[Privacy Act Issuances (2003)]
[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 and Appraisers.
HUD/DEPT-5 Architects and Engineers.
HUD/DEPT-10 Single Family Construction Complaints Files.
HUD/DEPT-15 Equal Opportunity Housing Complaints.
HUD/DEPT-20 Single Family Homeownership Assistance Application
and Recertification.
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 (A43; A43C; A80S).
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-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/EC-01 Compliance Case Tracking System
HUD/EC-02 Departmental Tracking System (DTS), V02A.
HUD/H-3 Single Family Housing Monitoring System (F-39).
HUD/H-5 Single Family Computerized Homes Underwriting Management
System(CHUMS)
HUD/H-6 Single Family Section 518 Files (Constructed Complaints).
HUD/H-7 Previous Participation Review System (PPRS F19) and
Active Partners Performance System (APPS-F24P) 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/HS-10 Single Family Insurance System and Home Equity
Conversion Mortgage System.
HUD/HS-15 Single Family Data Warehouse System (D64A).
HUD/HS-16 Single Family Neighborhood Watch Early Warning System
(NW).
HUD/HS-50 HUD/FHA Lender Approval 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/OIG-5, AutoAudit of the Office of Inspector General.
HUD/OIG-6 AutoInvestigation 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/PD&R-9 HUD USER File for Research Products, Services and
Publications.
Office of Federal Housing Enterprise Oversight
OFHEO-01 Financial Management System.
FHEO-02 Pay and Leave System.
OFHEO-03 Employee Identification Card System.
OFHEO-04 Property Inventory System.
OFHEO-05 Senior Staff Biography System.
HUD/PIH-4 Public and Indian Housing Information Center (PIC).
HUD/REAC-1 Tenant Eligibility Verification Files.
HUD/REAC-2 Independent Public Accountant Quality Assurance Files.
HUD/REAC-3 Quality Assurance/Quality Control Administrative Files
of the Real Estate Assessment Center.
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 Services
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 the 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 owned 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 owned 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.
(r) To other Federal Agencies--for the purpose of debt
collection.
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 and Appraisers.
System location:
Home Ownership Centers in Atlanta, Denver, Philadelphia and Santa
Ana.
Categories of individuals covered by the system:
Individuals who have applied to HUD for appointment as roster
appraisers, and fee inspectors.
Categories of records in the system:
Applications and r[eacute]sum[eacute]s 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:
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 roster appraisers for appraisal preparation;
(b) To VA, mortgagors, mortgagees notice of FHA action, billing;
(c) To local government officials for code enforcement, health
and wetlands clearance;
(d) To Environmental Protection Agency for environmental
clearance;
(e) To Social Security Administration for research.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
CHUMS.
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 2225.6, Records Disposition Management
HUD Records Schedules.
System manager(s) and address:
Director, Single Family Home Mortgage Insurance Division, HUAHM,
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.
Exemptions From certain provisions of the act:
None.
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-10
System name:
Single Family Construction Complaints Files.
System location:
HUD Headquarters and Single Family Homeownership Centers in
Atlanta, Denver, Philadelphia, and Santa Ana.
Categories of individuals covered by the system:
Mortgagors of insured single family homes that 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:
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 complainants and attorneys representing them to review
complainant files for status and information.
(b) To the person or firm complained about for resolution of the
complaint.
(c) To the Department of Veterans Affairs or the Rural Housing
Service for coordination with HUD in processing construction
complaints.
(d) To Congressional delegations to provide information
concerning status of complaints.
(e) To originating and servicing mortgagees to provide
information concerning status of complaint.
(f) To state agencies for investigation.
(g) To the FBI to investigate possible fraud revealed in the
course of the complaint review.
(h) To Department of Justice for prosecution of fraud revealed in
the course of complaint review.
(i) To IRS for investigation.
(j) To General Accounting Office (GAO) for audit purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in file folders.
Retrievability:
Records are retrieved by name of subject individual; case file
number, property location.
Safeguards:
Records are maintained 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 2225.6, Records Disposition Management;
HUD Records Schedules.
System manager(s) and address:
Director, Home Mortgage Insurance Division, HUAH, 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.
Exemptions from certain provisions of the act:
None.
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
Systen name:
Single Family Homeownership Assistance Application and
Recertification.
System location:
HUD Headquarters.
Categories of individuals covered by the system:
Participants in Section 235 Homeownership Assistance Program.
Categories of records in the system:
Files contain identifying information about mortgagors, such as
name, social security number, and address as well as information on
income, assets, and family composition required to determine subsidy
payment.
Authority for maitenance 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: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 servicing mortgagee to give notice of miscalculations
or other errors in subsidy computation.
(b) To IRS to report subsidy amounts as income.
(c) To title insurance companies or financial institutions for
payoff figures.
(d) To the FBI to investigate possible fraud revealed in the
course of servicing efforts.
(e) To Department of Justice for prosecution of fraud revealed in
the course of servicing efforts and for the institution of suit or
other proceedings to effect collections.
(f) To General Accounting Office for audit purposes.
(g) To welfare agencies for fraud investigation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in case files and on magnetic tape/disc/drum.
Retreivability:
Manual records are retrieved by case file number; automated
records are retrieved by case file number, mortgagor name and social
security 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, Program Accounting Division, FBBP, 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. The 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 assistanceis 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 Department Privacy Appeals Officer, Office
of General Counsel, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Record source categories:
Mortgagors' applications and recertifications of income.
Exemptions from certain provisions of the Act:
None. Retention and
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 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 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.
(n) To other Federal agencies--for the purpose of debt
collection.
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.
The names, social security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed to the
Office of Child Support Enforcement, Administration for Children and
Families, Department of Health and Human Services for the purpose of
locating individuals to establish paternity, establishing and
modifying orders of child support, identifying sources of income, and
for other child support enforcement actions as required by the
Personal Responsibility and Work Opportunity Reconciliation Act, Pub.
L. 104-193).
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 (A43; A43C; A80S).
System location:
HUD Headquarters, HUD's Philadelphia, Atlanta, Denver and Santa
Ana Homeownership Centers [HOCs] and multiple contractor sites. 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:
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 IRS for auditing individual income tax returns;
(b) To insurance companies to file claims for amounts due;
(c) To mortgagees to review the credit of prospective purchasers;
(d) To local public authorities to check on acquisition, reuse
and sales of real estate;
(e) To real estate management and marketing contractors who are
performing HUD's property disposition activities in specific
geographic areas.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In file folders, disks, tapes, electronic records in multiple
computer record systems. Secure records maintenance requirements are
incorporated into the real estate marketing and management contracts.
Retrievability:
FHA Case number, property address, and by former mortgagor's
name. Data on a current/recent purchaser of a HUD owned property.
Safeguards:
Lockable file cabinet; secured computer facilities at HUD and at
the contractor's offices. There are background checks of all
Contractor staff. Computer access to multiple HUD record systems is
restricted by passwords, defined individual access profiles,
restricted access to specified data fields. Data Transmission over
secure T-1 and Shiva lines. Information about the properties is
available to the public via the Internet for marketing purposes.
However, information covered by the Privacy Act of 1974 and the Right
to Financial Privacy Act (12 U.S.C. 3401) is not incorporated in any
Internet site.
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 Asset Management Division, HUAM, 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:
HUD/FHA Claims for Insurance Benefits, 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.
Exemptions from certain provisions of the act:
None.
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 Insured Case Files.
System location:
HUD Headquarters and Single Family Homeownership Centers in
Atlanta, Denver, Philadelphia, and Santa Ana.
Categories of individuals covered by the system:
Individuals who have obtained a mortgage under HUD/FHA's single
family mortgage insurance programs. Also, individuals who
unsuccessfully applied for an insured mortgage requiring processing
by HUD underwriters.
Categories of records in the system:
Files contain identifying information about applicants, such as
name, Social Security Number, and current address; and records
commonly used to determine the credit-worthiness of a potential
borrower, such as income and employment information, and credit
bureau reports. In addition, the files may contain appraisal and
inspection reports, sales agreement, conditional and firm
commitments, underwriting worksheets, HUD-1, mortgage note and deed
of trust, insurance documents, and correspondence.
Authority for maintenance of the system:
National Housing Act as amended (12 U.S.C. 1702 et seq.)
The information collection enables HUD/FHA to process
applications for HUD mortgage insurance and respond to inquiries
regarding applications and insured mortgages.
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 include:
(a) To the Department of Veteran Affairs for information on
veterans' participation.
(b) To complainants and attorneys representing them to review
complainant files for status and information.
(c) To the person or firm complained about--for resolution of the
complaint.
(d) To Congressional delegations to provide information
concerning status of complaints.
(e) To the FBI to investigate possible fraud revealed in
underwriting, insuring or monitoring.
(f) To Department of Justice for prosecution of fraud revealed in
underwriting, insuring or monitoring.
(g) To General Accounting Office (GAO) for audit purposes.
(h) To financial institutions and 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 file folders (automated systems
containing data from these files are described in separate system of
records notices).
Retrievability:
Records are retrieved by case file number.
Safeguards:
Insured case files are shipped to a Federal Records Center within
days of receipt at HUD for insurance endorsement processing;
retrieval is limited to authorized personnel. Rejected case files and
cases in processing are maintained in secure office space with access
limited to authorized personnel.
Retention and disposal:
Insured case files are retained for 12 years and rejected cases
are retained for one year. Obsolete records are destroyed in
accordance with HUD Handbook 2225.6, Records Disposition Management;
HUD Records Schedules.
System manager(s) and address:
Director, Office of Insured Single Family Housing, HUA,
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.
Exemptions for certain provisions of the act:
None.
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-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/EC-01
System name:
Compliance Case Tracking System (CCTS--F73).
System location:
HUD Computer Center, Lanham, Maryland.
Categories of individuals covered by the system:
Any individual, corporation, partnership, association, unit of
government or legal entity, however organized,--except; foreign
governments or foreign governmental entities, public international
organizations, foreign government owned (in whole or in part) or
controlled entities, and entities consisting wholly or partially to
foreign governments or foreign governmental entities--proposed for
debarment, suspended, debarred, or voluntarily excluded government-
wide, unless otherwise noted, from Federal procurement and sales
programs, non-procurement programs, and financial benefits. An
exclusion may be based on the Federal Acquisition Regulation (FAR)
9.4; Federal Property Management Regulation (FPMR) 101-45.6;
Government Printing Office (GPO) Instruction 110.11 A; U.S. Postal
Service (PS) Publication 41; the Non-procurement Common rule; or the
authority of a statute, Executive Orders 12549 and 12689 or
regulation applying to procurement or non-procurement programs.
Following are some examples of individuals or persons (proposed for
debarment, debarred, suspended, or voluntarily excluded):
participants who are direct or indirect recipients of HUD funds; and
those who represent entities such as contractors or corporations who
are participants in HUD FHA assisted or sponsored programs including
mortgage insurance programs.
Categories of records in the system:
The automated database contains pertinent information obtained
from hard copy compliance case files. These automated records
contain, but are not limited to: Names; addresses of all persons
proposed for debarment; persons debarred, suspended, or excluded by a
Limited Denial of Participation (LDP) action; cross-references when
more than one name is involved in a single action; the type of
action; the cause of the action; the scope of the action; any
termination date for each listed action; and the agency name and
telephone number of the agency point of contact for the action. The
system also contains records of referrals for administrative sanction
action where action is pending or where no action was taken.
Authority for maintenance of the system:
Executive Orders 12549 and 12689; U.S.C. 31, 41, and 42.
Purpose(s):
To the extent permitted by law, executive departments and
agencies shall participate in a government-wide system for the
following purposes: (1) To exclude from Federal financial and non-
financial assistance and benefits under Federal programs and
activities those who have been debarred or suspended; and (2) to
include in the List of Parties Excluded from Federal Procurement and
Nonprocurement Programs all persons proposed for debarment, debarred,
suspended, or excluded by a Limited Denial of Participation (LDP).
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, these records, or information
contained therein, may specifically be disclosed outside of the
agency as routine use pursuant to 5 U.SC. 552a(b)(3) as follows,
provided that no routine use listed shall be construed to limit or
waive any other routine use specified herein:
(a) Internal Revenue Service (IRS)--for the purpose of effecting
an administrative offset against the debtor for a delinquent debt
owed to the U.S. Government by the debtor.
(b) Department of Justice (DOJ)--for prosecution of fraud, and
for the institution of suit or other proceedings to effect collection
of claims.
(c) General Accounting Office (GAO)--for further collection
action on any delinquent account when circumstances warrant.
(d) Outside collection agencies and credit bureaus--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 for further collection action.
(e) U.S. General Services Administration (GSA)--for compilation
and maintenance of a List of Parties Excluded From Federal
Procurement and Non-procurement Programs in accordance with a
recommendation from the Interagency Committee on Debarment and
Suspension, and identification and monthly distribution of a list of
those parties excluded throughout the U.S. Government (unless
otherwise noted) from receiving Federal contracts or certain
subcontracts and from certain types of federal financial and non-
financial assistance and benefits.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The automated records are stored and saved in access files in the
CCTS (F73 System).
Retrievability:
These records are retrieved by names of individuals and
companies.
Safeguards:
The automated records are stored and saved in limited access
files in the CCTS (F73 System) and available only to those persons
whose official duties require such access.
Retention and disposal:
CCTS (F73 System) users, in accordance with internal retention
procedures, maintain records relating to each suspension or debarment
action taken by the Agency. Automated records are retained in the
CCTS (F73 System) and kept up to date.
System manager(s) and address:
Director, Departmental Enforcement Center, 1250 Maryland Avenue,
Southwest, Suite 200, Washington, DC 20024.
Notification procedure:
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at HUD, 451 7th Street, SW,
room P8202, Washington, DC 20410, in accordance with the procedures
in 24 CFR part 16.
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 HUD, 451 7th Street SW, room P8202, 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, it
may be obtained by contacting: (i) In relation to contesting contents
of records, the Privacy Act Officer at HUD, 451 7th Street, SW, room
P8202, Washington, DC 20410; and (ii) in relation to appeals of
initial denials, the Department of Housing and Urban Development
(HUD), Departmental Privacy Appeals Officer, Office of General
Counsel, HUD, 451 Seventh Street, Southwest, Washington, DC 20410.
Record source categories:
IInformation in this system of records is obtained from any
source which has information to provide concerning the existence of a
cause for administrative sanction. Examples of record sources
include, but are not limited to HUD employees, Federal government
agencies, non-federal government agencies, Federal and state courts,
financial institutions, state and local law enforcement offices, and
regulatory or licensing agencies.
Exemptions for certain provisions of the act:
None.
HUD/EC-02
System name:
Departmental Tracking System (DTS), V02A.
System location:
HUD Headquarters and HUD Computer Center, Lanham, Maryland.
Categories of individuals covered by the system:
Individuals covered consist of any program participant who is a
direct or indirect recipient of HUD funds and who is subject to
enforcement action due to fraud, waste, abuse and mismanagement of
HUD funds. Individuals would include: Mortgagors, mortgagees,
partners, partnerships, associations, trustees, boards, board
members, managers, developers, sponsors, builders, administrators,
executives, tenants, employees, health care providers, vendors,
consultants, bidders, brokers, appraisers, borrowers, sellers,
contractors, corporations (include non-profits), attorneys,
underwriters, inspectors, grant recipients, accountants, real estate
and closing agents, companies, and units of government (however
organized).
Categories of records in the system:
Categories of records include pertinent information obtained from
other automated systems such as: Name, address, title, job
classification; identifying numbers such as social security number,
tax identification number, project, and program identification
numbers, and violations; sanctions including debarments, suspensions,
Limited Denial of Participation (LDP), indictments, judgments,
convictions, civil money penalties, reprimands, fines, settlement
agreements, foreclosures, removal of program participants, takeovers,
receiverships, 2530 denials, revocation of designation, grant and
subsidy sanctions; and all enforcement actions taken by or on behalf
of the Department.
Authority for maintenance of the system:
42 U.S.C. 3533 and 3535
Purpose(s):
The DTS is being developed to serve the following purposes: (1)
To establish an agency-wide database that will allow personnel to
access and track information to generate reports on all of the
Department's efforts to eliminate fraud, waste, abuse and
mismanagement in all HUD programs, and (2) to provide a mechanism to
cross reference and match data on individuals against which an
enforcement action has been taken or is in the process of being
taken. This information may be used to determine whether those
individuals are eligible to receive or to continue to receive federal
financial and non-financial assistance and benefits under federal
programs and activities.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses are:
See General Statement of Routine Use paragraphs in prefatory
statement, which are disclosures generally permitted under 5 U.S.C.
552 a(b) of the Privacy Act. In addition to those disclosures
generally permitted under the Privacy Act, these records or
information contained therein, may specifically be disclosed outside
of the agency as routine use pursuant to 5 U.S.C. 552a(b)(3) as
follows, provided that no routine use listed shall be construed to
limit or waive any other routine use specified herein:
a. Internal Revenue Service (IRS)--for the purpose of effecting
an administrative offset against the debtor for a delinquent debt
owed to the U.S. Government by the debtor;
b. Department of Justice (DOJ)--for investigation and litigation
and representation of HUD before the courts and performance of all
legal work incident thereto;
c. General Accounting Office (GAO)--for further collection action
on any delinquent account when circumstances warrant;
d. Outside collection agencies and credit bureaus--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 for further collection action;
e. Congress and the General Accounting Office (GAO) to provide
reports on the Department's efforts to restore public trust.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records will be stored in the DTS (V02A System).
Printouts will be stored manually in locked and lockable metal file
cabinets and desk drawers.
Retrievability:
Electronic records may be retrieved by individual or company
name, case name, HUD/FHA program case number, social security number,
tax/employee Identification number. Printouts may be retrieved
manually from metal cabinets and drawers in the manner in which they
are filed.
Safeguards:
Automated records will be saved in the DTS (V02A System) and
accessed by authorized personnel who must use secured passwords to
enter the system. Printouts are maintained in file cabinets and
drawers within a limited access area.
Retention and disposal:
Automated records will be retained in the DTS (V02 System) and
updated. Printouts will be disposed of in accordance with HUD
Handbook 2225.6.
System manager(s) and address:
Director, Departmental Enforcement Center, Portals Building,
Suite 200, 1250 Maryland Avenue, SW, Washington, DC 20024.
Notification procedure:
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
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 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) 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, SW, Washington, DC 20410.
Record source categories:
The Departmental Tracking System will interface with other HUD
information systems to extract pertinent data for tracking and
reporting.
Exemptions from certain provisions of the act:
None.
Appendix B--Departmental Enforcement Center Headquarters and
Satellite Office Locations
U. S. Department of Housing and Urban Development,
Departmental Enforcement Center, Portals Building 1250
Maryland Avenue, SW, Suite 200, Washington, DC 20024
HUD Illinois Enforcement Center, Ralph H. Metcalfe
Federal building 77 West Jackson Boulevard, Room 2207,
Chicago, IL 60604-3507
HUD Georgia Enforcement Center, Richard B. Russell
Federal Building 75 Spring Street, SW, Room 1070,
Atlanta, GA 30303-3388
HUD Ft. Worth Enforcement Center, Federal Building 819
Taylor Street, Room 13A47, Ft. Worth, TX 76113
HUD Los Angeles Enforcement Center, 611 West 6th
Street, Suite 3800, Los Angeles, CA 90017-3127
HUD New York Enforcement Center, 26 Federal Plaza, Room
3237, New York, NY 10278-0068
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:
HUD Headquarters and Single Family Homeownership Centers in
Atlanta, Denver, Philadelphia, and Santa Ana.
Categories of individuals covered by the system:
Individuals who have obtained a mortgage insured under HUD/FHA's
single family mortgage insurance programs and individuals who
unsuccessfully applied for an insured mortgage.
Also, individuals involved in the HUD/FHA single-family
underwriting process (builders, fee appraisers, fee inspectors,
mortgagee staff appraisers, mortgagee staff underwriters) and HUD
employees involved in the single family underwriting process (e.g.,
staff appraisers, staff mortgage credit examiners, architectural
employees, receiving clerks, assignment clerks, commitment clerks,
records clerks, and closing clerks).
Categories of records in the system:
Automated files contain name, address, Social Security Number or
other identification number; racial/ethnic background, if disclosed,
of the mortgagor and information about the mortgage loan. 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 builders,
fee appraisers, 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 (Homeownership Center managers, staff appraisers,
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.
The information collection enables HUD/FHA to process
applications for HUD mortgage insurance and respond to inquiries
regarding applications and insured mortgages.
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 include:
(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.
(b) To the FBI to investigate possible fraud revealed in
underwriting, insuring or monitoring.
(c) To Department of Justice for prosecution of fraud revealed in
underwriting, insuring or monitoring.
(d) To General Accounting Office (GAO) for audit purposes.
(e) To financial institutions and 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:
Records are stored on magnetic tape/disc/drum.
Retrievability:
Records are retrieved by name, Social Security Number or other
identification number.
Safeguards:
Automated records are maintained in secured areas. Access is
limited to authorized personnel.
Retention and disposal:
Computerized records of insured cases are retained for 10 years
and those on rejected cases are retained for 3 years.
System manager(s) and address:
Director, Home Mortgage Insurance Division, HUAH, 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:
Mortgagors, appraisers, inspectors, builders, mortgagee staff
appraisers, mortgagee staff underwriters, and HUD employees.
Exemptions for certain provisions of the act:
None.
HUD/H-6
System name:
Single Family Section 518 Files (Construction Complaints).
System location:
Headquarters and Single Family Homeownership Centers in Atlanta,
Denver, Philadelphia, and Santa Ana.
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:
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 complainants and attorneys representing them to review
complainant files for status and information.
(b) To the person or firm complained about for resolution of the
complaint.
(c) To the Department of Veterans Affairs or the Rural Housing
Service for coordination with HUD in processing construction
complaints.
(d) To Congressional delegations to provide information
concerning status of complaints.
(e) To originating and servicing mortgagees to provide
information concerning status of complaint.
(f) To state agencies for investigation.
(g) To the FBI to investigate possible fraud revealed in the
course of the complaint review.
(h) To Department of Justice for prosecution of fraud revealed in
the course of complaint review.
(i) To IRS for investigation.
(j) To General Accounting Office (GAO) for audit purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in file folders.
Retrievability:
Records are retrieved by 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:
Director, Home Mortgage Insurance Division, HUAH, 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.
Exemptions from certain provisions of the act:
None.
HUD/H-7
System name:
Previous Participation Review System (PPRS F19), and Active
Partners Performance System (APPS F24P) Previous Participation Files.
System location:
HUD 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.
Both F19 and F24P contain flags and the reason for the flag on an
external individual or company participant.
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:
In addition to those disclosures generally permitted under 5
U.S.C. 552a(b) of the Privacy Act, other routine uses are as follows:
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:
Paper support files are stored in file folders in locked filing
cabinets in a secure room. F19 runs on the UNISYS system and F24P
runs on a LAN SERVER. It is an Internet/Intranet application.
Retrievability:
Name of principal and HUD project case number. F19 is retrievable
by Name and Project Number. F24P is retrievable by Name, SSN, Tax ID,
Property Name, and Project Number.
Safeguards:
Files are kept in locked filing cabinets in a secure room. Access
is limited to authorized personnel. F19 is accessible by Authorized
personnel in the Field Offices and Headquarters. F24P is accessible
by authorized Business Partners (for each individual's information
only), Field Office Staff and Headquarters Staff.
Retention and disposal:
Records are primarily active; disposal is in accordance with HUD
Handbook 2225.6 REV-1 on disposition of records.
System manager(s) and address:
Director, Business Performance Review Division, HRDP, 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.
Exemptions from certain provisions of the act:
None.
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 transferred
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 the purposes of such uses:
See routine uses paragraph in prefatory statement. Other routine
uses include:
1. To Federal, State, and local agencies to verify the accuracy
and completeness of data, to verify eligibility or continued
eligibility in HUD's rental assistance programs, and to aid in
identifying tenant errors, fraud and abuse. When this involves
computer matching, the matching is conducted using HUD/PIH-1, the
Tenant Eligibility Verification Files;
2. Individuals under contract, cooperative agreement or grant, to
HUD or under contract, cooperative agreement or grant 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., for processing
certifications/recertifications, and for other research and
statistical purposes not otherwise prohibited by law or regulation;
3. Housing Authorities, (HAs)--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. To HAs, owners/management agents and contract administrators--
to identify and resolve discrepancies in tenant data;
6. To the Internal Revenue Service--to report income using IRS
Form 1099;
7. To Social Security Administration and Immigration and
Naturalization Service--to verify alien status and continued
eligibility in HUD's rental assistance programs;
8. To researchers affiliated with academic institutions, with
not-for-profit organizations, or with Federal, state or local
governments, or to policy researchers--in the form of user--defined
microdata files, without individual identifiers--name, address, date
of birth, and Social Security Number--for the performance of research
and statistical activities on housing and community development
issues. Even though no individual identifiers will be included in the
data files, patterns in the data may result in identification of some
individual tenants. Researchers receiving these files may not use
them in whole or in part in making any determination about an
identifiable individual, nor may they release the data to others in a
form that can identify individual tenants. Records will be released
under this paragraph only with approval of the Assistant Secretary
for Policy Development and Research;
9. To State/County welfare, social service, or employment
agencies for the purpose of matching assisted housing tenant records
to employment, education and other data which would be transmitted to
the HUD Office of Policy Development and Research for statistical
analyses of the resource requirements of welfare reform. The assisted
housing tenant records released under this paragraph may not be used
by the State/County agencies to make decisions concerning the rights,
benefits, or privileges of specific individuals.
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/HS-10
System name:
Single Family Insurance System and Home Equity Conversion
Mortgage System.
System location:
Headquarters and Single Family Homeownership Centers in Atlanta,
Denver, Philadelphia, and Santa Ana.
Categories of individuals covered by the system:
Individuals who have obtained a mortgage insured under HUD/FHA's
single family mortgage insurance programs and individuals who assumed
an insured mortgage.
Categories of records in the system:
Automated files contain name, address, and social security number
on mortgagors; and data regarding the insured loan such as original
terms and status of the mortgage insurance.
Authority for maintenance of the system:
Sec. 203, National Housing Act, Pub. L. 73-479.
Purpose(s):
The information in this system of records enables HUD/FHA to
operate the single family mortgage insurance programs (e.g., refund
unearned premiums to homeowners who prepay their mortgage) and
respond to inquiries regarding insured mortgages.
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 include: To
General Accounting Office (GAO) for audit purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on magnetic tape/disc/drum.
Retrievability:
Records are retrieved by name, social security number or other
identification number.
Safeguards:
Automated records are maintained in secured areas. Access is
limited to authorized personnel.
Retention and disposal:
Computerized records of insured cases are retained for at least 3
years beyond maturity, prepayment, or claim termination.
System manager(s) and address:
Director, Single Family Insurance Operations Division, HFFF,
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:
Mortgagors, mortgagees.
HUD/HS-15
System name:
Single Family Data Warehouse System (D64A).
System location:
Headquarters and Single Family Homeownership Centers in Atlanta,
Denver, Philadelphia, and Santa Ana.
Categories of individuals covered by the system:
Individuals who have obtained a mortgage insured under HUD/FHA's
single family mortgage insurance programs, individuals who assumed
such a mortgage, and individuals involved in appraising or
underwriting the mortgage.
Categories of records in the system:
Automated files contain name, address, and social security
number; racial/ethnic background, if disclosed, on mortgagors;
identifying numbers on individuals involved in processing the loan;
and data regarding currently and formerly insured mortgages. The loan
data includes underwriting data, such as loan-to-value ratios and
credit ratios; original terms, such as mortgage amount, interest
rate, term in months; status of the mortgage insurance; and history
of payment defaults, if any.
Authority for maintenance of the system:
Sec. 203, National Housing Act, Pub. L. 73-479.
Purpose(s):
This information aids HUD/FHA's monitoring of the single family
mortgage insurance programs; it brings together data regarding the
mortgage, its performance and parties involved, which facilitates
research and analysis.
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 include:
(a) To the FBI to investigate possible fraud revealed in
underwriting, insuring or monitoring.
(b) To Department of Justice for prosecution of fraud revealed in
underwriting, insuring or monitoring.
(c) To General Accounting Office (GAO) for audit purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on magnetic tape/disc/drum.
Retrievability:
Records are retrieved by name, social security number or other
identification number, case number, property address, or any other
type of stored data.
Safeguards:
Automated records are maintained in secured areas. Access is
limited to authorized personnel.
Retention and disposal:
Computerized records of insured cases are retained for at least
10 years beyond maturity, prepayment, or claim termination.
System manager(s) and address:
Director, Field Management, Office of the Deputy Assistant
Secretary for Single Family Housing, HU, 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:
Mortgagors, appraisers, mortgagee staff underwriters, and HUD
employees--indirectly, immediate source is the operational system
that captures the data (CHUMS, SFIS, SF Claims, SF Default Monitoring
System).
HUD/HS-16
System name:
Single Family Neighborhood Watch Early Warning System (NW).
System location:
The system's databases and coldfusion code are located in Lanham,
MD.
Categories of individuals covered by the system:
Individuals who have obtained a mortgage insured under HUD/FHA's
single-family mortgage insurance programs. Additionally, individuals
involved in the HUD/FHA single-family loan origination process.
Categories of records in the system:
Records consist of the borrower's name, property address, Social
Security Number or other identification number (ID). Also included in
the records is originating, sponsoring, holder and servicer lender ID
and name, mortgage amount, interest rate, front and back ratios, FHA
ADP code, loan purpose, gift source and amount, loan closing and
endorsement dates, default status, default reason, default date, post
endorsement technical review ratings, underwriter ID and name,
appraiser ID and name, HUD indemnification information, and other
data fields associated with an FHA Case Number.
Authority for maintenance of the system:
Section 203, National Housing Act, Pub. L. 73-479.
Purpose(s):
NW enables HUD staff and lenders to monitor the default and claim
rates on FHA insured loans for FHA-approved lenders and FHA programs.
NW is designed to highlight exceptions--lenders, programs, loan
characteristics and geographic areas with unusual originations or
high defaults and claims on FHA insured loans. The loan level
information is password protected and can only be viewed by HUD staff
with a need to know and lenders who were the originator, sponsor,
holder, or servicer on the loan.
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 include:
(a) To FHA approved mortgage institutions to monitor the default
and claim rates on FHA insured loans. Mortgage institutions can only
view the loan level information where they were the originator,
sponsor, holder, or servicer on the loan.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The NW records are stored on a Sybase 12.5 server HLANUDP001 in
the database sfapps and on Sybase IQ server HUDDW database sfdw.
Retrievability:
Records are retrieved by a manual or computer search on the
number of originations, default, and defaults and claims from the
Early Warnings menu option, by computer search on the counts in the
Loss Mitigation--Current Defaults Reported display from the Servicing
menu option, and by accessing the Late Endorsement, Pipeline/
Uninsured, the Default Report by Servicer queries. Entering an FHA
Case Number from the Case Status Query feature also retrieves case
level detail.
Safeguards:
Automated records are maintained in secured areas. Access is
limited to authorized personnel.
Retention and disposal:
Neighborhood Watch retains up to 13 quarter end dates of two
years of summary originations data, and three quarter end dates of
loan level data.
System manager(s) and address:
Director, Quality Assurance Division, HULQ, Department of Housing
and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
NOTIFICATION PROCEDURES:
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at the Department of Housing
and Urban Development, 451 7th Street SW., Washington, DC. Written
requests must include the full name, Social Security Number, date of
birth, current address, and telephone number of the individual making
the request.
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 HUYD Department Privacy Appeals
Officer, Office of General Counsel Department of Housing and Urban
Development, 451 Seventh Street, SW., Washington, DC 20410.
Record source categories:
Information may be collected from HUD, program participants, and
subject individuals.
EXEMPTIONS FROM certain provisions of the act:
None.
HUD/HS-50
System name:
HUD/FHA Lender Approval Files.
System location:
Headquarters and Single Family Homeownership Centers in Atlanta,
Denver, Philadelphia, and Santa Ana.
Categories of individuals covered by the system:
Individuals who are principals or officers of financial
institutions seeking approval or approved to originate, service or
hold FHA single family or multifamily insured mortgages, or Title I
insured loans.
Categories of records in the system:
Manual files contain name, address, social security number, and
may contain resumes and credit bureau reports. Automated files
contain name and social security number.
Authority for maintenance of the system:
Title I and Title II of the National Housing Act; 12 U.S.C. 1703,
1709 and 1751b; 42 U.S.C. 1436a and 3535(d).
Purpose(s):
The information in this system of records enables HUD/FHA to
comply with any orders of the Mortgagee Review Board which disqualify
individuals as principals or officers of FHA-approved lenders. It
also permits correspondence to be addressed to individuals rather
than job titles.
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 include:
(a) To the FBI to investigate possible fraud revealed in
underwriting, insuring or monitoring.
(b) To Department of Justice for prosecution of fraud revealed in
underwriting, insuring or monitoring.
(c) To General Accounting Office (GAO) for audit purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual records are stored in file folders. Automated records are
stored on magnetic tape/disc/drum.
Retrievability:
Records are retrieved by name, social security number or other
identification number.
Safeguards:
Manual records are maintained in lockable file cabinets in secure
office space. Automated records are maintained in secured areas.
Access is limited to authorized personnel.
Retention and disposal:
Manual records are maintained for 10 years beyond the lender's
approval termination. Automated records are maintained for 10 years
beyond the individual's replacement.
System manager(s) and address:
Director, Lender Approval and Recertification Division, HULL,
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:
Mortgagee officer or principal.
HUD/ODEEO/01
System name:
Equal Employment Opportunity Monitoring and Analysis System
(EEOMAS).
System location:
Department of Housing and Urban Development, HUD 451 Seventh
Street SW, Room 2112, Washington, DC 20410
Categories of individuals covered by the system:
Personal and employment related data items on each HUD employee,
and information on EEO discrimination complaint processing covering
both HUD employees and applicants for employment.
Categories of records in the system:
This system contains ``selected'' personal information on each
employee, depending on the employee's type of appointment with the
Department, including the employee's: Full name, Date of Birth,
Social Security Number, Race, Sex, Disability Status, Pay Plan, Grade
and Step, Annual Salary, Occupational Series, Position Title,
Organization Code, GSA Location Code, Duty Station, Veteran
Preference, Type of Appointment, Tenure Group, Work Schedule, Type of
Employment, FLSA, Bargaining Unit Status, Occupational Category, Type
of Position, Supervisory Status, Position Sensitivity, Education
Level, Academic Discipline, Year of Degree, Special Employee Code,
Special Program Code Performance Rating, Performance Year, Enter on
Duty Date w/HUD, Date last Grade Promotion, Target Grade, and Date
entered Present Position.
The EEO Discrimination Complaint processing portion of the system
contains information on complaints, both formal and informal, filed
by HUD employees and applicants for employment. The information in
EEOMAS includes, but is not limited to: Complainant's Name, Social
Security Number, Complaint Type, Alleged Discriminating Official,
Basis/Issues, Witnesses, Related Correspondence, Step-by-Step
Processing Record, Final Disposition, and Summary of Complaint
Authority for maintenance of the system:
The legal bases for maintaining the system are:
Section 717 of Title VII of the Civil Rights Act of 1964, as
amended, to ensure enforcement of Federal equal employment
opportunity policy; to requires Federal agencies to maintain
Affirmative Employment Programs apply the same legal standards to
prohibit discrimination established for private employers; and to
eliminate discrimination that Congress found existing throughout the
Federal employment system. The Rehabilitation Act of 1973, as
amended, required the same for persons with disabilities;
The Uniform Guidelines on Employee Selection Procedures, dated 8/
78, requires records to be maintained which allow determinations to
be made of the impact of selection procedures on members of various
race, sex and ethnic groups;
The Civil Service Reform Act of 1978, requires Federal agencies
to conduct affirmative recruitment for those occupations and grades
within their work force in which underrepresentation of women and
minorities exists;
Equal Employment Opportunity Commission (EEOC) Management
Directive (MD) 702, dated 12/79, required that Federal agencies
develop and implement information systems that provide periodical
status reports on a statistical work force profiles and on
affirmative employment objectives; and
Federal Personnel Manual (FPM) Letters 720-4, dated 1/80 and 720-
6, dated 10/80, established broad instructions and procedures for the
collection of race, sex, and ethnic origin data on job applicants.
Purpose(s):
The Equal Employment Opportunity Monitoring and Analysis System
is the management information system used to monitor and evaluate the
Department's equal employment opportunity and affirmative employment
efforts and accomplishments.
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:
EEOMAS is a LAN based computerized system. The data is updated
quarterly using the National Finance Center (NFC) data extracts. The
data is downloaded into EEOMAS via mainframe computer.
Retrievability:
Since EEOMAS is an internal management information system used to
monitor, evaluate, and report the effectiveness of the Department's
EEO/AE Program, the data is retrievable by any of the data items
listed under ``Categories of Records in the System.'' However, all
EEOMAS Users, excluding those in the Office of Departmental Equal
Employment Opportunity, have restricted access. Those users cannot
retrieve individually identified personal privacy information
Safeguards:
EEOMAS is a LAN based computerized system and only authorized
users have the EEOMAS icon on their computers.
In addition to the icon, only those users who have been entered
into EEOMAS as ``authorized'' and assigned a password can access it.
EEOMAS access passwords are assigned and entered by the designated
System Administrators in ODEEO.
All EEOMAS Users, excluding ``need to know'' ODEEO staff, have
``Browse Only'' access to non-restricted information.
Authorized EEOMAS Users have limited access to their respective
organizations (i.e. authorized EEOMAS Users in Housing can view only
Housing data, etc.).
All individually identified employee information in EEOMAS for
which unauthorized disclosure would constitute an unwarranted
invasion of personal privacy (employee name in conjunction with the
race, sex, age, date of birth, social security number, etc.) has been
deleted or shaded from view by all EEOMAS Users, except ODEEO's
``need to know'' staff.
All information is stored in a computerized database. Any hard
copy reports, not in statistical format, generated from the database
are kept in locked offices with restricted access.
Retention and disposal:
All EEO/AE data must be retained for a period of five (5) years
in accordance with HUD's Record Disposition Schedule, after which
computerized data is erased. All statistical hard copy reports are
recycled. Any reports containing personal privacy data are shredded.
System manager(s) and address:
Director, Affirmative Employment Division, Director, Equal
Opportunity Division, Departmental Affirmative Employment Program,
451 Seventh Street, SW, Room 2112, Washington, DC 20410.
Notification procedure:
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at the Department of Housing
and Urban Development, 451 7th Street SW, Room P8202, Washington, DC
20410, in accordance with procedures in 24 CFR part 16.
Contesting record procedures:
The Department's rules for contesting the contents of records and
appealing initial denials, by the individual concerned, appears in 24
CFR part 16. If additional information or assistance is needed, it
may be obtained by contacting: (i) In relation to contesting contests
of records, the Privacy Act Officer at the appropriate location, the
Department of Housing and Urban Development, 451 Seventh Street, SW,
Room P8202, Washington, DC 20410 and (ii) in relation to appeals of
initial denials, the Department of Housing and Urban Development,
Departmental Privacy Appeals Officer, Office of General Counsel, 451
Seventh Street, Southwest, Washington, DC 20410.
Record source categories:
Initial employee personal information is collected when first
appointed as HUD employees (i.e. full name, social security, date of
birth, disability status, etc.).
Initial position/employment related information for each employee
is derived from the type of appointment and specific position (title,
series, grade, organization, duty station, etc.) under/for which they
were hired.
Updates to information on current employees are the results of
personnel actions affecting employees (i.e. promotions,
reassignments, etc.) and those self initiated by employees (i.e.
changes in disability status/medical condition).
Information on EEO Discrimination Complaint processing is
collected and entered directly into EEOMAS by ODEEO staff as
complaints are filed and processed.
Exemptions from certain provisions of the act:
None.
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:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking 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.
6. Records may be disclosed to appropriate state boards of
accountancy for possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after
the independent auditor has been notified that the OIG is
contemplating disclosure of its findings to an appropriate state
board of accountancy, and the independent auditor has been provided
with an opportunity to respond in writing to the OIG's findings.
7. Records may be disclosed to DOJ for litigation purposes
associated with the representation of OIG and/or HUD before the
courts.
8. Records may be disclosed to persons engaged in conducting and
reviewing internal and external peer reviews of OIG to ensure
adequate internal safeguards and management procedures exist within
any office that had received law enforcement authorization.
9. In the event that these records respond to an audit,
investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those
conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to the PCIE and other federal
agencies, as necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored manually in file jackets and electronically in
office automation equipment.
Retrievability:
Records 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:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking 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.
6. Records may be disclosed to appropriate state boards of
accountancy for possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after
the independent auditor has been notified that the OIG is
contemplating disclosure of its findings to an appropriate state
board of accountancy, and the independent auditor has been provided
with an opportunity to respond in writing to the OIG's findings.
7. Records may be disclosed to DOJ for litigation purposes
associated with the representation of OIG and/or HUD before the
courts.
8. Records may be disclosed to persons engaged in conducting and
reviewing internal and external peer reviews of OIG to ensure
adequate internal safeguards and management procedures exist within
any office that had received law enforcement authorization.
9. In the event that these records respond to an audit,
investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those
conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to the PCIE and other federal
agencies, as necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored manually in file jackets and electronically in
office automation equipment.
Retrievability:
Records 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:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking 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.
6. Records may be disclosed to appropriate state boards of
accountancy for possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after
the independent auditor has been notified that the OIG is
contemplating disclosure of its findings to an appropriate state
board of accountancy, and the independent auditor has been provided
with an opportunity to respond in writing to the OIG's findings.
7. Records may be disclosed to DOJ for litigation purposes
associated with the representation of OIG and/or HUD before the
courts.
8. Records may be disclosed to persons engaged in conducting and
reviewing internal and external peer reviews of OIG to ensure
adequate internal safeguards and management procedures exist within
any office that had received law enforcement authorization.
9. In the event that these records respond to an audit,
investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those
conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to the PCIE and other federal
agencies, as necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored 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:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
State or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking 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.
6. Records may be disclosed to appropriate State boards of
accountancy for possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after
the independent auditor has been notified that the OIG is
contemplating disclosure of its findings to an appropriate State
board of accountancy, and the independent auditor has been provided
with an opportunity to respond in writing to the OIG's findings.
7. Records may be disclosed to DOJ for litigation purposes
associated with the representation of OIG and/or HUD before the
courts.
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/OIG-5
System name:
AutoAudit of the Office of Inspector General.
System location:
Headquarters, District Offices, and Field Offices.
Categories of individuals covered by the system:
Individuals covered consist of: (1) HUD program participants and
HUD employees who are associated with an activity that OIG is
auditing or reviewing; (2) requesters of an OIG audit or other
activity; and (3) persons and entities performing some other role of
significance to the OIG's efforts, such as relatives or business
associates of HUD program participants or employees, potential
witnesses, or persons who represent legal entities that are connected
to an OIG audit or other activity. The system also tracks information
pertaining to OIG staff handling the audit or other activity, and may
contain contact names for relevant staff in other agencies.
Categories of records in the system:
Records consist of materials compiled and/or generated in
connection with audits and other activities performed by OIG staff.
These materials include information regarding the planning, conduct
and resolution of audits and reviews of HUD programs and participants
in those programs, internal legal assistance requests, information
requests, responses to such requests, reports of findings, etc.
Authority for maintenance of the system:
The Inspector General Act of 1978 (5 U.S.C. App. 3) authorizes
the Inspector General to conduct, supervise and coordinate audits and
investigations relating to the programs and operations of HUD, to
engage in other activities that promote economy and efficiency in the
programs and operations of HUD, and to receive and investigate
complaints concerning possible violations of law, rules, or
regulations, or mismanagement, gross waste of funds, abuse of
authority, or a substantial or specific danger to the public health
or safety.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking 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.
6. Records may be disclosed to appropriate state boards of
accountancy for possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after
the independent auditor has been notified that the OIG is
contemplating disclosure of its findings to an appropriate state
board of accountancy, and the independent auditor has been provided
with an opportunity to respond in writing to the OIG's findings.
7. Records may be disclosed to DOJ for litigation purposes
associated with the representation of OIG and/or HUD before the
courts.
8. Records may be disclosed to persons engaged in conducting and
reviewing internal and external peer reviews of OIG to ensure
auditing standards applicable to Government audits by the Comptroller
General of the United States are applied and followed.
9. In the event that these records respond to an audit,
investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those
conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to the PCIE and other federal
agencies, as necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system: STORAGE:
Records are stored electronically in office automation equipment
and manually in file jackets.
Retrievability:
Records may be retrieved by computer search of the AutoAudit
software, and/or by reference to a particular file number.
Safeguards:
Records are maintained in a secure computer network, and in
locked file cabinets or in metal file cabinets in rooms with
controlled access.
Retention and disposal:
Retention and disposal is in accordance with (1) Records
Disposition Schedule 3 (Administrative Records), Item Nos. 79-1 to
86, Appendix 3, HUD Handbook 2225.6 Rev 1; and (2) General Records
Schedules, Appendix 22 (Inspector General Records), HUD Handbook
2228.2 Rev. 4.
System manager(s) and address:
Assistant Inspector General for Audit, 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 individuals seeking
notification of whether the system contains records pertaining to
them.
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 a wide variety of sources,
including from HUD, other federal agencies, the General Accounting
Office (``GAO''), law enforcement agencies, program participants,
subject individuals, complainants, witnesses and other non-
governmental sources.
Exemptions ffrom certain provisions of the act:
None.
HUD/OIG-6
System name:
AutoInvestigation of the Office of Inspector General.
System location:
Headquarters, District Offices, and Field Offices.
Categories of individuals covered by the system:
Individuals covered consist of: (1) HUD program participants and
HUD employees who are associated with an activity that OIG is
investigating or evaluating; (2) requesters of an OIG investigative
or other activity; and (3) persons and entities performing some other
role of significance to the OIG's efforts, such as relatives or
business associates of HUD program participants or employees,
potential witnesses, or persons who represent legal entities that are
connected to an OIG investigation or other activity. The system also
tracks information pertaining to OIG staff handling the investigation
or other activity, and may contain contact names for relevant staff
in other agencies.
Categories of records in the system:
Records consist of investigatory material compiled and/or
generated for law enforcement purposes in connection with
investigations and other activities performed by OIG staff. These
materials include information regarding the planning, conduct and
prosecution of investigations of HUD program participants and
employees, legal assistance requests, information requests, responses
to such requests, reports of investigations, etc.
Authority for maintenance of the system:
The Inspector General Act of 1978 authorizes the Inspector
General to conduct, supervise and coordinate audits and
investigations relating to the programs and operations of HUD, to
engage in other activities that promote economy and efficiency in the
programs and operations of HUD, and to receive and investigate
complaints concerning possible violations of law, rules, or
regulations, or mismanagement, gross waste of funds, abuse of
authority, or a substantial or specific danger to the public health
or safety.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule, or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, Public Housing
Authorities or management agents of HUD-assisted housing projects, in
order to assist such entities in taking 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.
6. Records may be disclosed to appropriate state boards of
accountancy for possible administrative or disciplinary sanctions
such as license revocation. These referrals will be made only after
the independent auditor has been notified that the OIG is
contemplating disclosure of its findings to an appropriate state
board of accountancy, and the independent auditor has been provided
with an opportunity to respond in writing to the OIG's findings.
7. Records may be disclosed to DOJ for litigation purposes
associated with the representation of OIG and/or HUD before the
courts.
8. Records may be disclosed to persons engaged in conducting and
reviewing internal and external peer reviews of OIG to ensure
adequate internal safeguards and management procedures exist within
any office that had received law enforcement authorization.
9. In the event that these records respond to an audit,
investigation or review, which is conducted pursuant to an
authorizing law, rule or regulation, and in particular those
conducted at the request of the PCIE pursuant to Executive Order
12993, the records may be disclosed to the PCIE and other federal
agencies, as necessary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored electronically in office automation equipment
and manually in file jackets.
Retrievability:
Records may be retrieved by computer search of the
AutoInvestigation software, and/or by reference to a particular file
number.
Safeguards:
Records are maintained in a secure computer network, and in
locked file cabinets or in metal file cabinets in rooms with
controlled access.
Retention and disposal:
Retention and disposal is in accordance with (1) Records
Disposition Schedule 3 (Administrative Records), Item Nos. 79-1 to
86, Appendix 3, HUD Handbook 2225.6 Rev 1; and (2) General Records
Schedules, Appendix 22 (Inspector General Records), HUD Handbook
2228.2 Rev. 4.
System manager(s) and address:
Assistant Inspector General for Investigation, Office of the
Inspector General, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410.
Notification procedure:
Records are generally exempt from Privacy Act access. However,
the System Manager will accept and 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 accept and give consideration to a request
from an individual for access to records pertaining to that
individual that are indexed and retrieved by reference to that
individual's name and/or social security number. 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 accept and give
consideration to a request from an individual for amendment or
correction of records pertaining to that individual that are indexed
and retrieved by reference to that individual's name and/or social
security number. 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, other federal agencies, GAO, law enforcement
agencies, program participants, subject individuals, complainants,
witnesses and other non-governmental sources.
Exemptions from certain provisions of the act:
This system of records, to the extent that it consists of
information compiled for the purpose of criminal investigations, has
been exempted from the requirements of subsections (c)(3), (d)(1),
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2). In addition, this system of records, to the extent
that it consists of other investigatory material compiled or
generated for law enforcement purposes, has been exempted from the
requirements of subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of
records, to the extent that it consists of investigatory material
compiled or generated for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment or
Federal contracts, the release of which would reveal the identity of
a source who furnished information to the government under an express
promise that the identity of the source would be held in confidence,
has been exempted from the requirements of subsection (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 1
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/PD&R-9
System name:
HUD USER File for Research Products, Services and Publications.
System location:
HUD USER, PO Box 6091, Rockville, MD 20849
Categories of individuals covered by the system:
The system contains information on those individuals who have
expressed an interest in received research products and services
publications.
Categories of records in the system:
The system provides a record of individuals who request research
products which includes name, title and address; telephone and fax
numbers; organizations affiliation and areas of interest;
publications of interest; and order information including what was
ordered and when, and payment information.
Authority for maintenance of the system:
Title V of the Housing and Urban Development Act of 1970, section
501.
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:
Hard copy files are stored at the HUD User Information Center for
a period of three (3) months after which time they are archived at
the HUD User Warehouse in Annapolis Junction, Maryland. Electronic
files are stored for an indefinite period at the HUD User Information
Center as part of the HUD User Order Processing System.
Retrievability: Records are retrieved by the name of the
individual.
Safeguards:
These records are available only to those persons whose official
duties require such access.
Retention and disposal:
Written and electronic records are maintained for a period of
three years.
System manager(s) and address:
Director, Research Utilization Division, 451 Seventh Street, SW.,
Room 8124, Washington, DC 20410.
Notification procedure:
Individuals seeking to determine whether information about
themselves is contained in this system of records should address
written inquiries to the particular HUD administrator or component
listed in the ``system manager'' location above.
Individuals should furnish full name, current address and
telephone number.
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 or the system manager. A list of
all locations is given in Appendix A.
Contesting record procedures:
The rules for contesting the contents of records and appealing
initial denials, by the individual concerned, appear in 24 CFR part
16. 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:
Information in this system of records is obtained from requests
for information made from HUD User or individuals identified to
receive notification of new products or initiatives. The requests for
information or printed material may come through the Internet, phone,
fax, mail, or a site visit.
Exemptions from certain provisions of the act:
None.
HUD/PIH-4
System name:
Public and Indian Housing Information Center (PIC).
System Location:
The files will be maintained at the following location: U. S.
Department of Housing and Urban Development, 451 7th Street SW.,
Washington, DC 20410. Lockheed Martin Corporation, located at 4701
Forbes Blvd., Lanham, MD 20706, will monitor access of any encrypted
files containing social security and rent information (subject to the
provisions of 26 U.S.C. 6103).
Categories of individuals covered by the system:
Families receiving rental housing assistance via programs
administered by the Department of Housing and Urban Development,
state agencies, Indian Tribes, Tribally Designated Housing Entities
participating in the Section 8 program, PHAs and/or owners and
management agents.
Categories of records in the system:
Records consist of automated building, unit, and family
composition, income, and rent data obtained from PHAs. The system of
records contains--identification information such as names and social
security numbers for individuals 6 years and older; alien
registration information; address and tenant unit numbers; financial
data such as income, adjustments to income, tenant family composition
characteristics such as family size, sex of family members,
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); preferences applicable to the family at admission; income
status at admission; race and ethnicity of household members; unit
characteristics such as number of bedrooms; geographic data obtained
by the PHA; data obtained from third parties to verify data supplied
by an applicant or tenant to determine eligibility or level of
assistance; data obtained from a state wage information collection
agency on wages and claim information; and 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).
Also included in PIC are records on contractual agreements (e.g.,
obligations, payments, contract terms), financial information, and
personal data (e.g., names, addresses, taxpayer identification
numbers/ social security numbers) for PHAs and/or owners and
management agents.
Authority for maintenance of the system:
Pursuant to the Stewart B. McKinney Homeless Assistance
Amendments Act of 1988 and Section 303(i) of the Social Security Act,
HUD and HUD-funded public housing authorities may request wage and
claim data from State Wage Information Collection Agencies (SWICAs)
responsible for administering state unemployment laws. On October 1,
1994, Section 542(a)(1) of HUD's 1998 Appropriation Act, eliminated a
sunset provision to Section 303(i) of the Social Security Act,
effectively making permanent the authority requiring state agencies
to disclose wage and claim information to HUD and public housing
agencies. The Housing and Community Development Act of 1987
authorizes HUD to require applicants for and participants in (as well
as members of their households six years of age and older) HUD
administered rental housing assistance programs to disclose to HUD
their social security numbers as a condition of initial or continuing
eligibility for participation in these HUD programs. The Omnibus
Budget Reconciliation Act of 1993 (Budget Reconciliation Act)
authorizes HUD to request from the Social Security Administration
federal tax data as prescribed in section 6103 (l)(7) of title 26 of
the United States Code (Internal Revenue Code).
Purpose(s):
The primary purpose of the PIC is to allow PHAs to electronically
submit information to HUD that is related to the administration of
HUD's Public and Indian Housing programs. The first component of PIC
was successfully implemented on December 15, 1999. PIC provides
automated interactive support in an IIS/MTS/SQL Server environment
for the Office of Public and Indian Housing staff. It collects data
for PIH operations, including data submitted via the Internet from
HUD's field offices and HUD's business partners, and accurately
tracks activities and processes. PIC also helps to increase sharing
of information throughout the Office of Public and Indian Housing,
which improves staff awareness of activities related to the
administration of HUD-subsidized housing programs. PIC is a flexible,
scaleable, Internet-based integrated system, which enables PHA users
and HUD personnel to access a common database of PHA information via
their web browser. PIC will aid HUD and entities that administer
HUD's assisted housing programs in: (a) Increasing the effective
distribution of rental assistance to individuals that meet the
requirements of Federal rental assistance programs, (b) detecting
abuses in assisted housing programs, (c) taking administrative or
legal actions to resolve past abuses of assisted housing programs,
(d) deterring abuses by verifying the income of applicants and
tenants at the time of occupancy and at re-certification via the use
of electronic income data received from state wage-information
collection agencies (SWICAs), one or more private vendors and, the
Social Security Administration, (e) evaluating the effectiveness of
income discrepancy resolution actions taken by PHAs, owners and
management agents for HUD's rental assistance programs, (f)
evaluating program effectiveness, (g) improving the reporting rate,
(h) forecasting budgets, (i) controlling funds, and (j) updating
building and unit data. PIC is a management information system that
contains tools to help: (1) distribute capital and operating funds,
(2) monitor the Event Tracking System (ETS) by HUD staff, (3) produce
management reports, and (4) conduct risk assessments.
The Public and Indian Housing Information Center (PIC) serves as
a repository for automated information used when comparing family
income data reported--by recipients of Federal rental assistance--to
income data received from external sources (e.g., SWICAs, SSA, etc.).
Records in PIC 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:
In addition to the uses cited in the section of this document
titled ``Purposes'', other routine uses may include:
1. To 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
HUD's tenant income computer matching program;
2. To individuals under contract to HUD or under contract to
another agency with funds provided by HUD--for the preparation of
studies and statistical reports 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/re-certifications;
3. To Public Housing Agencies (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. To 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 housing
assistance received;
5. To PHAs, owners and management agents, and contract
administrators--to identify and resolve discrepancies in tenant data;
6. To the Internal Revenue Service (IRS)--to report income using
IRS Form 1099;
7. To the Social Security Administration and Immigration and
Naturalization Service--to verify alien status and continued
eligibility in HUD's rental assistance programs; and 8.To researchers
affiliated with academic institutions, with not-for-profit
organizations, or with federal, state or local governments, or to
policy researchers--without individual identifiers--name, address,
social security number--for the performance of research and
statistical activities on housing and community development issues.
Policies and policies afor storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored manually in family case files and
electronically in office automation equipment. Records are stored on
HUD computer servers for field office and public housing agencies'
access via the Internet to: (1) Obtain social security and
supplemental security income data that are not subject to provisions
of 26 U.S.C. 6103; and (2) update actions taken in resolving income
discrepancies. Software in PIC precludes the transfer of any data
subject to 26 U.S.C. 6103 to unencrypted media.
Retrievability:
Records may be retrieved by manual or computer search of indices
by the name or social security number of an existing HUD program
participant.
Safeguards:
Records are maintained at the U.S. Department of Housing and
Urban Development in Washington, DC with limited access to those
persons whose official duties require the use of such records.
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 SSN, income, and rent information 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 (REV 6/
2000).
Retention and disposal:
Computerized family records are maintained in a password-
protected environment. If information is needed for evidentiary
purposes, documentation will be referred to the HUD Office of
Inspector General (OIG) in Washington, DC or other appropriate
Federal, state or local agencies charged with the responsibility of
investigating or prosecuting violators of federal law. Documents
referred to HUD's OIG will become part of OIG's Investigative Files.
Records will be retained and disposed of in accordance with the
General Records Schedule included in HUD Handbook 2228.2, appendix
14, item 25.
System manager(s) and address:
Johnson Abraham, Deputy Assistant Secretary for Administration
and Budget/CFO and Project Manager of PIH's Information Center (PIC),
U.S. Department of Housing and Urban Development, 451 7th Street SW.,
Washington, DC 20410.
Notification procedure:
See Record access procedures.
Record access procedures:
Individuals seeking to determine whether this system of records
contains information about them, or those seeking access to such
records, should address inquiries to the Project Manager of PIH's
Information Center (PIC), U.S. Department of Housing and Urban
Development, 451 7th Street SW., Washington, DC 20410. Written
requests must include the full name, Social Security Number, date of
birth, current address, and telephone number of the individual making
the request.
Contesting record procedures:
Procedures for the amendment or correction of records, and for
applicants wanting to appeal initial agency determinations based on
data in PIC, appear in 24 CFR part 16.
Record source categories:
The Office of Public and Indian Housing may receive data from HUD
field office staff, federal government agencies, state and local
agencies, private data sources, owners and management agents, and
public housing agencies. Public Housing Agencies (PHAs) routinely
collect personal and income data from participants in and applicants
for HUD's public and assisted housing programs. The data collected by
PHAs is entered into the PIC system on-line via the system itself,
via PHA-owned software, or via HUD's Family Reporting Software (FRS).
Exemptions claimed for the system:
None.
HUD/REAC-1
System name:
Tenant Eligibility Verification Files.
System Location:
The files will be maintained at the following locations: (1) U.
S. Department of Housing and Urban Development, Real Estate
Assessment Center, 1280 Maryland Avenue, SW, Suite 800, Washington,
DC 20024-2635; (2) Chicago Technical Assistance Center, U.S.
Department of Housing & Urban Development, Ralph H. Metcalfe Federal
Building, 77 West Jackson Boulevard, Chicago, Illinois 60604; (3)
Seattle Technical Assistance Center, U.S. Department of Housing &
Urban Development, Seattle Federal Building, 909 First Avenue,
Seattle, Washington 98104. Controls will be established at 1280
Maryland Avenue, SW, for any encrypted files containing SSA and IRS
return information (subject to the provisions of 26 U.S.C. 6103) that
are created and used by REAC employees who will travel to the sites
of housing agencies, owners and management agents.
Categories of individuals covered by the system:
Tenants receiving rental assistance provided by programs
administered by the Department of Housing and Urban Development,
state agencies, and POAs.
Categories of records in the system:
Records consist of: (1) Automated tenant data obtained from HUD/
H-11, Tenant Housing Assistance and Contract Verification Data,
published at 62 FR 11909; March 13, 1997, [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 POAs [generally
these records are available in HUD/H-11]; (3) information obtained
from computer matching with automated earned income data that the
Social Security Administration (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 Internal Revenue Service (IRS) provides to HUD under 26
U.S.C. 6103(l)(7)(B) from Treasury/IRS 22.061, Wage and Information
Returns Processing (IRP) File Treasury/IRS; (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 Holders, known as the Enumeration Verification System
(HHS/SSA/OSR, 09-60-0058) pursuant to a routine use; (10)
applications for rental assistance and other related documentation
obtained from tenant case files maintained by POAs; (11) data
received from employers confirming income or deductions supporting
determinations of eligibility for, and the amount of, rental
assistance benefits; (12) automated records provided by other Federal
agencies under the investigative exclusion of the Computer Matching
and Privacy Protection Act of 1988; (13) automated records provided
by POAs regarding actions taken on computer matching results; (14)
automated records created by the REAC for use by POAs in recording
the actions taken to resolve income differences noted by the computer
matching and (15) correspondence or other documents received from
tenants concerning potential income discrepancies.
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 rental assistance. Section
6103(l)(7)(D) precludes HUD from redisclosing that information to
entities that administer HUD programs (i.e. POAs). Section 542(b) of
HUD's 1998 Appropriations Act (Pub. L. 105-65; October 27, 1997)
eliminated a September 30, 1998 sunset provision to 26 U.S.C.
6103(l)(7)(D), effectively making permanent the authority for SSA and
IRS disclosures of return information to HUD.
The Stewart B. McKinney Homeless Assistance Amendments Act of
1988, 42 U.S.C. 3544, as amended, allows HUD to notify POAs that
discrepancies exist between the tenant-reported incomes and income
obtained from independent income sources, i.e., the SSA or the IRS.
The McKinney Amendments of 1988 also authorized HUD to request, under
section 303(i) of the Social Security Act, wage and claim information
from state agencies responsible for the administration of state
unemployment law. Section 542(a)(1) of HUD's 1998 Appropriation Act,
referenced above, eliminated an October 1, 1994, sunset provision to
section 303(i) of the Social Security Act, effectively making
permanent the authority requiring state agencies to disclose wage and
claim information to HUD and public housing agencies.
Section 165 of the Housing and Community Development Act of 1987,
Public Law 100-242; authorizes HUD to require applicants and
participants in HUD-administered programs involving rental 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 member 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, and the Native American Housing Assistance and Self-
Determination Act of 1996, 25 U.S.C. 4101, et seq.
Purpose(s):
The primary purposes of HUD/REAC-1 are to aid HUD and entities
that administer HUD's assisted housing programs in: (a) Increasing
the availability of rental assistance to individuals who meet the
requirements of Federal rental assistance programs, (b) detecting
abuses in assisted housing programs, (c) taking administrative or
legal actions to resolve past abuses of assisted housing programs,
(d) deterring abuses, and (e) evaluating the effectiveness of income
discrepancy resolution actions taken by public housing agencies,
owners and agents for HUD's rental assistance programs. HUD/REAC-1
serves as a repository for automated information used in and
resulting from computer matching of tenant data for recipients of
Federal rental assistance to other data sources; HUD/REAC-1 also
contains non-automated information used in and resulting from
verifying computer matching results and in accomplishing the purposes
previously cited. Records in this 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:
For all routine uses, return information obtained from the
Internal Revenue Service under 26 U.S.C. 6103(l)(7) may only be
disclosed as provided by 26 U.S.C. 6103.
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 inappropriate (excessive
or insufficient) 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 as permitted
under 26 U.S.C. 6103, which limits disclosure to the tenant/taxpayer,
and to HUD employees whose duties require access for the purpose for
which the disclosure to HUD was made.
3. Records other than return information obtained from the SSA
and IRS under the authority of 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 a violation of law,
whether criminal, civil or regulatory in nature, or enforcing or
implementing a statute, rule or regulation.
4. Records other than return information obtained from the SSA
and 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 other than return information obtained from the SSA
and IRS under the authority of 26 U.S.C. 6103(l)(7), may be disclosed
to POAs in order to assist them in determining tenants' eligibility
for rental assistance, and the amount of that assistance and to
facilitate recovery of money or property or other administrative
actions (e.g., eviction), necessary to promote the integrity of
programs.
6. Records other than return information obtained from the SSA
and the IRS under the authority of 26 U.S.C. 6103(l)(7), may be
disclosed during the course of an administrative proceeding where HUD
or POAs are a party to the litigation and disclosure is relevant and
reasonably necessary to adjudicate the matter.
7. Records other than return information obtained from the SSA
and the IRS under the authority of 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 other than return information obtained from the SSA
and the IRS under the authority of 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 rental assistance received
by the tenant.
9. Records other than return information obtained from the SSA
and the IRS under the authority of 26 U.S.C. 6103(l)(7), concerning
an individual's receipt of excessive rental 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 other than return information obtained from the SSA
and IRS under the authority of 26 U.S.C. 6103(l)(7), may be used to
provide aggregate information on POAs' resolution efforts to Contract
Administrators and internal HUD Offices for use in their mandated
oversight responsibilities to ensure that POAs are providing
appropriate rental assistance to eligible families and are resolving
discrepancies identified by HUD.
11. 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 and income
verification programs; program policies; and actions taken by
entities that administer HUD's rental assistance programs to resolve
income discrepancies identified through computer matching.
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 other than
return information obtained from the SSA and the IRS under the
authority of 26 U.S.C. 6103(l)(7), may also be stored on mainframe
computer facilities or computer servers for public housing agencies',
owners' and agents' access via the Internet to: (1) Obtain social
security and supplemental security income data that is not subject to
provisions of 26 U.S.C. 6103, and (2) update actions taken in
resolving income discrepancies. Records containing data subject to
provisions of 26 U.S.C. 6103 may be stored in encrypted form on
laptop computers that are taken to the sites of public housing
agencies, owners and agents that administer HUD's rental assistance
programs. Software precludes the transfer of any data subject to 26
U.S.C. 6103 to unencrypted media.
Retrievability:
Records may be retrieved by manual or computer search of indices
by the name, social security number, or POA.
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 return information 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 (REV. 3/99).
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 POAs 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:
Project Manager, Technical Assessment Sub-System, Real Estate
Assessment Center, U.S. Department of Housing and Urban Development,
1280 Maryland Avenue, SW, Suite 800, Washington, DC 20024-2135.
Notification 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 Project Manager, Technical
Assessment Sub-System, Real Estate Assessment Center, U.S. Department
of Housing and Urban Development, 1280 Maryland Avenue, SW, Suite
800, Washington, DC 20024-2635.
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 pocedures:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to such
records, should address inquiries to the Project Manager, Technical
Assessment Sub-System, Real Estate Assessment Center, U.S. Department
of Housing and Urban Development, 1280 Maryland Avenue, SW, Suite
800, Washington, DC 20024-2635.
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 REAC receives automated tenant data from the Assistant
Secretary for Public and Indian Housing and the Assistant Secretary
for Housing. The Assistant Secretaries collect information from a
variety of sources, including POAs. The REAC receives data from POAs
concerning actions taken to resolve income differences noted by HUD.
Additionally, the REAC also receives data from other Federal and
state agencies, law enforcement agencies, program participants,
complainants, and other non-governmental sources.
Exemptions 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.
552a(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).
HUD/REAC-2
System name:
Independent Public Accountant Quality Assurance Files.
System location:
Headquarters.
Categories of individuals covered by the system:
All independent public accountants who have conducted audits of
PHAs or FHA-insured, direct loan, HUD-held or assisted multifamily
properties under HUD programs. An independent public accountant is
defined as (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. The system also contains information by individual
name of the REAC auditors conducting the QAR, and may contain
memorandums of the QAR results sent to HUD program officials.
Categories of records in the system:
The system contains the names and ID numbers of REAC auditors,
and of IPAs who perform audits of PHAs or FHA-insured, direct loan,
HUD-held, or assisted multifamily properties under HUD programs.
Records consist of materials generated in connection with quality
assurance reviews of the working papers of IPAs including information
from the FDS and the AFS submitted to HUD. These materials include
QAR checklists, documentation of work performed by REAC auditors in
evaluating the work of the IPA, interviews with IPAs, correspondence
between REAC auditors and the IPA, and copies of work papers from IPA
files and other documents used in evaluating an IPA's work
performance to assure compliance with government and AICPA auditing
standards. Other records include information regarding the planning,
conduct and results of the QAR, trend analyses, internal legal
assistance requests, information requests, responses to such
requests, reports of findings, etc.
Authority for maintenance of the system:
OMB Circular A-133 (the Single Audit Act) requires that PHAs and
non-profit organizations receiving federal funds obtain an IPA-
performed audit. The AICPA has issued Statements of Position (SOP)
98-3 ``Audits of States, Local Governments, and Not-for-Profit
Organizations Receiving Federal Awards'' to address the additional
requirements of government auditing standards. Additional guidance is
offered in the HUD Consolidated Audit Guide for Audits of HUD
Programs, HUD Handbook 2000.04 REV-2.
Purpose(s):
REAC performs a quality assurance review of the audited financial
statements submitted by IPAs in order to assure that the information
contained in the financial statements is accurate and reliable and
that the IPA's work was performed in accordance with government and
AICPA auditing standards. In the event that records generated during
the QAR process indicate a violation or potential violation of law,
the relevant records may be disclosed to the appropriate federal,
state or local disciplinary forum, or the AICPA, for investigation or
enforcement of the applicable laws.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to HUD contractors, PHAs or
management agents of HUD-assisted housing properties, 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, reasonable and necessary to adjudicate
the matter.
5. Records may be disclosed to appropriate state boards of
accountancy, or the AICPA, for possible administrative or
disciplinary sanctions such as license revocation. These referrals
will be made only after the IPA has been notified that HUD is
contemplating disclosure of its findings to an appropriate state
board of accountancy, or the AICPA, and the IPA has been provided
with an opportunity to respond in writing to HUD's findings.
6. Records may be disclosed to the Department of Justice for
litigation purposes associated with the representation of HUD before
the courts.
7. Records may be disclosed to any source, either private or
governmental, to the extent necessary to elicit information relevant
to an Office of Inspector General investigation.
8. Records may be disclosed to the auditee to evaluate the
contractual relationship between the IPA and the PHA, owner or
management agent of a FHA-insured, direct loan, HUD-held or assisted
multifamily property.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored electronically in office automation equipment
and manually in file jackets.
Retrievability:
Records may be retrieved by computer search using the AutoAudit
software, and/or by reference to a particular file number, or by
name, address, tax identification number or social security number of
the IPA.
Safeguards:
Records are maintained in a secure computer network, and in
locked file cabinets or in metal file cabinets in rooms with
controlled access.
Retention and disposal:
The records are retained and disposed of in accordance with the
General Records Schedule contained in HUD Handbook 2228.2, appendix
14, item 25.
System manager(s) and address:
Peter Bell, Real Estate Assessment Center, 1280 Maryland Avenue,
SW, Suite 800, Washington, DC 20024.
Notification procedure:
For information, assistance, or inquiry about the existence of
records, contact the Privacy Act Officer at HUD, 451 7th Street, SW,
Room P8001, Washington, DC 20410, in accordance with the procedures
in 24 CFR part 16.
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:
Information may be collected from a wide variety of sources,
including from HUD, program participants, subject individuals,
complainants, witnesses and other non-government sources.
Exemptions from certain provisions of the act:
None.
HUD/REAC-3
System name:
Quality Assurance/Quality Control Administrative Files of the
Real Estate Assessment Center.
System location:
Headquarters.
Categories of individuals covered by the system:
All individuals who are qualified, and who have successfully
completed HUD approved training in the use of the data collection
device (DCD), UPCS software, and other requirements of the HUD
inspection protocol; have successfully passed the test to be
certified in the use of the HUD inspection protocol; and have
received an inspector identification number and badge from the REAC.
The system also covers individuals who have submitted an inspector
application, and contains information by individual name of those
REAC inspectors and contractors conducting the QA/QC.
Categories of records in the system:
Records may contain correspondence relating to inspector
performance. Such correspondence will include periodic reports
provided to contract inspection entities or persons who have
contracted with HUD or servicing mortgagees to perform inspections,
and servicing mortgagees whose employees are certified to conduct
inspections. Correspondence may also include complaints about
inspector performance or behavior received from owners, agents,
servicing lenders or residents; reports of inspector performance that
may serve as the basis for appeals or technical reviews;
Congressional inquiries; correspondence from Federal, state or local
jurisdictions; or other documentation. Also, records consist of
documentation regarding inspector qualifications. Such documentation
will include inspector applications, resumes, substantiations of
training courses attended, test results, etc.
Records also consist of the physical inspection reports prepared
by the inspectors and the results of REAC's acceptance testing
procedures. Records may include documentation of observations by REAC
QA/QC Inspectors in conjunction with and/or during the Collaborative
Quality Assurance (CQA), Independent Quality Assurance (IQA) reviews,
or other quality assurance reviews. Other records may include
information regarding the planning, conduct and results of the QA/QC
process, trend analyses, internal legal assistance requests,
information requests, responses to such requests, reports of
findings, etc.
Authority for maintenance of the system:
Information on statutory authority of housing standards can be
found in the United States Housing Act of 1937 (42 U.S.C. 1437, et
seq.), and in the Cranston-Gonzalez National Affordable Housing Act
(42 U.S.C. 12701, et seq.). Subpart G of 24 CFR Part 5 contains
information on the uniform physical condition standards and physical
inspection requirements for certain HUD housing. A final rule
published December 8, 2000 (65 FR 77230), contains information on the
uniform physical condition standards and physical inspection
requirements for multi-family housing. Information on the Public
Housing Assessment System (PHAS) can be found at 24 CFR Part 902, as
amended. OMB Circular A-123 (Management Accountability and Control)
contains information on agency requirements to develop and implement
strategies to ensure accountability and effectiveness of Federal
programs. OMB Circular A-130, Appendix I (Federal Agency
Responsibilities for Maintaining Records about Individuals) provides
information on agency responsibilities for implementing the reporting
and publication requirements of the Privacy Act. Additional
information on physical inspection requirements of HUD assisted or
insured properties can be found in the HUD 2020 Management Reform
Plan.
Purpose(s):
REAC performs the QA/QC process on inspectors and inspections of
properties to assure that the physical inspections are conducted in
accordance with the HUD protocol or other appropriate protocol and
that the information is accurate and reliable. In the event that the
records generated during the process of the review indicate a
violation or potential violation of the law, relevant records may be
disclosed to the appropriate Federal, state or local authority for
investigation or enforcement of the applicable laws.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those disclosures generally permitted under
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records
may also be disclosed routinely to other users under the following
circumstances:
1. In the event that records indicate a violation or potential
violation of law, whether criminal, civil or regulatory in nature,
the relevant records may be disclosed to the appropriate Federal,
state, or local agency charged with the responsibility for
investigating or prosecuting such violation or enforcing or
implementing such statute, rule or regulation.
2. Records may be disclosed to a congressional office in response
to an inquiry from that congressional office made at the request of
the individual who is the subject of the records.
3. Records may be disclosed to any committee, subcommittee, or
joint committee of Congress if the disclosure pertains to a matter
within the legislative or investigative jurisdiction of the
committee, subcommittee, or joint committee.
4. Records may be disclosed to HUD contractors or other entities
who have entered into working agreements with the individual
inspector for these inspection services, PHAs or management agents of
HUD-assisted housing properties, servicing mortgagees, or owners or
agents of other properties, 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
or other contracting Federal agency.
5. Records may be disclosed during the course of an
administrative proceeding where HUD or other contracting Federal
agency is a party to the litigation and the disclosure is relevant,
reasonable and necessary to adjudicate the matter.
6. Records may be disclosed to the Department of Justice for
litigation purposes associated with the representation of HUD or
other contracting Federal agency before the courts.
7. Records may be disclosed to any source, either private or
governmental, to the extent necessary to elicit information relevant
to an Office of Inspector General investigation.
8. Records may be disclosed to the HUD contractor or other entity
who has entered into a working agreement with an individual inspector
for inspection services, in order to assist in evaluating the working
relationship between the individual inspector and the HUD contractor
or other entity.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored electronically in office automation equipment
and manually in file jackets.
Retrievability:
Records may be retrieved by computer search and/or by reference
to particular inspection number, inspector name, or by the
inspector's HUD-issued identification number.
Safeguards:
Records are maintained in a secure computer network, and in
locked filecabinets or in metal file cabinets in rooms with
controlled access.
Retention and disposal:
The records are retained and disposed of in accordance with the
General Records Schedule contained in HUD Handbook 2228.2, appendix
14, item 25.
System manager(s) and address:
Richard Santangelo, Real Estate Assessment Center, 1280 Maryland
Avenue, SW., Suite 800, Washington, DC 20024.
Notification procedure:
The System Manager will accept inquiries from individuals seeking
notification of whether the system contains records pertaining to
them.
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:
Information may be collected from a wide variety of sources,
including from HUD, program participants, subject individuals,
complainants, witnesses and other non-government sources.
Exemptions from certain provisions of the act:
None.
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.
Office of Federal Housing Enterprise Oversight
Prefatory Statement of General Routine Uses
The following general routine uses apply to and are incorporated
by reference into each system of records set forth below, except if
otherwise noted or if obviously not appropriate.
1. It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice or other
Federal agency conducting litigation when--
(a) Any of the following is a party to the litigation or has an
interest in such litigation:
(i) The Office of Federal Housing Enterprise Oversight (OFHEO);
(ii) Any employee of OFHEO, in his/her official capacity;
(iii) Any employee of OFHEO, or any agency thereof, in his/her
individual capacity where the Department of Justice has agreed to
represent the employee;
(iv) The United States or any agency thereof, where OFHEO
determines that litigation is likely to affect the United States; and
(b) The use of such records by the Department of Justice or other
Federal agency conducting the litigation is deemed by OFHEO to be
relevant and necessary to the litigation.
2. It shall be a routine use of the records in this system to
disclose them in any proceeding before any court or adjudicative or
administrative body when--
(a) Any of the following is a party to the proceeding or has an
interest in such proceeding:
(i) OFHEO;
(ii) Any employee of OFHEO, in his/her official capacity;
(iii) Any employee of OFHEO, in his/her individual capacity,
where the Department of Justice has agreed to represent the employee;
(iv) The United States or any agency thereof where OFHEO
determines that the proceeding is likely to affect the United States;
and
(b) OFHEO determines that use of such records is relevant and
necessary in the proceeding.
3. In the event that a system of records maintained by OFHEO
indicates a violation or potential violation of law, whether civil,
criminal, or regulatory in nature, and whether arising by general
statute or particular program 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.
4. A record from this system of records may be disclosed to a
Federal, State, or local agency maintaining civil, criminal, or other
relevant enforcement information or other pertinent information, if
necessary to obtain information relevant to the decision concerning
the hiring or retention of an employee or the letting of a contract.
5. A record from this system of records 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.
6. The information contained in this system of records may be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in Office of
Management and Budget Circular No. A-19 at any stage of the
legislative coordination and clearance process as set forth in that
Circular.
7. A record from this system of records may be disclosed to an
authorized appeal grievance examiner; a formal complaints examiner;
an equal employment opportunity investigator; or an arbitrator or
other duly authorized official engaged in investigation or settlement
of a grievance, complaint, or appeal filed by an employee. A record
from this system of records may be disclosed to the Office of
Personnel Management in connection with the evaluation and oversight
of Federal personnel management.
8. A record from this system of records may be disclosed to
authorized employees of a Federal agency for purposes of audit.
9. Disclosure 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.
10. A record in this system of records may be disclosed to the
Department of Justice to determine whether disclosure thereof is
required by the Freedom of Information Act (5 U.S.C. 552).
11. A record in this system of records may be disclosed when the
information is subject to exemption under the Freedom of Information
Act, but OFHEO, in its discretion, determines not to assert the
exemption.
12. A record from this system of records may be disclosed to
State and local taxing authorities with which the Secretary of the
Treasury has entered into agreements and to those State and local
taxing authorities for which the employee is subject to tax whether
or not tax is withheld.
OFHEO-01
System name:
Financial Management System.
System location:
Office of Finance and Administration, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Categories of individuals covered by the system:
Current and former OFHEO employees and individuals who are
providing or have provided goods or services to OFHEO under
contractual agreements.
Categories of records in the system:
Records relate to employee claims for reimbursement of official
travel expenses, including travel authorizations and advances, and
vouchers showing amounts claimed, exceptions taken as a result of
audit, advance balances applied, and amounts paid. Other records
maintained on employees, where applicable, include records relating
to claims for reimbursement for relocation expenses, including
authorizations and advances, and vouchers showing amounts claimed and
amounts paid; records pertaining to reimbursement for educational
expenses and other miscellaneous reimbursement for small purchases
made for official business; records including the account number of
the employee's Government American Express travel cards; records
including the financial institution code and employee account number
for direct deposit; and records relating to funds owed to OFHEO.
Records on individuals who are not employees of OFHEO include
information relating to the purchase of and payments made for goods
or services from individuals, including the financial institution
code and account number for direct deposit of payments.
Authority for maintenance of the system:
5 U.S.C. 5701-5709; 12 U.S.C. 4513(b)(9); 31 U.S.C. 3512.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the Prefatory Statement of General Routine Uses. Another
routine use is transmittal of data contained in the records to the
U.S. Treasury to effect issuance of nonsalary payments to employees
and payments to vendors and contractors;
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in a computerized system and in paper files
that are stored in file folders in locked file drawers.
Retrievability:
Computerized records are retrieved by the individual's name or by
taxpayer identification number if the individual is a vendor or
contractor. File folders are indexed by year and by a unique order
number.
Safeguards:
Access to the system is safeguarded by password and user
identification number that provides specific levels of access or by
locked file drawers and is restricted to employees who have a need to
access the system in the performance of their duties.
Retention and disposal:
Retention is determined by the General Records Schedules.
System manager(s) and address:
Financial Management Officer, Office of Finance and
Administration, OFHEO, 1700 G Street, NW., Fourth Floor, Washington,
DC 20552.
Notification procedure:
Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Record access procedure:
The OFHEO regulation for providing access to records appears at
12 CFR part 1720. If additional information or assistance is
required, contact the Privacy Act Officer at OFHEO, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552.
Contesting record procedures:
The procedures for contesting initial denials for access to or
amendment of records appears at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act
Appeals Officer at OFHEO, 1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
Record source categories:
The information is obtained from the individual on whom the
record is maintained, other Federal agencies, financial institutions,
and courts.
Exemptions claimed for the system:
None.
OFHEO-02
System name:
Pay and Leave System.
System location:
Office of Finance and Administration, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Categories of individuals covered by the system:
Current and former OFHEO employees.
Categories of records in the system:
Records include the following information on each OFHEO employee:
Name; organizational unit; leave status and associated leave data
(such as annual, compensatory, jury duty, family, military, sick,
donated, and leave without pay); and time and attendance records
(including pay period number, leave accrual category, balances and
applications, number of hours worked, time reports, adjustments to
time and attendance, overtime and compensatory time justifications,
and supporting data such as medical certificates).
Authority for maintenance of the system:
12 U.S.C. 4513(b)(9).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the Prefatory Statement of General Routine Uses. Other
routine uses are transmittal of data contained in the records to--
The U.S. Treasury to effect issuance of salary payments
through electronic funds transfer;
The Internal Revenue Service, Social Security
Administration, the individual, and taxing authorities of the States,
the District of Columbia, territories, possessions, and local
governments;
The Office of Personnel Management concerning pay,
benefits, retirement deductions, and other information necessary to
carry on its governmentwide personnel functions, and to other Federal
agencies to facilitate employee transfers;
The Department of Labor to process workers' compensation
injury claims;
Other Federal agencies for the purpose of collecting
debts owed to the Federal Government by administrative or salary
offset;
The Federal Retirement Thrift Investment Board to
administer the Thrift Savings Plan;
The National Finance Center of the Department of
Agriculture for payroll/personnel action, receipt amount, time and
attendance, and administrative overpayment processing;
Department of Veterans Affairs regarding the final
accounting for employee pay and benefits;
Federal, State, and local agencies to assist in the
enforcement of child and spousal support obligations; and
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in a computerized system and in paper files
that are stored in file folders in locked file drawers.
Retrievability:
Computerized records are retrieved by the individual's name. File
folders are indexed by year and pay period number.
Safeguards:
Access to the system is safeguarded by password or by locked file
drawers and is restricted to employees who have a need to access the
system in the performance of their duties.
Retention and disposal:
Retention is determined by the General Records Schedules.
System manager(s) and address:
Human Resources Officer, Office of Finance and Administration,
OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.
Notification procedure:
Contact the Privacy Act Officer, OFHEO, 1700 G Street, W., Fourth
Floor, Washington, DC 20552.
Record access procedure:
The OFHEO regulation for providing access to records appears at
12 CFR part 1720. If additional information or assistance is
required, contact the Privacy Act Officer at OFHEO, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552.
Contesting record procedures:
The procedures for contesting initial denials for access to or
amendment of records appears at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act
Appeals Officer at OFHEO, 1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
Record source categories:
The information is obtained from the subject individual,
supervisor, timekeeper, official personnel records, previous
employers, other Federal agencies, National Finance Center, financial
institutions, and courts. Where an employee is subject to a tax lien,
a bankruptcy, or an attachment or a wage garnishment, information
also is obtained from the appropriate taxing or judicial entity.
Exemptions claimed for the system:
None.
OFHEO-03
System name:
Employee Identification Card System.
System location:
Office of Finance and Administration, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Categories of individuals covered by the system:
Current OFHEO employees and contractor personnel who have been
assigned an identification card.
Categories of records in the system:
Records include the individual's name, date of birth, social
security number, photograph, identification card expiration date, and
organization and status.
Authority for maintenance of the system:
12 U.S.C. 4513(b)(9).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in a computerized system.
Retrievability:
Records are retrieved by the individual's name.
Safeguards:
Access to the system is safeguarded by password and is restricted
to employees who have a need to access the system in the performance
of their duties.
Retention and disposal:
Retention is determined by the General Records Schedules. Records
of employees and contractors are deleted from the system upon
termination of employment or contract.
System manager(s) and address:
Human Resources Officer, Office of Finance and Administration,
OFHEO, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.
Notification procedure:
Contact the Privacy Act Officer, OFHEO, 1700 G Street, W., Fourth
Floor, Washington, DC 20552.
Record access procedure:
The OFHEO regulation for providing access to records appears at
12 CFR part 1720. If additional information or assistance is
required, contact the Privacy Act Officer at OFHEO, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552.
Contesting record procedures:
The procedures for contesting initial denials for access to or
amendment of records appears at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act
Appeals Officer at OFHEO, 1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
Record source categories:
The information is obtained from the individuals on whom the
information is maintained and from the OFHEO Human Resources staff.
Exemptions claimed for the system:
None.
OFHEO-04
System name:
Property Inventory System.
System location:
Office of Finance and Administration, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Categories of individuals covered by the system:
Current and former OFHEO employees who have had property items
assigned to them.
Categories of records in the system:
Records include the employee name, OFHEO organizational unit,
office telephone number, pager number, room number, description of
property item, and copies of signed custody receipts.
Authority for maintenance of the system:
12 U.S.C. 4513(b)(9); 40 U.S.C. 47, et seq..
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See the Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in a computerized system and in paper files
that are stored in file folders in locked file drawers.
Retrievability:
Computerized records are retrieved by the individual's name. File
folders are indexed by property item.
Safeguards:
Access to the system is safeguarded by password or by locked file
drawers and is restricted to employees who have a need to access the
system in the performance of their duties.
Retention and disposal:
Retention is determined by the General Records Schedules.
System manager(s) and address:
Contracting/Facilities Management Specialist, Office of Finance
and Administration, OFHEO, 1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
Notification procedure:
Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Record access procedure:
The OFHEO regulation for providing access to records appears at
12 CFR part 1720. If additional information or assistance is
required, contact the Privacy Act Officer at OFHEO, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552.
Contesting record procedures:
The procedures for contesting initial denials for access to or
amendment of records appears at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act
Appeals Officer at OFHEO, 1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
Record source categories:
Information is obtained from the OFHEO Contracting/Facilities
Management Specialist, Office of Finance and Administration, and from
subject individuals to whom property items are assigned.
Exemptions claimed for the system:
None.
OFHEO-05
System name:
Senior Staff Biography System.
System location:
Office of Public Affairs, OFHEO, 1700 G Street, NW., Fourth
Floor, Washington, DC 20552.
Categories of individuals covered by the system:
Senior-level OFHEO employees.
Categories of records in the system:
Records include the employee's name and a description of the
employee's education, experience, and professional accomplishments
and affiliations.
Authority for maintenance of the system:
12 U.S.C. 4513(b)(9).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used for distribution to the media and to groups
which request OFHEO staff as speakers or panel participants. The
general routine uses set forth in the Prefatory Statement, above, are
not applicable to this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in a computerized system.
Retrievability:
Records are retrieved by the individual's name.
Safeguards:
Access to the system is safeguarded by password.
Retention and disposal:
Records of employees are deleted from the system upon termination
of employment.
System manager(s) and address:
Public Affairs Specialist, Office of Public Affairs, OFHEO, 1700
G Street, NW., Fourth Floor, Washington, DC 20552.
Notification procedure:
Contact the Privacy Act Officer, OFHEO, 1700 G Street, NW.,
Fourth Floor, Washington, DC 20552.
Record access procedure:
The OFHEO regulation for providing access to records appears at
12 CFR part 1720. If additional information or assistance is
required, contact the Privacy Act Officer at OFHEO, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552.
Contesting record procedures:
The procedures for contesting initial denials for access to or
amendment of records appears at 12 CFR part 1720. If additional
information or assistance is required, contact the Privacy Act
Appeals Officer at OFHEO, 1700 G Street, NW., Fourth Floor,
Washington, DC 20552.
Record source categories:
The information is obtained from the individual on whom the
record is maintained.
Exemptions claimed for the system:
None.
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 1720--IMPLEMENTATION OF THE PRIVACY ACT OF 1974
Sec.
1720.1 Scope.
1720.2 Definitions.
1720.3 Requests for access to individual records.
1720.4 Decision to grant or deny requests for access to individual
records.
1720.5 Special procedures for medical records.
1720.6 Requirements for verification of identity.
1720.7 Requests for amendment of individual records.
1720.8 Decision to grant or deny requests for amendment of individual
records.
1720.9 Appeals of the initial decision to deny access to or amendment
of individual records.
1720.10 Decision to grant or deny appeals.
1720.11 Disclosure of individual records to other persons or agencies.
1720.12 Accounting of disclosures.
1720.13 Requests for accounting of disclosures.
1720.14 Fees.
1720.15 Preservation of records.
1720.16 Rights of parents and legal guardians.
1720.17 Penalties.
Authority: 5 U.S.C. 552a, 12 U.S.C. 4513(b).
Source: 63 FR 8844, Feb. 23, 1998.
Sec. 1720.1 Scope.
(a) This part 1720 sets forth the procedures by which an individual
may request access to records about him/her that are maintained by the
Office of Federal Housing Enterprise Oversight (OFHEO) in a designated
system of records, amendment of such records, or an accounting of
disclosures of such records. This part 1720 implements the provisions of
the Privacy Act of 1974, as amended (Privacy Act) (5 U.S.C. 552a).
(b) A request from an individual for a record about that individual
that is not contained in an OFHEO designated system of records will be
considered to be a Freedom of Information Act (FOIA) (5 U.S.C. 552)
request and will be processed under the FOIA.
Sec. 1720.2 Definitions.
For the purposes of this part 1720--
Amendment means any correction of, addition to, or deletion from a
record.
Designated system of records means a system of records that OFHEO has
listed and summarized in the Federal Register pursuant to the
requirements of 5 U.S.C. 552a(e).
Individual means a natural person who is either a citizen of the
United States of America or an alien lawfully admitted for permanent
residence.
Maintain includes collect, use, disseminate, or control.
Privacy Act Appeals Officer means the OFHEO employee who has been
delegated the authority to determine Privacy Act appeals.
Privacy Act Officer means the OFHEO employee who has been delegated
the authority to determine Privacy Act requests.
Record means any item, collection, or grouping of information about an
individual that is maintained by OFHEO and that contains his/her name,
or the identifying number, symbol, or other identifying particular
assigned to the individual.
Routine use, with respect to disclosure of a record, means the use of
such record for a purpose that is compatible with the purpose for which
it was created.
Statistical Record means a record in a system of records maintained
only for statistical research or reporting purposes and not used, in
whole or in part, in making any determination about an identifiable
individual, except as provided by 13 U.S.C. 8.
System of records means a group of records under the control of OFHEO
from which information is retrieved by the name of the individual or
some identifying number, symbol, or other identifying particular
assigned to the individual.
Sec. 1720.3 Requests for access to individual records.
(a) Any individual may request records about him/her that are
maintained by OFHEO.
(b) The procedures for submitting requests are as follows:
(1) If the records are contained in a governmentwide system of records
of the U.S. Office of Personnel Management (OPM), the request must be
submitted as prescribed by the regulations of OPM (5 CFR part 297).
(2) If the records are contained in a record in a system of records of
another Federal agency, the request must be submitted as prescribed in
the Federal Register Privacy Act notice for the specific governmentwide
system.
(3) If the records are contained in a system of records of OFHEO, the
request must be submitted in writing to the Privacy Act Officer, Office
of Federal Housing Enterprise Oversight, 1700 G Street, NW., Fourth
Floor, Washington, DC 20552. The written request should describe the
records sought and identify the designated systems of records in which
such records may be contained. (A copy of the designated systems of
records published by OFHEO in the Federal Register is available upon
request from the Privacy Act Officer.) No individual shall be required
to state a reason or otherwise justify a request for access to records
about him/her.
Sec. 1720.4 Decision to grant or deny requests for access to
individual records.
(a) Basis for the decision. The Privacy Act Officer shall grant access
to records upon receipt of a request submitted under Sec. 1720.3(b)(3),
unless the records--
(1) Were compiled in reasonable anticipation of a civil action or
proceeding; or
(2) Require special procedures for medical records provided for in
Sec. 1720.5.
(b) Notification procedures. (1) Within 20 business days of receipt of
a request submitted under Sec. 1720.3(b)(3), the Privacy Act Officer
shall send a written acknowledgment of receipt to the requesting
individual.
(2) As soon as reasonably possible, normally within 20 business days
following receipt of the request, the Privacy Act Officer shall send a
written notification that informs the individual whether the requested
records exist and, if the requested records exist, whether access is
granted or denied, in whole or in part.
(c) Access procedures. If access is granted, in whole or in part, the
Privacy Act Officer shall provide the individual with a reasonable
period of time to inspect the records at OFHEO during normal business
hours or shall mail a copy of the requested records to the individual.
(d) Denial procedures. If access is denied, in whole or in part, the
Privacy Act Officer shall inform the individual of the reasons for the
denial and of the right to appeal the denial, as set forth in
Sec. 1720.9.
Sec. 1720.5 Special procedures for medical records.
The Privacy Act Officer shall grant access to medical records to the
requesting individual to whom the medical records pertain. However, if,
in the judgment of OFHEO, such direct access may have an adverse effect
on that individual, the Privacy Act Officer shall transmit the medical
records to a licensed medical doctor named by the individual.
Sec. 1720.6 Requirements for verification of identity.
(a) Written requests submitted in person. Any individual who submits
in person a written request under this part, may be required to present
two forms of identification, such as an employment identification card,
driver's license, passport, or other document typically used for
identification purposes. One of the two forms of identification must
contain the individual's photograph and signature.
(b) Other written requests. Any individual who submits, other than in
person, a written request under this part may be required to provide
either one or both of the following:
(1) Minimal identifying information, such as full name, date and place
of birth, or other personal information.
(2) At the election of the individual, either a certification of a
duly commissioned notary public of any State or territory or the
District of Columbia attesting to the requesting individual's identity
or an unsworn declaration subscribed to as true under penalty of perjury
under the laws of the United States of America.
Sec. 1720.7 Requests for amendment of individual records.
(a) Procedures for requesting amendment of a record. Any individual
may request amendment of any record about him/her that the individual
believes is not accurate, relevant, timely, or complete. To request
amendment, the individual must submit a written request to the Privacy
Act Officer, Office of Federal Housing Enterprise Oversight, 1700 G
Street, NW., Fourth Floor, Washington, DC 20552. The request should
include--
(1) The reason for requesting the amendment;
(2) A description of the record, or portion thereof, including the
name of the appropriate designated system of records, sufficient to
enable the Privacy Act Officer to identify the particular record or
portion thereof; and
(3) If available, a copy of the record, or portion thereof, on which
the specific portion requested to be amended is notated.
(b) Requirement for identifying information. The Privacy Act Officer
may require the individual making the request for amendment to provide
the identifying information specified in Sec. 1720.6.
Sec. 1720.8 Decision to grant or deny requests for amendment of
individual records.
(a) Notification procedures. Within 10 business days following receipt
of a request for amendment of records, the Privacy Act Officer shall
send a written acknowledgment of receipt to the requesting individual.
As soon as reasonably possible, normally within 30 business days from
the receipt of the request for amendment, the Privacy Act Officer shall
send a written notification to the individual that informs him/her of
the decision to grant or deny, in whole or in part, the request for
amendment.
(b) Amendment procedures. If the request is granted, in whole or in
part, the requested amendment shall be made to the subject record. A
copy of the amended record shall be provided to all prior recipients of
the subject record in accordance with Sec. 1720.12(b).
(c) Denial procedures. If the request is denied, in whole or in part,
the Privacy Act Officer shall include in the written notification the
reasons for the denial and an explanation of the right to appeal the
denial, as set forth in Sec. 1720.9.
Sec. 1720.9 Appeals of the initial decision to deny access to or
amendment of individual records.
Any individual may appeal the initial denial, in whole or in part, of
a request for access to or amendment of his/her record. To appeal, the
individual must submit a written appeal, within 30 business days
following receipt of written notification of denial, to the Privacy Act
Appeals Officer, Office of Federal Housing Enterprise Oversight, 1700 G
Street, NW., Fourth Floor, Washington, DC 20552. Both the envelope and
the appeal request should be marked ``Privacy Act Appeal.'' The appeal
should include--
(a) The information specified for requests for access in
Sec. 1720.3(b)(3) or for requests for amendment in Sec. 1720.7, as
appropriate;
(b) A copy of the initial denial notice; and
(c) Any other relevant information for consideration by the Privacy
Act Appeals Officer.
Sec. 1720.10 Decision to grant or deny appeals.
(a) Notification of decision. Within 30 business days following
receipt of the appeal, the Privacy Act Appeals Officer shall send a
written notification of the decision to grant or deny to the individual
making the appeal. The Privacy Act Appeals Officer may extend the 30-day
notification period for good cause. If the time period is extended, the
Privacy Act Appeals Officer shall inform in writing the individual
making the appeal of the reason for the extension and the expected date
of the final decision.
(b) Appeal granted. If the appeal for access is granted, in whole or
in part, the Privacy Act Appeals Officer shall provide the individual
with reasonable time to inspect the requested records at OFHEO during
normal business hours or mail a copy of the requested records to the
individual. If the appeal for amendment is granted, in whole or in part,
the requested amendment shall be made. A copy of the amended record
shall be provided to all prior recipients of the subject record in
accordance with Sec. 1720.12(b).
(c) Appeal denied. If the Privacy Act Appeals Officer denies, in whole
or in part, the appeal for access or amendment, he/she shall include in
the written notification of the reasons for the denial an explanation of
the right to seek judicial review of the final decision, and, with
respect to an appeal for amendment, the right to submit a statement of
disagreement under paragraph (d) of this section.
(d) Statements of disagreement and explanation. (1) Upon receipt of a
decision to deny, in whole or in part, the appeal for amendment of
records, the individual may file a statement with the Privacy Act
Appeals Officer that sets forth his/her reasons for disagreeing with the
decision. The Privacy Act Appeals Officer shall attach the statement of
disagreement to the record that is the subject of the request for
amendment. In response to the statement of disagreement, the Privacy Act
Appeals Officer has the discretion to prepare a statement that explains
why the requested amendment was not made. If prepared, the statement of
explanation shall be attached to the subject record and a copy of the
statement provided to the individual who filed the statement of
disagreement.
(2) The Privacy Act Appeals Officer shall provide a copy of any
statement of disagreement, and may provide any statement of explanation,
to prior recipients of the subject record in accordance with
Sec. 1720.12(b).
(e) Right to judicial review. If OFHEO does not comply with the
notification procedures under paragraph (a) of this Sec. 1720.10 with
respect to an appeal for amendment of records, the appealing individual
may bring a civil action against OFHEO in the appropriate district court
of the United States, as provided for under 5 U.S.C. 552a(g)(1)(A) and
552a(g)(5) before receiving the written notification of the decision.
Sec. 1720.11 Disclosure of individual records to other persons or
agencies.
(a) OFHEO may disclose a record to a person or agency other than the
individual about whom the record pertains only under one or more of the
following circumstances:
(1) If requested and authorized in writing by the individual.
(2) With the prior written consent of the individual.
(3) If such disclosure is required under the Freedom of Information
Act.
(4) For a routine use, as defined in Sec. 1720.2, with respect to a
designated system of records as described by OFHEO in its notice of
systems of records published in the Federal Register.
(5) Pursuant to the order of a court of competent jurisdiction.
(6) To the following persons or agencies--
(i) Officers and employees of OFHEO who have a need for the record in
the performance of their duties;
(ii) 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;
(iii) A recipient who has provided OFHEO 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;
(iv) The National Archives and Records Administration as a record
which has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the Archivist
of the United States to determine whether the record has such value;
(v) An agency or 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
OFHEO specifying the particular portion of the record desired and the
law enforcement activity for which the record is sought;
(vi) A person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if, concurrently with
such disclosure, notification is transmitted to the last known address
of the individual to whom the record pertains;
(vii) 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;
(viii) The Comptroller General, or any of his/her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(ix) A consumer reporting agency in accordance with 31 U.S.C. 3711(e).
(b) Before a record is disclosed to other persons or agencies under
paragraph (a)(1) or (2) of this section, the identifying information
specified in Sec. 1720.6 may be required.
Sec. 1720.12 Accounting of disclosures.
(a) OFHEO shall keep an accurate accounting of the date, nature, and
purpose of each disclosure of a record, and the name and address of each
person or agency to whom a disclosure was made under Sec. 1720.11,
except for disclosures made under Sec. 1720.11(a)(3) or (a)(6)(i). OFHEO
shall retain such accounting for at least 5 years or the life of the
record, whichever is longer, after the disclosure for which the
accounting was made.
(b) When a record has been amended, in whole or in part, or when a
statement of disagreement has been filed, a copy of the amended record
and any statement of disagreement must be provided, and any statement of
explanation may be provided, to all prior and subsequent recipients of
the affected record whose identities can be determined pursuant to the
disclosure accountings required under paragraph (a) of this section.
Sec. 1720.13 Requests for accounting of disclosures.
(a) Any individual may request an accounting of disclosures of records
about him/her for which an accounting is required to be maintained under
Sec. 1720.12(a) by submitting a written request to the Privacy Act
Officer, Office of Federal Housing Enterprise Oversight, 1700 G Street,
NW., Fourth Floor, Washington, DC 20552. Before processing the request,
the Privacy Act Officer may require that the individual provide the
identifying information specified under Sec. 1720.6.
(b) The Privacy Act Officer shall make available the accounting of
disclosures required to be maintained under Sec. 1720.12, except for an
accounting made under Sec. 1720.11(a)(6)(v).
Sec. 1720.14 Fees.
OFHEO shall not charge any fees for providing a copy of any records,
pursuant to a request for access under this part.
Sec. 1720.15 Preservation of records.
OFHEO shall preserve all correspondence relating to the written
requests it receives and all records processed pursuant to such requests
under this part, in accordance with the records retention provisions of
General Records Schedule 14, Informational Services Records. OFHEO shall
not destroy records that are subject to a pending request for access,
amendment, appeal, or lawsuit pursuant to the Privacy Act.
Sec. 1720.16 Rights of parents and legal guardians.
For purposes of this part, a parent 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 may act on behalf of the individual.
Sec. 1720.17 Penalties.
The Privacy Act (5 U.S.C. 552a(i)(3)) makes it a misdemeanor, subject
to a maximum fine of $5,000, to knowingly and willfully request or
obtain any record concerning an individual from OFHEO under false
pretenses.
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. 3 (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,'' ``Name Indices System of the Office of Inspector
General,'' and ``AutoInvestigation 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 in paragraphs (a)(1) through (6) of this
section.
(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].
[57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000]
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,'' ``Name Indices System of the Office of Inspector
General,'' and ``AutoInvestigation 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 in paragraphs (a) (1) through (4) of this section.
(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,'' ``Name Indices System of the Office of Inspector
General,'' and ``Autoinvestigation 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 fall 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.
[57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000]