there is a risk of harm to individuals, HUD, the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach to prevent, minimize, or remedy such harm.

9) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(10) 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 help to enforce civil or criminal laws when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(11) To a court, magistrate, administrative tribunal, or arbitrator while presenting evidence, including disclosures to opposing counsel or witnesses in civil discovery, litigation, mediation, 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. Disclosures made pursuant to this routine use are limited to when HUD determines that use of such records is relevant and necessary to the litigation, provided, however, that in each case, HUD determines that the disclosure of the records is a use of the information contained in the records that is compatible with the purpose for which the records were collected.

(12) 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 relates 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 before disclosure that disclosure of the records to DOJ is a use of the information 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 disclosing the records to the court or administrative body is a use of the information in the records that is compatible with the purpose for which HUD collected the records.

(13) To the U.S. Treasury for transactions such as disbursements of funds and related adjustments;

(14) To the IRS for reporting payments for goods and services and for reporting of discharge indebtedness;

(15) Disclosures under 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 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 solely to allow the consumer reporting agency to prepare a credit report.

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.

Records are retrieved by business partner name, tax ID number, schedule number, voucher number, and contract number.

General Records Schedule 1:1; Financial Management and Reporting Records. This schedule covers records created by Federal agencies in carrying out the work of financial management.

Temporary. Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16 or may be obtained from the system manager.

NONE.

87 FR 50640.

/ HUD/CFO-04 Financial Data Mart (FDM), HUD/CFO-04.

Unclassified.

HUD Headquarters, 451 7th Street, SW, Washington, DC 20410-1000 and National Center for Critical Information Processing and Storage (NCCIPS), Stennis Space Center, MS 39529-6000. The backup data center is at Mid-Atlantic Data Center in Clarksville, VA 23927-3201.

Kate Darling, Assistant Chief Financial Officer for Systems, Office of the Chief Financial Officer, Department of Housing and Urban Development, 451 7th Street SW, Room 3100, Washington, DC 20410-0001; telephone (202) 402-3912.

31 U.S.C. 3511; The Chief Financial Officers Act of 1990 (31 U.S.C. 901, et seq.); Executive Order 9397, as amended by Executive Order 13478; Housing and Community Development Act of 1987, 42 U.S.C. 3543.

Financial Data Mart (FDM) is a centralized repository of data extracted from a variety of HUD's financial systems, supported by query tools to enhance financial and program data reporting. FDM is designed to facilitate viewing, understanding, and reporting of financial data. FDM serves as the primary tool for generating internal ad-hoc reports, scheduled event-driven reports, and queries.

General public, Federal Employees, Contractors, Third-Party vendors, and recipients of grants, subsidies, or loans.

Names, Social Security Numbers (SSNs), Taxpayer-IDs (which may include SSNs for sole-proprietors), Home/business addresses, Financial Information (e.g., bank account number, bank routing numbers), E-mail addresses, salaries, and User IDs.

FDM receives records from other HUD information systems such as HUD Central Accounting and Program Systems (HUDCAPS), Loan Accounting System (LAS), Line of Credit Control System (LOCCS), HUD Integrated Human Resources and Training System (HIHRTS), Geocoding Service Center (GSC), Office 365 Multi-Tenant Software, and non-Personally Identifiable Information (non-PII) from Integrated Real Estate Management System (IREMS). FDM receives records from external sources, such as the General Services Administration, System for Award Management (SAM) and the Department of Treasury, Administrative Resource Center (ARC)’s Oracle Federal Financials.

(A) 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.

(B) To appropriate agencies, entities, and persons when: (I) HUD suspects or has confirmed that there has been a breach of the system of records; (II) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (III) 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 breach or to prevent, minimize, or remedy such harm.

(C) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (I) responding to a suspected or confirmed breach or (II) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(F) To appropriate Federal, State, local, tribal, or other 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(G) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: (I) Detection, prevention, and recovery of improper payments; (II) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (III) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs; (IV) detection of fraud, waste, and abuse by individuals in their operations and programs. Records under this routine use may be disclosed only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds or to prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(H) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(I) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

STORAGE:

Electronic only.

Name, Social Security Number, Taxpayer ID, E-mail address, and User-ID.

RECORDS: Temporary. Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use.

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. FDM resides in the HUD Office of Chief Information Officer (OCIO) Local Area Network (LAN). The HUD OCIO Infrastructure and Operations Office (IOO) secures the Data Centers where the LAN resides. FDM sends and receives data through HUD SFTP (Security File Transfer Protocol), which encrypts the data in the database. All users authenticate to the HUD LAN with PIV cards before they can access FDM. OCFO limits access to records that contain PII data on a need-to-know basis, user recertification is performed, audit logs are reviewed, security assessments are performed, and background checks are performed prior to granting access to privileged roles. Not all employees and contractors have access to the vendor table that includes the PII. Supervisors determine and authorize FDM access for their employees, and OCFO checks their suitability. The majority of FDM users are read-only and cannot enter data into FDM. A system user recertification is conducted to ensure each FDM user requires access to the system.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

Docket No. FR-7062-N-12, 87 FR 50640, August 17, 2022.

/CFO/FY.04 mLINQS.

Records are located in the HUD CFO Regional Office, 801 Cherry Street, Fort Worth, TX 76102. Backup, recovery, and archived digital media is stored by Amazon Web Services.

Records cover current and former HUD employees and HUD employeesâ€™ spouses and children.

Employee Information: Name, Social Security Number, Tax Identification Number, Home Address (prior/new), Phone Numbers (work, home, cell), Title, Salary Information (grade/rank), Retirement Plan, W-2 Tax Information, Employee E-mail Address. Family Information: Names of Family Members (spouse/children), Birth Dates of Family Members (spouse, children), Salary Information of Spouse (if available). This information is entered based on a questionnaire that the employee submits. The Social Security Number is pulled from HUDCAPS.

Sec. 113 of the Budget and Accounting Act of 1951 (31 U.S.C.66a); The Chief Financial Officers Act of 1990 (31 U.S.C. Sec. 501, et. seq.); Executive Order 9397, as amended by Executive Order 13478.

The purpose of the system of records is to process and manage official HUD relocation obligations and payments, 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.

Information from this system may also be disclosed as a routine use to:

1. IRS and the SSA to generate quarterly 941â€™s and annual W-2â€™s to fulfill HUDâ€™s statutory reporting of wage and income reporting requirements to IRS and SSA.

2. 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.

3. 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.

4. 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.

5. A relocation travel services provider for billing and refund purposes.

6. 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.

7. HUD contractors who have been engaged to assist the agency in the performance of a contract service, grant, cooperative agreement with HUD, when necessary to accomplish an agency function or other activity related to this system of records considered relevant to accomplishing an agency function.

8. Amazon Web Services for backup, recovery, and archived digital media storage.

9. 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 HUDâ€™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.

10. Appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I₁â€"HUDâ€™s Library of Routine Uses published in the Federal Register on (July 17, 2012 at 77 FR 41996).

₁http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf

Storage:

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. Electronic files are stored on a server.

Electronic file records are retrieved by name and social security number.

Retention and disposal is in accordance with Records Disposition Schedule 21, HUD Handbook 2225.6. Records are destroyed or deleted when no longer necessary for agency business in accord with applicable federal standards or in no less than seven years after last action in accord with limitations on civil actions by or against the U.S. Government (28 U.S.C. 2401 and 2415). Paper based records are destroyed by shredding or burning. Electronic Backup and Recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88 "Guidelines for Media Sanitization" (September 2006). This complies with all federal regulations.

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.

For information, assistance, or inquiries 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. Verification of your identity must include original signature and be notarized with two proofs of identity. Written request must include the full name, date of birth, current address, and telephone number of the individual making the request.

The Department's rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16. Additional assistance may be obtained by contacting: U.S. Department of Housing and Urban Development, Chief Privacy Officer, 451 Seventh Street SW, Washington, DC 20410 or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street SW, Washington DC 20410.]

Information in this system of records is provided by the subject of the record, the documents created from this information to facilitate the relocation, household goods carriers, and document information from HUDCAPS.

None.

/CFO/FY.05 Personal Services Cost Subsystem (PSCS, A75I).

HUD Headquarters in Washington, DC 20410.

Current and former HUD employees.

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.

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.

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.

Storage:

Electronic files are stored on servers. There are no paper records that are maintained for this system.

Records are retrieved by name, social security number, and HUD organizational code.

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.

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.

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.

The procedures for requesting amendment or correction of records appear 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 (Attention: Capitol View Building, 4th Floor), Washington, DC 20410;

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street SW., Washington, DC 20410.

These records contain information obtained from official personnel records of employees.

None.

/DEPT-2 Accounting Records.

Headquarters and field offices. For a complete listing of these offices, with addresses, see appendix A.

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.

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.

Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub. L. 81-784).

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, other routine uses are as follows:

(a) To the U.S. Treasury--for disbursements and adjustments thereof.

(b) To the Internal Revenue Service--for reporting of sales commissions and for reporting of discharge indebtedness.

(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.

(d) To mortgage lenders--for accounting and financial reference purposes, for verifying information provided by new loan applicants and evaluating creditworthiness.

(e) To HUD contractors--for debt and/or mortgage note servicing.

(f) To financial institutions that originated or serviced loans--to give notice of disposition of claims.

(g) To title insurance companies--for payment of liens.

(h) To local recording offices--for filing assignments of legal documents, satisfactions, etc.

(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.

(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.

(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.

(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.

(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.

(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.

(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) 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.

(q) To the Resolution Trust Corporation--to prescreen potential contractors for bad debts prior to acquiring their services.

(r) To other Federal Agencies--for the purpose of debt collection.

Disclosure to consumer reporting agencies:

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.

Storage:

Desks: Safes; locked filing cabinets; central files; book cases; ledger trays and binders; tables; magnetic tape/disc/drum.

By Social Security number; name; case file number; schedule number; audit number; control number; receipt number; voucher number; contract number; address.

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.

GSA schedules of retention and disposal; destruction after six months; transfer to either a Federal Records Center or Archives.

Director, Office of Finance and Accounting, Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.

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.

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.

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.

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.

/DEPT-3

HUD/DEPT-03 Comprehensive Servicing and Management System.

Unclassified.

Records are maintained at Dynaxis, 1911 Tech Rd, Silver Spring, MD 20904; at a secure data center at the Disaster Recovery Site 8180 Green Meadows Drive North, Lewis Center, OH 43035-0001.

Cynthia Tilton, Office of Multifamily Asset Management and Portfolio Oversight, HUD HQ 451 7th St SW, Washington, DC 20410.

The National Housing Act, 12 U.S.C 1701 et seq., authorizes the loan programs that are serviced by CSMS; the United States Housing Act of 1937, as amended, 42 U.S.C. 1437 et seq.; The Housing and Community Development Amendments of 1981, 12 U.S.C. 2294a; the Stewart B. McKinney Homeless Assistance Amendments Act of 1988 Section 904 as amended, 42 U.S.C. 3544; the United States Housing and Community Development Act of 1987, Section 165, 42 U.S.C. 3543(a), permits the participants to submit their SSNs as a condition of eligibility.

CSMS is a loan servicing, property management, and accounting system. The purpose of the system is to bill and collect funds owed to HUD/FHA, to provide program information about loan repayment and status, to manage investment of reserve for replace funds, to process and reimburse property managers or vendors for expenses incurred in managing multifamily properties owned by the Department, to track lease information for tenants living in HUD-owned properties, and to account for all transactions on this portfolio. CSMS is a subsidiary ledger to the FHA’s general ledger. CSMS provides servicing for loans acquired through the payment of an insurance claims and loans from the Mark to Market and Demonstration preservation programs.

Mortgagors, billing agents, vendors who are local businesses involved in property management or inspection and tenants, federal employees.

Property names; Addresses; Phone numbers; Email addresses; Borrower’s TIN/Social Security Numbers; Financial information (institutional information, routing, account numbers and account type; Reserve for Replacement escrow accounts; accounting data including debits and credits to HUD accounts based on transaction events; Collection history; Mortgagee-in-Possession activity; loan termination data;

HUD-Owned Property/Tenant: Names; addresses; Email addresses; Social Security Number; Marital status; Gender; Bid packages; Closing activities; Vendor/business partner (financial information, TIN/SSN, routing, account numbers, small business identifier.

Records in the system are obtained from HUD employees and their contractors who deal directly with the mortgagors, billing agents, vendors, and tenants. Information is also obtained from Integrated Real Estate Management System. All other data is collected from FHA Subsidiary ledger.

(A) 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.

(B) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: (1) Detection, prevention, and recovery of improper payments; (2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (3) detection of fraud, waste, and abuse by individuals in their operations and programs, but only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds or to prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(C) 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, and entities and their agents with whom HUD has a contract, service agreement, grant,

cooperative agreement, or other agreement, 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.

(D) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(E) To appropriate federal, state, local, tribal, or other governmental entities, with the approval of the Chief Privacy Officer, when HUD is aware of a need to use relevant data for purposes of testing new technology.

(F) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records,· (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(G) To another Federal agency or Federal entity when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(H) To appropriate Federal, State, local, tribal, or other 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(I) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components..

(J) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(K) To the IRS for reporting of payments, forgiveness of debt, and property sales under section 6109 of the Internal Revenue Code.

(L) To banks holding escrow monies for the purpose of establishing interest bearing accounts and reporting of interest payments to the IRS under section 6109 of the Internal Revenue Code.

Electronic and paper records.

Borrowers Name and TIN/SSN.

Destroy 6 years after final payment or cancellation, but longer retention is authorized if required for business use. Destroy 3 years after lease termination, lapse, reassignment, rejection of application, cancellation of lease, or conclusion of litigation, as applicable.

CSMS Disposition information is:

•

•HUD Schedule 10, item 7, NC1-207-78-12, item 7

•

•GRS 3.2, item 51, DAA-GRS-2013-0006-0008

•

•GRS 5.2, item 20, DAA-GRS-2017-0003-0002

•

•GRS 3.2, item 30, DAA-GRS-2013-0006-0003

•

•GRS 3.2, item 40 and 41, Item 40_ DAA-GRS-2013-0006-0005 and Item 41_ DAA-GRS- 2013-0006-0006

•

•GRS 3.1, item 10 and 11, DAA-GRS-2013-0005-0006 and DAA-GRS-2013-0005-0007

•

•GRS 3.1, item 51, DAA-GRS-2013-0005-003

Access to CSMS is by password and user ID and limited to authorized users. Paper records are maintained in locked drawer or in file cabinets at 11911 Tech Road, Silver Spring, MD 20904. Role-based access levels or assignment roles are restricted to those who have a need-to-know. When first gaining access to CSMS and on an annual basis, all users must agree to the systems ‘‘Rules of Behavior’’ which specify handling of personal information and any physical records.

Individuals seeking to determine whether this System of Records contains information on themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW Washington, DC. For verification, individuals should provide full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4, in the following format:

If executed outside the United States: "I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date). (Signature)." If executed within the United States, its territories, possessions, or commonwealths: "I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature)." More information regarding HUD’s procedures for accessing records in accordance with the Privacy Act can be found at 24 CFR 16.4, ‘Protection of Privacy and Access to Individual Records Under the Privacy

Act of 1974.’’

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16.8 or may be obtained from the system manager.

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Department of Housing Urban Development Office of Multifamily Housing, 451 7th street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide full name, office or organization where currently assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made in accordance with 24 CFR Part 16 in the following format:

None.

FR-7009-N-01, 2/20/2018, 83 FR 7208.

/SFH/HWS.1 Federal Housing Administration Loan Sale File--Replacement for the Delinquent/Default/Assigned/Temporary Mortgage Assistance Payments Program.

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.

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.

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.

The authority for maintenance of the system: Sec. 204(g) of the National Housing Act 12 U.S.C. 1710(g).

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.

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:

[1] http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.

(a) To the Internal Revenue Service for the purpose of administering tax reporting requirements.

(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.

(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.

(d) To prospective purchasers (or any other individual or entities) who have signed an executed confidentiality agreement.

(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).

Storage:

In file folders, desks and on computer server, magnetic tapes, drums, and discs, and NARA for archival purposes.

Name; case file number, property address.

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.

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.

Director, Asset Sales Office, Department of Housing and Urban Development, 451 Seventh Street SW., insert room number, Washington, DC 20410.

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.

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.

(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.

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.

None.

/DEPT-34 Pay and Leave Records of Employees.

Department of Housing and Urban Development, 451 Seventh Street, SW, Washington D.C. 20410. Department of Agriculture National Finance Center PO Box 60000, New Orleans, LA 70160, and at the service providers under contract with HUD and at the Federal agencies using the contracts. The time and attendance system is accessible by all HUD employees via HUD Intranet nationwide at HUD Field and Regional offices₁. Backup, recovery and media records are stored in secure facilities at the Washington National Record Center, 4205 Suitland Road, Suitland, MD 20746.

₂http://portal.hud.gov/hudportal/HUD?src=/localoffices

Current and former HUD employees.

All categories of records in the system may include the name, work and home address, and social security number of the HUD employee. The purpose and use made of each category of records in the system are:

To administer payroll processing - records include: HUD 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; personnel/payroll data requests, retirement; jury duty data; military leave data; leave status and data of all types (including annual, compensatory, jury duty, maternity, military, retirement disability, sick, transferred, and without pay);

To administer time and attendance processing - records include: Employee number, organization, time and attendance records; 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; both internal/external pay/leave inquiries and request pertaining to time and attendance; information and/or supporting documentation about the inquiries and problems received.

To administer garnishment and levy orders - records include: Orders served upon HUD for implementation, court orders, correspondence, and memoranda issued by a court of competent jurisdiction or by another government entity authorized to issue such an order for a HUD employee subject to official processing by HUD. Copies of judicial hardcopy correspondence are kept in locked cabinets.

Note:

This system of record does not cover the Office of Personnel Management (OPM) OPM/GOVT-1 related records: The Official Personnel Folders and other general personnel records files, reports of personnel actions, and the documents and papers required in connection with actions affected during an employee's Federal service are covered by OPM-1.

The collection of payroll and leave data is required by general recordkeeping statutes, regulations, and executive orders:

5 U.S.C. 6101-6133; 5 U.S.C. 6301-6387; 44 U.S.C. 3101; 5 U.S.C. 5501-5597; 5 CFR part 630; Executive Order 9373, which permits the collection of SSNs, as amended by Executive Order 13478. The collection of garnishment and levy orders is required by: 5 U.S.C. 5520a; 10 U.S.C. 1408; and 42 U.S.C. 659.

The system includes payroll processing services and any other payroll/personal records and various records reflecting HUD employees' time and attendance and leave status, as well as the allocation of employee time to designated budget account codes. The system of records is also used to prepare related reports to other Federal agencies including the Department of Treasury and the Office of Personnel Management.

HUD’s OCHCO operates the Pay and Leave Records of Employees system of records to:

1. Authorize payroll deductions, including but not limited to allotments, charitable contributions, and union dues;

2. Authorize the U.S. Department of the Agriculture’s (USDA) National Finance Center (NFC) to calculate pay, maintain leave balances, and issue salary checks;

3. Report gross wages and compensation information, including but not limited to unemployment compensation;

4. Collect indebtedness, including but not limited to overpayment of salary and unpaid Internal Revenue Service (IRS) taxes and/or state taxes;

5. Pay income tax obligations, including but not limited to the Internal Revenue Service (IRS) and states' revenue departments;

6. Pay any uncollected compensation, including but not limited to lump-sum payments of leave upon an employee's separation, such as retirement and resignation, or due to the beneficiaries of a deceased employee;

7. Determine leave balances, including but not limited to accrued and used leave, sick leave, eligibility for and/or authorize donations for the leave transfer program, and other types of leave categories;

The data is entered by HUD employees from their location using a time and attendance system located at a Federal agency. The following routine uses are transmittal of data contained in the system of records for time and attendance and payroll processing services such as:

1. To payroll providers, and authorized financial and payroll processing institutions to calculate pay and distribution of wages and distribution of allotments and deductions, some through electronic funds transfer; to maintain leave balances, payroll/personnel action (e.g. promotions and Reduction in Grade personnel actions), receipt amount, and administrative overpayment processing;

2. To the Department of Treasury to authorize issuance of salary payments through electronic funds transfer; processing time and attendance actions under an approved contract or servicing agreement for the purpose relating to the conversion of HUD employee time and attendance recordkeeping services;

3. To the Internal Revenue Service, Social Security Administration, the individual, and taxing authorities of the States, the District of Columbia, territories, possessions, and local governments;

4. To a congressional office in response to a written inquiry from the congressional office made at the request of an individual covered by the system;

5. To charitable institutions to report charitable contributions;

6. To insurance carriers to report employee work elections and information withholdings for health insurance;

7. To the Office of Personnel Management and it contractors concerning pay, benefits, retirement deductions, and other information necessary to carry on its government wide personnel functions, and to other Federal agencies to facilitate employee transfers;

8. To the Department of Labor to process workers’ compensation injury claims;

9. To Federal, state, and other authorized agencies for the purpose of collecting debts owed to the Federal government by administrative or salary offset programs;

10. To the Federal Retirement Thrift Investment Board to administer the Thrift Savings Plan;

11. To the Department of Veterans Affairs regarding the final accounting for employee pay and benefits;

12. To Federal, State, and local agencies to assist in the enforcement of child and spousal support obligations;

13. 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;

14. To other Federal agencies to provide wage and separation information to another agency as required by law for payroll purposes;

15. To consumer reporting agencies: 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)).

Other Routine Uses include:

1. To appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I₂ – HUD’s Library of Routine Uses published in the Federal Register on (77 FR 41996, July 17, 2012);

₂http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.

2. 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.

Storage:

Access to the systems is by user ID and password. Roles in the systems limit the user’s access once in the system. Hardcopy records are kept in a locked cabinet.

Computerized and hard copy records are retrieved by the individual’s name or Social Security Number. Hardcopy records are kept in a locked cabinet.

Access to the system is safeguarded by a user ID and password and is restricted to employees who have a need to access the system in the performance of their duties. Within the system the user’s roles determine their access to records. Hardcopy records are kept in a locked cabinet.

All pay and leave records are maintained until employees are separated from HUD and are then retired or transferred to a new employing agency or destroyed in conformance with appropriate General Services Administration retirement and/or destruction Schedules such as the General Records Schedules 2 (GRS 2) in the following manner:

amp;#8226; For Payroll and Leave Records--OCHCO maintains and disposes of these records in accordance with General Records Schedule 2 (GRS 2) issued by the National Archives and Records Administration (NARA). Under the GRS 2, records are retained for various periods. Generally, the records are kept from 1 to 6 years, depending on the type of record involved.

amp;#8226; For Garnishment and Levy of Wages Records--OCHCO retains these records until the expiration of the garnishment or levy order or until the employee leaves, whichever comes first. In some instances that are related to a garnishment or levy order, the information is destroyed 3 years after the termination of the garnishment or levy order.

The disposal of the paper documents, records, and files is by shredding. Backup and Recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88 "Guidelines for Media Sanitization" (September 2006). This complies with all Federal regulations. There are no hardcopy records produced that require additional archival.

Felicia Purifoy, Director, Office of Human Capital Services, Office of the Chief Human Capital Officer; The Payroll System and Process Managers: Brenda Bradley, Pay, Benefits, and Retirement Division (PBRD), Director, Office of the Chief Human Capital Officer; Gaye W. Walker, Supervisory Human Resources Specialist, Office of the Chief Human Capital Officer, located at the Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.

For information, assistance, or inquiries 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), telephone number: (202) 402-8073. Verification of your identity must include original signature and be notarized. Written request must include the full name, Social Security Number, date of birth, current address, and telephone number of the individual making the request.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR part 16. Additional assistance may be obtained by contacting: U.S. Department of Housing and Urban Development, Chief Privacy Officer, 451 Seventh Street, SW, Washington, DC 20410 (Attention: Capitol View Building, 4th Floor), telephone number: (202) 402-8073 or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington DC 20410.

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.

None.

/DEPT-46 Single Family Insured Case Files.

HUD Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia, and Santa Ana.

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.

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.

National Housing Act as amended (12 U.S.C. 1702 et seq.)

The information collection enables HUD/FHA to process applications for HUD mortgage insurance and respond to inquiries regarding applications and insured mortgages.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act other routine uses include:

(a) To the Department of Veteran Affairs for information on veterans' participation.

(b) To complainants and attorneys representing them to review complainant files for status and information.

(d) To Congressional delegations to provide information concerning status of complaints.

(e) To the FBI to investigate possible fraud revealed in underwriting, insuring or monitoring.

(f) To Department of Justice for prosecution of fraud revealed in underwriting, insuring or monitoring.

(g) To General Accounting Office (GAO) for audit purposes.

(h) To financial institutions and computer software companies for automated underwriting, credit scoring and other risk management evaluation studies.

Storage:

These records are stored in file folders (automated systems containing data from these files are described in separate system of records notices).

Records are retrieved by case file number.

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.

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.

Director, Office of Insured Single Family Housing, HUA, Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.

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.

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.

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.

Subject individuals, current and previous employers, credit bureaus and financial institutions, corporations and firms and federal and non-federal government agencies.

None.

/DEPT-62 Claims Collection Records.

Headquarters and field offices. For a complete listing of these offices with addresses, see appendix A.

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.

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.

Federal Claims Collection Act of 1966 (Section 1, Pub. L. 89-508).

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.

Disclosure to consumer reporting agencies:

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)).

Storage:

Desks; safes; locked file cabinets.

Name, Social Security Number, Project Name and Number, and Contract Number.

Locked files; limited access by authorized individuals.

GSA schedules of retention and disposal; destruction one year after statute of limitation expiration.

Department Claims Officer, Officer of Finance and Accounting, Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410.

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.

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.

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.

/DEPT-64 Congregate Housing Services Program Data Files.

Headquarters and Offices of HUD contractor.

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.

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.

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.

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.

Title IV, Housing and Community Development Amendments of 1978 (Congregate Housing Services Act of 1978).

To HUD Contractor for conducting the evaluation.

Storage:

In file folders and on magnetic tape/disc/drum.

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.

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.

Manual and automated records are retained in accordance with officially approved mandatory standards contained in HUD Handbooks 2225.6 and 2228.2.

Director, Elderly, Cooperative, Congregate and Health Facilities Divsion, HMME

Office of Mutifamily Housing Development

Department of Housing and Urban Development

451 Seventh Street, SW, Washington, DC 20410

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.

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.

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.

Subject individuals, Professional Assessment Committee, Project Managers.

/DEPT-71 Identity Management System (IDMS).

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.

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.

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 (e.g., 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.

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.

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.

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.

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.

Information about covered individuals may be disclosed without consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:

(1) To the Department of Justice when:

(a) The agency or any component thereof; or

(b) Any employee of the agency in his or her official capacity;

(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

(2) To a court or adjudicative body in a proceeding when:

(a) The agency or any component thereof;

(b) Any employee of the agency in his or her official capacity;

(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

(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.

(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.

(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.

(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.

(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.

(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.

(8) To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB Circular No. A- 19.

(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.

(10) To notify another Federal agency when, or verify whether, a PIV card is no longer valid.

(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.

Storage:

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.

Records are retrievable by last name, Social Security number, other ID number, PIV card serial number, image (photograph), or fingerprint.

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.

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.

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.

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.

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 no later than 90 days after deactivation.

Director, Physical Security Division, Office of Security and Emergency Planning, 451 Seventh Street, SW., Washington, DC 20410. Phone: (202) 708-2914.

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.

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.

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.

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.

Employee, contractor, or applicant; sponsoring agency; former sponsoring agency; other Federal agencies; contract employer; former employer.

None.

/DEPT-80 Long Distance Telephone Call Detail System.

Headquarters.

Individuals who make long distance calls and individuals who receive calls placed from or charged to Department telephones.

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.

Section 7(d), Department of Housing and Urban Development Act, 42 U.S.C. 3535(d); 44 U.S.C. 3101.

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.

Disclosure to consumer reporting agencies:

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)).

Storage:

Various portions of the system are maintained on computer disks, magnetic tape, computer printout, and other hard copy.

Records are retrieved by employee name or identification number, by name of recipient of telephone call, and by telephone number.

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.

Records are disposed of as provided in the National Archives and Records Administration General Records Schedule 12.

Director, Communications and Space Management Division, Department of Housing and Urban Development, 451 Seventh Street, Southwest, Washington, DC 20410.

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.

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.

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.

HUD telephone assignment records; call detail listing; and results of administrative inquiries relating to assignment of responsibility for placement of specific long distance calls.

/DEPT-81 Ethics Filings.

Sensitivity--S2. Disclosure or alteration of data rated S2 represents a small but unimportant risk to the organization and its mission.

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.

Headquarters, Office of Ethics.

Section 102

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.

Section 112

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,

B. Any person who receives payment or is retained for the purposes described in A. above.

Byrd Amendment

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.

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.

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.

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.

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.

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.

Section 102 information will be made available for public inspection.

Section 112 information will be compiled in a report to be published in the Federal Register , shall constitute part of the public records of the Department, and shall be open to public inspection.

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.

Storage:

In file folders; in computers with limited access.

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.

File folders and computers kept in a secured area; access restricted to authorized individuals.

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.

Director, Office of Ethics, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.

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.

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.

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.

/EC-01 Compliance Case Tracking System (CCTS--F73).

HUD Computer Center, Lanham, Maryland.

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.

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.

Executive Orders 12549 and 12689; U.S.C. 31, 41, and 42.

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).

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:

(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.

(b) Department of Justice (DOJ)--for prosecution of fraud, and for the institution of suit or other proceedings to effect collection of claims.

(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.

(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.

Storage:

The automated records are stored and saved in access files in the CCTS (F73 System).

These records are retrieved by names of individuals and companies.

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.

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.

Director, Departmental Enforcement Center, 1250 Maryland Avenue, Southwest, Suite 200, Washington, DC 20024.

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.

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.

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.

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.

None.

/EC-02 Departmental Tracking System (DTS), V02A.

HUD Headquarters and HUD Computer Center, Lanham, Maryland.

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).

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.

42 U.S.C. 3533 and 3535

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.

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:

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;

b. Department of Justice (DOJ)--for investigation and litigation and representation of HUD before the courts and performance of all legal work incident thereto;

c. General Accounting Office (GAO)--for further collection action on any delinquent account when circumstances warrant;

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;

e. Congress and the General Accounting Office (GAO) to provide reports on the Department's efforts to restore public trust.

Storage:

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.

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.

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.

Automated records will be retained in the DTS (V02 System) and updated. Printouts will be disposed of in accordance with HUD Handbook 2225.6.

Director, Departmental Enforcement Center, Portals Building, Suite 200, 1250 Maryland Avenue, SW, Washington, DC 20024.

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.

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.

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.

The Departmental Tracking System will interface with other HUD information systems to extract pertinent data for tracking and reporting.

None.

/OGC.CAGC.01 Office General Counsel Electronic Discovery Management System. (OGC-EDMS)

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]

[4] http://portal.hud.gov/hudportal/documents/huddoc?id=append2.pdf

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.

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.

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.

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.

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.

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.

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.

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;

2. To the National Archives and Records Administration for use in its records management inspections and its role as an Archivist;

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;

4. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation;

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;

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;

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;

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

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.

Storage:

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.

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.

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.

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]

[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.

[6] http://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/hudclips/handbooks/admh/2225.6.

[7] http://www.hud.gov/offices/adm/hudclips/handbooks/cioh/.

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.

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.

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:

(i) Contesting contents of records: The Department of Housing and Urban Development, Chief Privacy Officer, 451 Seventh Street SW., Washington, DC 20410;

(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.

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.

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])

[8] http://www.justice.gov/opcl/1974tenexemp.htm#one.

/01 eDiscovery Management System (EDMS), HUD/OGC-01.

Unclassified.

Records are maintained on servers at the National Center for Critical Information Processing and Storage (NCCIPS), 9325 Cypress Loop RD, Stennis Space Center, MS 39529 and on HUD Azure Cloud managed by HUD’s Office of the Chief Information Officer (OCIO) at 451 Seventh Street, SW, Room 4160, Washington, DC 20410-0001.

Tenille Washburn, Assistant General Counsel, Office of General Counsel Field Management, and IT Division, HUD, 451 Seventh Street, SW, Room 10286, Washington, DC 20410-0001; Telephone number (202) 402-6536.

40 U.S.C. 11315 and 44 U.S.C. 3506. In addition, the federal statutes that authorize the collection and storage of ESI for other purposes including FOIA, OIG investigations, and Congressional requests include: The Freedom of Information Act. 5 U.S.C 552 for responses to the FOIA requests. The Legislative Reorganization Act of 1970 (Pub. L. 91-510) and implied in the Constitution of the Unites States for responses to Congressional Oversight Committee requests; and The Inspector General Act of 1978 as amended, 5 U.S.C app. (Pub. L. 95–452, sec. 1, Oct. 12, 1978, 92 Stat. 1101) (sec. 6(a)(1) authorizes OIG to have access to records and other documentation).

The purpose of the eDiscovery process and systems are in direct response to the eDiscovery legal and business requirements stated in the Federal Rules of Civil Procedure (FRCP) and case law. The eDiscovery obligations require the preservation/collection and possible production of electronically stored information (ESI) related to any individual who may have data or other records related to "reasonably anticipated" litigation. The individuals subject to the eDiscovery requirements include employees across all HUD offices nationwide as well as contractors. The eDiscovery systems and process assist HUD to preserve, collect, and review ESI and data of any individual who is, or will be, in discovery or litigation with HUD. Relativity facilitates data analysis, review (relevance, privilege etc.), tagging, redaction, privilege log, and production of ESI and data to respond to litigation discovery requirements.

All persons subject to a litigation hold due to a "reasonable anticipation of litigation" as determined by HUD’s OGC based on anticipated litigation trigger dates for the various types of litigation across the Department; all persons deemed a participant of past or present litigation or anticipated litigation where HUD is involved; and specified individuals impacted by FOIA requests, discovery/litigation, OIG investigations, Congressional Oversight Committee requests and other cases in HUD.

Individual(s) name; Individual(s) work address; Individual(s) work email address; Individual(s) work phone number; HUD Submitter Office Location; Case name; Case number; Case Type (Litigation, FOIA, OIG, Congressional) Date Range for requested Electronically Stored Information (ESI) collection; and Requested Data Sources for ESI (e.g., email data, C:drive, G:drive, One Drive, J:drive, SharePoint, Teams data).

HUD employees and contractors.

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.

2. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

3. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

4. 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. Disclosure is limited to only those data elements considered relevant to accomplish an agency function. Contractors 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.

5. To appropriate Federal, State, local, Tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

6. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

7. 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

8. To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records,· (2) [the agency] has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with [the agency's] efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

9. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

Electronic.

Individual(s) name and work email address.

Temporary. Data and paper records subject to a litigation hold are preserved for the duration of the litigation hold. Litigation files having an unusual significance to the Department are kept for seven years after entry of order or last appeal. Other litigation files are kept for four years after entry of order or last appeal. Files kept on administrative adjudications are kept for six years after entry of order or last appeal.

Strict quality and access controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the data/records in EDMS 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.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

For those records within the system collected and maintained pursuant to the Federal Rules of Civil Procedure and/or for the purpose of civil discovery, action or proceeding, 5 U.S.C. 552a(d)(5) will apply, which states "nothing in this [Act] shall allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding.".

Docket No. FR-5613-N-06-C published on February 11, 2013 at 78 FR 9721.

/GNMA-01 Ginnie Mae Mortgage-Backed Securities Unclaimed Funds System.

Bank of New York (Contractor site), New York, New York.

Ginnie Mae-guaranteed mortgage-backed securities certificate holders who have not been located.

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.

Sec. 306(g), National Housing Act, 12 U.S.C. 1721(g).

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.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, other routine uses are as follows:

(a) To the U.S. Treasury--for disbursements and adjustments; and

(b) To the Internal Revenue Service and to state and local governments--for reporting payments for interest; and

(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

(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.

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:

(a) The Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; and

(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

(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.

Storage:

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.

Information is retrieved by security holder's(s') name(s), address, social security number, certificate number, Ginnie Mae pool number, and CUSIP number.

Electronic records are maintained in a secured computer network behind a firewall. Access to records is limited to authorized personnel.

Are in accordance with HUD Records Disposition Schedule 2225.6, Appendix 20.

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.

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.

The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information is needed, contact:

(i) In relation to contesting contents of records, the Departmental Privacy Officer at HUD, 451 Seventh Street, SW., Room 2256, 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.

Records are established using information received from servicers of Ginnie Mae-guaranteed mortgage-backed securities.

None.

/GNMA-02 Ginnie Mae Master Subservicer System (MSS); HUD/GNMA-02.

Unclassified.

Records are maintained at their respective Ginnie Mae Master Subservicer.

System Managers are specified in Ginnie Mae’s Master Subservicer contract(s): Ms. Adrianne Brown in the Carrington Group, and Ms. Jacqueline Taylor in the Selene Finance, both reside at 425 3rd Street 5th floor Washington, DC 20024-1000.

Sec. 306(g), National Housing Act, 12 U.S.C. 1721(g). 42 U.S.C. 3543 Preventing Fraud and Abuse in HUD programs, and under 24 CFR part 200, subpart U and 24 CFR 203.35.

The information is used to perform a wide range of loan servicing and issuing functions. The data is maintained in a comprehensive loan servicing system that processes transactions relating to the servicing of home and project loans on behalf of Ginnie Mae. The primary purpose of this system of records is to capture borrower, loan, and pool-level data associated with defaulted Issuer portfolios. When Ginnie Mae defaults and extinguishes an issuer, one of Ginnie Mae's functions as guarantor of securities is to service the mortgage loans. This system of records serves as a central back-end repository, on Ginnie Mae’s behalf, to house borrower, loan origination, and servicing data associated those defaulted issuer portfolios. Additionally, Ginnie Mae intends to leverage the Master Subservicer System to source data required to support market liquidity initiatives related to its defaulted issuer portfolio.

Borrowers and co-borrowers.

May include, but not limited to: Borrower’s name, Social Security Number, Date of Birth, co-borrowers’ name(s), property address, phone number, email address, income and other financial data; 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.

Records are established using information received from borrowers and from legal instruments related to borrowers' loans (i.e., mortgages, notes, and deeds).5

(a) To the U.S. Treasury—for disbursements, adjustments, collection services. (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. (c) To credit bureaus and other entities for credit reporting purposes. (d) To employers to effect wage garnishment. (e) To third party purchasers or potential purchasers in connection with asset sale transactions. (f) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies. (g) To a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual to whom the records pertain. (h) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement for the purposes of statistical analysis and research in support of program operations, management, performance monitoring, evaluation, risk management, and policy development, to otherwise support the Department’s mission, or for other research and statistical purposes not otherwise prohibited by law or regulation. 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. (i) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. (j) To contractors, experts, and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance. (k) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm. (l) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach. (m) To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law. (n) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components. (o) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components. In addition to the routine uses described above, HUD provides notice pursuant to 31 U.S.C. 3711(e) that information contained in this system of records may also be disclosed to a consumer reporting agency when trying to collect a claim owed on behalf of the government.

Electronic and paper records.

Records are retrieved by mortgagor/borrower name, Social Security Number, loan number, property address.

Temporary. Destroy upon verification of successful creation of the final document or file. Or when no longer needed for business use, whichever is later. In accordance with HUD records disposition schedule 2225.6, Appendix 20. Records are destroyed upon successful creation of the final document or file, or when no longer needed for business use, whichever is later. Backup and recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88 "Guidelines for Media Sanitization." GRS 5.2, Item 20, DAA-GRS2017-0003-0002.

Administrative Safeguards: All users must agree to the systems "Rules of Behavior" which specify handling of personal information and any physical records.

Physical Safeguards: Controls to secure the data and protect paper records are maintained and locked in file cabinets. The original collateral documents (hard copy) are stored at the contractor's 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 regarding accessing the records, access to automated systems by authorized users by username and passwords.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

Docket No. FR-5386-N-07, 75 FR 44803, July 29, 2010.

/H-5 Single Family Computerized Homes Underwriting Management System (CHUMS).

HUD Headquarters and Single Family Homeownership Centers in Atlanta, Denver, Philadelphia, and Santa Ana.

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 (e.g., staff appraisers, staff mortgage credit examiners, architectural employees, receiving clerks, assignment clerks, commitment clerks, records clerks, and closing clerks).

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).

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.

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.

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.

Storage:

Records are stored on magnetic tape/disc/drum.

Records are retrieved by name, Social Security Number or other identification number.

Automated records are maintained in secured areas. Access is limited to authorized personnel.

Computerized records of insured cases are retained for 10 years and those on rejected cases are retained for 3 years.

Director, Home Mortgage Insurance Division, HUAH, Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.

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.

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.

Mortgagors, appraisers, inspectors, builders, mortgagee staff appraisers, mortgagee staff underwriters, and HUD employees.

None.

/HSNG.SF/HUP.01 HUD Certified Housing Counselor and Client Certificate of Housing Counseling Database.

The database is physically located at the Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410, and accessed by HUD field offices with authorized access. Records are maintained and transmitted to this database from the virtual environment of the service providers under contract with HUD.

Individuals who intend to access the examination or training materials offered by HUD in association with the certification requirements, whether or not they become certified; individuals seeking HUD certified housing counselor certification; or housing counseling clients receiving housing counseling from an agency participating in HUD’s Housing Counseling Program.

The categories of records collected by the HUD Certified Housing Counselor and Client Certificate of Housing Counseling Database are as follows:

1) Individuals registering to access HUD Certified Housing Counselor training: Legal first and last name, mailing address, telephone number, email address, and fax number (if applicable).

2) Individuals registering to access the HUD Housing Counselor Certification Examination: Legal first and last name, mailing address, telephone number, email address, fax number (if applicable), Social Security number (SSN), and employer’s HUD Housing Counseling System (HCS) number (if registrant’s employer is a housing counseling agency participating in HUD’s Housing Counseling Program). Registrants have the option of providing demographic information: race, ethnicity, gender and languages in which counseling services are offered. HUD is collecting information on languages to assess the number of examinees that might benefit from certification examination training materials being available in other languages. Information for fee payment will be collected by a third party vendor and will include credit card number, expiration date, and security code.

3) Individuals registering for HUD Certified Housing Counselor status or for Agency Application Coordinator for FHA Connection: Legal first and last name, mailing address, telephone number, email address, fax number (if applicable), Social Security number (SSN), HUD Housing Counselor Certification System ID number, mother’s maiden name, and employer’s HUD Housing Counseling System (HCS) ID number, and verification of employing agency’s name.

4) Examination Information: Scores from housing counselor certification examination list of all test-takers who pass the certification examination.

5) Client Certificate of Housing Counseling: Legal first and last name and address of the housing counseling client receiving counseling services from an agency participating in HUD’s Housing Counseling Program; legal first and last name and the Counselor ID number of the counselor completing the client certificate of housing counseling; name, address, telephone number, Employer Identification Number (EIN), and HCS ID number of the agency participating in HUD’s Housing Counseling Program; date and type of counseling service received; fees collected or waived; and whether counseling or education occurred in-person or remotely (telephone or Internet).

Note: Certain records maintained by this database pertain to individuals in their role as a sole proprietorship under the Department’s Housing Counseling Program. This information may reflect personal information; however, only the records that are personal, about the individual who is the subject of the record, are subject to the Privacy Act.

Subtitle D of title XIV of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376 (July 21, 2010); section 106 of the Housing and Urban Development Act of 1968, 12 U.S.C.§ 1701x; and the Housing and Community Development Act of 1987, 42 U.S.C. § 3543, which authorizes HUD to collect SSNs.

The Dodd-Frank Wall Street Reform and Consumer Protection Act amended section 106 of the HUD Act of 1968 to require that all homeownership and rental housing counseling provided in connection with HUD programs be provided by a HUD Certified housing counselor. The proposed rule published on September 13, 2013, set a timeframe for completing the certification examination. The final rule is under review and will address the timeframe when published. HUD will announce the start date of the certification examination in a separate Federal Register notice. The certification examination requires that an individual demonstrate competency by passing a standardized written examination covering six major areas of housing counseling. These areas include: (1) financial management; (2) property maintenance; (3) responsibilities of homeownership and tenancy; (4) fair housing laws and requirements; (5) housing affordability; and (6) avoidance of, and responses to, rental and mortgage delinquency and avoidance of eviction and mortgage default. In addition to passing the certification examination, individuals must work for a participating agency to become a HUD Certified Counselor. The new database will allow the Department to track housing counselor certifications that will be issued under the Department’s Housing Counseling Program, including the initial application/issuance of the HUD certified housing counselor certificate, any reissuance due to changes in employment status, and any revocations of certification. This system may also be used to verify the participating agency’s compliance with HUD’s Housing Counseling Program requirements. Other statutory changes to improve the effectiveness of housing counseling include increasing the breadth of counseling services so that they are comprehensive with respect to homeownership and rental counseling and issuing client Certificates of Housing Counseling to verify counseling requirements for FHA and other Federal, State, and local programs, as applicable. HUD’s Housing Counseling Program currently provides comprehensive homeownership and rental counseling. As noted in the proposed rule published on September 13, 2013, an individual counselor, in contrast to multiple counseling agencies, will have to show competency (through passage of an examination) in identifying and understanding the breadth of homeownership and rental counseling services. Currently, a potential homebuyer or homeowner is likely to seek a housing counseling agency that specializes in a specific area and receive comprehensive counseling by a counselor in that specific area. As a result of increasing the breadth of counseling service knowledge, a housing counselor providing counseling on a specific area requested by the client would also be trained to identify cross-cutting issues that a client may not have identified when seeking out a specific counselor or during the intake process by the housing counseling agency. In addition, certifying individual counselors may further enhance the high regard of agencies and counselors participating in HUD’s Housing Counseling Program.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside HUD as a routine use pursuant to 5 U.S.C. 552a(b)(3), as follows:

1) To appropriate agencies, entities, and persons to the extent that such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I - HUD’s Routine Uses Inventory Notice, published in the Federal Register.

2) 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) HUD determines that 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.

3) To third party fee collection service for payment of examination fees.

Storage:

Records in this system are stored electronically. The records may be stored on magnetic disc, tape, and digital media. There are no hardcopy records produced that require additional storage.

Access to electronic systems is by password and code identification card and is limited to authorized users. There are no hardcopy records produced that require an additional safeguard.

Electronic records are retrieved by name (first and last), agency HCS number, employer, and system ID number. There are no hardcopy records produced that require additional retrieval.

The records that reside in the system will be kept for 10 years after the final action is taken on the file, document, and/or transaction. Longer retention is authorized if required for business use (Reference: GRS 1.2 DAA-GRS-2013-0008-0001). After the record retention requirements have been met (a minimum of 10 years), the data and records can be purged or deleted from the system. If paper records are generated from the system, they can be archived at the local Federal Records Center after the final action or transaction has taken place. Accordingly, paper records will be destroyed by burning of shredding, and electronic records will be destroyed according to NIST Special Publication 800-88, "Guidelines for Media Sanitization."

Danberry Carmon, Associate Deputy Assistant Secretary, Office of Housing Counseling, 451 Seventh Street, SW, Room 9224, Washington, DC 20410.

For Information, assistance, or inquiries about the existence of records contact, Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number 202-402-6828. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16. You must first verify your identity by providing your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

(1) Explain why you believe HUD would have information on you.

(2) Identify which office of HUD you believe has the records about you.

(3) Specify when you believe the records would have been created.

(4) Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

If your request is seeking records pertaining to another living individual, you must obtain a statement from that individual certifying their agreement for you to access their records. Without the above information, HUD may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16.3, "Procedures for Inquiries." Additional assistance may be obtained by contacting Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110, Washington DC 20410.

1) Data is provided by State and tribal entities, or others who provide Federal certification data upon which the housing counseling certification is based.

2) Data is provided by the requesting applicant at the time of their request for housing counseling certification. This data is generated in the processing of the homeownership and rental housing counseling certification process.

None.

/ hou.sf/hud-05 Single Family Housing Enterprise Data Warehouse. HOU.SF/HUD-05.

Unclassified.

SFHEDW is housed in the HUD Data Center, which is located and backed up on servers housed at the National Center for Critical Information Processing and Storage at NASA’s Shared Services Center, Building 1111, Stennis Space Center, MS 39529-6000.

The backup location for SFHEDW is in Clarksville, Virginia.

Brian Faux Director, Office of Single-Family Program Development

Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC, 20410-0001. Telephone Number Phone: 800-CALL-FHA (800-225-5342).

The legal authorities to maintain the Single-Family Housing Enterprise Data Warehouse are:

Title I, section 2 of the National Housing Act (12 U.S.C. 1703), section 203 of the National Housing Act (12 U.S.C. 1708), section 203 of the National Housing Act (12 U.S.C. 1709), section 255 of the National Housing Act (12 U.S.C. 1715z-20), 31 U.S.C. 7701, 42 U.S.C. 3543, 24 CFR part 200, subpart U and 24 CFR 203.35.

The SFHEDW is an ongoing, fully operational data warehouse that is the key source for HUD employees and contractors who require access to Single Family mortgage insurance data. Users of SFHEDW have assigned roles, including a "need-to-know" standard access to the system's information. SFHEDW is an integrated data warehouse that contains critical Single Family business data from twenty (20) originating source systems, mostly from FHA Single Family automated systems. The system allows queries for reporting to support oversight activities, market and economic assessment, public and stakeholder communication, planning and performance evaluation, policies and guidelines promulgation, monitoring and enforcement.

System Users, Mortgagors (Borrowers), HECM Non-Borrowing Spouses, Appraiser Roster, 203k Coordinator Roster, Mortgagee (Lender) Staff including, but not limited to, loan originators, appraisers, underwriters, processors and file clerks, Individuals registering for access to the HUD Housing Counselor Certification Examination, Individuals registering for HUD Certified Housing Counselor status or for Housing Counseling Agency Application Coordinator for FHA Connection, Client Certificate of Housing Counseling

Mortgagors (Borrowers): Name, address, SSN or other identification number, racial/ethnic background (if disclosed), date of birth, sex (if disclosed) credit scores (often referred to as FICO® scores), marital status, and details about FHA insured loans, including loan application documentation. HECM Non-Borrowing Spouses: Name, SSN or other identification number, date of birth, and details about the mortgage loan, including application documentation. This information is collected by lenders during the mortgage application and underwriting process and provided to HUD when the lender applies for mortgage insurance.

Appraiser: CHUMS maintains and publishes a roster of approved appraisers with the Name (First, Middle, Last), address, email address, licensing, and demographic data including racial/ethnic background, Minority Business Enterprise (MBE) Code, and sex, for statistical tracking purposes.

203K Program Appraiser: name, address, email address, the Appraiser Roster minority data including racial/ethnic background, Minority Business Enterprise (MBE) Code, and sex, for statistical tracking purposes.

Lender Staff including, but not limited to, loan originators, appraisers, underwriters, processors, and file clerks: SSN, Nationwide Mortgage Licensing System (NMLS) number, or other identification number, market territory, and transaction history or workload of the individuals.

Individuals registering for access to the HUD Housing Counselor Certification Examination: Legal first and last name, mailing address, telephone number, email address, fax number (if applicable), SSN, and employer’s HUD Housing Counseling System (HCS) number. (If registrant’s employer is a housing counseling agency participating in HUD’s Housing Counseling Program). Registrants have the option of providing demographic information: race, ethnicity, gender, and languages in which counseling services are offered.

Individuals registering for HUD Certified Housing Counselor status or for Agency Application Coordinator for FHA Connection: Legal first and last name, mailing address, telephone number, email address, fax number (if applicable), SSN, HUD Housing Counselor Certification System ID number, mother’s maiden name, and employer’s HUD Housing Counseling System (HCS) ID number, and verification of employing agency’s name.

Housing Counseling Clients and Certificate Data: Legal first and last name and address of the housing counseling client receiving counseling services from an agency participating in HUD’s Housing Counseling Program; legal first and last name and the Counselor ID number of the counselor completing the client certificate of housing counseling; name, address, telephone number, Employer Identification Number (EIN).

HUD Employees: Names and identification of all HUD employees who have access to the system records. Also, identification information is stored for employees who work with mortgage applications through FHA Connection.

Mortgagors, appraisers, mortgagee staff, underwriters, and HUD employees provide data to the originating source systems. The originating source systems that provide data to SFHEDW are as follows:

1. A43—Single Family Insurance System (SFIS).

2. A80R—Single Family Premium Collections System—Upfront (SFPCS-U).

3. A80S—Single Family Acquired Assets Management System (SAMS)

4. F17—Computerized Home Underwriting Mortgage System (CHUMS).

5. F72—Title I Insurance and Claims System (TIIS).

6. F71A—Generic Debt Management System (GDEBT).

7. A15—Geocoding Service Center (GSC).

8. P271—Home Equity Reverse Mortgage Information Technology (HERMIT).

9. P269—Ginnie Mae’s Reporting and Feedback System (RFS).

10. P238—Ginnie Mae’s Portfolio Analysis Database System/Corporate Watch (GPADS/CW)

11. P278—Lender Electronic Assessment Portal (LEAP).

A. To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breached of the system of records, (2) HUD has determined that because of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

B. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

C. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (a) HUD, or any component thereof; or (b) any HUD employee in his or her official capacity; or (c) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (d) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

D. 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 record pertains.

E. To the General Accounting Office (GAO), for audit purposes.

F. To contractors, grantees, experts, consultants, and the agents 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, including but not limited to testing of technology. Such disclosure to be limited to only those data elements considered relevant to accomplishing an agency’s function. 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.

G. To appropriate Federal, State, local, Tribal, or other 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 help in the enforcement of civil or criminal laws and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

H. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (a) HUD, or any component thereof; or (b) any HUD employee in his or her official capacity; or (c) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (d) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic

Name, Social Security Number, Telephone Number, Case Number

records within SFHEDW are permanent and can be maintained until they are no longer needed for administrative, legal, audit, or other operational purposes.

Administrative Safeguards: Electronic records are maintained in secured areas, and access is limited to authorized personnel. There are no paper records maintained requiring safeguarding by this system.

The rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

80-FR-12516, March 09, 2015.

/HS-22 Housing Counseling System (HCS) with a sub-module as a database naming Client Activity Report System (CARS)

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.

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.

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.

Section 106(a) of the 1968 Housing Act; 12 U.S.C. 1701.

Purpose:

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.

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.

See Routine Uses paragraphs in prefatory statement. Other routine uses:

 For Pooling current agency contact information for the public awareness, monitoring agency grant spending, monitoring agency performance in client counseling;

 To HUD systems such as, CHUMS, and Office of the Chief Financial Officer (CFO) to allow lending institutions verification of HUD programs for agencies;

 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.

All documents are stored electronically in secure locations--there will be no retaining of paper copies.

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.

Name, Case Number, Client property address

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.

George Grotheer, Program Manager, Single Family Housing Program Support Division, HUPH 451 Seventh Street, SW., Room 9274, Washington, DC 20410. Phone: 202-402-2294

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.

(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

(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.

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.

None.

/HS-56 Distributive Shares and Refunds System (DSRS, A80D).

Government-owned HITS Data Center in South Charleston, West Virginia and Lanham, Maryland.

All homeowners who had FHA-guaranteed loans or FHA direct loans.

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

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

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.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, other routine uses are as follow:

(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;

(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? ( http://www.hud.gov/ofices/hsg/cop/refunds/index.cfm). At this site, homeowners and other interested parties can determine if they have a refund/share due;

(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,

(d) To the U.S. Department of the Treasury--to issue payment to the homeowner(s) and/or claimants.

Storage:

Records are maintained on the mainframe and on microfilm, microfiche, and CD.

Records are retrieved by FHA case number and for the webpage by an individual's name.

Records are maintained in secured office space and secure file rooms to which access is limited to those personnel who service the records.

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.

Chief, Disbursements &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

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.

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.

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.

None.

/HS-58 Single Family Mortgage Asset Recovery Technology (SMART).

Morris-Griffin Corporation (Sub-Contractor site), Lanham, Maryland; C & L Service Corporation/Morris-Griffin Corporation (Contractor/Sub-Contractor site), Tulsa, Oklahoma (Access for HUD users is through a Citrix Server).

Mortgagors (Secretary-Held First, Second and Subordinate Note and mortgages).

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.

Sec. 204, National Housing Act, 12 U.S.C. 1710(a) in general.

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.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, other routine uses are as follows:

(a) To the U.S. Treasury--for disbursements and adjustments; and

(b) To the Internal Revenue Service--for reporting payments for mortgage interest, for reporting of discharge indebtedness and real estate taxes.

(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.

Storage:

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.

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.

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.

Are in accordance with HUD Records Disposition Schedule 2225.6, Appendix 20.

Sharon Lundstrom, Director, Housing, Office of Single Family Asset Management, Servicing & 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.

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.

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.

The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information is needed, contact:

(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

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street, SW., Washington, DC 20410.

The original information was transferred from the A43C System and an access database program; records were also established using the legal instruments (i.e., 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.

None.

/OCHCO-01

Human Resource (HR) Case Management Solution, HUD/OCHCO-01

Unclassified

United States Department of Housing and Urban Development Headquarters location, 451 7th Street, SW, Washington, DC 20410-0001

Director, Human Capital Information System Division (HCISD), Office of the Chief Human Capital Officer (OCHCO), 451 Seventh Street, SW, Washington, DC 20410-0001.

The collection and maintenance of accommodation records is authorized by the Rehabilitation Act, 29 U.S.C. 791, and Title VII of the Civil Rights Act, 42 U.S.C. 2000e, as well as Executive Orders 13164 and 14043, and 29 CFR 1605 and 1614.

The purpose of this system is to allow HUD to collect and maintain records on individuals (including employees and applicants for employment) requesting or receiving reasonable accommodations and religious and medical exception requests. Another purpose of this system is to monitor, process, track and report the processing of reasonable accommodation and exception requests while ensuring compliance with applicable laws and regulations, including confidentiality requirements protecting information individuals submit in support of accommodation requests and exception.

Current, former HUD employees and applicants for employment who request or receive reasonable accommodations or exceptions.

Name, home address, e-mail address(es), home telephone number(s), work telephone number(s), work address, protected health information, religion, vehicle license plate, legal documents and records, evidentiary records, requesters, attorneys or representatives’ names, fax number, office information, employment status, history or information, employee identification number, education records, case identifier and HUD ID, medical/religious exception requests, records, forms, documentation, reasonable accommodations applications, supporting documentation, and related data fields.

Information is obtained from the individuals or the representatives who request and/or receive a reasonable accommodation or medical and religious exceptions from HUD, directly or indirectly from an individual's medical provider or another medical professional who evaluates the request, directly or indirectly from an individual's religious or spiritual advisors or institutions, and HUD personnel who participate in the receipt, evaluation, review, decision and implementation of reasonable accommodation and exception requests, such as hiring officials, human resource officials, supervisors and managers, reasonable accommodation officials, attorneys, and deciding officials.

A. 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.

B. 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, and 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 to otherwise support the Department's mission.

C. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD or under contract to another agency when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

D. To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD, the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

E. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

F. 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

G. To a court, magistrate, administrative tribunal, or arbitrator while presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, 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. Disclosures made pursuant to this routine use are limited to when HUD determines that use of such records is relevant and necessary to the litigation, provided, however, that in each case, HUD determines that the disclosure of the records is a use of the information contained in the records that is compatible with the purpose for which the records were collected.

H. To the Department of Justice when (a) the agency, or any component thereof; or (b) any employee of the agency in his or her official capacity; or (c) any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee; or (d) the United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case, the agency determines that disclosure of the records to the Department of Justice is a use of the information contained in the records that is compatible with the purpose for which the records were collected."

I. 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.

K. 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.

Electronic Records are maintained and stored in a secured network environment. Paper copies records are stored and locked in cabinets.

Paper and electronic records are retrieved by the name, case number, HUD Identification number associated with the individual.

Destroy 3 years after employee separation from the agency or all appeals are concluded whichever is later, but longer retention is authorized if required for business use.

Electronic Records are maintained and stored in an electronic encryption database system. These records can only be access based off the user’s rights and privileges to the system. A multifactor identification method is required which consists of the several layers of security to access the records, such as a valid common access card, access to HUD’s network, a valid User ID and password, and a Personalized Identification Number (PIN).

Individuals seeking to determine whether this System of Records contains information on themselves should address written inquiries to the Department of Housing Urban and Development, Office of the Chief Human Capital Officer (OCHCO), 451 7th Street, SW Washington, DC, 20410-0001. For verification purposes, individuals should provide full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16.

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Department of Housing Urban Development, Office of the Chief Human Capital Officer (OCHCO), 451 7th street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide full name, office or organization where currently assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:

None.

N/A

/OCHCO.02

Anti-Harassment Program, HUD/OCHCO-02

Unclassified.

Records are maintained at the Department of Housing and Urban Development Headquarters, 451 7th Street, SW, Washington, DC 20410-0001.

Alejandro Hernandez, Director, Anti-Harassment Program, Office of the Chief Human Capital Officer (OCHCO), Office of 451 Seventh Street, SW, Washington, DC 20410-0001.

The Genetic Information Nondiscrimination Act of 2008 (GINA), 42 USC § 2000ff note; The Notification and Federal Employee Antidiscrimination and Retaliation Act of 2002, 5 USC § 2301 note.

The purpose of this system is to allow HUD to maintain case files on employees who participate in the Anti-Harassment Program (AHP). These records may be used to help streamline and make more efficient the administrative investigations and anti-harassment processes, while ensuring compliance with applicable laws and regulations, including confidentiality requirements protecting the information individuals submit in support of their harassment claims or other participation in the investigative process.

Current HUD employees, contractors and HUD volunteers.

allegations of harassment, information generated during fact-finding investigations, other records related to the investigation, and response taken as a result of the allegation.

Individuals from alleged victims and harassers, witnesses, members of the public, law enforcement officers of other Federal agencies, and other individuals involved with the allegation.

1. 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.

2. 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, and entities and their agents with whom HUD has a contract, service agreement, or grant for the purposes of statistical analysis such as: approved payments and other pertinent and relative information, and research in support of program operations, management, performance monitoring, evaluation, risk management, and policy development, or to otherwise support the Department's mission.

3. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD or under contract to another agency when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

4. To appropriate agencies, entities, and persons when: (I) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

5. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

6. 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

7. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

8. To any agency, person, or entity in the course of an investigation to the extent necessary to obtain information pertinent to the investigation.

9. To the alleged victim or harasser, or their representatives, the minimal information necessary to provide the status or the results of the investigation or case involving them.

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.

11. 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 conditions of employment.

12. To Federal, State, or local law enforcement agencies and privacy security contractors, as appropriate, information necessary: (1) to enable them to protect the safety of HUD employees, the security of the HUD workplace, the operation of HUD facilities, or (2) to assist investigations or prosecutions with respect to activities that affect such safety and security or activities that disrupt the operations of HUD facilities.

Electronic records.

Full name and case file numbers.

Temporary: Destroy 7 years after close of case, but longer retention is authorized if required for business use.

Administrative Safeguards: No paper records.

Technical Safeguards: Comprehensive electronic records are maintained and stored on a shared drive in an electronic encryption database system. These records can only be accessed based off the user’s rights and privileges to the system. Electronic records are stored on the Share Drive environment, which runs on the Department’s network (HUD). This environment complies with the security and privacy controls and procedures as described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal Information Processing Standards (FIPS). A valid HSPD-12 ID Credential, access to HUD’s LAN, a valid UserID and Password and a Personalized Identification Number (PIN) is required in order to access the records. These records are restricted to only those persons with a role in the Anti-Harassment Program, having a need to access them in the performance of their official duties.

For Electronic Records (cloud based): Comprehensive electronic records are secured and maintained on a cloud-based software server and operating system that resides in Federal Risk and Authorization Management Program (FedRAMP) and Federal Information Security Management Act (FISMA) Moderate dedicated hosting environment. All data located in the cloud-based server is firewalled and encrypted at rest and in transit. The security mechanisms for handing data at rest and in transit are in accordance with HUD encryption standards.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A.

/OCHCO.04

Hardship Reassignment Program, HUD/OCHCO-04.

Unclassified.

Records are maintained at the following locations: U.S. Department of Housing and Urban Development Headquarters location, 451 7th Street, SW, Washington, DC 20410-0001.

Sophia Spadacino, Acting Branch Chief, Office of the Chief Human

Capital Officer (OCHCO), Employee Health and Wellness Division (EHWD), Reasonable

Accommodation Branch (RAB), 451 Seventh Street, SW, Washington, DC 20410-0001.

The following legal authority (statute section, Executive Order, etc.) authorizes the maintenance of the records in the system: 5 C.F.R. § 335.102, 5 C.F.R. § 302.102(a), and 5 C.F.R. § 210.102(b)(12) and HUD’s Hardship Reassignment Policy and Procedures Handbook (650.1).

The purpose of this system is to allow HUD to collect and maintain records on employees requesting or receiving a relocation due to a hardship, while documenting such determinations to otherwise comply with mandates and Executive Orders. Other purposes for the use of this system are to monitor, process, track and report the processing of approved requests; to locate individuals for personnel research, and to document security violations and supervisory actions taken. Additionally, these records may be used to help streamline and make more efficient the investigations and adjudications processes, while ensuring compliance with applicable laws and regulations, including confidentiality requirements protecting the information individuals submit in support of their hardship reassignment request.

HUD employees.

Name, home address, e-mail address, home telephone numbers, office telephone numbers, work address, employment status, history, salary employee location, grade preference, family information such as medical records to include disability information.

HUD Employees.

A. 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.

B. To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, program and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

C. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

D. To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

E. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

F. 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.

G. 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.

Electronic Records and Paper records.

Records are retrievable by Full name.

Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later. NARA records schedule citation: DAA-GSR-2017-0003-0002

For Paper Records: Comprehensive paper records are kept in locked metal file cabinets in locked rooms in HUD Headquarters, in the Reasonable Accommodations Branch, which is the office responsible for the Hardship Reassignment. Access to these records is limited to only those persons who have a need for them in the performance of their official duties. All physical access to the building where the system of records is maintained is controlled and monitored by security personnel who perform security checks on a routine basis.

For Electronic Records: Comprehensive electronic records are maintained and stored in an electronic encryption database system. These records can only be accessed based off the user’s rights and privileges to the system. Electronic records are stored on the Shared Drive under P209 HUD LAN File Server environment, which runs on the Department’s network. This environment complies with the security and privacy controls and procedures as described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal; Information Processing Standards (FIPS). A valid HSPD-12 ID Credential, access to HUD’s LAN, a valid UserID and Password and a Personalized Identification Number (PIN) is required to access the Hardship Reassignment Program. These records are restricted to only those persons with a role in the Reasonable Accommodations Branch, having a need to access them in the performance of their official duties.

For Electronic Records (cloud based): Comprehensive electronic records are secured and maintained on a cloud-based software server and operating system that resides in Federal Risk and Authorization Management Program (FedRAMP) and Federal Information Security Management Act (FISMA) Moderate dedicated hosting environment. All data located in the cloud-based server is firewalled and encrypted at rest and in transit. The security mechanisms for handing data at rest and in transit are in accordance with HUD encryption standards.

Individuals seeking to determine whether this System of Records contains information on themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW Washington, DC. For verification, individuals should provide full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4 in the following format:

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16.8 or may be obtained from the system manager.

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the Department of Housing Urban Development Office of the Chief Human Capital Officer, 451 7th street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide full name, office or organization where currently assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made in accordance with 24 CFR Part 16, in the following format:

N/A.

/OCHCO-05

Performance Review Board Tool, HUD/OCHCO-05.

Unclassified.

Records are maintained at the following locations: U.S. Department of Housing and Urban Development Headquarters at 451 7th Street, SW, Washington, DC 20410-0001.

Bessie L. Williams, Office of Executive Resource, Office of the Chief Human Capital Officer (OCHCO), Office of 451 Seventh Street, SW, Room 2184 Washington, DC 20410-0001. Phone: (202) 402-3036.

Title 5, Code of Federal Regulations, 430.313) - Training and valuation.

This system lets the Office of Executive Resources efficiently manage the Performance Review Board(s) (PRB) process. Another purpose for this system is to provide a mechanism for the recording and storing of annual performance plans, reviews, rating recommendations, and feedback in accordance with HUD Senior Executive Service (SES) and Senior Level (SL) Performance Program Policy.

HUD Employees.

Employment Status, Name, Program Office, and Appointment Type.

Enterprise Talent Management System (InCompass).

1. To a congressional office from the record of an individual, in response to an inquiry at the request of that individual.

2. To contractors, grantees, experts, consultants, Federal agencies, and non-Federal entities, including, but not limited to, State and local governments and other parties, and entities and their agents with whom HUD has an agreement, service agreement, or grant for the purposes of historical analysis such as: other pertinent and relative information, in support of program operations, management, performance monitoring, evaluation, and policy development, or to otherwise support the Department's mission.

3. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service agreement, grant, cooperative agreement, or other agreement with HUD or under contract to another agency when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

4. To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records,· (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, [the agency] (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

5. To another Federal agency or Federal entity, when [the agency] determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

7. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, and to another party before such court, adjudicative, or administrative body; when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

8. 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 conditions of employment.

9. 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.

10. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

11. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic records.

Full Name.

General Records Schedule (GRS) 2.2 Employee Management Records, and GRS 070 &071, Acceptable &Unacceptable records, Disposition authority Numbers: DAA-GRS2017-0007-0008 &DAA-GRS 2017-007-009. GRS 070 – Temporary, destroy no sooner than 4 years after date of appraisal, but longer retention is authorized if required for business use. GRS 071 -Temporary, destroy after employee completes 1 year of acceptable performance from the date of written advance notice of proposed removal or reduction-in-grade notice. This disposition instruction is mandatory; deviations are not allowed.

For Electronic Records: Records are maintained and stored on the SharePoint environment, which runs on HUD’s network. These records can only be accessed based off the user’s rights and privileges to the system. Records are on an encrypted database system. This environment complies with the security and privacy controls and procedures as described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal; Information Processing Standards (FIPS). A valid HSPD-12 ID Credential, access to HUD’s Local Area Network (LAN), a valid User ID and Password and a Personalized Identification Number (PIN) is required to access the records. These records are restricted to only those people with a role in the PRB Process having a need to access them in the performance of their official duties.

For Electronic Records (cloud based): Records are secured and maintained on a cloud-based software server and operating system that resides in Federal Risk and Authorization Management Program (FedRAMP) and FISMA Moderate dedicated hosting environment. All data located in the cloud-based server is firewalled and encrypted at rest and in transit. The security mechanisms for handing data at rest and in transit are in accordance with HUD encryption standards.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A

N/A.

/OCHCO-06

Student Loan Repayment Program, HUD/OCHCO-06.

Unclassified.

Records are maintained at the following locations: U.S. Department of Housing and Urban Development Headquarters location, 451 7th Street, SW, Washington, DC 20410-0001.

Rassii Elliot, Program Manager, Contact Number (202) 402-5231, Office of the Chief Human Capital Officer (OCHCO), Office of 451 Seventh Street, SW, Washington, DC 20410-0001.

The Defense Acquisition Workforce Improvement Act, Pub. L. 101-510, div. A, title XII, sec. 1206(b)(1); 5 U.S.C. 5379, as amended, and implementing regulations at 5 CFR part 537.

The purpose of this system is to allow HUD to collect and maintain records on employees requesting or receiving repayments on qualified student loans. Another purpose of this system is to monitor, process, track and report the processing of approved student loan benefits while ensuring compliance with applicable laws and regulations, including confidentiality requirements protecting information individuals submit in support of student loan repayment requests.

Current and former HUD employees.

Full Name, employee HUD identification number, home and work addresses, home and work telephone numbers, education records, student loan applications, account numbers, loan balance, repayment schedule, repayment history, repayment status; email addresses, lender’s name, lender’s addresses, service agreements, program area, employee HUD office code, employee supervisor’s name, supervisor's HUD identification number, employee pay plan, employee occupational series, and employee position title.

Individuals and loan lenders (Department of Education and loan servicing companies).

1. 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.

2. 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, and 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 to otherwise support the Department's mission.

4. To appropriate agencies, entities, and persons when: (I) HUD suspects or has confirmed that there has been a breach of the system of records; (II) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (III) 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 breach or to prevent, minimize, or remedy such harm.

5. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (I) responding to a suspected or confirmed breach or (II) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

9. 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.

Electronic and paper records.

Full name and HUD identification number.

GRS 2.4 Employee Compensation and Benefits Records. Incentive package records. Records of recruitment, relocation, and retention incentives; federal student loan repayment; and supervisory differentials offered under the Federal Employees Pay Comparability Act. Temporary. Destroy 3 years after date of approval, completion of service agreement, or termination of incentive or differential payment, whichever is later, but longer retention is authorized if required for business use.

For Paper Records: Comprehensive paper records are kept in locked metal file cabinets in locked rooms in HUD Headquarters, in the Office of Policy, which is the office responsible for the Student Loan Repayment Program. Access to these records is limited to only those persons who have a need for them in the performance of their official duties. All physical access to the building where the system of records is maintained is controlled and monitored by security personnel who perform security checks on a routine basis.

For Electronic Records: Comprehensive electronic records are maintained and stored in an electronic encryption database system. These records can only be accessed based off the user’s rights and privileges to the system. Electronic records are stored on the SharePoint "online", D110 Microsoft Office 365 Multi-Tenant Software (MS O365 MT) environment, which runs on the Department’s network (HUD). This environment complies with the security and privacy controls and procedures as described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal; Information Processing Standards (FIPS). A valid HSPD-12 ID Credential, access to HUD’s LAN, a valid UserID and Password and a Personalized Identification Number (PIN) is required to access the Student Loan Repayment Program. These records are restricted to only those persons with a role in the Student Loan Repayment Program, having a need to access

them in the performance of their official duties.

Individuals requesting records of themselves should address written inquiries to the Department of Housing and Urban Development, 451 7th Street, SW Washington, DC 20410-0001. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing and Urban Development, 451 7th street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

N/A.

Docket No. FR-7062-N-10, July 25, 2022 at 87 FR 44143.

HSNG.MF/HTS.02 Tenant Rental Assistance Certification System (TRACS)─F87

The system is hosted at the HUD data center in Charleston, West Virginia. Users have on-line access to the system at the Department of Housing and Urban Development Headquarters, 451 Seventh Street, SW, Washington, DC 20410, HUD Field and Regional Offices, or at the locations of the service providers under contract with HUD.

TRACS categories of records include, records reported to HUD for each individual receiving housing assistance from HUD under the following programs: Section 8, Section 236 (including Section 236 RAP), Rent Supplement, Section 221(d)3 BMIR, Section 811, and Section 202 (e.g., all participants of certain HUD Rental Housing Assistance Programs); records for each Public Housing Authorities (PHA), PHA-owner or management agents who receives payments for these assisted housing programs (e.g., sole proprietors who administer these programs).

The system of records contains manual and automated records consisting of tenant information supplied to HUD from PHAs or PHA-owner or management agents; data supplied by the tenant, or through a third party verification process. The full extent of the data fields collected is detailed in the 202D MAT GUIDE.

The categories of records include, but are not limited to Tenant:

(1) Identification Information: Name; Social Security number (SSN); alien registration information; address and tenant unit number, date of birth, phone number, driver’s license, email, DUNS number.

(2) Characteristics Information: 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), sex and ethnicity of Head of household and their family members.

(3) Preference(s) Applicable to Family Admission: Income status at admission, adjustments to income, contract rent amount, tenant rent, unit characteristics such as number of bedrooms, tenant to determine eligibility or level of assistance.

(4) Verification Information: State wage information pertaining to 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.

(5) Geographic Information: Street address, zip code.

TRACS also include information reported to HUD by PHA or PHA-management or owner agents or contract administrators, as follows:

(1) PHA, PHA-owner or management agent’s/contractor administrator’s information: Manual and automated records on all their contractual agreements, and financial information (i.e., names, addresses, Taxpayer Identification Numbers (TINs) or SSNs, obligations, payments, and contract terms) for public housing agencies, and/or owners/management agents or contract administrators.

United States Housing Act of 1937, as amended, 42 U.S.C. § 1437 et seq., The Housing and Community Development Act, 42 U.S.C § 3543, Section 165. The Housing and Community Development Amendments of 1981, Public Law 97-35, 95 Stat. 408. Housing and Community Development Act of 1987, Public Law 100-242, title I, § 165, Feb. 5, 1988, 101 Stat. 1864. Stewart B. McKinney Homeless Assistance Amendments Act of 1988 Section 904 as amended by the Housing and Community Development Act of 1992 Section 903, and the Omnibus Budget Reconciliation Act of 1993 Section 3003, 42 U.S.C. § 3544.

TRACS accepts tenant and voucher request data to facilitate rental assistance for very low/low income households. It facilitates the payment to authorized owners/agents/housing authorities and/or contract administrators. TRACS has edit checks and functionality to verify data quality, and interfaces with other HUD systems exist to validate tenant income, verify contract funding, obligate and commit contract funds, provide information to other HUD divisions, and submit voucher requests for payment in order to try to minimize improper payments and fraud. TRACS provides data needed to: (1) Determine the amount of housing assistance tenants may receive, (2) Calculate payments due to PHAs, PHA-owners/management agents, or contract administrators, (3) Make budgets forecasts, (4) Control funds, (5) Collect and maintain accurate rental assistance data, (6) Automate and improve management of assisted housing programs, (7) Reduce manual processes and paperwork, and (8) Detect subsidy fraud, waste, and abuse in multifamily housing rental housing assistance programs. The assisted housing programs within TRACS' scope include:

•Section 236 Interest Reduction and Rental Assistance Payments.

•Section 8 New Construction/Substantial Rehabilitation Housing Assistance Payments.

•Section 8 Loan Management/Property Disposition Set-Aside Housing Assistance Payments.

•Section 221(d) (3) Below Market Interest Rate (BMIR) mortgage insurance.

•Rent Supplement Payments.

•Certain Section 202 programs.

•Section 202/811 Project Rental Assistance Payments.

1. To appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I – HUD’s Library of Routine Uses last published in the Federal Register.

2. 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;

7. To the National Archives and Records Administration (NARA) or to the General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906.

8. To 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.

9. To 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.

10. To 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.

11. To HAs, owners, management agents and contract administrators to identify and resolve discrepancies in tenant data.

12. To the Internal Revenue Service to report income using IRS Form 1099.

13. To Social Security Administration and Immigration and Naturalization Service to verify alien status and continued eligibility in HUD's rental assistance programs via EIV.

14. 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 record pertains.

Storage:

Records in this system are stored electronically or on paper in secure facilities. The records may be stored on magnetic disc, tape, and digital media. Tenant data is stored at the National Archives and Records Administration (NARA) facility.

Name, address, SSN, or other identification number (contract or project numbers)

Access to TRACS is by password and user ID and limited to authorized users. Paper records are maintained and locked drawer or in file cabinets. Role-based access levels or assignment roles are restricted to those who have a need-to-know. When first gaining access to TRACS and on an annual basis, all users must agree to the systems "Rules of Behavior" which specify handling of personal information and any physical records. Authorized users can download reports–the SSN is masked in both the system and reports during the download process.

Data is sent to NARA on a yearly basis. Paper records are destroyed by shredding or burning. Backup and Recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88 Revision 1 "Guidelines for Media Sanitization" (December 2014). All records and data are retained and disposed of in accordance with guidance from the Records Disposition Management (2228.1) and the HUD Records Disposition Schedules Handbook (2225.6 Rev-1), as described in Records Disposition Schedule 10, Item 14.

For inquiries relating to TRACS, contact:

Office of the Assistant Secretary for Housing, Director, Housing Information and Statistics Division, Office of Management; Office of Multifamily Housing Management, Director, Planning and Procedures Division; Deputy Assistant Secretary for Multifamily Housing Programs, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410, for Section 8, Section 236 (including Section 236 Rental Assistance Payments (RAP) projects), Rent Supplement, Section 221(d)3 BMIR, Section 811, and Section 202 activities.

Office of Assistant Secretary for Public and Indian Housing: Office of Public Housing, Chief, Occupancy Branch, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410 for Public and Indian Housing and Section 8 existing and Moderate Rehabilitation (Mod Rehab) Program activities.

Office of Public and Indian Housing, Director: Computer Matching Activities Division, Office of Public and Indian Housing, Comptroller, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410 for TRACS Computer Matching Activities.

For Information, assistance, or inquiries about the existence of records contact Helen Goff Foster, Chief Privacy Officer/Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number (202) 402-6836. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR Part 16. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

a. Explain why you believe HUD would have information on you.

b. Identify which Office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the FOIA staff determine which HUD office may have responsive records.

If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA Office may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting Helen Goff Foster, Chief Privacy Officer/Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110, Washington, DC 20410.

Records in the system are obtained from PHAs, PHA-owners, and management agents/Housing Authorities and/or Contract administrators on behalf of the assisted tenants. The basis for these electronic submissions to TRACS is the form HUD-

50059, Owner's Certification of Compliance with HUD's Tenant Eligibility and Rent Procedures, and the form HUD-52670.

None

/HOU-11

Tenant Rental Assistance Certification System (TRACS) – HUD/HOU-11.

Unclassified.

The Department of Housing and Urban Development Headquarters, 451 Seventh Street SW, Washington, DC 20410-0001; and at HUD Field and Regional Office. TRACS is maintained at: the National Center for Critical Information Processing and Storage, 9325 Cypress Loop Road, Stennis, MS 39629.

Lanier M. Hylton, Senior Program Manager, Office of Deputy Assistant Secretary for Multifamily Housing Programs, 451 7th Street SW, Room 6124 Washington, DC 20410, (202) 708-2495.

The United States Housing Act of 1937, Public Law 93-383, 88 Stat. 653, as amended, 42 U.S.C. 1437 et seq.; The Housing and Community Development Act of 1987, Public Law 100-242, 101 Stat. 1864, section 165, 42 U.S.C 3543, The Housing and Community Development Amendments of 1981, Public Law 97–35, 95 Stat. 408; The Stewart B. McKinney Homeless Assistance Amendments Act of 1988, Public Law 100-628, 102 Stat. 3259, section 904 as amended, 42 U.S.C. 3544.

TRACS performs edit checks and accepts tenant and voucher request data needed to verify data quality, and interfaces with other HUD systems to validate tenant income, verify contract funding, obligate, and commit contract funds, provide information to other HUD divisions, and submit voucher requests for payment to minimize improper payments, and detect subsidy fraud, waste, and abuse in multifamily housing rental housing assistance programs. TRACS automates and integrates critical modules for TRACS activities related to the Contract Business System, the Tenant Business System, and the Voucher/Payment Business System:

• Integrated Multifamily Access Exchange (iMAX) provides efficient access to authorized industry partners (i.e., Contract Administrators (CAs) and Owner/Agents (OAs)) to transmit tenant data and voucher data files to HUD and other authorized partners.

• Integrated Contracts (iCon) supports rental assistance contracts repository. Contracts are added (e.g., for the Rental Assistance Demonstration (RAD) and Paperwork Reduction Act (PRA) 811 demo programs) and maintained by internal MFH staff.

• Automated Renewal and Amendment Management Subsystem (ARAMS) Supports funding functions for contract renewals and amendments. Headquarters staff enter and update funding transactions which are then interfaced to Line of Credit Control System (LOCCS).

Individuals receiving project-based rental housing assistance; property owner, management agent, and contract administrator who administers or receives subsidies.

Full Name, SSN, Date of Birth, Employment Status/History/Information, Address, Marital Status, Military Status or other information, Race/Ethnicity, Phone Number(s), Email Address(s), Salary, Sex, Taxpayer ID, User ID, Name of head of household member, Name of all household members, Name of Owners/management agent, Tenant/ owners/management agent, Identification number: Alien Registration Number and Taxpayer Identification Number (TIN), Spouse name, and financial transactions pertaining to the contracts.

Records in the system are obtained from owners/management agents/Housing Authorities and/or Contract administrators on behalf of the assisted tenants. The TRACS system and contained subsystems may collect data and information from the following other systems: Geocode Service Center (GSC), Line of Credit Control System (LOCCS), HUD Central Accounting and Program System (HUDCAPS), Integrated Real Estate Management System (iREMS), Enterprise Income Verification (EIV), Multifamily Data Warehouse (MFH) Data Mart, and Web Access Security System (WASS).

(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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement for the purposes of statistical analysis and research in support of program operations, management, performance monitoring, evaluation, risk management, and policy development, to otherwise support the Department’s mission, or for other research and statistical purposes not otherwise prohibited by law or regulation. 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.

(2) To 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.

(3) To Private Owners of assisted housing to verify the accuracy and completeness of the applicant and tenant data used in determining eligibility and continued eligibility and the amount of assistance received by the applicant.

4) To HAs, owners, management agents and contract administrators to identify and resolve discrepancies in tenant data.

(5) To the Internal Revenue Service to report income using IRS Form 1099 and to disclose records to the Internal Revenue Service when HUD determines that the use of those records is relevant and necessary to report payments or discharge of indebtedness.

(6) To Social Security Administration and Immigration and Naturalization Service to verify alien status and continued eligibility in HUD's rental assistance programs via Enterprise Income Verification (EIV).

(7) To the 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 record pertains.

(8) To the Universal Service Administrative Company (USAC), which is designated by the Federal Communications Commission (FCC) as the Federal administrator of the Universal Service Fund (USF or Fund) Lifeline Program (Lifeline), the Emergency Broadband Benefit (EBB) program and other Federal Telecommunications Benefit (FTB) programs that utilizes Lifeline eligibility criteria as specified by the Lifeline program, 47 CFR 54.409. The purpose of this routine use is to establish eligibility for the Lifeline, EBB and other FTB programs for families which also participate in a HUD rental assistance program.

(9) To any Federal, State, or local agency (e.g., State agencies administering the State’s unemployment compensation laws, Temporary Assistance to Needy Families, or Supplemental Nutrition Assistance Program 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 under the Payment Integrity Information Act of 2019, Pub. L. 116-117., and to aid in the identification of tenant errors, fraud, and abuse in assisted housing programs.

(10) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security: and (3) 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 breach or to prevent, minimize, or remedy such harm.

(11) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(12) To contractors, experts, and consultants with whom HUD has a contract, service agreement, or another assignment when HUD provides system access to HUD contractors to develop, maintain and troubleshoot application issues to support the Department’s programs needed to meet its mission. Upgrades and migrations to this TRACS system are needed to meet the changes in technology and improve system performance.

(13) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: (1) detection, prevention, and recovery of improper payments; (2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (3) detection of fraud, waste, and abuse by individuals in their operations and programs; (4) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs. Records under this routine use may be disclosed only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds or to prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(14) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records.

(15) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(16) To appropriate Federal, State, local, Tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(17) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic and paper.

Name, SSN, Home

Address.

TRACS retention and disposal requirements are assessed at the module level:

(a) ARAMS module (Contract Database) retention instruction is Temporary: Delete data twenty-five years after the contract expiration date.

(b) Tenant Module retention (Extract of TRACS Tenant Data (HUD 50059 data)) instruction is Permanent: Transfer current year electronic data to the National Archives annually at end of calendar year. The initial transfer must include historic (1995-2006) and current electronic data. Nl-207-06-2, item 14.B (a)(2).

(c) Voucher Module (Voucher Database) retention instruction is Temporary: Archive data to tape five (5) years after the last voucher date or any voucher from a contract that has been terminated five (5) years or longer. Delete data from the tape twenty-five (25) years after the last voucher date or any voucher from a contract that has been terminated twenty-five (25) years or longer. N1-207-06-2-Item 14 B a2(c).

(d) iMAX Module retention is Temporary: Delete data twenty-five years after contract expiration date. (NARA Job No. N1-207-06-2, item 14.B (a)(2)(b).

(e) User Guides and Manuals for TRACS and all modules or subsystems retention instruction is Temporary: Destroy or delete when superseded or obsolete. N1-207-06-2, item 14.D(e)

(f) iCon module (Contract Database) retention is Temporary: Delete data twenty-five years after the contract expiration date. Backup and Recovery of digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800¬88 Revision 1 "Guidelines for Media Sanitization" N1-207-06-2-Item 14 B a2(b).

(g) Tenant Database (HUD 50059 data) retention is Temporary. Archive data to tape three (3) years after the certification effective date. NARA Job No. N1- 207-06-2, item 14.B (a)

(h) Tenant Archives Database (Sub-set of data derived from Tenant Database) Retention is Temporary. Delete data twenty-five (25) years after the tenant move-out date or twenty-five (25) years after the termination date. NARA Job No. 1-207-06-2, item 14.B(a)(1)

(i) System Documentation and Data Administration Records GRS 3.1 Item 50 & 51

a. Item 50-Documentation necessary for preservation of permanent electronic records. Permanent. Transfer to the National Archives with the permanent electronic records to which the documentation relates. DAA-GRS-2013-0005-0002

b. Item 51-All documentation for temporary electronic records and documentation not necessary for the preservation of permanent records Temporarily. Destroy 5 years after the project/activity/ transaction is completed or superseded, or the associated system is terminated, or the associated data is migrated to a successor system, but longer retention is authorized if required for business use. DAA-GRS-2013-0005-0034.

(j) System Development records. GRS 3.1 Item 10 & 11

a. Item 10-Infrastructure project records. Temporary. Destroy 5 years after the project is terminated, but longer retention is authorized if required for business use. DAA-GRS-2013-0005-0006.

b. Item 11-System development records. Temporary. Destroy 5 years after the system is superseded by a new iteration, or is terminated, defunded, or no longer needed for agency/IT administrative purposes, but longer retention is authorized if required for business use. DAA-GRS-2013-0005-0007.

(k) Systems and data security records GRS 3.2 Item 10

a. Item 10-Systems and data security records. Temporary. Destroy 1 year after the system is superseded by a new iteration or when no longer needed for agency/IT administrative purposes to ensure a continuity of security controls throughout the life of the system. DAA-GRS-2013-0006-0001

(l) System Access Records GRS 3.2 Item 31

a. Item 31-Systems requiring special accountability for access. Temporary. Destroy 6 years after the password is altered or the user account is terminated, but longer retention is authorized if required for business use. DAA-GRS-2013-0006-0004.

(m) Input and Output Files GRS 5.1 Item 20

a. Item 20- Temporary. Destroy immediately after copying to a recordkeeping system or otherwise preserving, but longer retention is authorized if required for business use. DAA-GRS-2016-0016-0002.

Access to TRACS is by password and user ID and is limited to authorized users. Role-based access levels or assignment roles are restricted to those with a need to know. When first gaining access to TRACS annually, all users must agree to the system’s Rules of Behavior, which specify the handling of personal information and any physical records. Access to facilities containing and storing physical copies of this data is controlled by security protocol signed to limit access to authorized individuals.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

Docket No. FR-7077-N-13, 88 FR 62813, September 13, 2023.

HSNG.MFH/HTHE.01 Development Application Processing System (DAP)─F24A.

The categories of individuals covered by DAP include both the Mortgagees and Mortgagors.

(1) Mortgagees Contact/Identification Information: Name, address, telephone, Social Security number (SSN).

(2) Application Data/Status: Financing (Federal Housing Administration, Risk Sharing, 202/811) application information and status.

(3) Mortgagors Contact/Identification Information: Name, personal/business address, telephone, tax identification number (TIN), SSN, employer identification number (EIN).

Sec. 113 of the Budget and Accounting Act of 1950, The National Housing Act (12 U.S.C § 1713 et seq., Pub. L. 81-784. The Housing and Community Development Act, 42 U.S.C § 3543, Section 165. National Housing Act (12 U.S.C. 1713 et seq.)

The DAP system supports processing and tracking of FHA applications, Healthcare, and the tracking and scoring of 202/811s (applications for financing the elderly and disabled.) The system provides comprehensive tracking and processing controls from the pre-application stage through the final endorsement/closing stage and monitors inspections for select Multifamily Housing Development programs. Detail business rules are automated to reduce errors, new project numbers are generated, lender/participant information collected, and data interfaced to other critical MFH systems. Additionally, the Form HUD-290 report is automatically generated at initial and final endorsement and triggers insurance in force activities in the FHA Subsidiary Ledger (FHASL).

1. To appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I – HUD’s Routine Uses Inventory Notice last published in the Federal Register.

2. 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;

4. 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 record pertains.

5. To the U.S. Treasury for disbursements and adjustments.

6. To the Internal Revenue Service for reporting payments for mortgage interest, for reporting of discharge indebtedness and real estate taxes.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, and digital media.

Electronic records may be retrieved by the project number, project name, office or hub, and Section of the Act (ACT) category. Search results can further be limited by phase/status and project characteristics. The participant’s TAX ID/SSN/Name can be used to search for participants.

Access to electronic systems is by password and code identification card access and limited to authorized users. Paper records are maintained and locked in file cabinets. Background screening, limited authorization 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.

This is in accordance with HUD’s records schedule of retention and disposal. Manual files/records are sent to storage upon project receiving final endorsement to the storage facility in Tulsa, OK. Backup and Recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88 Revision 1 "Guidelines for Media Sanitization" (December 2014). F24A DAP – Use HUD Record Schedule 56 as applicable. Disposition of the DAP records varies on the type of documents. Obsolete records are destroyed after 3 years. Disposition of Application Loan and Loan Agreement Files: Destroy 3 years after final settlement or paid in full. Disposition of Construction Contracts and related documents: Destroy 6 years after final payment. Disposition of Mortgage Transcript Documents Project and Asset Management Records: Destroy 3 years after repayment.

Director, Office of Multifamily Production, Office of Multifamily Housing, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.

For Information, assistance, or inquiries about the existence of records contact Helen Goff Foster, Chief Privacy Officer/Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, D.C. 20410, telephone number 202-402-6836. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR Part 16. You must first verify your identity by providing your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

(1) Explain why you believe HUD would have information on you.

(2) Identify which HUD office you believe has the records about you.

(3) Specify when you believe the records would have been created.

(4) Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

If you are seeking records pertaining to another living individual, you must obtain a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA Office may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting Helen Goff Foster, Chief Privacy Officer/Senior Agency Official for Privacy, 451 Seventh, Street, SW, Room 10139, Washington, DC 20410, telephone number (202) 402-6836, or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.

Records in the system are obtained from the applications for Multifamily Housing Projects; (HUD 9213) and other required HUD forms, drawings and narratives (lender’s submission package) submitted to the HUD office.

None.

/ HUD/MFH-01 Active Partners Performance System (APPS), HUD/MFH-01.

Unclassified.

HUD Headquarters at 451 Seventh Street SW, Room 6176, Washington DC 20410-0001. APPS is maintained and backed up on servers housed at the National Center for Critical Information Processing and Storage located at 9325 Cypress Loop Road, Stennis Space Center, MS 39529.

Devasia Karimpanal, Program Specialist, Office of Housing, Business Relationships and Support Contracts Division, HUD Headquarters, 451 7th Street SW, Rm 6176, Washington DC 20410-0001, telephone number (202) 402-7682.

Section 7(d), Department of Housing and Urban Development Act, 79 Stat. 670, (42 U.S.C. 3535(d)). HUD is authorized to collect the Social Security Number (SSN) by section 165(a) of the Housing and Community Development Act of 1987, Public Law 100-242 (42 U.S.C. 3543).

APPS automates the submission and review of HUD previous participation certification process (Form HUD-2530), which initiates the review and approval process for industry entities who would participate in a HUD project. The data collected through the HUD-2530 process is used by HUD employees to assess applicant's suitability to participate in HUD projects considering their track record in carrying out financial, legal, and contractual obligations in previous projects, in a satisfactory and timely manner. An approved HUD-2530 is a prerequisite for industry partners to participate in HUD projects. APPS contains data concerning principal participants in multifamily housing projects, including their previous participation with HUD or other housing agencies. APPS also tracks non-compliance of multifamily project participants' by flagging the participants for non-compliance with regulatory and contractual agreements. Flags are used to evaluate the risk of the participants prior to approval for future participation.

General public who participate in HUD multifamily/healthcare programs as owners, general contractors, management agents, consultants, facility operators and master tenants.

(1) Contact Information: Full Name (first/last), Social Security Number (SSN), Address (work/personal), telephone number (work/personal), Email (work/personal) and Tax Identification Number (TIN). (2) Previous Participation Information: Social Security number (SSN), tax identification number (TIN), and entity type and their legal structure. (3) Project Level Information: Lists of prior HUD projects: Summary 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; flags and the reason for the flag on an external individual or company participant.

Industry partners who are participating in the HUD project and their associates. The following internal application systems access APPS data from a shared repository/server:

•

Integrated Real Estate Management System (iREMS).

•

Web Access Security System (WASS).

•

HUD-2530 eForms.

(1) Congressional Inquiries Disclosure Routine Use: 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.

(2) Data Breach Remediation Purposes Routine Use: To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records; (b) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with [the agency’s] efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(3) Data Breach Assistance Routine Use: To another Federal agency or Federal entity, when HUD determines that information from this systems of record is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal government, or national security resulting from a suspected or confirmed breach.

(4) Disclosures for Law Enforcement Investigations Routine Uses: To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(5) Court or Law Enforcement Proceedings Disclosure Routine Uses: To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, 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 and when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(6) Office of Government Information Services Disclosure Routine Use: To the National Archives and Records Administration (NARA), Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies.

(7) Information Sharing Environment Disclosure Routine Uses: To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those records data elements considered relevant to accomplishing an agency function.

Temporary. Maintain active office files for 2 years and then retire to the Federal Records Center. Destroy when 4 years old. HUD Records Disposition Schedule, Section 18, item 4(a). NARA Job No. NC1-207-79-3-4(a).

Name, SSN, and TIN.

Access to the system, storage, backup, and infrastructure equipment is monitored and by password and code identification card access and limited to authorized users.

The rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR part 16.8 or may be obtained from the system manager.

None.

Docket No: 81 FR 50000, Agency/ Doc No: FR-5921-N-10, July 29, 2016.

/ HUD/FHEO-02 HUD Enforcement Management System (HEMS), HUD/FHEO-02.

Unclassified.

Records are maintained at NCCIPS Building 9325 Stennis Space Center, MS 39529-6000. The Paper Records are located at the FHEO Regional office.

Patrina Munson, 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 20410-0001.

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. 2000d - 2000d-7). Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794). Section 109 of title I of the Housing and Community Development Act of 1974 (42 U.S.C. 5309); 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. 6101-6107); Title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681-1688), and the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.); title 2, Code of Federal Regulations (CFR), parts 180 and 2424. Title 31 U.S.C 6101; title 41 U.S.C.; title 42 U.S.C. 3533 and 3535; and Executive Orders 12549 and 12689. Violence Against Women Act (VAWA), 34 U.S.C. 1294(c) & 1295(d).

To serve as a repository for case data on housing discrimination complaints and case files during the investigation process and to automate the enforcement lines of business for FHEO. The Department of Housing and Urban Development (HUD), Office of Fair Housing and Equal Opportunity (FHEO) maintains the HUD Enforcement Management System (HEMS) system of records. HEMS is the system where case data on housing discrimination complaint inquiries and case files are documented during the investigation process. Personal information is collected on a case-by-case basis to contact the people involved or if relevant to the particular case. The public may submit a housing discrimination complaint through the online HUD Form 903 on HUD’s website, or by contacting FHEO by mail, phone, email, or in person. Data from the online HUD Form 903, including some contact information supplied by the complainant, goes directly into HEMS. Complaints made through other forms of submission are entered into HEMS by FHEO staff or staff from partner state and local government agencies.

Complainants and their Representatives, Respondents and their Representatives, witnesses who were interviewed during the investigation, and case investigators.

Respondents and/or Complainants and/or Witnesses and/or Contacts Full Name, Email Address, Fax Number, Phone Number(s), Mailing Address.

Individuals, including from the Housing Discrimination Complaint Form 903, publicly available data sets (e.g., property ownership records) and the following Federal, State, and local entities; United States Department of Agriculture (USDA), Federal Financial Institutions Examination Council (FFIEC) which includes five banking regulators—the Federal Reserve Board of Governors (FRB), the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Office of the Comptroller of the Currency (OCC), the Consumer Financial Protection Bureau (CFPB), and State and Local Government Fair Housing Agencies that partner with FHEO.

(1) (a) 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 (information disclosed under this routine use is subject to Privacy Act requirements and limitations on disclosures are applicable to HUD officials and employees).

(b) To State and local agencies certified by HUD to investigate and adjudicate title VIII housing discrimination complaints; State and local agencies also use HEMS to record investigation information.

(c) To a party (complainant or respondent) to an investigation once the investigation is closed, upon the party’s request, information derived from an investigation and any final investigative report relating to that investigation, including the names of witnesses, except when requesting anonymity pursuant to 24 CFR 103.230(a)(1).

(2) 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, and 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 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.

(3) To contractors, experts, and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(4) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD, the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(5) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations) the Federal Government, or national security, resulting from a suspected or confirmed breach.

(6) 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(9) To the USDA for sharing information on investigations involving the same title VI and title VIII Federal funding recipients.

(10) To the FFIEC for investigating banks that are respondents in title VIII investigations.

Paper and electronic records.

Inquiry Number, Case Number, Fair Housing Assistance Program (FHAP) Case Number, Case Name, Address.

Permanent. The retention period for the information in HEMS is maintained for the life of the case to support the activity and other enforcement activities that may become related to the case.

A User ID and password are required for authentication. Users must sign a Rules of Behavior form prior to being granted system access. These rules emphasize privacy protection of personally identifiable information in HEMS. 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 regarding accessing the computer and data files.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing Urban Development, 451 7th Street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4

The housing discrimination related records in HEMS 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. Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials, including conciliation files, in records contained in this system which meet the criteria of this subsection, are exempt from the notice, access, and contest requirements (under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f)) as promulgated in 24 CFR 16.15(a)(1).

Docket No. FR-5763-N-12, 79 FR 62658, October 20, 2014.

/OFHEO--07 Mortgage Fraud System.

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.

The Mortgage Fraud System contains information about:

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).

2. In connection with any such known or possible mortgage fraud:

(a) Individuals who are directors, officers, employees, agents, of an Enterprise;

(b) Individuals or entities that are actual or potential victims of mortgage fraud;

(d) Individuals who are named as possible witnesses;

(e) Individuals or entities who have or might have information about reported matters;

(f) Individuals or entities named as preparers of any reports; or

(g) Individuals or entities named as persons to be contacted for assistance by OFHEO.

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.

The system is established and maintained pursuant to 12 U.S.C. 4513 and 12 CFR part 1731.

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.

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:

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;

2. Disclose information or records to individuals or entities in furtherance of eliciting information pertinent to the supervisory responsibilities of OFHEO; and

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.

Disclosure to consumer reporting agencies:

None.

Storage:

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.

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.

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.

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.

Chief Information Officer, Office of Technology and Information Management, Office of Federal Housing Enterprise Oversight, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.

Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.

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.

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.

Records in this system may be provided by the Enterprises and members of the public.

None.

/OFHEO-11 Litigation and Enforcement Information System.

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.

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.

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.

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.

The Safety and Soundness Act (12 U.S.C. 4513(b); and 12 U.S.C. 4631-4636.)

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.

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:

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;

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;

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).

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.

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.

Disclosure to consumer reporting agencies:

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).

Storage:

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.

Records are retrievable by subject name, title, or other personal identifier.

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.

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.

General Counsel, Office of Federal Housing Enterprise Oversight, 1700 G Street, NW., Washington, DC 20552.

Contact the Privacy Act Officer, Office of Federal Housing Enterprise Oversight, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.

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.

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.

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.

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 subsection s (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.

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.

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).

/OHHLHC-1 Compliance Investigation and Enforcement Files of the Office of Healthy Homes and Lead Hazard Control ("CIEF").

Headquarters.

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.

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.

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.

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.

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.

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.

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:

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.

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.

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.

4. Records may be disclosed to a confidential source to the extent necessary to assist the Office of Inspector General in an investigation.

Storage:

Records are stored electronically in computers and in hard copy format in file cabinets or other secure storage units.

Records may be retrieved by manual or computer search by the name of the property owner, manager, or agent.

Records are maintained in a secure computer network, and in locked file cabinets in rooms with controlled access.

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.

Walter D. Wynn, Office of Healthy Homes and Lead Hazard Control, 451 7th Street, SW., Suite P-7110, Washington, DC 20410.

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.

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.

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.

None.

/FHEO/EGID.01 Title Eight Automated Paperless Office Tracking System (TEAPOTs)

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.

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.).

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.

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

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.)

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:

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);

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;

3. To authorized requestors requesting release from records under the Freedom of Information Act (FOIA) and the Privacy Act request; and

Storage:

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.

Records are retrieved by file number, Complaint name, or respondent name.

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.

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.

[2] http://portal.hud.gov/hudportal/documents/huddoc?id=22256x50ADMH.pdf

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.

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.

(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);

(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.

Information is obtained from the record subject.

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.

/OCIO.02 HUD/OCIO-002 Enterprise Data Management (EDM).

Not classified.

EDM is hosted at the Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.

Russel Burns, Chief Technology Officer (Acting), 451 7th Street SW, Room 4250 Washington, DC 20410 202-402-3182

The Enterprise Data Management environment is authorized by Chapter 113 of Title 40 of the US Code, (40 U.S.C. 11311 et seq.); the Department of Housing and Urban Development Appropriations Act, 2019 (Title II, Division G, P.L. 116-6); and in accordance with the Data Accountability and Transparency Act of 2014 (P.L. 113-101). The system is maintained in accordance with Section 203, National Housing Act, Public Law 73-479; and 42 U.S.C.§ 3543, titled "Preventing fraud and abuse in Department of Housing and Urban Development programs" enacted as part of the Housing and Community Development Act of 1987, which permits the collection of Social Security Numbers.

EDM replaces HUD's current data storage, retrieval and warehousing capabilities. EDM will be implemented in phases across HUD, and the first phase was to directly support the new Loan Review System (LRS). It collects data from certain specified source systems and returns it to LRS. Subsequent phases will collect data from other source systems, and ultimately will replace all existing data warehouses across HUD. This SORN update is to reflect additional source systems required for FFATA and the DATA Act, as well as update the categories of data collected to support these transparency reporting requirements. No additional information about individuals is collected or reported as part of this update.

The initial phase of EDM covered individuals who have obtained a mortgage insured under FHA's single family mortgage insurance programs, for example:

•Individuals who have assumed such a mortgage;

•Individuals involved in appraising, underwriting, or servicing the mortgage (commonly referred to as "mortgagee/lender").

This SORN update for EDM covers transparency reporting legislation requirements - FFATA, and the DATA Act, which requires reporting of summary financial information, contract details, and financial assistance (loan and grant) transaction information. HUD transparency reporting is published on an external website, USASpending.gov. No information regarding individuals is collected in EDM for FFATA and DATA Act reporting purposes, and governing policy from OMB is such that PII is protected and not reported publicly.

The initial categories of records maintained by the system included:

•Appraiser: First Name, Last Name, Middle Name, Suffix.

•Case Borrower(s): Borrower(s) Full Name, Borrower(s) Social Security number, Non-Borrowing Spouse Social Security number

•Loan Officer: First Name, Last Name, Middle Name.

•Case Property: Basement Code, Neighborhood Percentage Owned, Neighborhood Predominate, Price, Subdivision Indicator, Property Acquisition Date, Property Street,

Property Conversion Type, Rural Neighborhood Code, Neighborhood Single Family Home Percentage, Subdivision Lot Indicator, Building Type, Date of Sale or Transfer, Sale Amount, Year Built, City, Zip, Geocode Flag, Underserved Indicator, Block, Lot, House Number, Street Number. FHA Case Information: Federal Housing Administration (FHA) Case Number, Case Established Date, Case Reinstatement Date, Case Type, Originating Mortgage ID, Sponsor Mortgagee ID, Loan Officer Nationwide Multistate Licensing System (NMLS) ID, Underwriter Name, Underwriter ID. Mortgagee (Lender) Branch: Branch Type, Branch ID, Mortgagee Institution ID, Mortgagee Institution Name, Mortgagee Institution Type, Mortgagee Nationwide Multistate Licensing System (NMLS) ID, Mortgagee Status, HUD Employees: Names and identification of all HUD employees who have access to the system records. Also, identification information is stored for employees who work with mortgage applications through FHA Connection. Servicing Status: Servicing Status, Claims, and Indemnification Agreement. New records collected and maintained by the system to support FFATA and DATA Act reporting include the following: Summary Budget and Financial Information – Treasury Account Symbol, Program Activities, Budget Object Class, and Obligation and Outlay information, General Ledger balances.

•Contract Information - Contract ID, Obligation Amount, De-obligation Amount, Parent Award ID, Contract Recipient, Contractor Address and Demographic Information, Contract Award Type.

•Title I Insurance, Home Equity Conversation Mortgage (HECM), and Multifamily Loan Endorsement Data – FHA Case/Project Number, Lender ID, Loan Amount, Section of Act Code, Risk Category, Origination Date.

•DATA Act Review and Submission Data – DATA Act Broker Submission ID, Warning and Error Codes, HUD Review Details (Timestamp, Reviewer ID).

Mortgagors, appraisers, mortgagee staff, underwriters, and HUD employees provide data to the originating source systems then pass their data to the Enterprise Data Warehouse used in EDM:

•A43 – Single Family Insurance System (SFIS)

•A43C-Single Family Claims Subsystem (SFCS)

•F17- Computerized Homes Underwriting Management System (CHUMS)

•F17T – TOTAL Mortgage Scorecard (TOTAL)

•F42D- Single Family Default Monitoring System (SFDMS)

•P2710 Home Equity Reverse Mortgage Information System (HERMIT)

•P278- Lender Electronic Assessment Portal (LEAP)

•P303-Loan review System (LRS)

To support DATA Act reporting, the following systems will provide data to EDM:

•P085- Comprehensive Servicing and Monitoring System (CSMS)

•F24A – Development Application Processing System (DAP)

•P013 – FHA Subsidiary Ledger (FHA-SL)

•A80S- Single Family Acquired Asset Management System (SAMS)

•F72- Title I Insurance and Claims System (TIIS)

•A15 – Geocoding Service Center (GSC)

•P237 – Ginnie Mae Financial and Accounting System (GFAS)

In addition to those disclosures generally permitted under 5 U.S.C. Section 552a(b) of the Privacy Act, all or a portion of the records or information in this system may be disclosed to authorized entities, as determined to be relevant and necessary, outside the Department of Housing and Urban Development (HUD) as a routine use pursuant to 5 U.S.C. 552a(b)(3):

1. To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records, (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

2. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

3. 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 the authority of Title 44, Chapter 29, of the United States.

4. 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.

5. To contractors and their agents, grantees, experts, consultants, 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 this 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.

6. 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, and 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 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.

7. To the American Public in support of Public Law 113-01, the Digital Accountability and Transparency Act of 2014 (DATA Act) and Public Law 109-282, the Federal Funding Accountability and Transparency Act of 2006 (FFATA), for the purposes of reviewing reliable and consistent reporting of federal spending data of federal agency obligations and expenditures through the publicly accessible website, USASpending.gov.

EDM will be stored in compliance with 36 CFR 1236.10 regulations on recordkeeping management controls in a Federal Risk and Authorization Management Program (FedRAMP) compliant network. There are no paper records associated with EDM.

Information is currently retrieved from EDM using a series of key identifiers (e.g., FHA Case Number, Project Number, etc.). User access to query information in the EDM does not exist. EDM supports only system-to-system interfaces.

Electronic information maintained in EDM is retrieved from originating recordkeeping systems and is retained indefinitely for future access. This information does not meet the federal definition of a record as it is not evidence of the organization, functions, policies, decisions, procedures, operations, or other activities. This information is duplicated copies of record content preserved for convenience to facilitate new record creation 44 U.S.C. 3301. As subsequent phases of EDM are completed, specific retention periods and disposal procedures will be evaluated and defined for those records in accordance with the HUD Records Schedule in the HUD Records Disposition Schedules Handbook (2225.6), or the NARA publication, General Records Schedule.

HUD has developed a system security plan of controls for ensuring and protecting Microsoft Azure Government Cloud in accordance with applicable laws. End users cannot directly access the Enterprise Data Warehouse in EDM. Data exchange with other HUD systems is precisely specified and occurs only through secure interfaces. Encryption of data both at rest and in motion is enabled on a selective basis. EDM is subject to compliance with all Federal requirements and adheres to its approved system security plans (SSP).

For Information, assistance, or inquiries about records, contact John Bravacos, Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number (202) 708-3054. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR Part 16. You must first verify your identity, by providing your full name, address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA Office may not conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Implementation of the Privacy Act of 1974. Additional assistance may be obtained by contacting John Bravacos, Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110, Washington DC 20410.

Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the Privacy Office at the address provided above or to the component’s FOIA Officer, whose contact information can be found at http://www.hud.gov/foia under "contact." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Senior Agency Official for Privacy, HUD, 451 Seventh Street, SW, Room 10139, Washington, DC 20410.

None.

EDM SORN was originally published in: DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT [Docket No. FR–6009–N–02] Privacy Act of 1974: Enterprise Data Management (EDM) System of Records.

/OIG-2 Hotline Complaint Files of the Office of Inspector General.

HUD OIG Headquarters, Washington, DC.

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.

Records consist of all forms and documentation generated by the complaint, including recommended and final disposition of the matter.

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.

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.

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.

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.

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.

5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

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.

7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

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.

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.

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:

a. The Department suspects or has confirmed that the security or confidentiality of information in a 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 systems or programs (whether maintained by the Department 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 the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

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.

Storage:

Records are stored manually in file jackets and electronically in office automation equipment.

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.

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.

Retention and disposal is in accordance with Records Disposition Schedule 3, Items 79- 1 to 86, Appendix 3, HUD Handbook 2225.6, Rev. 1.

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.

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.

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.

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.

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.

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 subsection s (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 subsection s (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 Federal Register.

/CIO03

Active Directory (a component of P209 LAN File Server) HUD/CIO-03.

Unclassified.

Records are maintained at the U.S Housing of Urban and Development 451 7th Street SW, Washington, DC 20410-1000. HUD Data Center locations include the Mid-Atlantic Data Center at 250 Burlington Drive, Clarksville Virginia, 23927and and the Stennis Data Center at 9300 Building Complex, Stennis, Mississippi 35929.

Jacquelyn Rosales, Network Services Branch Chief, Unified Communication Services Division, 451 7th Street SW, Washington DC, 20410-1000.

The Information Technology Management Reform Act of 1996 (Pub. L. 104-106, 40 U.S.C. 11101 et seq.), E-Government Act (Pub. L. 107-347, sec. 203, 44 U.S.C. 3501 note), Federal Information Security Management Act, as amended (Pub. L. 107-347, 44 U.S.C. 3554), Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. 3501 et seq.), Government Paperwork Elimination Act (Pub. L. 105-277, Title XVII, 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, OMB Circular No. A-130, Managing Information as a Strategic Resource (7/28/2016) OMB Memo M-05-24, and Executive Order 13636 — Improving Critical Infrastructure Cyber Security (February 12, 2013).

The purpose of the LAN File Server (LFS) is to provide the infrastructure needed to support internal HUD systems locally at all HUD locations. This technology includes Active Directory. Active Directory stores information about objects on the network and makes this information easy for administrators and users to find and use. Active Directory uses a structured data store as the basis for a logical, hierarchical organization of directory information. This data store, also known as the directory, contains information about Active Directory objects. These objects typically include shared resources such as servers, volumes, printers, and the network user and computer accounts.

A. Supports the provision of user accounts and authenticates users to HUD enterprise Web applications for non-dual personal personnel with HUD's Personal Identity Verification (PIV)—Authentication (Auth) certificate.

B. Provides an Enterprise-wide hierarchical directory structure designed to employ greater centralization and standardization of network management for user data, security, and distributed resources and services across the HUD Enterprise; and

C. Synchronizes with HUD’s Azure Active Directory instance for the purpose of Microsoft Azure Cloud Service collaboration, wherein HUD employees and contractors use cloud applications available in the Microsoft 365 application suite.

Current HUD employees and contractors.

Full Name, Work Phone Number, Work Email Address, and Unique User ID (e.g., H or C ID number), Device Identifier, and Internet Protocol ( IP)/ Media Access Control (MAC) Address of assigned Device Identifier (if applicable).

The information originates from the Digital Identity and Access Management System (DIAMS) managed by HUD.

1. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to this system of record. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

2. To contractors, experts and consultants with whom HUD has a contract, service agreement, assignment, or other agreement of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

3. To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

4. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

7. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

8. 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.8. To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic Records.

Full Name and HUD Network ID (H or C ID).

Under General Records Schedule 3.2, System Access Records, items 030 and 031. Item 030 applies to systems not requiring special accountability for access. Item 030 records can be destroyed when the business use cases. Item 031 applies to systems requiring special accountability for access. Item 031 requires records to be destroyed/deleted 6 years after the user account is terminated or password is altered, or when no longer required for business us, whichever is later. Backup and Recovery digital media will be destroyed or otherwise rendered irrecoverable per NIST SP 800-88, Rev. 1 "Guidelines for Media Sanitization" (December 2014).

PII is secured in cipher locks, combination locks, key cards, security guards, closed circuit TV and safes. Identification badges are required to ensure the records are not accessed and strict access controls are governed for electronic records using a user ID and password that require authentication before access is granted to Active Directory.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A

N/A.

/OIG-GA.01 Independent Auditor Monitoring Files of the Office of Inspector General.

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.

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.

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.

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.

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.

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.

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.

5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

Storage:

Records are stored manually in file jackets and electronically in office automation equipment.

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.

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.

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.

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.

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.

The OIG collects information from the subject independent auditor, HUD, auditees, program participants, complainants and other nongovernment sources.

/OIG/GAP.01 Auto Audit of the Office of Inspector General.

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.

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.

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.

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.

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.

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.

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.

5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

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.

7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

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.

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.

Storage:

Records are stored electronically in office automation equipment and manually in file jackets.

Records are retrieved by computer search of the Auto Audit software by reference to a particular file number.

Records are maintained in a secure computer network, and in locked file cabinets or in metal file cabinets in rooms with controlled access.

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.

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.

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.

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.

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.

/ OIG/GFB.01 Hotline Information Sub System.

HUD OIG Headquarters, Washington, DC.

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.

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.

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.

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.

4. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

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.

6. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

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.

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.

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.

Storage:

Records are stored electronically in office automation equipment.

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.

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.

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.

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.

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.

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.

/OIG/GIP.01 Investigative Files of the Office of Inspector General.

HUD OIG Headquarters, Washington DC and OIG Office of Investigations field offices.[3]

[3] http://csfintraweb.hudoig.gov/offices.html.

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.

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.

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.

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.

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.

4. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

6. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

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.

Storage:

Records are stored manually in file jackets in an office file system.

Records are retrieved by manual search of indices containing the name of the individual to whom the record pertains or by the case number.

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.

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.

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.

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.

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.

/OIG/GIP.02 Auto Investigation and Case Management Information Subsystem (AI/CMISS).

HUD OIG Headquarters, 451 Seventh Street SW., Washington DC.

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.

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.

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.

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.

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.

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.

5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

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.

7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

a. The Department suspects or has confirmed that the security or confidentiality of information in a system of records has been compromised;

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.

Storage:

Records are stored electronically in office automation equipment.

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.

Records are maintained in a secure computer network.

Assistant Inspector General for Investigation, Office of the Inspector General, Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.

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.

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.

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.

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 subsection s (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 subsection s (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 Federal Register.

/CPD/DGHR.01 Relocation Assistance Files.

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.

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.

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.

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)).

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.

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:

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.

Storage:

In file folders. No electronic records are maintained by the system of records.

By name and case file number of subject individual.

Stored in lockable file cabinets; access limited to authorized personnel. No electronic records are maintained by the system of records.

Files are active. Disposition: Temporary.

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.

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.

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 HUD, 451 Seventh Street, SW., Room 4178 (Attention: Capitol View Building, 4th Floor), Washington, DC 20410; or

(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.

Subject and other individuals; current and previous employers; credit bureaus and financial institutions; firms federal and non-federal agencies.

/OIG-6 Auto Investigation and Case Management Information Subsystem (AI/CMISS).

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.)

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 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.

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.

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.

5. Records may be disclosed to any source, either private or governmental, to the extent necessary to elicit information relevant to an OIG investigation.

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.

7. Records may be disclosed to DOJ for litigation purposes associated with the representation of OIG and/or HUD before the courts.

a. The Department suspects or has confirmed that the security or confidentiality of information in a system of records has been compromised;

Storage:

Records are stored electronically in office automation equipment and manually in file jackets.

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.

Records are maintained in a secure computer network, and in locked file cabinets or in metal file cabinets in rooms with controlled access.

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.

Assistant Inspector General for Investigation, Office of the Inspector General, Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.

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.

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.

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.

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.

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 subsection s (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 subsection s (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 Federal Register.

/OIG-7 OIG Giglio Information Files.

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 Giglio Officials in the OIG Giglio 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.).

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.

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.

This system has been established to enable OIG Giglio 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 Giglio. It permits the OIG Giglio 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 Giglio decision.

A record maintained in this system of records may be disseminated as a routine use of such record as follows:

(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 ( see Appendix USA-999 or EOUSA Internet addresses at http://www.usdoj.gov/eousa) to be used in accordance with that policy.

(b) A record will be provided to a court and/or defense attorney in satisfaction of the prosecuting attorneys' obligations under the Giglio decision and the case law following that decision.

(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:

1. HUD or HUD OIG or any component of either;

2. Any employee of OIG in his/her official capacity;

3. Any employee of OIG in his/her individual capacity where the Department of Justice has agreed to represent the employee; or

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.

(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;

(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;

(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;

(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;

(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;

(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.

(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:

a. The Department suspects or has confirmed that the security or confidentiality of information in a system of records has been compromised;

Storage:

Generally, all records are recorded on basic paper/cardboard material and stored in file folders in file cabinets. Some Giglio Officials may maintain the records in electronic format available through the Giglio Official's computer terminal.

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 Giglio Official and provided to the Requesting Official.

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.

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 Giglio Policy, which states "Upon transfer or reassignment of the employee within OIG, the Giglio file will be forwarded to the Giglio Official at the employee's new duty station. Upon retirement, resignation, or transfer, the employee's Giglio file will be destroyed and anyone with a copy of the file will be informed to destroy their file on the employee."

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.

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.

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.

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.

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 subsection s (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 subsection s (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 Federal Register.

/P085

P085 -Comprehensive Servicing and Monitoring System (CSMS)

Unclassified, but sensitive.

Department of Housing and Urban Development, 451 Seventh Street, SW, Washington DC 20410 or at the locations of the Business Service Provider/Contractor under contract with HUD.

Robert Iber, Department of Housing and Urban Development, Office of Asset Management and Portfolio Oversight, 451 Seventh Street, SW, Washington, DC 20410, (202) 708-3055.

HUD/FHA collects social security numbers during the FHA loan endorsement process and by request via IRS Form W-9 to update its records. Tenant information is collected by HUD contractors under the National Housing Act (12 U.S.C 1701 et seq.). CSMS provides servicing for loans acquired through the payment of an insurance claims under Housing Act Sections 202, 207, 223(f), 236, 221(d)(3), 221 (d)(4), 232, and 242. In addition, CSMS includes Mark to Market loans including Demonstration preservation programs from the Multifamily Assisted Housing Reform and Affordability Act of 1997 (MAHRA) (42 U.S.C. 1437f) and Demonstration preservation programs of the Office of Recapitalization (RECAP). CSMS collects and shares SSNs and PII externally with credit reporting agencies (pursuant to 5 U.S. Code 552a), banks (pursuant to Section 6109 of the Internal Revenue Code), and with the IRS (pursuant to Section 6109 of the Internal Revenue Code).

CSMS is a subsidiary ledger to the FHA’s general ledger. CSMS provides servicing and accounting for multifamily loans acquired through the payment of an insurance claims under various Sections of the National Housing Act (12 U.S.C 1701 et seq.), including Sections 221(d)(3) and 221 (d)(4), 202, 207, 223(f), 232 and 242, 236, and loans from the Mark2Market and Demonstration preservation programs of the Office of Recapitalization (RECAP). CSMS also provides property management servicing and accounting for HUD-owned properties or mortgagees-in-possession for use by HUD and its property management contractor.

(e.g., all participants of certain HUD Rental Housing Assistance Programs, and/or HUD staff). CSMS collects, processes, and retains information from the following individuals:

• Families receiving Housing assistance from HUD-administered Multifamily programs administered by the Multifamily Property Disposition Division in Fort Worth, TX.

• Multifamily Property Owners established at the time that the FHA loan is executed.

• Vendors to ensure, preserve and protect the property, including but not limited to electricians, plumbers, landscape contractors, security services, advertisers, painters and foreclosure commissioners

• HUD employees who have CSMS access for entering and tracking information.

• Loan Servicing/Claims: Mortgagors/Borrowers and authorized contacts’ names and addresses, Borrower’s TIN/Social Security Numbers, phone numbers; e-mail addresses; banking information (institutional information, routing, account numbers and account type); loan amounts (assigned balance, unpaid principal balance, face amount), interest rates, loan terms, and loan statuses; claim data (amount, expenses, interest paid by HUD, certificate of claim liability); payment and other financial account data such as loan balances, loan history, interest accrued, fees incurred, real estate property information, property taxes and insurance amounts, reserve for replacement escrow accounts and related invested escrows; accounting data including debits and credits to HUD accounts based on transaction events.

• Vendor Information: Service fees, late fees, and other billing data; collection history; expenses incurred for foreclosure and acquisition, protection and preservation, attorney fees, special assessments; disbursements for taxes, insurance, and any other miscellaneous disbursements; Mortgagee-in-Possession activity, appraisals, closing costs; asset sales, other loan termination data; UCC and filings by jurisdiction with due dates, filing costs, continuation data.

• HUD-Owned Property: Property names, addresses, authorized contacts names and addresses, phone numbers, email addresses; property financial account data such as income and expense; acquisition data; sale data, potential bidders, bid packages, closing activities; vendor/business partner (banking information, TIN/SSN number, routing, account numbers, small business identifier, and other socioeconomic data); accounting data including debits and credits to HUD accounts based on transaction events.

• HUD-Owned Property Tenant: Tenants’ names, addresses, social security number, marital status, gender, family members; lease information, including rent, subsidies, fees, collections, history, and eviction status.

• Uniform Commercial Code (UCC)/202: Property names, addresses, authorized contacts’ names and addresses, phone numbers, email addresses; loan maturity date; status; UCC filing by jurisdiction due dates, filing costs, continuation data.

Records in the system are obtained through a variety of HUD/FHA loan documents, completed W-9 forms, investment account enrollment forms, and tenant lease records. Information is entered into the system by HUD/FHA staff or its contractors. This information is not received electronically from another system. The information is released by HUD for entry into CSMS.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses. In addition to those disclosures generally permitted under 5 U.S.C. Section 552A(B) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed to authorized entities, as is determined to be relevant and necessary, outside the Department of Housing and Urban Development as a routine use pursuant to 5 U.S.C. 552A(B)(3), as follows:

1. To appropriate agencies, entities, and persons for disclosures which are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I – HUD’s Routine Use Inventory Notice published in the Federal Register (80 FR 81837-81840), as follows:

a. To the National Archives and Records Administration or to the General Services Administration for records having enough historical or other value to warrant continued preservation by the United States Government, or for inspection under Title 44 U.S.C. 2904 and 2906. Loan Servicing and HUD-Owned Property hard-copy documentation is provided.

b. 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. Loan Servicing/Claims, Vendor, HUD-Owned Property, HUD-Owned Property tenant, and UCC/202 information is provided as requested.

c. To contractors performing or working under a contract with HUD, when necessary to accomplish an agency function related to this system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department. Loan Servicing/Claims, Vendor Information, HUD-Owned Property Information, HUD-Owned Property tenant, and UCC/202 is provided as requested.

d. To appropriate Federal, State, and local governments, or persons, pursuant to a showing of compelling circumstances affecting the health or safety or vital interest of an individual or data subject, including assisting such agencies 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 was transmitted to the last known address of such individual to identify the health threat or risk. To a consumer reporting agency, when trying to collect a claim owed on behalf of the Government, in accordance with 31 U.S.C. 3711(e). To Federal, State, and local agencies, their employees, and agents for the purpose of conducting computer matching programs as regulated by the Privacy Act of 1974, as amended (5 U.S.C. 552a).

e. To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: 1) detection, prevention, and recovery of improper payments; 2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; 3) detection of fraud, waste, and abuse by individuals in their operations and programs, but only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds, prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

f. 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, and 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 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.

g. To a recipient who has provided the agency with advance, adequate written assurance that the record provided from the system of records will be used solely for statistical research or reporting purposes. Records under this condition will be disclosed or transferred in a form that does not identify an individual.

h. To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

i. To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

j. 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. To third parties during the course of a law enforcement investigation, to the extent necessary to obtain information pertinent to the investigation, provided the disclosure of such information is appropriate to the proper performance of the official duties of the officer making the disclosure.

k. To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, 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. 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. 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.

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 that maintains the record, specifying the particular portion desired and the law enforcement activity for which the record is sought.

l. 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 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.

To the IRS for reporting of payments, forgiveness of debt, and property sales under section 6109 of the Internal Revenue Code. A subset of Loan Servicing/Claims and Vendor Information is provided. To banks holding escrow monies for the purpose of establishing interest bearing accounts and reporting of interest payments to the IRS under section 6109 of the Internal Revenue Code. A subset of Loan Servicing/Claims data is provided. To credit reporting agencies for the purposed of reporting delinquencies under 5 U.S. Code 552a. A subset of Loan Servicing/Claims data is provided. To UCC filing organization for the purpose of filing UCC Article 9 secured party interest on behalf of HUD under the Uniform Commercial Code Article 9. A subset of Uniform Commercial Code (UCC)/202 data is provided.

To appropriate agencies, entities, and persons as necessary when:

1. HUD suspects or has confirmed that there has been a breach of the system of records;

2. HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with HUD efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

4. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in:

5. Responding to a suspected or confirmed breach or,

6. Preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

Records in CSMS are stored electronically in a secure data center at the primary site in Silver Spring, MD and at a secure data center at the Disaster Recovery Site in Columbus, OH. Encrypted backup tapes are stored in a secure vault at an alternate storage site in Rockville, MD. Paper records are stored in locked file cabinets in limited access areas of a secure facility with 24 hour monitoring and other physical protection measures. Paper records are stored in a secure location and retrieved by staff according to their level of authorization.

Electronic records are retrieved via a variety of CSMS reports and data screens by authorized users of CSMS according to their level of authorization. The primary method of retrieval is Integrated Real Estate Management System (IREMS) id or FHA loan number.

Record retention use and disposal practices are governed by 44 U.S.C. Chapter 33. On-line data is kept for the life of the system/contract, based on the contractual requirement to provide full loan histories. Backup and Recovery digital media are destroyed or otherwise rendered irrecoverable per NIST SP 800-88 Rev 1 "Guidelines for Media Sanitization." Hard copy documents held by the contractor are retired per the Performance Work Statement and HUD Handbook 2225.6, Records Disposition Schedules and HUD Handbook 2228.2, General Records Schedules. The system contractor will purge the information at contract termination per the Transition-Out Plan.

Electronic records are maintained in secured areas within the system. Access is limited to authorized personnel with a need-to-know based on unique user credentials and confidential passwords. Physical entry by unauthorized person is restricted though the use of locks, guards, passwords, and/or other security measures. Policy and standard operating procedures are implemented and disseminated to system users to ensure records are safeguarded, including rules of behavior implementation.

For information, assistance, or inquiry about the existence of records, contact Marcus Smallwood, Acting, Chief Privacy Officer 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number (202) 708-3055. When seeking records about yourself from this system of records or any other Housing and Urban Development (HUD) system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR Part 16. You must first verify your identity, meaning that you must provide your full name, address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C.1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

a. Explain why you believe HUD would have information on you.

b. Identify which Office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the Freedom of Information Act (FOIA), staff determine which HUD office may have responsive records.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting John Bravacos, Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Washington DC 20410.

Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the Privacy Office at the address provided above or to the component’s FOIA Officer, whose contact information can be found at http://www.hud.gov/foia under "contact." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer, HUD, 451 Seventh Street, SW, Room 10139, Washington, DC 20410.

None.

HSNG.SF/FB.01 Distributive Shares and Refunds Subsystem (DSRS)-A80D

Department of Housing and Urban Development, 470 L’Enfant Plaza East, Room 3119, Washington, DC 20026; HUD Information Technology Systems Production Data Center in South Charleston, West Virginia, and Lanham, Maryland; and at the location of the service providers under contract with HUD.

Homeowners (Mortgagors) who had Federal Housing Administration (FHA) mortgage insured loans and may be eligible for an upfront mortgage insurance premium (UFMIP) or distributive shares refund.

Homeowners (Mortgagors) information is made up of the following elements: borrower and/or co-borrower names, Social Security number (SSN), mailing address, property address, FHA case number, loan endorsement and termination dates, homeowners distributive shares refunds amount due, correspondence actions, including the number of times it was mailed to the homeowner, type of correspondence sent, and status of issued refund check.

The National Housing Act and Section 7(d) of the Department of Housing and Urban Development Act, section 203; Pub. L. 89-174; 24 CFR 5.210, 24 CFR 200.1101; 24 CFR 203.35; Debt Collection Act of 1982, Pub. L. 97-365; Housing and Community Development Act of 1987, 42 U.S.C § 3543, titled "Preventing fraud and abuse in Department of Housing and Urban Development programs" and enacted as part of the Housing and Community Development Act of 1987, which permits the collection of SSN.

The DSRS was designed in response to a Congressional mandate, wherein HUD established a new method for collecting and processing FHA UFMIP refunds or distributive share payments. The DSRS maintains records on individuals that are entitled to either two types of payments: (1) an UFMIP refund, or (2) a distributive share payment. The system is operated by the Department’s Office of Single Family Insurance Operations to service unclaimed terminated loan transactions, should a homeowner terminate their mortgage insurance prior to loan maturity, entitling the homeowner to a premium refund. The DSRS records, controls, and tracks appropriations data for all terminations, disbursements, transfers, transactions, and produces daily, weekly, monthly, quarterly, and annual reports on these transactions. The system gives the Department’s operating areas access to their own cash data, provides management access to all the cash data in prescribed formats, produces appropriation reports in accordance with the Federal Credit Reform Act of 1990, 2 U.S.C. 661 et.1 seq., produces and transmits monthly cash reconciliation to the Department’s accountants, and processes returned checks, check tracer actions, and related correspondence for distribution to homeowners.

DSRS interfaces with the following systems to facilitate payment and refund transactions:

(1) Single Family Insurance System (SFIS) – to calculate the unearned portion of the UFMIP for eligible cases, to send refund data to the DSRS for distribution of payments to the homeowner for the unearned portions of the UFMIP or distributive shares.

(2) Single Family Premium Collection Subsystems (SFPCS) Upfront, and the Single Family Premium Collection Subsystems for Periodic (SFPCS-P) – to receive refund data from DSRS to generate the UFMIP refund or distributive share payments.

a. Equally important, the Department utilizes the DSRS to generate correspondence actions to attempt to notify each unpaid mortgagor of their FHA insurance refund for a period of 2 years. This process occurs once the Department receives notification of a mortgage insurance termination. After this 2-year hold, the Department makes available to the general public a cumulative listing of any unpaid refund that remains unpaid. The information includes the homeowner’s name, last known address, FHA case number, termination data, and refund amount. This information is also made available to the public by HUD’s refund database, "Does HUD Owe You a Refund?"

(1) To authorized requesters or third party tracers who request access to UFMIP and distributive shares homeowner refund information, when such information is unavailable on HUD’s FOIA reading room or refunds database websites. This information is releasable under FOIA. Third party release of this material may require authorized consent of the homeowner to whom the records belong, and must adhere to all HUD procedures prior to release.

(2) To the U.S. Department of the Treasury for collection and disbursement of check transactions.

(3) To the recorders’ offices for recording legal documents and responses to offsets (i.e., child support) or other legal responses required during the servicing of the insured loan to allow HUD to release mortgage liens, and respond to bankruptcies or deaths of mortgagors to protect the interest of the Secretary of HUD.

(4) To the Office of Inspector General to investigate possible fraud revealed in servicing homeowners refunds to allow HUD to protect the interest of the Secretary.

(5) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under this routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

(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

(7) To appropriate agencies, entities, and persons to the extent that such disclosures are compatible with the purpose for which records in this system were collected, as set forth by Appendix I – HUD’s Library of Routine Uses published in the Federal Register.

Storage:

Electronic records are maintained on the mainframe and on CD and DVD. Paper records are maintained in locked file cabinets and destroyed immediately after electronic imaging and payment verification has occurred. This is usually done within 30 days of receipt.

Records are retrieved by FHA case number and by an individual’s name. Paper records are not retrieved from the system.

CDs and DVDs are maintained in secured office space and secure file rooms to which access is limited to those personnel who service the records. Access to electronic records is granted by user ID and password and to users who have a need to access such records. Paper records are maintained in locked file cabinets and destroyed immediately after electronic imaging and payment verification has occurred.

DSRS records are maintained in accordance with HUD’s Deposition General Records Schedule 1.1, Financial Management and Reporting Records, Item 010. Paper records do not require storage by the Federal Records Center. Paper records consist of the HUD form, HUD-27050-B (Application for Premium Refund or Distributive Share Payment), which is transferred to electronic media, and then destroyed immediately after electronic imaging and payment verification has occurred. Paper records are destroyed by shredding. Paper records are maintained for a period not to exceed 30 days. CD and DVD images of records are maintained for 40 years after which they are destroyed as instructed by guidelines outlined in HUD’s IT Security Handbook (2400.25), pursuant to NIST Special Publication 800-88 "Guidelines for Media Sanitization."

Department of Housing and Urban Development, Office of Single Family Insurance Operations Division, Chief, Disbursements and Customer Service Branch, 470 L’Enfant Plaza East, Room 3119, Washington, DC 20026.

For Information, assistance, or inquiries about the existence of records contact Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, D.C. 20410, telephone number 202-402-6828. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16. You must first verify your identity by providing your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

(1) Explain why you believe HUD would have information on you.

(2) Identify which HUD office you believe has the records about you.

(3) Specify when you believe the records would have been created.

(4) Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

If you are is seeking records pertaining to another living individual, you must obtain a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA Office may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, D.C. 20410, or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110 Washington D.C. 20410.

The records maintained by the system are provided directly by the homeowners, by completion of the Uniform Residential Loan Application (form HUD-92900-A). Information is also collected by the mortgagees (lenders), who collect the personal information from the homeowner and enters the information into the HUD Single Family Computerized Home Underwriting Management System (CHUMS). After the case is endorsed, CHUMS sends case data to SFIS, which is maintained in SFIS until the case is terminated (non-claim, claim, or other type of cancellation). Once the case is non-claim terminated, termination data is sent to the DSRS.

None.

HSNG.SF/HWAA.01 Single Family Acquired Asset Management System.

2020 Union Carbide Drive, South Charleston, WV 25303-2734, and at the HUD Headquarters building, 451 Seventh Street SW., Washington, DC 20410.

Individuals who are covered by this system include successful bidders of a HUD-owned property. Also, individuals involved in the sale of HUD/FHA Single-Family homes: Management and Marketing contractors (M&M), HUD employees, Brokers, and Contractors.

Files contain identifying information about: Purchasers, such as name, Social Security Number, and current address. HUD Employees, such as Headquarters and Homeownership staff, Brokers, such as Selling Brokers and Closing Agents, Contractors, such as Management and Marketing (M&M) contractors: Mortgagee Compliance Monitor, Asset Managers and Field Service Managers,Vendors, such as appraisers, trade/service vendors, homeowner associations, local/state governments, nonprofit organizations, NSP grantees. In addition, the files contain: HUD-1 information, such as appraisal information, tax payments, sales offer information, contract information, and accounting transactions, 1099 information, such as payees (except tax-exempt organizations) who receive $600.00 or more during a single tax year for services provided to HUD,

National Housing Act as amended (12 U.S.C. 1702 et seq.). HUD is authorized to collect the Social Security Number (SSN) by Section 165(a) of the Housing and Community Development Act of 1987, Public Law 100-242 and by 42 U.S.C. 3543.

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 HUDâ€™s Management and Marketing (M&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. Cases that have been in step 10, and subsequently without accounting activity for two years, are designated for archive and removed from SAMS. As a result of the archive process, all related case management and accounting data records are removed from the SAMS database. These case records do however, remain available in P260 and the Single Family Data Warehouse.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act other routine uses include:

(a) General Accounting Office (GAO) for audit purposes.

(b) Inspector General Office (IG) for audit purposes.

(d) Management and Marketing contractors for processing the sale of HUD Homes.

(e) Financial Control Contractors for processing for data input.

Additionally, refer to Appendix 1, HUDâ€™s Inventory of Routine Uses" [1] section for a description of disclosures that may be applicable to this system.

[2]http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf

Storage:

Records are stored electronically in a computer mainframe.

Asset Managers are required to keep closed case files for HUD properties sold for six months. After that, the AMs send the case files to storage. FHA is required to maintain all closed case files for properties for 40 years.

Records are retrieved by computer search by the FHA Case Number, Property Address, or Purchaserâ€™s name and/or social security number.

Records are maintained in a secured computer network behind HUDâ€™s firewall. Access is limited to authorize personnel and requires a password and user ID before system access is granted.

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. Paper base records are destroyed by burn or shredding. Electronic records are purged or deleted from the system when eligible to be destroyed using one of the methods described by the NIST SP 800-88 "Guideline for media Sanitization" (September 2006).

TDB, Office of Single Family Asset Management, 451 Seventh Street SW., Room 9184, Washington, DC 20410.

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 Departmentâ€™s rules for providing access to records to the individual concerned appear in 24 CFR part 16.

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:

(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;

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street SW., Washington, DC 20410.

Purchasers, brokers, appraisers, contractors, and HUD employees.

None.

/HOU-01

Single Family Acquired Asset Management System HUD/HOU-01.

Unclassified

National Center for Critical Information Processing and Storage in Mississippi and Virgina; HUD Headquarters, 451Seventh Street SW, Washington, DC 20410-0001; Accounting files are located at the management and marketing contractors’ site, which fall under the HUD’s REO Servicing Office, Office of Single Family Asset Management, at various locations throughout the United States.

Kirk Mensah, Director, Single Family Assets Management Division, 451 Seventh Street SW, Room 6242, Washington, DC 20410, telephone number (202) 402-3092.

The National Housing Act, Pub. L. 73-479, 48 Stat. 1246, 12 U.S.C. 1701 et seq, Departments of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, 1997, Pub. L. 104-204, 110 Stat. 2894, 12 U.S.C. 1715z-11a, The Housing and Community Development Act of 1987, Pub. L. 100–242, title I, § 165, 101 Stat. 1864, The Housing Community Development Act of 1987, 42 U.S.C. 3543(a), The Debt Collection Act of 1982, Public Law 97-365, title 24 Code of Federal Regulations, part 291, Disposition of HUD-Acquired and Owned Single-Family Property, HUD Handbook 4000.1 (FHA Single Family Housing Policy Handbook).

SAMS is a management and accounting system for HUD Federal Housing Administration (FHA)-owned single-family properties for sale, or maintained as, Real Estate Owned (REO) custodial home, that HUD acquires when a lender forecloses on a property and conveys the title to HUD. SAMS supports HUD staff at Headquarters, Homeownership Centers (HOCs), and HUD’s Management and Marketing (M&M) contractors in tracking single-family properties from their acquisition by HUD through the steps necessary to resell the properties. SAMS captures and processes all financial transactions related to repairing, leasing, listing, and selling the properties, including payments for contractor services, taxes, and homeowner association and condominium fees.

Purchasers, successful bidders of Federal Housing Administration (FHA) Single-Family owned homes; Approved business partners of FHA’s REO program for collections and payments resulting from their participation as a REO loan originator, loan servicer, claims servicer, real estate brokers, title company, appraiser, property manager, lessee; Mortgagors, including Business and Homebuyers of Real Estate Owned properties (REO); Borrowers, who have defaulted on a HUD loan; HUD Single Family Property Disposition Program Management and Marketing (M&M) contractors; and HUD employees and contractors involved with REO property functions.

Full Name, Social Security Number (SSN), Address (Work and Personal), Date of Birth, Employer Identification Number, Email Address (Work and Personal), Employee Identification Number; Financial Information (bank account numbers, lender ids), Legal Documents (foreclosure, deed-in-lieu agreements), Name and Address Identification Number (NAID), Phone Number (Work and Personal), Race / Ethnicity, Salary (income certification), Taxpayer ID including taxing authority profile, Telephone number, Fax number, and User Ids.

On-line data entry by HUD staff via SAMS Web and exchanged from sources (i.e., purchasers, lender originators, lender servicers, brokers, homeowner association, appraisers, title companies, HUD employees, contractors). Internal and External data exchanges from the following systems:

• Office of Single-Family Housing.

Computerized Homes Underwriting Management System (CHUMS)

Lender Electronic Assessment Portal (LEAP).

• Office of Finance and Budget.

Single Family Insurance Subsystem (SFIS-CLAIMS)

Home Equity Reverse Mortgage Information Technology (HERMIT)

Electronic Data Interface System (EDIS)

• Office of Single-Family Asset Management.

Asset Disposition and Management System (ADAMS)

• Office of the Chief Information Officer

Digital Identity and Access Management System (DIAMS).

• U.S. Department of the Treasury

Bureau of the Fiscal Service: Lockbox Network Systems, Intra-Governmental Payment and Collection Cross Servicing, Treasury Offset Program

Internal Revenue Service (IRS): FIRE tax compliance program.

(1) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’s offering of mediation service to resolve disputes between persons making FOIA requests and administrative agencies.

(2) 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.

(3) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement, 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.

(5) To Department of Treasury Internal Revenue Services (IRS) for the purpose of reporting miscellaneous income on form 1099-MISC for HUD’ business transactions with Management and Marketing (M&M) Contractors, tax year reporting, in connection with their services performed in the maintenance of HUD REO homes.

(6) To the Department of Treasury, Bureau of the Fiscal Service, their agents, entities and banking institutions (not related to taxes) that provide payment and collection services for HUD: (1) Administrative (Payment Services): Issuing payments and other remittance services for payments certified to authorized contractors, vendors, tax authorities, and others authorized on HUD’s behalf. (2) Cross-Servicing (Collection Services): Pursuing financial transactions for payments owed to HUD from buyers, mortgagors, settlement agents, closing agents, lender servicers and other authorized collections due.

(7) To financial institutions, vendors, mortgagees, management and marketing contractors, and their authorizing officials, as well as affiliates and other parties required, in connection with HUD’s REO Office of Single-Family Asset Management, disclosures are made: (1) To maintain, process, inspect, market, and respond to business payee transactions, inquiries, errors, and corrections related to HUD REO properties. (2) To provide a listing of REO asset sales, along with their associated commissions, to the relevant selling brokers.

(8) To Financial Control Contractors for processing data input for SAMS system that is written in proprietary code.

(9) To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

10.To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records,· (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, [the agency] (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

11.To another Federal agency or Federal entity, when [the agency] determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(12) To appropriate Federal, state, local, tribal, or other 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, when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(13) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(14) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Paper and electronic.

Records are retrieved by Social Security Number and Name.

Records in this system are retained and disposed of in accordance with the National Archives and Records Administration, General Records Schedule 1.1, Financial Management and Reporting Records; GRS 3.1, Information Technology Development Records; GRS 3.2, Information Security Records; 4.2 Information Access and Protection Records; and 5.2, Transitory and Intermediary Records. General records are maintained for periods of 1-6 years unless a longer retention period is deemed necessary for investigative purposes or business use. Electronic records will be destroyed in accordance with systems disposal and NIST 800-88 Guidelines.

Administrative Controls: Backups Secured Off-Site; Methods to Ensure Only Authorized Personnel Access to PII; Periodic Security Audits; Regular Monitoring of Users' Security Practices; FIPS 199 determination. HUD access is safeguarded according to rules and policies, including all applicable automated processes according to security and privacy safeguard policies. HUD has imposed strict controls to minimize the risk of compromising the information being stored. Primary and recovery facilities control physical access to information system output devices to prevent unauthorized individuals from obtaining the output. Back-ups are secured off-site, periodic security audits are performed, and regular monitoring of user’s security practices are enforced.

Technical Controls: Firewall; Role-Based Access Controls; Virtual Private Network (VPN); Least Privilege Access; User Identification and Password; and PIV Card. The system incorporates role-based access controls, least privilege access controls, and virtual private access controls. Access is limited to authorized personnel and requires a password and user ID before system access is granted. Records are maintained in a secured computer network behind HUD’s firewall. The system sends and receives data through HUD Security File Transfer Protocol (SFTP), which encrypts the data. SSNs are encrypted during transmission to protect session information.

Physical Controls: Key cards; Security Guards; and Identification badges. Secure physical methods are used to ensure only authorized users have access to PII or HUD and its approved facilities. Access is controlled by key card, controlled access, security guards, and identification badges. Periodic security audits, regular monitoring of system users’ behavior is conducted; Primary and recovery facilities control physical access to information system output devices to prevent unauthorized individuals from obtaining the output. Hard copies are stored in locked file cabinets in secured rooms with restricted access.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

This is a revision to the previously published notice published in the Federal Modification to Docket No. 88 FR 45239 (July 14, 2023); Docket No. 71 FR 35443 (June 20, 2006); Document No.79 FR 10825 (February 26, 2014).

/HOU-04

Credit Alert Verification Reporting System (CAIVRS) – HUD/HOU-04.

Unclassified.

CAIVRS is located and operated at NASA’s John C. Stennis Space Flight Center, located at 1100 Balch Boulevard, Stennis Space Center, MS 39529-0001, and Microsoft Azure Federal Cloud US East Data Center in One Microsoft Way, Redmond, Washington, 98052-6399.

C. Brian Faux, Director, Office of Single-Family Program Development, United States Department of Housing and Urban Development, 451 7th ST, SW, Washington, DC 20410-1000; Phone (202) 674-9348; Email: brian.faux@hud.gov.

Section 203, National Housing Act, P.L. 73-479 (12 U.S.C. § 1709); Section 255, National Housing Act, P.L. 73-479 (12 U.S.C. § 1701z-20); Section 165, Housing and Community Development Act of 1987, P.L. 100-242 (42 U.S.C. § 3543); Section 31001, Debt Collection Act of 1996 as amended, P.L. 104-134 (31 U.S.C. § 7701); Section 31001, Debt Collection Act of 1996 as amended, P.L. 104-134 (31 U.S.C. § 3720B); and Office of Management and Budget (OMB) Circulars A-129 (Policies for Federal Credit Programs and Non-Tax Receivables).

The purpose of CAIVRS is to ensure participating Federal agencies and their authorized lenders will comply with the legal requirement to verify individuals applying for a federally backed loan, or other aid, are not presently delinquent on another Federal obligation. CAIVRS is a shared, inter-agency database managed by HUD where participating agencies are required to report delinquent federal debt.

Individual borrowers who have applied for Federal housing loans and have fallen delinquent.

Social Security Numbers, Taxpayer ID Numbers, and Employer Identification Numbers.

A43C-SF Insurance System-Claims Subsystem, F71-Debt Collection and Asset Management System - Title I, F71A-Debt Collection and Asset Management System - Generic Debt, A75R-Financial Data Mart, P278-Lender Electronic Assessment Portal, DOJ-Department of Justice, SBA-Small Business Administration, USDA-United States Department of Agriculture, ED-Department of Education, VA-Department of Veterans Affairs.

(1) 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.

(2) To Federal, State, and local agencies, their employees, and agents to conduct computer matching programs as regulated by the Privacy Act of 1974, as amended (5 U.S.C. 552a).

(3) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for: (1) detection, prevention, and recovery of improper payments; (2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (3) detection of fraud, waste, and abuse by individuals in their operations and programs; or (4) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs. Records under this routine use may be disclosed only to the extent the information shared is necessary and relevant to verify pre-award and prepayment requirements before the release of Federal funds or prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement for the purposes of statistical analysis and research in support of program operations, management, performance monitoring, evaluation, risk management, and policy development, to otherwise support the Department’s mission, or for other research and statistical purposes not otherwise prohibited by law or regulation. 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.

(5) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(6) To contractors, experts, and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize data to test new technology and systems designed to enhance program operations and performance.

(7) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(9) 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 help to enforce civil or criminal laws and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(10) To a court, magistrate, administrative tribunal, or arbitrator while presenting evidence, including disclosures to opposing counsel or witnesses in civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(11) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD

determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(12) To match system users for security purposes. User-provided PII may be shared with HUD departmental enforcement offices and other Federal, state, local or tribal law enforcement

agencies if there is reason to believe that a user provided false information to obtain access to the system, and that providing such information would help enforce civil or criminal laws.

(13) To the United States Department of Veterans Affairs (VA), to pre-screen applicants to determine if they are presently delinquent on any Federal debt reported by a participating agency, and to determine if they are eligible for a new federally backed loan or grant.

(14) To the United States Small Business Administration (SBA) to pre-screen applicants to determine if they are presently delinquent on any Federal debt reported by a participating agency, and to determine if they are eligible for a new federally backed loan or grant.

(15) To the United States Department of Education to pre-screen applicants to determine if they are presently delinquent on any Federal debt reported by a participating agency, and to determine if they are eligible for a new federally backed loan or grant.

(16) To the United States Department of Agriculture (USDA) to pre-screen applicants to determine if they are presently delinquent on any Federal debt reported by a participating agency, and to determine if they are eligible for a new federally backed loan or grant.

(17) To the United States DOJ to pre-screen applicants to determine if they are presently delinquent on any Federal debt reported by a participating agency, and to determine if they are eligible for a new federally backed loan or grant.

Electronic only.

Social Security Numbers, Taxpayer ID Numbers, and Employer Identification Numbers.

All records related to Federal Housing Administration (FHA) Mortgage Credit Alert report will be destroyed according to HUD Schedule Appendix 20 Single Family Home Mortgage Records, item 13B6 which states the following, destroyed when superseded or obsolete.

All records related to FHA Mortgage Credit Verification will be destroyed according to HUD Schedule Appendix 5 Technical Support Records, item 7 which states the following, destroy when superseded or obsolete.

CAIVRS and its data are located on centralized servers within Federal facilities with access control in place. Physical controls include cypher and combination locks, key card-controlled access, security guards, closed circuit TV, identification badges, and safes. Administrative controls include encryption of back-up data, back-ups secured off-site, methods to ensure only authorized users have access to PII, periodic security audits, and regular monitoring of system users’ behavior. Technical controls include encryption of Data at Rest and in Transit, firewalls at HUD and each reporting agency, role-based access controls, user IDs and passwords, Least Privileged access, elevated and/or administrative privileged access, PIV cards, intrusion detection systems. Additional measures to safeguard the system include role-based Privacy Act training required for HUD personnel responsible for CAIVRS system program management, IT security monitoring by the Department of Housing and Urban Development and the Department of Homeland Security.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing Urban Development, 451 7th Street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement, or an unsworn declaration made under 24 CFR 16.4.

N/A

Docket No. FR-7077-N-16, 88 FR 58595, August 28, 2023.

HSNG.SF/HWAFS.01 Single Family Insurance System (SFIS) A43 ─ Insurance-in-force (IIF) database.

The system is physically hosted at the HUD Information Technology Systems Production Data Center located at 2020 Union Carbide Drive, South Charleston, West Virginia 25303 and 4701 Forbes Blvd, Lanham, Maryland, 20706, or at the locations of the service providers under contract with HUD. Electronic records are stored at the VTL storage center South Charleston, West Virginia Data Center. External access is from the following addresses: Housing and Urban Development (HUD) workstations: 451 Seventh Street, SW, Washington, DC 20410; 470 L’Enfant Plaza East, Room 3118, Washington, DC 20026; HUD’s Atlanta Homeownership Center, Five Points Plaza, 40 Marietta Street, Atlanta, GA 30303; Denver Homeownership Center, UMB Plaza Building, 1670 Broadway, Denver, CO 80202; Philadelphia Homeownership Center, The Wanamaker Building, 100 Penn Square East, Philadelphia, PA 19107; Santa Ana Homeownership Center, Santa Ana Federal Building, 34 Civic Center Plaza, Room 7015, Santa Ana, CA 92701. See also HUD Regional Offices located in Seattle, WA; Atlanta, GA; Ft. Worth, TX; San Francisco, CA; Denver, CO; Boston, MA; Philadelphia, PA; Kansas City, KS; Chicago, IL; New York, NY (see Appendix II for complete addresses), where records are accessible.

Mortgagors who assumed or obtained a mortgage insured under HUD Federal Housing Administration single family mortgage insurance programs. Mortgagors who had Federal Housing (FHA) mortgage insured loans.

The categories of records in the A43/SFIS system are as follows:

1) Insurance-in-Force (IIF) Records: Single Family insurance-in-force records which include PII data pertaining to (Mortgagors) borrower’s/co-borrower’s and their spouses full names, Social Security numbers, property addresses, date of birth, race/ethnicity, gender/sex; case-level details on the endorsement of the loan to include status code, FHA case number, original mortgage amount, beginning of amortization date, originating lender, transaction records, initial and monthly mortgage insurance premiums (IMIP &MMIP).

Sec. 203, National Housing Act, Pub. L. 73-479; The National Housing Act (12 U.S.C. 1701 et. seq.) and the Department of Housing and Urban Development Act (42 U.S.C. 3531 et seq.); 24 CFR Parts 202, 203, 206, 241 and 266. The Housing and Community Development Act of 1987, 42 U.S.C § 3543, titled "Preventing fraud and abuse in Department of Housing and Urban Development programs" and enacted as part of the Housing and Community Development Act of 1987, which permits the collection of SSN.

Single Family Insurance System (SFIS) has been used to maintain IIF database, which contains accurate and detailed case information on FHA-insured single family properties. The IIF was initially loaded with information about several million active and terminated FHA cases in the single family mortgage insurance inventory. SFIS allows on-line access to FHA case information and is used to make inquiries and process actions on single family forward mortgages guaranteed by HUD. The system produces daily, weekly, monthly, quarterly, and annually reports upon request. The SFIS process begins with the endorsement of a case and continues through termination of the case and throughout the maintenance phase of post-termination cases. Online access to case information and reports is only available internally to HUD employees. The information in this system of records enables FHA to operate the single family mortgage insurance program (e.g., maintain data on the endorsement of single family loans and loan guarantees); record and calculate the collection of upfront and periodic mortgage insurance premiums (UFMIP and Periodic MIP); refund the unearned portion of the UFMIP’s to homeowners; and respond to inquiries regarding insured mortgages. The Department utilizes its Distributive Shares and Refund System (DSRS) to authorize payment of the UFMIP refunds and SFIS system to maintain schedules showing the remaining amount of the UFMIP credit available each month.

In addition to those disclosures generally permitted under 5 U.S.C. § 522a(b) of the Privacy Act, other routine uses may include:

1) To appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I, HUD’s Routine Use Inventory Notice, published in the Federal Register.

Storage:

Records are stored on magnetic tape/disc/drum. No hard copy records are maintained by SFIS that require storage. Electronic records are stored on DASD – Direct Access Storage Device and Virtual Tape Library (VTL).

Records are retrieved by name, co-borrower name, Social Security Number, property address, home address, and FHA Case number.

Automated records are maintained in secured areas. Access is limited to authorized personnel. Access to the system is granted through a user ID and password. Users are required to sign a Rules of Behavior before accessing the system.

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). Current retention periods for Single Family Case files are twelve years after close of the calendar year in which endorsed. Electronic records are maintained and destroyed as instructed by guidelines outlined in HUD’s IT Security Handbook (2400.25), pursuant to NIST Special Publication 800-88 "Guidelines for Media Sanitization."

Branch Chief, Single Family Insurance Operations Division, Department of Housing and Urban Development, 470 East L’Enfant Plaza, SW, Room 3118, Washington, DC 20410.

For Information, assistance, or inquiries about the existence of records contact Helen Goff Foster, Chief Privacy Officer/Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, D.C. 20410, telephone number 202-402-6836. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR Part 16. You must first verify your identity by providing your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

(1) Explain why you believe HUD would have information on you.

(2) Identify which HUD office you believe has the records about you.

(3) Specify when you believe the records would have been created.

(4) Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

If you are seeking records pertaining to another living individual, you must obtain a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA Office may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting the Department’s Chief Privacy Officer/Senior Agency Official for Privacy, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officers, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110, Washington, DC 20410.

Record Source categories are obtained from lenders who enter information into HUD’s FHA Connection and/or submitted through the HUD Homeownership Centers who endorse loans using HUD’s Computerized Homes Underwriting Management System (CHUMS) System, which transmits information to SFIS.

None.

/onap/los-p304

Office of Native American Programs – Loan Origination System or ONAP-LOS. The system number is P304.

Unclassified.

Records are maintained at the Department of Housing and Urban Development Headquarters, 451 Seventh Street, SW, Room 4156, Washington, DC 20410. HUD staff have access to ONAP-LOS through HUD's standard telecommunications network from a web browser. Lender institutions will have access via the internet.

Tom Wright, System Owner, Thomas.C.Wright@hud.gov; Department of Housing and Urban Development Headquarters, 451 Seventh Street, SW, Washington, DC 20410, 202- 402-4978

42 U.S.C. 3543 - Preventing fraud and abuse in Department of Housing and Urban Development Programs (enacted as part of the Housing and Community Development Act of 1987)-(a) Disclosure of social security account number. As a condition of initial or continuing eligibility for participation in any program of the Department of Housing and Urban Development involving loans, grants, interest or rental assistance of any kind, or mortgage or loan insurance, and to ensure that the level of benefits provided under such programs is proper, the Secretary of Housing and Urban Development may require that an applicant or participant (including members of the household of an applicant or participant) disclose his or her social security account number or employer identification number to the Secretary.

Section 184 of the Housing and Community Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992), as amended by the Native American Housing Assistance and Self-Determination Act of 1996 (Pub. L. 104-330, approved October 26, 1996) and 2013 Consolidated and Further Continuing Appropriations Act (Pub. L. 113-6, approved March 26, 2013), established the Section 184 program to provide access to sources of private mortgage financing to Indian families, Indian housing authorities, and Indian tribes. Congress established this program in 1992 to facilitate homeownership and increase access to capital in Native American Communities. The Section 184 program addresses obstacles to mortgage financing on trust land and in other Indian and Alaska Native areas by giving HUD the authority to guarantee loans to eligible persons and entities to construct, acquire, refinance, or rehabilitate one- to four-family dwellings in these areas. ONAP-LOS is being developed to provide automated capabilities for the ONAP Office of Loan Guarantee. FR Doc. 2016-26331 Filed 10-31-16.

ONAP-LOS will automate and expedite the processes required to originate a loan guarantee under the Section 184 Indian Home Loan Guarantee Program. ONAP-LOS will enable lender institutions to register new Section 184 loans, request reservations of funds, and submit completed loan case binders to HUD electronically to support the loan endorsement process. In addition, the ONAP-LOS system will include a lender registration and re-certification capability.

ONAP-LOS will allow for increased data collection on borrowers, properties, and transactions. Once fully implemented, ONAP-LOS will integrate loan performance data collection and analysis, loss mitigation efforts on delinquent loans, and default loan tracking. The system will enable the expansion of the credit model to include more econometric-, borrower- and transaction-level analysis to better model the program and overall risk. It will provide for better case tracking, reporting and program management, and analysis.

The ONAP-LOS system, in support of the Section 184 Indian Home Loan Guarantee Program, will capture and maintain data across the following major information categories:

a. Section 184 Direct Guarantee Lenders describe the lending institutions that register the loans, log property appraisals, reserve funds for obligation, and request endorsements of loans

b. Native American and Alaskan Native Borrowers and any Co-Borrowers who have applied for and/or obtained a loan guarantee certificate under HUD’s Section 184 Indian Home Loan Guarantee Program

c. Property and Appraisals associated with the Section 184 loans to be endorsed

d. Section 184 Loans

These information categories, particularly "Primary Borrowers and Co-Borrowers" will include personally identifiable information (PII).

For ONAP-LOS, a unique case number is assigned to each Section 184 loan and is used to identify and retrieve the loan information including the borrower/co-borrower SSN (see section above, "AUTHORITY FOR MAINTENANCE OF THE SYSTEM"). To secure this information, ONAP-LOS data is transmitted electronically and is protected by the following electronic security systems: password, encryption, user ID, authorization and authentication processes, Transport Layer Security (TLS), firewall, Public Key Infrastructure, and additional controls for internal users including Personal Identity Verification (PIV) Cards and Virtual Private Network (VPN).

The following are the categories of information that is collected and stored by ONAP-LOS. The information is used to verify factors necessary to ensure accurate and complete endorsement review and approval of Section 184 loans. A detailed data dictionary has been developed for ONAP-LOS and is available upon request.

Native American and Alaskan Native Borrowers and any Co-Borrowers who have applied for and/or obtained a loan guarantee certificate under HUD’s Section 184 Indian Home Loan Guarantee Program

•Primary Borrower Identifier (system generated)

•Primary Borrower First Name

•Primary Borrower MI

•Primary Borrower Last Name

•Primary Borrower SSN

•Primary Borrower Date of Birth

•Primary Borrower Type

•Primary Borrower Tribal Affiliation

•Co-Borrower Identifier (system generated)

•Co-Borrower First Name

•Co-Borrower MI

•Co-Borrower Last Name

•Co-Borrower SSN

•Co-Borrower Tribal Affiliation

•Co-Borrower Date of Birth

Section 184 Direct Guarantee Lenders describe the lending institutions that request to register the loans with HUD, reserve the funds for obligation, and request loan guarantee certificates. The following information will be captured in the initial release of ONAP-LOS. Future releases will deliver lender registration and re-certification capabilities, which will expand the list of attributes collected.

•Lender Identifier (system generated)

•Lender Name

•Lender Contact Name

•Lender Email

•Lender Phone

•Lender Fax

•Name of Loan Officer(s)

•Name of Loan Underwriter(s)

•Institution Address

•Lender Tax ID Number

•Broker Name

•Broker Tax ID Number

Property that is associated with the Section 184 loan to be endorsed

&amp;#8226;Address (Street, City, State, Zip)

•County

•Land Type Code

•Number of Units

•Bureau of Indian Affairs (BIA) Reservation #

•BIA Track #

•Contract Number (Tribal Status Report)

•Number of Living Units

•Lot #

•Block #

Section 184 Loan

•Case Number

•Case Assignment Date

•Loan Type

•Loan Purpose

•Base Mortgage Amount

•Upfront Fee Amount

•Loan Amount with Fee

•Loan Case Status

•Prior Case Number (if applicable)

•Prior Case Status (if applicable)

•Cohort Number

•Subsidy Rate

•Interest Rate

ONAP-LOS will include receipt of information from HUD’s Pay.Gov Common Service (HPCS) Interface. For each loan endorsed by HUD, the ONAP-LOS system will use the HPCS interface to obtain the amount of the loan guarantee fee paid by the lender on behalf of the Native American borrower.

Categories of users and purposes of such uses:

The records collected and contained in the ONAP-LOS system will not be shared outside the HUD firewall during the routine use of the system. However, in addition to those disclosures generally permitted under 5 U.S.C. Section 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside HUD as a routine use pursuant to 5 U.S.C. 552a(b)(3) for the following exceptions:

1. To appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I – HUD’s Routine Use Inventory Notice published in the Federal Register.

2. 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;

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.

3. To the National Archives and Records Administration (NARA) or to the General Services Administration (GSA) for records having sufficient historical or other value to warrant continued preservation by the United States Government, or for inspection under Title 44 U.S.C. 2904 and 2906.

4. To another Federal agency or Federal entity, HUD will follow the Department’s standard procedures in determining and then disseminating information from ONAP-LOS that is reasonably necessary to assist the recipient agency or entity in: (a) Responding to a suspected or confirmed breach or, (b) Preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

5. 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.

ONAP-LOS is adopting the Single-Family Home Mortgage Insurance Program records disposition schedule, which covers electronic management and references to Appendix 20 of the HUD Records Disposition Schedules Handbook (2225.6 Rev-1).

Currently, HUD prints and builds the loan case binder which comprises all documentation associated with the loan. Each loan case binder is shipped and stored to a record storage contractors provide named Iron Mountain for the life of the loan (30 years, plus an additional 6 years, as is required in Schedule 20). With ONAP-LOS in production, the records management capabilities will retain/archive the documentation per this required period.

Data stored electronically is protected by the following electronic security systems: password, encryption, user ID, authorization and authentication processes, firewall, and TLS.

HUD retrieves system information by the individual’s name, last four digits of his or her social security number, and, if known, the system generated case identification number. Lender information would be retrieved by the Lender’s legal name and Taxpayer Identification Number (TIN) and then similar individual information.

ONAP-LOS maintains records as needed under the NARA approved records schedule HUD Records Disposition Schedules Handbook (2225.6 Rev-1), Appendix 20. The loan case binder will be maintained in ONAP-LOS for the life of the loan (30 years, plus an additional 6 years, as is required in Schedule 20).

ONAP-LOS has implemented a set of security controls to minimize the risk, including:

•Passwords and Social Security Numbers are masked on the user input forms

•Strong access controls that are implemented in accordance with the principles of separations of duties and least privilege. External users only have access to the information that they have entered. The exception is some privileged users at external organizations that have access to all information their organization has entered.

•The application logs the user out after 10 minutes of inactivity, hiding previously visible information

•Encrypting sensitive information in the ONAP-LOS database

•Data is stored internally, protected by a firewall and physical security controls provided by Azure

•HUD and Microsoft Azure implement physical security controls to protect stored electronic information.

•Data is only shared internally or with the Department of Treasury. The information shared with Treasury is limited to the financial transactions for reserving funds (commitments) and endorsements of approved mortgage insurance applications (obligations). HUD has a shared service agreement with Treasury that covers transactions to ARC. The information in the financial transactions is transmitted to Department of Treasury via the daily ARC Report. See Section 6.1 for the list of transmitted information.

•All database back-ups are saved per the OCIO secure operations procedures for enterprise systems.

•Any printouts by OLG staff is used for administrative purposes and then destroyed.

All information related to the Lender, Broker, Property, Appraisal, Appraiser, Borrower, Co-Borrower, Sponsor and the Loan is collected and entered by the external lending institution and provided to HUD via ONAP-LOS.

Individuals desiring to determine whether this system of records contains information about them may do so in accordance with HUD’s Privacy Act website:

https://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/hudclips/handbooks/admh/1325.1

Privacy Act Requests are to be sent to:

Privacy Act Officer Department of Housing and Urban Development 451 7th St. SW, Room 10139 Washington, DC 20410

Privacy Act notice procedures are referenced in the HUD Privacy Act Handbook.

Individuals desiring to contest records may refer to the HUD FOIA Reference Guide and refer to the FOIA notice procedures on the website:

https://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/foia/requests

The request should be submitted to the Department’s FOIA office address below.

U.S. Department of Housing and Urban Development Freedom of Information Act Office 451 7th Street, SW, Room 10139 Washington, DC 20410-3000 Facsimile: (202) 619-8365

Individuals wishing to determine whether this system of records contains information about them may do so by contacting their lending institution or contacting HUD’s Privacy Office or Freedom of Information Act Office at the addresses above.

None.

/PD&R/RRE.01 Rental Assistance Demonstration (RAD) Program Evaluation Data Files.

Unclassified.

Department of Housing and Urban Development, 451 Seventh Street, SW, Washington DC 20410; Econometrica, 7475 Wisconsin Ave #1000, Bethesda, MD 20814; Urban Institute, 500 L’Enfant Plaza SW, Washington, DC 20024; The SSRS, 1 Braxton Way, Suite 125, Glen Mills, PA, 19342.

Carol Star, 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. Phone: (202) 402-6139.

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)).

The purpose of the Rental Assistance Demonstration (RAD) Evaluation is to assess the effect of the RAD program. RAD provides owners and Public Housing Authorities (PHAs) with access to additional funding to make needed physical improvements to such properties.

Current and former residents of a RAD-converted property; PHA staff, and the owners and managers of RAD conversions.

The data sets will contain the following categories of records.

Responses to resident survey: Include participant’s full name, home address, unique household identifier, and perception of health status.

Responses to property owner or operator survey: Include respondent’s full name, title or position, email address, and phone number.

Responses to PHA survey and interview: Include respondent’s full name, title or position, email address, phone number, and audio recording from interview.

Administrative data: Include data on tenant’s full name, date of birth, age, gender, race/ethnicity, disability status, income/salary, geolocation information, home address, unique household identifier; property owner or manager’s full name, employment status (title or position), name of employer, email address, phone number.

Locational data: Include data such as the address and location of participating household. These data sets will be drawn from a variety of sources, including the National Change of Address database, proprietary databases such as Accurint, and directly from participating households.

RAD program participants

•

Property owners and operators

•

PHA respondents

•

HUD administrative data systems:

Tenant Rental Assistance Certification System (TRACS), SORN HUD/H-11;

PIH Inventory Management System/PIH Information Center (IMS/PIC), SORN PIH-FRN;

Integrated Real Estate Management System (iREMS), SORN HSNG.MF/HTS.01.

Locational data from non-federal proprietary databases: National Change of Address (NCOA) and Accurint.

CATEGORIES OF USERS AND PURPOSES OF SUCH USES:

(1) 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.

(2) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement for the purpose of statistical analysis and research supporting 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.

(3) To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize data to test new technology and systems designed to enhance program operations and performance.

(4) (a) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed there has breached the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(5) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(6) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(7) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(8) 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law. Records may only be disclosed upon a showing by the requester that the information is pertinent to the investigation.

Records are maintained paper and electronic.

Name, home address, telephone number, and personal e-mail address.

Records will be retired to Federal Records Center three years after satisfactory close of project that volume warrants. Records will be destroyed six years after satisfactory close of project.

This system is being developed for the exclusive purpose of developing data files for the Rental Assistance Demonstration (RAD) evaluation. All data collected will be input and stored in a secure database; electronic materials with identifying information will be stored on a secure server in password-protected and/or encrypted files. Information identifying particular respondents will be shared only with staff members who have signed Data Confidentiality Pledges and who need the information for research purposes. Hard-copy materials containing respondent identifying information will be locked up when not in use. Transfer of personally identifiable information between HUD and HUD’s contractors will take place through secure server or transportable media encrypted.

1. Full name.

2. Signature.

3. The reason why the individual believes this system contains information about him/her.

4. The address to which the information should be sent.

Same as the Notification Procedures Below.

None.

This is a revision to SORN No. PD&R/RRE.01, published in the Federal Register on January 22, 2015 (FR-5843-N-01).

/PD&R-04 Family Options Study HUD/PD&R-04.

Unclassified.

Data Files are maintained by Abt Associates which has principal offices at the following locations: Abt Associates Inc., 10 Fawcett Street Suite 5, Cambridge, MA; Abt Associates Inc., 6130 Executive Blvd, Rockville, MD 20852; and the U.S. Department of Housing and Urban Development, 451 7th Street SW, Washington, DC 20410-0001. The Abt Associates system is hosted inside Amazon Web Services US East Cloud Region.

Sections 501 and 502 of the Housing and Urban Development Act of 1970 (Public Law 91-609) (12 U.S.C. 1701z-1; 1701z-2(d) and (g)).

The purpose of the Family Options Study will be to store the information that is needed to measure the long-term outcomes of the Family Options Study. The information to be maintained in this records system is necessary to identify and track the participating families over the course of the study and determine the effectiveness of the interventions. The data in this system will be analyzed using statistical methods and any results shared with the public or published in anyway will be reported only in the aggregate. Resulting reports will not disclose or identify any individuals or sensitive personal information.

Families enrolled in Family Options Study and children in these families who have aged into adulthood and enrolled in the study.

The data sets will contain the following categories of records.

Responses to surveys: Includes participant’s full name; social security number; study identifier; birth date; contact information (home address, telephone numbers, email address); demographic characteristics of the family head and children; income and employment history; health information; housing history; program service participation and experiences; and child well-being.

Administrative data: Includes data on tenant’s full name, date of birth, age, gender, race/ethnicity, disability status, income/salary, geolocation information, home address, unique household identifier; employment status, earned income, name of employer, email address, phone number.

Locational data: Includes data such as the address and location of participating household.

Families enrolled in the Family Options Study, HUD’s PIH Inventory Management System/PIH Information Center (IMS/PIC), National Director of New Hires (NDNH), National Student Clearinghouse, Research Data Assistance Center, National Center for Health Statistics, National Change of Address (NCOA), and Accurint.

(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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement 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.

(2) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, or its contractor Abt Associates, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(3) (a) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed there has breached the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(4) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(5) 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 employees or contractors, and other entities and their agents for the conduct of HUD-approved ancillary studies relevant to the Family Options Study. 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. Research reports resulting from any such ancillary studies would be required to report all results in the aggregate and to ensure that no individual was identifiable.

Electronic and paper.

Name, Social Security Number, Date of Birth and Unique Study ID.

Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

For Electronic Records: All personal data will be maintained on a secure virtual server that is protected by a firewall and complex passwords in a directory that can only be accessed by the system 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 systems used to process or store data have Federal security controls applied to them; the data will be backed up on a regular basis to safeguard against system failures or disasters; and, unencrypted data will not be stored on a laptop or on removable media such as CDs, diskettes, or USB flash drives.

For Paper Records: Any paper records with personal identifiers will be securely stored until they are shipped to the evaluation contractor via commercial mail services; all hard copy forms with personal identifying data (informed consent forms) 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. Additionally, permissions will be defined for each authorized user based on the user's role on the project. Study data will be aggregated or de-identified at the highest level possible for each required, authorized use.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

This is a revision to the previously published notice published in the Federal Register on February 26, 2014, at 79 FR 10823.

/HUD/PD &R.05 Supportive Services Demonstration Evaluation.

Abt Associates has headquarters at 6130 Executive Blvd, Rockville, MD 20852. HUD’s Office of Policy Development and Research, Program Evaluation Division, 471 Seventh Street SW, Room 8120, Washington, DC 20410-0001.

Carol S. Star, Program Evaluation Division, Office of Policy Development and Research, U.S. Department of Housing and Urban Development, 451 7th Street, SW; Washington, DC 20410-0001; telephone number (202) 402-6139 (this is not a toll-free number).

Sections 501 and 502 of the Housing and Urban Development Act of 1970 (Public Law 91-609) (12 U.S.C. 1701z-1; 1701z-2(d) and (g)).

The purpose of the system is to allow the Department to study information gathered on Supportive Services Demonstration IWISH program participants in comparison to other participants receiving HUD-assisted elderly housing. The system will link, store, and analyze data collected through the SSD evaluation (HUD data, Medicare data, Medicaid data, and qualitative data). Use of this system is essential to successfully implementing the evaluation because analyzing person-level linked health and housing data is the main way the evaluation will measure the impacts of the demonstration on participating residents. Matching existing data from different federal and state government agencies is an innovative and cost-effective evaluation method that minimizes data collection burden on the public. The interview data is essential to understanding the participants’ experiences with the program. HUD and policy makers will use the information collected through the evaluation to understand the effectiveness and outcomes of the IWISH model. The evaluation will provide insight to Congress, HUD, grantee states, and other interested parties on issues to consider in providing housing-based supportive services. It will also provide rigorous, quantitative data on the impact of housing-based supportive services on healthcare utilization and housing stability among older adults in HUD-assisted housing.

Residents, property owners and managers, Resident Wellness Directors (RWD) and Wellness Nurses (WN) of 124 HUD-Assisted Multifamily Housing properties.

Age, race/ethnicity, sex, household size, salary, housing cost, length of tenure, home address, full name, date of birth, and social security number for data matching to Medicare and Medicaid data and demographic analysis. Protected health information from Medicare fee-for-service (FFS) claims data, Medicare encounter data, and Medicaid Transformed Medicaid Statistical Information System (T-MSIS) files, including data on gender. Responses to interview questions, including related to employment status, employment history, employment information, and place of birth; full name, phone number, email address, and home address to schedule interviews; Abt Study ID; audio recordings from interviews.

IWISH Demonstration property owners and managers, Resident Wellness Director (RWD), Wellness Nurse (WN), Tenant Rental Assistance Certification System (TRACS), Medicare and Medicaid claims.

(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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement 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. Research reports and other analysis conducted under this routine use may not disclose identifiable information; all results must be reported in the aggregate and must ensure that no individual is identifiable.

(2) (a) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(3) (b) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(4) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic and paper.

Name, social security number, home address, telephone number, personal e-mail address, and unique study ID.

Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

For Electronic Records: All personal data will be maintained on a secure workstation or virtual server that is protected by a firewall and complex passwords in a directory that can only be accessed by the system 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 systems used to process or store data have Federal security controls applied to them; the data will be backed up on a regular basis to safeguard against system failures or disasters; and, unencrypted data will not be stored on a laptop or on removable media such as CDs, diskettes, or USB flash drives. For Paper Records: The site interviewers will securely store any hard copy forms with personal identifiers until they are shipped to the evaluation contractor via commercial mail services; all hard copy forms with personal identifying data (the participant agreement/informed consent form) will be stored securely in a locked cabinet or bag that can only be accessed by authorized individuals working on the data. All hard copy forms will be shipped to the evaluation contractor and stored in a locked cabinet in a locked office in a limited-access building. Additionally, permissions will be defined for each authorized user 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.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

This is a revision to the previously published notice published in the Federal Register on March 19, 2019 (84 FR 10113).

/PD&R/RRE.07 Choice Neighborhoods Evaluation.

Department of Housing and Urban Development, 451 Seventh Street, SW, Washington DC 20410; HUD Data Center, Charleston, West Virginia; Urban Institute, 2100 M Street, NW, Washington, DC 20037, and at the location of the service providers under contract with HUD.

HUD program participants, and other residents (not assisted by HUD) living in Choice Neighborhoods program cities: Boston, Chicago, New Orleans, San Francisco, and Seattle.

The data sets will contain the following categories of records:

•Responses to baseline survey: Include participants name, date of birth, address, phone number, and email address, demographic data, economic characteristics, educational characteristics, health, subjective well-being, and information about the household member living environment, contact information of a family member or friend who could help locate the survey respondent in the future if they move, and unique study identifier assigned to the program participant.

•Responses to follow-up survey: Include participants name, date of birth, address, phone number, and email addresses, demographic data, economic characteristics, educational characteristics, health, subjective well-being, and information about the household member living environment, contact information of a family member or friend who could help locate the survey respondent in the future if they move. The follow-up survey will collect information very similar to the baseline survey, in order to show how the experience of Choice Neighborhoods residents has changed over time, and unique study identifier assigned to the program participant.

•Administrative data: Include data on households available through HUD administrative data, collections will be brought into the dataset directly from HUD’s Inventory Management System, including information pertaining to the participating family structure, household size, household income, race and demographics, address, and participation in other HUD programs.

•Locational data: Include data such as the address and location of participating household. These data sets will be drawn from a variety of sources, including the National Change of Address database, proprietary databases such as Accurint, and directly from participating households.

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)).

The purpose of the Choice Neighborhoods Evaluation is to track the effects of the Choice Neighborhoods program in the five cities: Boston, Chicago, New Orleans, San Francisco, and Seattle that received implementation grants in 2011. Choice Neighborhoods is meant to transform distressed neighborhoods, with a focus on HUD assisted developments (public housing or project-based section 8). This transformation is intended to help the people living in the targeted developments and surrounding distressed neighborhoods improve their quality of life. The evaluation will track the experiences of a statistical sample of individuals living in five Choice Neighborhoods sites, to determine whether the program improves their quality of life in a variety of dimensions, including employment, education, health, and subjective well-being. This analysis will inform HUD leadership, policymakers, and HUD partners that implement community development programs. The data collected for the Choice Neighborhood Evaluation will be used and stored solely for research purposes, and will not be used to identify individuals or make decisions that affect the rights, benefits, or privileges of specific individuals. The data in this system will include location data, which will be used to analyze the neighborhoods in which people affected by the initiative live. The data in the system will also include information about household composition, income, education, and many quality of life measures, which will be used to analyze the extent to which people’s lives are being improved by the Choice Neighborhoods Program. The data in this system will be analyzed using statistical methods and only reported in the aggregate. Resulting reports will not disclose or identify any individuals or sensitive personal information. The Choice Neighborhoods Evaluation 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 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:

(1) To a recipient who has provided the agency with advance, adequate written assurance that the record provided from this system of records will be used solely for statistical research or reporting purposes. Records under this condition will be disclosed or transferred in a form that does not identify an individual.

(2) 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, and 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 this 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.

(3) 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

(4) Appropriate agencies, entities, and persons to the extent such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I, HUD’s Routine Use Inventory notice published in the Federal Register.

Storage:

Records are stored on secure servers administered by HUD's Office of Policy Development and Research, and on secure servers administered by the Urban Institute under contract with HUD. There are no paper-based records associated with this study.

Records will be retrieved by a unique study identifier.

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.

Records (Electronic data) files are maintained in accordance with HUD Records Disposition Schedule 67.9.b and 67.9.f . The records will be retained for a minimum of 10 years then archived. As such, when projects are satisfactorily closed and records are no longer needed for administrative purposes, the records will be destroyed when the destruction date is reached. Manual records are destroyed by shredding or burn; electronic records are destroyed in accordance with HUD’s IT Security Handbook 2400.25, Section 4.7.6 . Electronic records will be stored on HUD data servers in Charleston, WV.

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.

For Information, assistance, or inquiries about the existence of records contact, Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 10139, Washington, DC 20410, telephone number 202-402-6828. When seeking records about yourself from this system of records or any other HUD system of records, your request must conform to the Privacy Act regulations set forth in 24 CFR Part 16. You must first verify your identity by providing your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition, your request should:

a. Explain why you believe HUD would have information on you.

b. Identify which office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

If your request is seeking records pertaining to another living individual, you must obtain a statement from that individual certifying their agreement for you to access their records. Without the above information, the HUD FOIA office may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16.3, "Procedures for inquiries." Additional assistance may be obtained by contacting Frieda B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street, SW, Room 2130, Washington, DC 20410, or the HUD Departmental Privacy Appeals Officer, Office of General Counsel, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 10110, Washington DC 20410.

(1) Baseline survey, collected directly from individuals who have agreed to participate in the study, (2) Follow up survey, collected directly from individuals who have agreed to participate in the study, (3) Administrative data derived from HUD IMS system, and (4) Locational data from non-federal proprietary databases.

None.

/PDR-09

Community Choice Demonstration Evaluation Data Files, HUD/PDR-09.

Unclassified.

Abt Associates Inc., 10 Fawcett Street, Cambridge, MA and at 6130 Executive Blvd, Rockville, MD 20852; AT&T Datacenter, 15 Enterprise Ave, Secaucus, NJ 07094; Johns Hopkins University, 5801 Smith Avenue, Baltimore, MD 21209; the U.S. Census Bureau, 17101 Melford Blvd, Bowie, MD 20715; and HUD Headquarters, 451 7th Street SW, Washington, DC 20410-0001.

Carol Star, Director, Program Demonstration Division, Office of Policy Development and Research, Department of Housing and Urban Development, 451 7th Street SW., Washington, DC 20410-0001, Telephone Number (202) 402-6139.

Section 502 of the Housing and Urban Development Act of 1970 (Public Law 91-609) (12 U.S.C. 1701z-1; 1701z-2(d) and (g)).

The purpose of the Community Choice Demonstration Evaluation Data Files is to store the information that is needed to evaluate the impact of the Community Choice Demonstration. The information to be maintained in this records system is necessary to identify and track the participating families over the course of the study and determine the effectiveness of the interventions. The data in this system will be analyzed using statistical methods and any results shared with the public or published in any way will be reported only in the aggregate. Resulting reports will not disclose or identify any individuals or sensitive personal information.

Families enrolled in the Community Choice Demonstration, staff at public housing agencies (PHAs) that are administering the Community Choice Demonstration, providers of mobility services that are partnering with PHAs to administer the program, and landlords.

Head of household’s full name, social security number, date of birth, alien registration number, unique study ID, home address, household composition, basic demographics of household members (educational attainment, relationship to head of household, employment information of adults, chronic health conditions of children etc.), housing and neighborhood status, perceptions of opportunity areas, financial well-being, individual and household earnings, responses to family qualitative interviews, and contact information.

Responses to PHA staff qualitative interviews: Respondent’s full name, title or position, email address, and phone number.

Responses to mobility service providers qualitative interviews: Respondent’s full name, title or position, email address, and phone number.

Responses to landlord qualitative interviews: Respondent’s full name, title or position, email address, phone number, property locations, and audio recording.

Data from the Mobility Services Delivery Management Information Systems: Service recipients full name, services provided, duration and intensity of services.

Administrative data: Demographic data on tenants, including social security number, date of birth, race, sex, disability status, household members, home address, contact information, and Housing Choice Voucher program participation information for households (types and dates of program actions).

Home assessment: Demographic data on tenants, including full name, social security number, date of birth, household members, home address, contact information, and unique study ID; home measurements (e.g., indoor air quality); interviewer observations of unit and building characteristics; and responses to survey about unit air quality, pests, temperature, allergens, and child health conditions.

Child assessment: Demographic data on tenants, including full name, social security number, date of birth, household members, home address, contact information, and unique study ID; parent and child responses to survey about home environment, parenting practices, child, behavioral, education, and social functioning, child health conditions, and child’s prior contact with police; child executive functioning assessment; and health care records.

Obesity and type II diabetes risk assessment: Demographic data on tenants, including full name, social security number, date of birth, household members, home address, contact information, and unique study ID; adult responses to survey about physical and mental health, chronic health conditions, and neighborhood characteristics; adult and child height, weight, and waist circumference measurements; results from adult Hemoglobin A1C test; results from adult and child accelerometers; adult blood pressure readings; and health care records.

Locational data: Data such as the address and location of participating household. These data sets will be drawn from a variety of sources, including the National Change of Address database, proprietary databases such as Accurint, and directly from participating households.

Program participants, housing assessment measurement data, program participants’ health measurement data, landlords, PHA staff, mobility service providers, Mobility Services Delivery Management Information Systems, HUD PIH Inventory Management System/PIH Information Center, and HUD Tenant Rental Assistance Certification System (TRACS).

(1) 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.

(2) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, or cooperative agreement, or other agreement 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.

(4) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed there has breached the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(5) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(7) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(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 employees or contractors, and other entities and their agents for the conduct of HUD-approved ancillary studies relevant to the evaluation of the Community Choice Demonstration. 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. Research reports resulting from any such ancillary studies would be required to report all results in the aggregate and to ensure that no individual was identifiable.

Electronic and paper.

Name, social security number, date of birth, home address, telephone number, and personal e-mail address, and Unique Study ID.

Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

For Electronic Records: All personal data will be maintained on a secure workstation or server that is protected by a firewall and complex passwords 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; the data will be backed up on a regular basis to safeguard against system failures or disasters; and, unencrypted data will never be stored on a laptop or on a movable media such as CDs, diskettes, or USB flash drives.

For Paper Records: The site interviewers will securely store any hard copy forms with personal identifiers until they are shipped to the evaluation contractor via commercial mail services; 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. Additionally, permissions will be defined for each authorized user 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.

Individuals requesting records of themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW Washington, DC 20410. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR 16.8 or may be obtained from the system manager.

None.

Document Citation: 87 FR 32179, Docket No. FR-7062-N-05, May 27, 2022.

/PD&R.01 Veterans Homelessness Prevention Demonstration Evaluation Data Files System (VHPD Data Files).

Silber & Associates, 13067 Twelve Hills Road, Suite B Clarksville, Maryland 21029- 1144; Urban Institute, 2100 M Street NW., Washington, DC 20037.

Persons enrolled in VHPD, the Homelessness Prevention and Rapid Re-housing Program (HPRP), and Veterans Affairs medical service centers.

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.

Housing and Urban Development Act of 1970, Section 502 (Pub. L. 91-609; 84 Stat. 1784; 12 U.S.C. 1701z-1 et seq.)

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.

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:

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;

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;

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;

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

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.

Storage:

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.

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.

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.

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.

Carol S. Star, Director, Department of Housing and Urban Development, Office of Policy Development & Research, Division of Program Evaluation, 451 Seventh Street SW., Room 8120, Washington, DC 20410.

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.

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.

(i) Contesting contents of records: U.S. Department of Housing and Urban Development, Chief Privacy Officer, 451 Seventh Street SW., Washington, DC 20410;

Information is obtained from the record subjects and the Homeless Management Information Systems in participating Continuums of Care.

None.

/PD&R/RRE.02 Family Self-Sufficiency Program Demonstration Data.

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.

Participants in the Family Self-Sufficiency Program Demonstration.

The dataset will contain the following categories of records:

1. Output of random assignment process: Identify treatment group status, sample ID and research ID.

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.

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.

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.

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.

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.

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)).

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.

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 Federal Register 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:

[1] http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.

(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;

(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;

(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;

(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;

(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;

(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;

(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

(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.

Storage:

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.

Records will be retrieved by social security number and/or unique study identifier.

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.

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]

[2] http://portal.hud.gov/hudportal/documents/huddoc?id=22256x67ADMH.pdf.

[3] http://portal.hud.gov/hudportal/documents/huddoc?id=240025CIOH.pdf.

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.

The procedures for requesting amendment or correction of records appear 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 (Attention: Capitol View Building, 4th Floor), Washington, DC 20410;

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street SW., Washington, DC 20410.

(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.

None.

/PD&R-7 Policy and Research Information System (PARIS), HUD/PD&R-07.

Unclassified.

Records are maintained at the U.S. Department of Housing and Urban Development Headquarters, 451 Seventh Street, SW, Washington, DC 20410-0001. Servers are in Stennis Data Center, 9300 Building Complex Stennis Space Center, MS 39529-0001.

Lydia Taghavi, Deputy Assistant Secretary, Office of the Chief Data Officer, Office of Policy Development and Research, U.S. Department of Housing and Urban Development, 451 Seventh Street, SW, Room 8210, Washington, DC 20410-0001; Phone: (202) 402-5741.

Sections 501 and 502(g) of the Housing and Urban Development Act of 1970 (Public Law 91-609); 84 Stat. 1784; 12 U.S.C. 1701z-1 and 1701z-2(g).

HUD PD&R maintains the Policy and Research Information System (PARIS) system of records to serve as a repository of information related to public housing agencies (PHAs), HUD-assisted families, HUD-assisted properties, and other HUD programs for research, evaluation, monitoring, and budget formulation. PARIS gives PD&R the ability to extract data from multiple data systems, both internal and external to HUD, and transform the data into a format that can be easily analyzed and reported on. The reporting functions allow HUD to respond to Congressional requests for data on assisted housing programs. The data collected from the multiple systems and surveys is used and stored solely for statistical purposes and will not be used to identify individuals or make decisions that affect the rights, benefits, or privileges of specific individuals unless it meets one routine uses identified in the next section. The data in this system will include location data used to analyze the neighborhoods in which people participating in HUD programs live.

Members of the public, heads of households, spouses, children and other household members residing in a HUD-assisted property and/or receiving rental housing assistance through programs administered by HUD; children and other household members residing in Low-Income Housing Tax Credit (LIHTC) properties; individuals who are hired management agents by PHAs and Tribally Designated Housing Entities (TDHE); individuals who are designated as property owners and/or managing agents of privately-owned but HUD-assisted properties; individuals who are designated as agents of State Housing Finance agencies; individuals whose records are found in the National Center for Health Statistics (NCHS)-HUD data linkage which involves data from the National Health Interview Survey and the National Health and Nutrition Survey matched with HUD’s data; individuals who have received or applied for housing-related disaster assistance from the Federal Emergency Management Agency (FEMA); families/individuals who are participants in:

•

HUD-sponsored research and evaluation projects,

•

HUD homeownership programs, and

•

HUD Eviction Protection Grant Program.

Full Name, Social Security Number, Date of Birth, Age, Disability Status, Race / Ethnicity, Alien Registration Number, Citizenship(s), Home Address, Email Address(es), Phone Number(s), Place of Birth, Salary, Sex, Gender, Eligibility to HUD program, Protected Health Information, Household Member Relationship to Head of Household.

HUD record sources: Low-Income Housing Tax Credit (LIHTC) Tenant Data Collection, Inventory Management System-PIH Information Center (IMS-PIC), the Housing Information Portal (HIP), Tenant Rental Assistance Certification System (TRACS), Single Family Housing Enterprise Data Warehouse (SFHEDW), Rental Assistance Demonstration (RAD) program data, Disaster Recovery Grant Reporting Systems (DRGR) Eviction Protection Grant Program (EPGP) data, National Standards for the Physical Inspection of Real Estate (NSPIRE), and HUD Enforcement Management System (HEMS).

Non-HUD record sources: Federal Emergency Management Agency (FEMA), National Center for Health Statistics (NCHS), Department of Justice (DOJ), Department of Treasury (Treasury), Federal Housing Finance Agency (FHFA), United States Postal Service (USPS), and Consumer Financial Protection Bureau (CFPB).

(1) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records, (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, [the agency] (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(2) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach

(3) 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 record pertains.

(4) 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 when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(5) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(6) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement 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.

To contractors, grantees, experts, consultants and their agents, students or others performing or working under a contract, service, grant, cooperative agreement, or other assignment with HUD, when necessary to accomplish an agency function related to a system of records. Since the records maintained in this system are also found in other HUD systems and used for other purposes, their routine use also applies.

(7) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic Records.

Name, Social Security Number, and Date of Birth.

Records files are maintained in accordance with Records Disposition Schedule 67.9.b and 67.9.f. The records will be retained as necessary. As such, when projects are satisfactorily closed, and records are no longer needed for administrative purposes, the records will be destroyed when the destruction date is reached. Electronic records are destroyed according to authorization number DAA-GRS-2017-0003-0002.

Access to any server, security, storage, backup, and infrastructure equipment is monitored, and is restricted to only those with a need-to-have system access, including being secured by administrative password and User ID, PIV Card, and authentication methods. All system users are required to sign a confidentiality pledge to abide by corporate policies and by HUD policies. Access to PARIS databases is controlled and monitored by HUD System Administrators and abides by policies set by HUD’s Chief Information Officer. Servers and other storage equipment are within HUD’s firewall.

Individuals requesting records of themselves should address written inquiries to the Department of Housing Urban and Development, 451 7th Street, SW Washington, DC 20410-0001. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A.

/PD&R/RPT.09 HUD USER File for Research Products, Services and Publications.

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.

The system contains information on those individuals who have expressed an interest in receiving research products and services publications.

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.

Title V of the Housing and Urban Development Act of 1970, section 501.

The information is collected for the purpose of fulfilling order requests from individuals to receive PD&R research products including publications, data sets, brochures, and other materials.

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.

1. Records from the system are provided to the contractor providing service on behalf of PD&R, with funds provided by PDR for the purpose of disseminating PD&R research products.

Storage:

Hard copy files are stored at the HUD User Information Center and electronically on office automation equipment.

Records are retrieved by the name of the individual.

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.

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.

Director, Research Utilization Division, 451 Seventh Street, SW., Room 8110, Washington, DC 20410.

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.

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:

(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

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street SW., Washington, DC 20410.

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.

None.

/PDR-10 Housing Counseling Research Data Files.

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.

Individuals selected in a random sample of clients participating in housing counseling.

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.

Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C. 1701z-1, 1701z-2.

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.

In addition to those disclosures generally permitted under 5 U.S.C. A.

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.

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.

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.

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.

E. To credit bureaus to draw credit reports on the individuals selected to participate in the Housing Counseling Outcome Evaluation.

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.

Storage:

In file folders and electronic files stored on contractors' secured servers and computers.

Name, address.

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.

All personal identifiers will be destroyed approximately six months after the research is completed.

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.

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.

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:

(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

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street, SW., Washington, DC 20410.

The original records are transferred from information obtained from baseline questionnaires for participating clients and service tracking surveys on counseling services received by those clients from the record subjects, participating counseling agencies, and credit bureaus.

None.

/PD&R-10 Homeless Families Impact Study Data Files.

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&T Datacenter, 15 Enterprise Ave., Secaucus, NJ 07094.

Families enrolled in Homeless Families Impact Study.

Name; Social Security Number; study identifier; birth date; contact information (home address, telephone numbers, e-mail address); demographic characteristics of the family head (e.g., 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.

Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C. 1701z-1, 1701z-2.

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.

ߦ Authorized AbtSRBI researchers will collect the data from participating families and will match these primary study data with other datasets for tracking (e.g., matching with change of address databases) to track and locate families throughout the study and to manage the data collection process.

ߦ 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 (e.g., matching with HUD's public housing dataset to measure housing receipt).

ߦ Authorized Abt researchers will also use the data for statistical analysis and to develop findings for this research study.

ߦ 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.

ߦ 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.

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.

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.

The following safeguards shall be used to secure data in storage, retrieval, during access, and disposal.

ߦ 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.

ߦ 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.

ߦ 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.

ߦ 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.

ߦ 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.

ߦ 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.

ߦ 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.

Consent Forms. 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.

Tracking documentation. 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.

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.

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.

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.

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.

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.

"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.

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.

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.

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.

(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.

(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.

Original data collected directly from participating families, third party data for tracking purposes (e.g. National Change of Address database, credit bureaus), and administrative data on HUD's public housing programs.

None.

/PDR-11

Moving to Work Asset Building Cohort Evaluation Data Files, HUD/PDR-11.

Unclassified

Records are maintained at the following locations: Amazon Web Services, East, N. Virginia, and . 20945 Loudoun County Pkwy, Ashburn, VA 20147; and the U.S. Department of Housing and Urban Development Headquarters, 451 7th Street SW, Washington, DC 20410.

Carol Star, Director, Program Evaluation Division, Office of Policy Development and Research, HUD, 451 Seventh Street, SW, Washington, DC 20410, telephone number (202) 402-6139.

Sections 501 and 502 of the Housing and Urban Development Act of 1970 (Public Law 91-609) (12 U.S.C. §§ 1701z-1; 1701z-2(d) and (g)).

The Moving to Work Asset Building Cohort Evaluation data files will store the information that is needed to evaluate the impact of the asset building programs on HUD-assisted households. The information to be maintained in this records system is necessary to identify participating families and determine the effectiveness of the interventions. The data in this system will be analyzed using statistical methods and any results shared with the public or published in any way will be reported only in the aggregate. Resulting reports will not disclose or identify any individuals or sensitive personal information.

Families enrolled in the Moving to Work asset building programs.

Tenant data: Includes enrollment information, administrative data (including credit scores), and survey responses from tenants, including: head of household’s full name, date of birth, social security number, unique study ID, home address, household composition, demographics of household members, measures of financial wellbeing, educational attainment, employment and income information, housing and housing subsidy information, receipt of non-housing public benefits, and contact information.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, HUD may disclose information in this system of records:

(1) Research and Statistical Analysis Disclosure Routine Use:

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, and entities and their agents with whom HUD has a contract, service agreement, grant, or cooperative agreement, or other agreement 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. Research reports and other analysis conducted under this routine use may not disclose identifiable information; all results must be reported in the aggregate and must ensure that no individual is identifiable.

(2) Data Breach Remediation Purposes Routine Use:

(a) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed there a breach in the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist with HUD’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

(b) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(3) Contractor Routine Use:

To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

Electronic and Paper.

Name, Social Security Number, the unique study ID, home address, telephone number, and personal e-mail address.

Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

For Electronic Records: All personal data will be maintained on a secure workstation or server that is protected by a firewall and complex passwords 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 for that individual to fulfill their research role; all systems used to process or store data have Federal security controls applied to them; the data will be backed up on a regular basis to safeguard against system failures or disasters; and, unencrypted data will never be stored on a laptop or on a movable media such as CDs, diskettes, or USB flash drives.

For Paper Records: The site interviewers will securely store any hard copy forms with personal identifiers until they are shipped to the evaluation contractor via commercial mail services; 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. Additionally, permissions will be defined for each authorized user based on the user's role on the project. Study data will be aggregated or de-identified at the highest level possible for each required, authorized use.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

N/A.

/PD&R-12

HUD User, HUD/PD&R-12.

Unclassified.

Records are maintained at Sage Computing,11491 Sunset Hills Road, Suite 350, Reston, VA 20190.

Heidi Joseph, Director, Research Utilization Division, Office of Policy Development and Research (PD&R), 451 Seventh Street, SW, Washington DC, 20410-0001, E-mail: heidi.j.joseph@hud.gov

Section 3(b) of the Department of Housing and Urban Development Act of 1965, 42 U.S.C. 3532(b); Section 502(g) of the Housing and Urban Development Act of 1970, 12 U.S.C. 1701z-2(g).

HUD User is a publicly accessible website that provides free online access to an array of materials developed by PD&R, including housing reports, publications, datasets, databases, an e-magazine, listservs, e-books, GIS Maps, and other valuable information related to housing and community development. PD&R's primary mission is to support the Department's efforts to create cohesive, economically healthy communities, and HUD User is a critical mechanism by which PD&R shares housing and community development information with policymakers, researchers, practitioners, and the public.

Members of the General Public.

Full name, email address, phone number, mailing address, organization, title, and employer identification number.

Records are received from Individuals to access services available on www.huduser.gov.

(2) 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.

(4) To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(5) To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that there has been a breach of the system of records; (b) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; 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 breach or to prevent, minimize, or remedy such harm.

(6) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(7) To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(8) (a) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(9) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(10) To a consumer reporting agency, when trying to collect a claim owed on behalf of the Government, in accordance with 31 U.S.C. 3711(e).

Electronic.

Name, address, telephone number, or e-mail address associated with an individual.

Temporary. Destroy 3 years after agreement, control measures, procedures, project, activity, or transaction is obsolete, completed, terminated or superseded.

All personal data will be maintained on a secure workstation or server protected by a firewall, and complex passwords that can only be accessed by the system administrators. Access rights to the data are granted to limited staff on a need-to-know basis, and the level of access provided to each person is based on the minimal level required that the individual needs to fulfill his role. All systems used to process or store data have Federal security controls applied to them; the data will be backed up regularly to safeguard against system failures or disasters; and unencrypted data will never be stored on a laptop or on a movable media such as CDs or USB flash drives.

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16.8 or may be obtained from the system manager.

Individuals requesting notification of records of themselves should address written inquiries to the Department of Housing and Urban Development, 451 7th Street SW, Washington, DC 20410-0001. For verification purposes, individuals should provide their full name, office or organization where assigned, if applicable, and current address and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

None.

N/A.

/PD&R/RRE.03 Rapid Re-Housing for Homeless Families Data Files.

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&T Datacenter, 15 Enterprise Ave., Secaucus, NJ 07094.

Families enrolled in RRHFD.

Name; Social Security Number; study identifier; birth date; contact information (home address, telephone numbers, e-mail address); demographic characteristics of the family head (e.g., 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.

Sec. 501, 502, Housing and Urban Development Act of 1970 (Pub. L. 91-609), 12 U.S.C. 1701z-1, 1701z-2.

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.

 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.

 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 (e.g., matching records from primary data collection with local Homeless management Information Systems (HMIS) administrative data).

 Authorized Abt researchers will also use the data for statistical analysis and to develop findings for this research study.

 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.

 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.

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.

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.

The following safeguards shall be used to secure data in storage, retrieval, during access, and disposal.

 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.

 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.

 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.

 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.

 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.

 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.

 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.

Consent Forms. 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.)

Tracking documentation. 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.

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.

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.

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.

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.

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.

(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;

Original data collected directly from participating families, third party data for tracking purposes (e.g., National Change of Address database, credit bureaus), and administrative data on Homeless Management Information Systems.

/PIH-01

Inventory Management System, Public and Indian Housing Information Center (IMS/PIC) and Housing Information Portal (HIP), HUD/PIH–01.

Unclassified.

Records are maintained at these locations: U.S. Department of Housing and Urban Development Headquarters, 451 Seventh Street SW, Washington, DC 20410–0001; IMS/PIC servers are 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 partner: Perspecta. 15052 Conference Center Drive, Chantilly, VA 20151.

Ashley Sheriff, Deputy Assistant Secretary, Real Estate Assessment Center (REAC), 550 12th Street SW, Suite 100, Washington, DC 20410. (202) 475–7949.

United States Housing Act of 1937 (42 U.S.C. 1437, et seq.); 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; The Housing and Community Development Act of 1987 (42 U.S.C. 3543); and the Native American Housing Assistance and Self-Determination Act of 1996, Public Law 104–330, 110 Stat. 4016.

IMS/PIC and HIP serve as a national repository of information related to PHAs, Tribally Designated Housing Entities (TDHE), HUD-assisted families, HUD assisted properties, and other HUD programs, for the purpose of monitoring and evaluating the effectiveness of PIH rental housing assistance programs. IMS/PIC and HIP allow PHAs, TDHEs, and their-hired management agents to electronically submit information to HUD that is related to the administration of HUD's PIH programs. They collect data for PIH operations, including data submitted via the internet from HUD's field offices, and accurately tracks activities and processes. IMS/PIC and HIP also help 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 and HIP are flexible, scalable, internet-based integrated systems, which enables PHA and TDHE users, and HUD personnel to access a common database via their web browser. IMS/PIC and HIP 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 and TDHE IMS/PIC and HIP reporting rates; (h) forecasting budgets; (i) controlling funds; (j) updating tenant information; and (k) updating building and unit data.

Families residing in a HUD-assisted property and/or receiving rental housing assistance via programs administered by the Department of Housing and Urban Development; PHAs and their hired management agents; TDHEs and their hired management agents; and individuals who have received or applied for housing-related disaster assistance from the Federal Emergency Management Agency (FEMA).

Records consist of the following information as reported to HUD by PHAs, TDHEs, and their hired management agents, and other governmental agencies:

1. Agency information: Agency name, HUD-assigned code, HUD program type family participates in; project number, building number, building number, building entrance number, and unit number (applicable to only the Public Housing program).

2. Agency contact information.

a. Agency point of contact information for individuals that work for, and access IMS/PIC and HIP and oversee the agency'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, and email addresses for point of contacts).

b. PHA and TDHE IMS/PIC and HIP system user's information: Name, telephone number, fax number, email address, mailing address, agency website address.

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 (FSS), 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 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.

4. Family composition (which includes the following personally identifiable information) as reported by the family and verified by PHAs, TDHEs, and their-hired management agents: Last name, first name, middle initial, place of birth, date of birth, age (age on effective date of action), sex, gender, relationship to head of household, citizenship status, disability status, race, ethnicity, social security number, tax identification 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.

5. Geographical and unit information:

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.

b. Subsidized Unit information: Unit number and street address, city, State and zip code in which the subsidized unit is located, 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).

6. Family assets information, as reported by the family and verified by PHAs, TDHEs, and their 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.

7. Family income information, as reported by the family and verified by PHAs, TDHEs, and their hired management agents, which includes the income source, 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.

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.

9. Family Self-sufficiency (FSS) 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, 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 program, and the name of the service provider; FSS contract, account and exit information; and FSS contract, account and exit information.

10. Disaster assistance information: Records from FEMA, shared with HUD pursuant to an approved computer matching agreement, to enable effective delivery of aid in the wake of a disaster. Includes information about applicants for FEMA assistance, including name, social security number, address, type and amount of disaster damage, type and amount of assistance provided by FEMA.

Individuals, HUD staff; HUD contractors; PHAs, TDHEs, and their hired management agents; the Social Security Administration; the Department of Veteran Affairs; the Federal Emergency Management Agency; and other Federal, State and local agencies. The IMS/PIC and HIP data reported by PHAs, TDHEs, and their hired management agents is electronically transmitted to IMS/PIC and HIP using agency owned software or via HUD's Family Reporting Software (FRS). The Tribal HUD–VASH module in HIP is used by the TDHEs and their hired management agents to record data as required by the Tribal HUD–VASH program.

1. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS' offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

2. To the HUD Geocoding Service Center (GSC) to obtain geographic information for records in the system.

3. 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 reexaminations (individuals provided information under this routine use are subject to Privacy Act requirements and limitation on disclosures as are applicable to HUD officials and employees).

4. To PHAs, TDHEs, and their 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.

5. To PHAs, TDHEs, and their hired management agents of HUD rental housing assistance programs: To identify and resolve discrepancies in tenant data.

6. 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 are subject to Privacy Act requirements and limitation on disclosures as are applicable to HUD officials and employees).

7. To HUD contractors, independent public auditors and accountants, PHAs, and TDHEs: 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 are subject to Privacy Act requirements and limitation on disclosures as are applicable to HUD officials and employees).

8. 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.

9. To the U.S. Department of Veterans Affairs (VA), under an approved computer matching agreement, or data sharing agreement pursuant to a Presidential Executive Order (E.O.) 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.

10. To the FEMA, under an approved computer matching agreement, or data sharing agreement pursuant to a Presidential E.O. 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.

11. To State, local and Tribal governments receiving HUD disaster recovery grants, and to PHAs: To ensure effective delivery of disaster recovery aid, to prevent duplication of benefits between HUD and other Federal agencies, and to address unmet needs of disaster victims.

12. To appropriate agencies, entities, and persons when (1) [the agency] suspects or has confirmed that there has been a breach of the system of records,· (2) [the agency] has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, [the agency] (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with [the agency's] efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm.

13. To another Federal agency or Federal entity, when [the agency] determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

14. To the Universal Service Administrative Company (USAC), which is designated by the Federal Communications Commission (FCC) as the Federal administrator of the Universal Service Fund (USF or Fund) Lifeline Program (Lifeline), the Emergency Broadband Benefit (EBB) program and other Federal Telecommunications Benefit (FTB) programs that utilizes Lifeline eligibility criteria as specified by the Lifeline program, 47 CFR 54.409. The purpose of this routine use is to establish eligibility for the Lifeline, EBB and other FTB programs for families which also participate in a HUD rental assistance program.

15. To any Federal, State, or local agency ( e.g., State agencies administering the State's unemployment compensation laws, Temporary Assistance to Needy Families, or Supplemental Nutrition Assistance Program 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 under the Payment Integrity Information Act of 2019, Public Law 116–117., and to aid in the identification of tenant errors, fraud, and abuse in assisted housing programs.

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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement 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. Research and analysis activities may include the matching of the records in this system with information from any other source.

Electronic and paper.

Records are retrieved by name and Social Security Number.

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 and HIP data either electronically or in paper form.

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. User's access, updates access, read-only access, and approval access are granted based on the user's role and security access level.

Individuals requesting records of themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street SW, Washington, DC 20410–0001. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

Docket No. FR–7077–N–07 published on March 25, 2019, at 88 FR 17004.

/PIH.03

One Stop Customer Service (OSCS). HUD-PIH 03.

Unclassified.

The files are maintained at the following locations: Department of Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 20410

Office of Public and Indian Housing (PIH), Ashley Leia Sheriff, Deputy Assistant Secretary, Real Estate Assessment Center, 550 12th Street SW, Suite 100, Washington, DC 20410. 202-402-4162.

Section 2 of The Department of Housing and Urban Development Act of 1965, 42 U.S.C. 3531, which establishes the Department ‘‘to encourage the solution of problems of housing [and] urban development ... and to provide for full and appropriate consideration, at the national level, of the needs and interests of the Nation’s communities and of the people who live and work in them.’’ This system is also authorized by Executive Order 12160 and the Housing and Community Development Act of 1974, Public Law 93–383.

The Department of Housing and Urban Development (HUD), Office of PIH maintains the "One Stop Customer Service" system of records. The purpose of OSCS is to serve as a central location for documenting information provided to callers relative to their inquiries, comments &complaints. Real Estate Assessment Center (REAC) Technical Assistance Center (TAC) business area is a multi-channel inquiry operation that supports HUD programs and activities under many Departmental offices, responding to approximately 150,000 inquiries annually from a broad range of internal and external HUD business partners and program participants. The TAC has been developed to be the Customer Service for REAC business areas, the primary customer-facing organization to program area business partners and participants in the offices of Multi-Family Housing and Public and Indian Housing (REAC- TAC) The information collected by OSCS assists is used for developing reports and trend analysis to ascertain the level of customer service provided to HUD clients.

The TAC supports/serves the following types of Departmental business partners and general public individuals. Government (Local, state and federal entities), Public Housing Authority (Administrators, employees & residents), Real Property Owners (Multi-family Housing program participants), Other Real Estate Professionals (Appraisers, Investors, Real Estate CSRs, Property Inspectors) and Mortgage Banking Institutions.

Records consist of the following information Callers Full Name, Property or Home Address, Telephone & Fax Number (if available), Email Address, User ID.

OSCS receives the data from HUD assisted housing residents, Independent Public Accountants, Contracted property inspectors for HUD assisted housing and Citizens through Phone, Webform, Email, Live Chat, Mail and Fax Communications.

1)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.

2) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. § 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

(3) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: 1) detection, prevention, and recovery of improper payments; 2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; 3) detection of fraud, waste, and abuse by individuals in their operations and programs; 4) for the purpose of establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefits programs or recouping payments or delinquent debts under such Federal benefits programs. Records under this routine use may be disclosed only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds or to prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(4) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Contractors provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department. HUD staff and contractor personnel who handle the tiered production support for OSCS collect contact information so that they can process the exchange and if need be, escalate the issue within the support center to more specialized technicians.

(5) To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(6) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breached of the system of records, (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, (including its information systems, programs, and operations), the Federal Government, or national security;(3) and 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 breach or to prevent, minimize, or remedy such harm.

(7) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(8) To appropriate Federal, State, local, tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(9) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic records

Individual name, email address, User ID, phone number

GRS 5.2, item 10, Transitory records. The system’s Disposition Instructions: Temporary. Destroy when no longer needed for business use, or according to agency predetermined period or business rule. Disposition Authority is: DAA-GRS-2017-0003-0001.

One Stop

Customer Service (OSCS)system implements on Salesforce Service Cloud on the Government Cloud Plus, which is a FedRamp approved platform. The Salesforce Government Cloud Plus was granted a Provisional Authority to Operate (P-ATO) by the FedRAMP Joint Authorization Board (JAB) for both Software as a Service (SaaS) and Platform as a Service (PaaS), consistent with the FedRAMP High control baseline. Testing was performed by an independent, third-party assessment organization (3PAO).

To obtain compliance with FedRAMP, Salesforce conducted security assessment and authorization activities in accordance with FedRAMP guidance and NIST SP 800-37. As part of this process Salesforce documented a System Security Plan (SSP) for the Salesforce Government Cloud Plus service offering. The SSP is developed in accordance with NIST SP 800-18. The SSP identifies control implementations for the Salesforce Government Cloud Plus and in-scope customer facing products according to the FedRAMP High baseline. A security assessment of the information system was conducted by a 3PAO in accordance with FedRAMP High requirements. The security assessment testing determined the adequacy of the management, operational, and technical security controls used to protect the confidentiality, integrity, and availability of Salesforce's Government Cloud Plus service offering and the Customer Data it stores, transmits and processes.

To maintain compliance with FedRAMP, Salesforce conducts continuous monitoring, which includes ongoing technical vulnerability detection, remediation of open compliance related findings, and at least annual independent assessment of security controls by a 3PAO.

Safeguards for unauthorized access to records is protected through role-based security for authorized users to have access only to the data to do their job they need as well as authentication into the system goes through HUD Active Directory Single Sign On to ensure proper identification of authorizing user. All server, security, storage, backup, and infrastructure equipment are monitored, restricted to only those with a need-to-have system access, including being secured by administrative password and authentication methods. Records in the system are electronic and stored on the FEDRAMP Salesforce Government Cloud. Only authorized users OSCS employees, contractors and have access to the records through the Salesforce SAAS web application and customers only have access to their data via Salesforce web portal. HUD's information technology partners in the Office of the Chief Information Officer (OCIO), Salesforce maintain the backups files of OSCS. Records are stored on secure servers administered by Salesforce. User’s access, updates access, read-only access, and approval access based on the user’s role and security access level. Further, all systems users must agree to abide by all HUD policies and federal laws and regulations.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager

None.

N/A.

/PIH-5 Enterprise Income Verification (EIV), HUD/PIH–05.

Unclassified.

Records are maintained at the NASA Stennis Space Center, John C. Stennis Space Center, MS 39529–0001.

Shalene Domingo, System Owner, Office of Public and Indian Housing, 550 12th Street SW, First Floor, Washington, DC 20410–10001.

Section 453(j) of the Social Security Act as amended, now codified at 42 U.S.C. 653(j), section 904 of the Stewart B. McKinney Homeless Assistance Amendments Act of 1988, as amended, now codified at 42 U.S.C. 3544, The Omnibus Budget Reconciliation Act of 1993 (Budget Reconciliation Act) 6103(l)(7) of title 26 of the United States Code (Internal Revenue Code).

The EIV System is a web-based Upfront income verification System that allows authorized Public Housing Agencies, Multifamily Housing Owners/ Agents, and Contract Administrators to verify program participants/tenants, reported income, identify unreported income sources and/or amounts and identify substantial annual income discrepancies amongst households that receive HUD provided rental assistance through programs administered by HUD’s Office of Public and Indian Housing and Office of Housing’s Multifamily Housing Programs.

Families participating in housing programs administered by HUD’s Office of Public and Indian Housing (current and former participants), including Tribally Designated Housing Entities, participating in the public housing program, section 8 HCV program, Disaster Housing Assistance Programs and families currently participating in the Office of Housing, Multifamily Housing Division programs.

Records consist of unit address (subsidized property address), family composition (names, dates of birth and SSNs of Household Members), financial data such as tenant-reported income to PHAs, O/As, and C/As, and wage, unemployment compensation, SS and SSI benefit data obtained from Department of Health and Human Services (HHS) and Social Security Administration (SSA).

Inventory Management System/Public Housing Information Center, Tenant Rental Assistance Certification System (IMS/PIC, TRACS), Social Security Administration and the Department of Health and Human Services.

(A) 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.

(B) To appropriate Federal, State, and local governments, or persons, pursuant to a showing of compelling circumstances affecting the health or safety or vital interest of an individual or data subject, including assisting such agencies 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 was transmitted to the last known address of such individual to identify the health threat or risk.

(C) To Federal, State, and local agencies, their employees, and agents for the purpose of conducting computer matching programs as regulated by the Privacy Act of 1974, as amended (5 U.S.C. 552a).

(D) To Federal agencies, non-Federal entities, their employees, and agents (including contractors, their agents or employees; employees or contractors of the agents or designated agents); or contractors, their employees or agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or computer matching agreement for the purpose of: (1) Detection, prevention, and recovery of improper payments; (2) detection and prevention of fraud, waste, and abuse in major Federal programs administered by a Federal agency or non-Federal entity; (3) detection of fraud, waste, and abuse by individuals in their operations and programs, but only to the extent that the information shared is necessary and relevant to verify pre-award and prepayment requirements prior to the release of Federal funds, prevent and recover improper payments for services rendered under programs of HUD or of those Federal agencies and non-Federal entities to which HUD provides information under this routine use.

(E) To contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal Government when necessary to accomplish an agency function related to this system of records. Also, to a recipient who has provided the agency with advance, adequate written assurance that the record provided from the system of records will be used solely for statistical research or reporting purposes. Records under this condition will be disclosed or transferred in a form that does not identify an individual.

(F) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function. Individuals provided information under these routine use conditions are subject to Privacy Act requirements and disclosure limitations imposed on the Department.

(G) To contractors, experts and consultants with whom HUD has a contract, service agreement, or other assignment of the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(H) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records, (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, [the agency] (including its information systems, programs, and operations), the Federal Government, or national security; and (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 breach or to prevent, minimize, or remedy such harm. To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(I) 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. To third parties during a law enforcement investigation, to the extent necessary to obtain information pertinent to the investigation, provided the disclosure of such information is appropriate to the proper performance of the official duties of the officer making the disclosure.

(J) To a court, magistrate, administrative tribunal, or arbitrator while presenting evidence, including disclosures to opposing counsel or witnesses during civil discovery, litigation, mediation, 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.

(K) 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.

(L) To third parties during 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.

(M) 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 that maintains the record, specifying the portion desired and the law enforcement activity for which the record is sought.

(N) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Records are maintained in paper and electronic storage media.

Records are retrieved by Name, Date of Birth, and/or SSN.

Destroy one year after System of Records is placed on inactive list.

EIV Physical controls include, key cards, security guards and Identification badges. HUD will secure downloaded reports on HUD secure SharePoint site. Public Housing Agencies, Multifamily Housing Owners/Agents, and Contract Administrators must secure downloaded data to a secure/locked space and/or cabinet. 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. Administrative controls include methods to ensure only authorized personnel access to PII. Each EIV user must first have access to HUD’ Web Access Secure Systems. Each EIV User must be re-certified to use the EIV System every April and October of the calendar year. EIV Technical controls include, Encryption of Data at Rest, Firewall, Role-based Access Controls, VPN, Encryption of Data in Transit, User ID and Password, and PIV Card.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.

87 FR 50635, August 17, 2022.

/PIH-REAC/PE.02 Efforts to Outcome Case Management Tracking System for DHAP-Ike.

Department of Housing and Urban Development, 451 Seventh Street SW., Washington, DC 20410.

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).

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.

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), § 5189d and § 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.

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&R), Program Management and Research Division to allow research and evaluation of the national program outcomes. In such cases, PD&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.

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:

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.

Storage:

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.

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.

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.

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).

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.

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.

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:

(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

(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.

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.

None.

/REAC-2 Independent Public Accountant Quality Assurance Files.

Headquarters.

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.

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.

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.

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.

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.

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.

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.

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.

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.

6. Records may be disclosed to the Department of Justice for litigation purposes associated with the representation of HUD before the courts.

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.

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.

Storage:

Records are stored electronically in office automation equipment and manually in file jackets.

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.

Records are maintained in a secure computer network, and in locked file cabinets or in metal file cabinets in rooms with controlled access.

The records are retained and disposed of in accordance with the General Records Schedule contained in HUD Handbook 2228.2, appendix 14, item 25.

Peter Bell, Real Estate Assessment Center, 1280 Maryland Avenue, SW, Suite 800, Washington, DC 20024.

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.

The procedures for requesting access to records appear in 24 CFR parts 16 and 2003.

The procedures for requesting amendment or correction of records appear in 24 CFR part 16.

Information may be collected from a wide variety of sources, including from HUD, program participants, subject individuals, complainants, witnesses and other non-government sources.

None.

/PIH-REAC/PE.03 Physical Assessment Sub-System (PASS-R).

Unclassified.

Records are maintained at the Department of Housing and Urban Development Headquarters, 451 Seventh Street, SW, Room 4156, Washington, DC 20410.

Office of Public and Indian Housing (PIH), Ashley Sheriff, Acting Deputy Assistant Secretary, Real Estate Assessment Center, 550 12th Street, SW, suite 100, Washington, DC 20410. 202-475-7949.

United States Housing Act of 1937 (42 U.S.C. 1437, et seq.), and in the Cranston-Gonzalez National Affordable Housing Act (42 U.S.C. 12701, et seq.). Subpart G of 24 CFR part 5; The Debt Collection Improvement Act of 1996 (31 U.S.C. 7701(c)); 24 CFR part 902, as amended. 24 CFR 200, subpart P.

The Physical Assessment Sub-System (PASS-R) is a functional unit of PIH-REAC that provides HUD with a variety of functions that help ensure the integrity of HUD’s public housing and assisted multifamily (MF) properties. This system coordinates the procurement of Inspector candidates to conduct Uniform Physical Condition Standards (UPCS) inspections for Public Housing Agencies/Authorities (PHAs) and the Office of Multifamily Housing (MFH) assisted and insured properties. The system ensures inspection scheduling for both PHA and MFH properties and arranges for correction and rescheduling of inspections deemed incomplete or deficient. This system also enables quality control checks of each uploaded inspection and provides property specific on-line reporting of the inspection results in Secure Systems and this system facilitates responses to technical review and database adjustment requests from PHAs and MFH owners and agents.

Inspectors authorized to participate in the process for inspecting HUD and federally assisted properties.

Full name, inspector identification number, height, weight, birth year, hair color, eye color, gender, home address, city, state, email address, telephone numbers (home, work, cell), fax number, and photo.

Individual.

(1)

To appropriate agencies, entities, and persons when (1) the HUD suspects or has confirmed that there has been a breach of the system of records, (2) the HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(2)

To another Federal agency or Federal entity, when the HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(3)

(4)

To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(5)

To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic and paper records.

Records are retrieved by inspector name and inspector’s identification number.

Temporary. Destroy upon verification of successful creation of the final document or file, or when no longer needed for business use, whichever is later.

Administrative Safeguards: When first gaining access to PASS-R and annually, all users must agree to the systems "Rules of Behavior" which specify handling of personal information and any physical records.

Technical Safeguards: Controls for the system include, but are not limited to, user identification, password protection, firewalls, virtual private network, encryption, intrusion detection system, common access cards, smart cards, biometrics, and public key infrastructure. Unauthorized access is controlled by the application-level security.

Physical Safeguards: Controls to secure the data and protect paper and electronic records, buildings, and related infrastructure against threats associated with their physical environment include, but are not limited to, using the HUD Employee ID and/or badge number and key cards, security guards, cipher locks, biometrics, and closed-circuit TV. Paper records are secured in locked file cabinets, offices, and facilities. Electronic media are kept on secure servers or computer systems. Records are stored in a dedicated file room or in locking file cabinets in file folders. During normal business hours, assigned agency personnel, including Records Management staff and on-site contractor personnel, regulate availability of the files. During evening and weekend hours the offices are locked.

1. Full name.

2. Signature.

3. The reason why the individual believes this system contains information about him/her.

4. The address to which the information should be sent.

Same as the Notification Procedures above.

None.

/SFH-02 Single Family Insurance Claims Subsystem (A43C)

The CLAIMS system hardware is located on HUD's mainframe, which is in Charleston, WV. Backup facilities are provided by SUNGUARD in Philadelphia, PA.

A43C maintains data on mortgagors that have obtained a HUD insured mortgage. The system also records the servicer and holder of HUD insured mortgages.

The application includes data such as case number, the mortgagor's name, Social Security Number and property address, and mortgage amount.

National Housing Act of 1937 as amended (Pub. L. 75-412).

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.

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:

1. U.S. Treasury: A43C provides the EFT disbursement information to Treasury for claim payments.

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.

3. CENCOR: Automated mailing contractor--Advice of Payment, (AOP), Billing, and Title Approval letters.

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.

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.

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.

7. FHASL (PO13): FHASL is provided with paid claims fiscal data from SFICS and Loss Mitigation on a daily and monthly basis.

8. SFHEDW (D64A): SFICS data is extracted and uploaded to the SFHEDW for analysis on a weekly basis

9. CHUMS (F17): SFICS receives indemnification information related to specific cases from CHUMS on a daily basis.

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.

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.

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.

13. IMF (F51): SFICS accesses the IMF to obtain lender institution information for the purpose of EFT payment and address generation.

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.

15. GNMA: Provides GNMA with paid claims information for FHA-insured loans in GNMA pools.

16. Fannie Mae: Fannie Mae, as a holder, receives data regarding paid claims information for FHA- insured loans through an Advice of Payment.

Storage:

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.

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.

Safeguards that are in place include:

 Lockable file cabinets;

 Secured computer facilities at HUD and their contractor's offices;

 Background checks of all HUD employees and contractor staff;

 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;

 Data is transmitted over secure T-1 and Shiva lines;

 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.

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.

Director, Single Family Post Insurance Division and Chief, Single Family Claims Branch; HUD, 451 7th Street, SW., Room 6248, Washington, DC 20410.

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.

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.

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:

(i) The Departmental Privacy Act Officer, HUD; 451 7th St., SW., Room 4156, Washington, DC 20410, if contesting the content of records; or

(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.

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.

None.

/GINNIE MAE/TN.01 Enterprise Wide Operational Data Store (EWODS)

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.

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.

Information collected and nature collected are defined in the following four categories:

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.

2. Physical security holders (investors) data: Social Security Number/Tax ID, name, mailing address, phone number, or email address of those holding the security.

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.

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.

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.

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.

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:

[1] http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.

(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.

(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.

(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.

Storage:

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.

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.

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.

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.

Ginnie Mae, Office of Securities Operations, U.S. Department of Housing and Urban Development, 550 12th Street SW., 3rd Floor, Washington, DC 20024.

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.

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.

For loan issuers, issuer proxy, and guarantor's data, written request must include name, title, mailing address, and phone number of the requestor.

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.

The procedures for requesting amendment or correction of records appear in 24 CFR part 16. If additional information is needed, contact:

(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

(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.

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.

None.

/PDF/RRE.01 Pre-Purchase Homeownership Counseling Demonstration and Impact Evaluation Random Assignment and Service Tracking (RAST) System.

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.

Households enrolled in the Pre-Purchase Homeownership Counseling Demonstration and Impact Evaluation.

The categories of records in the RAST system are as follows:

Study Participant Intake Data:

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.

Co-borrower(s) Intake Data:

Name, Social Security Number

Lender Intake Data:

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);

Lender Origination and Loan Performance Data:

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;

HUD Administrative Data:

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;

Pre-Purchase Counseling and Education Data:

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.

Equifax Data:

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.

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.

Purpose:

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.

In addition to those disclosures generally permitted under 5 U.S.C. 552a.

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.

2. To make public use of file in non-identifiable form for disclosure to authorized researchers for additional statistical analysis.

3. To Credit Bureaus to obtain credit report data on study participants.

4. To Local and National organizations (counseling agencies) to enroll study participants in different pre-purchase education and counseling intervention group.

5. To FHA Approved lenders to determine participant's enrollment after the study and to track information received from lenders participating in the study.

Discretionary disclosures that may be applicable to this system of records notice are found on the Department Privacy Web site under Appendix 1.[1]

[1] http://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf .

Storage:

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.

Records within the random assignment data file will be retrieved by name, Social Security Number, study identification number, or date of birth.

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.)

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&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.

[2] http://www.hud.gov/offices/adm/hudclips/handbooks/admh/2225.6/index.cfm.

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.

Procedures for the amendment or correction of records and for applicants who want to appeal initial agency determination appear in 24 CFR part 16.

(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,

(ii) In relation to appeals of initial denials, HUD, Departmental Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street SW., Washington, DC 20410.

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.

None.

/section811 Section 811 Project Rental Assistance Evaluation – Phase II

This information will not be classified.

The records are maintained at the Abt Associates (contractor) offices at 55 Wheeler Street, Cambridge, MA 02138 and 4550 Montgomery Avenue, Bethesda, MD 20814, and the U.S. Department of Housing and Urban Development, 451 7th Street SW, Washington, DC 20410-0001.

Sec. 501 and 502 of the Housing and Urban Development Act of 1970 (Public Law 91-609), 12 U.S.C. 1701z-1, 1701z-2.

The purpose of the system is to allow the Department to collect, track, and study information gathered on Section 811 Project Rental Assistance program participants and to analyze the effectiveness of this rental assistance model compared to other supportive housing models for extremely low-income nonelderly adults with disabilities. This is the second of a multiphase evaluation. The evaluation is funded by the Program Evaluation Division in PD&amp;amp;R. The project will evaluate the implementation of the Section 811 Project Rental Assistance program, its impact on residents, and the cost-effectiveness of this new housing assistance model for persons with disabilities in six states: California, Delaware, Louisiana, Maryland, Minneapolis, and Washington.

Phase II of the Section 811 Project Rental Assistance evaluation will rely on both primary and secondary sources of data to inform the overall evaluation. Primary data collection includes interviews with grantees and program’s partners and stakeholders, and surveys of Section 811 Project Rental Assistance and Project Rental Assistance Contract residents. Secondary (existing) datasets will include HUD administrative data, Medicare and Medicaid data from CMS, state Medicaid data from six state Medicaid agencies, Project Rental Assistance and Project Rental Assistance Contract program documents, and neighborhood administrative data.

Primary data collection with grantees, partnering agencies, and Project Rental Assistance and Project Rental Assistance Contract residents is necessary to describe the implementation of the Project Rental Assistance program, identify characteristics of successful program strategies, and assess the impact of the program on Project Rental Assistance residents compared to residents in the traditional Project Rental Assistance Contract program. The collection of secondary data is necessary to identify the outcomes of the Project Rental Assistance program and characteristics of Project Rental Assistance residents, Project Rental Assistance Contract residents, and individuals in the program and comparison groups, and to determine the effectiveness of this new model of housing assistance.

This analysis will inform HUD leadership, policymakers, and HUD partners that implement supportive housing programs for nonelderly adults with disabilities. In addition, the records collected through this evaluation represent HUD’s effort to assess and report to Congress on the implementation and effectiveness of this rental assistance approach. The data collected for Section 811 Project Rental Assistance Evaluation – Phase II will be used and stored solely for research purposes, and will not be used to identify individuals or make decisions that affect the rights, benefits, or privileges of specific individuals. The data in this system will include location data, which will be used to analyze the neighborhoods in which Section 811 Project Rental Assistance and Project Rental Assistance Contract residents live. The data in the system will also include information about health, housing, and quality of life measures, which will be used to analyze the extent to which people’s lives are being improved by the Section 811 Project Rental Assistance program. The data in this system will be analyzed using statistical methods and only reported in the aggregate. Resulting reports will not disclose or identify any individuals or sensitive personal information. The Section 811 Project Rental Assistance Evaluation is in direct service of the mission of PD&amp;amp;R, 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."

Data will be collected from households assisted by the Section 811 Project Rental Assistance and Section 811 Project Rental Assistance Contract programs, other extremely low-income households including a person with a disability served by other HUD-assisted housing programs, a sample of individuals receiving Medicaid or similar state plan services, Section 811 housing agency grantees, and partnering agencies (state Medicaid agencies, property owners, service providers, and public housing agencies). All individuals live in the states of California, Delaware, Louisiana, Maryland, Minnesota, and Washington.

The data sets will contain the following categories of records:

Responses to resident survey: Include participants’ names, address, telephone numbers, names and contact information of proxies and/or legal guardians (if applicable), study identifier, information about their experience with the transition to HUD-assisted housing, subjective assessment of housing quality, subjective assessment of neighborhood quality, information about access to supportive services and unmet needs, information about help with supportive services, subjective assessment of quality of life and community inclusion.

Administrative interviews: Include identifying information—such as full name; job title; and contact information, including addresses, email addresses, and telephone numbers—of program staff and stakeholders (grantee, Medicaid agency, property owners, service providers, and public housing authorities), and qualitative responses about several aspects of the program design and implementation.

HUD Administrative data: Include data on individuals, households, and properties available through HUD administrative data. Collection will be brought into the dataset directly from HUD’s Tenant Rental Assistance Certification System (TRACS), Public and Indian Housing Information Center (PIC) Inventory Management System (IMS), and Integrated Real Estate Management System (iREMS). Tenant-level and household-level data include participants’ full names, dates of birth, addresses, phone numbers, Social Security numbers; information pertaining to the participating family structure, household size, household income, race and demographics, disability status, unit characteristics; and information about participation in HUD programs. Property-level data include housing agency, property, unit characteristic, and financial information and contact information for property owners, including full names, addresses, phone numbers, and email addresses.

Medicare and Medicaid data: Include data on individuals available through the Centers for Medicare & Medicaid Services and state Medicaid agencies (CMS). Collection will be brought into the dataset directly from CMS and state Medicaid agencies under a Data Use Agreement with HUD and its contractor Abt Associates. Include study identifier (that can be matched to individuals’ full names, dates of birth, Social Security numbers), (such as diagnoses), healthcare utilization, and costs. medical record number, and information pertaining to the individuals’ medical services, medical information.

(1) Resident surveys collected directly from Section 811 Project Rental Assistance and Project Rental Assistance Contract residents who have agreed to participate in the survey; (2) Administrative interviews collected directly from state housing agency grantees; (3) Administrative interviews collected directly from partnering agencies who have agreed to participate in the study; Administrative data derived from HUD’s tenant and property data systems; and Non-HUD administrative data, such as Medicare and historical Medicaid data; and state Medicaid data.

categories of users and purposes of such uses:

1. To appropriate agencies, entities, and persons to the extent that such disclosures are compatible with the purpose for which the records in this system were collected, as set forth by Appendix I1 – HUD’s Library of Routine Uses, published in the Federal Register (July 17, 2012, at 77 FR 41996).

2. To researchers under contract with HUD for producing a dataset to be used in the Evaluation of the Section 811 Project Rental Assistance Program.

3. To appropriate agencies, entities, and persons when: (a) HUD suspects or has confirmed that the security or (b)confidentiality of information in a system of records has been compromised; (b) HUD has determined that, because 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.

Abt Associates provides all project staff with HIPAA Rules of the Road – Practical Information for Ensuring Compliance, IRB 101 Training, General Security Awareness Training, and Collaborative Institutional Training Initiative (CITI) Human Subjects Training. All study team members also undergo project-specific training on maintaining privacy and safe data storage and handling procedures. All study team members sign a nondisclosure agreement.

All study team members will be made aware of the project-specific data regulations and best practices associated with handling data for the study. These practices are incorporated in the study protocol and will be detailed in training plans for interviewers, support staff, and data analytic staff. All staff who will have access to the data containing personally identifiable information (PII) or protected health information (PHI) will sign a confidentiality agreement pursuant to the requirements of all data use agreements, which will be attached to the data security plan. All staff will also receive an annual reminder of the terms of the agreement.

Abt will guarantee this level of restricted access by only using secure transfer mechanisms, such as Huddle, Abt’s FedRAMP Moderate accredited file transfer service for moving data in and out of the system, or another secure file transfer system (SFTP) of the transferring agency’s choice. Abt will also only access the data through its restricted access folder on the Analytic Computing Environment, ACE 3, which meets NIST SP 800-53, Revision 4 FISMA Moderate Standards and utilizes FedRAMP Moderate accredited services from Amazon as infrastructure.

Abt Associates will retain all data collected over the life of the study and any analysis files generated with those data for as long as required and only under conditions specified in the study protocol. At the end of the contract, Abt will destroy records that do not need to be retained. Abt will destroy the remainder of the files after the contract ends, as is required in the contract. The retention and disposal procedures are in keeping with HUD’s records management policies as described in 44 U.S.C. 3101 and 44 U.S.C. 3303 and with HUD’s Records Disposition Schedule 67 PD&R, Item 6 (https://portal.hud.gov/hudportal/documents/huddoc?id=22256x67

ADMH.pdf). Abt Associates will submit all de-identified data over to HUD at the end of the contract, with the exception of the ResDAC and Medicaid data, which will not be included as per memorandum of understanding with these agencies.

The study’s approved data security plan describes the safeguarding of any hardcopy, recorded, and electronic information on human subjects that will be a part of the study. All study team members are aware of the project-specific data regulations and best practices associated with handling data for the study. These practices are incorporated in the study protocol and will be detailed in training plans for interviewers, support staff, and data analytic staff. All staff who will have access to the data containing PII or PHI information sign a confidentiality agreement, per the requirements of all data use agreements.

Abt will guarantee this level of restricted access by only using secure transfer mechanisms, such as Huddle, Abt’s FedRAMP Moderate accredited file transfer service for moving data in and out of the system, or another SFTP of the transferring agency’s choice. Abt will also only access the data through its restricted access folder on the Analytic Computing Environment, ACE 3, which meets NIST SP 800-53 Revision 4 FISMA Moderate Standards and utilizes FedRAMP Moderate accredited services from Amazon as infrastructure.

For information, assistance, or inquiry about records, contact Helen Goff Foster, Senior Agency Official for Privacy, at 451 7th Street, SW, Room 10139; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, telephone number 202-708-3054 (this is not a toll-free number). When seeking records about yourself from this system of records or any other Housing and Urban Development (HUD) system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16. You must first verify your identity, meaning that you must provide your full name, address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made, under penalty of perjury, as a substitute for notarization. In addition, your request should:

a. Explain why you believe HUD would have information on you.

b. Identify which Office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting Helen Goff Foster, Senior Agency Official for Privacy, at 451 7th Street, SW, Room 10139; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, or the HUD Departmental Privacy Appeals Officers; Office of General Counsel; U.S. Department of Housing and Urban Development; 451 7th Street, SW; Washington DC 20410-0001.

Individual wishing to determine to whether this system of records contains information about them may do so by contacting their lending institutions or contacting HUD’s Privacy Officer or Freedom of Information Act Office at the addresses above.

None.

/P315 Personnel Security Integrated System for Tracking (PerSIST); P315.

This system will not house any classified information.

The PerSIST system is located at: The Department of Housing and Urban Development Headquarters, 451 Seventh Street, SW, Room 2135, Washington, DC 20410.

Cloud Data Center location(s):

Production Hosting Data Center is located at 44470 Chilum Pl, Ashburn, VA 20147

Backup Data Center is located at 180 Peachtree St. NW, Atlanta GA 30303

Felicia Purifoy, Director of Human Capital Services, 451 7th Street, SW, Room 2272B; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, telephone number 202-402-2256

Relative to the purpose of your investigation, the U.S government is authorized to request this information under Executive Orders: 10865, 12333, 12356, and 13764. Sections 3301 and 9101, of title 5, U.S. Code; section 2165 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. Forms: SF-85, SF-85P, SF-86, SF-87. Amending the civil service rules, Executive Order 13488, and Executive Order 13467 to Modernize the

Executive Branch governance structure and processes for security clearances, suitability and fitness for employment, and credentialing and related matters.

Records in the system are used to document and support decisions regarding the suitability, eligibility, and fitness for services of applicants for federal employment and contract positions to include students, interns, or volunteers to the extent that their duties require access to federal facilities, information, systems, or applications. Additionally, records may be used to document security violations, and supervisory actions taken.

Data will be collected from HUD Employees, Applicants for new hire, Contractors, Students, Interns, or volunteers to the extent that their duties require access to federal facilities, information, systems, or applications.

Data will be collected on all individuals who are being considered for employment i.e. employees, new hires, contractors, student interns, volunteers or access to HUD facilities, systems, or applications:

• Full Name,

&;#8226; former names,

• date of birth,

• birth place,

• Social Security number,

• Home address,

• phone numbers,

• employment history,

• residential history,

• education and degrees earned,

• names of associates,

• 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,

• History of drug use,

• Financial information,

• fingerprints,

• summary report of investigation,

• results of suitability decisions,

• level of security clearance(s) held,

• 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.

1. OPM e-QIP-OMP will provide a conduit for applicants to collect a full disclosure of PII (reference list of PII collected under sec. Categories of Records in the System) through the Electronic Questionnaire for Investigations (e-QIP). e-QIP is an electronic form that is downloaded by the applicant/employee; the applicant/employee populates the form and the information is transferred to HUD via an encrypted file transfer, e-QIP records an applicant record in PerSIST system upon the applicants’ completion. Government- created general service forms, and HUD forms.

2. OF-306, Declaration for Federal Employment – This document collects Name, SSN, DOB, POB, Citizenship, Responses to Criminal, Financial, Employment, Military status.

3. HUD Personal Identity Verification Sheet – This document collects Name, SSN, DOB, POB, Citizenship, Phone Number, Address, Email Address

4. Data Facts (Vendor)- HUD collects PII associated with applicants’ credit history through third party vendor to include: Name, Aliases, SSN (partial), DOB (partial), credit history; and Credit history information collected from TransUnion, Equifax, and Experian

5. HUD Fair Credit Reporting Act – Collects applicant name, SSN, and signature for acknowledgement to collect Credit info. on this form

6. General Services Administration (GSA) USAccess Criminal History Results – Collects information on applicants’ national criminal history

In addition to those disclosures generally permitted under 5 U.S.C. § 552a(b) and to appropriate agencies, entities, and persons for disclosures compatible with the purpose for which the records in this system were collected as set forth by Appendix I – HUD’s Routine Use Inventory Notice, 80 FR 81837 (December 31, 2015), all or a portion of the records or information contained in this system may be disclosed outside HUD as a routine use pursuant to 5 U.S.C. § 552a(b)(3) as follows:

1. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. § 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

2. To the Department of Justice when: (a) The agency or any component

thereof; or (b) Any employee of the agency in his or her official capacity;

or the Department of Justice has agreed to represent the employee; or

(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

3. To the court or adjudicative body in proceedings when:

(a) The agency or any component thereof; (b) Any employee of the agency in his

or her official capacity;(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 (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.

4. Except as noted on Forms SF–85, 85–P, and 86, when a record on its face, or in conjunction with other records, 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.

5. 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.

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 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.

7. To any source or potential source from which information is requested during 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.

9. To the news media or the public, 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.

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 with 54836 Federal Register / Vol. 71, No. 181 / Tuesday, September 19, 2006 / Notices approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.

1. To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records,· (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

2. To another Federal agency entity, when HUD determines that information from the system of records is reasonable necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

Comprehensive electronic records are maintained by the Personnel Security Division and stored in the PerSIST electronic database. Access to the records is restricted to those with specific roles in the Personal Identity Verification (PIV) process. Retrieval of electronic records will require a system name or social security number query to produce records of an employee, contractor, student, intern, or volunteer.

Prior to decommissioning, existing records maintained in PSF will undergo a data quality review and migration to PerSIST. HUD’s standard protocol for transmitting secure data is via a secure

File Transfer Protocol (FTP). The FTP is a method of transferring data files from one computer to another over a network.

Comprehensive records are retained and disposed of in accordance with General Records Schedule 5.6 items: 180,181 under Disposition Authority DAA-GRS-2017-0006-0025, approved by the National Archives and Records Administration(NARA). Records regarding individuals with security clearances and other clearances for access to Government facilities or to sensitive data, created to support initial favorable eligibility determinations, periodic reinvestigations, or to implement a continuous evaluation program will be destroyed 5 years after the employee or contractor relationship ends, however longer retention is authorized if required for business use.

For Paper Records: Comprehensive paper records are maintained and locked in metal file cabinets and stored in secured rooms within HUD Headquarters, Personnel Security Division.

For Electronic Records: Comprehensive electronic records are maintained within the PerSIST system and stored on a cloud based software server and operating system that resides in a Federal Risk and Authorization Management Program (FedRAMP) and Federal Information Security Management Act (FISMA) Moderate dedicated hosting environment.

For Paper Records: Comprehensive paper records are kept in locked metal file cabinets in locked rooms in HUD Headquarters, in the Personnel Security Division which is the office responsible for suitability determinations. Access to the records is limited to those employees who have a need for them in the performance of their official duties.

For Electronic Records:

Comprehensive electronic records are kept in the Personnel Security Division. Access to the

records are restricted to those with specific roles in the Personal Identity Verification (PIV) process, requires access to background investigation forms to perform their duties, and who have been given a password to access applicable file within the system including background investigation records. An electronic audit trail is maintained within system and reviewed periodically to identify and track authorized/unauthorized access. Persons given roles in the PIV process must complete training specific to their roles to ensure they are knowledgeable with regards to handling and safeguarding individually identifiable information.

For Electronic Records (cloud based):

Comprehensive electronic records are secured and maintained on a cloud based software server and operating system that resides in Federal Risk and Authorization Management Program (FedRAMP) and Federal Information Security Management Act (FISMA) Moderate dedicated hosting environment. All data located in the cloud based server is firewalled and encrypted at rest and in transit. The security mechanisms for handing data at rest and in transit are in accordance with HUD encryption standards.

For information, assistance, or inquiry about records, contact John Bravacos, Senior Agency Official for Privacy, at 451 7th Street, SW, Room 10139; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, telephone number 202-708-3054 (this is not a toll-free number). When seeking records about yourself from this system of records or any other Housing and Urban Development (HUD) system of records, your request must conform with the Privacy Act regulations set forth in 24 CFR part 16. You must first verify your identity, meaning that you must provide your full name, address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made, under penalty of perjury, as a substitute for notarization. In addition, your request should:

a. Explain why you believe HUD would have information on you.

b. Identify which Office of HUD you believe has the records about you.

c. Specify when you believe the records would have been created.

d. Provide any other information that will help the Freedom of Information Act (FOIA) staff determine which HUD office may have responsive records.

The Department’s rules for contesting contents of records and appealing initial denials appear in 24 CFR Part 16, Procedures for Inquiries. Additional assistance may be obtained by contacting John Bravacos, Senior Agency Official for Privacy, at 451 7th Street, SW, Room 10139; U.S. Department of Housing and Urban Development; Washington, DC 20410-0001, or the HUD Departmental Privacy Appeals Officers; Office of General Counsel; U.S. Department of Housing and Urban Development; 451 7th Street, SW; Washington DC 20410-0001.

Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be found at http://www.hud.gov/foia under "contact." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer, HUD, 451 Seventh Street, SW, Room 10139, Washington, DC 20410.

None.

The PerSIST system replaces the legacy Personnel Security Files 2006.

/hou-03

Distributive Shares and Refund Subsystem (DSRS) HUD/HOU-03.

Unclassified

National Center for Critical Information Processing and Storage, located in Mississippi and Virginia; the HUD Headquarter Building at 451 Seventh Street, SW, Room 3238, Washington DC 20410-1000; Pyramid Systems at 2677 Prosperity Avenue, Fairfax Virginia 22031; M&M IT Solutions at 11750 Beltsville Drive, Beltsville MD, 20705-3194; Falon Sourcing Solutions at 9028 Prince William Street, Manassas Virginia 20110-5664.

Silas Vaughn, System Manager, Single Family Insurance Operations Division, Department of Housing and Urban Development, 451 Seventh Street, SW, Second floor, Washington DC 20410-0001; telephone number, 202-708-2438.

Section 203(a) of the National Housing Act of 1934 (12 U.S.C. 1709(a)); 24 CFR 203.35. Section 7(d) of the Department of Housing and Urban Development Act of 1965 (42 U.S.C. 3535(d)); 24 CFR 5.210; 24 CFR 200.1101. The Housing Community Development Act of 1987, 42 U.S.C. 3543(a). Section 4 of the Debt Collection Act of 1982, 31 U.S.C. 7701(b). Section 31001 of the Debt Collection Improvement Act of 1996, 31 U.S.C. 3711(g)(9). FHA Single Family Housing Policy Handbook 4000.1

Distributive Shares and Refund Subsystem (DSRS) maintains detailed records for single family non-claim terminated case activities to ensure that the proper homeowner associated with the FHA guaranteed loan is identified. Upon non-claim termination (i.e., prepayment, assignment, assumption, or refinance), the borrower may be eligible for a refund of any unearned upfront mortgage insurance premium (UFMIP) paid at closing or a distributive share payment. The "Does HUD Owe You a Refund?" website is used in conjunction with DSRS to allow homeowners to determine if they are eligible for an upfront mortgage insurance premium refund or distributive share payment. In addition, DSRS utilizes the Premium Refund Application Upload webpage component to provide another option for homeowners to securely send the required documents to HUD to complete the homeowner refund process, and the Part B Online Application webpage to support homeowners in securely submitting the application online, with the aim of enhancing HUD’s responsiveness (Under Review). SFIOD staff can request disbursement of lender and homeowner refunds due, and DSRS will certify that the requests are valid.

(1) Homeowners (Mortgagors) who had Federal Housing Administration (FHA) mortgage insured loans and may be eligible for a mortgage insurance premium refund or distributive share payment; (2) FHA approved Business Partners and Third-Party Representatives who are sources of mortgagor information, (3) Non-residents and residents’ aliens, and dependents from other countries and (4) DSRS personnel (HUD users and authorized contractors) responsible for refund and share functions.

Name (Individual/Business), Social Security Number (SSN), Date of Birth, Phone Number, Address (Individual/Business), Email Address, , and User ID, Related Premium Refund/Payment Correspondence (borrower name, address, email address, phone and fax number), including the homeowner representative and lender information, and Supporting Documentation (borrower identification and verification document copies): Birth, Death, Marriage, Religion, Civil Union, Naturalization, Citizenship Certificate, US Passport or Passport Card, Green Card, Change-of-Address (form CNL107 provided as proof), Driver’s license, Dependent, Military, State, Federal ID with photo, or similar identification, Bank, Motor Vehicle, Mortgage, Credit Card, Tax, Utility, Doctor, Hospital Company Bill, Medicaid, Medicare Statement, Social Security Administration, Pension, Retirement Benefit Statement, Veteran Discharge or Separation Papers, Medical Card, W-2, 1099, DD-214 form (for SSN verification purposes), Pay Statement, Vehicle, Voters Registration, Legal documents (mortgage, deed, will, loan, rental contracts and statements, gender, name change) or similar document. Information on Supporting documents may include State were issued, SSN, Birthdate, Gender, Sex, Affiliation, Marital, Financial, Retirement, Pay, Employment, Medical, Account Number, Individual Tax Identification Number (ITIN), Employer Identification Number and related documents (IRS 147C EIN letter, IRS Payment coupon, IRS EIN Issuance Notice).

Homeowners, HUD employees and contractors, third party businesses, and authorized representatives of the homeowners that complete the form application for premium refund. Internal and External data exchanges from the following systems:

• Housing Office of Finance and Budget.

 Single Family Insurance System (SFIS).

 The Does HUD Owe You a Refund?" website.

 Premium Refund Application Upload webpage.

 The Part B Online Application webpage.

 Automated Mailing System Generation

• Office of the Chief Information Officer

 Digital Identity and Access Management System (DIAMS)

• The Department of the Treasury, Bureau of the Fiscal Services.

(1) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’s offering of mediation service to resolve disputes between persons making FOIA requests and administrative agencies.

(2) 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.

(3) 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, and entities and their agents with whom HUD has a contract, service agreement, grant, cooperative agreement, or other agreement 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.

(4) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, or cooperative agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(5) To authorized requesters or third-party tracers who request access to Upfront Mortgage Insurance Premiums homeowner refund and distributive share payment information, when such information is unavailable on HUD’s FOIA reading room or Does HUD Owe You a Refund? web sites. This information is releasable under FOIA. Third party release of this material may require authorized consent of the homeowner to whom the records belong and must adhere to all HUD procedures prior to release.

(6) To the U.S. Department of the Treasury for disbursement, refund, and collection transactions:

(a) For upfront and monthly mortgage insurance premiums lender refunds; homeowner refunds; and distributive shares payments.

(b) For facilitating Treasury Administrative Offset (Debt Collection): Offsets Federal tax refund payments and non-tax payments certified for disbursement to the debtor to recover a delinquent debt; and Cross-servicing (Debt Collection): pursues recovery of delinquent debts on behalf of Federal agencies using debt collection tools authorized by statute, such as private collection agencies, administrative wage garnishment, or public dissemination of an individual’s

delinquent indebtedness; or any other legitimate debt collection purpose.

(7) To the general public when, after two-years of attempting to contact each unpaid mortgagor of their FHA insurance refund, the Department makes available a cumulative listing by state of any unpaid refund that remains unpaid. The information includes mortgagor full name(s), property address, insurance refund or share amount, insurance cancellation date and refund date, and loans FHA Case Number. This information is available to the public on HUD’s refund database "Does HUD Owe You A Refund?". Individuals who search the database using an FHA Case Number or the name of the mortgagor can access this information before the two years of attempted contact has passed.

(8) To the recorders’ offices for recording legal documents and responses to offsets (i.e., child support) or other legal responses required during the servicing of the insured loan to allow HUD to release mortgage liens and respond to bankruptcies or deaths of mortgagors to protect the interest of the Secretary of HUD.

(10) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(11) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(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, when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(13) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(14) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Paper and electronic.

Name, SSN, and Property Address.

General records are maintained for periods of Disposition is Temporary – 1-6 years unless a longer retention period is deemed necessary for investigative purposes or business use. If necessary, Paper records are either burned or shredded, and electronic and media records are erased.

Administrative Controls: Backups Secured Off-Site, Methods to Ensure Only Authorized Personnel Access to PII, Periodic Security Audits, and Regular Monitoring of User’s Security Practices.

Technical Controls: Encryption of Data at Rest, Firewall, Role-Based Access Controls, Virtual Private Network (VPN), Encryption of Data in Transit, Least Privilege Access, User Identification and Password, PIV Card, Intrusion Detection System (IDS).

Physical Safeguards: Combination locks, Key Cards, Security Guards, Identification badges, and all paper records that contain PII and sensitive information are locked in file rooms.

Individuals requesting records of themselves should address written inquiries to the Department of Housing Urban and Development 451 7th Street, SW, Washington, DC 20410-0001. For verification, individuals should provide their full name, current address, and telephone number. In addition, the requester must provide either a notarized statement or an unsworn declaration made under 24 CFR 16.4.

The HUD rule for accessing, contesting, and appealing agency determinations by the individual concerned are published in 24 CFR part 16.8.

None

Docket No. 87 FR 61618 (October 12, 2022), 81 FR 22292 (April 15, 2016), and

72 FR 40890 (July 25, 2007).

/ocfo-02

Voice of the Customer (VoC), HUD/OCFO-02.

Unclassified.

Medallia GovCloud is hosted within Amazon Web Services (AWS) Inc.; 12900 Worldgate Dr., Suite 800, Herndon VA 20170.

Katherine M. Darling, 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 20410-1000; Phone (202) 402- 3912.

This system is authorized by Section 2 of The Department of Housing and Urban Development Act of 1965, 42 U.S.C. 3531; and Executive Order 14058, on Transforming Federal Customer Experience and Service Delivery to Rebuild Trust in Government.

HUD’s Office of the Chief Financial Officer (OCFO) maintains the Voice of the Customer (VoC) system of records. The VoC Customer Experience (CX) is a FedRAMP Software as a Service (SaaS) system and services for enterprise-wide Customer Experience Management (CXM). The VoC system, Medallia Experience Cloud (MEC), will allow HUD and its internal program offices to build surveys of varying complexity, distribute surveys via different delivery methods, centrally manage customer feedback data, and enable enterprise-wide qualitative and quantitative data analysis on both data collected through the system and data imported into the system.

Members of the Public, HUD Employees, and contractors.

Name, E-mail address (work/personal), Phone Number (work/personal), zip code (work/home).

Records are obtained from individuals who participated in the customer satisfaction surveys, Housing Discrimination Process Survey and Salesforce HUD Central.

(7) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(9) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (a) HUD, or any component thereof; or (b) any HUD employee in his or her official capacity; or (c) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (d) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(10) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (a) HUD, or any component thereof; or (b) any HUD employee in his or her official capacity; or (c) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (d) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(11) To the Office of Management and Budget, in order to comply with Circular A-11, part 6, Section 280 reporting requirements. Records provided under this routine use will be de-identified and may become publicly available on performance.gov.

Electronic only.

Name and work email addresses.

Temporary - Destroy 1 year after resolved, or when no longer needed for business use, whichever is appropriate.

Voice of the Customer (VoC) Customer Experience (CX) uses Medallia, which is a FedRAMP Software as a Service (SaaS) system and services for enterprise-wide Customer Experience Management (CXM). They are responsible for implementing the physical, administrative, and technical security/privacy controls. In addition, HUD employees/contractors who access this system must first log into the HUD network using their PIV card and PIN number.

Medallia provides secure and controlled access to systems and data. Medallia’s data access controls and authorizations determine what a user can and cannot do after logging in. Medllia supports a fine-grained authorization model, allowing an administrator to grant access based on user groups/roles, organization hierarchy, and data permissions. Medallia also offers predefined user roles, automatically masking personal or other sensitive data, by obscuring fields from unauthorized users. The masking feature supports Health Insurance Portability and Accountability Act (HIPAA) and other regulations.

Records are secured with the data at rest (AWS volume encryption is applied) and data in transit encryption (data transmission over https protocols).

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A

Docket No. 88 FR 68647 (October 4, 2023).

/CFO-05 HUD Remittance and Debt Collection (HRDC), HUD/CFO-05

Unclassified.

Records are maintained at the HUD OCFO, Accounting Operations Center, 307 W. 7th St, Suite 1000, Fort Worth, TX 76102-5100.

Mary L. Dominguez, Director, Office of the Chief Financial Officer, Accounting Operations Center, 307 W. 7th St, Suite 1000, Fort Worth, TX 76102-5100; Phone (817) 978-5669.

The Debt Collection Act of 1982, Pub. L. 97-365, 96 Stat. 1749 (1982), as amended by the Debt Collection Improvement Act of 1996, 31 U.S.C. 3701-3720E (original version at Pub. L. 104-134, 110 Stat. 132 (1996)), the Federal Debt Collection Procedures Act of 1990, 28 U.S.C. 3001-3308 (original version at Pub. L. 101-647, 104 Stat. 4789 (1990)) and chapter 31 of title 44, United States Code, and HUD Debt Collection Handbook, 1900.25 Rev-5.

The HRDC database allows HUD OCFO to track remittances and debts. OCFO Accounting Operations Centers collects and maintains debtors’ information to locate and correspond with them to collect/resolve their debts. The information is used to perform legal, financial, and administrative services associated with the collection of debts due to the United States, ultimately posting to debtor accounts (general ledger) and for financial reporting.

Individuals or grantees that have been adjudicated to owe a debt or criminal restitution to the United States.

Debtor’s full name, social security number (SSN), Taypayer ID number, home address and telephone number.

The Debt Tracking sources are Program Office Action Officials (Repayment Agreements), Office of the Inspector General (Form 15-G), District Courts (Judgment in a Criminal Case), and the Public Access to Court Electronic Records (PACER) System.

The Remittance Management sources are Treasury’s Collection Information Repository (CIR) which includes Fedwire - Federal Reserve Bank of New York, Electronic Check Processing (ECP) - Lockboxes, and Pay.gov; and Treasury's Intra-governmental Payments and Collections (IPAC) System.

(1) To the Department of Treasury, Bureau of Fiscal Service, who provides debt and cash collection services for HUD as follows:

(a) Administrative Offset (Debt Collection): offsets Federal tax refund payments and non-tax payments certified for disbursement to the debtor to recover a delinquent debt.

(b) Cross-servicing (Debt Collection): pursues recovery of delinquent debts on behalf of Federal agencies using debt collection tools authorized by statute, such as private collection agencies, administrative wage garnishment, or public dissemination of an individual’s delinquent indebtedness; or any other legitimate debt collection purpose.

(2) To the Department of Treasury, Internal Revenue Services (IRS) for the purposes of reporting canceled debt on form IRS 1099–C.

(3) To appropriate agencies, entities, and persons when (1) HUD suspects or has confirmed that there has been a breach of the system of records,· (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.

(4) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(5) To appropriate Federal, State, local, Tribal, or other 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 enforce civil or criminal laws, when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(6) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations; or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

(8) To contractors, grantees, experts, consultants and their agents, or others performing or working under a contract, service, grant, cooperative agreement, or other agreement with HUD, when necessary to accomplish an agency function related to a system of records. Disclosure requirements are limited to only those data elements considered relevant to accomplishing an agency function.

(9) 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.

(10) Pursuant to 31 U.S.C. 3711(e) that information contained in this system of records may also be disclosed to a consumer reporting agency when trying to collect a claim owed on behalf of the government.

Paper and Electronic.

Debtor’s Full Name, SSN, Home Address, Telephone number, Taxpayer ID number, and Assigned Account Number.

Record retention is in conformance with National Archives and Records Administration (NARA) General Records Schedule (GRS) 1.1: Financial Management and Reporting Records; DAA-GRS-2013-0003. Financial transaction records related to procuring goods and services, paying bills, collecting debts and accounting records. Destroy 6 years after final payment or cancellation, but longer if required for business use.

Only authorized users in the OCFO, Accounting Operations Center will have access to system data. Entities outside of the Accounting Operations Center do not have direct access to the database. All OCFO employees are required to complete information systems security training annually and are reminded periodically about policies and procedures in this area.

Other safeguards are implemented. Paper records are stored in locked file cabinets.

Administrative Safeguards: Paper records are stored in locked file cabinets.

Technical Safeguards: Comprehensive electronic records are maintained and stored on a shared drive in an electronic encryption database system. These records can only be accessed based off the user’s rights and privileges to the system. Electronic records are stored on the Shared Drive environment, which runs on the Department’s network (HUD). This environment complies with the security and privacy controls and procedures as described in the Federal Information Security Management Act (FISMA), National Institute of Standards and Technology (NIST) Special Publications, and Federal Information Processing Standards (FIPS). A valid HSPD-12 ID Credential, access to HUD’s LAN, a valid User ID and Password and a Personalized Identification Number (PIN) is required to access the records. These records are restricted to only those persons with a role in the Anti-Harassment Program, having a need to access them in the performance of their official duties.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

N/A.

Docket No. FR-7092-N-07, January 10, 2024 at 89 FR 1587.

/FPM-01 Customer Relationship Management Systems HUD/FPM-01.

Unclassified.

The files are maintained at the following locations:

Microsoft Dynamics CRM-Microsoft AzureGov Virginia datacenter, 101 Herbert Drive, Boydton, VA, 23917;

HUD Central- HUD Salesforce General Support System (GSS) in the Salesforce Government Cloud environment;

One Stop Customer Service- Department of Housing and Urban Development, 451 Seventh Street SW, Washington, DC 20410

Microsoft Dynamics CRM

Office of Field Policy and Management

Tony Hebert, Director of Data, Technology, and CX, (678) 732-2075

77 Forsyth Street SW

Atlanta GA, 30303

HUDCentral

Federal Housing Administration

Walter Ouzts, (202) 402-2286

U.S Department of Housing and Urban Development

451 7th Street S.W.

Washington, DC 20410-0001

One Stop Customer Service

Office of Public and Indian Housing (PIH)

Ashley Leia Sheriff

Deputy Assistant Secretary, Real Estate Assessment Center, 202-402-4162

550 12th Street SW, Suite 100

Washington, DC 20410-0001

Section 2 of The Department of Housing and Urban Development Act of 1965, 42 U.S.C. 3531, Executive Order 12160 and the Housing and Community Development Act of 1974, Public Law 93–383.; Executive Order 14058; Executive Order 13571 Executive Order 12862

The purpose of these systems is to manage, track, route, and respond to interactions the Department has with the public, stakeholders, partners, and other organizations interested in how HUD does business, such as advocacy groups, professional organizations, congress, and the media.

For all three systems Individuals, public stakeholders, partners, and other organizations interested in how HUD does business.

Microsoft Dynamics CRM collects name, phone number, secondary phone number, email, secondary email and address.

HUD Central collects name, phone number, secondary phone number, email address, secondary email address, account number and taxpayer ID number

One Stop Customer Service collects name, phone number, secondary phone number, email secondary email, address, and account number.

Members of the public for all three systems.

(1) To public and private counseling agencies; building associations; developers; financial institutions holding HUD-insured mortgages; Federal, State and local government offices; Consumer Protection agencies; Public Housing Agencies; and State and local real estate and planning Commissions for the purpose of assisting in the resolution of a complaint.

(2) To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. § 552(h), to review administrative agency policies, procedures and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

(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.

(6) To contractors, experts and consultants with whom HUD has a contract, service agreement, assignment or other agreement with the Department, when necessary to utilize relevant data for the purpose of testing new technology and systems designed to enhance program operations and performance.

(7) To appropriate agencies, entities, and persons when: (1) HUD suspects or has confirmed that there has been a breach of the system of records; (2) HUD has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, HUD (including its information systems, programs, and operations), the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm..

(8) To another Federal agency or Federal entity, when HUD determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to suspected or confirmed breach, or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

(9) To appropriate Federal, State, local, Tribal, or other 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 and when such records, either alone or in conjunction with other information, indicate a violation or potential violation of law.

(10) To a court, magistrate, administrative tribunal, or arbitrator in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, mediation, or settlement negotiations, or in connection with criminal law proceedings; when HUD determines that use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where HUD has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components. 8

(11) To any component of the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when HUD determines that the use of such records is relevant and necessary to the litigation and when any of the following is a party to the litigation or have an interest in such litigation: (1) HUD, or any component thereof; or (2) any HUD employee in his or her official capacity; or (3) any HUD employee in his or her individual capacity where the Department of Justice or agency conducting the litigation has agreed to represent the employee; or (4) the United States, or any agency thereof, where HUD determines that litigation is likely to affect HUD or any of its components.

Electronic

Individual records for all three systems can be retrieved by name, phone number, or email address.

Public Customer Service records. The system's disposition instructions: destroy 1 year after resolved, or when no longer needed for business use, whichever is appropriate.

The systems can only be accessed through HUD’s Office 365 environment, using all the security safeguards the Department uses for its current operating system. Users must have a HUD authorized account, which HUD authorizes with employment and deactivates once the employee leaves the Department. Customer Relationship Management data is available to employees on a need-to-know basis and systems use role-based security to restrict access to these data. Access to data is granted by an Administrative Security Officer through the Department’s secure application access system. Role-based security limits the amount of accessible data to only that permissible by the security role.

The HUD rule for contesting the content of any record pertaining to the individual by the individual concerned is published in 24 CFR 16.8 or may be obtained from the system manager.

None.