[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Secretary
Preliminary Statement
1. General Statement of Routine Uses.
Routine Use--Law Enforcement
In the event that a system of records maintained by this Department to
carry out its functions indicates a violation or potential violation
of law, whether civil, criminal or regulatory in nature, and whether
arising by general statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued pursuant
thereto.
Routine Use--Disclosure When Requesting Information
A record from a system of records maintained by this Department may be
disclosed as a routine use of a federal, state, or local agency
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if necessary
to obtain information relevant to a component decision concerning the
hiring or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance of a license,
grant or other benefit.
Routine Use--Disclosure or Requested Information
A record from a system of records maintained by this Department may be
disclosed to a federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
Routine Use--Disclosure to OMB
The information contained in a system of records will be disclosed to
the Office of Management and Budget in connection with review of
private relief legislation as set forth in OMB Circular No. A-19 at
any stage of the legislative coordination and clearance process as set
forth in that Circular, and for the purpose of evaluating the
Department's credit and debt collection activities to further the goal
of the President's Management Improvement Council.
Routine Use--Disclosure Pursuant to Congressional Inquiry
Disclosures may be made to a Congressional office from the record of
an individual in response to an inquiry from the Congressional office
made at the request of that individual.
TABLE OF CONTENTS
HUD/DEPT-1 Accidents, Employees and/or Government Vehicles.
HUD/DEPT-2 Accounting Records.
HUD/DEPT-4 Fee Inspectors, Appraisers, and Mortgage Credit Examiners.
HUD/DEPT-5 Architects and Engineers.
HUD/DEPT-9 Single-Family Casualty Damage Files.
HUD/DEPT-10 Construction Complaints Files.
HUD/DEPT-15 Equal Opportunity Housing Complaints.
HUD/DEPT-20 Homeownership Assistance and Recertification Application
(HARAS).
HUD/DEPT-22 Housing Counseling.
HUD/DEPT-23 Single-Family Research Files.
HUD/DEPT-24 Investigation Files.
HUD/DEPT-25 Legal Actions Files.
HUD/DEPT-28 Property Improvement and Manufactured (Mobile) Home
Loans--Default.
HUD/DEPT-29 Rehabilitation Grants and Loans Files.
HUD/DEPT-32 Mortgages--Delinquent/Default/Assigned/Temporary Mortgage
Assistance Payments (TMAP) Program.
HUD/DEPT-34 Pay and Leave Records of Employees.
HUD/DEPT-37 Personnel Travel System.
HUD/DEPT-42 Rent Subsidy Program Files.
HUD/DEPT-43 Property Disposition Files.
HUD/DEPT-44 Relocation Assistance Files.
HUD/DEPT-46 Single Family Case Files.
HUD/DEPT-51 Standards of Conduct Files.
HUD/DEPT-52 Privacy Act Requesters.
HUD/DEPT-53 Consumer Complaint Handling System.
HUD/DEPT-54 Parking Permit Application Files.
HUD/DEPT-56 Telephone Numbers of HUD Officials.
HUD/DEPT-58 HUD Child Care Center Files.
HUD/DEPT-62 Claims Collection Records.
HUD/DEPT-63 Secretary's Correspondence Control System.
HUD/DEPT-64 Congregate Housing Services Program Data Files.
HUD/DEPT-65 IDEAS Program Case Files.
HUD/DEPT-66 Grievance Records.
HUD/DEPT-67 Employee Counseling and Occupational Health Records.
HUD/DEPT-68 HUD Government Motor Vehicle Operators Records.
HUD/DEPT-69 Intergovernmental Personnel Act Assignment Records.
HUD/DEPT-71 Employee Identification File.
HUD/DEPT-72 Congressional Correspondence Files (Communication Control
System).
HUD/DEPT-73 Government Property on Personal Charge Files.
HUD/DEPT-74 Executive Emergency Cascade Alerting System.
HUD/DEPT-75 Priority Consideration/Special Reassignment Files.
HUD/DEPT-76 HUD Employee Locator File.
HUD/DEPT-77 Audit Planning and Operations System (APOS)
HUD/DEPT-80 Long Distance Telephone Call Detail System.
HUD/DEPT-81 Ethics Filings.
HUD/DEPT-82 ADP Security Clearance Information System.
HUD/CPD-1 Rehabilitation Loans-Delinquent/Default.
HUD/H-3 Single Family Housing Monitoring System (F-39).
HUD/H-5 Single Family Computerized Homes Underwriting Management
System(CHUMS)
HUD/H-6 Section 518 Files.
HUD/H-7 Previous Participation Files.
HUD/H-8 Property Rental Files.
HUD/H-9 Property Management Records.
HUD/H-11 Tenant Housing Assistance and Contract Verification Data.
HUD/H-12 Housing Compliance Files.
HUD/H-14 Interstate Land Sales Registration Files.
HUD/OIG-1 Investigative Files of the Office of Inspector General.
HUD/OIG-2 Hotline Complaint Files of the Office of Inspector General.
HUD/OIG-3 Name Indices System of the Office of Inspector General.
HUD/OIG-4 Independent Auditor Montiroing Files of the Office of
Inspector General.
HUD/PD&R-6 Real Estate Settlement Cost Research Files.
HUD/PD&R-7 Section 8 Program Research Data Files.
HUD/PD&R-8 Income Certification Evaluation Data Files.
HUD/PIH-1 Tenant Eligibility Verification Files.
HUD/DEPT-1
System name: Accidents, Employees and/or Government Vehicles.
System location: Most Department Offices, including the Headquarters
Office. For a complete listing of these officers, with addresses,
see Appendix A.
Categories of individuals covered by the system: HUD employees in on-
the-job accidents, including accidents involving official use of
motor vehicles.
Categories of records in the system: Details of how accidents occurred
and injuries were sustained; employees' absences due to injuries and
resultant claims; and property damage incurred.
Authority for maintenance of the system: Occupational Safety and Health
Act of 1970, Pub.L. 91-596.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses; the records are used by
the Department of Labor when personal injury occurs and/or
compensations is involved. GSA uses the records when accidents
involve motor vehicles and the repair of those vehicles.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders.
Retrievability: Subject name.
Safeguards: The systems records are kept in lockable file cabinets,
desks, and in locked rooms.
Retention and disposal: Procedural disposal follows: HUD Handbook
General Records Schedule.
System manager(s) and address: Director, Policy Evaluation and Special
Projects Division, Office of Administrative Services, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required contact the Privacy
Act Officer at the appropriate location. A list of all locations is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A, (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Record source categories: Subject individual and supervisor, Federal
Government agencies; law enforcement agencies; current or previous
employers; accident investigation officers.
HUD/DEPT-2
System name: Accounting Records.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
Categories of individuals covered by the system:
Mortgagors; mortgagees; grant/project and loan applicants and
recipients; HUD personnel; vendors; brokers; bidders; managers;
tenants; individuals within Disaster Assistance Programs: builders,
developers, contractors, and appraisers; individuals writing to the
Department; employees on HUD/FHA projects; investors; subjects of
audits; closing agents; former mortgagors and purchasers of HUD-owned
properties; manufactured (mobile) home and home improvement loan
debtors who are delinquent or in default on their loans; and,
rehabilitation loan debtors who are delinquent or in default on their
loans.
Categories of records in the system:
Lease and collection register; schedules of payments receivable and
received; premiums due; claims files and fee billing statements;
escrow and Certificates of Deposit files; cash flow and budget control
files; earnest money register; purchase order log; imprest fund; Field
managers' accounting records: Restitution, maintenance, and market
expresses; distributive shares records; salary; savings bonds; bills
of lading; vouchers; invoices; receipts; cancelled checks; mortgages,
builders' and contractors' financial statements, records and audit
reports; requests for termination for home mortgage insurance; deposit
and receipt records; detailed accounting reports concerning
diversified payments, disbursements, and cancelled checks; repurchases
of mortgages; adjustments from recoveries, manual adjustments, and
defaults; acquired home property records; sales closing papers;
statement of accounts; tax records; notes; records of claims and
chargeoffs; repayment agreements; credit reports; financial
statements; records of foreclosures; and, collection and field
reports.
Authority for maintenance of the system:
Sec. 113 of the Budget and Accounting Act of 1950 31 U.S.C. 66a. (Pub.
L. 81-784).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, other routine uses are as follows:
(a) To the U.S. Treasury--for disbursements and adjustments thereof.
(b) To the Internal Revenue Service--for reporting of sales
commissions and for reporting of discharge indebtedness;
(c) To the General Accounting Office, General Service Administration,
Department of Labor, Labor housing authorities, and taxing
authorities--for audit, accounting and financial reference purposes.
(d) To mortgage lenders--for accounting and financial reference
purposes, for verifying information provided by new loan applicants
and evaluating creditworthiness.
(e) To HUD contractors--for debt and/or mortgage note servicing.
(f) To financial institutions that originated or serviced loans--to
give notice of disposition of claims.
(g) To title insurance companies--for payment of liens.
(h) To local recording offices--for filing assignments of legal
documents, satisfactions, etc.
(i) To the Defense Manpower Data Center (DMDC) of the Department of
Defense and the U.S. Postal Service to conduct computer matching
programs for the purpose of identifying and locating individuals who
are receiving Federal salaries or benefit payments and are delinquent
in their repayment of debts owed to the U.S. Government under certain
programs administered by HUD in order to collect the debts under the
provisions of the Debt Collection Act of 1982 (Pub. L. 97-365) by
voluntary repayment, or by administrative or salary offset procedures.
(j) To any other Federal agency for the purpose of effecting
administrative or salary offset procedures against a person employed
by that agency or receiving or eligible to receive some benefit
payments from the agency when HUD as a creditor has a claim against
that person.
(k) With other agencies; such as, Departments of Agriculture,
Education, Justice and Veteran Affairs, and the Small Business
Administration--for use of HUD's Credit Alert Interactive Voice
Response System (CAIVRS) to prescreen applicants for loans or loans
guaranteed by the Federal Government to ascertain if the applicant is
delinquent in paying a debt owed to or insured by the Government.
(l) To the Internal Revenue Service by computer matching to obtain the
mailing address of a taxpayer for the purpose of locating such
taxpayer to collect or to compromise a Federal claim by HUD against
the taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in accordance with
31 U.S.C. 3711, 3217, and 3718.
(m) To a credit reporting agency for the purpose of either adding to a
credit history file or obtaining a credit history file on an
individual for use in the administration of debt collection.
(n) To the U.S. General Accounting Office (GAO), Department of
Justice, United States Attorney, or other Federal agencies for further
collection action on any delinquent account when circumstances
warrant.
(o) To a debt collection agency for the purpose of collection services
to recover monies owed to the U.S. Government under certain programs
or services administered by HUD.
(p) To any other Federal agency including, but not limited to, the
Internal Revenue Service (IRS) pursuant to 31 U.S.C. 3720A, for the
purpose of effecting an administrative offset against the debtor for a
delinquent debt owed to the U.S. Government by the debtor.
(q) To the Resolution Trust Corporation--to prescreen potential
contractors for bad debts prior to acquiring their services.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made from the record system to
consumer reporting agencies as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966,
31 U.S.C. 3701(a)(3)). The disclosure is limited to information
necessary to establish the identity of the individual, including name,
address and taxpayer identification number (Social Security Number);
the amount, status, and history of the claim, and the agency or
program under which the claim arose for the sole purpose of allowing
the consumer reporting agency to prepare a credit report.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Desks: Safes; locked filing cabinets; central files; book cases;
ledger trays and binders; tables; magnetic tape/disc/drum.
Retrievability:
By Social Security number; name; case file number; schedule number;
audit number; control number; receipt number; voucher number; contract
number; address.
Safeguards:
Security checks, limited authorizations and access, security guards;
computer records are maintained in secure areas with access limited to
authorized personnel and technical restraints employed with regard to
accessing the records; access to automated systems by authorized users
by passwords and code identification cards.
Retention and disposal:
GSA schedules of retention and disposal; destruction after six months;
transfer to either a Federal Records Center or Archives.
System manager(s) and address:
Director, Office of Finance and Accounting, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
Notification procedure:
For information assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rule for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Department Privacy Appeals Officer, Office
of General Counsel, Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
Record source categories:
Subject individuals; other individuals; current or previous employers;
credit bureaus; financial institutions; private corporations or firms
doing business with HUD; Federal and non-federal governmental
agencies; HUD personnel.
HUD/DEPT-4
System name: Fee Inspectors, Appraisers, and Mortgage Credit
Examiners.
System location: Field offices; for a complete listing of these
offices, with addresses, see appendix A.
Categories of individuals covered by the system: Individuals who have
applied to HUD for appointment as fee appraisers, inspectors, and
mortgage credit examiners.
Categories of records in the system: Applications and resumes
containing personal data and qualifications for position sought;
assignment logs, fees paid and appraisals made; and evaluation of
qualifications and of appraisals made.
Authority for maintenance of the system: Sections 203 and 226 of the
National Housing Act, Pub. L. 73-479.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: To fee appraisers--for
voucher preparation; to VA, mortgagors, mortgagees--notice of FHA
action, billing; to local government officials--for code
enforcement, health and wetlands clearance; to Environmental
Protection Agency--for environmental clearance; to Social Security
Administration--for research.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders and 5 x 8 file cards.
Retrievability: Name; case file number (in some cases).
Safeguards: Lockable file cabinets and desks.
Retention and disposal: Primarily active information; also mixed
historical and active. Social Security appraisals are historical
data. Disposal in accordance with HUD Handbook.
System manager(s) and address: Director, Single Family Development
Division, HSSI, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For inquiry about existence of records, contact
the Privacy Officer at the appropriate location, in accordance with
procedures in 24 CFR part 16. If additional information or
assistance is required, contact the Privacy Officer at the
appropriate location. A list of all locations is given in appendix
A.
Record access procedures: The Department's rules for providing access
to records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate locations. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Subject individuals; references; and HUD
staff.
HUD/DEPT-5
System name: Architects and Engineers.
System location: Headquarters and field offices. For a complete listing
of these offices, with addresses, see appendix A.
Categories of individuals covered by the system: Certified architects
and engineers dealing with HUD, both directly and on a consultant
basis.
Categories of records in the system: Applications containing personal
data and qualifications for position sought and assignment logs and
fees paid.
Authority for maintenance of the system: National Housing Act, as
amended, 12 U.S.C. 1702 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses Paragraph
of prefatory statement. Other routine uses: To General Accounting
Office--investigation and annual audit; to the U.S Forest Service,
Bureau of Indian Affairs, Corps of Engineers, HHS, and Farmers Home
Administration for reference and information; to builders and other
individuals dealing with HUD--for planning and specifications
review.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders.
Retrievability: Subject name.
Safeguards: Files are kept in file cabinets, in desks and on shelves.
Access is limited by locks, by security checks, or by authorized
individuals.
Retention and disposal: Most files are kept active and up-to-date. Some
files are partly current and partly historical. Files are destroyed
per regulation or stored at a federal records center one year after
last date of commitment.
System manager(s) and address: Director, Single Family Development
Division, HSSI, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Subject individuals and references.
HUD/DEPT-9
System name: Single-Family Casualty Damage Files.
System location: Field offices; for a complete listing of these offices,
with addresses, see appendix A.
Categories of individuals covered by the system: Mortgagors under HUD
single-family insurance programs filing claims for repairs due to
casualty damage on their insured homes.
Categories of records in the system: Inspection reports of repaired
property; certifications of casualty damages/repairs; records of
repairs made and their costs; and related correspondence.
Authority for maintenance of the system: Section 104(a), 105(a) Housing
Act of 1964, (Pub. L. 88-560), 12 U.S.C. 1710, 1710(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: To Veterans'
Administration for information on veterans' participation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders.
Retrievability: Name; case file.
Safeguards: Stored in lockable file cabinets.
Retention and disposal: Primarily active information, some mixed
historical and active. Disposed of in accordance with HUD Handbook.
System manager(s) and address: Director, Single Family Loan Servicing
Division, HSSI, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of locations
is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 4 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given an
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
Record source categories: Mortgagors, mortgagees; inspectors; and
contractors.
HUD/DEPT-10
System name: Construction Complaints Files.
System location: Field Offices; for a complete listing of these offices,
with addresses, see appendix A.
Categories of individuals covered by the system: Mortgagors of insured
single-family homes who have filed construction complaints with HUD.
Categories of records in the system: Complaints regarding construction
and defects; inspection reports; records of complaint status and
disposition; compliance reports; related correspondence.
Authority for maintenance of the system: National Housing Act, as
amended, 12 U.S.C. 1702 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: To the person or firm
complained about--for resolution of the complaint; to IRS--for
investigation; to Farmers Home Administration, Veterans
Administration; Better Business Bureau and local agencies--for
notice of restriction of builders; to state agencies--for
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders.
Retrievability: Name of subject individual; case file number, property
location.
Safeguards: Records filed in lockable file cabinets with access limited
to authorized personnel.
Retention and disposal: Records are partly current and partly
historical; disposal is in accordance with HUD Handbook.
System manager(s) and address: Director, Single Family Development
Division, HSSI, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Subjects and other individuals, builders and
contractors and their current and previous employees, credit bureaus
and financial institutions; federal and non-federal agencies.
HUD/DEPT-15
System name: Equal Opportunity Housing Complaints.
System location:
Housing discrimination files are located at the office where
originated and may also be transferred to associated area and/or
regional offices, or the Headquarters Office. Additionally, closed
files from this system may be temporarily located in a HUD
contractor's office during a period of program evaluation. For a
listing of HUD's offices with addresses see Appendix A.
Categories of individuals covered by the system:
Individuals filing housing discrimination complaints. Does not include
files on HUD employee complaints regarding their employment. Notices
regarding these inquiries under the Privacy Act are published by the
U.S. Civil Service Commission.
Categories of records in the system:
Allegations of housing discrimination; names of complainant and
persons or organizations complained about; investigation information;
details of discrimination cases; compliance reviews; complaints under
Titles VI, VIII and IX; conciliation files; correspondence;
affidavits; complaints status reports. In mortgage discrimination
cases, records include mortgage applications, credit reports and
verification of income, employment and bank deposits.
Authority for maintenance of the system:
Title VIII of the Civil Rights Act of 1978, sec. 810(a); 42 U.S.C
3610(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: To state and local government EO concerned agencies, the U.S.
Department of Justice (including the FBI), the U.S. Department of
Labor (including the Office of Federal Contract Compliance), U.S.
Courts, the Veterans Administration, the Farmers Home Administration,
complainants, respondents and attorneys--for investigation, preparing
litigation, and monitoring compliance, to HUD contractor--for program
evaluation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records kept in lockable desks and file cabinets and magnetic tape/
disc/ drum.
Retrievability:
Usually retrievable by name of complainant and, in some instances, by
case file number.
Safeguards:
Manual records are stored in lockable file cabinets; computer
facilities are secured and accessible only by authorized personnel,
and all files are stored in a secured area. Technical restraints are
employed with regard to accessing the computer and data files.
Retention and disposal:
HUD handbooks establish procedures for retention and disposition of
records. Generally retained for two years, then transferred to Federal
Records Centers for an additional five years.
System manager(s) and address:
Director, Office of Fair Housing Enforcement and Section 3 Compliance,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appears in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject and other individuals, Federal and non-federal government
agencies, law enforcement agencies, credit bureaus, financial
institutions, current and previous employers, corporations or firms,
EO counselors and witnesses.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), all investigatory material, including
conciliation files, in records contained in this system which meet the
criteria of these sub-sections is exempted from the notice, access,
and contest requirements (under 5 U.S.C. 552a (c)(3), (d), (e)(1),
(e)(4), (G), (H), and (I), and (f) of the agency regulations in order
for the Department's Fair Housing and Equal Opportunity and legal
staffs to perform their functions properly.
HUD/DEPT-20
System name: Homeownership Assistance and Recertifications
Application (HARAS).
System location: Headquarters.
Categories of individuals covered by the system: Participants in Section
235 Homeownership Assistance Program.
Categories of records in the system: Historical profile of participant
group.
Authority for maintenance of the system: National Housing Act of 1934 ,
Sec. 235(a)(f) (as amended by Sec. 101 of the Housing and Urban
Development Act of 1968), 12 U.S.C. 1715z.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
of prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Magnetic tape/disc/drum.
Retrievability: Case file number.
Safeguards: Computer Facilities are secured and accessible only by
authorized personnel, and all files are stored in a secured area.
Technical restraints are employed with regard to accessing the
computer and data files.
Retention and disposal: Records system is active and kept up-to-date.
System manager(s) and address: Director, Single Family Loan Servicing
Division, HSSL, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned, appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at Headquarters. This location is given in
appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
Record source categories: Applications; recertifications; Single-family
Statistical Reporting System.
HUD/DEPT-22
System name: Housing Counseling.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A. In addition to these offices,
HUD-approved counseling agencies in many cities, both voluntary and
paid by the Department, maintain files of this type. To determine
whether such an agency exists in a particular city, contact the
nearest HUD field office shown in appendix A.
Categories of individuals covered by the system:
This system contains records of individuals who have been referred but
not counseled; individuals who have been or are receiving counseling
and assistance with housing problems and related family and financial
problems, as well as individuals seeking general and consumer
information.
Categories of records in the system:
This system contains records of dates of counseling, summaries of aid
furnished the individual being counseled, correspondence with or on
behalf of the individual being counseled, standard forms, letters and
reports, purchase and financial data, medical history, employment
information and problems, family composition, referral information and
specific family and/or individual problems.
Authority for maintenance of the system:
Section 106(a) of the 1968 Housing Act; 12 U.S.C. 1701x.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: to HUD-approved counseling agency staff for the purpose of
providing supportive counseling services to meet the short and long
term needs of the individual being counseled. Financial institutions
servicing HUD insured or assisted loans; local housing authorities;
rental agents and managers; real estate brokers, agents and creditors
have access only to current financial, employment and family
composition data regarding persons currently being counseled. Data
available to these institutions and individuals in such circumstances
is limited to: Savings/checking/credit union account records,
commercial credit reports, and credit account records with utility
companies, retail stores, and other commercial credit sources;
specific employment information concerning name and address of
employer, length of service, and salary; and family composition data
through the authorized counseling agency or HUD staff. Community
service agencies to which the individual being counseled is referred
for additional supportive services have limited access to information
appropriate to the reason for referral only through authorized
counseling agency staff.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in paper files which are kept in standard
lockable file cabinets and desks.
Retrievability:
Records are retrievable by name, case number, or property address.
Safeguards:
During the counseling process and the retention period, records are
maintained in confidential files with access limited to those whose
official duties require access.
Retention and disposal:
Counseling records are maintained by the counseling agency for as long
as the individual being counseled participates in the program and up
to five (5) years thereafter. The Department may maintain summary
records of the counseling for as long as the individual being
counseled lives in HUD-insured or assisted property.
System manager(s) and address:
Director, Single Family Loan Servicing Division, HSSL
Department of Housing and Urban Development
451 Seventh Street, SW
Washington, DC 20410
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officers,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
Information in this system of records is: (1) Supplied directly by the
individual, and/or (2) supplied by a member of the individual's
family, and/or (3) supplied by mortgages, employers (past and
present), creditors and credit reports, landlords (both public and
private) and/or (4) supplied by sources to whom the individual being
counseled has been referred, or has gone to for assistance, and/or (5)
derived from information supplied by the individual, and/or (6)
supplied by Department officials and/or (7) supplied by program
counselors
HUD/DEPT-23
System name: Single-Family Research Files.
System location: Headquarters Office.
Categories of individuals covered by the system: Single-family
mortgagors.
Categories of records in the system: Sample of single-family home cases
for most recent five-year period.
Authority for maintenance of the system: National Housing Act of 1934
(Pub.L. 73-479), Sec. 209.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Magnetic tape/disc/drum.
Retrievability: Name; case file number; property address.
Safeguards: Computer facilities are secured and accessible only by
authorized personnel, and all files are stored in a secured area.
Technical restraints are employed with regard to accessing the
computer and data files.
Retention and disposal: Records system is active and kept up-to-date.
System manager(s) and address: Chief, Single Family Insured Branch,
Management Information Systems Division, HAI, Department of Housing
and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at Headquarters. This location is given in
appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Record source categories: Subject individuals; financial institutions;
federal government agencies.
HUD/DEPT-24
System name: Investigation Files.
System location:
Headquarters.
Categories of individuals covered by the system:
HUD program participants and HUD employees involved in matters under
Office of Inspector General cognizance, and HUD investigators.
Categories of records in the system:
Manual Files contain information concerning investigation of alleged
irregularities in connection with HUD programs and include initial
complaints filed against subject alleging violations, reports of
investigation, findings of HUD officials, and recommendations and
dispositions to be made. Manual and automated files contain case file
number, status and disposition, investigator name and number, and
staff hour usage.
Authority for maintenance of the system:
Inspector General Act of 1978, Pub. L. 95-452.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Use paragraphs in prefatory statement. Other routine uses:
To Department of Labor--for investigative research; as a data source
for management information for production of summary descriptive
statistics and analytical studies in support of the function for which
the records are collected and maintained; or for related personnel
management functions or manpower studies. Files may also be used to
respond to general request for statistical information (without
personal identification of individuals) under the Freedom of
Information Act, or to locate specific individuals for personnel
research or other personnel management functions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders. The automated portion of the system is
stored on magnetic tape/disc/drum.
Retrievability:
Manual records can be retrieved by name, investigation file number,
case number; manual records containing investigator time accounting
information can be retrieved by investigator name and investigator
number. Information in automated records can be retrieved by case file
number, investigator name, investigator number, and subject name.
Safeguards:
Manual Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises with access limited to those
persons whose official duties require access. Computer terminals are
secured in controlled areas which are locked when unoccupied. Access
to automated files is limited to authorized personnel who must use a
password system to gain access.
Retention and disposal:
Records are primarily active; however, records are destroyed in
conformance with Records Schedule 28 (Investigation Records), Appendix
28, HUD Handbook 2225.6.
System manager(s) and address:
Director, Administrative Support Staff, Office of the Inspector
General, Department of Housing and Urban Development, 451 Seventh
Street, SW., Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is needed, contact the Privacy Act Officer
at the Headquarters location. This location is given in appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials by the individual concerned appear in 24 CFR
part 16. If additional information or assistance is needed, it may be
obtained by contacting (i) in relation to contesting contents of
records, the Privacy Act Officer at the Headquarters location, which
is given in appendix A; (ii) in relation to appeals of initial
denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals; other individuals; current or previous employers;
credit bureau; financial institutions; corporations or firms; law
enforcement agencies.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory material
in the record which meets the criteria of these sub-sections is
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(c)(3), (d),(e)(1), (e)(4)(G), (H), and (I) and (f) of the
agency regulations in order for the Department's legal staff to
perform its function properly.
HUD/DEPT-25
System name: Legal Actions Files.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
Categories of individuals covered by the system:
Litigants; potential and past claimants against the government.
Categories of records in the system:
Threatened, pending and past litigation involving HUD as a party;
summons; writs; indictments; pleadings; decisions; legal memoranda;
litigation reports; deposition; deficiencies on court judgments;
notices of levy; settlement negotiations; legal rulings; claims
against the government; employee claims.
Authority for maintenance of the system:
42 U.S.C 3533; 42 U.S.C. 3535.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: To Justice Department--information for purposes of litigation,
and representation of HUD before the courts and performance of all
legal work incident thereto; to HHS--for investigation and litigation;
to IRS--for investigation, litigation and collection of levies; to
Local Housing Authorities--for investigation and litigation; to local
governments--for investigation and litigation; to parties to
litigation--to provide status and facts in litigations; to private
individuals and corporations--to assist co-defendants or to provide
documents and information as required by the Federal Rules or Civil
Procedure; various uses under the Freedom of Information Act; to other
Federal agencies for the purpose of collecting debts owed to the
Federal Government by administrative or salary offset.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 1681a(f) or the Federal
Claims Collection Act of 1966 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file cabinets.
Retrievability:
Name, case names; case numbers assigned by courts.
Safeguards:
Records maintained in locked and lockable metal file cabinets with
access limited to authorized personnel.
Retention and disposal:
Files are partly active and partly historical; disposal in accordance
with HUD Handbook.
System manager(s) and address:
Director, Administrative Services Staff, Office of General Counsel,
GA, Department of Housing and Urban Development, 451 Seventh Street,
SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individuals concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by containing: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in Appendix A; (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals; other individuals; current or previous employers;
financial institutions; firms and corporations; Federal government
agencies; non-Federal government agencies; and Federal, state, and
local courts.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), all investigatory material
in the record which meets the criteria of these subsections is
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the
agency regulations in order for the Department's legal staff to
perform its functions properly.
HUD/DEPT-28
System name: Property Improvement and Manufactured (Mobile) Home
Loans--Default.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
Categories of individuals covered by the system:
Manufactured (mobile) home and home improvement loan debtors who are
delinquent or in default on their loans.
Categories of records in the system:
Names, credit applications, Social Security Number where available,
case histories of borrowers; records of payment; financing statements;
notes; mortgages and other evidences of indebtedness; delinquent and
defaulted loan records and account cards; collection and field
reports; records of claims and chargeoffs; creditor requests for
collection assistance; justifications for closing collection action;
related correspondence and documents.
Authority for maintenance of the system:
Title I, Sec. 2, National Housing Act, 12 U.S.C. 1703; Federal Claims
Collection Act of 1966 (Sec. 1, Pub. L 89-506).
Routine uses of records maintained in the system, including categories
users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a (b) of the Privacy Act, other routine uses are as follows:
(a) To the Department of Justice for prosecution of fraud in the
course of claims collection efforts and for the institution of suit or
other proceedings to effect collection of claims;
(b) To the FBI to investigate possible fraud revealed in the course of
claims collection efforts.
(c) General Accounting Office--for audit purposes.
(d) Private employers and Federal agencies to facilitate collection of
claims against employees.
(e) Office of Personnel Management--for offsetting retirement
payments.
(f) Consumer reporting and commercial credit agencies--to facilitate
claims collection consistent with Federal Claims Collection Standards,
4 CFR 102.4.
(g) To financial institutions that originated or serviced loans to
give notice of disposition of claims.
(h) To title insurance companies for payment of liens.
(i) To local recording offices for filing assignments of legal
documents, satisfactions, etc.
(j) To bankruptcy courts for filing of proofs of claim.
(k) To HUD contractors for debt servicing.
(l) To state motor vehicle agencies and Internal Revenue Service to
obtain current addresses of debtors.
(m) To prospective purchasers--for sale of mortgages, loans or
insurance premiums or charges.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1698a(f) or the
Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and on magnetic tape/disc/drum.
Retrievability:
Claim number, name or other identification number.
Safeguards:
Manual files are kept in lockable cabinets or rooms; automated records
are maintained in secured areas. Access to either type of record is
limited to authorized personnel.
Retention and disposal:
Files are partly active and partly historical and are disposed of in
accordance with HUD Handbook 2225.6, Records Disposition Management:
HUD Records Schedules.
System manager(s) and address:
Director, Office of Title I Insured Loans, HSI, Department of Housing
and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Deparetment's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials by the individual concerned appear in 24 CFR
part 16. If additional information or assistance is needed, in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
Subject individual; current and previous employers; credit bureaus;
financial institutions; business firms; federal and non-federal
agencies; law enforcement agencies; title companies and abstractors;
bankruptcy courts.
HUD/DEPT-29
System name: Rehabilitation Grants and Loans Files.
System location:
Field offices; for a complete listing of these offices, with
addresses, see appendix A.
Categories of individuals covered by the system:
Applicants who have applied for rehabilitation grants and loans.
Categories of records in the system:
Names of borrowers, builders, dealers and contractors; loan and grant
applications and eligibility information; loan and grant documents;
payment records; registration records; collection records; complaint
records; related correspondence.
Authority for maintenance of the system:
Section 312, Housing Act of 1964, as amended (Pub. L. 88-560), 42
U.S.C. 1452(b).
Routine use of records maintained in the system, including categories of
users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, other routine uses are as follows:
(a) To local agencies for monitoring and carrying out the program.
(b) To financial institutions--for providing supplemental
rehabilitation funds.
(c) To credit reporting agencies, employers, financial institutions,
and retail consumer credit grantors--for verification of employment
and financial status.
(d) To Federal National Mortgage Association and loan servicers--for
loan servicing.
(e) To Internal Revenue Service--for reporting of discharged
indebtedness.
(f) To prospective purchasers--for sale of mortgages, loans or
insurance premiums or charges.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders and/or on magnetic tape/disc/drum.
Retrievability:
By name, property address and case file number of individual covered.
Safeguards:
Records stored in lockable file cabinets and technical restraints are
employed with regard to accessing computer files.
Retention and disposal:
Records are primarily active with some historical information;
disposal is in accordance with HUD Handbook.
System manager(s) and address:
Director, Rehabilitation Management Division, Office of Urban
Rehabilitation and Community Reinvestment, Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in Appendix A. (ii) In relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
Financial institutions; subject and other individuals; federal and
non-federal agencies; firms, current and previous employers; law
enforcement agencies; credit reporting agencies.
HUD/DEPT-32
System name: Delinquent/Default/Assigned/Temporary Mortgage
Assistance Payments (TMAP) Progam.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses see appendix A. Office of HUD TMAP contractor
will maintain some records on TMAP cases.
Categories of individuals covered by the system:
Mortgagors with HUD/FHA insured single-family mortgages that are
delinquent or in default; mortgagors seeking assistance of prevent
foreclosures; and mortgagors whose mortgages are held by HUD.
Categories of records in the system:
Notices of delinquent mortgages; requests for forebearance or
assignment; forebearances or assignment reviews include date on
mortgage amount and payments made, employment and income, financial
institution names and routing numbers, mortgagor's account number,
debts and expenses, reasons for delinquency, recommendations and
actions on requests; credit reports; forebearance agreements; deeds of
trust; and related correspondence.
Authority for maintenance of the system:
Sec. 114(a), Housing Act of 1959, (Pub. L. 86-372), 12 U.S.C. 1702 et
seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, other routine uses are as follows:
(a) To FHA--for insurance investigations.
(b) To the Internal Revenue Service and the General Accounting Office
for investigations.
(c) To state banking agencies to aid in processing mortgagor
complaints.
(d) To mortgagees--to verify information provided by new loan
applicants and to evaluate credit worthiness.
(e) To counseling agencies for counseling.
(f) To Legal Aid--to assist mortgagors.
(g) To HUD TMAP contractor for processing TMAP.
(h) To other Federal agencies for the purposes of collecting debts
owed to the Federal Government by administrative or salary offset.
(i) To prospective purchasers--for sale of mortgages, loans or
insurance premiums or charges.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Reporting Act (15 U.S.C. 1681a(f) or the Federal
Claims Collection Act of 1966 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders and on magnetic tapes, drums, and discs.
Retrievability:
Name; case file number, property address.
Safeguards:
Records maintained in desks and lockable file cabinets; access to
automated systems is by passwords and code identification cards access
limited to authorized personnel.
Retention and disposal:
Obsolete records destroyed or shipped to Federal Records Center in
compliance with HUD Handbook.
System manager(s) and address:
Director, Single Family Servicing Division, HSSI, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC
20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16, If additional
information or assistance is required contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
Subject individual; other individuals; current or previous employers;
credit bureaus; financial institutions; other corporations or firms;
Federal Government agencies; non-federal government (including
foreign, state and local) agencies; law enforcement agencies.
HUD/DEPT-34
System name: Pay and Leave Records of Employees.
System location:
All Department offices and the Department of Agriculture's National
Finance Center. For a complete listing of Department offices, with
addresses, see appendix A. The address of the National Finance Center
is PO Box 60000, New Orleans, LA 70160.
Categories of individuals covered by the system:
Current and separated HUD employees.
Categories of records in the system:
Name, Social Security Number and employee number, grade, step, and
salary; organization, retirement or FICA data as applicable; Federal,
state, and local tax deductions; regular and optional Government life
insurance deduction(s), health insurance deduction and plan or code;
Thrift Savings Plan participation and contribution; cash award data;
jury duty data; military leave data; pay differentials; union dues
deduction; allotments by type and amount; financial institution code
and employee account number; leave status and data of all types
(including annual, compensatory, jury duty, maternity, military,
retirement disability, sick, transferred, and without pay); time and
attendance records, including sign in/sign out sheets and related
documentation; leave applications and reports; individual daily time
reports; adjustments to time and attendance; overtime reports,
supporting data, such as medical certificates; number of regular,
overtime, holiday, Sunday, and other hours worked; pay period number
and ending dates; cost of living allowances; mailing address; co-owner
and/or beneficiary of bonds; marital status and number of dependents;
``Notification of Personnel Actions,'' Congressional requests or
inquiries on the pay/leave problems of employees; court orders;
personnel/payroll data requests; information about the problem
received from the employee, an Administrative Office, or from a
personnel employee, including supporting documentation; written
correspondence pertaining to pay/leave problems; and related
information or documentation.
Authority for maintenance of the system:
Section 7(d), Department of Housing and Urban Development Act, 42
U.S.C. 3535(d).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other Routine
Uses: Transmittal of data to U.S. Treasury to effect issuance of
paychecks to employees and distribution of pay according to employee
directions for savings bonds, allotments, financial institutions, and
other authorized purposes. Annual reporting of W-2 statements to
Internal Revenue Service, Social Security Administration, the
individual, and taxing authorities of the States, the District of
Columbia, territories, possessions, and local governments, except
Social Security Numbers shall be reported only to such authorities
that have satisfied the requirements set forth in section 7(a)(2)(B)
of the Privacy Act of 1974. To the Office of Personnel Management
concerning pay, benefits, retirement deductions, and other information
necessary for the office to carry on its Governmentwide personnel
functions; to other Federal agencies to facilitate employee transfers;
to the Department of Labor to process workers compensation injury
claims; to other Federal agencies for the purpose of collecting debts
owed to the Federal Government by administrative or salary offset; to
the Federal Retirement Thrift Investment Board to administer the
Thrift Savings Plan; to the Department of Agriculture's National
Finance Center for payroll/personnel action, receipt account, time and
attendance, and administrative overpayment processing; to the
Department of Agriculture, Office of Inspector General, for audits of
the payroll personnel system; to Federal, State, and local agencies to
assist in the enforcement of child and spousal support obligations; to
State governments, the District of Columbia, the Commonwealth of
Puerto Rico, and the Virgin Islands to assist in processing
unemployment claims under the Unemployment Compensation for Federal
Employees Program.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15. U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual, machine-readable, and magnetic media.
Retrievability:
Name of employee, Social Security Number.
Safeguards:
Physical, technical, and administrative security is maintained with
all storage equipment and/or rooms locked when not in use. Admittance,
when open, is restricted to authorized personnel only. All payroll
personnel, computer operators, programmers, and other staff are
instructed and cautioned on the confidentiality of the records. Manual
files are kept in lockable desks, file cabinets, and safes.
Retention and disposal:
Retained on site until after GAO audit, then disposed of or
transferred to Federal Records Storage Centers in accordance with
fiscal records program approval by GAO, as appropriate, or General
Record Schedules of the General Services Administration. Generally,
records on employee pay/leave problems are retained in the operating
office for three years after a decision has been made on the problem.
For payroll related records, the retention schedule is the same as
that for employee pay and leave records. In offices not actually
processing the pay/leave problem resolution, problem pay/leave records
are retained for six months after a decision has been made on the
problem, and then may be disposed of.
System manager(s) and address:
Director, Personnel Systems and Payroll Division, Office of Personnel
and Training, Department of Housing and Urban Development, 451 Seventh
Street, Southwest, Washington, DC 20410.
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at the appropriate location,
in accordance with procedures in 24 CFR part 16. A list of all
locations is given in appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contracting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location (a list
of all locations is given in appendix A) and (ii) in relation to
appeals of initial denials, the Department of Housing and Urban
Development Departmental Privacy Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, Southwest, Washington, DC 20410.
Record source categories:
Subject individuals; supervisors; timekeepers; official personnel
records; previous employers; or other Federal Government agencies;
Headquarters or Regional Office personnel responsible for solving pay/
leave/time problems; National Finance Center personnel responsible for
solving pay/leave/time problems; Field Office personnel who have
information about pay/leave problems, banks, other financial
institutions, and courts.
HUD/DEPT-37
System name: Personnel Travel System.
System location:
All Department offices maintain employee travel records. For a
complete listing of offices, with addresses, see appendix A.
Categories of individuals covered by the system:
HUD personnel.
Categories of records in the system:
All travel records, including vouchers, requests, advances, receipts
for requests, orders.
Authority for maintenance of the system:
Section 7(d) of the Department of Housing and Urban Development Act of
1965, Pub. L. 89-174; Budget and Accounting Act of 1950, 31 U.S.C.
66a.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: To Treasury--for payment of vouchers; vouchers and receipts are
available to GAO and GSA for audit purposes and vouchers are verified
by private transporters; to other Federal agencies for the purpose of
collecting debts owed to the Federal Government by administrative or
salary offset.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders and on magnetic tape/disc/drum.
Retrievability:
Almost always retrievable by name, occasionally by Social Security
number.
Safeguards:
Lockable desks or file cabinets; computer records are maintained in
secure areas with access limited to authorized personnel and technical
restraints employed with regard to accessing the records.
Retention and disposal:
Records are active and kept up-to-date. Files purged in accordance
with HUD Handbook.
System manager(s) and address:
Director, Office of Finance and Accounting, Department of Housing and
Urban Development, 451 Seventh Street SW, Washington, DC 20410.
For Transportation Requests: Director, Office of Administrative
Services, Department of Housing and Urban Development, 451 Seventh
Street SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appeared in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
record, the Privacy Act Officer at the appropriate location. A list of
all locations is given in appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer, Office
of General Counsel, Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
Record source categories:
Subject individual and supervisors.
HUD/DEPT-42
System name: Rent Subsidy Program Files.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
Categories of individuals covered by the system:
Low-rent housing applicants and recipients under Section 236 and Rent
Supplement and Section 221(d)(3) BMIR programs.
Categories of records in the system:
Applications for rent subsidy and recertifications include name,
address, telephone number, race, household composition, employment
data, detailed financial information, monthly rent payment and
supplement calculations. HUD review and certification, description of
rental unit participant will occupy; subsidized tenant move-out
records; verification of employment, income and bank deposits, credit
bureau reports; and related correspondence.
Authority for maintenance of the system:
Sec. 201 of the Housing and Community Development Amendments of 1978,
(12 U.S.C. 1715z-1a), Sec. 101 of the Housing Act of 1965 (12 U.S.C.
1701s), and Section 101(11) of the Housing Act of 1961, (12 U.S.C.
171SL).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: to General Accounting Office--for purposes of audit: To IRS--for
investigation; to local and state housing authorities--for reference
purposes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In files, folders and on magnetic tape/disc/drum.
Retrievability:
Name; case file number.
Safeguards:
Limited access; lock file cabinets; security checks and limited
authorization to secured computer facilities.
Retention and disposal:
Files are active and kept up-to-date; partly current and partly
historical. Files are either sent to GSA Federal Record Center for
storage or disposed of in accordance with HUD Handbook.
System manager(s) and address:
Director, Program Planning Division, HMHO, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contacting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individual; other individuals; current or previous employers;
credit bureaus; financial institutions; other corporations or firms;
federal government agencies; non-federal government agencies; project
and project managers.
HUD/DEPT-43
System name: Property Disposition Files.
System location: Headquarters and field offices. For a complete listing
of these offices, with addresses, see appendix A.
Categories of individuals covered by the system: Mortgagors with HUD/FHA
insured single-family homes who have had their mortgages foreclosed
and properties acquired by HUD; individuals who have had their
properties acquired by the Department of Defense and transferred to
HUD; single-family mortgagors who defaulted on Section 312 loans and
had their properties acquired by HUD; and potential buyers of HUD-
held single-family properties.
Categories of records in the system: Documents pertaining to acquisition
of foreclosed HUD/FHA insured single-family homes and single-family
homes transferred from the Department of Defense. The documents
include names, addresses, loan amounts and payments, and reasons for
default; leases and rental information if properties are rented;
purchasers' family characteristics, income and employment histories,
credit reports, sales contracts, and settlement costs; and related
correspondence.
Authority for maintenance of the system: National Housing Act of 1937 as
amended (Pub.L. 75-412).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: To IRS--for auditing
income tax returns; to insurance companies--to file claims for
amounts due; to mortgagees--to review the credit of prospective
purchasers; to local public authorities--to check on acquisition,
reuse and sales of real estate.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders.
Retrievability: Case file number and property address.
Safeguards: Desk; lockable file cabinet; secured computer facilities.
Access restricted.
Retention and disposal: Obsolete records are destroyed or sent to
storage facility in accordance with HUD Handbook.
System manager(s) and address: Director, Single Family Preservation and
Sales Division, HSSP, Office of Single Family Housing, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Subject individuals; other individuals;
current or previous employers; credit bureaus; financial
institutions; other corporations or firms; federal government
agencies; non-federal (including foreign, state and local)
government agencies; real estate brokers and agents.
HUD/DEPT-44
System name: Relocation Assistance Files.
System location: Headquarters and field offices. For a complete listing
of these offices, with addresses, see appendix A.
Categories of individuals covered by the system: Displaced persons and
relocation claimants who have filed grievances.
Categories of records in the system: Names of relocation claimants;
family characteristics; personal and family financial data;
relocation needs and problems; claims; documentation and evaluation
of claims; recommendations; inquiries and grievances; responses to
grievances; audits.
Authority for maintenance of the system: Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970 (Pub. L. 91-646),
Sec. 205(c)(2), 42 U.S.C. 4625.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: To GAO--for audit
purposes; to the Department of Justice--for investigation and
prosecution; to local public agencies--for processing, training and
monitoring purposes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders.
Retrievability: By name and case file number of subject individual.
Safeguards: Stored in lockable file cabinets; access limited to
authorized personnel.
Retention and disposal: Files are partly active and partly historical,
disposal is in accordance with HUD Handbook.
System manager(s) and address: Director, Relocation and Real Estate
Division, Office of Urban Rehabilitation and Community Reinvestment
Community Planning and Development, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional informational or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Department at Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Subject and other individuals; current and
previous employers; credit bureaus and financial institutions; firms
federal and non-federal agencies.
HUD/DEPT-46
System name: Single Family Case Files.
System location:
Headquarters and Field Offices.
Categories of individuals covered by the system:
Individuals who have applied for HUD/FHA mortgage insurance in
connection with single family housing programs of the Department.
Categories of records in the system:
Files contain standard records used for day-to-day maintenance of
single-family mortgage cases, including daily case control, mortgage
servicing, payment records, loan recommendations, information
concerning borrower inability to make payments, cancellations, and
monies returned. Also, requests for refinancing, income and employment
information used in determination of applicant eligibility, insurance
documents, sales agreements, conditional and firm commitments, owner
requests for appraisals, property descriptions, appraisal and
inspection reports; verification of employment and income; credit
bureau reports; mortgage note and deed of trust; record of escrow
account; correspondence and complaints.
Authority for maintenance of the system:
National Housing Act as amended, 12 U.S.C. 1702 et seq.
The information collection under the National Housing Act will enable
HUD to process applications for HUD mortgage insurance and respond to
requests for applications and insurance endorsement information.
The system will assist the Department in complying with requests for
information regarding HUD processing of mortgage insurance
applications and servicing of Secretary-held mortgages.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine uses paragraphs or prefatory statement. Other routine uses
include:
(a) To welfare agencies for fraud investigation.
(b) To the Department of Veterans Affairs for coordination with HUD in
processing construction complaints.
(c) To Congressional delegation--to provide information concerning
status of complaints.
(d) Complainants and attorneys representing them--for review of
complainant file for status and other information.
(e) Builders and attorneys representing them--to review complainant
files for status information.
(f) To holders of subordinate of mortgages to determine the
outstanding balance due to HUD on a Secretary-held mortgage.
(g) To financial institutionsand computer software companies for
automated underwriting, credit scoring and other risk management
evaluation studies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are stored in the file folders and computerized tape,
disc and drum.
Retrievability:
Records are retrieved by name of individual and case file number.
Safegards:
Records are maintained in lockable file cabinets with access limited
to authorized personnel.
Retention and disposal:
Records are primarily active with some historical data. Inactive files
are normally disposed after a two-year period.
System manager(s) and address:
Director, Office of Insured Single Family Housing, HSS, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Notification procedure:
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at the appropriate location,
in accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals, current and previous employers, credit bureaus
and financial institutions, corporations and firms and federal and
non-federal government agencies.
HUD/DEPT-51
System name: Standards of Conduct File.
System location: Headquarters.
Categories of individuals covered by the system: HUD employees.
Categories of records in the system: Financial statements; statements of
employment.
Authority for maintenance of the system: E.O. 11222, Sec. 305-402, 5 CFR
735.401.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statements. Other routine uses to the Department of
Justice, the Federal Bureau of Investigation, and the Internal
Revenue Service for purposes of investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders and standard forms.
Retrievability: Name.
Safeguards: Locked file cabinets.
Retention and disposal: Files are active and kept up-to-date, partly
current and partly historical.
System manager(s) and address: Assistant General Counsel for Finance and
Administrative Law Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 126. If
additional information or assistance is required, contact the
Privacy Act Officer at Headquarters. This location is given in
appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents or records, the Privacy Act Officer
at the headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Record source categories: Subject individuals.
HUD/DEPT-52
System name: Privacy Act Requesters.
System location:
Headquarters and field offices. For a complete listing of these
offices, with addresses, see appendix A.
Categories of individuals covered by the system:
Individuals inquiring about existence of records about them, and
requesting access to and correction of such records under provisions
of the Privacy Act.
Categories of records in the system:
Personal identification of requester, nature of request, and
disposition of the request by the Department.
Authority for maintenance of the system:
Privacy Act of 1974 (5 U.S.C. 552a(c)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders.
Retrievability:
Filed by case number and name of individual.
Safeguards:
Records maintained in locked and lockable file cabinets with access
limited to authorized personnel.
Retention and disposal:
Records are primarily active. Inactive files are normally disposed of
after a one-year period.
System manager(s) and address:
Director, Office of Information Policies and Systems, AI, Department
of Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents or
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of intitial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals.
HUD/DEPT-53
System name: Consumer Complaint Handling System.
System location:
Headquarters and Field Offices.
Categories of individuals covered by the system:
Any member of the public who registers a complaint with HUD, including
but not limited to: Community Development Block Grant (CDBG)
recipients or individuals who use facilities or services supported by
CDBG money; mortgagors; mortgagees having or seeking FHA-insured
mortgages; tenants in FHA/insured projects; tenants in HUD-supported
Low Rent Housing Projects; employees on HUD-assisted or insured
construction projects and their unions; and public interest groups.
Excluded are complaints from HUD employees arising out of the
administration of internal HUD policies or procedures.
Categories of records in the system:
Complaints expressing dissatisfaction with a Departmental program,
policy, or service. Name of complainant and action dates.
Authority for maintenance of the system:
Housing and Community Development Act of 1974, Pub. L. 93-383.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses: The following may receive individual records to assist in the
resolution of a complaint--State and local officials; public and
private counseling agencies; building associations; developers;
financial institutions holding HUD-insured mortgages; Federal, State
and local Consumer Affairs offices; Consumer Protection agencies;
State and local real estate and planning Commissions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders, cassettes, computerized tape, disc, and drum.
Retrievability:
Control number, date of receipt, name of complainant, date of
complaint, date of final reply, nature of complaints HUD program
category, assigned due date, date of interim reply, date of last
update on the System, and HUD Office to which complaint was referred
for action.
Safeguards:
Access to the automated System is accomplished by passwords and code
identification codes limited in use to authorized personnel. Cassettes
and computer/data files will be stored in computer facilities which
are secured and accessible only to authorized personnel. File folders
of pending and closed cases to be stored in lockable file cabinets.
Retention and disposal:
Manual file is closed upon final response and purged after one year.
Automated records are maintained for five years. Complaints pending
response will remain open and active until final response is sent.
Obsolete records will be disposed of in accordance with HUD Handbook.
System manager(s) and address:
Assistant Secretary for Housing--Federal Housing Commissioner,
Department of Housing and Urban Development 451 Seventh Street, SW,
Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents or
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Department Privacy Appeals Officer, Office
of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Record source categories:
Letters of complaints from individuals, telephone calls of complaints
from individuals, and walk-in complaints from individuals, and
consumer oriented agencies on behalf of individuals.
HUD/DEPT-54
System name: Parking Application Files.
System location: Headquarters.
Categories of individuals covered by the system: HUD employees and
individuals from other Government agencies or private sector
organizations who made application to park in HUD controlled space.
Categories of records in the system:
For the applicant and carpool members, names (print and signature),
home addresses, office telephone numbers, social security numbers,
year and make of vehicles, states (in which vehicles are registered)
and tag numbers; for the applicant, room number, permit number,
correspondence (organization) code, date of application, and priority
group (handicapped, job requirements/executive officials (SES) or
carpool/vanpool); for pool members, agency or company name; for
administrative purposes, date issued, type of permit (new or
replacement), and signature of approving official.
Authority for maintenance of the system: Federal Property Management
Regulations, Section 101-20.104, Parking facilities.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other Routine Uses: To contractor for
managing the parking facilities; to parking coordinators of
Government agencies and private sector organizations for
verification of employment and participation of pool.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: For manual records, legal size file foleder; for automated
records, hard disk.
Retrievability: Name, address, social security number, permit number,
vehicle tag number, and agency name or HUD correspondence
(organization) code on either the applicant or pool members. .
Safeguards: Manual records are maintained in a lockable file cabinets
with access limited to authorized personnel. Access to automated
records is by password.
Retention and disposal: (1) For individuals issued permits, as long as
permits are valid; (2) for individuals on the waiting list,
approximately 2 years.
System manager(s) and address:
Chief, Mail and Transportation Branch, Office of Administrative and
Management Services, ASBR, Department of Housing and Urban
Development,451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Office at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting; (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Parking Permit Applicants.
HUD/DEPT-56
System name: Telephone Numbers of HUD Officials.
System location: Headquarters office.
Categories of individuals covered by the system: HUD senior staff
officials.
Categories of records in the system: Name, title, home and office phone
numbers.
Authority for maintenance of the system: Section 7(d) Department of HUD
Act (42 U.S.C. 3535(d)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See routine uses paragraph
in prefatory statement. Other routine uses: Executive Office of the
President for identification and communication with key staff.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Bookcase of Director, Office of Executive Secretariat.
Retrievability: Office, name, and title.
Safeguards: Records are maintained in lockable room with access limited
to authorized personnel.
Retention and disposal: Records are revised as personnel and telephone
numbers change. When records are revised, older records are
destroyed.
System manager(s) and address: Chief, Secretary's Correspondence Unit,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
the existence of records contact the Privacy Act officer at the
headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act officer at the headquarters location. This location is
given in appendix A.
Contesting record procedures: The Departments' rules for contesting the
contents of records and appealing initial denials, by the
individuals concerned, appear in 24 CFR part 16. If additional
information or assistance is needed it may be obtained by
contacting: (i) In relation to contesting contents of records, the
Privacy Act officer at the headquarters location. This location is
given in appendix A; (ii) in relation to appeals of initial denials,
the HUD departmental privacy appeals officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
Record source categories: Subject individuals.
HUD/DEPT-58
System name: HUD Child Care Center Files.
System location: Headquarters Office.
Categories of individuals covered by the system: Children enrolled in
the Center and their parents, staff of the Center, others who may be
involved in special programs of the Center, and names of donors,
applicants to the Center, and former enrollees.
Categories of records in the system: Information on the child, including
parents' names and addresses and income; health records of children
and staff; information work of staff including work history; current
evaluation, and other work-related information; evaluation of the
children's progress in the Center; names of donors and amounts of
donations to the Center.
Authority for maintenance of the system: Housing Authorization Act of
1976, Pub.L. 94-375.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses in
prefatory statement. Other routine uses: none.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file cabinets.
Retrievability: By name of child or name of staff member.
Safeguards: Records will be maintained in lockable file cabinets with
access limited to authorized personnel of the Center.
Retention and disposal: Records of children who leave will be stored for
one year; records of staff who leave will be stored for three years.
At the expiration of those periods, records will be disposed of.
System manager(s) and address: Director, HUD Child Care Center,
Department of HUD, 451 Seventh Street SW, Washington, DC 20410.
Notification procedure: For information, assistance or inquiry about the
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the Headquarters location. This location is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records appealing initial denials, by the individuals
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Record source categories: Applicants; current and formerly enrolled
children and their parents, current and former staff members;
doctors and former institutions attended by the children.
HUD/DEPT-62
System name: Claims Collection Records.
System location:
Headquarters and field offices. For a complete listing of these
offices with addresses, see appendix A.
Categories of individuals covered by the system:
Mortgagors; mortgagees; grant/project and loan applicants and
recipients; HUD personnel; vendors; brokers; bidders; managers;
tenants; builders; developers, contractors, and appraisers; employees
on HUD/FHA projects; investors; subjects of audit; closing agents;
former mortgagors and purchasers of HUD-owned properties.
Categories of records in the system:
Lease and loan collection register; schedules of payments receivable
and received; premiums due; claim files; fee billing statements;
escrow and Certificates of Deposit files; cash flow and budget control
files; earnest money register; purchase order log; imprest fund; area
managers' accounting records; restitution, maintenance, and market
expenses; bills lading; vouchers; invoices; receipts mortgagors,
builder's and contractor's financial statements, records and audit
reports; deposit and receipt records; disbursements and cancelled
checks; repurchases of mortgages; adjustments from recoveries,
defaults, acquired home property records; sales closing papers;
statements of accounts; tax records certifications and applications
for assistance; and notice of court action.
Authority for maintenance of the system:
Federal Claims Collection Act of 1966 (Section 1, Pub. L. 89-508).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Users paragraphs in prefatory statement. Other routine
uses; Justice Department--for prosecution of fraud revealed in the
course of claims collection efforts, and for the institution of
foreclosure or other proceedings to effect collection of claims; FBI--
for investigation of possible fraud revealed in the course of claims
collection efforts; General Accounting Office--for the institution of
proceedings to effect collection of claims; other Federal Agencies--to
facilitate collection of claims against Federal employees; Office of
Personnel Management--for offsetting retirement payments; to
commercial credit bureaus--to facilitate claims collection consistent
with Federal Claims Collection Standards, 4 CFR 102.4; to other
Federal agencies for the purpose of collecting debts owed to the
Federal Government by administrative or salary offset; to IRS for
reporting of discharged indebteness.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966; 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Desks; safes; locked file cabinets.
Retrievability:
Name, Social Security Number, Project Name and Number, and Contract
Number.
Safeguards:
Locked files; limited access by authorized individuals.
Retention and disposal:
GSA schedules of retention and disposal; destruction one year after
statute of limitation expiration.
System manager(s) and address:
Department Claims Officer, Officer of Finance and Accounting,
Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, Contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A, (ii) in relation to appeals
of initial denials, the HUD Department Privacy Appeals Officer, Office
of General Counsel. Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
Record source categories:
Subject individuals; other individuals; current or previous employers;
credit bureaus; financial institutions; private corporations or firms
doing business with HUD; Federal and non-Federal government agencies;
HUD personnel.
HUD/DEPT-63
System name: Secretary's Correspondence Control System.
System location: Headquarters.
Categories of individuals covered by the system: (a) Individuals who
correspond with the Secretary or the Under Secretary, (b)
Individuals whose correspondence has been referred by the White
House, other Executive agencies, or members of Congress to the
Secretary or Under Secretary for response.
Categories of records in the system: Correspondence identification
(correspondent's name, address, organization, title, control number,
date of letter, subject); status or response within the Department
(office assigned, date due, current disposition); may include
original correspondence, Department's response, referral letters,
name and identification of person referring the correspondence, and
copies of any enclosures.
Authority for maintenance of the system: Section 7(d) of the Department
of Housing and Urban Development Act of 1965, Pub. L. 89-174.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
or prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders, on microfiche and on magnetic disc/tape.
Retrievability: Name, control number, name of person referring
correspondence, return address on letters, organization name, title,
date of letter, subject of letter, office assigned, date due,
current disposition.
Safeguards: Manual files and microfiche are kept in folders and accessed
only by authorized personnel, computer records are maintained in a
secure area with access restricted to authorized personnel.
Retention and disposal: All files are maintained in the Executive
Secretariat for three years and then are retained/disposed of in
accordance with HUD Handbook 225.6, Schedule 62, dated March, 1976.
All computerized information is maintained on magnetic disc for one
year, then is copied to magnetic tape and stored in a secure
location.
System manager(s) and address: Chief, Secretary's Correspondence Unit,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned, appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the Headquarters location. This location is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in Appendix A,
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
Record source categories: Subject, referral source, Department employees
involved in processing the correspondence.
HUD/DEPT-64
System name: Congregate Housing Services Program Data Files.
System location:
Headquarters and Offices of HUD contractor.
Categories of individuals covered by the system:
Congregate Housing Services Program (CHSP) participants and selected
applicants and non-applicants residing in grantee public housing and
Section 202 (elderly) projects; and selected individuals residing in
non-grantee public housing and Section 202 projects.
Categories of records in the system:
The files will contain the following records on CHSP participants:
Name, project, file number, race/ethnic background, birthdate, sex,
marital status, residential history and current living arrangement,
number of minors residing, number of children/relatives nearby and
family relationships, education, socioeconomic status (occupation/
income), total housing expense, characteristics (special features) of
the Housing unit, size of unit, sources of income and medical
coverage, handicap type, disability type, medical status (recurrent/
chronic medical problems) and hospitalization in past year, scores on
activities of daily living tests, level of informal service supports
(family, friends, etc.), current and previous services received by
program type (formal services), dates of services receipt, service
needs assessment, moral scale and satisfaction with services and
residential arrangements, mental status (primarily, disorientation for
elderly and cognitive functioning for mentally retarded), emotional
status, social interaction assessment (participation in formal and
informal activities, and interpersonal skills), cost and usage of CHSP
and other services, project admission date, CHSP application date,
physical functioning/health status when entered project, current
physical functioning/health status, physical functioning/health status
of entry to CHSP, Professional Assessment Committee (PAC)
determinations and recommended services, physical functioning/health
status when left CHSP, date moved out of project, physical
functioning/health status when moved out of project, new address/
telephone (or contact person), name/telephone of physician, legal
guardian, or family member.
The files will contain the following records on CHSP applicants who
were not selected as participants: Name, project, file number, race/
ethnic background, birthdate, sex, marital status, resident history
and current living arrangement, number of minors residing, number of
children/relatives nearby and family relationships, education,
socioeconomic status (occupation/income), total housing expense,
characteristics (special features) of the housing unit, size of unit,
sources of income and medical coverage, handicap type, disability
types, medical status (recurrent/chronic medical problems) and
hospitalization in past year, scores on activities of daily living
tests, level of informal service supports (family, friends, etc.),
current and previous services received by program type (formal
services), dates of service receipt, service needs assessment, morale
scale and satisfaction with services and residential arrangements,
mental status (primarily, disorientation for elderly and cognitive
functioning for mentally retarded), emotional status, social
interaction assessment (participation in formal and informal
activities, and interpersonal skills), cost and usage of services,
project admission date, CHSP application date, physical functioning/
health status when entered project, physical functioning/health status
when applied to CHSP, current physical functioning/health status, PAC
determinations, date moved out of project, physical functioning/health
status when moved out of project, new address/telephone (or contract
person), name/telephone of physician, legal guardian, or family
member.
The files will contain the following records on residents of CHSP
projects who did not apply to the program and residents of non-CHSP
projects: Name, project, file number, race/ethnic background,
birthdate, sex, marital status, residential history and current living
arrangement, number of minors residing, number of children/relatives
nearby and family relationships, education, socioeconomic status
(occupation/income), total housing expense, characteristics (special
features) of the housing unit, size of unit, sources of income and
medical coverage, handicap type, disability type, medical status
(recurrent/chronic medical problems) and hospitalization in past year,
scores on activities of daily living tests, level of informal service
supports (family, friends, etc.), current and previous services
received by program type (formal services), dates of service receipt,
service needs assessment, morale scale and satisfaction with services
and residential arrangements, mental status (primarily, disorientation
for elderly and cognitive functioning for mentally retarded),
emotional status, social interaction assessment (participation in
formal and informal activities, and interpersonal skills), cost and
usage of services, project admission date, physical functioning/health
status when entered project, current physical functioning/health
status, date moved out of project, physical functioning/health status
when moved out of project, new address/telephone (or contact person),
name/telephone of physican, legal guardian, or family member.
Authority for maintenance of the system:
Title IV, Housing and Community Development Amendments of 1978
(Congregate Housing Services Act of 1978).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To HUD Contractor for conducting the evaluation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders and on magnetic tape/disc/drum.
Retrievability:
Name, project, file number, race/ethnic background, birth date, sex,
marital status, residential history and current living arragement,
number of minors residing, number of children/relatives nearby and
family relationships, education, socioeconomic status (occupation/
income), total housing expense, characteristics (special features) of
the housing unit, size of unit, sources of income and medical
coverage, handicap type, disability type, medical status (recurrent/
chronic medical problems) and hospitalization in past year, scores on
activities of daily living tests, level of informal service supports
(family, friends, etc.), current and previous services received by
program type (formal services), dates of service receipt, service
needs assessment, morale scale and satisfaction with services and
residential arrangements, mental status, emotional status, social
interaction assessment (participation in formal and informal
activities, and interpersonal skills), cost and usage of CHSP and
other services, project admission date, CHSP application date,
physical functioning/health status when entered project, current
physical functioning/health status, physical functioning/health status
at entry to CHSP, PAC determinations and recommended services,
physical functioning/health status when left CHSP, date moved out of
project, physical functioning/health status when moved out of project,
new address/telephone (or contact person), name/telephone of
physician, legal guardian, or family member.
Safeguards:
Manual files will be kept in lockable cabinets in a secured area,
computer records will be maintained in a separate secured area. Access
to either type of record will be limited to authorized personnel.
Retention and disposal:
Manual and automated records are retained in accordance with
officially approved mandatory standards contained in HUD Handbooks
2225.6 and 2228.2.
System manager(s) and address:
Director, Elderly, Cooperative, Congregate and Health Facilities
Divsion, HMME
Office of Mutifamily Housing Development
Department of Housing and Urban Development
451 Seventh Street, SW, Washington, DC 20410
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at Headquarters. This location is given in appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the Headquarters location. This
location is given in appendix A; (ii) in relation to appeals of
initial denials, the HUD's Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
Subject individuals, Professional Assessment Committee, Project
Managers.
HUD/DEPT-65
System name: IDEAS Program Case Files.
System location: Headquarters and Field Offices.
Categories of individuals covered by the system: Federal employees who
submit ideas for improving Departmental efficiency and
effectiveness.
Categories of records in the system: Idea subject, suggester name, Idea
number, position title of suggester, title of organization to which
suggester is assigned, location of suggester's organization,
suggester's room number, suggester's phone number, statement of
organization responsible for implementing ideas, statement of
current use, statement of anonymity, statement of cash award waiver,
agreement to waive further rights, description of Idea, Social
Security Number, disposition of idea, cash award amount.
Authority for maintenance of the system: Government Employees Incentive
Awards Act (45 U.S.C. 5).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To news media to publicize
awards; to other Government agencies for evaluation and possible
adoption; in the case of cash awards, to Treasury to issue check; to
printing firms to produce award certificates.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders and on magnetic media.
Retrievability: Subject, name, number, originating organization,
evaluating organization, disposition.
Safeguards: Paper files are kept in lockable cabinets in secured areas.
Magnetic files will be maintained in a separate secured area. Access
to either type of file is limited to authorized personnel.
Retention and disposal: Manual and automated records are retained in
accordance with officially approved mandatory standards contained in
HUD Handbooks 2225.6 and 2228.2.
System manager(s) and address: Director, Management Systems and
Organization Division, Office of Organization and Management
Information, Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in Appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of record, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A, (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
Record source categories: Suggesting individual, processing
organization, evaluating organization.
HUD/DEPT-66
System name: Grievance Records.
System location: Headquarters and field offices. For a complete list of
these offices, with addresses, see appendix A.
Categories of individuals covered by the system: Current or former HUD
employees who have submitted grievances in accordance with part 771
of OPM regulations (5 CFR part 771), HUD regulations, or a
negotiated procedure.
Categories of records in the system: The system contains records
relating to grievances filed by agency employees. These case files
contain all documents related to the grievance, including statements
of witnesses, reports of interviews and hearings, examiner's
findings and recommendations, a copy of the original and final
decision, and related correspondence and exhibits. This system
includes files and records of internal grievance and arbitration
systems that HUD may establish through negotiations with recognized
labor organizations.
Authority for maintenance of the system: 5 U.S.C. 1302, 3301, 3302, E.O.
10577, 3 CFR 1954--1958 Comp., p. 218, EO 10987, 3 CFR 1959-1963
Comp., p. 519.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: These records and
information in these records may be used: a. To disclose pertinent
information to the appropriate Federal, State, or local agency
responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation, or order, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
b. To disclose information to any source from which additional
information is requested in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request and identify the type of information
requested.
c. To disclose information to a Federal agency in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, or the issuance of a license, grant, or
other benefit by the requesting agency, to the extent that the
information is relevant and necessary to requesting the agency's
decision on the matter.
d. To provide information to a congressional office from the record of
an individual in response to an inquiry from that congressional office
made at the request of that individual.
e. To disclose information to another Federal agency or to a court
when the Government is party to a judicial proceeding before the
court.
f. By the National Archives and Records Administration in records
management inspections conducted under authority of 44 U.S.C. 2004 and
2908.
g. By the agency maintaining the records or the OPM in the production
of summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related work force studies. While published statistics and studies
do not contain individual identifiers, in some instances the selection
of elements of data included in the study may be structured in such a
way as to make the data individually identifiable by inference.
h. To disclose information to officials of the Merit Systems
Protection Board, including the office of the Special Counsel, the
Federal Labor Relations Authority and its General Counsel, or the
Equal Employment Opportunity Commission when requested in performance
of their authorized duties.
i. To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
j. To provide information to officials of labor organizations
recognized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: These records are maintained in file folders.
Retrievability: These records are retrieved by the names of the
individuals on whom they are maintained.
Safeguards: These records are maintained in lockable metal filing
cabinets to which only authorized personnel have access.
Retention and disposal: These records are disposed of 3 years after
closing of the case. Disposal is by shredding or burning.
System manager(s) and address: Director, Employee Relations and Equal
Opportunity Division, Office of Personnel, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: It is required that individuals submitting
grievances be provided a copy of the record under the grievance
process. However, after the action has been closed an individual may
request access to the official copy of the grievance file.
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Officer at
the appropriate location. A list of all locations is given in appendix
A.
Contesting record procedures: Review of requests from individuals
seeking amendment of their records which have been the subject of a
judicial or quasi-judicial action will be limited in scope. Review
of amendment requests of these records will be restricted to
determining if the record accurately documents the action of the
agency ruling on the case, and will not include a review of the
merits of the action, determination, or finding. The Department's
rules for contesting the contents of records and appealing initial
denials by the individual concerned, appear in 24 CFR part 16. If
additional information or assistance is needed, it may be obtained
by contacting: (i) In relation to contesting contents of records,
the Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories: Information in this system of records is
provided: a. By the individual on whom the record is maintained.
b. By testimony of witnesses.
c. By agency officials.
d. From related correspondence from organziations or persons.
HUD/DEPT-67
System name: Employee Counseling and Occupational Health
Records.
System location: Headquarters and field offices.
Categories of individuals covered by the system: Employees seeking
assistance with alcoholism, drugs or emotional problems.
Categories of records in the system: Name, duty assignment, service to
which the employee is referred, request, status memoranda from
referral services and occasionally diagnosis.
Authority for maintenance of the system: Pub. L. 79-658, Employee Health
Act, 1946, Pub. L. 89-183, Mental Health Act, 1963, Pub. L. 91-616,
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment,
and Rehabilitation Act, 1970, Pub. L. 92-225, Drug Abuse Office and
Treatment Act, 1972.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To referral services to
document referral, status.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Files are stored in a lockable cabinet in a secured area.
Retrievability: Name, service to which employee is referred.
Safeguards: Files will be kept in locked cabinets. Access will be
strictly controlled, and limited to employees who must have access
in order to perform their duties.
Retention and disposal: These records are disposed of in accordance with
the mandatory General Records Schedules contained in HUD Handbook
2228.2.
System manager(s) and address: Director, Employee Relations and EEO
Division, Department of Housing and Urban Development, 451 Seventh
Street SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Office at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A. (ii) In relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
Record source categories: Subject employee, referral service.
HUD/DEPT-68
System name: HUD Government Motor Vehicle Operators Records.
System location: Headquarters and field offices. For a complete listing
of these offices with addresses, see appendix A.
Categories of individuals covered by the system: HUD employees who are
authorized to operate Government Motor Vehicles on official
business.
Categories of records in the system: Standard Form 47, Physical Fitness
Inquiry for Motor Vehicle Operators and HUD Form 87, Drivers Past
Performance Record. These forms include name, Social Security
Number, physical fitness data, and driving performance information.
Authority for maintenance of the system: Federal Property and
Administrative Services Act of 1949, 41 U.S.C. 231, Pub. L. 81-152,
Sec. 201.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To Department of
Transportation for verification with National Driver Register.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Desks; safes; locked file cabinets.
Retrievability: Name, Social Security Number.
Safeguards: Locked files; limited access by authorized individuals.
Retention and disposal:
Records are retained and disposed of in accordance with officially
approved mandatory standards contained in HUD Handbooks 2225.6 and
2282.2.
System manager(s) and address: Director, Facilities Operations Division,
ASB, Department of Housing and Urban Development, 451 Seventh Street
SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed regarding contesting record contents, contact
the Privacy Act Office at the appropriate location. A list of all
locations is given in aAppendix A. If additional information or
assistance is needed in relation to appeals, contact the HUD
Department Privacy Appeals Officer, Officer of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
Record source categories: Subject individuals.
HUD/DEPT-69
System name: Intergovernmental Personnel Act Assignment Records.
System location:
Headquarters and field offices.
Categories of individuals covered by the system:
Current or former employees of State or local governments, educational
institutions, Indian tribal governments, or other eligible
organizations who are presently on or have completed a detail with the
Department of Housing and Urban Development (HUD) under the provisions
of the Intergovernmental Personnel Act (IPAP).
Categories of records in the system:
These records are comprised of a copy of the assignee's IPA agreement
between HUD and a State or local government, educational institution,
Indian tribal government, or other eligible organization: Resume,
personal qualifications statement, and background information about
the assignee(s); records of interviews with assignee(s) and any
required assignment evaluations and reports; and any documents which
affect the status of the assignment such as extensions, amendments and
terminations of contracts. The following data will be included in the
records: Name of employee, social security number, date of birth, home
address, agency employed by, job title, name and title of immediate
supervisor, office telephone number, annual salary, date employed by
agency, position to which assignment will be made, type of assignment,
and period of assignment.
Authority for maintenance of the system:
The Intergovernmental Personnel Act of 1970 (84 Stat. 1909), 5 U.S.C.
3371-3376, and E.O. 11589.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To the Merit System Protection Board, Federal Labor Relations
Authority, and the Equal Employment Opportunity Commission when
requested in performance of authorized duties. To Office of Personnel
Management for personnel inspections of the Department; to other
Federal agenices for the purpose of collecting debts owed to the
Federal Government by administrative or salary offset.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Individual name.
Safeguards:
Files are kept in a secured area, with access limited to authorized
personnel.
Retention and disposal:
Records are retained in accordance with officially approved mandatory
standards contained in HUD Handbooks 2225.6 and 2228.2.
System manager(s) and address:
Director, Employment Planning and Standards Division, Office of
Personnel, Department of Housing and Urban Development, 451 Seventh
Street SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A, (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
Participating individual; individual's permanent employing
organization; Department personnel files and records.
HUD/DEPT-71
System name: Employee Identification File.
System location:
Headquarters and field offices.
Categories of individuals covered by the system:
Current Departmental employees, former employees who have retired from
the Department, and other employees who have been separated for three
months or less.
Categories of records in the system:
Categories of records in the system include employee photograph, name
and signature, Social Security Number, identification card issuance
date, identification card issuance date, identification card
expiration date and separation date for retirees, type of appointment,
date of birth, sex, height, weight, color of hair, color of eyes, and
may include requisition for employee identification card.
Authority for maintenance of the system:
44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To Federal, State, local, and foreign authorities for use in
conducting criminal, civil, or regulatory investigations, to verify
the identity of an employee.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders or card files.
Retrievability:
By name.
Safeguards:
The records are kept in locked metal file cabinets.
Retention and disposal:
These records are retained and disposed of in accordance with approved
schedules contained in HUD Handbook 2228.2, General Records Schedules.
System manager(s) and address:
Director, Office of Personnel and Training, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records of the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Individuals on whom the file is maintained.
HUD/DEPT-72
System name: Congressional Correspondence Files (Communication
Control System).
System location: Headquarters and some field offices.
Categories of individuals covered by the system: (a) Individuals who
correspond with the Secretary, Under Secretary, Assistant Secretary
or Field Officials, (b) Individuals whose correspondence has been
referred by the White House, other Executive agencies, or Members of
Congress to the Secretary, Under Secretary, Assistant Secretary or
Field Officials for responses.
Categories of records in the system: Correspondence identification
(Member of Congress name, correspondent's name, address, state,
district, organization, title, control number, return address, date
of letter, subject); status of response within the Department
(office assigned, date due, current disposition); may include
original correspondence, Department's response, referral letters,
name and identification of person referring the correspondence, and
copies of any enclosures.
Authority for maintenance of the system: Section 7(d) of the Department
of Housing and Urban Development Act of 1965, Pub.L. 89-174.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders and on magnetic disc/tape.
Retrievability: State, district, control number, name of Member of
Congress, name of person referring correspondence, date of letter,
subject of letter, office assigned, date due, current disposition.
Safeguards: Manual files are kept in folders in lockable file cabinets
and accessed only by authorized personnel, computer records are
maintained in a secure area with access restricted to authorized
personnel.
Retention and disposal: All manual files are maintained for one year and
then are retained/disposed of in accordance with HUD handbook
2225.6, HUD Records Schedules, Schedule 54.
All computerized information is maintained on magnetic disc for two
years, then is copied to magnetic tape and stored in a secure
location.
System manager(s) and address: Administrative Staff Assistant, Office of
Legislation and Congressional Relations, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed in relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at
the appropriate location. A list of all locations is given in
appendix A. If additional information or assistance is needed in
relation to appeals of initial denials, it may be obtained by
contacting the HUD Department Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development 451 Seventh
Street, SW, Washington, DC 20410.
Record source categories: Subject, referral source, Department employees
involved in processing the correspondence.
HUD/DEPT-73
System name: Government Property on Personal Charge Files.
System location: Headquarters and field offices.
Categories of individuals covered by the system: Current or former HUD
employees to whom HUD has issued government property on personal
charge.
Categories of records in the system: These records are comprised of a
copy of each receipt for government property on a charge, and a
property receipt control register. The following data will be
included in the records: Name of employee, office telephone number,
room number and location, organization symbol, custody-receipt and
property pass number, description of property, certificate of
receipt and responsibility, dates of issuance, return due, follow-
up, extension, and return and signature of chargeable employee.
Authority for maintenance of the system: Federal Property and
Administrative Services Act of 1949, 40 U.S.C. Sec. 483.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records will be stored in card files and file folders.
Retrievability: Individual name.
Safeguards: Files are kept in a secured cabinet, with access limited to
authorized personnel.
Retention and disposal: These records are disposed of in accordance with
the Mandatory General Records Schedules contained in HUD Handbook
2228.2, General Records Schedules.
System manager(s) and address: Chief, Property and Supply Branch,
Facilities Operations Division, Office of Administrative Services,
Department of Housing and Urban Development, 451 Seventh Street SW,
Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed in relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at
the appropriate location. A list of all locations is given in
appendix A. If additional information or assistance is needed in
relation to appeals of initial denials, it may be obtained by
contacting the HUD Department Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
Record source categories: Individuals to whom property is charged.
HUD/DEPT-74
System name: Executive Emergency Cascade Alerting System.
System location: Headquarters and field offices.
Categories of individuals covered by the system: Current HUD employees
who have been designated as executive emergency team members.
Categories of records in the system: These records are comprised of the
employee's name, office and home telephone numbers, only.
Authority for maintenance of the system: These records are maintained
under the authority of Executive Order No. 11490.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Individual name.
Safeguards: Distribution of team lists and access to team lists is
restricted to authorized personnel.
Retention and disposal: These records are retained and disposed of in
accordance with officially approved mandatory standards contained in
HUD Handbooks 2225.6 (HUD Records Schedules) and 2228.2 (General
Records Schedules).
System manager(s) and address: Director, Emergency Preparedness Staff,
Office of Administrative Services, Department of Housing and Urban
Development 451 Seventh Street, SW, Washington, DC 20410
Notification procedure: For information assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed in relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at
the appropriate location. A list of all locations is given in
appendix A. If additional information or assistance is needed in
relation to appeals of initial denials, it may be obtained by
contacting the HUD Departmental Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
Record source categories: Subject individuals.
HUD/DEPT-75
System name: Priority Consideration/Special Reassignment Files.
System location: Headquarters and field offices.
Categories of individuals covered by the system: Current or former HUD
employees who have been demoted without personal cause; who did not
receive proper consideration in an earlier merit staffing action; or
who are entitled to grade retention due to a demotion through no
personal cause.
Categories of records in the system: These files are comprised of copies
of the eligible's Personal Qualifications Statement (SF-171); the
eligible's current performance evaluation, and where appropriate, an
appraisal of potential; certification of the eligible for priority
consideration/special reassignment; correspondence both from and to
the eligible concerning priority consideration/special reassignment;
documentation relating to non-selection of the eligible; and any
other correspondence or documentation relating to the priority
consideration/special reassignment process.
The following data will be included in the records: Name of employee,
Social Security number, date of birth, home address, home telephone
number, job title and occupational group (series), name and title of
immediate supervisor, office telephone number, annual salary, and date
employed by the agency, work experience, training, and related items.
Authority for maintenance of the system: 5 U.S.C. 3301; 5 U.S.C. 5364.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To the Merit Systems
Protection Board, the Federal Labor Relations Authority, and the
Equal Opportunity Commission, when requested in performance of
authorized duties for examination of effectiveness of HUD priority
consideration and special reassignment procedures; to the Office of
Personnel Management for personnel inspections of the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Individual name and occupational grouping (series).
Safeguards: Files are kept in a secured area, with access limited to
authorized personnel.
Retention and disposal: Records are retained and disposed of in
accordance with officially approved manadatory standards contained
in HUD Handbooks 2225.6 (HUD Records Schedules), and 2228.2 (General
Records Schedules).
System manager(s) and address: Director, Employment Planning and
Standards Division, Office of Personnel, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Appropriate location in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appeals initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed in relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at
the appropriate location. A list of all locations is given in
appendix A. If additional information or assistance is needed in
relation to appeals of initial denials, it may be obtained by
contacting the HUD Departmental Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street SW, Washington, DC 20410.
Record source categories: Participating individual; Department personnel
files and records.
HUD/DEPT-76
System name: HUD Employee Locator Files.
System location:
Headquarters.
Categories of individuals covered by the system:
Current and former HUD employees.
Categories of records in the system:
These records are comprised of a copy of all Changes in Telephone
Listings, SF-146, submitted by Administrative Officers. The following
data will be included in the records: Name of employees, office
telephone number, room number and location, and organization symbol.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media and file folders.
Retrievability:
Individual name.
Safeguards:
The automatic records and manual files are kept in a secured area,
with access limited to authorized personnel.
Retention and disposal:
These records are disposed of in accordance with the Mandatory General
Records Schedules contained in HUD Handbook 2228.2, General Records
Schedules.
System manager(s) and address:
Director, Publications and Information Division, Office of
Administrative Services, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the Headquarters location. This location is given in appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contracting the Privacy Act Officer at the Headquarters location. This
location is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Administrative Officers.
HUD/DEPT-77
System name: Audit Planning and Operations System (APOS).
System location:
This system is located in Headquarters with regional and Headquarters
data entry and access capabilities.
Categories of individuals covered by the system:
All OIG staff personnel and Independent Public Accountants (IPAs) who
perform audits of HUD grantees where reports are subject to OIG review
and acceptance.
Categories of records in the system:
The automated APOS contains name and ID number for OIG auditors and
Independent Public Accountants (IPAs) who perform audits of HUD
grantees where the audit reports are subject to OIG review and
acceptance. Additionally, the APOS has records reflecting the OIG
Annual Audit Plan (AAP) and detailed assignments within the AAP
staffing and time goals for each assignment; records on direct time
expenditures for each task within each assignment for each OIG
employee; indirect time for each employee; information reflecting the
receipt, review, acceptance and audit verification of IPA audits; and
direct time charges to other categories of OIG audit work such as
assistance to U.S. Attorneys, complaint handling and special projects.
Authority for maintenance of the system:
OMB Circular No. A-73, Revised, dated March 15, 1978, Audit of Federal
Operations and Programs; Paragraphs 7 and 7(3). Inspectors General Act
1978. Pub. L. 95-452; Section 4, Paragraph (1) and Section 5(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See routine uses paragraphs in prefatory statement. Other routine
uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders and on magnetic media.
Retrievability:
Retrievability of records that refer to OIG personnel will be by HUD-
OIG numbers and regional identifier. Retrieval of records that refer
to Independent Public Accountants will be by the OIG designated
numeric code for the IPA and regional identifier.
Safeguards:
Manual files are kept in lockable file drawers in secure areas.
Technical restraints are employed with regard to accessing the
automated records.
Retention and disposal:
Coded imput forms will be retained for one month, and upon successful
execution of program, the forms will be destroyed. Printed computer
output forms will be retained until the next cyclical run. The system
report cycles will occur monthly, quarterly, or semiannually depending
on the nature of the report. Stored data within the system will be
retained for three years. At the end of that period the records will
be removed and maintained for two more years on tape where they will
be restored to the system only as needed. At the end of a 5-year
period, records will be removed from tape library and destroyed.
System manager(s) and address:
Assistant Director, Audit Operations Division, Field Operations, 451
7th Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is needed, contact the Privacy Act Officer
at the Headquarters location. This location is given in appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials by the individual concerned appear in 24 CFR
part 16. If additional information or assistance is needed in relation
to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 24010.
Record source categories:
Subject individuals and other HUD employees. All records within the
automated APOS will be developed from current existing records within
Regional and Headquarters OIG sites. Time records will be reported for
OIG personnel through their supervisors. IPA data will be reported by
the IPA liaison groups within each OIG regional facility.
HUD/DEPT-78
System name:
Government National Mortgage Association (GNMA) Registry of
Foreclosure Attorneys.
System location:
Headquarters Office.
Categories of individuals covered by the system:
Attorneys and law firms that have voluntarily submitted the
information contained in the record system.
Categories of record in the system:
Name, firm name, address, and telephone numbers; death and place of
bar membership; and experience in foreclosures.
Authority for maintenance of the system:
Title III, Section 309 of the National Housing Act authorizes GNMA to
do the following: To enter into and perform contracts with any person
or firm; to sue and be sued, and to complain and defend in any court
of competent jurisdiction; to select and appoint or employ attorneys.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To GNMA services-to permit the servicer to obtain the services of a
registered attorney.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system.
Storage:
Manual records stored in lockable file drawers located in lockable
rooms. Access limited to authorized personnel.
Retrievability:
Name and address.
Safeguards:
Manual records stored in lockable file cabinets in secured areas. No
computer records will be maintained. Access to records is limited to
authorized personnel.
Retention and disposal:
Records on attorneys are kept for at least three years. Attorneys must
reapply within the three year period. Failure to reapply will result
in deletion from the Registry.
System manager(s) and address:
Assistant General Counsel for Finance, Department of Housing and Urban
Development, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the Headquarters location, in
accordance with 24 CFR part 16. This location is given in appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the Headquarters location. This location is given in appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the Headquarters location. This
location is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals.
HUD/DEPT-80
System name: Long Distance Telephone Call Detail System.
System location:
Headquarters.
Categories of individuals covered by the system:
Individuals who make long distance calls and individuals who receive
calls placed from or charged to Department telephones.
Categories of records in the system:
Records may include: (1) The names and assigned organizations of
individuals who make long distance calls from Department telephones
and who receive long distance calls that are charged to Department
telephones, (2) the names and addresses of called parties and parties
who initiate collect calls from outside the Department which are
charged to Department telephones, (3) records indicating assignment of
telephone numbers to employees, and (4) records relating to location
of telephones. Records may be maintained at worksites and used by
supervisors in establishing responsibility for specific telephone
calls. Subsequent inquiries may require that these records become a
part of an investigation file.
Authority for maintenance of the system:
Section 7(d), Department of Housing and Urban Development Act, 42
U.S.C. 3535(d); 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Use paragraphs in prefatory statement. Other routine uses:
(1) To Members of Congress to respond to inquiries made on behalf of
individual constituents that are record subjects; (2) to
representatives of the General Services Administration or the National
Archives and Records Administration who are conducting records
management inspections under the authority of 44 U.S.C. 2904 and 2906;
(3) in response to a request for discovery or for the appearance of a
witness, to the extent that the subject matter in a pending judicial
or administrative proceeding concerns the misuse of Government
telephones or a violation of law or regulation; (4) in a proceeding
before a court or adjudicative body to the extent that the records are
relevant and necessary to the proceeding, and the proceeding concerns
the misuse of Government telephones or a violation of law or
regulation; and (5) to employees of the Department to determine their
individual responsibility for telephone calls.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosure may be made
from this system to ``consumer reporting agencies'' as defined in the
Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701 (a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Various portions of the system are maintained on computer disks,
magnetic tape, computer printout, and other hard copy.
Retrievability:
Records are retrieved by employee name or identification number, by
name of recipient of telephone call, and by telephone number.
Safeguards:
Access to records is limited to Department employees who have an
official need for the records. Internal procedures governing the use,
transfer, and photocopying of the records have been established.
Records in the system are maintained in a locked room and file folders
are maintained in locked cabinets. Automated records are protected
from unauthorized access through password identification procedures
and other system-based protection methods.
Retention and disposal:
Records are disposed of as provided in the National Archives and
Records Administration General Records Schedule 12.
System manager(s) and address:
Director, Communications and Space Management Division, Department of
Housing and Urban Development, 451 Seventh Street, Southwest,
Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about the existence of
records, contact the HUD Headquarters Privacy Act Officrer in
accorance with procedures in 24 CFR part 16.
Record access procedures:
The Department's rules for providing access to records to the
organization or individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the HUD
Headquarters Privacy Act Officer.
Contesting record procedure:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the HUD Headquarters Privacy Act Officer; (ii) in relation to
appeals of initial denials, the Department of Housing and Urban
Development Departmental Privacy Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, Southwest, Washington, DC 20410.
Record source categories:
HUD telephone assignment records; call detail listing; and results of
administrative inquiries relating to assignment of responsibility for
placement of specific long distance calls.
HUD/DEPT-81
System name: Ethics Filings.
Security classification:
Sensitivity--S2. Disclosure or alteration of data rated S2 represents
a small but unimportant risk to the organization and its mission.
Criticality--C2. Since systems rated C2 will be needed eventually,
security officers should write a contingency plan. Management should
attempt recover only after restoring the more critical systems.
System location:
Headquarters, Office of Ethics.
Categories of individuals covered by the system:
Section 102
Any applicant that submits an application for assistance within the
jurisdiction of the Department to HUD, to a State, or to a unit of
general local government, if the applicant has received, or can
reasonably expect to receive, an aggregate amount of all forms of such
assistance in excess of 200,000 dollars during the Federal fiscal year
in which an application is submitted.
Section 112
A. Any person who makes or agrees to make an expenditure to influence
the decision of any officer or employee of the Department, through
communications with such officer or employee, with respect to: (1) The
award of any financial assistance within the jurisdiction of the
Department, or (2) any management action involving a change in the
terms and conditions or status of financial assistance awarded to any
person; and,
B. Any person who receives payment or is retained for the purposes
described in A. above.
Byrd Amendment
Any person who requests or receives a Federal contract, grant, loan,
cooperative agreement or loan insurance or commitment from HUD and who
makes a payment, or agrees to make a payment for influencing, or
attempting to influence, an officer or employee of the United States,
a Member of Congress, an officer or employee of Congress, and an
employee of a Member of Congress in connection with a Federal
contract, grant, loan, cooperative agreement or loan insurance or
commitment from HUD.
Categories of records in the system:
The files consist of applicant information and information regarding
lobbyist/consultant activity. The documents may include reporting
applicant/individual/entities' or lobbyists' name, addresses, payments
made, types of payments, compensation received, and services
performed; officers, employees, or Members of Congress contacted;
previous Government employment; type of assistance received and
requested, names of project/activity participants; expected sources
and uses of funds; Social Security Numbers (SSNs) or Employer
Identification Numbers (EINs); Federal Action Numbers; payor/payee's
names, addresses, dates of agreements, and estimated valuation of
payments.
Authority for maintenance of the system:
Sections 102 and 112 of the HUD Reform Act of 1989, 42 U.S.C. 3545 and
3537b; the Byrd Amendment (Section 319 of the Department of Interior
and Related Agencies Appropriations Act for Fiscal Year 1990, Pub. L.
101-121), 31 U.S.C. 1352; and the Housing and Community Development
Act of 1987, 42 U.S.C. 3543.
Purpose(s):
The information collected under section 102 will enable HUD to provide
public disclosure of documentation adequate to indicate how HUD and
recipients of HUD assistance provided or denied the assistance to
their applicants; e.g., other government assistance being requested,
names and financial interest of all interested parties, and a report
of expected sources and uses of funds.
The information collected under section 112 of the HUD Reform Act and
the Byrd Amendment will identify those who make an expenditure for
lobbying purposes and those lobbyists and consultants who may be
engaged in influencing the outcome of decisions made by the
Department. This information will improve HUD's ability to assure that
the award of financial assistance is conducted in a manner that is
fair and open, and free from improper influence.
The system will assist the Department in complying with legislative
requirements, and will ensure greater accountability and integrity in
HUD's grant and loan processes.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Section 102 information will be made available for public inspection.
Section 112 information will be compiled in a report to be published
in the Federal Register, shall constitute part of the public records
of the Department, and shall be open to public inspection.
The Byrd Amendment information will be compiled in a report for
submission to the Secretary of the Senate and the Clerk of the House
of Representatives on a semi-annual basis. The report, including the
compilation, shall be available for public inspection 30 days after
the receipt of the report by the Secretary and the Clerk.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders; in computers with limited access.
Retrievability:
Name of reporting individual/entity, SSN, EIN, any project number or
grant or loan number, name of person or entity in whose interest the
registrant appears or works, federal action number, HUD program, and
registration number.
Safeguards:
File folders and computers kept in a secured area; access restricted
to authorized individuals.
Retention and disposal:
Records collected pursuant to Section 112 of the HUD Reform Act of
1989 will be retained for two years in accordance with section 13, 42
U.S.C. 3537b. Records collected pursuant to section 102 will be
retained for five years in accordance with 42 U.S.C. 3545 of the HUD
Reform Act of 1989. For the Byrd Amendment, records will be destroyed
in accordance with HUD Handbook 2225.6, Records Disposition
Management: HUD Records Schedules.
System manager(s) and address:
Director, Office of Ethics, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at the Headquarters location,
in accordance with 24 CFR part 16. This location is given in appendix
A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the Headquarters location. If
additional information or assistance is needed in relation to appeals
of initial denials, it may be obtained by contacting the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
HUD/DEPT-82
System name: ADP Security Clearance Information System.
Security classification:
Sensitivity-S3. Serious risk. Disclosure or alteration of data rated
S3 could seriously threaten the organization or its mission.
Criticality-C1. Useful. The system warrants neither a specific
contingency plan nor any concern during recovery.
System location:
Headquarters.
Categories of individuals covered by the system:
All current, former, and prospective HUD employees, as well as
contractor personnel, assigned to sensitive positions related to ADP
systems.
Categories of records in the system:
The system contains the name, social security number, position
sensitivity classification, location of individual, dates and types of
investigations, and dates and levels of clearances.
Authority for maintenance of the system:
Authority for maintenance of the system includes the following with
any revisions or amendments: Executive Order 10450 and Executive Order
12065; and, the Housing and Community Development Act of 1987 (42
U.S.C. 3543).
Purpose(s):
The records are used for administrative reference to schedule and
control background investigations of HUD personnel, as well as
contractor personnel, who have access to sensitive systems of HUD.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other Routine
Uses: To officials of labor organizations recognized under 5 U.S.C.
Chapter 71--(1) notice of the sensitivity level of all sensitive
systems, which will be updated annually; (2) lists of bargaining unit
positions designated as sensitive (provided periodically); (3)
schedule of bargaining unit positions which require background
investigations; (4) notice at the time an employee's access is removed
from sensitive systems as a result of any adverse action; and (5) when
possible, intent to perform planned reviews of ADP security in a
specific work environment.
Policies and practices for storing retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
Records are stored on disks, in computers with limited access, and in
file folders.
Retrievability:
Records are retrieved by the name, location, or social security number
of an individual.
Safeguards:
The disks, and file folders are kept in a secured area; access
restricted to authorized individuals. The disks and file folders do
not leave the Office of Information Policies and Systems.
Retention and disposal:
Most records are retained for one year after the individual leaves HUD
and then are disposed of by erasing the disks or shredding the files.
System manager(s) and address:
ADP Security Officer, ADP Security Staff, Office of Information
Policies and Systems, 451 7th Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appears in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting records procedures:
The Department's rules contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the Headquarters location, which
is given in appendix A; (ii) in relation to appeals of initial
denials, the HUD Departmental Privacy Appeals Officer, Office of
General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals.
HUD/CPD-1
System name: Rehabilitation Loans-Delinquent/Default.
System location:
Headquarters and field offices. For a complete listing of these
offices, see Appendix A.
Categories of individuals covered by the system:
Rehabilitation loan debtors who are delinquent or in default on their
loans.
Categories of records in the system:
Names credit applications; Social Security Number where available,
loan and grant documents, including promissory note, mortgage, deed of
trust, title evidence; HUD Section 312 forms and documents; statement
of account; sales contract; assumption agreements; compromise
agreements; subordination agreements; repayment agreements; collection
history, including correspondence with borrower, servicer, and LPA;
credit reports; financing statements; records of foreclosures; charge-
offs; judgments on the note and deficiency judgments; creditor
requests for collection assistance; insurance documents; bankruptcy
records and documents; property appraisals; rehabilitation contracts;
correspondence with the LPA's and related correspondence and
documents.
Authority for maintenance of the system:
42 USC 1452b, Housing Act of 1964.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, other routine uses are as follows:
(a) Department of Justice--for prosecution of fraud revealed in the
course of claims collection efforts and for the institution of suit or
other proceedings to effect collection of claims.
(b) To the Federal Bureau of Investigation--for investigation of
possible fraud revealed in the course of claims collection efforts.
(c) General Accounting Office--for audit purposes.
(d) To private employers and Federal agencies to facilitate collection
of claims against employees.
(e) To the Office of Personnel Management--for offsetting retiring
payments.
(f) To consumer reporting and commercial credit agencies to facilitate
claims collection consistent with Federal Claims Collection Standards,
4 CFR 102.4.
(g) To financial institutions that serviced loans--to give notice of
disposition of claims.
(h) To local recording offices for filing assignments of legal
documents, satisfactions, etc.
(i) To bankruptcy courts for filing of proofs of claim.
(j) To local agencies that service HUD Section 312 Rehabilitation
loans--to aid in the collection of delinquent loans.
(k) To counseling agencies to provide counseling and assistance in the
collection of delinquent Section 312 loans in accordance with HUD/
Dept-22
(l) To state motor vehicle agencies and Internal Revenue Service--to
obtain current addresses of debtors.
(m) To prospective purchasers--for sale of mortgages, loans or
insurance premiums or charges.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1968 31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and on magnetic tape/disc/drum.
Retrievability:
Case file (Claim) number, name or other identification number.
Safeguards:
Manual files are kept in lockable cabinets or rooms; automated records
are maintained in secured areas. Access to either type of record is
limited to authorized personnel.
Retention and disposal:
Records are primarily active with some historical information;
disposal is in accordance with HUD Handbook 2225.6, Appendix 66.
System manager(s) and address:
Director, Rehabilitation Management Division, CRM, Office of Urban
Rehabilitation, Department of Housing and Urban Development, 451
Seventh Street SW, Washington, DC 20410.
Notification procedure:
For information, assistance or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contracting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the Departmental Privacy Appeals Officer, Office
of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals; current and previous employers; credit bureau;
financial institutions; business firms; federal and non-federal
agencies; law enforcement agencies; title companies and abstractors;
bankruptcy courts.
HUD/H-3
System name: Single Family Housing Monitoring System (F-39).
System location: Headquarters.
Categories of individuals covered by the system: Single-family
mortgagors.
Categories of records in the system: Cross-indexes (used to support
studies and investigations).
Authority for maintenance of the system: National Housing Act of 1934,
Pub.L. 73-479, Sec. 209.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Magnetic tape/disc/drum.
Retrievability: Name; case file number.
Safeguards: Computer facilities are secured and accessible only by
authorized personnel, and all files are stored in a secured area.
Technical restraints are employed with regard to accessing the
computer and data files.
Retention and disposal: Records system is active and kept up-to-date.
System manager(s) and address: Director, Management Information Systems
Division, HAI, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. A list of
all locations is given in Appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at Headquarters. A list of all locations is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Record source categories: Subject individuals; current or previous
employers; credit bureau; financial institutions; corporations;
firms; federal government agencies.
HUD/H-5
System name: Single Family Computerized Homes Underwriting
Management System (CHUMS).
System location: Headquarters and Field Offices. For a complete listing
of these offices, with addresses, see appendix A.
Categories of individuals covered by the system: Individuals involved in
the HUD/FHA single-family underwriting process (builders, fee
appraisers, fee mortgage credit examiners, fee inspectors,
mortgagors, mortgagee staff appraisers, mortgagee staff
underwriters) and HUD employees involved in the single family
underwriting process (Directors, Deputy Directors of Housing
Divisions, Service Office Supervisors, staff appraisers, staff
mortgage credit examiners, architectual employees, receiving clerks,
assignment clerks, commitment clerks, records clerks, and closing
clerks).
Categories of records in the system: Case binders and automated files
contain name, address, social security number or other
identification number, and minority data (including racial/ethnic
background, Minority Business Enterprise (MBE) Code, and sex for
statistical tracking purposes) of the builder and mortgagor. These
records also contain the name, address, social security number or
other identification number, territory, workload, and minority data
(including racial/ethnic background, Minority Business Enterprise
(MBE) Code, and sex, for statistical tracking purposes) of fee
appraisers, fee mortgage credit examiners, and fee inspectors. These
records will further contain the name and identifying number of each
mortgagee staff appraiser and each mortgagee staff underwriter and
the territory and workload of those individuals.
Additionally, the automated files contain identification (name and
social security or other identifying number) of HUD employees involved
in the single family underwriting process (Directors, Deputy Directors
of Housing Divisions, Service Office Supervisors, staff appraisers,
staff mortgage credit examiners, architectural employees, receiving
clerks, assignment clerks, commitment clerks, records clerks, and
closing clerks).
Authority for maintenance of the system:
Section 203, National Housing Act, Pub. L. 73-479.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Routine Uses paragraphs in prefatory statement. Other routine
uses:
a. To other agencies; such as; Departments of Agriculture, Education
and Veterans Affairs, and the Small Business Administration--for use
of HUD's Credit Alert Interactive Voice Response System (CAIVRS) to
prescreen applicants for loans or loans guaranteed by the Federal
Government to ascertain if the applicant is delinquent in paying a
debt owed to or insured by the Government.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In case binders and on magnetic tape/disc/drum.
Retrievability:
Name, social security number or other identification number.
Safeguards:
Manual files are kept in lockable cabinets or rooms; automated records
are maintained in secured areas. Access to either type of record is
limited to authorized personnel.
Retention and disposal:
Manual records of insured cases are retained for 36 years and rejected
cases are retained for one year. Computerized records of insured cases
are retained for 10 years and rejected cases are retained for 3 years.
System manager(s) and address:
Director, Office of Single Family Housing, HSS, Department of Housing
and Urban Development, 451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed, it may
be obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A; (ii) in relation to appeals
of initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Mortgagees, Appraisers, Inspectors, Mortgage Credit Examiners,
Builders, Mortgagee Staff Apprasiers, Mortgagee Staff Underwriters,
and HUD Employees.
HUD/H-6
System name: Section 518 Files.
System location: HUD field offices.
Categories of individuals covered by the system: HUD insured owners of
one-to-four family dwellings who filed claims because of structural
or other major defects found in their homes.
Categories of records in the system: Name, address, home phone number,
property inspection report, disposition of claim information and
other information pertinent to the claim.
Authority for maintenance of the system: Sec. 104, Housing and Urban
Development Act of 1970 (Pub.L. 91-609), 12 U.S.C. 1735b.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders.
Retrievability: Name, case number, and claim number.
Safeguards: Records are kept in lockable file cabinets with access
limited to authorized personnel.
Retention and disposal: Records are retained for six years and then
disposed.
System manager(s) and address: Chief, Special Programs Branch, HSSI,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
appropriate location, in accordance with 24 CFR part 16. A list of
all locations is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the appropriate location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A; (ii) in relation to appeals of initial denials, the HUD
Departmental Privacy Appeals Officer, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410.
Record source categories: Subject individuals and Departmental records.
HUD/H-7
System name: Previous Participation Files.
System location: Headquarters and field offices.
Categories of individuals covered by the system: Principals (owners,
general contractors, management agents, consultants and packagers)
in HUD multifamily housing programs.
Categories of records in the system: Information concerning the
Department's consideration/approval/disapproval of HUD multifamily
housing program principals, including names and Social Security
Numbers of principals; lists of prior HUD projects; summaries of
financial, management, or operational difficulties with prior HUD
projects (if any); indication of whether principals are or have been
the subject of a government; investigation, other information
relevant to the standards for previous participation approval;
minutes of deliberative meetings.
Authority for maintenance of the system: Section 7(d), Department of HUD
Act, 79 Stat. 670, (42 U.S.C. 3535(d)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
of prefatory statement. Other routine uses: To state and local
governments participating in HUD housing programs as co-insurers or
finance agencies--to assist in project application reviews.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders in filing cabinets.
Retrievability: Name of principal and HUD project case number.
Safeguards: Files are kept in lockable cabinets. Access is limited to
authorized personnel.
Retention and disposal: Records are primarily active; disposal is in
accordance with HUD Handbook.
System manager(s) and address: Director, Participation and Compliance
Division, HAC, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the Headquarters location. A list of all
locations is given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed in relation to contesting the contents of
records, it may be obtained by contacting the Privacy Act Officer at
the appropriate location. A list of all locations is given in
appendix A. If additional information or assistance is needed in
relation to appeals of initial denials, it may be obtained by
contacting the HUD Departmental Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410.
Record source categories: Subject individuals; HUD Field Offices; other
governmental agencies.
HUD/H-8
System name: Property Rental Files.
System location:
HUD field offices and HUD Area Management Brokers (AMBs) under the
jurisdiction of the HUD field offices. For a complete listing of HUD
field offices with addresses, see appendix A.
Categories of individuals covered by the system:
Occupants (prospective, current and former) of the one to four-family
properties which HUD expects to acquire, generally as a result of
foreclosure, or has acquired or of which HUD expects to or has taken
possession.
Categories of records in the system:
The files consist of documents pertaining to request for continued
occupancy, rental applications, and rent payment. The documents will
include leases and rental information if the properties are being
conveyed or transferred to HUD subject to occupancy; individuals'
names, addresses, telephone numbers, identifying numbers such as
Social Security Numbers, (if available) income, circumstances of
employment, expenses, liabilities, and personal and credit references,
and records of rents paid and owned while tenants of HUD, and related
correspondence. Also, pursuant to 24 CFR 203.670, where individuals
seek to qualify for continued occupancy of a property to be conveyed
to HUD because of an illness or injury, certain documentation
pertaining to the validity of the individuals' claims will be
maintained in these files.
Authority for maintenance of the system:
National Housing Act of 1937 as amended (Pub. L. 75-412).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See routine uses paragraph in prefatory statement. Other routine uses:
Consumer reporting and commercial credit agencies--to facilitate
claims collection consistent with Federal claims collection standards,
4 CFR 102.4, to State motor vehicle agencies and Internal Revenue
Service--to obtain current addresses of debtors, to Internal Revenue
Service--for reporting of discharged indebtedness, to attorneys hired
by the Department in connection with eviction related activities--to
facilitate eviction related activities, to collection agencies hired
by the Department--to collect delinquent rent, to prospective
purchasers of tenant occupied properties--to provide them rent rolls
and income and expenses data, and to HUD's Area Management Brokers
(AMBs)--to permit them to perform their property management
responsibilities.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders.
Retrievability:
Case file number, property address, and name of tenant.
Safeguards:
Desk, file cabinets kept in a secured area. Access restricted to
authorized individuals.
Retention and disposal:
Obsolete records are destroyed or sent to storage facility in
accordance with HUD Handbook 2225.6, Records Disposition Management;
HUD Records Schedules.
System manager(s) and address:
Director, Single Family Property Disposition Division, HSSP, Office of
Single Family Housing, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Office
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Subject individuals, other individuals, current or previous employers
credit bureaus, financial institutions, other corporations or firms,
Federal government agencies; non-Federal (including foreign, State and
local) government agencies, real estate brokers and agents.
HUD/H-9
System name: Project Management Records.
System location:
Headquarters, HUD Field Offices and HUD Project Managers under the
jurisdiction of the HUD Field Offices. For a complete listing of HUD
Field Offices with addresses, see appendix A.
Categories of individuals covered by the system:
Occupants (prospective, current and former) of multifamily projects
(five or more units) which HUD expects to acquire, generally as a
result of foreclosure, or has acquired, or of which HUD expects to or
his taken possession.
Categories of records in the system:
The records consist of documents pertaining to rental applications and
rent payments. The documents include leases and rental information if
the projects are being conveyed or transfered to HUD; individuals'
names, addresses, telephone numbers, identifying numbers such as
Social Security Numbers (if available), income, circumstances or
employment, expenses, liabilities, and personal and credit references,
and records of rents paid and owed while tenants of HUD, and related
information and correspondence.
Authority for maintenance of the system:
U.S. Housing and Urban Development Act, 42 U.S.C. 3535(d).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See routine uses paragraph in prefatory statement. Other routine uses:
Consumer reporting and commercial credit agencies--to facilitate
claims collection consistent with Federal claims collection standards,
4 CFR 102.4; to Federal, State and local governmental organizations--
to verify information provided on applications to expose fraudulent
information; to HUD project managers--to permit them to perform their
property management functions; to State motor vehicle agencies and
Internal Revenue Service--to obtain current addresses to debtors; to
attorneys hired by the Department in connection with eviction related
activities--to facilitate eviction related activities; to collection
agencies hired by the Department--to collect delinquent rent; and to
prospective purchasers of tenant occupied properties--to provide them
rent rolls and income and expense data.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders and on magnetic tape, disc or drum.
Retrievability:
Project number, project address, and name of tenant.
Safeguards:
Desk, file cabinets kept in secured area. Computer records are
maintained in secured areas with technical restraints employed with
regard to accessing records. Access restricted to authorized
individuals.
Retention and disposal:
Records are disposed of in accordance with the mandatory General
Records Schedules contained in HUD Handbook 2228.2. Project records
are conveyed to purchasers of the projects.
System manager(s) and address:
Director, Office of Multifamily Financing and Preservation, Department
of Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
Notification procedure:
For information, assistance, or inquiry about existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedure:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
Record source categories:
Tenants and prospective tenants.
HUD/H-11
System name:
Tenant Housing Assistance and Contract Verification Data.
System location:
Headquarters and Field Offices. For a listing of Field Offices with
addresses, see 24 CFR part 16, appendix A. Decentralized portions of
this data may be maintained by selected contractors with research
contracts.
Categories of individuals covered by the system:
This file contains a record for each individual receiving housing
assistance from HUD under the following programs: Section 8, Public/
Indian Housing, Section 236 (including Section 236 RAP), Rent
Supplement, Section 221(d)3 BMIR, Section 811, and Section 202. The
file will also contain a record for each PHA/owner/management agent
who receives payments for the assisted housing programs mentioned
above.
Categories of records in the system:
The system of records provides data needed to: (1) Determine the
amount of housing assistance tenants may receive, (2) calculate
payments due to public housing agencies, owners/management agents, or
contract administrators, (3) forecast budgets and (4) control funds.
The system of records also contains manual and automated records
consisting of: Identification information such as Name; SSNs for all
individuals six (6) years of age and older; Alien Registration
Information; address and tenant unit number; financial data such as
income, adjustments to income; contract rent amount; tenant rent;
tenant characteristics such as number in family, sex of family member,
information about the family that would qualify them for certain
adjustments or for admission to a project limited to a special
population (e.g., elderly, handicapped or disabled); relationships of
members of the household to the Head of household (e.g., spouse,
child); preference(s) applicable to the family at admission; income
status at admission and race and ethnicity of Head of household; unit
characteristics such as number of bedrooms; geographic data
information obtained by PHA or owner from third parties used to verify
data supplied by the applicant or tenant to determine eligibility or
level of assistance; information obtained from a state wage
information collection agency on wages and claim information;
information obtained through computer matching by HUD or a PHA with
Federal and State agencies; information on the results of the follow-
up phase of owner verifications or a computer match of tenant income
(i.e., dollar amount of overpaid assistance, amount repaid,
prosecution, termination of assistance, and termination of tenancy);
and related correspondence.
Also included are manual and automated records on all contractual
agreements, and financial information (i.e., names, addresses,
Taxpayer Identification Numbers (TINs) or Social Security Numbers
(SSNs), obligations, payments, contract terms) for public housing
agencies, and/or owners/management agents.
Authority for maintenance of the system:
United States Housing Act of 1937; as amended, 42 U.S.C. 1437 et seq.,
and the Housing and Community Development Amendments of 1981, Public
Law 97-35, 95 Stat. 408.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
See routine uses paragraph in prefatory statement. Other routine uses
include:
1. Federal, State, and local agencies (e.g., State agencies
administering the State's unemployment compensation laws, State
Welfare and food stamp agencies, U.S. Office of Personnel Management,
U.S. Postal Service, U.S. Department of Defense, and U.S. Social
Security Administration)--to verify the accuracy and completeness of
the data provided, to verify eligibility or continued eligibility in
HUD's rental assistance programs, and to aid in the identification of
tenant errors, fraud and abuse in assisted housing programs through
the Department's tenant income computer matching program;
2. Individuals under contract to HUD or under contract to another
agency with funds provided by HUD--for the performance of research and
statistical activities directly related to the management of HUD's
rental assistance programs, to support quality control for tenant
eligibility efforts requiring a random sampling of tenant files to
determine the extent of administrative errors in making rent
calculations, eligibility determinations, etc., and for processing
certifications/ recertifications.
3. Public Housing Authorities, (PHAs)--to verify the accuracy and
completeness of tenant data used in determining eligibility and
continued eligibility and the amount of housing assistance received;
4. Private Owners of assisted housing--to verify the accuracy and
completeness of applicant and tenant data used in determining
eligibility and continued eligibility and the amount of assistance
received.
5. Private owners of assisted housing--to verify the accuracy and
completeness of applicant and tenant data used in determining
eligibility and continued eligibility and the amount of assistance
received.
6. To PHAs, owners/management agents and contract administrators--to
identify and resolve discrepancies in tenant data;
7. To the Internal Revenue Service--to report income using IRS Form
1099; and,
8. Social Security Administration and Immigration and Naturalization
Service--to verify alien status and continued eligibility in HUD's
rental assistance programs.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Paper records in file folder; magnetic tape/disk.
Retrievability:
Name of tenant and all household members, address, SSN, or other
identification number. Name of owners/management agents by name, SSN
or TIN.
Safeguards:
File folders, automated records kept in a secured area. Access
restricted to authorized individuals.
Retention and disposal:
Obsolete records are destroyed or sent to a storage facility in
accordance with HUD Handbook 2235.6, Records Disposition Management;
HUD Records Schedules.
System manager(s) and address:
For Section 8, Section 236 (including Section 236 RAP), Rent
Supplement, Section 221(d)3 BMIR, Section 811, and Section 202--Office
of the Assistant Secretary for Housing: Director, Housing Information
and Statistics Division, Office of Management; Director, Planning and
Procedures Division, Office of Multifamily Housing Management, Deputy
Assistant Secretary for Multifamily Housing Programs; Department of
Housing and Urban Development, 451 7th Street, SW., Washington, DC
20410.
For Public and Indian Housing and Section 8 existing and Mod Rehab
Programs--Office of Assistant Secretary for Public and Indian Housing:
Office of Public Housing, Chief, Occupancy Branch, Department of
Housing and Urban Development, 451 7th Street, SW., Washington, DC
20410.
For Computer Matching Activities--Director, Computer Matching
Activities Division, Office of Public and Indian Housing Comptroller,
U.S. Department of Housing and Urban Development, 451 7th Street, SW.,
Washington, DC 20410.
Notification procedures:
For information assistance, or inquiry about the existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rule for contesting the contents of records and
appealing initial denials by the individual concerned appear in 24 CFR
part 16. If additional information or assistance is needed in relation
to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 7th Street, SW., Washington, DC 20410.
Record source categories:
Subject individuals, other individuals and organizations, Federal,
State, and local agencies. PHA staff/private owners/management agents.
HUD/H-12
System name: Housing Compliance Files.
System location:
Headquarters and Field Offices. For a listing of Field Offices with
addresses, see appendix A.
Categories of individuals covered by the system:
Individuals (those who are direct or indirect recipients of HUD funds;
participants, or contractors with participants in HUD-FHA assisted or
sponsored programs including mortgage insurance programs; or former
HUD employees as set forth in 24 CFR 24.3 and 24.4(f)) who have been
suspended, or debarred, or who are ineligible to participate in HUD
programs or those whose records of participation in HUD programs are
being reviewed for possible administrative actions to exclude them
from further participation.
Categories of records in the system:
The files consist of correspondence and documents pertaining to the
subject individuals. The documents may include indictments,
information, judgments, audits, inspector general investigation
reports, credit reports and financial reports, FBI reports, copies of
HUD/FHA forms, and related documentation and information. The
individual's name, family composition, marital status, arrest record
address, telephone number (if provided), and employment information
are also included in the file together with documentary evidence and/
or narrative details relative to improper or illegal acts or omissions
of participants in HUD programs.
Authority for maintenance of the system:
Department of HUD Act, 79 Stat. 670; (42 U.S.C. 3535(d)).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See routine uses paragraph in prefatory statement. Other routine uses:
Attorneys who are in private practice who represent clients who have
files in the system--to permit the attorneys to properly represent
their clients; to licensing and regulatory agencies as well as to
other Federal and State government agencies--to provide information
concerning individuals who have been administratively sanctioned by
HUD.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders.
Retrievability:
Name of individual.
Safeguards:
Desks, file cabinets kept in a secured area. Access restricted to
authorized individuals.
Retention and disposal:
Obsolete records are destroyed or sent to storage facility in
accordance with HUD Handbook 2225.6, Records Disposition Management:
HUD Records Schedules.
System manager(s) and address:
Director, Participation and Compliance Division, Office of Management,
HAC, Department of Housing and Urban Development, 451 Seventh Street,
SW, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry abut the existence of records,
contact the Privacy Act Officer at the appropriate location, in
accordance with 24 CFR part 16. A list of all locations is given in
appendix A.
Record access procedures:
The Department's rules for providing access to records to the
individual concerned appear in 24 CFR part 16. If additional
information or assistance is required, contact the Privacy Act Officer
at the appropriate location. A list of all locations is given in
appendix A.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appear in 24
CFR part 16. If additional information or assistance is needed in
relation to contesting the contents of records, it may be obtained by
contacting the Privacy Act Officer at the appropriate location. A list
of all locations is given in appendix A. If additional information or
assistance is needed in relation to appeals of initial denials, it may
be obtained by contacting the HUD Departmental Privacy Appeals
Officer, Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street SW, Washington, DC 20410.
Record source categories:
HUD employees, Federal government agencies, non-Federal government
agencies, Federal and State courts, financial institutions
(mortgagees), State, and local law enforcement, regulatory or
licensing agencies.
HUD/OIG-1
System name: Investigative Files of the Office of Inspector
General.
System location:
Headquarters.
Categories of individuals covered by the system:
Individuals covered consist of: (1) HUD program participants and HUD
employees who are subjects of OIG inquiries or investigations; and (2)
complainants and key witnesses where necessary for future retrieval.
Categories of records in the system:
Records consist of investigatory material compiled for law enforcement
purposes, and include initial complaints filed against subjects or
other information relating to potential violations of law, reports of
investigation, findings of HUD officials, and recommendations and
dispositions to be made.
Authority for maintenance of the system:
The Inspector General Act of 1978, 5 U.S.C. App., authorizes the
Inspector General to conduct, supervise and coordinate investigations
relating to the programs and operations of HUD.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature, the
relevant records may be disclosed to the appropriate federal, state or
local agency charged with the responsibility for investigating or
prosecuting such violation or enforcing or implementing such statute,
rule or regulation.
2. Records may be disclosed to a congressional office in response to
an inquiry from that congressional office made at the request of the
individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking action to recover money or
property, where such recovery serves to promote the integrity of the
programs or operations of HUD.
4. Records may be disclosed during the course of an administrative
proceeding where HUD is a party to the litigation and the disclosure
is relevant and reasonably necessary to adjudicate the matter.
5. Records may be disclosed to any source, either private or
governmental, to the extent necessary to elicit information relevant
to an OIG investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored manually in file jackets and electronically in
office automation equipment.
Retrievability:
Records may be retrieved by manual or computer search of indices
containing the name of the individual to whom the record pertains.
Safeguards:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises with access limited to those
persons whose official duties require access. Computer terminals are
secured in controlled areas which are locked when unoccupied. Access
to automated records is limited to authorized personnel who must use a
password system to gain access.
Retention and disposal:
Retention and disposal is in accordance with General Records Schedule
22 (Inspector General Records), published by the National Archives and
Records Administration.
System manager(s) and address:
Assistant Inspector General, Office of Management and Policy, Office
of the Inspector General, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
Records are generally exempt from Privacy Act access. However, the
System Manager will give consideration to a request from an individual
for notification of whether the system contains records pertaining to
that individual.
Record access procedures:
Records are generally exempt from Privacy Act access. However, the
System Manager will give consideration to a request from an individual
for access to records pertaining to that individual. The procedures
for requesting access to records appear in 24 CFR parts 16 and 2003.
Contesting record procedures:
Records are generally exempt from Privacy Act amendment or correction.
However, the System Manager will give consideration to a request from
an individual for amendment or correction of records pertaining to
that individual. The procedures for requesting amendment or correction
of records appear in 24 CFR part 16.
Record source categories:
The OIG collects information from a wide variety of sources, including
from HUD, law enforcement agencies, program participants, subject
individuals, complainants witnesses and other nongovernmental sources.
Exemption from certain provisions of the act:
This system of records, to the extent that it consists of information
compiled for the purpose of criminal investigations, has been exempted
from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1),
(e)(2) and (e)(3) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
In addition, this system of records, to the extent that it consists of
other investigatory material compiled for law enforcement purposes,
has been exempted from the requirements of subsections (c)(3), (d)(1),
(d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
Finally, this system of records, to the extent that it consists of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment or Federal contracts, the release of which would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, has been exempted from the requirements of subsection
(d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules have
been promulgated in accordance with the requirements of 5 U.S.C.
553(b), (c) and (e) and have been published in the Federal Register.
HUD/OIG-2
System name: Hotline Complaint Files of the Office of Inspector
General.
System location:
Headquarters.
Categories of individuals covered by the system:
Individuals covered consist of: (1) HUD program participants and HUD
employees who are subjects of hotline complaints alleging possible
violations of law, rules or regulations, mismanagement, gross waste of
funds, abuse of authority or a substantial and specific danger to the
public health and safety; and (2) HUD employees and members of the
general public who are complainants.
Categories of records in the system:
Records consist of all forms and documentation generated by the
complaint, including recommended and final disposition of the matter.
Authority for maintenance of the system:
The Inspector General Act of 1978, 5 U.S.C. App., authorizes the
Inspector General to conduct, supervise and coordinate activities that
promote economy and efficiency in the programs and operations of HUD,
and to receive and investigate complaints concerning possible
violations of law, rules, or regulations, or mismanagement, gross
waste of funds, abuse of authority or a substantial and specific
danger to the public health or safety.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature, the
relevant records may be disclosed to the appropriate federal, state or
local agency charged with the responsibility for investigating or
prosecuting such violation or enforcing or implementing such statute,
rule or regulation.
2. Records may be disclosed to a congressional office in response to
an inquiry from that congressional office made at the request of the
individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking action to recover money or
property, where such recovery serves to promote the integrity of the
programs or operations of HUD.
4. Records may be disclosed during the course of an administrative
proceeding where HUD is a party to the litigation and the disclosure
is relevant and reasonably necessary to adjudicate the matter.
5. Records may be disclosed to any source, either private or
governmental, to the extent necessary to elicit information relevant
to an OIG hotline complaint.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored manually in file jackets and electronically in
office automation equipment.
Retrievability:
Records may be retrieved by manual or computer search of indices
containing the name of the individual to whom the record pertains.
Safeguards:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises with access limited to those
persons whose official duties require access. Computer terminals are
secured in controlled areas which are locked when unoccupied. Access
to automated records is limited to authorized personnel who must use a
password system to gain access.
Retention and disposal:
Retention and disposal is in accordance with General Records Schedule
22 (Inspector General Records), published by the National Archives and
Records Administration.
System manager(s) and address:
Assistant Inspector General, Office of Management and Policy, Office
of the Inspector General, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
Records are generally exempt from Privacy Act access. However, the
System Manager will give consideration to a request from an individual
for notification of whether the system contains records pertaining to
that individual.
Record access procedures:
Records are generally exempt from Privacy Act access. However, the
System Manager will give consideration to a request from an individual
for access to records pertaining to that individual. The procedures
for requesting access to records appear in 24 CFR parts 16 and 2003.
Contesting record procedures:
Records are generally exempt from Privacy Act amendment or correction.
However, the System Manager will give consideration to a request from
an individual for amendment or correction of records pertaining to
that individual. The procedures for requesting amendment or correction
of records appear in 24 CFR part 16.
Record source categories:
The OIG collects information from a wide variety of sources, including
from HUD, the General Accounting Office, other federal agencies,
program participants, subjet individuals, complaints, witnesses and
other nongovernmental sources.
Systems exempted from certain provisions of the act:
This system of records, to the extent that it consists of information
compiled for the purpose of criminal investigations, has been exempted
from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1),
(e)(2) and (e)(3) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
In addition, this system of records, to the extent that it consists of
other investigatory material compiled for law enforcement purposes,
has been exempted from the requirements of subsections (c)(3), (d)(1),
(d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
Finally, this system of records, to the extent that it consists of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment or Federal contracts, the release of which would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, has been exempted from the requirements of subsection
(d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules have
been promulgated in accordance with the requirements of 5 U.S.C.
553(b), (c) and (e) and have been published in the Federal Register.
HUD/OIG-3
System name: Name Indices System of the Office of Inspector
General.
System location:
Headquarters.
Categories of individuals covered by the system:
Individuals covered consist of HUD program participants and HUD
employees who have had some significant association with an OIG
investigation, audit report, or hotline complaint.
Categories of records in the system:
Records are contained in a computerized central reference system and
can consist of one or more of the following items: Individual's name;
alias or associated name; period covered by the audit; date of birth;
report date; city and state where the individual is located; social
security number or employer identification number; and the date the
case was closed. This information is cross-referenced to an underlying
OIG investigation, audit report, hotline complaint file number, or a
departmental suspension/debarment or Mortgagee Review Board action.
Authority for maintenance of the system:
The Inspector General Act of 1978, 5 U.S.C. App., authorizes the
Inspector General to conduct, supervise and coordinate audits and
investigations related to the programs and operations of HUD, to
engage in other activities that promote economy and efficiency in the
programs and operations of HUD, and to receive and investigate
complaints concerning possible violations of law, rules, or
regulations, or mismanagement, gross waste of funds, abuse of
authority or a substantial and specific danger to the public health or
safety.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None. Recods in this system are only disclosed to officers and
employees of HUD who have a need for such records in the performance
of their official duties. However, records contained in other OIG
systems of records may be disclosed pursuant to the routine uses that
are applicable to those systems.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored electronically in office automation equipment, and
on microfiche.
Retrievability:
Records may be retrieved through computer search by the name of the
individual to whom the record pertains.
Safeguards:
Computer terminals are secured in controlled areas which are locked
when unoccupied. Access to records is limited to authorized personnel
who must use a password system to gain access.
Retention and disposal:
Retention and disposal is in accordance with Records Disposition
Schedule 3 (Administrative Records), Item No. 84, Appendix 3, HUD
Handbook 2225.3 Rev-1.
System manager(s) and address:
Assistant Inspector General, Office of Management and Policy, Office
of the Inspector General, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
Records are generally exempt from Privacy Act access. However, the
System Manager will give consideration to a request from an individual
for notification of whether the system contains records pertaining to
that individual.
Record access procedures:
Records are generally exempt from Privacy Act access. However, the
System Manager will give consideration to a request from an individual
for access to records pertaining to that individual. The procedures
for requesting access to records appear in 24 CFR parts 16 and 2003.
Contesting record procedures:
Records are generally exempt from Privacy Act amendment or correction.
However, the System Manager will give consideration to a request from
an individual for amendment or correction of records pertaining to
that individual. The procedures for requesting amendment or correction
of records appear in 24 CFR part 16.
Record source categories:
The OIG collects information from a wide variety of sources, including
from HUD, the General Accounting Office, other Federal agencies,
program participants, subject individuals, complainants, witnesses and
other nongovernmental sources.
Systems exempted from certain provisions of the act:
This system of records, to the extent that it consists of information
compiled for the purpose of criminal investigations, has been exempted
from the requirements of subsections (c)(3), (d)(1), (d)(2), (e)(1),
(e)(2) and (e)(3) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
In addition, this system of records, to the extent that it consists of
other investigatory material compiled for law enforcement purposes,
has been exempted from the requirements of subsections (c)(3), (d)(1),
(d)(2) and (e)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
Finally, this system of records, to the extent that it consists of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment or Federal contracts, the release of which would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, has been exempted from the requirements of subsection
(d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules
promulgated in accordance with the requirements of 5 U.S.C. 553(b),
(c) and (e) and have been published in the Federal Register.
HUD/OIG-4
System name: Independent Auditor Monitoring Files of the Office
of Inspector General.
System location:
Cherry Hill, New Jersey.
Categories of individuals covered by the system:
Individuals covered are non-federal independent auditors who have
conducted audits of recipients of Federal funds received under HUD's
programs. An independent auditor is: (a) A licensed certified public
accountant or a person working for a licensed certified public
accounting firm, or (b) a public accountant licensed on or before
December 31, 1970, or a person working for a public accounting firm
licensed on or before December 31, 1970.
Categories of records in the system:
Records consist of materials generated in connection with quality
control reviews of the working papers of independent auditors,
including standardized checklists for evaluating an independent
auditor's work performance.
Authority for maintenance of the system:
The Inspector General Act of 1978, 5 U.S.C. App., requires the
Inspector General to assure that any work performed by non-federal
auditors complies with the auditing standards established by the
Comptroller General of the United States for audits of federal
establishments, organizations, programs, activities and functions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature, the
relevant records may be disclosed to the appropriate federal, state or
local agency charged with the responsibility for investigating or
prosecuting such violation or enforcing or implementing such statute,
rule or regulation.
2. In the event that records indicate pervasively unreliable or
seriously deficient work by an independent auditor, the relevant
records may be disclosed to an appropriate State board of accountancy
for possible administrative or disciplinary sanctions such as license
revocation. These referrals will be made only after the independent
auditor has been notified that the OIG is contemplating disclosure of
its findings to an appropriate state board of accountancy, and the
independent accountant has been provided with an opportunity to
respond in writing to the OIG's findings.
3. In the event that records indicate pervasively unreliable or
seriously deficient work by an independent auditor, the relevant
records may be disclosed to an auditee who is a HUD program
participant, such as a Public Housing Authority, in order to assist
such auditee in evaluating its contractual relationship with the
independent auditor. These referrals will be made only after the
independent auditor has been notified that the OIG is contemplating
disclosure of its findings to the auditee, and the independent
accountant has been provided with an opportunity to respond in writing
to the OIG's findings.
4. Records may be disclosed to a congressional office in response to
an inquiry from that congressional office made at the request of the
individual who is the subject of the records.
5. Records may be disclosed during the course of an administrative
proceeding where HUD is a party to the litigation and the disclosure
is relevant and reasonably necessary to adjudicate the matter.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored manually in file jackets and electronically in
office automation equipment.
Retrievability:
Records may be retrieved by manual or computer search of indices
containing the name of the individual to whom the record pertains.
Safeguards:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises with access limited to those
persons whose official duties require access. Computer terminals are
secured in controlled areas which are locked when unoccupied. Access
to automated records is limited to authorized personnel who must use a
password system to gain access.
Retention and disposal:
Retention and disposal is in accordance with General Records Schedule
22 (Inspector General Records), published by the National Archives and
Records Administration.
System manager(s) and address:
Assistant Inspector General, Office of Management and Policy, Office
of the Inspector General, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure:
The System Manager will accept inquiries from an individual seeking
notification of whether the system contains records pertaining to that
individual.
Record access procedures:
The procedures for requesting access to records appear in 24 CFR parts
16 and 2003.
Contesting record procedures:
The procedures for requesting amendment or correction of records
appear in 24 CFR part 16.
Record source categories:
The OIG collects information from the subject independent auditor,
HUD, auditees, program participants, complainants and other
nongovernment sources.
Systems exempted from certain provisions of the act:
None.
HUD/PD&R-6
System name: Real Estate Settlement Costs Research Files.
System location: Contractor's office (contractor to be selected).
Categories of individuals covered by the system: Buyers and sellers of
individual residential housing units and owners of such units who
refinance their mortgages.
Categories of records in the system: A national sample of Uniform
Settlement Statement (HUD-1) forms, showing detailed settlement
items and their costs, will be collected from mortgage lenders.
Follow-up phone calls to buyers and sellers listed on these forms
may be made to elicit information on settlement procedures, costs,
etc. In addition, a sample of HUD-1 forms and good-faith estimates
of settlement costs will be collected from mortgage lenders in about
12 different housing markets across the country; a sub-sample of
these forms will be used to draw a sample of buyers and sellers, as
well as a sample of attorneys, mortgage lenders, and others who
provided services to buyers and sellers in the sub-sample; this sub-
sample will then be interviewed. Data will also be collected from
national experts in this subject area and from State and local
bodies which regulate providers of settlement services.
Authority for maintenance of the system: Sec. 14, Real Estate Settlement
Procedures Act of 1974 (88 Stat. 1724), 12 U.S.C. 2613.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Routine Uses paragraphs
in prefatory statement. Other routine uses: None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders and magnetic tape/disc/drum.
Retrievability: Name or address of subject;
Safeguards: Manual records stored in lockable file cabinets and desks in
lockable rooms and computer facilities are in secured areas. Access
to both types of records are limited to authorized personnel.
Retention and disposal: All records will be maintained for five years
until the end of 1983.
System manager(s) and address: Director, Housing and Demographic
Analysis Division, TEH, Department of Housing and Urban Development,
451 Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location in accordance with 24 CFR part 16. This
location is given in Appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the headquarters location. This location is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street SW, Washington, DC
20410.
Record source categories: Subject individual, mortgage lenders, title
insurance firms, real estate agents, title abstractors, land
surveyors and other providers of settlement services.
HUD/PD&R-7
System name: Section 8 Program Research Data Files.
System location: Cambridge, Massachusetts.
Categories of individuals covered by the system: Families selected in a
random sample of applicants to and certificate holders in the
Section 8 Program.
Categories of records in the system: Name, address, household
demographics (age, sex, race, income, handicapped status), condition
of pre-program housing unit, program status information.
Authority for maintenance of the system: Sec. 501, 502, Housing and
Urban Development Act of 1970 (Pub.L. 91-609), 12 U.S.C. 1701z-1,
1701z-2.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
A. To authorized social science researchers participating in the
Moving to Opportunities for Fair Housing Demonstration Program (MTO)
and in the Chicago Gautreau Program.
B. To Abt Associates, and to other contractors selected by HUD to
carry out the objectives of MTO-related research and evaluation.
C. To the Social Security Administration to verify income/wage data.
D. To the Internal Revenue Service to verify income data.
E. To the Illinois Department of Employment Security verify income/
wage data for Section 8 certificate recipients in the Chicago CMSA.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders and on magnetic tape/disc/drum.
Retrievability: Name, address.
Safeguards: Manual files will be kept in lockable cabinets in a secured
area; computer records will be maintained in a separate secured
area. Access to either type of record will be limited to authorized
personnel.
Retention and disposal: All personal identifiers will be destroyed
approximately four months after the system is created.
System manager(s) and address: Director, Housing Assistance Research
Division, TRH Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence or records, contact the Privacy Act Officer at the
Headquarters locations, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, Contact the
Privacy Act Officer at the Headquarters location. This location is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear information or assistance is needed, it may be
obtained by contacting: (i) In relation to contesting contents of
records, the Privacy Act Officer at the headquarters location. This
location is given in appendix A; (ii) in relation to appeals of
initial denials, the HUD Departmental Privacy Appeals Officer,
Office of General Counsel, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
HUD/PD&R-8
System name: Income Certification Evaluation Data Files.
System location: Applied Management Science, Inc., Silver Spring, MD.
Categories of individuals covered by the system: Tenants of Section 8,
Section 236, and Public Housing projects. Projects are selected
randomly from a subset of all projects, tenants are selected
randomly from the set of all tenants of the projects thus sampled.
Categories of records in the system: Family identification (name,
address, Social Security Number), household demographics (age, sex,
family size, income and income sources, length of tenure),
verification of income data.
Authority for maintenance of the system: Title V, Section 501 and 502 of
the Housing and Community Development Act of 1970, Pub.L. 91-609.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See routine uses paragraphs
of prefatory statement. Other routine uses: Applied Management
Science, Inc.--to carry out objectives of study, Social Security
Administraiton, Internal Revenue Service--to verify income data.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: In file folders and on magnetic tape/disc/drum.
Retrievability: Name, address, Social Security Number.
Safeguards: Manual files will be kept in lockable cabinets in a secured
area; computer records will be maintained in a separate secured
area. Access to either type of record will be limited to authorized
personnel.
Retention and disposal: All records will be destroyed at the completion
of the study.
System manager(s) and address: Director, Evaluation Division, Department
of Housing and Urban Development, 451 Seventh Street SW, Washington,
DC 20410.
Notification procedure: For information, assistance, or inquiry about
existence of records, contact the Privacy Act Officer at the
Headquarters location, in accordance with 24 CFR part 16. This
location is given in appendix A.
Record access procedures: The Department's rules for providing access to
records to the individual concerned appear in 24 CFR part 16. If
additional information or assistance is required, contact the
Privacy Act Officer at the Headquarter's location. This location is
given in appendix A.
Contesting record procedures: The Department's rules for contesting the
contents of records and appealing initial denials, by the individual
concerned, appear in 24 CFR part 16. If additional information or
assistance is needed, it may be obtained by contacting: (i) In
relation to contesting contents of records, the Privacy Act Officer
at the Headquarters location. This location is given in appendix A;
(ii) in relation to appeals of initial denials, the HUD Departmental
Privacy Appeals Officer, Office of General Counsel, Department of
Housing and Urban Development, 451 Seventh Street, SW, Washington,
DC 20410.
Record source categories: Subject, Income Sources.
HUD/PIH-1
System name:
Tenant Eligibility Verification Files.
System location:
U.S. Department of Housing and Urban Development, 451 7th Street, SW,
Washington, DC 20410.
Categories of individuals covered by the system:
Tenants receiving housing assistance provided by programs administered
by the Department of Housing and Urban Development, or information
concerning those tenants obtained from other Federal or State
agencies, housing agencies, owners, and management agents.
Categories of records in the system:
Records consist of: (1) Automated tenant data obtained from HUD's HUD/
H-11, Tenant Housing Assistance and Contract Verification Data,
published at 59 FR 6035; February 9, 1994, (two HUD automated
systems--the Multifamily Tenant Certification System and the Tenant
Rental Assistance Certification System--are the primary components of
HUD/H-11); (2) automated tenant data provided by housing agencies,
owners or management agents (generally these records are available in
HUD/H-11); (3) information obtained from computer matching with
automated earned income data that the SSA provides under 26 U.S.C.
6103(l)(7)(A) from the Earnings Recording and Self-Employment Income
System (HHS/SSA/OSR, 09-60-0059) (Earnings Record) and Master
Beneficiary Record (HHS/SSA/OSR, 09-60-0090); (4) information obtained
from computer matching with automated unearned income data that the
IRS provides to HUD under 26 U.S.C. 6103(l)(7)(B) from Treasury/IRS
22.061, Wage and Information Returns Processing (JRP) File Treasury/
IFS; (5) information obtained from computer matching with automated
Title II (social security) and Title XVI (supplemental security
income) data that the SSA provides to HUD under a routine use from the
Supplemental Security Income Record, HHS/SSA/OSR 90-60-0103; (6)
information obtained from computer matching with wage and unemployment
compensation data from State wage information collection agencies; (7)
information obtained from computer matching with automated data from
the Office of Personnel Management's General Personnel Records (OPM/
GOVT-1), and the Civil Service Retirement and Insurance Records System
(OPM/Central-1) pursuant to a routine use; (8) information obtained
from computer matching with automated data from the Department of
Defense's Defense Manpower Data Center Data Base (S322.10.DMDC)
pursuant to a routine use; (9) information obtained from computer
matching with automated records from the SSA's Master Files of Social
Security Number Holder, known as the Enumeration Verification System
(HHS/SSA/OSR, 09-60-0058) pursuant to a routine use; (10) applications
for housing assistance and other related documentation obtained from
tenant case files maintained by housing agencies, owners, and
management; (11) data received from employers confirming income or
deductions supporting determinations of eligibility for, and the
amount of, housing assistance benefits; (12) automated records
provided by other Federal agencies under the investigative exclusion
of the Computer Matching and Privacy Protection Act of 1988; and (13)
automated records provided by housing agencies, owners and management
agents regarding actions taken on computer matching results.
Authority for maintenance of the system:
Subparagraph (D) of section 6103(l)(7) of the Internal Revenue Code,
26 U.S.C. 6103(l)(7)(D), permits HUD to request from the Commissioner
of the SSA and the Secretary of the Treasury, SSA and IRS earned and
unearned income information, respectively, needed to verify the
incomes of tenants who receive housing assistance. Section
6103(l)(7)(D) precludes HUD from redisclosing that information to
entities that administer HUD programs (i.e., housing agencies, owners
and management agents). However, the Stewart B. McKinney Homeless
Assistance Amendments Act of 1988, 42 U.S.C. 3544, as amended, allows
HUD to notify those entities that disparities exist between the
tenant-reported incomes and income obtained from independent income
sources, i.e., the SSA or the IRS.
Section 165 of the Housing and Community Development Act of 1987, Pub.
L. 100-242 authorizes HUD to require applicants and participants in
HUD-administered programs involving housing assistance to disclose to
HUD their social security numbers as a condition of initial or
continuing eligibility for participation. Subpart T of 24 CFR part 200
applies this requirement to members of households six (6) years of age
and older.
Applicable laws concerning HUD's assisted housing programs include:
The United States Housing Act of 1937, 42 U.S.C. 1437 note and section
101 of the Housing and Urban Development Act of 1965, 12 U.S.C. 1701s.
Purpose(s):
The purposes of HUD/PIH-1 are to aid HUD and entities that administer
HUD's assisted housing programs in: (a) Increasing the availability of
housing assistance to individuals who meet the requirements of Federal
housing assistance programs, (b) detecting abuses in assisted housing
programs, (c) taking administrative or legal actions to resolve past
abuses of assisted housing programs and (d) deterring abuses. HUD/PIH-
1 serves as a repository for automated information used in and
resulting from computer matching tenant data for recipients of Federal
rental assistance to other data sources; HUD/PIH also contains non-
automated information used in and resulting from verifying computer
results and in accomplishing the purposes previously cited. Records in
this new system are subject to use in authorized and approved computer
matching programs regulated under the Privacy Act of 1974, as amended.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
1. Records included in the system may be used in conducting computer
matching with Federal and State agencies to aid in the identification
of tenants who have received excessive rental housing assistance.
2. Records that HUD obtains from the SSA and the IRS under the
authority of 26 U.S.C. 6103(l)(7), may be disclosed only to the
tenant/taxpayer, to HUD employees responsible for investigating or
prosecuting such violation or enforcing or implementing a statute,
rule or regulation, or as otherwise permitted under 26 U.S.C. 6103.
3. Records that indicate a potential violation of law, whether
criminal, civil or regulatory in nature, except for records obtained
from the SSA and the IRS under 26 U.S.C. 6103(l)(7), may be disclosed
to the appropriate Federal, state or local agency charged with the
responsibility for investigating or prosecuting such violation or
enforcing or implementing a statute, rule or regulation.
4. Records, except for those obtained from the SSA or IRS under the
authority of 26 U.S.C. 6103(l)(7), may be disclosed to a congressional
office in response to an inquiry from that congressional office made
at the request of the individual who is the subject of the records.
5. Records, with the exception of those obtained pursuant to 26 U.S.C.
6103(l)(7), may be disclosed to housing agencies, owners and
management agents in order to assist them in determining tenants'
eligibility for housing assistance, and the amount of that assistance
and to facilitate recovery of money or property or other
administrative actions, i.e., eviction, necessary to promote the
integrity of programs.
6. Records, except for those obtained from the SSA and the IRS under
26 U.S.C. 6103(l)(7), may be disclosed during the course of an
administrative proceeding where HUD or a housing agency, owner or
management agent is a party to the litigation and disclosure is
relevant and reasonably necessary to adjudicate the matter.
7. Records, except for those obtained from the SSA and the IRS under
26 U.S.C. 6103(l)(7), may be disclosed to a Federal agency, in
response to its request, in connection with the hiring or retention of
an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting
agency, to the extent that the record is relevant and necessary to the
requesting agency's decision on the matter.
8. Records, except for those obtained from the SSA and the IRS under
26 U.S.C. 6103(l)(7), may be disclosed to a Federal agency to initiate
Federal salary or annuity offsets as necessary to collect excessive
housing assistance received by the tenant.
9. Records, except for those obtained from the SSA and the IRS under
26 U.S.C. 6103(l)(7), concerning an individual's receipt of excessive
housing assistance, including the individual's actions to repay the
same, may be disclosed to the Federal agency that employs such
individual, for the purpose of notifying the employer of potential
violation of the Standards of Ethical Conduct for Employees of the
Executive Branch.
10. Records may be used to provide statistical information to Congress
and the Office of Management and Budget for use in evaluating the
effectiveness of computer matching, income verification and related
administrative or legal actions taken.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are stored manually in tenant case files and electronically in
office automation equipment. Records, except for those obtained from
the SSA and the IRS under 26 U.S.C. 6103(l)(7)(A) and (B), may also be
stored on mainframe computer facilities.
Retrievability:
Records may be retrieved by manual or computer search of indices by
the name, social security number, housing agency, owner or management
agent.
Safeguards:
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises with access limited to those
persons whose official duties require access. Computer files and
printed listings are maintained in locked cabinets. Computer terminals
are secured in controlled areas which are locked when unoccupied.
Access to automated records is limited to authorized personnel who
must use a password system to gain access. HUD will safeguard the SSA
and the IRS records obtained pursuant to 26 U.S.C. 6103(l)(7)(A) and
(B) in accordance with 26 U.S.C. 6103(p)(4) and the IRS's ``Tax
Information Security Guidelines for Federal, State and Local Agencies,
Publication 1075.''
Retention and disposal:
Only those computer files and printouts created from the computer
matching that meet predetermined criteria are maintained. These
records will be destroyed as soon as they have served the matching
program's purpose. All other records will be destroyed as soon as
possible within 1 year. Paper listings containing personal identifiers
will be shredded. Computer source files provided by other
organizations will be returned to those organizations or destroyed in
accordance with computer matching agreements.
Information obtained through computer matching and tenant case file
reviews will be destroyed as soon as follow-up processing of this
information is completed, unless the information is required for
evidentiary reasons or needed by housing agencies, owners and
management agents for use in program eligibility determinations. When
needed for evidentiary documentation, the information will be referred
to the HUD Office of Inspector General (OIG) or other appropriate
Federal, state or local agencies charged with the responsibility for
investigating or prosecuting such violations. When referred to the HUD
OIG, the information then becomes a part of the Investigative Files of
the Office of Inspector General, HUD/OIG-1.
System manager(s) and address:
Director, Computer Matching Activities, Office of the Public and
Indian Housing Comptroller, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 5156, Washington, DC 20410.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to such
records, should address inquiries to the Director, Computer Matching
Activities, Office of the Public and Indian Housing Comptroller, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room 5156, Washington, DC 20410.
Written requests should contain the full name, Social Security Number,
date of birth, current address and telephone number of the individual.
For personal visits, the individual must be able to provide some
acceptable identification, such as a driver's license or other
identification card.
Record access procedures:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to such
records, should address inquiries to the Director, Computer Matching
Activities, Office of the Public and Indian Housing Comptroller, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room 5156, Washington, DC 20410.
Written requests should contain the full name, Social Security Number,
date of birth, current address and telephone number of the individual.
For personal visits, the individual must be able to provide some
acceptable identification, such as a driver's license or other
identification card.
Contesting record procedures:
The procedures for amendment or correction of records, and for
appealing initial agency determinations, appear in 24 CFR part 16.
Record source categories:
The Assistant Secretary for Public and Indian Housing collects
information from a variety of sources, including: Housing agencies,
the Assistant Secretary for Housing-Federal Housing Commissioner
(tenant information provided by owners and agents), state wage
information collection agencies, other Federal and state agencies, law
enforcement agencies, program participants, complainants, and other
nongovernmental sources.
System exempted from certain provisions of the act:
To the extent that information in this system of records falls within
the coverage of subsection (k)(2) of the Privacy Act, 5 U.S.C.
552(k)(2), the system is exempt from the requirements of subsections
(c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act. To the extent
that information in this system of records falls within the coverage
of subsection (k)(5) of the Privacy Act, 5 U.S.C. 552a(k)(5), the
system is exempt from the requirements of subsection (d)(1) of the
Privacy Act. See 24 CFR 16.15(c) and (d).
Appendix A--Officials to Receive Inquiries, Requests for Access and
Requests for Correction or Amendment.
Headquarters
Privacy Act Officer, 451 Seventh Street, SW, Washington, DC 20410.
Region I
Regional Administrator-Regional Housing Commissioner, 10 Causeway
Street, Room 375, Federal Building, Boston, Massachusetts 02222-1092.
Manager, 330 Main Street, 1st Floor, Hartford, Connecticut 06106-1860.
Manager, Norris Cotton Federal Building, 275 Chestnut Street,
Manchester, New Hampshire 03101-2487.
Chief, Casco Northern Bank Building, 23 Main Street, 1st Floor,
Bangor, Maine 04401-4318.
Manager, Room 330, John O. Pastore Federal Building and U.S. Post
Office, Kennedy Plaza, Providence, Rhode Island 02903-1785.
Chief, Federal Building, 11 Elmwood Avenue, Room B-31, Burlington,
Vermont 05402-0879.
Region II
Regional Administrator-Regional Housing Commissioner, 26 Federal
Plaza, New York, New York 10278-0068.
Manager, the Parkade Building, 519 Federal Street, Camden, New Jersey
08103-9998.
Manager, Military Park Building, 60 Park Place, Newark, New Jersey
07102-5504.
Manager, 465 Main Street, Lafayette Court, Buffalo, New York 14203-
1780.
Manager, New San Juan Office Building, 159 Carlos E. Chardon Avenue,
San Juan, Puerto Rico 00918-1804.
Manager, Leo W. O'Brien Federal Building, North Pearl Street and
Clinton Avenue, Albany, New York 12207-2395.
Region III
Regional Administrator-Regional Housing Commissioner, Liberty Square
Building, 105 South 7th Street, Philadelphia, Pennsylvania 19106-3392.
Manager, HUD Building, 451 Seventh Street, SW, Room 3158, Washington,
District of Columbia 20410-5500.
Manager, the Equitable Building, 3rd Floor, 10 North Calvert Street,
Baltimore, Maryland 21202-1865.
Manager, Old Post Office Courthouse Building, 7th Avenue and Grant
Street, Pittsburgh, Pennsylvania 15219-1906.
Manager, 400 North Eighth Street, Richmond, Virginia 23240.
Chief, Federal Building, 844 King Street, Room 1304, Wilmington,
Delaware 19801-3519.
Manager, 405 Capitol Street, Suite 708, Charleston, West Virginia
25301-1795.
Region IV
Regional Administrator-Regional Housing Commissioner, Richard B.
Russell Federal Building, 75 Spring Street, SW, Atlanta, Georgia
30303-3388.
Manager, Beacon Ridge Tower, 600 Beacon Parkway West, Birmingham,
Alabama 35233-3144.
Manager, 325 West Adams Street, Jacksonville, Florida 32202-4303.
Manager, PO Box 1044, 601 West Broadway, Louisville, Kentucky 40201-
1044.
Manager, Doctor A. H. McCoy Federal Building, 100 West Capitol Street,
Room 910, Jackson, Mississippi 39269-1096.
Manager, 415 North Edgeworth Street, Greensboro, North Carolina 27401-
2107.
Manager, Strom Thurmond Federal Building, 1835-45 Assembly Street,
Columbia, South Carolina 29201-2480.
Manager, 3rd Floor, John J. Duncan Federal Building, 710 Locust
Street, Knoxville, Tennessee 37902-2526.
Manager, Gables One Tower, 1320 South Dixie Highway, Coral Gables,
Florida 33146-2911.
Manager, 700 Twiggs Street, Room 527, PO Box 17910, Tampa, Florida
33672-2910.
Manager, One Memphis Place, 200 Jefferson Avenue, Suite 1200, Memphis,
Tennessee 38103-2335.
Manager, Cumberland Bend Drive, Suite 200, Nashville, Tennessee 37228-
1803.
Manager, Langley Building, 3751 Maguire Boulevard, Suite 270, Orlando,
Florida 32803-3032.
Region V
Regional Administrator-Regional Housing Commissioner, 626 West Jackson
Boulevard, Chicago, Illinois 60606-5601.
Manager, 151 North Delaware Street, Indianapolis, Indiana 46205-2526
Manager, Patrick V. McNamara Federal Building, 477 Michigan Avenue,
Detroit, Michigan 48226-2592.
Manager, 220 Second Street, South, Minneapolis, Minnesota 55401-2195.
Manager, 200 North High Street, Columbus, Ohio 43215-2499.
Manager, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue,
Suite 1380, Milwaukee, Wisconsin 53203-2289.
Chief, 524 South Second Street, Suite 672, Springfield, Illinois
62701-1774.
Manager, Amitec Building-Local, 352 South Saginaw Street, Room 200,
Flint, Michigan 48502-1953.
Manager, 2922 Fuller Avenue, NE, Grand Rapids, Michigan 49505-3499.
Manager, Federal Office Building, 550 Main Street, Cincinnati, Ohio
45202-3253.
Manager, One Playhouse Square, 1375 Euclid Avenue, Room 420,
Cleveland, Ohio 44114-1670.
Region VI
Regional Administrator-Regional Housing Commissioner, 1600
Throckmorton, Post Office Box 2905, Fort Worth, Texas 76113-2905.
Manager, Lafayette Building, 523 Louisiana, Suite 200, Little Rock,
Arkansas 72201-3707.
Manager, Fisk Federal Building, 1661 Canal Street, New Orleans,
Louisiana 70112-2887.
Manager, 525 Griffin Street, Room 860, Dallas, Texas 75202-5007.
Manager, Washington Square, 800 Dolorosa Street, San Antonio, Texas
78207-4563.
Manager, Joe D. Waggoner Federal Building, 500 Fannin Street, Room
6B04, Shreveport, Louisiana 71101-3077.
Manager, 625 Truman Street, NE, Albuquerque, New Mexico 87100-6443.
Manager, Murrah Federal Building, 200 NW 5th Street, Oklahoma City,
Oklahoma 73102-3202.
Manager, 1516 S. Boston Avenue, Suite 110, Tulsa, Oklahoma 74119-4032.
Manager, Norfolk Tower, 2211 Norfolk, Suite 200, Houston, Texas 77098-
4096.
Manager, Federal Office Building, 1205 Texas Avenue, Lubbock, Texas
79401-4093.
Region VII
Regional Administrator-Regional Housing Commissioner, Professional
Building, 1103 Grand Avenue, Kansas City, Missouri 64106-2496.
Manager, 210 North Tucker Boulevard, St. Louis, Missouri 63101-1997.
Manager, Braiker/Brandeis Building, 210 South 16th Street, Omaha,
Nebraska 68102-1622.
Manager, Federal Building, 210 Walnut Street, Room 239, Des Moines,
Iowa 50309-2155.
Chief, Frank Carlson Federal Building, 444 SE Quincy Street, Room 256,
Topeka, Kansas 66683-0001.
Region VIII
Regional Administrator-Regional Housing Commissioner, Executive Tower
Building, 1405 Curtis Street, Denver, Colorado 80202-2349.
Manager, Federal Office Building Drawer 10095, 301 S. Park, Room 340,
Helena, Montana 59626-0095.
Chief, Federal Building, PO Box 2483, 653 2nd Avenue North, Fargo,
North Dakota 58108-2483.
Chief, 300 Building, 300 North Dakota Avenue, Suite 116, Sioux Falls,
South Dakota 57102-0311.
Manager, 324 South State Street, Suite 220, Salt Lake City, Utah
84111-2321.
Chief, 4225 Federal Office Building, 100 East B Street, Post Office
Box 580, Casper, Wyoming 82602-1918.
Region IX
Regional Administrator-Regional Housing Commissioner, Federal
Building, 450 Golden Gate Avenue, Post Office Box 36003, San
Francisco, California 94102-3448.
Manager, 1615 W. Olympic Boulevard, Los Angeles, California 90015-
3801.
Manager, One North First Street, Suite 300, Post Office Box 13468,
Phoenix, Arizona 85002-3468.
Manager, Pioneer Plaza, 100 North Stone Avenue, Suite 410, Tucson,
Arizona 86701-1467.
Manager, 1630 East Shaw Avenue, Suite 138, Fresno, California 93710-
8193.
Manager, 777 12th Street, Suite 200, Sacramento, California 95809-
1997.
Manager, Federal Office Building, 880 Front Street, Room 5S3, San
Diego, California 92188-0100.
Manager, 34 Civic Center Plaza, PO Box 12850, Santa Ana, California
92712-2850.
Manager, 300 Ala Moana Boulevard, Room 3318, Honolulu, Hawaii 96850-
4991.
Manager, 1500 East Tropicana Avenue, 2nd Floor, Las Vegas, Nevada
89119-6516.
Manager, 1050 Bible Way, Post Office Box 4700, Reno, Nevada 89505-
4700.
Region X
Regional Administrator-Regional Housing Commissioner, Arcade Plaza
Building, 1321 Second Avenue, Seattle, Washington 89101-2058.
Manager, 520 Southwest Sixth Avenue, Portland, Oregon 97204-1596.
Manager, 222 West 8th Avenue, 64, Anchorage, Alaska 99513-7537.
Manager, FB/USCH, Box 042, 550 West Fort Street, Boise, Idaho 83724-
0420.
Manager, 8th Floor East, Farm Credit Bank Building, West 601 First
Avenue, Spokane, Washington 99204-0317.
PRIVACY ACT RULES
HOUSING AND URBAN DEVELOPMENT DEPARTMENT
Title 24-Housing and Urban Development
Subtitle A-Office of the Secretary, Department of Housing and Urban
Development
PART 16--IMPLEMENTATION OF THE PRIVACY ACT OF 1974
Sec.
16.1 Purpose and statement of policy.
16.2 Definitions.
16.3 Procedures for inquiries.
16.4 Requests for access; requirements.
16.5 Disclosure of requested information to individuals.
16.6 Initial denial of access.
16.7 Administrative review of initial denial of access.
16.8 Request for correction or amendment to record.
16.9 Agency procedures upon request for correction or amendment of
record.
16.10 Appeal of initial adverse agency determination on correction of
amendment.
16.11 Disclosure of record to person other than the individual to whom
it pertains.
16.12 Fees.
16.13 Penalties.
16.14 General exemptions.
16.15 Specific exemptions.
Appendix A--Officials to receive inquiries, requests for access and
requests for correction or amendment.
Authority: Department of Housing and Urban Development Act, Pub. L.
89-174 Sec. 7(d), 42 U.S.C. 3535(d), Privacy Act of 1974, Pub. L. 93-
579, 5 U.S.C. 552(a).
Source: 40 FR 39729, Aug. 28, 1975, unless otherwise noted.
Nomenclature Changes: 42 FR 49811, Sept. 28, 1977.
Sec. 16.1 Purpose and statement of policy.
(a) The purpose of this part is to establish policies and procedures
for implementing the Privacy Act of 1974 (Pub. L. 93-579), 5 U.S.C.
552(a). The main objectives are to facilitate full exercise of rights
conferred on individuals under the Act and to insure the protection of
privacy as to individuals about whom the Department maintains records in
systems of records under the Act. The Department accepts the
responsibility to act promptly and in accordance with the Act upon
receipt of any inquiry, request or appeal from a citizen of the United
States or an alien lawfully admitted for permanent residence into the
United States, regardless of the age of the individual.
(b) Further, the Department accepts the obligations to maintain only
such information on individuals as is relevant and necessary to the
performance of its lawful functions, to maintain that information with
such accuracy, relevancy, timeliness and completeness as is reasonably
necessary to assure fairness in determinations made by the Department
about the individual, to obtain information from the individual to the
extent practicable, and to take every reasonable step to protect that
information from unwarranted disclosure. The Department will maintain no
record describing how an individual exercises rights guaranteed by the
First Amendment unless expressly authorized by statute or by the
individual about whom the record is maintained or unless pertinent to
and within the scope of an authorized law enforcement activity.
(c) This part applies to all organizational components in the
Department in order to assure the maximum amount of uniformity and
consistency within the Department in its implementation of the Act.
(d) The Assistant Secretary for Administration shall be responsible
for carrying out the requirements of this part, for issuing such orders
and directives internal to the Department as are necessary for full
compliance with the Act, and for effecting publication of all required
notices concerning systems of records.
(e) Requests involving information pertaining to an individual which
is in a record or file but not within the scope of a System of Records
Notice published in the Federal Register are outside the scope of this
part. Requests for departmental records will be considered to determine
whether processing under this part, part 15, or both is most
appropriate, notwithstanding the requester's characterization of the
request, as follows:
(1) A Privacy Act request from an individual for records about that
individual and not contained in a Privacy Act Records System shall be
considered a Freedom of Information Act request and processed under HUD
Freedom of Information Act regulations (24 CFR part 15) to the extent
that the requester has provided the Department a reasonable description
of the documents requested. When a request for records is so considered
as a Freedom of Information Act request, the Privacy Act Officer shall
promptly refer it to the head of the appropriate organizational unit in
accordance with HUD FOIA Regulations and shall advise the requester that
time of receipt for processing purposes will be the time when it is
received by the appropriate official.
(2) A Freedom of Information Act request from an individual for
records about that individual contained in a Privacy Act Records System
shall be processed as follows:
(i) If the request in whole or in part contains a reasonable
description of any HUD document, processing shall be carried out
pursuant to HUD FOIA Regulations.
(ii) If the request in whole or in part does not contain a reasonable
description of any HUD document, but does provide sufficient information
under HUD Privacy Act Regulations to undertake a Privacy Act Records
System search, the Department will provide full access under HUD Privacy
Act Regulations. In this situation, the Department will comply with the
deadlines for response set forth in the Privacy Act and HUD implementing
regulations. In that event, an explanation will be provided to the
requester advising that the request did not contain a reasonable
description of a particular document as required under the FOIA and
offering to process the request under FOIA procedures upon receipt of
additional information sufficient to constitute a ``reasonable
description.''
(3) A Freedom of Information Act request from an individual for
records about another individual contained in a Privacy Act Records
System shall be processed as follows: When an exemption under subsection
(b) of FOIA is available, the Privacy Act governs the public interest
determination under HUD FOIA Regulations (24 CFR 15.21) and compels the
withholding of such documents unless (i) the subject of those records
consents to their release or (ii) disclosure comes within one of the
subsections of 5 U.S.C. 552a(b).
(4) A Privacy Act request from an individual for records about another
individual shall be processed as follows:
Except as expressly permitted in this Part, requests by persons who
are not the subject of a record contained in a Privacy Act Records
System shall be outside the scope of this part. If the request satisfies
the Freedom of Information Act requirement that requested records be
reasonably described, the Privacy Act Officer shall consider the
requests as a Freedom of Information Act request and shall proceed as in
Sec. 16.1(e)(1) above.
[40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976]
Sec. 16.2 Definitions.
(a) The definitions of 5 U.S.C. 552a apply in this part.
(b) As used in this part:
(1) ``Act'' means the ``Privacy Act of 1974,'' Pub. L. 93-579.
(2) ``Privacy Act Officer'' means those officials, identified in
appendix A to this part, or their designees, who are authorized to
receive and act upon inquiries, requests for access, and requests for
correction or amendment.
(3) ``Privacy Appeals Officer'' means the General Counsel.
(4) ``Department'' means the Department of Housing and Urban
Development.
(5) ``Inquiry'' means a request by an individual that the Department
determine whether it has any record in a system of records which
pertains to that individual.
(6) ``Request for access'' means a request by an individual or
guardian to inspect and/or copy and/or obtain a copy of a record which
is in a particular system of records and which pertains to that
individual.
(7) ``Request for correction or amendment'' means the request by an
individual or guardian that the Department change (either by correction,
addition or deletion) a particular record in a system of records which
pertains to that individual.
(8) ``Appeal'' means the request by an individual that an initial
denial of a request for access or correction or amendment by that
individual be reviewed and reversed.
[40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976]
Sec. 16.3 Procedures for inquiries.
(a) Any individual, regardless of age, may submit an inquiry to the
Department. The inquiry should be made either in person at the office
of, or by mail addressed to, the appropriate Privacy Act Officer.
Although oral requests may be honored, a requester may be asked to
submit his request in writing. The envelope containing the request and
the letter itself should both clearly indicate that the subject is a
``PRIVACY ACT INQUIRY''. If an individual believes the Department
maintains a record pertaining to that individual but does not know which
system of records might contain such a record and/or which
organizational component of the Department maintains the system of
records, assistance in person or by mail will be provided at the first
address listed in Appendix A to this part.
(b)(1) An inquiry should contain the following information:
(i) Name, address and telephone number of the individual making the
request;
(ii) Name, address and telephone number of the individual to whom the
record pertains, if the requesting individual is either the parent of a
minor or the legal guardian of the individual to whom the record
pertains;
(iii) A certified or authenticated copy of documents establishing
parentage or guardianship;
(iv) Whether the individual to whom the record pertains is a citizen
of the United States or an alien lawfully admitted for permanent
residence in to the United States;
(v) Name of the system of records, as published in the Federal
Register;
(vi) Location of the system of records, as published in the Federal
Register;
(vii) Such additional information as the individual knows will or
believes might assist the Department in responding to the inquiry (for
example, the individual's past or present relationship with the
Department, e.g. mortgagor, contractor, employee, including relevant
dates) and in verifying the individual's identity (for example, date of
birth, place of birth, names of parents, place of work, dates of
employment, position title, etc.);
(viii) Date of inquiry; and,
(ix) Individual's signature.
The Department reserves the right to require compliance with the
identification procedures appearing at Sec. 16.4(d) where circumstances
warrant.
(2) In compliance with 5 U.S.C. 552a (e)(3) each individual supplying
the information in accordance with paragraph (b)(1) of this section
hereby is informed that:
(i) The authority authorizing solicitation of the information is 5
U.S.C. 552a, disclosure is voluntary, and no penalty is attached for
failure to respond;
(ii) The principal purpose for which the information is intended to be
used is processing the inquiry under the Act;
(iii) The routine uses which may be made of the information are the
routine uses appearing as a prefatory statement to the Department's
notice of systems of records published in the Federal Register; and,
(iv) The effects of not providing all or any part of the information
may delay, or in some cases make impossible, the Department's processing
of the action on the request under the Act.
(3) If, having been made aware of the contents of paragraph (b)(2) of
this section, an individual submits the information listed in paragraph
(b)(1) of this section, he or she will be deemed to have made the
submission on a purely voluntary and consentual basis.
(c) When an inquiry is misdirected by the requester, or not addressed
as specified in paragraph (a) of this section, the Department official
receiving same shall make reasonable effort to identify, and promptly
refer it to, the appropriate Privacy Act Officer and the time of receipt
for processing purposes will be the time when it is received by the
Privacy Act Officer.
(d) When an inquiry fails to provide necessary information as set
forth in paragraph (b) of this section, the requester shall be advised
that the time of receipt for processing purposes will be the time when
the additional necessary information is received by the Privacy Act
Officer.
(e) Each inquiry received shall be acted upon promptly by the
responsible Privacy Act Officer. Every effort will be made to respond
within ten days (excluding Saturdays, Sundays and holidays) of the date
of receipt. If a response cannot be made within ten days, the Privacy
Act Officer shall send an acknowledgement during that period providing
information on the status of the inquiry. The Privacy Act Officer may
indicate that additional information would facilitate processing or that
further information is necessary to process the inquiry.
Sec. 16.4 Requests for access; requirements.
(a) Any individual, regardless of age, may submit to the Department a
request for access to records of the Department. The request should be
made either in person at the Office of, or by mail addressed to, the
responsible Privacy Act Officer identified in appendix A to this part.
Although oral requests may be honored, a requester may be asked to
submit his request in writing. The envelope containing the request and
the letter itself should both clearly indicate that the subject is a
PRIVACY ACT REQUEST FOR ACCESS TO RECORDS.
(b) When a request for access to records is misdirected by the
requester, or not addressed as specified in paragraph (a) of this
section, the Department official receiving same shall promptly refer it
to the appropriate Privacy Act Officer and the time of receipt for
processing purposes will be the time when it is received by that
official.
(c) When a request for access to records fails to provide necessary
information as set forth in paragraph (b) of this section the requester
shall be advised that the time of receipt for processing purposes will
be the time when the additional necessary information is received by the
appropriate official.
(d) The requirements for identification of individuals seeking access
to records are as follows:
(1) In person. Each individual making a request in person shall be
required to present satisfactory proof of identity. The means of proof,
in the order of preference and priority, are:
(i) A document bearing the individual's photograph (for example,
passport or military or civilian identification card);
(ii) A document bearing the individual's signature (for example,
driver's license, social security card, unemployment insurance book,
employer's identification card, national credit card and professional,
craft or union membership card); and
(iii) A document bearing neither the photograph nor the signature of
the individual (for example, a Medicaid card). In the event the
individual can provide no suitable documentation of identity, the
Department will require a signed statement asserting the individual's
identity and stipulating that the individual understands the penalty
provision of 5 U.S.C. 552a(i)(3). That penalty provision also appears at
Sec. 16.13(a). In order to avoid any unwarranted disclosure of an
individual's records, the Department reserves the right to determine to
its satisfaction whether proof of identity offered by any individual is
adequate.
(2) Not in person. If the individual making a request does not appear
in person before a Privacy Act Officer, the information set forth in
Sec. 16.3(b)(1) and a certificate of a notary public or equivalent
officer empowered to administer oaths must accompany the request. The
certificate within or attached to the letter must be substantially in
accord with the following text: City of -------------------- County of
--------------------: ss -------------------- (name of individual), who
affixed (his) (her) signature below in my presence, came before me, a --
-------------- (title), in and for the aforesaid County and State, this
------------ day of ------------, 19--, and established (his) (her)
identity to my satisfaction. My commission expires --------------------.
----------------------------------------.
(signature)
If the request follows inquiry under Sec. 16.3, this should be indicated
in the request for access in order to facilitate processing.
(3) Parents of minors and legal guardians. An individual acting as the
parent of a minor or the legal guardian of the individual to whom a
record pertains shall establish his or her personal identity in the same
manner prescribed in either paragraph (d)(1) or (2) of this section. In
addition, such other individual shall establish his or her
representative capacity of parent or legal guardian. In the case of the
parent of a minor, the proof of identity shall be a certified or
authenticated copy of the minor's birth certificate. In the case of a
legal guardian of an individual who has been declared incompetent due to
physical or mental incapacity or age by a court of competent
jurisdiction, the proof of identity shall be a certified or
authenticated copy of the court's order. A parent or legal guardian may
act only for a living individual, not for a decedent. A parent or legal
guardian may be accompanied during personal access to a record by
another individual, provided the provisions of Sec. 16.5(e) are
satisfied.
(e) When the provisions of this part are alleged to have the effect of
impeding an individual in exercising his or her right to access, the
Department will consider alternative suggestions from an individual
making a request, regarding proof of identity and access to records.
(f) An individual shall not be required to state a reason or otherwise
justify his or her request for access to a record.
Sec. 16.5 Disclosure of requested information to individuals.
(a) Each request received shall be acted upon promptly by the
responsible Privacy Act Officer. Every effort will be made to respond
within ten days (excluding Saturdays, Sundays and holidays) of the date
of receipt. If a response cannot be made within ten days due to unusual
circumstances, the Privacy Act Officer shall send an acknowledgement
during that period providing information on the status of the request
and asking for such further information as may be necessary to process
the request. ``Unusual circumstances'' shall include circumstances where
a search for and collection of requested records from inactive storage,
field facilities or other establishments are required, cases where a
voluminous amount of data is involved, instances where information on
other individuals must be separated or expunged from the particular
record, and cases where consultations with other agencies having a
substantial interest in the determination of the request are necessary.
(b) Grant of access--(1) Notification. An individual shall be granted
access to a record pertaining to him or her, except where the provisions
of Sec. 16.6 apply. The Privacy Act Officer shall notify the individual
of such determination and provide the following information:
(i) The methods of access, as set forth in paragraph (b)(2) of this
section;
(ii) The place at which the record may be inspected;
(iii) The earliest date on which the record may be inspected and the
period of time that the records will remain available for inspection
and/or the estimated date by which a copy of the record could be mailed
and the estimate of fees pursuant to Sec. 16.12;
(iv) The fact that the individual, if he or she wishes, may be
accompanied by another individual during personal access, subject to
procedures set forth in paragraph (e) of this section; and
(v) Any additional requirements needed to grant access to a specific
record.
(2) Methods of access. The following methods of access to records by
an individual may be available depending on the circumstances of a given
situation:
(i) Inspection in person may be had in the office specified by the
Privacy Act Officer granting access during hours indicated by the
Privacy Act Officer;
(ii) Transfer of records to a Federal facility more convenient to the
individual may be arranged, but only if the Privacy Act Officer
determines that a suitable facility is available, that the individual's
access can be properly supervised at the facility, and that transmittal
of the records to that facility will not unduly interfere with
operations of the Department or involve unreasonable costs, in terms of
both money and manpower; and
(iii) Copies may be mailed at the request of the individual, subject
to payment of the fees prescribed in Sec. 16.12. The Department, at its
own initiative, may elect to provide a copy by mail, in which case no
fee will be charged the individual.
(c) The Department shall supply such other information and assistance
at the time of access as to make the record intelligible to the
individual.
(d) The Department reserves the right to limit access to copies and
abstracts of original records, rather than the original records. This
election would be appropriate, for example, when the record is in an
automated data media such as tape or disc, when the record contains
information on other individuals, and when deletion of information is
permissible under exemptions (for example, 5 U.S.C. 552a(k)(2)). In no
event shall original records of the Department be made available to the
individual except under the immediate supervision of the Privacy Act
Officer or his designee. It is a crime to conceal, mutilate, obliterate,
or destroy any record filed in a public office, or to attempt to do any
of the foregoing, Title 18, United States Code, 2701(a).
(e) Any individual who requests access to a record pertaining to that
individual may be accompanied by another individual of his or her
choice. ``Accompanied'' includes discussion of the record in the
presence of the other individual. The individual to whom the record
pertains shall authorize the presence of the other individual by a
signed and dated document which includes the name of the other
individual and specifically describes the record to which access is
sought. The other individual shall sign the authorization in the
presence of the Privacy Act Officer. An individual shall not be required
to state a reason or otherwise justify his or her decision to be
accompanied by another individual during personal access to a record.
Sec. 16.6 Initial denial of access.
(a) Grounds. Access by an individual to a record which pertains to
that individual will be denied only upon a determination by the Privacy
Act Officer that:
(1) The record is subject to an exemption under Sec. 16.14, Sec. 16.15
or to an exemption determined by another agency noticing the system of
records;
(2) The record is information compiled in reasonable anticipation of a
civil action or proceeding; or
(3) The individual unreasonably has failed to comply with the
procedural requirements of this part.
(b) Notification. The Privacy Act Officer shall give notice of denial
of access to records to the individual in writing and shall include the
following information:
(1) The Privacy Act Officer's name and title or position;
(2) The date of the denial;
(3) The reasons for the denial, including citation to the appropriate
section of the Act and/or this part;
(4) The individual's opportunities, if any, for further administrative
consideration, including the identity and address of the appropriate
Privacy Appeals Officer. If no further administrative consideration
within the Department is available, the notice shall state that the
denial is administratively final; and,
(5) If stated to be administratively final; and, within the
Department, the individual's right to judicial review under 5 U.S.C.
552a(g)(1), as amended by 5 U.S.C. 552a(g)(5).
[40 FR 39729, Aug. 28, 1975, as amended at 42 FR 20297, Apr. 19, 1977]
Sec. 16.7 Administrative review of initial denial of access.
(a) Review shall be available only from a written denial of a request
for access issued under Sec. 16.6(a) (2) or (3) and only if a written
request for review is filed within thirty calendar days after the
issuance of the written denial.
(b) A request for review shall be addressed to the Privacy Appeals
Officer identified in the initial denial, which official is authorized
to make final determinations. The envelope containing the request for
review and the letter itself should both clearly indicate that the
subject is a PRIVACY ACT REQUEST FOR REVIEW.
(c) When a request for review is misdirected by the requester, or not
addressed as specified in paragraph (b) of this section, the Department
official receiving same shall promptly refer it to the Privacy Appeals
Officer and the time of receipt for processing purposes will be the time
when it is received by the appropriate official.
(d) When a request for review fails to provide necessary information
as set forth in paragraph (e) of this section, the requester shall be
given reasonable opportunity to amend the request and shall be advised
that the time of receipt for processing purposes will be the time when
the additional necessary information is received by the appropriate
official.
(e) The filing of a request for review may be accomplished by mailing
to the Privacy Appeals Officer a copy of the request for access, if in
writing; a copy of the written denial issued under Sec. 16.6; and a
statement of the reasons why the initial denial is believed to be in
error. The appeal shall be signed by the individual.
(f) No hearing will be allowed in connection with administrative
review of an initial denial of access.
(g) The Privacy Appeals Officer shall act upon the appeal and issue a
final determination in writing not later than thirty days (excluding
Saturdays, Sundays and holidays) from the date on which the appeal is
received; provided, that the Privacy Appeals officer may extend the
thirty days upon deciding that a fair and equitable review cannot be
made within that period, but only if the individual is advised in
writing of the reason for the extension and the estimated date by which
a final determination will issue, which estimated date should not be
later than the sixtieth day (excluding Saturdays, Sundays and holidays)
after receipt of the appeal unless there exist unusual circumstances, as
described in Sec. 16.5(a).
(h) The decision after review will be in writing, will constitute
final action of the Department on a request for access, and, if the
denial of the request is in whole or part upheld, the Department shall
notify the person making the request of his right to judicial review
under 5 U.S.C. 552a(g)(1), as amended by 5 U.S.C. 552a(g)(5).
Sec. 16.8 Request for correction or amendment to record.
(a) Any individual, regardless of age, may submit to the Department a
request for correction or amendment of a record pertaining to that
individual. The request should be made either in person at the office
of, or by mail addressed to, the Privacy Act Officer who processed the
individual's request for access to the record. Although an oral request
may be honored, a requester may be asked to submit his or her request in
writing. The envelope containing the request and the letter itself
should both clearly indicate that the subject is a PRIVACY ACT REQUEST
FOR CORRECTION OR AMENDMENT.
(b) When a request for correction or amendment is misdirected by the
requester, or not addressed as specified in paragraph (a) of this
section, the Department official receiving same shall make reasonable
effort to identify, and promptly refer it to, the appropriate Privacy
Act Officer and the time of receipt for processing purposes will be the
time when it is received by the appropriate official.
(c) When a request for correction or amendment fails to provide
necessary information as set forth in paragraph (e) of this section, the
requester shall be given reasonable opportunity to answer the request
and shall be advised that the time of receipt for processing purposes
will be the time when the additional necessary information is received
by the appropriate official.
(d) Since the request, in all cases, will follow a request for access
under Sec. 16.4, the individual's identity will be established by his or
her signature on the request.
(e) A request for correction or amendment should include the
following:
(1) A specific identification of the record sought to be corrected or
amended (for example, description, title, date, paragraph, sentence,
line and words);
(2) The specific wording to be deleted, if any;
(3) The specific wording to be inserted or added, if any, and the
exact place at which it is to be inserted or added; and
(4) A statement of the basis for the requested correction or
amendment, with all available supporting documents and materials which
substantiate the statement.
(f) The provisions of Sec. 16.3(b) (2) and (3) apply to the
information obtained under paragraph (e) of this section.
Sec. 16.9 Agency procedures upon request for correction or
amendment of record.
(a)(1) Not later than ten days (excluding Saturdays, Sundays and
holidays) after receipt of a request to correct or amend a record, the
Privacy Act Officer shall send an acknowledgment providing an estimate
of time within which action will be taken on the request and asking for
such further information as may be necessary to process the request. The
estimate of time may take into account unusual circumstances as
described in Sec. 16.5(a). No acknowledgment will be sent if the request
can be reviewed, processed, and the individual notified of the results
of review (either compliance or denial) within the ten days. Requests
filed in person will be acknowledged at the time submitted.
(2) Promptly after acknowledging receipt of a request, or after
receiving such further information as might have been requested, or
after arriving at a decision within the time prescribed in
Sec. 16.9(a)(1), the Privacy Act Officer shall either:
(i) Make the requested correction or amendment and advise the
individual in writing of such action, providing either a copy of the
corrected or amended record or a statement as to the means whereby the
correction or amendment was effected in cases where a copy cannot be
provided; or,
(ii) Inform the individual in writing that his or her request is
denied and provide the following information:
(A) The Privacy Act Officer's name and title and position;
(B) The date of the denial;
(C) The reasons for the denial, including citation to the appropriate
sections of the Act and this part; and,
(D) The procedures for appeal of the denial as set forth in
Sec. 16.10, including the name and address of the Privacy Appeals
Officer. The term ``promptly'' in this Sec. 16.9 means within thirty
days (excluding Saturdays, Sundays and holidays). If the Privacy Act
Officer cannot make the determination within thirty days, the individual
will be advised in writing of the reason therefor and of the estimated
date by which the determination will be made.
(b) Whenever an individual's record is corrected or amended pursuant
to a request by that individual, the Privacy Act Officer shall see to
the notification of all persons and agencies to which the corrected or
amended portion of the record had been disclosed prior to its correction
or amendment, if an accounting of such disclosure was made as required
by the Act. The notification shall require a recipient agency
maintaining the record to acknowledge receipt of the notification, to
correct or amend the record and to appraise any agency or person to
which it had disclosed the record of the substance of the correction or
amendment.
(c) The following criteria will be considered by the Privacy Act
Officer in reviewing a request for correction or amendment:
(1) The sufficiency of the evidence submitted by the individual;
(2) The factual accuracy of the information;
(3) The relevance and necessity of the information in terms of the
purpose for which it was collected;
(4) The timeliness and currency of the information in terms of the
purpose for which it was collected:
(5) The completeness of the information in terms of the purpose for
which it was collected:
(6) The possibility that denial of the request could unfairly result
in determinations adverse to the individual;
(7) The character of the record sought to be corrected or amended; and
(8) The propriety and feasibility of complying with the specific means
of correction or amendment requested by the individual.
(d) The Department will not undertake to gather evidence for the
individual, but does reserve the right to verify the evidence which the
individual submits.
(e) Correction or amendment of a record requested by an individual
will be denied only upon a determination by the Privacy Act Officer
that:
(1) There has been a failure to establish, by the evidence presented,
the propriety of the correction or amendment in light of the criteria
set forth in paragraph (c) of this section;
(2) The record sought to be corrected or amended was compiled in a
terminated judicial, quasi-judicial, legislative or quasi-legislative
proceeding to which the individual was a party or participant;
(3) The information in the record sought to be corrected or amended,
or the record sought to be corrected or amended, is the subject of a
pending judicial, quasi-judicial or quasi-legislative proceeding to
which the individual is a party or participant;
(4) The correction or amendment would violate a duly enacted statute
or promulgated regulation; or,
(5) The individual unreasonably has failed to comply with the
procedural requirements of this part.
(f) If a request is partially granted and partially denied, the
Privacy Act Officer shall follow the appropriate procedures of this
section as to the records within the grant and the records within the
denial.
Sec. 16.10 Appeal of initial adverse agency determination on
correction or amendment.
(a) Appeal shall be available only from a written denial of a request
for correction or amendment of a record issued under Sec. 16.9, and only
if a written appeal is filed within thirty calendar days after the
issuance of the written denial.
(b) Each appeal shall be addressed to the Privacy Appeals Officer
identified in the written denial. The envelope containing the appeal and
the letter itself should both clearly indicate that the subject is
PRIVACY ACT APPEAL.
(c) When an appeal is misdirected by the requester, or not addressed
as specified in paragraph (b) of this section, the Department official
receiving same shall promptly refer it to the appropriate Privacy
Appeals Officer and the time of receipt for processing purposes will be
the time when it is received by the appropriate official.
(d) When an appeal fails to provide the necessary information as set
forth in paragraph (e) of this section, the requester shall be advised
that the time for receipt for processing purposes will be the time when
the additional necessary information is received by the appropriate
official.
(e) The individual's appeal papers shall include the following: A copy
of the original request for correction or amendment; a copy of the
initial denial; and a statement of the reasons why the initial denial is
believed to be in error. The appeal shall be signed by the individual.
The record which the individual requests be corrected or amended will be
supplied by the Privacy Act Officer who issued the initial denial. While
the foregoing normally will comprise the entire record on appeal, the
Privacy Appeals Officer may seek additional information necessary to
assure that the final determination is fair and equitable and, in such
instances, the additional information will be disclosed to the
individual to the greatest extent possible and an opportunity provided
for comment thereon.
(f) No hearing on appeal will be allowed.
(g) The Privacy Appeals Officer shall act upon the appeal and issue a
final Department determination in writing not later than thirty days
(excluding Saturdays, Sundays and holidays) from the date on which the
appeal is received; provided, that the Privacy Appeals Officer may
extend the thirty days upon deciding that a fair and equitable review
cannot be made within that period, but only if the individual is advised
in writing of the reason for the extension and the estimated date by
which a final determination will issue (which estimated date should not
be later than the sixtieth day (excluding Saturdays, Sundays and
holidays) after receipt of the appeal unless unusual circumstances, as
described in Sec. 16.5(a), are met).
(h) If the appeal is determined in favor of the individual, the final
determination shall include the specific corrections or amendments to be
made and a copy thereof shall be transmitted promptly both to the
individual and to the Privacy Act Officer who issued the initial denial.
Upon receipt of such final determination, the Privacy Act Officer
promptly shall take the actions set forth in Sec. 16.9(a)(2)(i) and
Sec. 16.9(b).
(i) If the appeal is denied, the final determination shall be
transmitted promptly to the individual and shall state the reasons for
the denial. The notice of final determination also shall inform the
individual of the following information:
(1) The right of the individual to file a concise statement of reasons
for disagreeing with the final determination. The statement ordinarily
should not exceed one page and the Department reserves the right to
reject a statement of excessive length. Such a statement shall be filed
with the Privacy Appeals Officer. It should identify the date of the
final determination and be signed by the individual. The Privacy Appeals
Officer shall acknowledge receipt of such statement and inform the
individual of the date on which it was received;
(2) The fact that any such disagreement statement filed by the
individual will be noted in the disputed record and that a copy of the
statement will be provided to persons and agencies to which the record
is disclosed subsequent to the date of receipt of such statement;
(3) The fact that prior recipients of the disputed record will be
provided a copy of any statement of the dispute to the extent that an
accounting of disclosures, as required by the Act, was made;
(4) The fact that the Department will append to any such disagreement
statement filed by the individual, a copy of the final determination or
summary thereof which also will be provided to persons and agencies to
which the disagreement statement is disclosed; and,
(5) The right of the individual to judicial review of the final
determination under 5 U.S.C. 552a(g)(1)(A), as limited by 5 U.S.C.
552a(g)(5).
(j) In making the final determination, the Privacy Appeals Officer
shall employ the criteria set forth in Sec. 16.9(c) and shall deny an
appeal only on the grounds set forth in Sec. 16.9(e).
(k) If an appeal is partially granted and partially denied, the
Privacy Appeals Officer shall follow the appropriate procedures of this
section as to the records within the grant and the records within the
denial.
(l) Although a copy of the final determination or a summary thereof
will be treated as part of the individual's record for purposes of
disclosure in instances where the individual has filed a disagreement
statement, it will not be subject to correction or amendment by the
individual.
(m) The provisions of Sec. 16.3(b) (2) and (3) apply to the
information obtained under paragraphs (e) and (i)(1) of this section.
Sec. 16.11 Disclosure of record to person other than the individual
to whom it pertains.
(a) The Department may disclose a record pertaining to an individual
to a person other than the individual only in the following instances:
(1) Upon written request by the individual, including authorization
under Sec. 16.5(e);
(2) With the prior written consent of the individual;
(3) To a parent or legal guardian under 5 U.S.C. 552a(h); and,
(4) When required by the Act and not covered explicitly by the
provisions of 5 U.S.C. 552a(b) ; and,
(5) When permitted under 5 U.S.C. 552a(b) (1) through (11), which read
as follows:
(1) To those officers and employees of the agency which maintains the
record who have a need for the record in the performance of their
duties;
(2) Required under section 552 of this title;
(3) For a routine use as defined in subsection (a)(7) and described
under subsection (e)(4)(D);
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13;
(5) To a recipient who has provided the agency with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the agency which maintains the record specifying the
particular portion desired and the law enforcement activity for which
the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(9) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(10) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
(b) The situations referred to in paragraph (a)(4) of this section
include the following:
(1) 5 U.S.C. 552a(c)(4) requires dissemination of a corrected or
amended record or notation of a disagreement statement by the Department
in certain circumstances:
(2) 5 U.S.C. 552(a)(g) authorizes civil action by an individual and
requires disclosure by the Department or the court;
(3) Sec. 5(e)(2) of the Act authorizes release of any records or
information by the Department to the Privacy Protection Study Commission
upon request of the Chairman; and
(4) Sec. 6 of the Act authorizes the Office of Management and Budget
to provide the Department with continuing oversight and assistance in
implementation of the Act.
(c) The Department shall make an accounting of each disclosure of any
record contained in a system of records in accordance with 5 U.S.C.
552a(c) (1) and (2). Except for a disclosure made under 5 U.S.C.
552a(b)(7), the Privacy Act Officer shall make such accounting available
to any individual, insofar as it pertains to that individual, on request
submitted in accordance with Sec. 16.4. The Privacy Act Officer shall
make reasonable efforts to notify any individual when any record in a
system of records is disclosed to any person under compulsory legal
process, promptly upon being informed that such process has become a
matter of public record.
Sec. 16.12 Fees.
(a) The only fees to be charged to or collected from an individual
under the provisions of this part are for copying records at the request
of the individual.
(1) No fees shall be charged or collected for the following: Search
for and retrieval of the records; review of the records; copying at the
initiative of the Department without a request from the individual;
transportation of records and personnel; and first class postage.
(2) It is the policy of the Department to provide an individual with
one copy of each record corrected or amended pursuant to his or her
request without charge as evidence of the correction or amendment.
(3) As requested by the United States Civil Service Commission in its
published regulations implementing the Act, the Department will charge
no fee to an individual who requests copies of a personnel record
covered by that Commission's Government-wide published notice of systems
of records. However, when such records are voluminous and the cost of
copying would be in excess of five dollars ($5) the Department may, in
its discretion, charge a fee.
(b) The copying fees prescribed by paragraph (a) of this section are:
$0.10 Each copy of each page, up to 8 \1/2\'' x 14'' made by photocopy
or similar process.
$0.20 Each page of computer printout without regard to the number of
carbon copies concurrently printed.
(c) Payment of fees under this section shall be made in cash, or
preferably by check or money order payable to the ``Treasurer of the
United States.'' Payment shall be delivered or sent to the office stated
in the billing notice or, if none is stated, to the Privacy Act Officer
processing the request. Payment may be required in the form of a
certified check in appropriate circumstances. Postage stamps will not be
accepted.
(d) A copying fee totaling $1 or less shall be waived, but the copying
fees for contemporaneous requests by the same individual shall be
aggregated to determine the total fee. A copying fee shall not be
charged or collected, or alternatively, it may be reduced when such
action is determined by the Privacy Act Officer to be in the public
interest.
(e) Special and additional services provided at the request of the
individual, such as certification or authentication, postal insurance
and special mailing arrangement costs, will be charged to the individual
in accordance with other published regulations of the Department
pursuant to statute (for example, 31 U.S.C. 433a).
(f) This section applies only to individuals making requests under
this part. All other persons shall remain subject to fees and charges
prescribed by other and appropriate authorities.
[40 FR 39729, Aug. 28, 1975, as amended at 42 FR 29479, June 9, 1977]
Sec. 16.13 Penalties.
(a) The Act provides, in pertinent part:
Any person who knowingly and willfully requests or obtains any record
concerning an individual from an agency under false pretences shall be
guilty of a misdemeanor and fined not more than $5,000. (5 U.S.C.
552a(i)(3))
(b) A person who falsely or fraudulently attempts to obtain records
under the Act may also be subject to prosecution under such other
criminal statutes as 18 U.S.C. 494, 495 and 1001.
Sec. 16.14 General exemptions.
(a) Individuals may not have access to records maintained by the
Department but which were provided by another agency which has
determined by regulation that such information is subject to general
exemption under 5 U.S.C. 552a(j). If such exempt records are within a
request for access, the Department will advise the individual of their
existence and of the name and address of the source agency. For any
further information concerning the record and the exemption, the
individual must contact that source agency.
(b) The Secretary of Housing and Urban Development has determined that
the Office of the Assistant Inspector General for Investigation
performs, as its principal function, activities pertaining to the
enforcement of criminal laws. The records maintained by that office in a
system identified as ``HUD/DEPT-24, Investigation Files,'' primarily
consist of information compiled for the purpose of criminal
investigations and are associated with identifiable individuals.
Therefore, the Secretary has determined that this system of records
shall be exempt, consistent with 5 U.S.C. 552a(j)(2), from all
requirements of the Privacy Act except 5 U.S.C. 552a(b), (c) (1) and
(2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i)
unless elsewhere exempted.
[40 FR 39729, Aug. 28, 1975, as amended at 49 FR 20486, May 15, 1984]
Sec. 16.15 Specific exemptions.
Whenever the Secretary of Housing and Urban Development determines it
to be necessary and proper, with respect to any system of records
maintained by the Department, to exercise the right to promulgate rules
to exempt such systems in accordance with the provisions of 5 U.S.C.
552a(k), each specific exemption, including the parts of each system to
be exempted, the provisions of the Act from which they are exempted, and
the justification for each exemption shall be published in the Federal
Register as part of the Department's Notice of Systems of Records.
(a) Exempt under 5 U.S.C. 552a(k)(2) from the requirements of 5 U.S.C.
552a (c)(3), (d), (e)(1), (e)(4) (G), (H), (I), and (f). This exemption
allows the Department to withhold records compiled for law enforcement
purposes. The reasons for adopting this exemption are to prevent
individuals, who are the subjects of investigation, from frustrating the
investigatory process, to ensure the integrity of the investigatory
process, to ensure the integrity of law enforcement activities, to
prevent disclosure of investigative techniques, and to protect the
confidentiality of sources of information. The names of systems
correspond to those published in the Federal Register as part of the
Department's Notice of Systems of Records.
(1) HUD/DEPT-15. Equal Opportunity Housing Complaints.
(2) HUD/DEPT-24. Investigation Files in the Office of the Inspector
General.
(3) HUD/DEPT-25. Legal Action Files.
(b) Exempt under 5 U.S.C. 552(k)(5) from the requirements of 5 U.S.C.
552a (c)(3), (d), (e)(1), (e)(4), (G), (H), and (I), and (f). This
exemption allows the Department to withhold records compiled solely for
the purpose of determining suitability, eligibility, or qualifications
for Federal contracts, or access to classified material. The reasons for
adopting this exemption are to insure the proper functioning of the
investigatory process, to insure effective determination of suitability,
eligibility and qualification for employment and to protect the
confidentiality of sources of information. The names of systems
correspond to those published in the Federal Register as part of the
Department's Notice of Systems of Records.
(1) HUD/DEPT-24. Investigation Files in the Office of the Inspector
General.
(2) HUD/DEPT-25. Legal Action Files.
(c) The system of records entitled ``HUD/PIH-1, Tenant Eligibility
Verification Files'' consists in part of investigatory material compiled
for law enforcement purposes. Relevant records will be used by
appropriate Federal, state or local agencies charged with the
responsibility for investigating or prosecuting violations of law.
Therefore, to the extent that information in the system fails within the
coverage of subsection (k)(2) ofthe Privacy Act, 5 U.S.C. 552a(k)(2),
the system is exempt from the requirements of the following subsections
of the Privacy Act, for the reasons stated below.
(1) From subsection (c)(3) because release of an accounting of
disclosures to an individual who may be the subject of an investigation
could reveal the nature and scope of the investigation and could result
in the altering or destruction of evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the
investigation.
(2) From subsection (d)(1) because release of the records to an
individual who may become or has become the subject of an investigation
could interfere with pending or prospective law enforcement proceedings,
constitute an unwarranted invasion of the personal privacy of third
parties, reveal the identity of confidential sources, or reveal
sensitive investigative techniques and procedures.
(3) From subsection (d)(2) because amendment or correction of the
records could interfere with pending or prospective law enforcement
proceedings, or could impose an impossible administrative and
investigative burden by requiring the office that maintains the records
to continuously retrograde its verifications of tenant eligibility
attempting to resolve questions of accuracy, relevance, timeliness and
completeness.
(4) From subsection (e)(1) because it is often impossible to determine
relevance or necessity of information in pre-investigative early stages.
The value of such information is a question of judgment and timing; what
appears relevant and necessary when collected may ultimately be
evaluated and viewed as irrelevant and unnecessary to an investigation.
In addition, the Assistant Secretary for Public and Indian Housing, or
investigators, may obtain information concerning the violation of laws
other than those within the scope of its jurisdiction. In the interest
of effective law enforcement, the Assistant Secretary for Public and
Indian Housing, or investigators, should dretain this information
because it may aid in establishing patterns of unlawful activity and
provide leads for other law enforcement agencies. Further, in obtaining
the evidence, information may be provided which relates to matters
incidental to the main purpose of the inquiry or investigation but which
may be pertinent to the investigative jurisdiction of another agency.
Such information cannot readily be identified.
(d) The system of records entitled ``HUD/PIH, Tenant Eligibility
Verification Files'' consists in part of material that may be used for
the purpose of determining suitability, eligibility, or qualifications
for Federal civilian employment or Federal contracts, the release of
which would reveal the identity of a source who furnished information to
the Government under an express promise that the identity of the source
would be held in confidence. Therefore, to the extent that information
in this system falls within the coverage of subsection (k)(5) of the
Privacy Act, 5 U.S.C. 552a(k)(5), the system is exempt from the
requirements of the following subsection of the Privacy Act, for the
reasons stated below.
(1) From subsection (d)(1) because release would reveal the identity
of a source who furnished information to the Government under an express
promise of confidentiality. Revealing the identity of a confidential
source could impede future cooperation by sources, and could result in
harassment or harm to such sources.
[42 FR 49810, Sept. 28, 1977, as amended at 59 FR 9408, Feb. 28, 1995]
Appendix A--Officials To Receive Inquiries, Requests for Access and
Requests for Correction or Amendment
Headquarters
Privacy Act Officer, 451 Seventh Street SW., Washington, DC 20410.
Region I
Regional Administrator-Regional Housing Commissioner, 10 Causeway
Street, Room 375, Federal Building, Boston, Massachusetts 02222-
1092.
Manager, 330 Main Street, 1st Floor, Hartford, Connecticut 06106-1860.
Manager, Norris Cotton Federal Building, 275 Chestnut Street,
Manchester, New Hampshire 03101-2487.
Chief, Casco Northern Bank Building, 23 Main Street, lst Floor, Bangor,
Maine 04401-4318.
Manager, Room 330, John O. Pastore Federal Building and U.S. Post
Office, Kennedy Plaza, Providence, Rhode Island 02903-1785.
Chief, Federal Building, 11 Elmwood Avenue, Room B-31, Burlington,
Vermont 05402-0879.
Region II
Regional Administrator-Regional Housing Commissioner, 26 Federal Plaza,
New York, New York 10278-0068.
Manager, The Parkade Building, 519 Federal Street, Camden, New Jersey
08103-9998.
Manager, Military Park Building, 60 Park Place, Newark, New Jersey
07102-5504.
Manager, 465 Main Street, Lafayette Court, Buffalo, New York 14203-1780.
Manager, New San Juan Office Building, 159 Carlos E. Chardon Avenue, San
Juan, Puerto Rico 00918-1804.
Manager, Leo W. O'Brien Federal Building, North Pearl Street and Clinton
Avenue, Albany, New York 12207-2395.
Region III
Regional Administrator-Regional Housing Commissioner, Liberty Square
Building, 105 South 7th Street, Philadelphia, Pennsylvania 19106-
3392.
Manager, HUD Building, 451 Seventh Street SW., Room 3158, Washington,
District of Columbia 20410-5500.
Manager, The Equitable Building, 3rd Floor, 10 North Calvert Street,
Baltimore, Maryland 21202-1865.
Manager, Old Post Office Courthouse Building, 7th Avenue and Grant
Street, Pittsburgh, Pennsylvania 15219-1906.
Manager, 400 North Eighth Street, Richmond, Virginia 23240.
Chief, Federal Building, 844 King Street, Room 1304, Wilmington,
Delaware 19801-3519.
Manager, 405 Capitol Street, Suite 708, Charleston, West Virginia 25301-
1795.
Region IV
Regional Administrator-Regional Housing Commissioner, Richard B. Russell
Federal Building, 75 Spring Street, SW, Atlanta, Georgia 30303-3388.
Manager, Beacon Ridge Tower, 600 Beacon Parkway West, Birmingham,
Alabama 35233-3144.
Manager, 325 West Adams Street, Jacksonville, Florida 32202-4303.
Manager, PO Box 1044, 601 West Broadway, Louisville, Kentucky 40201-
1044.
Manager, Doctor A. H. McCoy Federal Building, 100 West Capitol Street,
Room 910, Jackson, Mississippi 39269-1096.
Manager, 415 North Edgeworth Street, Greensboro, North Carolina 27401-
2107.
Manager, Strom Thurmond Federal Building, 1835-45 Assembly Street,
Columbia, South Carolina 29201-2480.
Manager, 3rd Floor, John J. Duncan Federal Building, 710 Locust Street,
Knoxville, Tennessee 37902-2526.
Manager, Gables One Tower, 1320 South Dixie Highway, Coral Gables,
Florida 33146-2911.
Manager, 700 Twiggs Street, Room 527, PO Box 17910, Tampa, Florida
33672-2910.
Manager, One Memphis Place, 200 Jefferson Avenue, Suite 1200, Memphis,
Tennessee 38103-2335.
Manager, Cumberland Bend Drive, Suite 200, Nashville, Tennessee 37228-
1803.
Manager, Langley Building, 3751 Maguire Boulevard, Suite 270, Orlando,
Florida 32803-3032.
Region V
Regional Administrator-Regional Housing Commissioner, 626 West Jackson
Boulevard, Chicago, Illinois 60606-5601.
Manager, 151 North Delaware Street, Indianapolis, Indiana 46204-2526.
Manager, Patrick V. McNamara Federal Building, 477 Michigan Avenue,
Detroit, Michigan 48226-2592.
Manager, 220 Second Street, South, Minneapolis, Minnesota 55401-2195.
Manager, 200 North High Street, Columbus, Ohio 43215-2499.
Manager, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue, Suite
1380, Milwaukee, Wisconsin 53203-2289.
Chief, 524 South Second Street, Suite 672, Springfield, Illinois 62701-
1774.
Manager, Amitec Building-Local, 352 South Saginaw Street, Room 200,
Flint, Michigan 48502-1953.
Manager, 2922 Fuller Avenue, NE, Grand Rapids, Michigan 49505-3499.
Manager, Federal Office Building, 550 Main Street, Cincinnati, Ohio
45202-3253.
Manager, One Playhouse Square, 1375 Euclid Avenue, Room 420, Cleveland,
Ohio 44114-1670.
Region VI
Regional Administrator-Regional Housing Commissioner, 1600 Throckmorton,
Post Office Box 2905, Fort Worth, Texas 76113-2905.
Manager, Lafayette Building, 523 Louisiana, Suite 200, Little Rock,
Arkansas 72201-3707.
Manager, Fisk Federal Building, 1661 Canal Street, New Orleans,
Louisiana 70112-2887.
Manager, 525 Griffin Street, Room 860, Dallas, Texas 75202-5007.
Manager, Washington Square, 800 Dolorosa Street, San Antonio, Texas
78207-4563.
Manager, Joe D. Waggoner Federal Building, 500 Fannin Street, Room 6B04,
Shreveport, Louisiana 71101-3077.
Manager, 625 Truman Street, NE, Albuquerque, New Mexico 87100-6443.
Manager, Murrah Federal Building, 200 NW 5th Street, Oklahoma City,
Oklahoma 73102-3202.
Manager, 1516 S. Boston Avenue, Suite 110, Tulsa, Oklahoma 74119-4032.
Manager, Norfolk Tower, 2211 Norfolk, Suite 200, Houston, Texas 77098-
4096.
Manager, Federal Office Building, 1205 Texas Avenue, Lubbock, Texas
79401-4093.
Region VII
Regional Administrator-Regional Housing Commissioner, Professional
Building, 1103 Grand Avenue, Kansas City, Missouri 64106-2496.
Manager, 210 North Tucker Boulevard, St. Louis, Missouri 63101-1997.
Manager, Braiker/Brandeis Building, 210 South 16th Street, Omaha,
Nebraska 68102-1622.
Manager, Federal Building, 210 Walnut Street, Room 239, Des Moines, Iowa
50309-2155.
Chief, Frank Carlson Federal Building, 444 SE Quincy Street, Room 256,
Topeka, Kansas 66683-0001.
Region VIII
Regional Administrator-Regional Housing Commissioner, Executive Tower
Building, 1405 Curtis Street, Denver, Colorado 80202-2349.
Manager, Federal Office Building Drawer 10095, 301 S. Park, Room 340,
Helena, Montana 59626-0095.
Chief, Federal Building, PO Box 2483, 653 2nd Avenue North, Fargo, North
Dakota 58108-2483.
Chief, 300 Building, 300 North Dakota Avenue, Suite 116, Sioux Falls,
South Dakota 57102-0311.
Manager, 324 South State Street, Suite 220, Salt Lake City, Utah 84111-
2321.
Chief, 4225 Federal Office Building, 100 East B Street, Post Office Box
580, Casper, Wyoming 82602-1918.
Region IX
Regional Administrator-Regional Housing Commissioner, Federal Building,
450 Golden Gate Avenue, Post Office Box 36003, San Francisco,
California 94102-3448.
Manager, 1615 W. Olympic Boulevard, Los Angeles, California 90015-3801.
Manager, One North First Street, Suite 300, Post Office Box 13468,
Phoenix, Arizona 85002-3468.
Manager, Pioneer Plaza, 100 North Stone Avenue, Suite 410, Tucson,
Arizona 86701-1467.
Manager, 1630 East Shaw Avenue, Suite 138, Fresno, California 93710-
8193.
Manager, 777 12th Street, Suite 200, Sacramento, California 95809-1997.
Manager, Federal Office Building, 880 Front Street, Room 5S3, San Diego,
California 92188-0100.
Manager, 34 Civic Center Plaza, PO Box 12850, Santa Ana, California
92712-2850.
Manager, 300 Ala Moana Boulevard, Room 3318, Honolulu, Hawaii 96850-
4991.
Manager, 1500 East Tropicana Avenue, 2nd Floor, Las Vegas, Nevada 89119-
6516.
Manager, 1050 Bible Way, Post Office Box 4700, Reno, Nevada 89505-4700.
Region X
Regional Administrator-Regional Housing Commissioner, Arcade Plaza
Building, 1321 Second Avenue, Seattle, Washington 98101-2058.
Manager, 520 Southwest Sixth Avenue, Portland, Oregon 97204-1596.
Manager, 222 West 8th Avenue, #64, Anchorage, Alaska 99513-7537.
Manager, FB/USCH, Box 042, 550 West Fort Street, Boise, Idaho 83724-
0420.
Manager, 8th Floor East, Farm Credit Bank Building, West 601 First
Avenue, Spokane, Washington 99204-0317.
PART 2003--IMPLEMENTATION OF THE PRIVACY ACT OF 1974
Sec.
2003.1 Scope of the part and applicability of other HUD regulations.
2003.2 Definitions.
2003.3 Requests for records.
2003.4 Officials to receive requests and inquiries.
2003.5 Initial denial of access to records.
2003.6 Disclosure of a record to a person other than the individual to
whom it pertains.
2003.7 Authority to make law enforcement-related requests for records
maintained by other agencies.
2003.8 General exemptions.
2003.9 Specific exemptions.
Authority: 5 U.S.C. 552a; 5 U.S.C. App. (Inspector General Act of
1978); 42 U.S.C. 3535(d).
Source: 57 FR 62142, Dec. 29, 1992.
Sec. 2003.1 Scope of the part and applicability of other HUD
regulations.
(a) General. This part contains the regulations of the Office of
Inspector General (``OIG'') implementing the Privacy Act of 1974 (5
U.S.C. 552a). The regulations inform the public that the Inspector
General has the responsibility for carrying out the requirements of the
Privacy Act and for issuing internal OIG orders and directives in
connection with the Privacy Act. These regulations apply to all records
that are contained in systems of records maintained by the OIG and that
are retrieved by an individuals's name or personal identifier.
(b) Applicability of part 16. In addition to these regulations, the
provisions of 24 CFR part 16 apply to the OIG, except that appendix A to
part 16 is not applicable. The provisions of this part shall govern in
the event of any conflict with the provisions of part 16.
Sec. 2003.2 Definitions.
Certain terms used in 24 CFR part 16 have the following meanings for
purposes of this part:
Department. The term ``Department,'' as used in 24 CFR part 16, means
the OIG for purposes of this part, except that, as used in
Sec. Sec. 16.1(d), 16.11(b) (1), (3), and (4) and 16.12(e), the term
means the Department of Housing and Urban Development.
Privacy Act Officer. The term ``Privacy Act Officer,'' as used in 24
CFR part 16, means the Assistant Inspectors General described in
Sec. 2000.5 of this chapter.
Privacy Appeals Officer. The term ``Privacy Appeals Officer,'' as used
in 24 CFR part 16, means the Inspector General for purposes of this
part. The Secretary of HUD has delegated to the Inspector General the
authority to act as the Privacy Appeals Officer for denials of requests
for records maintained by the OIG.
Sec. 2003.3 Requests for records.
(a) A request from an individual for an OIG record about that
individual which is not contained in an OIG system of records will be
considered to be a Freedom of Information Act (FOIA) request and will be
processed under 24 CFR part 2002.
(b) A request from an individual for an OIG record about that
individual which is contained in an OIG system of records will be
processed under both the Privacy Act and the FOIA in order to ensure
maximum access under both statutes. This practice will be undertaken
regardless of how an individual characterizes the request.
(1) The procedures for inquiries and requirements for access to
records under the Privacy Act are more specifically set forth in 24 CFR
part 16, except that appendix A to part 16 does not apply to the OIG.
(2) An individual will not be required to state a reason or otherwise
justify his or her request for access to a record.
Sec. 2003.4 Officials to receive requests and inquiries.
Officials to receive requests and inquiries for access to, or
correction of, records in OIG systems of records are the Privacy Act
Officers described in Sec. 2003.2 of this part. Written requests may be
addressed to the appropriate Privacy Act Officer at: Office of Inspector
General, Department of Housing and Urban Development, Washington, DC
20410, or to a particular Regional Office listed in Sec. 2000.6(d) of
this chapter, for referral to the appropriate Privacy Act Officer.
Sec. 2003.5 Initial denial of access to records.
(a) Access by an individual to a record about that individual which is
contained in an OIG system of records will be denied only upon a
determination by the Privacy Act Officer that:
(1) The record was compiled in reasonable anticipation of a civil
action or proceeding; or the record is subject to a Privacy Act
exemption under Sec. Sec. 2003.8 or 2003.9 of this part; and
(2) The record is also subject to a FOIA exemption under
Sec. 2002.21(b) of this chapter.
(b) If a request is partially denied, any portions of the responsive
record that can be reasonably segregated will be provided to the
individual after deletion of those portions determined to be exempt.
(c) The provisions of 24 CFR 16.6(b) and 16.7, concerning notification
of an initial denial of access and administrative review of the initial
denial, apply to the OIG, except that:
(1) The final determination of the Inspector General, as Privacy
Appeals Officer for the OIG, will be in writing and will constitute
final action of the Department on a request for access to a record in an
OIG system of records; and
(2) If the denial of the request is in whole or in part upheld, the
final determination of the Inspector General will include notice of the
right to judicial review.
Sec. 2003.6 Disclosure of a record to a person other than the
individual to whom it pertains.
(a) The OIG may disclose an individual's record to a person other than
the individual to whom the record pertains in the following instances:
(1) Upon written request by the individual, including authorization
under 24 CFR 16.5(e);
(2) With the prior written consent of the individual;
(3) To a parent or legal guardian of the individual under 5 U.S.C.
552a(h); or
(4) When permitted by the provisions of 5 U.S.C. 552a(b) (1) through
(12).
(b) [Reserved].
Sec. 2003.7 Authority to make law enforcement-related requests for
records maintained by other agencies.
(a) The Inspector General is authorized by written delegation from the
Secretary of HUD and under the Inspector General Act to make written
requests under 5 U.S.C. 552a(b)(7) for transfer of records maintained by
other agencies which are necessary to carry out an authorized law
enforcement activity under the Inspector General Act.
(b) The Inspector General delegates the authority under paragraph (a)
of this section to the following OIG officials:
(1) Deputy Inspector General;
(2) Assistant Inspector General for Audit;
(3) Assistant Inspector General for Investigation; and
(4) Assistant Inspector General for Management and Policy.
(c) The officials listed in paragraph (b) of this section may not
redelegate the authority described in paragraph (a) of this section.
Sec. 2003.8 General exemptions.
(a) The systems of records entitled ``Investigative Files of the
Office of Inspector General,'' ``Hotline Complaint Files of the Office
of Inspector General,'' and ``Name Indices System of the Office of
Inspector General'' consist, in part, of information compiled by the OIG
for the purpose of criminal law enforcement investigations. Therefore,
to the extent that information in these systems falls within the scope
of Exemption (j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), these
systems of records are exempt from the requirements of the following
subsections of the Privacy Act, for the reasons stated below.
(1) From subsection (c)(3), because release of an accounting of
disclosures to an individual who is the subject of an investigation
could reveal the nature and scope of the investigation and could result
in the altering or destruction of evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the
investigation.
(2) From subsection (d)(1), because release of investigative records
to an individual who is the subject of an investigation could interfere
with pending or prospective law enforcement proceedings, constitute an
unwarranted invasion of the personal privacy of third parties, reveal
the identity of confidential sources, or reveal sensitive investigative
techniques and procedures.
(3) From subsection (d)(2), because amendment or correction of
investigative records could interfere with pending or prospective law
enforcement proceedings, or could impose an impossible administrative
and investigative burden by requiring the OIG to continuously retrograde
its investigations attempting to resolve questions of accuracy,
relevance, timeliness and completeness.
(4) From subsection (e)(1), because it is often impossible to
determine relevance or necessity of information in the early stages of
an investigation. The value of such information is a question of
judgment and timing; what appears relevant and necessary when collected
may ultimately be evaluated and viewed as irrelevant and unnecessary to
an investigation. In addition, the OIG may obtain information concerning
the violation of laws other than those within the scope of its
jurisdiction. In the interest of effective law enforcement, the OIG
should retain this information because it may aid in establishing
patterns of unlawful activity and provide leads for other law
enforcement agencies. Further, in obtaining evidence during an
investigation, information may be provided to the OIG which relates to
matters incidental to the main purpose of the investigation but which
may be pertinent to the investigative jurisdiction of another agency.
Such information cannot readily be identified.
(5) From subsection (e)(2), because in a law enforcement investigation
it is usually counterproductive to collect information to the greatest
extent practicable directly from the subject thereof. It is not always
feasible to rely upon the subject of an investigation as a source for
information which may implicate him or her in illegal activities. In
addition, collecting information directly from the subject could
seriously compromise an investigation by prematurely revealing its
nature and scope, or could provide the subject with an opportunity to
conceal criminal activities, or intimidate potential sources, in order
to avoid apprehension.
(6) From subsection (e)(3), because providing such notice to the
subject of an investigation, or to other individual sources, could
seriously compromise the investigation by prematurely revealing its
nature and scope, or could inhibit cooperation, permit the subject to
evade apprehension, or cause interference with undercover activities.
(b) [Reserved].
Sec. 2003.9 Specific exemptions.
(a) The systems of records entitled ``Investigative Files of the
Office of Inspector General,'' ``Hotline Complaint Files of the Office
of Inspector General'' and ``Name Indices System of the Office of
Inspector General'' consist, in part, of investigatory material compiled
by the OIG for law enforcement purposes. Therefore, to the extent that
information in these systems falls within the coverage of exemption
(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), these systems of records
are exempt from the requirements of the following subsections of the
Privacy Act, for the reasons stated below.
(1) From subsection (c)(3), because release of an accounting of
disclosures to an individual who is the subject of an investigation
could reveal the nature and scope of the investigation and could result
in the altering or destruction of evidence, improper influencing of
witnesses, and other evasive actions that could impede or compromise the
investigation.
(2) From subsection (d)(1), because release of investigative records
to an individual who is the subject of an investigation could interfere
with pending or prospective law enforcement proceedings, constitute an
unwarranted invasion of the personal privacy of third parties, reveal
the identity of confidential sources, or reveal sensitive investigative
techniques and procedures.
(3) From subsection (d)(2), because amendment or correction of
investigative records could interfere with pending or prospective law
enforcement proceedings, or could impose an impossible administrative
and investigative burden by requiring the OIG to continuously retrograde
its investigations attempting to resolve questions of accuracy,
relevance, timeliness and completeness.
(4) From subsection (e)(1), because it is often impossible to
determine relevance or necessity of information in the early stages of
an investigation. The value of such information is a question of
judgment and timing; what appears relevant and necessary when collected
may ultimately be evaluated and viewed as irrelevant and unnecessary to
an investigation. In addition, the OIG may obtain information concerning
the violation of laws other than those within the scope of its
jurisdiction. In the interest of effective law enforcement, the OIG
should retain this information because it may aid in establishing
patterns of unlawful activity and provide leads for other law
enforcement agencies. Further, in obtaining evidence during an
investigation, information may be provided to the OIG which relates to
matters incidental to the main purpose of the investigation but which
may be pertinent to the investigative jurisdiction of another agency.
Such information cannot readily be identified.
(b) The systems of records entitled ``Investigative Files of the
Office of Inspector General,'' ``Hotline Complaint Files of the Office
of Inspector General'' and ``Name Indices System of the Office of
Inspector General'' consist in part of investigatory material compiled
by the OIG for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment or Federal contracts, the
release of which would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence. Therefore, to the extent that
information in these systems falls within the coverage of Exemption
(k)(5) of the Privacy Act, 5 U.S.C. 552a(k)(5), these systems of records
are exempt from the requirements of subsection (d)(1), because release
would reveal the identity of a source who furnished information to the
Government under an express promise of confidentiality. Revealing the
identity of a confidential source could impede future cooperation by
sources, and could result in harassment or harm to such sources.