[Federal Register Volume 86, Number 44 (Tuesday, March 9, 2021)]
[Notices]
[Pages 13548-13564]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-04796]
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FEDERAL HOUSING FINANCE AGENCY
[No. 2021-N-4]
Privacy Act of 1974; System of Records
AGENCY: Office of Inspector General, Federal Housing Finance Agency
(FHFA-OIG).
ACTION: Notice of amendments and additions to the routine uses for
FHFA-OIG's Privacy Act systems of records
[[Page 13549]]
(SORs), updates, rewording, and technical changes to the system name,
system location, categories of individuals covered by the system,
categories of records in the system, purpose(s), retrievability,
safeguards, retention and disposal, system manager(s) and address,
notification procedures, record source categories, and exemptions
claimed for one or more of FHFA-OIG's existing systems, and the
creation of a new Privacy Act system of records (SOR).
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SUMMARY: In accordance with the Privacy Act of 1974, as amended and the
Office of Management and Budget (OMB) Circular A-108 System of Records
Notice template, FHFA-OIG gives notice of amendments and additions to
the routine uses for FHFA-OIG's Privacy Act systems of records (SORs)
and technical changes thereto, updates to system name, system location,
categories of individuals covered by the system, categories of records
in the system, purpose(s), retrievability, safeguards, retention and
disposal, system manager(s) and address, notification procedures,
record source categories, exemptions claimed for one or more of FHFA-
OIG's existing systems of record, and the creation of a new Privacy Act
SOR for the Office of Counsel. The six existing SORs are being re-
published in their entirety to conform their formats to the Circular A-
108 SORN template. The amendments and additions to the existing systems
and the new system are described in detail below.
DATES: Comments must be received on or before April 8, 2021. The
amended and additional routine uses and the technical revisions to
FHFA-OIG's existing SORs, and the new SOR, will become effective
without further notice on April 19, 2021, unless comments received on
or before that date result in revisions to this notice.
ADDRESSES: Submit comments to FHFA only once, identified by ``FHFA-OIG
SORN,'' using any one of the following methods:
Email: [email protected]. Comments may be
sent by email to Leonard DePasquale, FHFA-OIG Chief Counsel. Please
include ``Comments/FHFA-OIG SORN'' in the subject line of the message.
Comments will be made available for inspection upon written request.
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments. If you submit your
comment to the Federal eRulemaking Portal, please also send it by email
to FHFA at [email protected] to ensure timely receipt by
the agency. Please include ``Comments/FHFA-OIG SORN'' in the subject
line of the message.
U.S. Mail, United Parcel Service, Federal Express, or
Other Mail Service: Leonard DePasquale, Chief Counsel, Office of
Inspector General, Federal Housing Finance Agency, 400 7th Street SW,
Washington, DC 20219.
Courier/Hand Delivered Letters or Packages: For security
reasons, courier/hand delivered letters or packages cannot be accepted.
See SUPPLEMENTARY INFORMATION for additional information on posting
of comments.
FOR FURTHER INFORMATION CONTACT: Leonard DePasquale, Chief Counsel,
Office of Inspector General, Federal Housing Finance Agency, 400 7th
Street SW, Washington, DC 20219, or at (202) 730-2830. Hearing impaired
individuals may utilize the Federal Relay Service by dialing 1-800-877-
8339. A Communications Assistant will dial FHFA-OIG's number and relay
the conversation between a standard (voice) telephone user and text
telephone (TTY).
SUPPLEMENTARY INFORMATION:
I. Comments
Instructions: FHFA-OIG seeks public comments on the amended and
additional routine uses and will take all comments into consideration.
See 5 U.S.C. 552a(e)(4) and (11).
Posting and Public Availability of Comments: All comments received
will be posted without change on the FHFA-OIG website at http://www.fhfaoig.gov, and will include any personal information provided,
such as name, address (mailing and email), and telephone numbers.
II. Background
The Federal Housing Finance Regulatory Reform Act of 2008 (Reform
Act), which was passed as Division A of the Housing and Economic
Recovery Act of 2008 (HERA) abolished both the Federal Housing Finance
Board (FHFB), an independent agency that oversaw the Federal Home Loan
Banks (FHLBanks), and the Office of Federal Housing Enterprise
Oversight (OFHEO), an office within the Department of Housing and Urban
Development (HUD) that oversaw the ``safety and soundness'' of the
Federal Home Loan Mortgage Corporation (Freddie Mac) and the Federal
National Mortgage Association (Fannie Mae). See Public Law 110-289,
sections 1301 and 1311, 122 Stat. 2654, 2794 and 2797 (codified at 12
U.S.C. 4511 note); H.R. Rep. No. 110-142, at 95. The Reform Act
established in place of the FHFB and OFHEO a new entity, the Federal
Housing Finance Agency (FHFA), to regulate and supervise Fannie Mae,
Freddie Mac, and the 12 FHLBanks. See Public Law 110-289, section 1101,
122 Stat. 2654, 2661 (codified at 12 U.S.C. 4511).
The Reform Act also requires the appointment of an Inspector
General within FHFA, in accordance with section 3a of the Inspector
General Act of 1978 (the IG Act). See Public Law 110-289, section 1105,
122 Stat. 2668 (codified at 12 U.S.C. 4517(d)). FHFA-OIG is responsible
for, among other things, conducting audits, investigations, and
evaluations of FHFA's programs and operations; recommending policies
that promote economy and efficiency in the administration of FHFA's
programs and operations; and preventing and detecting fraud and abuse
in FHFA's programs and operations. See IG Act, Public Law 95-452, 92
Stat. 1101 (codified at 5 U.S.C. App.).
FHFA-OIG began operations in October of 2010. Although FHFA's SORs
covered many of FHFA-OIG's records, some of those records were unique
to FHFA-OIG's work. As a result, on March 2, 2011, FHFA-OIG issued a
Federal Register notice establishing five SORs (76 FR 11465). On
November 1, 2013, FHFA-OIG issued another Federal Register notice
adding a new SOR and amending and updating the existing SORs (78 FR
65644). In the five years since the last update, FHFA-OIG's approach to
implementing its mission has evolved and matured. To better reflect
where our work is taking us and how we conduct our business some
aspects of the earlier SORs should be amended.
Certain updates, rewording, and technical changes are being made to
one or more of the following sections of the existing SORs: System
name, system location, categories of individuals covered by the system,
categories of records in the system, purpose(s), routine uses,
retrievability, safeguards, retention and disposal, system manager(s)
and address, notification procedures, record source categories, and
exemptions claimed for the system. In addition, several new routine
uses are being added to enable FHFA-OIG to implement its mission under
the IG Act more efficiently and to enhance transparency in reporting
the results of our audits, evaluations, investigations, and other
inquiries.
During the course of updating its existing SORs, FHFA-OIG
determined that records concerning hotline complaints and inquiries
conducted by
[[Page 13550]]
FHFA-OIG's Office of Investigations are already housed in the Office of
Investigations' two existing SORs--FHFA-OIG-2 and FHFA-OIG-3. Thus,
with regard to these types of complaints and inquiries, the existing
Hotline Database (FHFA-OIG-4) is superfluous. FHFA-OIG is making minor
modifications to reflect that hotline complaints and inquiries
undertaken by the Office of Investigations are already covered by the
two existing SORs (FHFA-OIG-2 and FHFA-OIG-3).
Rather than eliminating the existing Hotline Database SOR (FHFA-
OIG-4), FHFA-OIG is repurposing it to house records pertaining to non-
criminal administrative inquiries conducted by any FHFA-OIG operational
division other than the Office of Investigations. FHFA-OIG has assigned
responsibility for non-criminal administrative inquiries to its
operational divisions and desires records pertaining to these matters
to be stored in a SOR separate from any SOR that contains investigative
records generated and/or collected by FHFA-OIG's Office of
Investigations. Thus, to better align its SORs with its
multidisciplinary approach to these inquiries, FHFA-OIG is designating
the existing Hotline Database (FHFA-OIG-4) to store records pertaining
to non-criminal administrative inquiries that are conducted by any
FHFA-OIG operational division other than the Office of Investigations.
Finally, a SOR is being added for FHFA-OIG's Freedom of Information
Act (FOIA), Privacy Act (PA), and Freedom of Information Act/Privacy
Act (FOPA) records. Although FHFA-OIG's FOIA, PA, and FOPA records are
covered under FHFA's FOIA and PA SOR, FHFA-OIG has decided to adopt its
own SOR for FOIA, PA, and FOPA records so that the routine uses for
these records are aligned with the routine uses for FHFA-OIG's other
SORs. Because documents FHFA-OIG produces in response to FOIA, PA, and
FOPA requests are often records that are contained in FHFA-OIG's other
SORs, it is more logical for FHFA-OIG's FOIA, PA, and FOPA routine uses
to mirror those of the SORs from which these records may originate.
Thus, the main reason FHFA-OIG is creating a SOR for its FOIA, PA, and
FOPA records is to achieve this symbiosis. FHFA-OIG is also creating
this SOR to make clear that some requests are processed under both the
FOIA and PA. FHFA-OIG believes it is more appropriate that its SOR
reflect this hybrid category of records (i.e., FOPA).
Sections 552a(e)(4) and (11) of title 5, United States Code,
require that an agency publish a notice of the establishment or
revision of a SOR which affords the public a 30-day period in which to
submit comments. To meet this requirement, FHFA-OIG's SORs are set
forth in their entirety below. Further, a report of FHFA-OIG's
intention to amend and supplement its routine uses, update other
portions of its existing SORs, and add a new SOR has been submitted to
the Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and to OMB, as required by the Privacy Act, 5
U.S.C. 552a(r) and pursuant to section 7 of OMB Circular A-108,
``Federal Agency Responsibilities for Review, Reporting, and
Publication under the Privacy Act,'' dated December 23, 2016 (81 FR
94424 (Dec. 23, 2016)).
III. Proposed Systems of Records
The proposed changes to the existing SORs are described in detail
below:
FHFA-OIG-1
SYSTEM NAME AND NUMBER:
FHFA-OIG Audit Files Database (FHFA-OIG-1).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Audits, Office of Inspector General,
Federal Housing Finance Agency, 400 7th Street SW, Washington, DC
20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system is maintained to enable Office of Audits' employees to
access, share, restrict, or maintain information that has been
collected and/or generated as part of an audit, as appropriate.
Materials relating to an audit may or may not become part of the
official audit file. The system also serves as a storage and filing
system for working copies, drafts, and final versions of documents
collected and/or generated by the Office of Audits in the performance
of other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Audits and subjects or
potential subjects of audit activities and individuals who may be, are,
or have been witnesses, complainants, informants, subjects, or
otherwise involved in circumstances pertaining or relating to official
activities conducted by FHFA-OIG's Office of Audits.
CATEGORIES OF RECORDS IN THE SYSTEM:
Drafts and final documents of the following types: (1) Audit
reports; (2) working papers, which may include copies of
correspondence, evidence, subpoenas; and (3) other documents collected
and/or generated by the Office of Audits during the course of official
duties, including information from FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the
[[Page 13551]]
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice, including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a) or when the Department of Justice or
outside counsel retained by FHFA-OIG is representing FHFA-OIG or any
FHFA-OIG employee in his or her official or individual capacity; or
when FHFA-OIG is a party to litigation or settlement negotiations or
has an interest in litigation or settlement negotiations being
conducted by the Department of Justice or outside counsel retained by
FHFA-OIG and FHFA-OIG has determined such information to be relevant
and necessary to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal unit of government, other public authorities, or
self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
[[Page 13552]]
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the auditor, support staff,
subject of or witness to the subject matter involving the audit, unique
audit number, or job code.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records in this system will be retained in accordance with approved
retention schedules, including: FHFA's Comprehensive Records Schedule
Item 7 (N1-543-11-1, approved 01/11/2013), which provides the cut-off
and disposition schedules for Inspector General records. Additional
approved schedules may apply. Destruction of records shall occur in the
manner(s) appropriate to the type of record, such as shredding of paper
records and/or deletion of computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-2
SYSTEM NAME AND NUMBER:
FHFA-OIG Investigative Files Database (FHFA-OIG-2).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Investigations, Office of Inspector
General, Federal Housing Finance Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to maintain information
relevant to complaints received by FHFA-OIG and/or collected and/or
generated as part of investigations or inquiries conducted by or under
the direction of the Office of Investigations or Hotline, as well as
other information collected and/or generated during the course of the
Office of Investigations' official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Investigations,
subjects or potential subjects of investigative activities and
individuals who may be, are, or have been witnesses, complainants,
informants, subjects, or otherwise involved in circumstances pertaining
or relating to a complaint, investigation, or hotline or other inquiry
conducted by FHFA-OIG's Office of Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Reports of investigations or inquiries, which may include, but
are not limited to, witness statements, affidavits, transcripts, police
reports, photographs, documentation concerning requests and approval
for consensual telephone and consensual non-telephone monitoring, the
subject's prior criminal record, vehicle maintenance records, medical
records, accident reports, insurance policies, police reports, and
other exhibits and documents collected and/or generated as part of an
investigation or inquiry; (2) status and disposition information
concerning a complaint, investigation, or inquiry including prosecutive
action and/or administrative action; (3) complaints or requests to
investigate; (4) subpoenas and evidence obtained in response to a
subpoena; (5) evidence logs; (6) pen registers; (7) correspondence; (8)
records of seized money and/or property; (9) reports of laboratory
examination, photographs, and evidentiary reports; (10) digital image
files of physical evidence; (11) documents generated for purposes of
FHFA-OIG's undercover activities; (12) documents pertaining to the
identity of confidential informants; (13) grand jury material; (14)
information or documents pertaining to weapons qualifications and/or
use of force training; (15) information or documents pertaining or
relating to the processing of hotline complaints by, or under the
direction of, FHFA-OIG's Office of Investigations, including
information from FHFA-OIG's other systems of records; and (16) other
documents collected and/or generated by the Office of Investigations
during the course of official duties, including, but not limited to,
information from FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
[[Page 13553]]
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or
[[Page 13554]]
suitability investigation; the adjudication of liability; or coverage
under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, Social Security Number, and/or case
number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-3
SYSTEM NAME AND NUMBER:
FHFA-OIG Investigative Document Repository MIS Database (FHFA-OIG-
3).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Investigations, Office of Inspector
General, Federal Housing Finance Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12
U.S.C.4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to enable Office of
Investigations' employees to access, share, restrict, or maintain
information that has been collected and/or generated during the course
of an investigation or inquiry, as appropriate. Materials relating to
an investigation or inquiry may or may not become part of the official
case file. The system also serves as a storage and filing system for
working copies, drafts, and final versions of documents collected and/
or generated by the Office of Investigations in the performance of
other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Investigations,
subjects or potential subjects of investigative activities and
individuals who may be, are, or have been witnesses, complainants,
informants, subjects, or otherwise involved in circumstances pertaining
or relating to a complaint, investigation, or hotline or other inquiry
conducted by FHFA-OIG's Office of Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Working copies, drafts, and final documents that the Office of
Investigations is considering or using, or has collected and/or
generated while an investigation or inquiry is in progress including
but not limited to: (1) Reports of investigations or inquiries, which
may include, but are not limited to, witness statements, affidavits,
[[Page 13555]]
transcripts, police reports, photographs, documentation concerning
requests and approval for consensual telephone and consensual non-
telephone monitoring, the subject's prior criminal record, vehicle
maintenance records, medical records, accident reports, insurance
policies, police reports, and other exhibits and documents collected
and/or generated as part of an investigation or inquiry; (2) status and
disposition information concerning a complaint, investigation, or
inquiry including prosecutive action and/or administrative action; (3)
complaints or requests to investigate; (4) subpoenas and evidence
obtained in response to a subpoena; (5) evidence logs; (6) pen
registers; (7) correspondence; (8) records of seized money and/or
property; (9) reports of laboratory examination, photographs, and
evidentiary reports; (10) digital image files of physical evidence;
(11) documents generated for purposes of FHFA-OIG's undercover
activities; (12) documents pertaining to the identity of confidential
informants; (13) grand jury materials; (14) information or documents
pertaining or relating to the processing of hotline complaints by, or
under the direction of, FHFA-OIG's Office of Investigations, including
information from FHFA-OIG's other systems of records; and (15) any
other documents collected and/or generated by the Office of
Investigations during the course of official duties, including but not
limited to, information from FHFA-OIG's other systems of records,
quality assurance reviews, A-123, peer reviews, training documents.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical
[[Page 13556]]
injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, Social Security Number, and/or case
number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7(N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-4
SYSTEM NAME AND NUMBER:
FHFA-OIG Non-Criminal Administrative Inquiries Database (FHFA-OIG-
4).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Compliance and Special Projects,
Office of Inspector General, Federal Housing Finance Agency, 400 7th
Street SW, Washington, DC 20219.
[[Page 13557]]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to segregate records collected and/or
generated during the course of a non-criminal administrative inquiry
conducted by employees of one or more of FHFA-OIG's operational
divisions from investigations or inquiries conducted by employees of
the Office of Investigations and to enable employees of those
operational divisions to access, share, restrict, or maintain
information that has been collected and/or generated as part of a non-
criminal administrative inquiry, as appropriate. The system also serves
as a storage and filing system for working copies, drafts, and final
versions of documents collected and/or generated by employees of one or
more of FHFA-OIG's operational divisions, other than the Office of
Investigations, in the performance of other official duties involving
non-criminal administrative inquiries.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to any FHFA-OIG operational division
other than the Office of Investigations who are assigned to work on a
non-criminal administrative inquiry, individuals who may be, are, or
have been witnesses, complainants, informants, subjects, or otherwise
involved in circumstances pertaining or relating to a non-criminal
administrative inquiry conducted by any FHFA-OIG operational division
other than the Office of Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Working copies, drafts, and final documents that any FHFA-OIG
operational division other than the Office of Investigations is
considering or using, or has collected and/or generated as part of a
non-criminal administrative inquiry, including but not limited to: (1)
Reports of administrative inquiries pertaining to non-criminal hotline
complaints and/or other non-criminal matters; (2) records of interviews
and other verbal communications; (3) memos reflecting analysis of facts
and law; (4) other documents collected and/or generated by any FHFA-OIG
operational division employee, other than those assigned to the Office
of Investigations, during the course of official duties pertaining to
non-criminal administrative inquiries, including information included
in FHFA-OIG's other systems of records. In addition, the system will
include basic data about the non-criminal administrative inquiries
themselves, including inquiry name, inquiry number, relevant dates and
status.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
[[Page 13558]]
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the employee assigned to the non-
criminal administrative inquiry, support staff, name of the
complainant, witness, subject of the non-criminal administrative
inquiry, unique inquiry number, or job code.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5
[[Page 13559]]
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-5
SYSTEM NAME AND NUMBER:
FHFA-OIG Correspondence Database (FHFA-OIG-5).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Executive Office, Office of Inspector General, Federal Housing
Finance Agency, 400 7th Street SW, Washington, DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system consists of correspondence received by FHFA-OIG from
individuals and their representatives, oversight committees, and others
who conduct business with FHFA-OIG and the responses thereto; it serves
as a record of in-coming correspondence and the steps taken to respond
thereto.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Correspondents; (2) persons upon whose behalf correspondence
was initiated; and (3) FHFA-OIG personnel responding to correspondents
or their representatives.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Correspondence received by FHFA-OIG and responses generated
thereto; and (2) records used to respond to incoming correspondence,
including information included in FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
[[Page 13560]]
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the correspondent and/or name of
the individual(s) to whom the record applies.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the retention and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
[[Page 13561]]
FHFA-OIG-6
SYSTEM NAME AND NUMBER:
FHFA-OIG Evaluations Files Database (FHFA-OIG-6).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Evaluations, Office of Inspector
General, Federal Housing Finance Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system is maintained to enable Office of Evaluations'
employees to access, share, restrict, or maintain information that has
been collected and/or generated as part of an evaluation, as
appropriate. Materials relating to an evaluation may or may not become
part of the official evaluation file. The system also serves as a
storage and filing system for working copies, drafts, and final
versions of documents collected and/or generated by the Office of
Evaluations in the performance of other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Evaluations and
subjects or potential subjects of evaluation activities, and
individuals who may be, are, or have been witnesses, complainants,
informants, subjects, or otherwise involved in circumstances pertaining
or relating to an evaluation conducted by FHFA-OIG's Office of
Evaluations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Drafts and final documents of the following types: (1) Evaluation
reports, white papers, and other reports or studies; (2) working
papers, which may include copies of correspondence, evidence,
subpoenas, responses to evidence requests, memoranda of interviews
conducted, statistical tables; and (3) other documents collected and/or
generated by the Office of Evaluations during the course of official
duties, including information in FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice, including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a) or when the Department of Justice or
outside counsel retained by FHFA-OIG is representing FHFA-OIG or any
FHFA-OIG employee in his or her official or individual capacity; or
when FHFA-OIG is a party to litigation or settlement negotiations or
has an interest in litigation or settlement negotiations being
conducted by the Department of Justice or outside counsel retained by
FHFA-OIG and FHFA-OIG has determined such information to be relevant
and necessary to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary to elicit
[[Page 13562]]
information or cooperation from the recipient for use in the
performance of an authorized activity relevant to an FHFA-OIG audit,
evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the evaluator, support staff,
subject of or witnesses to the evaluation, unique evaluation number, or
job code.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
[[Page 13563]]
HISTORY:
The original version of this SORN was published in the Federal
Register on November 1, 2013 (78 FR 65644).
FHFA-OIG-7
SYSTEM NAME AND NUMBER:
FHFA-OIG Freedom of Information Act (FOIA), Privacy Act (PA), and
FOIA/PA (FOPA) Records (FHFA- OIG-7).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Chief Counsel, Office of Inspector General, Federal Housing Finance
Agency, 400 7th Street SW, Washington, DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d), 5 U.S.C. App. 3, the Freedom of Information Act (5 U.S.C.
552), the Privacy Act of 1974 (5 U.S.C. 552a), and 12 CFR parts 1202
and 1204.
PURPOSE(S) OF THE SYSTEM:
The records are collected, used, maintained, and disseminated to
process FOIA, PA, and FOPA requests and administrative appeals and/or
administrative appeals of final determinations on such requests. The
records are also used to prepare reports to the Office of Management
and Budget, the Department of Justice, and Congress as required by the
FOIA or PA; to participate in litigation arising from FHFA-OIG's
decisions and determinations on FOIA, PA, and FOPA requests and
administrative appeals, and any other matters relating or pertaining to
FOIA, PA, or FOPA requests and/or administrative appeals of final
determinations on such requests.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have submitted requests for information pursuant to
the FOIA; individuals who have submitted requests for records about
themselves under the provisions of the PA; individuals who have
submitted a hybrid request for information under the FOIA and for
information about themselves under the PA (FOPA); attorneys or other
individuals authorized to represent and/or receive information on
behalf of a FOIA, PA, or FOPA requester or individual filing an
administrative appeal regarding such requests; individuals whose
requests, appeals or other records have been referred to FHFA-OIG by
other agencies; individuals who have been asked to consult as part of
the FOIA (b)(4) exemption process; individuals filing an administrative
appeal of a denial, in whole or part, of any such requests; individuals
filing a civil action in federal court of a denial, in whole or part,
of any such requests; employees of and detailees to the Office of
Counsel who process and/or respond to FOIA, PA, FOPA requests or
administrative appeals; and any other individual otherwise involved in
circumstances pertaining or relating to the processing of a FOIA, PA,
or FOPA request or administrative appeal.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records submitted, created, retrieved and/or compiled in response
to FOIA, PA, and FOPA requests and/or administrative appeals of final
determinations on such requests, including original requests and
administrative appeals; responses to requests and administrative
appeals including but not limited to acknowledgement letters, fee
estimations, waivers, and other fee issues, requests for expedited
review, verifications of identification, final determination letters,
and copies of responsive records; internal memoranda, analyses, notes,
and other records concerning the applicability of exemptions,
exceptions, or other issues concerning FOIA, PA, FOPA determinations;
emails or other correspondence between or among employees who process
and/or respond to FOIA, PA, and FOPA requests or administrative
appeals; emails or other correspondence between or among employees who
process and/or respond to FOIA, PA, and FOPA requests or administrative
appeals and other individuals associated with the FOIA, PA, and FOPA
process, including, but not limited to: Requesters, operational
division staff members, employees of referring agencies, individuals
with whom consultation is undertaken, representatives or attorneys;
memoranda to or from other federal agencies having a substantial
interest in the determination of the request; civil actions filed in
federal court of a denial, in whole or part, of any such requests; and
any other records submitted, created, retrieved and/or compiled during
the course of performing official duties relating or pertaining to
FOIA, PA, or FOPA requests and/or administrative appeals of final
determinations on such requests, including information contained FHFA-
OIG's other systems of records.
The records may contain personal information submitted, created,
retrieved and/or compiled in response to FOIA, PA, FOPA requests and/or
administrative appeals of a final determination on such requests
including, but not limited to: Names, property and email addresses,
phone numbers, loan information, tracking numbers, identity
verification information including birth places and dates, or other
personal identifying information supplied by individuals making FOIA,
PA, or FOPA requests. These records may contain inquiries and requests
regarding any of FHFA-OIG's other systems of records subject to the
FOIA and PA, and information about individuals from any of these other
systems may become part of this system of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, informants, and persons requesting agency records under the
FOIA and the Privacy Act. Records in this system may have originated in
other FHFA/FHFA-OIG systems of records and subsequently transferred to
this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, and foreign authorities
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license, when the information indicates a violation or potential
violation of law, whether civil, criminal, or regulatory in nature, and
whether arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto or is relevant to
the recipient entity's law enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
[[Page 13564]]
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a member of Congress or a member of his/her staff in
response to an inquiry made at the request of the individual who is the
subject of the record;
(4) To another Federal government agency having a substantial
interest in the determination of the request or for the purpose of
consulting with that agency as to the propriety of access or correction
of the record in order to complete the processing of requests;
(5) To the National Archives and Records Administration, Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(b), to review
administrative agency policies, procedures, and compliance with the
Freedom of Information Act, and to facilitate OGIS mediation services
to resolve disputes between persons making FOIA requests and
administrative agencies.
(6) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach and prevent, minimize, or remedy such
harm;
(7) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(8) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(9) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(10) To appropriate Federal agencies and other public authorities
for use in records management inspections; and
(11) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records in this SOR are retrieved by the requester's name,
representative's name, or by unique log number assigned to the request.
Records sometimes are retrieved by reference to the name of the
requester's firm or the representative's firm, if any, or the subject
matter of the request.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(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); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
FHFA-OIG was covered by FHFA's Freedom of Information Act and
Privacy Act Records (FHFA-13) which was published in the Federal
Register on June 8, 2011 (76 FR 33286).
Leonard DePasquale,
Chief Counsel.
[FR Doc. 2021-04796 Filed 3-8-21; 8:45 am]
BILLING CODE 8070-01-P