[Federal Register Volume 68, Number 60 (Friday, March 28, 2003)]
[Notices]
[Pages 15217-15220]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-7415]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4456-N-26]


Privacy Act of 1974; Proposed Amendment of Routine Uses 
Applicable to Systems of Records

AGENCY: Office of Inspector General, HUD.

ACTION: Notification of proposed amendment of routine uses applicable 
to systems of records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974 (5 
U.S.C. 552a), the Office of Inspector General (OIG) is giving notice 
that it proposes to amend the routine uses applicable to its systems of 
records, which are published at 57 FR 25069 (June 12, 1992) and 65 FR 
50904 (August 21, 2000). The OIG proposes to add a new routine use to 
the routine uses currently applicable to OIG's systems of records to 
permit disclosure of five systems of records for purposes of internal 
and external peer reviews of the Office of Audit and Office of 
Investigations, specifically HUD/OIG-1, Investigative Files of the 
Office of Inspector General, HUD/OIG-2, Hotline Complaint Files of the 
Office of Inspector General; HUD/OIG-3, Name Indices System of the 
Office of Inspector General, HUD/OIG-5, AutoAudit of the Office of 
Inspector General; and HUD/OIG-6, AutoInvestigation of the Office of 
Inspector General. This notice also proposes adding a new routine use 
to the same five systems of records to allow disclosure of theses 
records to the President's Council on Integrity and Efficiency (PCIE) 
and other federal agencies, when these entities or the OIG conducts an 
audit or investigation pursuant to Executive Order 12993.

DATES: Effective date: This proposal shall become effective without 
further notice on April 28, 2003, unless comments are received on or 
before that date which would result in a contrary determination.
    Comment Due Date: April 28, 2003.

ADDRESSES: Interested persons are invited to submit comments regarding 
this rule to the Rules Docket Clerk, Office of General Counsel, Room 
10276, Department of Housing and Urban Development, 451 7th Street, 
SW., Washington, DC 20410-0500. Communications should refer to the 
above docket number and title. An original and four copies of comments 
should be submitted. Facsimile comments are not acceptable. A copy of 
each communication submitted will be available for public inspection 
and copying between 7:30 a.m. and 5:30 p.m. weekdays at the above 
address.

FOR FURTHER INFORMATION CONTACT: For Privacy Act information: Jeanette 
Smith, Departmental Privacy Act Officer, telephone number (202) 708-
2374. For OIG-related information: Bryan Saddler, Counsel to the 
Inspector General, Office of Inspector General, telephone number (202) 
708-1613. (These are not toll free numbers). A telecommunications 
device for hearing- and speech-impaired persons (TTY) is available at 
1-800-877-8339 (Federal Information Relay Services).

SUPPLEMENTARY INFORMATION: The OIG, pursuant to the Privacy Act of 
1974, currently maintains six systems of records: (l) Investigative 
Files of the Office of Inspector General (HUD/OIG-1); (2) Hotline 
Complaint Files of the Office of Inspector General (HUD/OIG-2); (3) 
Name Indices System of the Office of Inspector General (HUD/OIG-3); (4) 
Independent Auditor Monitoring Files of the Office of Inspector General 
(HUD/OIG-4); (5) AutoAudit of the Office of Inspector General (HUD/OIG-
5); and (6) AutoInvestigation of the Office of Inspector General (HUD/
OIG-6). The notices for these systems of records were last published on 
June 12, 1992 (57 FR 25069) and August 21, 2000 (65 FR 50904). The 
additional two routine uses being proposed will permit disclosure to 
those persons involved in conducting and reviewing external and 
internal peer reviews of the Office of Audit and the Office of 
Investigations, the PCIE, and other authorized Federal agencies when 
conducting investigations or audits pursuant to Executive Order 12993.
    Recent legislation enacted as part of the Department of Homeland 
Security Act, specifically, subsection (7) of that Act reads as 
follows: ``To ensure the proper exercise of the law enforcement powers 
authorized by this subsection, the OIG described under paragraph (3) 
shall, not later than 180 days after the date of enactment of this 
subsection, collectively enter into a memorandum of understanding to 
establish an external review process for ensuring that adequate 
internal safeguards and management procedures continue to exist within 
each Office and within any Office that later receives an authorization 
under paragraph (2). The review process shall be established in 
consultation with the Attorney General, who shall be provided with a 
copy of the memorandum of understanding that established the review 
process. Under the review process, the exercise of the law enforcement 
powers by each Office of Inspector General shall be reviewed 
periodically by another Office of Inspector General or by a committee 
of Inspectors General. The results of each review shall be communicated 
in writing to the applicable Inspector General and to the Attorney 
General''.
    OIG proposes a routine use that will allow the disclosure of 
information to authorized officials within OIG, the PCIE, the 
Department of Justice (DOJ), and the Federal Bureau of Investigation, 
as necessary, for the purpose of conducting qualitative assessment 
reviews of the OIG's investigative operations to ensure that the 
adequate internal and management procedures are maintained. A similar 
routine use is proposed for the Office of Audit records, which is 
subject to a recurring (every three year) external peer review required 
by the Government Accounting Standards, para. 3.33, and the PCIE. While 
these disclosures could be justified otherwise, it is appropriate that 
formal notice be provided.
    An additional new routine use is proposed to enable OIG to assist 
other OIG's with internal audits or investigations required by the PCIE 
under Executive Order 12993, which cannot or should not be performed by 
the staff of a particular OIG that would normally conduct the audit or 
investigation and to allow reports to be reviewed by the PCIE regarding 
actions taken with respect to these audits or investigations. This 
routine use will allow the OIG to conduct assigned audits or 
investigations under Executive Order 12993 and to report its findings 
and recommendations and actions taken to the PCIE. It will also allow 
release of information to other agencies conducting internal audits of 
OIG.

[[Page 15218]]

Again, while such releases may be otherwise justified, it is 
appropriate that a formal notice be provided.
    The texts of the new routine uses are printed below. All other 
aspects of OIG's systems of records remain unchanged and are as 
published at 57 FR 25069 and 65 FR 50904.
    Section 552a(e)(4) and (11) of title 5, United States Code, 
provides that the public be afforded a 30-day period in which to 
comment on these revisions to OIG's existing record systems. Further, a 
report of the OIG's intention to amend the routine uses applicable to 
its six existing systems of records has been submitted to the Committee 
on Government Operations of the House of Representatives, the Committee 
on Governmental Affairs of the Senate, and the Office of Management and 
Budget (OMB), pursuant to paragraph 4b of Appendix I of OMB Circular A-
130, which is entitled ``Federal Agency Responsibilities for 
Maintaining Records About Individuals'' (50 FR 52730 (Dec. 24, 1985)).
HUD/OIG-1

SYSTEM NAME:
    Investigative Files of the Office of Inspector General.
* * * * *

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 
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. 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 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 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.
* * * * *
HUD/OIG-2

SYSTEM NAME:
    Hotline Complaint Files of the Office of Inspector General.
* * * * *

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 
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. 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 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 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.
* * * * *
HUD/OIG-3

SYSTEM NAME:
    Name Indices System of the Office of Inspector General.
* * * * *

[[Page 15219]]

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 
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. 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 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 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.
* * * * *
HUD/OIG-5

SYSTEM NAME:
    AutoAudit of the Office of Inspector General.
* * * * *

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 
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. 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 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 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.
    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.
* * * * *
HUD/OIG-6

SYSTEM NAME:
    AutoInvestigation of the Office of Inspector General.
* * * * *

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 
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. 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 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

[[Page 15220]]

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.

    Dated: March 21, 2003.
Kenneth M. Donohue, Sr.,
Inspector General.
[FR Doc. 03-7415 Filed 3-27-03; 8:45 am]
BILLING CODE 4210-78-P