[Federal Register Volume 71, Number 181 (Tuesday, September 19, 2006)]
[Notices]
[Pages 54834-54836]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-15492]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4922-N-22]


Privacy Act of 1974; New System of Records, Personnel Security 
Files

AGENCY: Office of the Chief Information Officer, HUD.

ACTION: Notification of a new Privacy Act System of Records, Personnel 
Security Files.

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SUMMARY: HUD is creating a new Privacy Act System of Records, Personnel 
Security Files. The records in this system of records are used to 
document and support decisions regarding clearance for access to 
classified information, the suitability, eligibility, and fitness for 
service of applicants for federal employment and contract positions, 
including students, interns, or volunteers to the extent their duties 
require access to federal facilities, information, systems, or 
applications. The records may be used to document security violations 
and supervisory actions taken.

DATES: Effective Date: This proposal shall become effective without 
further notice in 30 calendar days, October 19, 2006, unless comments 
are received during or before this period which would result in a 
contrary determination.
    Comments Due Date: October 19, 2006.

ADDRESSES: Interested persons are invited to submit comments regarding 
this notice to the Rules Docket Clerk, Office of General Counsel, 
Department of Housing and Urban Development, 451 Seventh Street, SW., 
Room 10276, Washington, DC 20410-0500. Communications should refer to 
the above docket number and title. Facsimile (FAX) comments are not 
acceptable. A copy of each communication submitted will be available 
for public inspection and copying between 8 a.m. and 5 p.m. weekdays at 
the above address.

FOR FURTHER INFORMATION CONTACT: Jeanette Smith, Departmental Privacy 
Act Officer, telephone number (202) 708-2374. [This is not a toll-free 
number.] A telecommunications device for hearing and speech-impaired 
persons (TTY) is available at (800) 877-8339 (Federal Information Relay 
Services). [This is a toll-free number.]

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5 
U.S.C. 552a), as amended, notice is given that HUD proposes to create a 
new Privacy Act System of Records, Personnel Security Files.
    Title 5 U.S.C. 552a(e)(4) and (11) provide that the public be 
afforded a 30-day period in which to comment on the new record system. 
The new system report was submitted to the Office of Management and 
Budget (OMB), the Senate Committee on Governmental Affairs, and the 
House Committee on Governmental Reform pursuant to paragraph 4c of 
Appendix 1 to OMB Circular No. A-130, ``Federal Responsibilities for 
Maintaining Records About Individuals,'' July 25, 1994 (59 FR 37914).
    Accordingly, this notice creates a new system of records for the 
Office of Administration and accompanying routine uses to be submitted 
and accessed in the management of the Personnel Security Files.

    Dated: September 12, 2006.
Ed Dorris,
Deputy Chief Information Officer, Office of Systems Integration and 
Efficiency.
HUD/ADMIN-6

System Name:
    Personnel Security Files.

System Location:
    HUD Headquarters.

Security Classification:
    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.

Categories Of Individuals Covered By The System:
    Individuals who require regular, ongoing access to federal 
facilities,

[[Page 54835]]

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.

Categories Of Records In The System:
    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.

Authority For Maintenance Of The System:
    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.

Purpose(S):
    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.

Routine Uses Of Records Maintained In The System, Including Categories 
Of Users And The Purposes Of Such Uses:
    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

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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.

Policies And Practice For Storing, Retrieving, Accessing, Retaining And 
Disposing Of Records In The System:
Storage:
    Records are stored on paper and electronically in a secure 
location.

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

Safeguards:
    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.

Retention And Disposal:
    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.

System Manager(S) And Address:
    Director, Office of Security and Emergency Planning, 451 Seventh 
Street, SW., Washington, DC 20410.

Notification And Record Access Procedures:
    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.

Contesting Record Procedures:
    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

Record Source Categories:
    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.

Systems Exempted From Certain Provisions Of The Privacy Act:
    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.

 [FR Doc. E6-15492 Filed 9-18-06; 8:45 am]
BILLING CODE 4210-67-P