[Federal Register Volume 78, Number 25 (Wednesday, February 6, 2013)]
[Notices]
[Pages 8552-8575]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-02672]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5693-N-02]


Implementation of the Privacy Act of 1974, as Amended; 
Republication to Delete and Update Privacy Act System of Records 
Notifications

AGENCY: Office of the Chief Information Officer, HUD.

ACTION: Notice Republications.

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SUMMARY: Pursuant to the Privacy Act of 1974 (U.S.C. 552a(e)(4)), as 
amended, and Office of Management and Budget (OMB), Circular No. A-130, 
notice is hereby given that the Department of Housing and Urban 
Development (HUD), Office of the Chief Information Officer (OCIO) 
republishes in the Federal Register, after a comprehensive review, 
actions for 27 of its program component systems of records. The 
revisions implemented under this republication are corrective and 
administrative changes that refine previously published details for 
each system of records in a clear and cohesive format. This 
republication does not meet the threshold criteria

[[Page 8553]]

established by the Office of Management and Budget (OMB) for a modified 
system of records report. A more detail descriptions of the present 
systems are republished under this notice. This notice supersedes the 
previously published notices.

DATES: Effective Date: All revisions included in this republication are 
complete and accurate as of December 14, 2012.

FOR FURTHER INFORMATION CONTACT: Donna Robinson-Staton, Chief Privacy 
Officer, 451 Seventh Street SW., Washington, DC 20410 (Attention: 
Capitol View Building, 4th Floor), telephone number: (202) 402-8073. 
[The above telephone number is not a toll free numbers.] A 
telecommunications device for hearing- and speech-impaired persons 
(TTY) is available by calling the Federal Information Relay Service's 
toll-free telephone number (800) 877-8339.

SUPPLEMENTARY INFORMATION:

Republication To Delete and Update Privacy Act Systems of Records

    Subsequent reviews for 27 systems of records resulted in an update 
to 17 systems of records and deletion of 10 systems of records. Final 
analysis concluded with implementing new coding schemes for each 
systems of records; in an effort to streamline and present each system 
of records in a coding structure that easily differentiate program 
specific systems of records. These notices were last published in the 
Federal Register under separate citations. The Federal Register 
publications and citations associated with each notice can be viewed by 
going to the Department's Privacy Web site.\1\
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    \1\ http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/privacy/pia/fednotice/SORNs_LoB
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    Deleted Systems--The 10 systems deleted by this republication, and 
their existing coding structure are listed as follows:

1. HUD/CPD-1 Rehabilitation Loans Delinquent/Default (Authority 
Delegated)
2. HUD/DEPT-15 Equal Opportunity Housing Complaints (Data Migrated)
3. HUD/DEPT-29 Rehabilitation Grants and Loans Files (Authority 
Delegated)
4. HUD/DEPT-42 Rent Subsidy Program Files (Revoked)
5. HUD/H-8 Integrated Disbursement and Information System (Revoked)
6. HUD/H-14 Interstate Land Sales Registration (Authority Delegated)
7. HUD/PIH-07 Disaster Information System (Data Migrated)
8. HUD/OIG-3 Name Indices System (Revoked)
9. HUD/REAC-1 Tenant Eligibility Verification Files (Revoked)
10. HUD/REAC-3 Quality Assurance/Quality Control Administrative Files 
(Revoked)
    Updated Systems--This following notices supersede the previously 
published notices. The 17 systems modified by this republication and 
their new coding structure is listed as follows:

1. CFO/FY.01 HUD Central Accounting and Program System (Previously HUD/
CFO-01)
2. CFO/FY.02 Audit Resolution and Corrective Action Tracking System 
(Previously HUD/CFO-02)
3. CFO/FY.03 Line of Credit Control Systems (Previously HUD/CFO-03)
4. CFO/FY.04 Integrated Automated Travel System (Previously HUD/CFO-04)
5. CFO/FY.05 Personal Services Cost Subsystem (Previously HUD/CFO-05)
6. CFO/FY.06 Financial Data Mart (Previously HUD/CFO-03)
7. CPD/DGHR.01 Relocation Assistance Files (Previously HUD/CPD-44)
8. FHEO/EGID.01 Title Eight Automated Paperless Office Tracking System 
(Previously HUD/FHEO-06)
9. ODEEO/U.01 Equal Employment Opportunity Management Information 
System (Previously ODEEO-1)
10. OIG/GA.01 Independent Auditor Monitoring Files of the Office of 
Inspector (HUD/OIG-03)
11. OIG/GAP.01 Auto Audit of the Office of Inspector General (HUD/OIG-
05)
12. OIG/GFB.01 Hotline Information Sub System (Previously HUD/OIG-2)
13. OIG/GIP.01 Investigative Files of the Office of Inspector General 
(Previously HUD/OIG-1)
14. OIG/GIP.02 Auto Investigation and Case Management Information 
Subsystem (Previously HUD/OIG-6)
15. PD&R/RPT.09 HUD USER File for Research Products, Services and 
Publications (Previously PD&R-9)
16. REAC/PE.01 Tracking-at-a-Glance[supreg] (Previously HUD/PIH-06)
17. REAC/PE.02 Efforts to Outcome Case Management Tracking System for 
DHAP-Ike (Previously HUD/PIH-08)

    These systems are those maintained by HUD that includes personally 
identifiable information provided by individuals from which information 
is retrieved by a name of unique identifier. The system revisions 
encompass a wider range of programs and services in order to provide 
notification of a comprehensive view of the Department's data 
collection and management practices. Under this republication, the 
Department proposes to update 17 Privacy Act systems of records, delete 
10 obsolete systems of records, and implement a new coding structure 
for it systems of records.
    This republication allows HUD to organize and re-publish up-to-date 
information for these systems of records in a more useful format. The 
system modifications and deletions incorporate Federal privacy 
requirements, and HUD policy requirements. The Privacy Act provides 
certain safeguards for an individual against and invasion of personal 
privacy by requiring Federal agencies to protect records contained in 
an agency system of records from unauthorized disclosure, ensure that 
information is current for its intended use, and that adequate 
safeguards are provided to prevent misuse of such information. 
Additionally, the updates reflect the Department's focus on industry 
best practices in protecting the personal privacy of the individuals 
covered by each system notification. This notice for each system of 
records state the name and location of the record system, the authority 
for and manner of it operations, the categories of individuals that it 
covers, the type of records that it contain, the sources of the 
information for those records, the routines uses of each systems of 
records, and the system of records exemption types. In addition, each 
notice include the business address of the HUD officials who will 
inform interested persons of the procedures whereby they may gain 
access to and/or request amendments to records pertaining to them. The 
routine uses that apply to this publication are reiterated based on 
past publication to clearly communicate the ways in which HUD continues 
to conducts some of its business practices.
    Since the republication of system of records notices does not meet 
the threshold requirements for new or amended system a report was not 
submitted to the Office of Management and Budget (OMB), the Senate 
Committee on Homeland Security and Governmental Affairs, and the House 
Committee on Government Reform as instructed by Paragraph 4c of 
Appendix l to OMB Circular No. A-130, ``Federal Agencies 
Responsibilities for Maintaining Records About Individuals,'' July 25, 
1994 (59 FR 37914).

Prefatory Statement of General Routine Uses

    The following routine uses apply to each system of records notice 
set forth below under case specific circumstances. The Privacy Act 
allows

[[Page 8554]]

HUD to disclose its Privacy Act records in the following manner to 
appropriate agencies, entities, and persons below to the extent such 
disclosures are compatible with the purpose for which the record was 
collected, as set forth in the attached system of records 
notifications, provided that no routine use specified herein shall be 
construed to limit or waive any other routine use or exemption 
specified either herein or in the text of the individual system of 
records notice. In addition to providing that approval is obtained from 
the system manager, only after satisfactory justification has been 
provided to the system manager, records may be disclosed as follows:
    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 appropriate Federal, state, local government, or person 
pursuant to a showing of compelling circumstances affecting the health 
or safety or vital interest of an individual or data subject, including 
assisting such agency(ies) or organizations in preventing the exposure 
to or transmission of a communicable or quarantinable disease or to 
combat other significant public health threats; if upon such disclosure 
appropriate notice is transmitted to the last known address of such 
individual identify the health threat or risk.
    5. To a consumer reporting agency, when trying to collect a claim 
of the Government, in accordance with 31 U.S.C. 3711(e).
    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.
    Case Specific Actions, In addition to the disclosures permitted 
under subsection (b) of the Privacy Act, HUD may disclose information 
contained in this system of records without the consent of the subject 
individual if the disclosure is compatible with the purpose for which 
the record was collected under the following routine uses provided that 
approval is obtained from the system manager only after satisfactory 
justification has been provided to the system manager: HUD may 
disclosure records compatible to one of its system of records notices 
during case specific circumstances, when appropriate, as follows:
    7. To appropriate Federal, state, local, tribal, or governmental 
agencies or multilateral governmental organizations responsible for 
investigating or prosecuting the violations of, or for enforcing or 
implementing, a statute, rule, regulation, order, or license, where HUD 
determines that the information would assist in the enforcement of 
civil or criminal laws.
    8. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    9. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or in 
response to a subpoena or to a prosecution request when such records to 
be released are specifically approved by a court provided order.
    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 assist in the enforcement of 
civil or criminal laws.
    11. 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.
    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 is 
relevant to DOJ's representatives of the United States or any other 
components in legal proceedings before a court or adjudicative body, 
provided that, in each case, the agency also determines prior to 
disclosure that disclosure of the records to the DOJ is a use of the 
information contained in the records that is compatible with the 
purpose for which HUD collected the records. HUD on its own may 
disclose records in this system of records in legal proceeding before a 
court or administrative body after determining that the disclosure of 
the records to the court of administrative body is a use of the 
information contained in the records that is compatible with the 
purpose for which HUD collected the records.
    13. 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.
    14. To contractors, grantees, experts, consultants, Federal 
agencies, and non-Federal entities including but not limited to state 
and local governments, with whom HUD has a contract, service agreement, 
grant, cooperative agreement with the Department of Housing and Urban 
Development for statistical analysis to advance the goals of the 
nation's federal strategic plan to prevent and end veterans 
homelessness. The records may not be used to make decisions concerning 
the rights, benefits, or privileges of specific individuals, or 
providers of services with respect to homeless veteran's efforts.
    15. To HUD-paid experts or consultants, and those under contract 
with HUD on a ``need-to-know'' basis for a purpose within the scope of 
the pertinent HUD task related to these systems of records. This access 
will be granted to an HUD-paid expert, or consultants of contractor and 
their employees by a system manager only after satisfactory 
justification has been

[[Page 8555]]

provided to the system manager. Access shall be restricted and limited 
to only those data elements and disclosures considered relevant to 
accomplishing an agency function.
    16. To other Federal agencies or non-Federal entities with whom HUD 
has an approved computer matching effort, limited to only those data 
elements considered relevant to determine eligibility under a 
particular benefit programs administered by those agencies or entities 
or by HUD or any component thereof, to improve program integrity, and 
to collect debts and other monies owed under those programs.
    17. To contractors, experts, consultants with whom HUD has a 
contract, service agreement or other assignment of the Department, when 
necessary to utilize relevant data for purposes of testing new 
technology and systems designed to enhance program operations and 
performance.
    18. 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.
    19. To other Federal agencies or non-Federal entities, including 
but not limited to state and local government entities with whom HUD 
has a contract, service agreement, grant, cooperative agreement, or 
computer matching agreement to assist such agencies with preventing and 
detecting improper payments, or fraud, or abuse in major programs 
administered by the Federal government, or abuse by individuals in 
their operations and programs, but only to the extent that the 
information is necessary and relevant to preventing improper payments 
for services rendered under a particular Federal or non-federal 
benefits programs of HUD or any of their components to verify pre-award 
and pre-payment requirements prior to the release of Federal Funds.

    Authority:  5 U.S.C. 552a; 88 Stat. 1896; 42 U.S.C. 3535(d).

    Dated: January 25, 2013.
Kevin R. Cooke,
Deputy Chief Information Officer.
    The Department republishes the following systems of records 
updates.


SYSTEM OF RECORDS NO:
CFO/FY.01

SYSTEM NAME:
    HUD Central Accounting and Program System (HUDCAPS, A75).

SYSTEM LOCATION:
    HUD Headquarters, Washington, DC 20410 and Hewlett-Packard Data 
Center, South Charleston, WV 25303.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Grant, subsidy, project, and loan recipients; HUD personnel; 
vendors; brokers; bidders; managers; individuals within Disaster 
Assistance Programs: Builders, developers, contractors, and appraisers; 
subjects of audits.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains the following employee/vendor (non-employee) 
information: Name, social security number, address, and financial data. 
Also included are funds control records, accounts receivable records, 
purchase order and contract records, travel records including orders, 
vouchers, and advances, payment voucher records, deposit and receipt 
records, disbursement and cancelled check records, and financial 
records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. 
(Pub. L. 81-784); Chief Financial Officers Act of 1990; Federal 
Financial Management Improvement Act of 1996; Housing and Community 
Development Act of 1987, 42 U.S.C. 3543 authorizes HUD to collect the 
SSN.

PURPOSE(S):
    These records are an integral part of HUDCAPS, which provides an 
integrated general ledger and core accounting for the Department's 
grant, subsidy, and loan programs. The general ledger posts and 
maintains account balances for all financial transactions recorded in 
the subsidiary systems. HUDCAPS performs core accounting functions, 
which includes but is not limited to keeping track of all payments to 
individuals, supporting and documenting expenses incurred in the 
performance of official agency duties, accounting for goods and 
services received, accounting for funds paid and received, and 
processing travel authorizations and claims.

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. 
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 U.S. Treasury--for transactions such as disbursements of 
funds and related adjustments;
    2. To Internal Revenue Service--for reporting payments for goods 
and services and for reporting of discharge indebtedness;
    3. To any other Federal agency including, but not limited to the 
Internal Revenue Service (IRS) pursuant to 31 U.S.C. 3720A, for the 
purpose of effecting an administrative offset against the debtor for a 
delinquent debt owed to the U.S. Government by the debtor;
    4. To Federal Agencies--for the purpose of debt collection to 
comply with statutory reporting requirements;
    5. To the General Service Administration's Federal Procurement Data 
System, a central repository for statistical information on Government 
contracting, for purposes of providing public access to Government-wide 
data about agency contract actions;
    6. To consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 
552a(b)(12). Disclosures may be made from the system to consumer 
reporting agencies as defined in the Fair Credit Reporting Act (15 
U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, 31 U.S.C. 
3701(a)(3)). The disclosure is limited to information necessary to 
establish the identity of the individual, including name, social 
security number, and address; the amount, status, and history of the 
claim, and the agency or program under which the claim arose for the 
sole purpose of allowing the consumer reporting agency to prepare a 
credit report.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic files are stored on magnetic tape/disc/drum. There are 
no paper records that are maintained for this system.

[[Page 8556]]

RETRIEVABILITY:
    Records are retrieved by name, social security number, schedule 
number, receipt number, voucher number, and contract number.

SAFEGUARDS EMPLOYED:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    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), 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.

RECORD SOURCE CATEGORIES:
    These records contain information obtained from the individual who 
is the subject of these records, current and former HUD employees 
seeking reimbursement from HUD for travel expenses personally incurred 
financial institutions, private corporations or other business 
partners, and Federal agencies.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None

SYSTEM OF RECORDS NO.:
CFO/FY.02

SYSTEM NAME:
    Audit Resolution and Corrective Action Tracking System (ARCATS, 
P136)

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    HUD Headquarters, Office of the Inspector General (OIG) and Field 
Office Personnel; subjects of audits.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.''

PURPOSE(s):
    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.

ROUTINE USES ARE AS FOLLOWS:
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
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.

RETRIEVABILITY:
    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.

SAFEGUARDS EMPLOYED:
    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.

RETENTION AND DISPOSAL:
    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

[[Page 8557]]

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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None

SYSTEM OF RECORD CO.:
CFO/FY.03

NAME:
    Line of Credit Control Systems (LOCCS, A67).

SYSTEM LOCATION:
    HUD Headquarters, Washington, DC 20410 and South Charleston, WV 
25303. Refer to Appendix II for complete listing of addresses.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Grantees, subsidy 
recipients, project recipients, commercial vendors, builders, 
developers, contractors, and appraisers.
CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains the following employee/vendor information: 
name, social security number, bank routing number, and deposit account 
number. Also included are funds control records, receivable records, 
contract records, payment voucher records, deposit and receipt records, 
disbursement and cancelled check records, and subsidiary ledger 
records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. 
(Pub. L. 81-784). The Housing and Community Development Act of 1987, 42 
U.S.C.3543 authorizes HUD to collect the SSN.

PURPOSE(s):
    The purpose of the system of records is to process and make grant, 
loan, and subsidy disbursements. LOCCS ensures that payments are made 
in a timely manner thus achieving efficient cash management practices. 
Its function is to create accounting transactions with the appropriate 
accounting classification elements to correctly record disbursements 
and collections to the grant/project level subsidiary.

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. 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 U.S. Treasury--for transactions such as disbursements of 
funds and related adjustments;
    2. To Internal Revenue Service--for reporting payments for goods 
and services and for reporting of discharge indebtedness;
    3. To consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 
552a(b)(12). Disclosures may be made from the system to consumer 
reporting agencies as defined in the Fair Credit Reporting Act (15 
U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, 31 U.S.C. 
3701(a)(3)). The disclosure is limited to information necessary to 
establish the identity of the individual, including name, social 
security number, and address; the amount, status, history of the claim, 
and the agency or program under which the claim arose for the sole 
purpose of allowing the consumer reporting agency to prepare a credit 
report.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Records are retrieved by name, social security number, schedule 
number, receipt number, voucher number, and contract number.

SAFEGUARDS EMPLOYED:
    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.

RETENTION AND DISPOSAL:
    The electronic records are maintained indefinitely and destroyed in 
accordance with schedule 20 of the National Archives and Records 
Administration General Records Schedule as specified in HUD Handbook 
2225.6 Records Disposition Schedule Appendix 14, HUD Handbook 2228.1 
Records Disposition Schedule Management Chapter 9, and HUD Handbook 
2228.2 General Records. Other materials, including hard copy printouts 
derived from electronic records created on an ad hoc basis for 
reference purposes or to meet day-to-day business needs, are burned 
when the agency determines that they are no longer needed for 
administrative, legal, audit, or other operational purposes.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Chief Financial Officer for Systems, Office of the Chief 
Financial Officer, Department of Housing and

[[Page 8558]]

Urban Development, 451 Seventh Street SW., Room 3100, Washington, DC 
20410.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    These records contain information obtained from the individual who 
is the subject of these records, current and former HUD personnel, 
financial institutions, private corporations or business partners, and 
Federal agencies.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None.

SYSTEM OF RECORDS NO.:
CFO/FY.04

NAME:
    Integrated Automated Travel System (IATS, H18).

SYSTEM LOCATION:
    CFO Accounting Center in Fort Worth, Texas 76102.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    HUD relocating employees, HUD System Administrators, HUD System 
Examiners.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains the following employee information: name (as 
it appears on government-issued driver's license or passport), social 
security number, home address, marital status, spouse name, and number 
of children. The records in this system include: vendor ID or other 
unique 9-digit numbers, disbursements, travel authorizations (origin 
and destination of relocation, authorized entitlements, dependent's 
names and dates of birth), and payments made to individual (amount 
approved, taxes deducted, amount paid to employee, date of payment).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. 
(Pub. L. 81-784); 31 USC 3511, 3512 and 3523; 5 U.S.C. Chapter 57. The 
personally identifiable information associated with IATS is needed to 
compute entitlements based on 41CFR Chapter 302. These entitlements are 
considered to be taxable by IRS; W-2's must be prepared and mailed to 
employees at year end. The Housing and Community Development Act of 
1987, 42 U.S.C.3543 authorizes HUD to collect the SSN.

PURPOSE(s):
    The purpose of the system of records is to plan, authorize, 
arrange, process and manage official HUD relocation, to maintain 
records on current HUD employees who are relocating to another office 
location within HUD and have been approved for relocation entitlements, 
and to record relocation disbursements in order to compute and record 
taxes and W-2s.

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. 
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 IRS and the SSA to generate quarterly 941's and annual W-2's 
to fulfill its statutory reporting of wage and income reporting 
requirements to IRS and SSA.
    2. To GSA in the form of invoices to enable the GSA to perform post 
audit of the invoices paid by HUD directly to the Household Good 
Shippers.
    3. To an authorized appeal or grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator, or 
other duly authorized official engaged in investigation or settlement 
of a grievance, complaint, or appeal filed by an employee to whom the 
information pertains. If HUD denies claims, HUD employees can appeal to 
the GSA Civilian Board of Contract Appeals.
    4. To Officials of labor organizations recognized under 5 U.S.C. 
Chapter 71 when relevant and necessary to their duties of exclusive 
representation concerning personnel policies, practices, and matters 
affecting working conditions.
    5. To a travel services provider for billing and refund purposes.
    6. To a carrier or an insurer for settlement of an employee claim 
for loss of or damage to personal property incident to service under 31 
U.S.C. 3721, or to a party involved in a tort claim against the Federal 
government resulting from an accident involving a traveler.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
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 within the Travel and Relocation Branch Office in Fort 
Worth, Texas. Electronic files are supported by the HITS contract on a 
server physically located in Charleston, WV.

RETRIEVABILITY:
    Records are retrieved by name and social security number.

SAFEGUARDS EMPLOYED:
    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.

RETENTION AND DISPOSAL:
    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

[[Page 8559]]

2228.1 Records Disposition Schedule Management Chapter 9, and HUD 
Handbook 2228.2 General Records. Other materials, including hard copy 
printouts derived from electronic records created on an ad hoc basis 
for reference purposes or to meet day-to-day business needs, are burned 
when the agency determines that they are no longer needed for 
administrative, legal, audit, or other operational purposes.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    The procedures for requesting amendment or correction of records 
appear in 24 CFR part 16. If additional information is needed, contact:
    1. In relation to contesting contents of records, the Privacy Act 
Officer at HUD, 451 Seventh Street SW., Room 4178 (Attention: Capitol 
View Building, 4th Floor), Washington, DC 20410;
    2. In relation to appeals of initial denials, HUD, Departmental 
Privacy Appeals Officer, Office of General Counsel, 451 Seventh Street 
SW., Washington, DC 20410.

RECORD SOURCE CATEGORIES:
    These records contain information obtained from the individual who 
is the subject of these records, the documents created from this 
information to facilitate the relocation, household goods carriers, and 
document information from HUDCAPS.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None.

SYSTEM OF RECORDS CO.:
CFO/FY.05

SYSTEM NAME:
    Personal Services Cost Subsystem (PSCS, A75I).

SYSTEM LOCATION:
    HUD Headquarters in Washington, DC 20410.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former HUD employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

PURPOSE(s):
    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.

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. 
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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic files are stored on servers. There are no paper records 
that are maintained for this system.

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

SAFEGUARDS EMPLOYED:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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

[[Page 8560]]

signature and must be notarized. The Department's rules for providing 
access to records to the individual concerned appear in 24 CFR part 16.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    These records contain information obtained from official personnel 
records of employees.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT: None
SYSTEM OF RECORD CO.:
CFO/FY.06

SYSTEM NAME:
    Financial Data Mart (FDM, A75R).

SYSTEM LOCATION:
    HUD Headquarters, Washington, DC 20410 and Hewlett-Packard Data 
Center, South Charleston, WV 25303.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Grant, subsidy, project, and loan recipients; HUD personnel; 
vendors; brokers; bidders; managers; individuals within Disaster 
Assistance Programs: builders, developers, contractors, and appraisers; 
subjects of audits.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains the following employee/vendor (non-employee) 
information: name, social security number, address, and financial data. 
Also included are funds control records, accounts receivable records, 
purchase order and contract records, travel records including orders, 
vouchers, and advances, payment voucher records, deposit and receipt 
records, disbursement and cancelled check records, and financial 
records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. 
(Pub. L. 81-784); Chief Financial Officers Act of 1990; The Housing and 
Community Development Act of 1987, 42 U.S.C.3543 authorizes HUD to 
collect the SSN.

PURPOSE(s):
    To allow the Department decision makers to view financial data in 
desired report format. Financial Data Mart (FDM) is a warehouse of data 
extracted from a variety of the Department's financial systems and 
supported by a number of query tools for the purpose of improved 
financial and program data reporting. FDM is the primary reporting tool 
used to generate internal ad-hoc reports, scheduled event driven 
reports, and queries. This system supports program area managers, 
budget officers, and management staff by providing centralized, uniform 
financial information, event driven reports, and an ad-hoc financial 
analysis tool.

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. 
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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic files are stored on servers. There are no paper records 
that are maintained for this system.

RETRIEVABILITY:
    Records are retrieved by name, social security number, home 
address, user-id, deposit account number, and bank routing number.

SAFEGUARDS EMPLOYED:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    These records contain information obtained from the individual who 
is the subject of these records and Federal agencies.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None

SYSTEM OF RECORD NO.:
FHEO/EGID.01

SYSTEM NAME:
    Title Eight Automated Paperless Office Tracking System (TEAPOTs)

[[Page 8561]]

SYSTEM LOCATIONS:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.).

PURPOSES:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.)

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    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

POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING, AND 
DISPOSING OF SYSTEM RECORDS
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

[[Page 8562]]

records are stored in lockable file cabinets.

RETRIEVABILITY:
    Records are retrieved by file number, Complaint name, or respondent 
name.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.
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SYSTEM MANAGERS AND ADDRESSES:
    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.

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 Donna Robinson-Staton Chief 
Privacy Officer, Department of Housing and Urban Development, 451 
Seventh Street SW., Washington, DC 20410 (Attention: Capitol View 
Building, 4\th\ 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.

CONTESTING RECORD PROCEDURES:
    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) CONTESTING CONTENTS OF RECORDS: Department of Housing and Urban 
Development, Chief Privacy Officer, 451 Seventh Street, SW., 
Washington, DC 20410 (Attention: Capitol View Building, 4\th\ 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.

RECORD SOURCE CATEGORIES:
    Information is obtained from the record subject.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    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.

SYSTEM OF RECORDS NO.:
 ODEEO/U.01

SYSTEM NAME:
    Equal Employment Opportunity Management Information System (EEOMIS)

SYSTEM LOCATION:
    Department of Housing and Urban Development, HUD 451 Seventh Street 
SW., Room 2112, Washington, DC 20410; the Washington National Records 
Center, 4205 Suitland Road, Suitland, MD 20746-8001; and MicroPact, 
12901 Worldgate Drive, Suite 800, Herndon, VA 20170.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Personal and 
employment related data items on each HUD employee, and information on 
EEO discrimination complaint processing covering both HUD employees and 
applicants for employment.
CATEGORIES OF RECORDS IN THE SYSTEM:
    This system contains ``selected'' personal information on each 
employee, depending on the employee's type of appointment with the 
Department, including the employee's: Full Name, Unique Identifier 
(system generated), Address, Date of Birth, Race, Sex, Disability 
Status, Pay Plan, Grade and Step, Annual Salary, Occupational Series, 
Position Title, Organization Code, GSA Location Code, Duty Station, 
Veteran Preference, Type of Appointment, Tenure Group, Work Schedule, 
Type of Employment, FLSA, Bargaining Unit Status, Occupational 
Category, Type of Position, Supervisory Status, Position Sensitivity, 
Education Level, Academic Discipline, Year of Degree, Special Employee 
Code, Special Program Code Performance Rating, Performance Year, Enter 
on Duty Date w/HUD, Date last Grade Promotion, Target Grade, and Date 
entered Present Position. The EEO Discrimination Complaint processing 
portion of the system contains information on complaints, both formal 
and informal, filed by HUD employees and applicants for employment. The 
information in EEOMIS includes, but is not limited to: Complainant's 
Name, Complaint Type, Alleged Discriminating Official, Basis/Issues, 
Witnesses, Related Correspondence, Step-by-Step Processing Record, 
Final Disposition, and Summary of Complaint

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The legal bases for maintaining the system are: Section 717 of 
Title VII of the Civil Rights Act of 1964, as amended, to ensure 
enforcement of Federal equal employment opportunity policy requires 
Federal agencies to maintain Affirmative Employment Programs apply the 
same legal standards to prohibit discrimination established for private 
employers; and to eliminate discrimination that Congress found existing 
throughout the Federal employment system. The Rehabilitation Act of 
1973, as amended, required the same for persons with disabilities; the 
Uniform Guidelines on Employee Selection Procedures, dated 8/78 
requires records to be maintained which allow determinations to be made 
of the impact of selection procedures on members of various race, sex 
and ethnic groups. The Civil Service Reform Act of 1978, requires 
Federal agencies to conduct affirmative recruitment for

[[Page 8563]]

those occupations and grades within their work force in which 
underrepresentation of women and minorities exists. Equal Employment 
Opportunity Commission (EEOC) Management Directive (MD) 702, dated 12/
79 required that Federal agencies develop and implement information 
systems that provide periodical status reports on a statistical work 
force profiles and on affirmative employment objectives. Federal 
Personnel Manual (FPM) Letters 720-4, dated 1/80 and 720-6 dated 10/80 
established broad instructions and procedures for the collection of 
race, sex, and ethnic origin data on job applicants.

PURPOSE:
    EEOMIS is an internal management information system used to 
monitor, evaluate, and report the effectiveness of the Department's 
EEO/AE Program. However, all EEOMIS Users, excluding those in the 
Office of Departmental Equal Employment Opportunity, have restricted 
access. Those users cannot retrieve individually identified personal 
privacy information. Annually, ODEEO process EEO Counseling, and pre- 
and formal complaints. This information must be reported annually to 
the EEOC and must be processed in compliance with: EEOC Form 462 
format; EEOC Management Directives 110 & 715; 29 CFR 1614; the 
Notification & Federal Employee Anti-discrimination and Retaliation (NO 
FEAR) Act of 2002, and HUD policies. Additionally, data must be 
maintained to provide workforce profile analyses as key Departmental 
indicators for improving utilization of human capital; EEO barrier 
identification and elimination; tracking; management and reporting 
under Title VII, and obligations under the Rehabilitation Act. Specific 
maintenance requirements are necessary to keep current with various 
mandates from the EEOC and other Federal regulations.

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. 
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 another federal agency, to a court, or to a party in 
litigation before a court or in an administrative proceeding being 
conducted by a federal agency when the government is a party to the 
judicial or administrative proceeding.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Limited information is stored in a computerized database. Hard copy 
records are maintained in a secured area, in locked file cabinets to 
which only authorized ODEEO personnel have access. Any hard copy 
reports, not in statistical format, generated from the database are 
stored in a secured office with restricted access. Inactive records are 
transfer to the HUD Records Management Center.

RETRIEVABILITY:
    The data is retrievable by any of the data items listed under 
``Categories of Records in the System.'' The records are retrievable by 
charging party name, employer name and charge number.

SAFEGUARDS:
    EEOMIS is a LAN based computerized system and only authorized users 
have the EEOMIS icon on their computers. In addition to the icon, only 
those users who have been entered into EEOMIS as ``authorized'' and 
gain access through an assigned a password. EEOMIS access passwords are 
assigned and entered by the designated System Administrators in ODEEO. 
Limited information is stored in a computerized database. All Paper 
records are maintained in a secured area to which only authorized 
personnel have access. Access to and use of these records is limited to 
those persons whose official duties require such access. The premises 
are locked when authorized personnel are not on duty. Access to 
computerized records is limited, through use of access codes and entry 
logs, to those whose official duties require access. Any hard copy 
reports, not in statistical format, generated from the database are 
stored in a secured office with restricted access.

RETENTION AND DISPOSAL:
    All records (paper-based and electronic) are disposed in accordance 
with HUD's Records Disposition Schedule 51, 2225.6 REV-1,CHG-42. All 
paper-based records and reports are held for a six year period then 
destroyed by shredding. Inactive records are transfer to the HUD 
Records Management Center and destroyed after the retention has been 
met. Electronic records that meet their full retention period will be 
disposed of in accordance with the HUD's IT Security Handbook 
(2400.25), pursuant to NIST SP 800-88, Media Sanitation procedures.

SYSTEM MANAGER AND ADDRESS:
    Michelle A. Cottom, Acting Director, Office of Departmental Equal 
Employment Opportunity, 451 Seventh Street, SW Room 3124, 
Washington, DC 20410.

NOTIFICATION AND RECORD ACCESS PROCEDURE:
    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., Room P8202, Washington, DC 
20410, in accordance with procedures in 24 CFR part 16.

CONTESTING RECORD PROCEDURES:
    The Department's rules for contesting the contents of records and 
appealing initial denials, by the individual concerned, appears in 24 
CFR part 16. If additional information or assistance is needed, it may 
be obtained by contacting:
    (i) In relation to contesting contests of records, the Privacy Act 
Officer at the appropriate location, the Department of Housing and 
Urban Development, 451 Seventh Street SW., (Attention: Capitol View 
Building, 4th Floor), Washington, DC 20410, or
    (ii) in relation to appeals of initial denials, the Department of 
Housing and Urban Development, Departmental Privacy Appeals Officer, 
Office of General Counsel, 451 Seventh Street SW., Washington, DC 
20410.

RECORD SOURCE CATEGORIES:
    Initial employee personal information is collected when first 
appointed as HUD employees (i.e. full name, date of birth, disability 
status, etc.). Initial position/employment related information for each 
employee is derived from the type of appointment and specific position 
(title, series, grade, organization, duty station, etc.) under/for 
which they were hired. Updates to information on current employees are 
the results of personnel actions affecting employees (i.e. promotions, 
reassignments, etc.) and those self-initiated by employees (i.e. 
changes in disability status/medical condition). Information on EEO 
Discrimination Complaint processing is collected and entered directly 
into EEOMIS by ODEEO staff as complaints are filed and processed.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[[Page 8564]]

SYSTEM OF RECORD NO.:
OIG-GA.01

SYSTEM NAME:
    Independent Auditor Monitoring Files of the Office of Inspector 
General.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 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.
CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

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 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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored manually in file jackets and electronically in 
office automation equipment.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURES:
    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

[[Page 8565]]

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.

RECORD SOURCE CATEGORIES:
    The OIG collects information from the subject independent auditor, 
HUD, auditees, program participants, complainants and other 
nongovernment sources.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules have been promulgated in accordance with the requirements of 5 
U.S.C. 553(b), (c) and (e) and have been published in the Federal 
Register.

SYSTEM OF RECORDS NO.:
OIG/GAP.01

SYSTEM NAME:
    Auto Audit of the Office of Inspector General.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

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 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 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

[[Page 8566]]

Executive Order 12993, the records may be disclosed to the PCIE and 
other federal agencies, as necessary.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored electronically in office automation equipment 
and manually in file jackets.

RETRIEVABILITY:
    Records are retrieved by computer search of the Auto Audit software 
by reference to a particular file number.

SAFEGUARDS:
    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: 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.

SYSTEM MANAGER(s) AND ADDRESS:
    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.

NOTIFICATION AND ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules have been promulgated in accordance with the requirements of 5 
U.S.C. 553(b), (c) and (e) and have been published in the Federal 
Register.

SYSTEM OF RECORDS NO.:
OIG/GFB.01

SYSTEM NAME:
    Hotline Information Sub System.

SYSTEM LOCATION: HUD OIG Headquarters, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

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 HUD contractors, Public Housing 
Authorities or management agents of HUD-assisted

[[Page 8567]]

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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored electronically in office automation equipment.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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: 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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    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.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules have been promulgated in accordance with the requirements of 5 
U.S.C. 553(b), (c) and (e) and have been published in the Federal 
Register.

SYSTEM OF RECORDS NO.:
 OIG/GIP.01

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

[[Page 8568]]

SYSTEM LOCATION:
    HUD OIG Headquarters, Washington DC and OIG Office of 
Investigations field offices.\3\
---------------------------------------------------------------------------

    \3\ http://csfintraweb.hudoig.gov/offices.html.
---------------------------------------------------------------------------

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

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 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 CIGIE pursuant to Executive Order 12993, the records may 
be disclosed to the CIGIE 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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored manually in file jackets in an office file 
system.

RETRIEVABILITY:
    Records are retrieved by manual search of indices containing the 
name of the individual to whom the record pertains or by the case 
number.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURES:
    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

[[Page 8569]]

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.

RECORD SOURCE CATEGORIES:
    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.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules have been promulgated in accordance with the requirements of 5 
U.S.C. 553(b), (c) and (e) and have been published in the Federal 
Register.

SYSTEM OF RECORDS NO.:
OIG/GIP.02

SYSTEM NAME:
    Auto Investigation and Case Management Information Subsystem (AI/
CMISS).

SYSTEM LOCATION:
    HUD OIG Headquarters, 451 Seventh Street SW., Washington DC.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

PURPOSES:
    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.

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 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.

[[Page 8570]]

    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.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored electronically in office automation equipment.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    Records are maintained in a secure computer network.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Inspector General for Investigation, Office of the 
Inspector General, Department of Housing and Urban Development, 451 
Seventh Street SW., Washington, DC 20410.

NOTIFICATION AND ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled or generated 
for law enforcement purposes, has been exempted from the requirements 
of subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled or 
generated for the purpose of determining suitability, eligibility, or 
qualifications for Federal civilian employment or Federal contracts, 
the release of which would reveal the identity of a source who 
furnished information to the government under an express promise that 
the identity of the source would be held in confidence, has been 
exempted from the requirements of subsection

[[Page 8571]]

(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.

SYSTEM OF RECORDS NO.:
CPD/DGHR.01

SYSTEM NAME:
    Relocation Assistance Files.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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)).

PURPOSE:
    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.

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. 
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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    In file folders. No electronic records are maintained by the system 
of records.

RETRIEVABILITY:
    By name and case file number of subject individual.

SAFEGUARDS:
    Stored in lockable file cabinets; access limited to authorized 
personnel. No electronic records are maintained by the system of 
records.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    Subject and other individuals; current and previous employers; 
credit bureaus and financial institutions; firms federal and non-
federal agencies.

SYSTEM OF RECORDS NO.:
PD&R/RPT.09

SYSTEM NAME:
    HUD USER File for Research Products, Services and Publications.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The system contains information on those individuals who have 
expressed an interest in receiving research products and services 
publications.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system provides a record of individuals who request research

[[Page 8572]]

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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title V of the Housing and Urban Development Act of 1970, section 
501.

PURPOSE: 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.
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. 
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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Hard copy files are stored at the HUD User Information Center and 
electronically on office automation equipment.

RETRIEVABILITY: Records are retrieved by the name of the individual.
SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Research Utilization Division, 451 Seventh Street, SW., 
Room 8110, Washington, DC 20410.

NOTIFICATION AND ACCESS PROCEDURE:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None.

SYSTEM OF RECORDS NO.:
PIH-REAC/PE.01

SYSTEM NAME:
    Tracking-at-a-Glance[supreg] (TAAG)

SYSTEM LOCATION:
    Department of Housing and Urban Development, 451 Seventh Street 
SW., Washington DC 20410

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    DHAP participants who were displaced by Hurricanes Katrina or Rita, 
who received rental subsidy through the DHAP and agreed to all program 
requirements including case management.

CATEGORIES OF RECORD IN THE SYSTEM:
    Files contain identifying information about program participants: 
and their household members at the time of program implementation: such 
as name, social security number, FEMA ID number of the eligible head of 
household member, birth date, current telephone number, and current 
address. The files hold sensitive information about education level, 
criminal records, income/financial data, employment and training, 
disability status, medical history information, and information that 
were used to assess any barriers to permanent housing attainment and/or 
increased self- sufficiency.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Legal authority for the data maintained in DHAP is based on the 
Department of Homeland Security's general grant authority under section 
102(b)(2) of the Homeland Security Act, 6 U.S.C. 112, and sections 
408(b)(1), 426 and 306(a) of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (Stafford Act), 42 U.S.C. 5174(b)(1), 5189d 
and 5149(a), respectively.

PURPOSE:
    The data was collected to support DHAP grantees in their case 
management efforts and HUD staff in their program monitoring activities 
in order to provide required reports to FEMA in fulfillment of its 
responsibilities outlined within the Inter Agency Agreement. The case 
management and program monitoring activities for DHAP ended February 
28, 2009. Subsequently, the DHAP data still requires further analysis 
and evaluation by the Department's Office of Policy Development and 
Research (PD&R), Program Management and Research Division to conduct 
research and evaluation of national program

[[Page 8573]]

outcomes. In such cases, PD&R and its approved researchers will further 
evaluate the data presented by DHAP to produce research reports that 
will include aggregate level data based on higher level demographic 
variables that will not disclose information that can be used to 
identify any individual represented in the system. The records stored 
hold pertinent data relating to family self-sufficiency, permanent 
housing status and service needs. The system was procured through 
contract number: C-DEN-02199 and allowed DHAP grantees to implement and 
report case management services for FEMA's DHAP- Ike program, for which 
HUD was the servicing agent. This system and grantee data inputs 
assisted with the implementation and administration of rental housing 
assistance and case management services to individuals and families 
whose residence was rendered uninhabitable as a result of the disaster 
caused by Hurricanes Katrina and Rita.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    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.

POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored on the hard drive of a desktop computer. At the 
HUD level, no manual records are retained. At the grantee level, hard 
copy files are locked, secured, and reviewed by limited agency staff.

RETRIEVABILITY:
    Records are retrieved by PHA name, participant's name, city, zip 
code, or general demographic characteristics. Clients cannot be 
searched through the use of a social security number. The data is 
located on the hard drive of a desktop computer that resides in a 
locked cabinet, within a locked office. The desktop computer requires a 
user id and password to log on to the machine. In order to access the 
data, a user name and password must be utilized to enter the site where 
the data is housed.

SAFEGUARDS:
    Data is housed on a desktop computer hard drive located within a 
locked cabinet that resides in a locked office. Access to data records 
are limited to staff who work with the data. Hard copy files retained 
by grantees are stored by the PHA in locations that are locked and 
secured, with access granted only to a limited number of authorized 
agency users in accordance with HUD's approved retention schedule.

RETENTION AND DISPOSAL:
    Data is archived and stored via hard drive. Records will be 
retained and disposed of in accordance with the General Records 
Schedule included in HUD Handbook 2228.2, appendix 14, items 21-26 and 
HUD Record Schedule 8 \4\: Departmental Grant Financial Assistance 
Records. System records are retained and disposed of in accordance with 
the HUD Record Schedule 8. Records will be retired to a record center 
within a sufficient amount of time as appropriate to meet program 
business needs. Inactive records shall be retained for a minimum of six 
years, and then destroyed (shredded (or burned) at the end of their 
retention schedule of lifecycle) when no longer needed for reference or 
20 years after cutoff, whichever is sooner. (NARA Job No. NI-207-04-3, 
item Sb).
---------------------------------------------------------------------------

    \4\ http://portal.hud.gov/hudportal/documents/huddoc?id=22256x8ADMH.pdf.
---------------------------------------------------------------------------

SYSTEM MANAGER AND ADDRESS:
    Iyabo Morrison, Office of Public Housing and Voucher Programs, 
Department of Housing and Urban Development, 451 Seventh Street SW., 
Room 4232, Washington, DC, 20410.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    Basic participant information was initially transmitted 
electronically to the TAAG system through an upload from the HUD 
Disaster Information System in December 2007. Housing assistance 
information about program participants was uploaded to TAAG on a weekly 
basis from December 2007 until February 2009.

EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:
    None.

SYSTEM OF RECORDS NO.:
 PIH-REAC/PE.02

SYSTEM NAME:
    Efforts to Outcome Case Management Tracking System for DHAP-Ike.

SYSTEM LOCATION:
    Department of Housing and Urban Development, 451 Seventh Street 
SW., Washington, DC 20410.

[[Page 8574]]

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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).

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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), Sec.  5189d and 
Sec.  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.

PURPOSES:
    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.

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. 
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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
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.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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,

[[Page 8575]]

whichever is sooner. (NARA Job No. NI-207-04-3, item Sb).

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION AND RECORDS ACCESS PROCEDURES:
    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.

CONTESTING RECORDS PROCEDURES:
    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.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTION(S):
    None.

[FR Doc. 2013-02672 Filed 2-5-13; 8:45 am]
BILLING CODE 4210-67-P