[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL HOUSING FINANCE BOARD
Table of Contents
FHFB-1 Employee Attendance Records
FHFB-2 General Travel and Transportation Files
FHFB-3 Administrative Grievance Files
FHFB-4 Federal Home Loan Bank Directors Financial Disclosure
Records
FHFB-6 Office of Inspector General Investigative Records
FHFB-7 Agency Personnel Investigative Records
In addition, the Finance Board intends to adopt the previously
published Federal Register notices of the existence and character of
the following governmentwide systems of records established by the
Office of Personnel Management (OPM), the Office of Government Ethics
(OGE), and the Equal Employment Opportunity Commission (EEOC):
OPM/GOVT-1 General Personnel Records
OPM/GOVT-2 Employee Performance File System Records
OPM/GOVT-3 Records of Adverse Actions, Performance-Based
Reduction in Grade and Removal Actions, and Termination of
Probationers
OPM/GOVT-5 Recruiting, Examining, and Placement Records
OGE/GOVT-1 Executive Branch Public Financial Disclosure Reports
and Other Ethics Program Records
OGE/GOVT-2 Confidential Statements of Employment and Financial
Interests
EEOC/GOVT-1 Equal Employment Opportunity in the Federal
Government Complaint and Appeals Records
These governmentwide systems of records include records that are
in the temporary custody of the Finance Board, but which are owned by
the OPM, the EEOC, or the OGE, respectively. Since the OPM, the OGE,
and the EEOC have published notices in the Federal Register of the
existence and character of these systems of records, it is
unnecessarily duplicative for the Finance Board to include a
description of these systems of records in its Federal Register
notice.
Individuals are referred to the OPM's Federal Register notice of
the existence and character of OPM/GOVT-1, OPM/GOVT-2, OPM/GOVT-3,
and OPM/GOVT-5. The citation is 57 FR 35705-35716, August 10, 1992,
as amended from time to time.
Individuals are referred to the OGE's Federal Register notice of
the existence and character of OGE/GOVT-1 and OGE/GOVT-2. The
citation is 55 FR 6328-6331, February 22, 1990, as amended from time
to time.
Individuals are referred to the EEOC's Federal Register notice on
the existence and character of EEOC/GOVT-1. The citation is 59 FR
11068, March 9, 1994, as amended from time to time.
FHFB-1
System name:
Employee Attendance Records.
Security classification:
None.
System location:
Federal Housing Finance Board, 1777 F Street NW., Washington, DC
20006.
Categories of individuals covered by the system:
Current and former Finance Board employees.
Categories of records in the system:
Records consist of salary and payroll data, including time and
attendance information.
Authority for maintenance of the system:
12 U.S.C. 1422b(b)(1).
Purpose(s):
Records are used for management and payroll purposes for approval
and documentation of employees' attendance and use of leave.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
These records, or information therefrom, may be disclosed as a
routine use to:
1. Finance Board personnel having a need for access to perform
their official functions.
2. The Department of Agriculture's National Finance Center for
payroll purposes.
3. The Department of Labor when processing a claim for
compensation regarding a job connected injury or illness.
4. A state unemployment compensation office regarding a claim.
5. In the event the information in the system of records
indicates a violation or potential violation of a criminal or civil
law, rule, or regulation, the relevant records may be disclosed to
the appropriate federal, state, or leocal agency or authority
responsible for investigating or prosecuting such a violation or for
enforcing or implementing a statute, rule or regulation.
6. A court, magistrate or administrative tribunal in the course
of presenting evidence, including disclosures to counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings.
7. OPM or the General Accounting Office (GAO) when the
information is required for evaluation of pay or leave
administration.
8. The General Services Administration in connection with its
responsibilities for records management.
9. A congressional office in response to an inquiry from the
congressional office made at the request of the subject individual.
10. The Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services, upon
its request and as required by the Personal Responsibility and Work
Opportunity Reconciliation Act of 1996, see Pub. l. 104-193, sec.
316(f), 110 Stat. 2175 (Aug. 22, 1996) codified at 42 U.S.C. 653,
for the purposes of establishing and enforcing child support
obligations.
Disclosure to consumer reporting agencies:
None.
Policies and practice for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are filed alphabetically by name.
Safeguards:
Files are kept in areas that are locked after business hours.
Access is limited to Finance Board personnel having a need for access
to perform their official functions.
Retention and disposal:
1. Leave, application files (i.e. SF71s or equivalent and
supporting documentation) are destroyed after three years of GAO
audit, whichever is sooner.
2. Time and attendance source records and input records are
destroyed after six years or GAO audit, whichever is sooner.
System manager(s) and address:
Office of Management, Federal Housing Finance Board, 1771 F
Street NW, Washington, DC 2006.
Notification procedure:
Direct inquiries as to whether this system contains a record
pertaining to an individual to the Privacy Act Official, Federal
Housing Finance Board, 1771 F Street, NW, Washington, DC 20006, in
accordance with the procedures set forth in 12 CFR part 913.
Record access procedures:
Direct requests for access to a record to the Privacy Act
Official, Federal Housing Finance Board, 1777 F Street, NW,
Washington, DC 20006, in accordance with the procedures set forth in
12 CFR part 913.
Contesting record procedures:
Direct requests to amend a record to the Privacy Act
Official,Federal Housing Finance Board, 1777 F Street, NW,
Washington, DC 20006, in accordance with the procedures set forth in
12 CFR part 913.
Record source categories:
The subject individual and Finance Board employees who approve
leave applications.
Exemptions claimed for the system:
None.
FHFB-2
System name:
General Travel and Transportation Files.
Security classification:
None.
System location:
Federal Housing Finance Board, 1777 F Street NW, Washington, DC
20006.
Categories of individuals covered by the system:
1. Current and former Finance Board employees.
2. Individuals invited to travel by the Finance Board, including
individuals traveling to the Finance Board for preemployment
interviews and individuals invited to attend a Finance Board
ceremony, meeting or similar event.
Categories of records in the system:
Records consist of travel vouchers, petty cash forms, and
supporting documentation.
Authority for maintenance of the system:
12 U.S.C. 1422b(a)(3), 41 CFR part 101-41.
Purpose(s):
Records document payment for travel expenses of Finance Board
employees incurred in the performance of their official functions.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
These records, or information therefrom, may be disclosed as a
routine use to:
1. Finance Board personnel having a need for access to perform
their official functions.
2. Internal agency auditors and auditors of the GAO.
3. In the event the information in the system of records
indicates a violation or potential violation of a criminal or civil
law, rule, or regulation, the relevant records may be disclosed to
the appropriate federal, state, or leocal agency or authority
responsible for investigating or prosecuting such a violation or for
enforcing or implementing a statute, rule or regulation.
4. A court, magistrate or administrative tribunal in the course
of presenting evidence, including disclosures to counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings.
5. 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 decision concerning the hiring or retention
of an employee, the letting of a contract, or the issuance of a grant
or other benefit.
6. Another federal agency, in response to a request made in
connection with the hiring or retention of an individual, the
issuance of a security clearance, the reporting of an investigation
of an individual, 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 disclosed is necessary and relevant to
the requesting agency's decision on the matter.
7. A congressional office in response to an inquiry made at the
request of the subject individual.
Disclosure to consumer reporting agencies:
None.
Policies and practice for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are contained in file folders.
Retrievability:
Records are filed alphabetically by name.
Safeguards:
Files are kept in areas that are locked after business hours.
Access is limited to Finance Board personnel having a need for access
to perform their official functions.
Retention and disposal:
Records are retained for two years and then destroyed.
System manager(s) and address:
Office of Management, Federal Housing Finance Board, 1777 F
Street NW., Washington, DC 20006.
Notification procedure:
Direct inquiries as to whether this system contains a record
pertaining to an individual to the Privacy Act Official, Federal
Housing Finance Board, 1777 F Street NW., Washington, DC 20006, in
accordance with the procedures set forth in 12 CFR part 913.
Record access procedures:
Direct requests for access to a record to the Privacy Act
Official, Federal Housing Finance Board, 1777 F Street, NW.,
Washington, DC 20006, in accordance with the procedures set forth in
12 CFR part 913.
Contesting record procedures:
Direct requests to amend a record to the Privacy Act Official,
Federal Housing Finance Board, 1777 F Street, NW., Washington, DC
20006, in accordance with the procedures set forth in 12 CFR part
913.
Record source categories:
The subject individual.
Exemptions claimed for the system:
None.
FHFB-3
System name:
Administrative Grievance Files.
Security classification:
None.
System location:
Federal Housing Finance Board, 1777 F Street, NW., Washington, DC
20006.
Categories of individuals covered by the system:
Current and former Finance Board employees who have filed a
grievance pursuant to the agency's administrative grievance
procedures.
Categories of records in the system:
Records contain documents related to the grievances, including
the written grievance filed by the employee, statements of witnesses,
records, the report of a hearing if one is held, the report of a fact
finder when fact-finding is used, statements made by the parties to
the grievance, and the agency's decision.
Authority for maintenance of the system:
12 U.S.C. 1422B(B)(1); 5 CFR part 771.
Purpose(s):
Records document grievance proceedings brought pursuant to the
Finance Board's administrative grievance procedures.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
These records, or information therefrom, may be disclosed as a
routine use:
1. To Finance Board personnel having a need for access to perform
their official functions.
2. In litigation to respond to process issued under authority of
a court of competent jurisdiction and to parties or complainants,
their representatives, and impartial referees, examiners,
administrative judges, or other decisionmakers in proceedings under
the Finance Board's administrative grievance procedures, Equal
Employment Opportunity procedures, Merit Systems Protection Board, or
similar procedures.
3. To request information from a federal, state, or local agency
or private individual if necessary to obtain information relevant to
a Finance Board decision within the purposes of this system of
records.
4. To the appropriate agency, whether federal, state, local or
foreign, charged with the responsibility of investigating or
prosecuting a violation or potential violation of law or charged with
enforcing or implementing the statute, or rule, regulation or order
issued pursuant thereto, in the event that information in this record
system indicates a violation or potential violation of law, whether
civil, criminal or regulatory in nature, and whether arising by
general statute or particular program statute, or by regulation, rule
or order issued pursuant thereto.
5. 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 decision concerning the hiring or retention
of an employee, the letting of a contract, or the issuance of a grant
or other benefit.
6. 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.
Disclosure to consumer reporting agencies:
None.
Policies and practice for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are contained in file folders.
Retrievability:
Records are filed alphabetically by name.
Safeguards:
Files are kept in areas that are locked after business hours.
Access is limited to Finance Board personnel having a need for access
to perform their official functions.
Retention and disposal:
Records are destroyed five years after closure of a case.
System manager(s) and address:
Office of Management, Federal Housing Finance Board, 1777 F
Street, NW., Washington, DC 20006.
Notification procedure:
Direct inquiries as to whether this system contains a record
pertaining to an individual to the Privacy Act Official, Federal
Housing Finance Board, 1777 F Street, NW., Washington, DC 20006, in
accordance with the procedures set forth in 12 CFR part 913.
Record access procedures:
Direct requests for access to a record to the Privacy Act
Official, Federal Housing Finance Board, 1777 F Street, NW.,
Washington, DC 20006, in accordance with the procedures set forth in
12 CFR part 913.
Contesting record procedures:
Direct requests to amend a record to the Privacy Act Official,
Federal Housing Finance Board, 1777 F Street, NW., Washington, DC
20006, in accordance with the procedures set forth in 12 CFR part
913.
Record source categories:
The subject individual, Finance Board personnel records, and
statements and testimony of witnesses and related correspondence.
Exemptions claimed for the system:
None.
FHFB-4
System name:
Federal Home Loan Bank Directors Financial Disclosure Records.
Security classification:
None.
System location:
Federal Housing Finance Board, 1777 F Street, NW., Washington, DC
20006.
Categories of individuals covered by the system:
Current Federal Home Loan Bank (FHLBank) appointive directors and
candidates for appointment.
Categories of records in the system:
Records contain certifications of eligibility and information
concerning the financial or other personal interests of current
FHLBank appointive directors, candidates for appointment and their
immediate families that may pose a conflict of interest under the
conflicts of interest policy of the director's FHLBank.
Authority for maintenance of the system:
12 U.S.C. 1427(a) and (d); 12 CFR 915.10-915.12.
Purpose(s):
Records are collected to determine whether FHLBank appointive
directors and candidates for appointment are in compliance with
statutory and regulatory eligibility requirements.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Records, or information therefrom, may be disclosed as a routine
use to Finance Board personnel having a need for access to perform
their official functions.
Disclosure to consumer reporting agencies:
None.
Policies and practice for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are contained in file folders.
Retrievability:
Records are filed by FHLBank and alphabetically by name.
Safeguards:
Files are kept in areas that are locked after business hours.
Access is limited to Finance Board personnel having a need for access
to perform their official functions.
Retention and disposal:
Records pertaining to a particular individual are retained for
the length of the individual's term of service as a FHLBank
appointive director.
System manager(s) and address:
Office of the Chairman, Federal Housing Finance Board, 1777 F
Street, NW, Washington, DC 20006.
Notification procedure:
Direct inquiries as to whether this system contains a record
pertaining to individual to the Privacy Act Official, Federal Housing
Finance Board, 1777 F Street, NW, Washington, DC 20006, in accordance
with the procedures set forth in 12 CFR part 913.
Record access procedures:
Direct requests for access to a record to the Privacy Act
Official, Federal Housing Finance Board, 1777 F Street, NW,
Washington, DC 20006, in accordance with the procedures set forth in
12 CFR part 913.
Contesting record procedures:
Direct requests to amend a record to the privacy Act Official,
Federal Housing Finance Board, 1777 F Street NW, Washington, DC
20006, in accordance with the procedures set forth in 12 CFR part
913.
Record source categories:
The subject individual.
Exemptions claimed for the system:
None.
FHFB-6
System name:
Office of Inspector General Investigative Records.
Security classification:
None.
System location:
Federal Housing Finance Board, 1777 F Street NW, Washington, DC
20006.
Categories of individuals covered by the system:
1. Current and former Finance Board employees, others involved in
the Finance Board's programs or operations, and any other persons who
are or have been under investigation by the Finance Board's Office of
Inspector General (OIG) in order to determine whether these
individuals have been or are engaging in waste, fraud or abuse with
respect to the Finance Board's programs or operations or other
activities that violate federal criminal laws.
2. Complainants and witnesses where necessary for future
retrieval.
Categories of records in the system:
Files on individual investigations including investigative
reports and related documents generated during the course of or
subsequent to an investigation. It includes electronic and hard copy
case tracking systems, databases containing investigatory
information, ``Hotline'' telephone logs, and investigator workpapers
and memoranda and letter referrals to management or others.
Authority for maintenance of the system:
5 U.S.C. App. 4(a)(1) and 6(a)(2).
Purpose(s):
These records are collected, maintained and used by the OIG in
its inquiries and investigations and reports relating to the
administration of the Finance Board's programs and operations and to
manage the investigatory program.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
Under normal circumstances, the OIG will not provide individually
identifiable records. However, under those unusual circumstances when
the OIG must release information contained in an individually
identifiable record, the OIG will maintain proper safeguards to
protect the information from unwarranted invasion of personal
privacy. Subject to this general limitation, these records, or
information therefrom, may be disclosed as a routine use to:
1. The appropriate federal, state or local agency or authority
responsible for investigating or prosecuting a violation or potential
violation of a criminal or civil law, rule or regulation or for
enforcing or implementing a statute, rule or regulation if
information in the system of records indicates such a violation.
2. A court, magistrate or administrative tribunal in the course
of presenting evidence, including disclosures to counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal proceedings.
3. A congressional office in response to an inquiry made at the
request of the subject individual.
4. Any source, including a federal, state or local agency
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, but only to the extent necessary for
the OIG to obtain information relevant to an OIG investigation.
5. Another federal agency in response to a request made in
connection with the hiring or retention of an individual, the
issuance of a security clearance, the reporting of an investigation
of an individual, the letting of a contract or issuance of a grant,
license or other benefit by the requesting agency, but only to the
extent that the information disclosed is necessary and relevant to
the requesting agency's decision on the matter.
6. Other federal entities, such as other federal Offices of
Inspector General or the General Accounting Office, or to a private
party with which the OIG or the Finance Board has contracted for the
purpose of auditing or reviewing the performance or internal
management of the OIG's investigatory program, provided the record
will not be transferred in a form that is individually identifiable,
and provided further that the entity acknowledges in writing that it
is required to maintain Privacy Act safeguards for the information.
In addition to the foregoing routine uses, a record which is
contained in this system and derived from another Finance Board
system of records may be disclosed as a routine use as specified in
the Federal Register notice of the system of records from which the
records derived.
Disclosure to consumer reporting agencies:
None.
Policies and practice for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are maintained in file folders, computer disks,
electronic media and reports on each investigation.
Retrievability:
Records generally are indexed by name of person under
investigation, investigation number, referral number or investigative
subject matter.
Safeguards:
File folders are maintained in safes or lockable metal file
cabinets stored in offices that are locked when not in use. Computer
disks and electronic media are locked in the lockable metal file
cabinets with their related file folders, and information not so
lockable is kept in individual offices in locked or passworded
computer hardware. Access to the information in the cabinets and
individual offices is permitted only by and to specifically
authorized personnel.
Retention and disposal:
Records in file folders are retained as long as needed and then
destroyed by shredding. Computer disks are cleared, retired, or
destroyed when no longer useful. Entries on electronic media are
deleted or erased when no longer needed.
System manager(s) and address:
Office of Inspector General, Federal Housing Finance Board, 1777
F Street, NW, Washington, DC 20006.
Notification procedure:
Direct inquiries as to whether this system contains a record
pertaining to an individual to the Privacy Act Official, Federal
Housing Finance Board, 1777 F Street, NW, Washington, DC 20006, in
accordance with the procedures set forth in 12 CFR part 913.
Record access procedures:
Direct requests for access to a record to the Privacy Act
Official, Federal Housing Finance Board, 1777 F Street, NW,
Washington, DC 20006, in accordance with the procedures set forth in
12 CFR part 913.
Contesting record procedures:
Direct requests to amend a record to the Privacy Act Official,
Federal Housing Finance Board, 1777 F Street, NW, Washington, DC
20006, in accordance with the procedures set forth in 12 CFR part
913.
Record source categories:
The OIG collects information from many sources including the
subject individuals, employees of the Finance Board and the Federal
Home Loan Bank System, other government sources, witnesses and
informants, and nongovernmental sources.
Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(5), a record contained in this
system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I) and (f), to the extent that the records consists
of investigatory material compiled:
(1) For law enforcement purposes; or
(2) For the purpose of determining suitability, eligibility or
qualifications for federal civilian employment or federal contracts,
and if disclosure of the record would reveal the identity of a source
who furnished information to the government under an express promise
that his or her identity would be held in confidence.
Notwithstanding the exemption, the Finance Board will provide a
record if any right, privilege or benefit to which an individual
would otherwise be entitled by Federal law, or for which the
individual otherwise would be eligible, is denied as a result of the
maintenance of the record, except to the extent that disclosure of
the record would reveal the identity of a source who furnished
information to the government under an express promise that his or
her identity would be held in confidence.
FHFB-7
System name:
Agency Personnel Investigative Records.
Security classification:
None.
System location:
Federal Housing Finance Board, 1777 F Street NW., Washington, DC
20006.
Categories of individuals covered by the system:
Current and former Finance Board employees.
Categories of records in the system:
Records contain information relating to the subject individual,
including name, address, date and place of birth, Social Security
number, citizenship, residence, foreign travel and contacts,
education, personal references, organizational membership and
security clearance history; investigative information regarding the
subject individual's character, conduct and behavior in the community
where he or she lives or lived, and arrests and convictions for
violations of the law; reports from commercial credit agencies,
interviews with the subject individual and with present and former
supervisors, co-workers, associates, educators, etc., and inquiries
with law enforcement agencies, employers, educational institutions
attended; reports about the subject individual's qualifications for a
specific position; correspondence relating to adjudication matters;
reports of action after the OPM or Federal Bureau of Investigation
section 8(d) Full Field Investigation; and other information
developed from the above.
Authority for maintenance of the system:
5 U.S.C. 3301, 5 CFR parts 5, 731, 736, E.O. 10577.
Purpose(s):
1. Records are collected in order to make, and are maintained in
order to provide documentation, if necessary, to the OPM in order to
support the Finance Board's determinations concerning compliance with
Federal personnel regulations, the suitability and fitness of the
subject individual for federal employment and access and security
clearances, and the qualifications for performance of contractual
services for the U.S. Government.
2. To provide information necessary to schedule and conduct
required investigations.
3. To locate individuals for personnel research.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Records, or information therefrom, may be disclosed as a routine
use to:
1. Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the federal government, having a need to evaluate
qualifications, suitability, and loyalty to the United States
government and/or a security clearance or access determination.
2. Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the federal government, and the District of Columbia
government, when such agency, office, or establishment conducts an
investigation of the individual for purposes of granting a security
clearance, or for the purpose of making a determination of
qualifications, suitability, or loyalty to the United States
government, or access to classified information or restricted areas.
3. Designated officers and employees of agencies, offices, and
other establishments in the executive, judicial, or legislative
branches of the federal government, having the responsibility to
grant clearances, to make determination regarding access to
classified information or restricted areas, or to evaluated
qualifications, suitability, or loyalty to the United States
government, in connection with performance of a service to the
federal government under a contract or other agreement.
4. Intelligence agencies for use in intelligence activities;
5. Any source from which information is requested in the course
of an investigation, to the extent necessary to identify the
individual, inform the source of the nature and purpose of the
investigation, and to identify the type of information requested.
6. The federal, state, or local agency responsible for
investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order where there is an indication of a
violation or potential violation of civil or criminal law or
regulation.
7. An agency, office or other establishment in the executive,
legislative, or judicial branches of the federal government, or the
District of Columbia government, 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.
8. Federal agencies as a data source for management information
through the production of summary descriptive statistics and
analytical studies in support of the functions for which the records
are maintained or for related studies.
9. A congressional office in response to an inquiry made at the
request of that individual.
10. In litigation before a court or in an administrative
proceeding being conducted by a federal agency.
11. The National Archives and Records Administration for records
management inspections.
12. The Office of Management and Budget in connection with
private relief legislation.
13. Respond to a request for discovery or for appearance of a
witness.
14. The Merit Systems Protection Board, the Office of Special
Counsel, the Equal Employment Opportunity Commission, or the Federal
Labor Relations Authority, in connection with functions vested in
those agencies.
Disclosure to consumer reporting agencies:
None.
Policies and practice for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
The records are contained in file jackets and stored in a safe
secured by a combination lock.
Retrievability:
Records are filed alphabetically by name.
Safeguards:
Records are in the custody of the Personnel Security Officer and
are maintained in a safe secured by a combination lock. The room
where the records are stored is locked when not in use.
Retention and disposal:
Records are retained until the subject individual terminates
employment at the Finance Board, at which time the records are
handled in accordance with OPM policy and procedures.
System manager(s) and address:
Office of General Counsel, Federal Housing Finance Board, 1777 F
Street NW., Washington, DC 20006.
Notification procedure:
Direct inquiries as to whether this system contains a record
pertaining to an individual to the Privacy Act Official, Federal
Housing Finance Board, 1777 F Street NW., Washington, DC 20006, in
accordance with the procedures set forth in 12 CFR part 913.
Record access procedures:
Direct requests for access to a record to the Office of Personnel
Management, Federal Investigations Processing Center, FOI/PA, Boyers,
Pennsylvania 16018.
Contesting record procedures:
Direct requests to amend a record to the Privacy Act Official,
Federal Housing Finance Board, 1777 F Street NW., Washington, DC
20006, in accordance with the procedures set forth in 12 CFR part
913.
Record source categories:
Subject individual, including applications and other personnel
and security forms and personal interview; police, military or naval
reports; notices of personnel actions and investigative and other
record material furnished by Federal agencies; and personal
investigation, written inquiry, or computer linkage from sources such
as former employees, former employers, educational institutions,
references, neighbors, associates, police departments, courts, credit
bureaus, medical records, probation officials, prison officials,
newspapers, magazines, periodicals and other publications.
Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(5), a record contained in this
system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I) and (f), to the extent that disclosure would
reveal the identity of a source who furnished information to the
government under an express promise that his or her identity would be
held in confidence.
FEDERAL HOUSING FINANCE BOARD
FEDERAL H0USING FINANCE BOARD
PART 909--PRIVACY ACT PROCEDURES
Sec.
909.1 General.
909.2 Definitions.
909.3 Procedures for requesting individual records in a system of
records; appeal of denials.
909.4 Time, place and identification requirements for requests.
909.5 Disclosure of requested records.
909.6 Procedures for requesting amendment to a record in a system of
records; appeal of denials.
909.7 Fees.
909.8 Penalties.
909.9 Exemptions.
Authority: 5 U.S.C. 552a.
Source: 58 FR 19205, Apr. 13, 1993.
Sec. 909.1 General.
(a) Purpose. This part implements the provisions of the Privacy Act, 5
U.S.C. 552a, which require each executive agency to promulgate
regulations for the protection of the privacy of individuals on whom the
agency maintains information that is retrieved by reference to an
individual's name or an identifying particular assigned to the
individual.
(b) Scope. These regulations establish procedures by which: an
individual may seek access under the Privacy Act to records pertaining
to him or her, may request correction or amendment of such records, or
may seek an accounting of disclosures of such records maintained by the
agency.
Sec. 909.2 Definitions.
As used in this part:
(a) Amendment means any correction, addition or deletion of
information contained in a record, as defined in paragraph (g) of this
section.
(b) Board of Directors means the five member governing Board of
Directors of the Federal Housing Finance Board.
(c) Business days means all days except Saturdays, Sundays, or Federal
Government holidays.
(d) Finance Board means the Federal Housing Finance Board.
(e) Individual means a natural person who is either a citizen of the
United States of America or an alien lawfully admitted to the United
States for permanent residence. The term includes the parent(s) having
custody of any minor or the legal guardian of any individual who has
been declared to be incompetent due to physical or mental incapacity or
age by a court of competent jurisdiction.
(f) Maintain means to keep or hold and preserve in an existing state,
and includes the terms ``collect,'' ``use,'' ``disseminate'' and
``control.''
(g) Record means any item, collection, or grouping of information
about an individual that is maintained by the Finance Board within a
system of records, and that contains such individual's name, or
identifying number, symbol, or other identifying particular assigned to
the individual, including a fingerprint, voice print or photograph.
(h) Records systems manager means the employee responsible for
maintaining a designated system of records at the Finance Board, as such
official or employee may be identified through public notice in the
Federal Register from time to time by the Finance Board entitled:
``Privacy Act of 1974: Systems of Records.''
(i) Routine use means the use of a record for a purpose compatible
with the purpose for which it was originally created.
(j) System of records means a group of records maintained or
controlled by the Finance Board from which information is or may be
retrieved by the name of an individual or some identifying number,
symbol or other identifying particular assigned to the individual.
(k) Designated system of records means a system of records, as defined
in paragraph (j) of this section, that has been listed in the Federal
Register as required by 5 U.S.C. 552a(e).
Sec. 909.3 Procedures for requesting individual records in a system
of records; appeal of denials.
(a) Current or former employees. Any current or former Finance Board
employee seeking access to such employee's official personnel record
maintained by the Finance Board shall submit a request to the Finance
Board in the manner prescribed by regulations of the Office of Personnel
Management, at title 5, Code of Federal Regulations.
(b) Other requests. Other requests for access to a record that
contains information on the requesting individual and is maintained in a
Finance Board designated system of records shall be writing, shall
contain a reasonable, succinct description of the record sought, and
shall identify the particular designated system of records in which the
record may be maintained, as identified in a notice published by the
Finance Board from time to time in the Federal Register.
(c) Accounting for previous disclosures. An individual may use the
procedures of this section to request an accounting from the Finance
Board of previous disclosures of records pertaining to such individual
in a designated system of records, pursuant to the Privacy Act, 5 U.S.C.
552a(c).
(d) Medical records procedures. Information on an individual contained
in medical records will be disclosed to a requesting individual in
accordance with the procedures in paragraph (b) of this section and the
requirements of this part, except, if in the judgment of the Finance
Board the disclosure of such information could have an adverse effect on
the individual, the Finance Board may withhold such information from the
individual and transmit it to a licensed medical physician named by the
requesting individual.
(e) Response policy. The Finance Board will acknowledge, or
substantially respond to if practicable, a request made under this
section within ten (10) business days of its receipt.
(f) Initial review. (1) The Executive Secretary will make the initial
determination whether to grant or deny a request for records under this
part, after consultation with the systems manager of the appropriate
designated system of records.
(2) The Executive Secretary will notify the requesting individual
whether the Finance Board:
(i) Has the requested record in a Finance Board designated system of
records; and
(ii) Will release the requested record or not.
(3) If the request is denied, the Executive Secretary will inform the
requesting individual of the reasons for nondisclosure, and describe the
individual's right to appeal the determination.
(g) Appeal process. (1) An individual who has been denied a request
made pursuant to paragraph (b) of this section, may appeal to the Board
of Directors, or designee, within 30 business days of being notified of
the denial pursuant to paragraph (f) of this section.
(2) The appeal shall be in writing, shall be mailed or delivered to
the Executive Secretary, and shall give the reasons why the initial
determination should be overturned.
(3) The Board of Directors, or such official designated by the Board
of Directors, shall decide on the appeal within 30 business days
following receipt of the appeal by the Executive Secretary. The Board of
Directors or designated official may extend the time period for good
cause, after giving notice, and reason therefor, to the individual
making the appeal.
(4) If a decision is made to affirm the initial denial of a request
for a record by an individual, the Board of Directors or designated
official shall notify the individual making the appeal of the decision
and the reason therefor, and shall inform the individual of the right of
judicial review of the appeal.
Sec. 909.4 Time, place and identification requirements for requests.
(a) Time. An individual may hand deliver a written request for access
to or amendment of records, made under Sec. 909.3(b) or Sec. 909.6 of
this part, to the Finance Board on any business day, between the hours
of 8:30 a.m. and 5:30 p.m.
(b) Place. All written requests for access to or amendment of records
shall be mailed or hand delivered to the Executive Secretary, Federal
Housing Finance Board, 1777 F Street, NW, Washington, DC 20006.
(c) Identification.--(1) Mailed requests. All requests for access to
or amendment of records that are mailed to the Finance Board shall be
signed by the individual who is the subject of the requested record and
who is making the request. The validity of each such signature shall be
attested to by a notary public.
(2) Hand delivered requests. All requests for access to or amendment
of records that are hand delivered to the Finance Board by the
requesting individual shall be authenticated as to the identity of the
requesting individual by two forms of identification with photographs,
or by one such form of identification and a properly authenticated birth
certificate.
Sec. 909.5 Disclosure of requested record.
(a) Requesting individual. Except to the extent that records
pertaining to an individual are exempt from disclosure under Sec. 909.9
of this part, or were compiled in reasonable anticipation of a civil
action or proceedings, the Finance Board will make such records
available upon request, pursuant to Sec. 909.3 of this part in either of
the following methods, at the option of the requesting individual:
(1) By mailing a copy of the record to the address of the requesting
individual; or
(2) By making the record available for inspection and copying by the
requesting individual, as soon as practicable, at the offices of the
Executive Secretary on regular business days, from 9:30 a.m. until 4:30
p.m. The requesting individual may choose to be accompanied by another
person during the inspection and copying by submitting a signed
statement authorizing the presence of such person.
(b) Other individuals. (1) The Finance Board will disclose a record to
a person or entity other than the requesting individual, in the manner
provided by paragraph (a) of this section, only when the Finance Board:
(i) Receives a copy of a written authorization for disclosure to such
person or entity signed by the requesting individual and attested to by
a notary public; and
(ii) Receives adequate identification from such person or entity.
(2) The restrictions contained in paragraph (b)(1) of this section on
disclosure of a record shall not apply to:
(i) A disclosure to Finance Board officers or employees who have a
need for the record in the performance of their duties;
(ii) A disclosure otherwise required by the Freedom of Information Act
(5 U.S.C. 552);
(iii) A routine use listed with respect to a designated system of
records;
(iv) A disclosure 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 of the United States Code;
(v) A disclosure to a recipient who has provided the Finance Board
with advance written assurance that the record will be used solely as a
statistical research or reporting record, and that the record is to be
transferred in a form that is not individually identifiable;
(vi) A disclosure to the National Archives and Records Administration
as a record with sufficient historical or other value to warrant its
continued preservation by the Federal Government or for evaluation by
the Archivist of the United States to determine whether it has such
value.
(vii) A disclosure to another agency or to an instrumentality of any
government jurisdiction within or under the control of the United States
for civil or criminal law enforcement activity authorized by law if the
head of such agency or instrumentality has made a written request to the
Finance Board specifying the particular record requested and the law
enforcement activity for which it is sought;
(viii) A disclosure to any person pursuant to a showing of compelling
circumstances affecting the health and safety of an individual if
notification of the disclosure is transmitted to the last known address
of the individual who is the subject of the disclosed record;
(ix) A disclosure to a joint committee of Congress, or any
subcommittee thereof, or to either House of Congress, or to any
committee or joint committee, or subcommittee thereof, but only to the
extent of matter within such joint committee's, committee's or
subcommittee's jurisdiction;
(x) A disclosure to the Comptroller General, or authorized
representative, made in the course of performing the duties of the
General Accounting Office.
(xi) Pursuant to the order of a court of competent jurisdiction; or
(xii) To a consumer reporting agency in accordance with 31 U.S.C.
3711(f).
(c) The Finance Board, with respect to each system of records under
its control shall:
(1) Except for disclosures made under paragraphs (b)(1) or (b)(2) of
this section, keep an accurate accounting of:
(i) The date, nature, and purpose of each disclosure of a record to
any person or to another agency made under paragraph (b) of this
section; and
(ii) The name and address of the person or agency to whom the
disclosure is made;
(2) Retain the accounting made under paragraph (c)(1) of this section
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made; and
(3) Except for disclosures made under paragraph (b)(2)(vii) of this
section, make the accounting made under paragraph (c)(1) of this section
available to the individual named in the record at his or her request.
(4) When a record has been amended or corrected or when a statement of
disagreement has been filed, the Finance Board will advise all prior
recipients of the affected record whose identities may be determined
pursuant to the disclosure accountings required by the Privacy Act or
any other accounting previously made, of the amendment or correction or
the filing of the statement of disagreement. Any disclosure of disputed
information occurring after a statement of disagreement has been filed
will clearly identify the specific information disputed and be
accompanied by a copy of the statement of disagreement and a copy of the
statement of explanation, if any, as set forth in Sec. 909.6 of this
part.
Sec. 909.6 Procedures for requesting amendment to a record in a
system of records; appeal of denials.
(a) Scope. This section applies only to amendment of records on an
individual maintained in a Finance Board system of records used in
making a determination about such individual.
(b) Individual request. (1) Any individual may request the Finance
Board to amend any portion of a record in a designated system of records
pertaining to that individual, where such portion of the record is not
accurate, relevant, timely or complete.
(2) A request to amend a record pursuant to this section shall be in
writing, shall identify the particular designated system of records
containing the record which the individual requests to amend and the
portion of that record to be amended, and shall describe the reasons for
the requested amendment.
(c) Prior proceeding. Nothing in this section shall permit a
collateral attack upon any matter decided in a prior judicial, quasi-
judicial or other proceeding.
(d) Response policy. The Finance Board shall acknowledge, or
substantially reply to, if practicable, a request for amendment of
records under this section.
(e) Initial review. (1) The Executive Secretary shall acknowledge all
requests by individuals for amendment of records. The Executive
Secretary shall refer all requests to the appropriate systems manager of
the designated system of records containing the record to be reviewed,
for disposition of the request within 10 business days of the referral.
The systems manager shall promptly review the request and review the
record for accuracy, relevance, timeliness, completeness or necessity.
(2) The systems manager will promptly provide to the Executive
Secretary a recommendation whether the record should be amended and
shall state any reasons for denying the request in any part.
(3) The Executive Secretary will promptly notify the requesting
individual of his decision and reasons for any denial, and describe the
individual's right to appeal any denial.
(f) Appeal process. (1) An individual who has been denied a request
made pursuant to this section may appeal to the Board of Directors, or
an official designated by the Board of Directors, within 30 business
days of being notified of the denial pursuant to paragraph (e)(3) of
this section.
(2) The appeal shall be in writing, shall be mailed to the Executive
Secretary, and shall give the reasons why the initial determination
should be overturned.
(3) The Board of Directors, or designated official, shall decide the
appeal within 30 business days of its receipt by the Executive
Secretary. The Board of Directors or designated official may extend the
30 day limit for good cause, after giving notice, and the reasons
therefor, to the individual making the appeal.
(4) If a decision is made to affirm the initial denial of a request
for a record by an individual, the Board of Directors or designated
official shall notify the individual making the appeal of the decision
and the reason therefor, and shall inform the individual of the right of
judicial review of the appeal.
(g) Statements. (1) Within 30 business days after being denied an
appeal pursuant to paragraph (f) of this section, an individual may
submit a concise written statement of disagreement setting forth the
individual's reasons for disagreeing with the Finance Board's refusal to
amend the record.
(2) Such statement shall be provided to persons or other agencies or
entities to whom the record is disclosed.
(3) The Finance Board may, if deemed appropriate, prepare a concise
statement of explanation of the reason(s) why the requested amendment or
correction was not made. Any statement of explanation will be included
in the system of records in the same manner as the statement of
disagreement. A copy of the statement of explanation and of the notation
of the dispute as marked on the original record will be provided to the
individual who requested correction or amendment of the record.
Sec. 909.7 Fees.
The Finance Board, upon a request for records disclosable pursuant to
these regulations, shall charge a fee of $0.10 per page for duplicating,
unless:
(a) The Finance Board determines that it shall grant access to the
record only by making a copy thereof;
(b) The total fee will not exceed $2.00; or
(c) The Finance Board determines, in its sole discretion, that a
reduction or waiver of the fees is warranted for good cause.
Sec. 909.8 Penalties.
Subsection (i)(3) of the Privacy Act of 1974 (5 U.S.C. 552a(i)(3))
imposes criminal penalties for obtaining Finance Board records on
individuals under false pretenses. It provides as follows:
Any person who knowingly and willfully requests or obtains any record
concerning an individual from an agency under false pretense shall be
guilty of a misdemeanor and fined not more than $5,000.00.
Sec. 909.9 Exemptions.
The following information is exempt from disclosure:
(a) The Office of Inspector General Investigative Files system of
records is exempt from all sections of the Privacy Act (5 U.S.C. 552a)
except the following: (b) relating to conditions of disclosure; (c)(1)
and (2) relating to keeping and maintaining a disclosure accounting;
(e)(4) (A) through (F) relating to publishing a system notice setting
forth name, location, categories of individuals and records, routing
uses and policies regarding storage, retrievability, access controls,
retention and disposal of the records; (e) (6), (7), (9), (10) and (11)
relating to dissemination and maintenance of records, and relating to
criminal penalties. This system of records is also exempt from
Sec. Sec. 909.3, 909.4, 909.5 (a) and (c)(3) and (4), and 909.6 of this
part. This exemption applies to those records and information contained
in the system of records pertaining to the enforcement of criminal laws.
(b) To the extent that there may exist within this system of records
and investigative files compiled for law enforcement purposes, other
than material within the scope of subsection (j)(2) of the Privacy Act,
the Inspector General Investigative Case Files system of records is
exempt from the following sections of the Privacy Act (5 U.S.C. 552(a)):
(c)(3) relating to access to the disclosure accounting, (d) relating to
access to records, (e)(1) relating to the type of information maintained
in the records; (e)(4) (G), (H) and (I) relating to publishing the
system notice information as to agency procedures of access and
amendment and information as to the categories of sources or records,
and (f) relating to developing agency rules for gaining access and
making corrections. This system of records is also exempt from
Sec. Sec. 909.3, 909.4, 909.5 (a) and (c)(3), and 909.6 of this part.
(c) Reason for exemptions.
(1) The Office of Inspector General is a component of the Finance
Board which performs, as its principal function, activity pertaining to
the enforcement of criminal laws, within the meaning of 5 U.S.C.
552a(j)(2). This exemption applies only to those records and information
contained in the system of records pertaining to criminal
investigations. This system of records is exempt for one or more of the
following reasons:
(i) To prevent interference with law enforcement proceedings.
(ii) To avoid unwarranted invasion of personal privacy by disclosure
of information about third parties, including other subjects of
investigation, investigators, and witnesses.
(iii) To protect the identity of Federal employees who furnish a
complaint or information to the Office of the Inspector General,
consistent with section 7(b) of the Inspector General Act of 1978, as
amended, 5 U.S.C. App. 3.
(iv) To protect the confidentiality of non-Federal employee sources of
information.
(v) To assure access to sources of confidential information, including
those contained in Federal, State and local criminal law enforcement
information systems.
(vi) To prevent disclosure of law enforcement techniques and
procedures.
(vii) To avoid endangering the life or physical safety of confidential
sources and law enforcement personnel.
(2) Investigative records within this system of records which are
compiled for law enforcement purposes, other than material within the
scope of subsection (j)(2), are exempt under the provisions of 5 U.S.C.
552a(k)(2); provided, however, that if any individual is denied any
right, privilege, or benefit that they would otherwise be entitled by
Federal law, or for which they would otherwise be eligible, as a result
of the maintenance of such material, such material shall be provided to
such individual except to the extent that the disclosure of such
material 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, or, prior to January 1, 1975, under
an implied promise that the identity of the source would be held in
confidence. This system of records is exempt for one or more of the
following reasons:
(i) To prevent interference with law enforcement proceedings.
(ii) To protect investigatory material compiled for law enforcement
purposes.
(iii) To avoid unwarranted invasion of personal privacy, by disclosure
of information about third parties, including other subjects of
investigation, law enforcement personnel and sources of information.
(iv) To fulfill commitments made to protect the confidentiality of
sources.
(v) To protect the identity of Federal employees who furnish a
complaint or information of OIG, consistent with section 7(b) of the
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
(vi) To assure access to sources of confidential information,
including those contained in Federal, State and local criminal law
enforcement systems.
(vii) To prevent disclosure of law enforcement techniques and
procedures.
(viii) To avoid endangering the life or physical safety of
confidential sources and law enforcement personnel.
(d) Records within a Finance Board System of records comprised of
investigatory material compiled solely for the purpose of determining
suitability or eligibility for Federal civilian employment, Federal
contractors, or access to classified information, are exempt under the
provisions of 5 U.S.C. 552a(k)(5), but only to the extent that
disclosure 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, or, prior to January 1, 1975,
under an implied promise that the identity of the source would be held
in confidence. This system of records is exempt for one or more of the
following reasons:
(1) To fulfill commitments made to protect the confidentiality of
sources.
(2) To assure access to sources of confidential information; including
those contained in Federal, State, and local criminal law enforcement
information systems.
(e) Testing or examination material used solely to determine or assess
individual qualifications for appointment to employment at the Finance
Board, or promotion therein--the disclosure of which would compromise
the objectivity or fairness of the testing, evaluation or examining
process is exempt under 5 U.S.C. 552a(k)(6).