13548 Federal Register / Vol. 86, No. 44 / Tuesday, March 9, 2021 / Notices 

management of the HCBP system, 

including USAC’s records management 

activities. After a Participant window 

for filing replies to Stakeholder 

information closes, access to the 

electronic files is restricted to the FCC 

staff and its contractors and 

subcontractors, as well as USAC and its 

contractors and subcontractors who 

carry out ELAP functions and activities. 

Other FCC employees and contractors 

and USAC employees, contractors, and 

subcontractors may be granted access 

only on a need-to-know basis. The data 

are protected by the FCC and USAC 

security safeguards, a comprehensive 

and dynamic set of information 

technology (IT) safety and security 

protocols and features that are designed 

to meet all Federal IT standards, 

including, but not limited to, those 

required by the Federal Information 

Security Modernization Act of 2014 

(FISMA), the Office of Management and 

Budget (OMB), and NIST. 

Employees of the FCC and USAC may 

print paper copies of these ELAP 

electronic records for various short-term 

uses, as necessary. Paper copies will be 

stored in locked file cabinets when not 

in use. Physical entry by unauthorized 

persons where this information is stored 

is restricted through use of locks, 

passwords, and other security measures. 

Only authorized FCC and USAC 

employees may have access to these 

documents. Participants receiving 

access to the ELAP portion of the HCBP 

system will be prohibited from printing 

paper copies when such information 

contains PII, although they will be 

permitted to download redacted 

versions of such information. 

2. Non-ELAP data: The electronic 

records, files, and data are stored within 

FCC accreditation boundaries. Access to 

the electronic files is restricted to IT 

staff, contractors, and vendors who 

maintain the networks and services. 

Other FCC employees, contractors, 

vendors, and users may be granted 

access on a need-to- know basis. The 

FCC’s data are protected by the FCC and 

privacy safeguards, a comprehensive 

and dynamic set of IT safety and 

security protocols and features that are 

designed to meet all Federal IT privacy 

standards, including those required by 

FISMA, OMB, and NIST. Paper copies 

will be stored in locked file cabinets 

when not in use. Physical entry by 

unauthorized persons where this 

information is stored is restricted 

through use of locks, passwords, and 

other security measures. Only 

authorized FCC employees and 

contractors may have access to these 

documents. 

RECORDS ACCESS PROCEDURES: 

Individuals wishing to request access 

to and/or amendment of records about 

themselves should follow the 

Notification Procedure below. 

CONTESTING RECORDS PROCEDURES: 

Individuals wishing to request access 

to and/or amendment of records about 

them should follow the Notification 

Procedure below. 

NOTIFICATION PROCEDURES: 

Individuals wishing to determine 

whether this system of records contains 

information about them may do so by 

writing to Margaret Drake at privacy@

fcc.gov or Federal Communications 

Commission, 45 L Street NE, 

Washington, DC 20554, 202–418–1707. 

Individuals requesting access must 

also comply with the FCC’s Privacy Act 

regulations regarding verification of 

identity and access to records (47 CFR 

part 0, subpart E). 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This is a new system of records. 

Federal Communications Commission. 

Marlene Dortch, 

Secretary. 

[FR Doc. 2021–04857 Filed 3–8–21; 8:45 am] 

BILLING CODE 6712–01–P 

FEDERAL COMMUNICATIONS 

COMMISSION 

[CC Docket No. 92–237; FRS 17543] 

Next Meeting of the North American 

Numbering Council 

AGENCY: Federal Communications 

Commission. 

ACTION: Notice. 

SUMMARY: In this document, the 

Commission released a public notice 

announcing the meeting of the North 

American Numbering Council (NANC), 

which will be held via video conference 

and available to the public via live 

internet feed. 

DATES: Thursday, April 15, 2021. The 

meeting will come to order at 9:30 a.m. 

ADDRESSES: The meeting will be 

conducted via video conference and 

available to the public via the internet 

at http://www.fcc.gov/live. 

FOR FURTHER INFORMATION CONTACT: 

Jordan Reth, Acting Designated Federal 

Officer, at jordan.reth@fcc.gov or 202– 

418–1418. More information about the 

NANC is available at https://

www.fcc.gov/about-fcc/advisorycommittees/general/north-americannumbering-council. 

SUPPLEMENTARY INFORMATION: The 

NANC meeting is open to the public on 

the internet via live feed from the FCC’s 

web page at http://www.fcc.gov/live. 

Open captioning will be provided for 

this event. Other reasonable 

accommodations for people with 

disabilities are available upon request. 

Requests for such accommodations 

should be submitted via email to 

fcc504@fcc.gov or by calling the 

Consumer & Governmental Affairs 

Bureau at (202) 418–0530 (voice), (202) 

418–0432 (TTY). Such requests should 

include a detailed description of the 

accommodation needed. In addition, 

please include a way for the FCC to 

contact the requester if more 

information is needed to fill the request. 

Please allow at least five days’ advance 

notice for accommodation requests; last 

minute requests will be accepted but 

may not be possible to accommodate. 

Members of the public may submit 

comments to the NANC in the FCC’s 

Electronic Comment Filing System, 

ECFS, at www.fcc.gov/ecfs. Comments to 

the NANC should be filed in CC Docket 

No. 92–237. This is a summary of the 

Commission’s document in CC Docket 

No. 92–237, DA 21–253 released March 

2, 2021. 

Proposed Agenda: At the April 15 

meeting, the NANC will hear routine 

status reports from the North American 

Portability Management, LLC, the 

Secure Telephone Identification 

Governance Authority, and the 

Numbering Administration Oversight 

Working Group. This agenda may be 

modified at the discretion of the NANC 

Chair and the Designated Federal 

Officers (DFO). 

(5 U.S.C. App 2 section 10(a)(2)) 

Federal Communications Commission 

Daniel Kahn, 

Associate Bureau Chief, Wireline Competition 

Bureau. 

[FR Doc. 2021–04797 Filed 3–8–21; 8:45 am] 

BILLING CODE 6712–01–P 

FEDERAL HOUSING FINANCE 

AGENCY 

[No. 2021–N–4] 

Privacy Act of 1974; System of 

Records 

AGENCY: Office of Inspector General, 

Federal Housing Finance Agency 

(FHFA–OIG). 

ACTION: Notice of amendments and 

additions to the routine uses for FHFA– 

OIG’s Privacy Act systems of records 


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Federal Register / Vol. 86, No. 44 / Tuesday, March 9, 2021 / Notices 13549 

(SORs), updates, rewording, and 

technical changes to the system name, 

system location, categories of 

individuals covered by the system, 

categories of records in the system, 

purpose(s), retrievability, safeguards, 

retention and disposal, system 

manager(s) and address, notification 

procedures, record source categories, 

and exemptions claimed for one or more 

of FHFA–OIG’s existing systems, and 

the creation of a new Privacy Act system 

of records (SOR). 

SUMMARY: In accordance with the 

Privacy Act of 1974, as amended and 

the Office of Management and Budget 

(OMB) Circular A–108 System of 

Records Notice template, FHFA–OIG 

gives notice of amendments and 

additions to the routine uses for FHFA– 

OIG’s Privacy Act systems of records 

(SORs) and technical changes thereto, 

updates to system name, system 

location, categories of individuals 

covered by the system, categories of 

records in the system, purpose(s), 

retrievability, safeguards, retention and 

disposal, system manager(s) and 

address, notification procedures, record 

source categories, exemptions claimed 

for one or more of FHFA–OIG’s existing 

systems of record, and the creation of a 

new Privacy Act SOR for the Office of 

Counsel. The six existing SORs are 

being re-published in their entirety to 

conform their formats to the Circular A– 

108 SORN template. The amendments 

and additions to the existing systems 

and the new system are described in 

detail below. 

DATES: Comments must be received on 

or before April 8, 2021. The amended 

and additional routine uses and the 

technical revisions to FHFA–OIG’s 

existing SORs, and the new SOR, will 

become effective without further notice 

on April 19, 2021, unless comments 

received on or before that date result in 

revisions to this notice. 

ADDRESSES: Submit comments to FHFA 

only once, identified by ‘‘FHFA–OIG 

SORN,’’ using any one of the following 

methods: 

• Email: Leonard.DePasquale@

fhfaoig.gov. Comments may be sent by 

email to Leonard DePasquale, FHFA– 

OIG Chief Counsel. Please include 

‘‘Comments/FHFA–OIG SORN’’ in the 

subject line of the message. Comments 

will be made available for inspection 

upon written request. 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. If 

you submit your comment to the 

Federal eRulemaking Portal, please also 

send it by email to FHFA at 

Leonard.DePasquale@fhfaoig.gov to 

ensure timely receipt by the agency. 

Please include ‘‘Comments/FHFA–OIG 

SORN’’ in the subject line of the 

message. 

• U.S. Mail, United Parcel Service, 

Federal Express, or Other Mail Service: 

Leonard DePasquale, Chief Counsel, 

Office of Inspector General, Federal 

Housing Finance Agency, 400 7th Street 

SW, Washington, DC 20219. 

• Courier/Hand Delivered Letters or 

Packages: For security reasons, courier/ 

hand delivered letters or packages 

cannot be accepted. 

See SUPPLEMENTARY INFORMATION for 

additional information on posting of 

comments. 

FOR FURTHER INFORMATION CONTACT: 

Leonard DePasquale, Chief Counsel, 

Office of Inspector General, Federal 

Housing Finance Agency, 400 7th Street 

SW, Washington, DC 20219, or at (202) 

730–2830. Hearing impaired individuals 

may utilize the Federal Relay Service by 

dialing 1–800–877–8339. A 

Communications Assistant will dial 

FHFA–OIG’s number and relay the 

conversation between a standard (voice) 

telephone user and text telephone 

(TTY). 

SUPPLEMENTARY INFORMATION: 

I. Comments 

Instructions: FHFA–OIG seeks public 

comments on the amended and 

additional routine uses and will take all 

comments into consideration. See 5 

U.S.C. 552a(e)(4) and (11). 

Posting and Public Availability of 

Comments: All comments received will 

be posted without change on the FHFA– 

OIG website at http://www.fhfaoig.gov, 

and will include any personal 

information provided, such as name, 

address (mailing and email), and 

telephone numbers. 

II. Background 

The Federal Housing Finance 

Regulatory Reform Act of 2008 (Reform 

Act), which was passed as Division A of 

the Housing and Economic Recovery 

Act of 2008 (HERA) abolished both the 

Federal Housing Finance Board (FHFB), 

an independent agency that oversaw the 

Federal Home Loan Banks (FHLBanks), 

and the Office of Federal Housing 

Enterprise Oversight (OFHEO), an office 

within the Department of Housing and 

Urban Development (HUD) that oversaw 

the ‘‘safety and soundness’’ of the 

Federal Home Loan Mortgage 

Corporation (Freddie Mac) and the 

Federal National Mortgage Association 

(Fannie Mae). See Public Law 110–289, 

sections 1301 and 1311, 122 Stat. 2654, 

2794 and 2797 (codified at 12 U.S.C. 

4511 note); H.R. Rep. No. 110–142, at 

95. The Reform Act established in place 

of the FHFB and OFHEO a new entity, 

the Federal Housing Finance Agency 

(FHFA), to regulate and supervise 

Fannie Mae, Freddie Mac, and the 12 

FHLBanks. See Public Law 110–289, 

section 1101, 122 Stat. 2654, 2661 

(codified at 12 U.S.C. 4511). 

The Reform Act also requires the 

appointment of an Inspector General 

within FHFA, in accordance with 

section 3a of the Inspector General Act 

of 1978 (the IG Act). See Public Law 

110–289, section 1105, 122 Stat. 2668 

(codified at 12 U.S.C. 4517(d)). FHFA– 

OIG is responsible for, among other 

things, conducting audits, 

investigations, and evaluations of 

FHFA’s programs and operations; 

recommending policies that promote 

economy and efficiency in the 

administration of FHFA’s programs and 

operations; and preventing and 

detecting fraud and abuse in FHFA’s 

programs and operations. See IG Act, 

Public Law 95–452, 92 Stat. 1101 

(codified at 5 U.S.C. App.). 

FHFA–OIG began operations in 

October of 2010. Although FHFA’s 

SORs covered many of FHFA–OIG’s 

records, some of those records were 

unique to FHFA–OIG’s work. As a 

result, on March 2, 2011, FHFA–OIG 

issued a Federal Register notice 

establishing five SORs (76 FR 11465). 

On November 1, 2013, FHFA–OIG 

issued another Federal Register notice 

adding a new SOR and amending and 

updating the existing SORs (78 FR 

65644). In the five years since the last 

update, FHFA–OIG’s approach to 

implementing its mission has evolved 

and matured. To better reflect where our 

work is taking us and how we conduct 

our business some aspects of the earlier 

SORs should be amended. 

Certain updates, rewording, and 

technical changes are being made to one 

or more of the following sections of the 

existing SORs: System name, system 

location, categories of individuals 

covered by the system, categories of 

records in the system, purpose(s), 

routine uses, retrievability, safeguards, 

retention and disposal, system 

manager(s) and address, notification 

procedures, record source categories, 

and exemptions claimed for the system. 

In addition, several new routine uses are 

being added to enable FHFA–OIG to 

implement its mission under the IG Act 

more efficiently and to enhance 

transparency in reporting the results of 

our audits, evaluations, investigations, 

and other inquiries. 

During the course of updating its 

existing SORs, FHFA–OIG determined 

that records concerning hotline 

complaints and inquiries conducted by 


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FHFA–OIG’s Office of Investigations are 

already housed in the Office of 

Investigations’ two existing SORs— 

FHFA–OIG–2 and FHFA–OIG–3. Thus, 

with regard to these types of complaints 

and inquiries, the existing Hotline 

Database (FHFA–OIG–4) is superfluous. 

FHFA–OIG is making minor 

modifications to reflect that hotline 

complaints and inquiries undertaken by 

the Office of Investigations are already 

covered by the two existing SORs 

(FHFA–OIG–2 and FHFA–OIG–3). 

Rather than eliminating the existing 

Hotline Database SOR (FHFA–OIG–4), 

FHFA–OIG is repurposing it to house 

records pertaining to non-criminal 

administrative inquiries conducted by 

any FHFA–OIG operational division 

other than the Office of Investigations. 

FHFA–OIG has assigned responsibility 

for non-criminal administrative 

inquiries to its operational divisions and 

desires records pertaining to these 

matters to be stored in a SOR separate 

from any SOR that contains 

investigative records generated and/or 

collected by FHFA–OIG’s Office of 

Investigations. Thus, to better align its 

SORs with its multidisciplinary 

approach to these inquiries, FHFA–OIG 

is designating the existing Hotline 

Database (FHFA–OIG–4) to store records 

pertaining to non-criminal 

administrative inquiries that are 

conducted by any FHFA–OIG 

operational division other than the 

Office of Investigations. 

Finally, a SOR is being added for 

FHFA–OIG’s Freedom of Information 

Act (FOIA), Privacy Act (PA), and 

Freedom of Information Act/Privacy Act 

(FOPA) records. Although FHFA–OIG’s 

FOIA, PA, and FOPA records are 

covered under FHFA’s FOIA and PA 

SOR, FHFA–OIG has decided to adopt 

its own SOR for FOIA, PA, and FOPA 

records so that the routine uses for these 

records are aligned with the routine 

uses for FHFA–OIG’s other SORs. 

Because documents FHFA–OIG 

produces in response to FOIA, PA, and 

FOPA requests are often records that are 

contained in FHFA–OIG’s other SORs, it 

is more logical for FHFA–OIG’s FOIA, 

PA, and FOPA routine uses to mirror 

those of the SORs from which these 

records may originate. Thus, the main 

reason FHFA–OIG is creating a SOR for 

its FOIA, PA, and FOPA records is to 

achieve this symbiosis. FHFA–OIG is 

also creating this SOR to make clear that 

some requests are processed under both 

the FOIA and PA. FHFA–OIG believes 

it is more appropriate that its SOR 

reflect this hybrid category of records 

(i.e., FOPA). 

Sections 552a(e)(4) and (11) of title 5, 

United States Code, require that an 

agency publish a notice of the 

establishment or revision of a SOR 

which affords the public a 30-day 

period in which to submit comments. 

To meet this requirement, FHFA–OIG’s 

SORs are set forth in their entirety 

below. Further, a report of FHFA–OIG’s 

intention to amend and supplement its 

routine uses, update other portions of its 

existing SORs, and add a new SOR has 

been submitted to the Committee on 

Oversight and Government Reform of 

the House of Representatives, the 

Committee on Homeland Security and 

Governmental Affairs of the Senate, and 

to OMB, as required by the Privacy Act, 

5 U.S.C. 552a(r) and pursuant to section 

7 of OMB Circular A–108, ‘‘Federal 

Agency Responsibilities for Review, 

Reporting, and Publication under the 

Privacy Act,’’ dated December 23, 2016 

(81 FR 94424 (Dec. 23, 2016)). 

III. Proposed Systems of Records 

The proposed changes to the existing 

SORs are described in detail below: 

FHFA–OIG–1 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Audit Files Database 

(FHFA–OIG–1). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Deputy Inspector General for Audits, 

Office of Inspector General, Federal 

Housing Finance Agency, 400 7th Street 

SW, Washington, DC 20219. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 U.S.C. 

4517(d) and 5 U.S.C. App. 3. 

PURPOSE(S) OF THE SYSTEM: 

This system is maintained to enable 

Office of Audits’ employees to access, 

share, restrict, or maintain information 

that has been collected and/or generated 

as part of an audit, as appropriate. 

Materials relating to an audit may or 

may not become part of the official audit 

file. The system also serves as a storage 

and filing system for working copies, 

drafts, and final versions of documents 

collected and/or generated by the Office 

of Audits in the performance of other 

official duties. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees of and detailees to the 

Office of Audits and subjects or 

potential subjects of audit activities and 

individuals who may be, are, or have 

been witnesses, complainants, 

informants, subjects, or otherwise 

involved in circumstances pertaining or 

relating to official activities conducted 

by FHFA–OIG’s Office of Audits. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Drafts and final documents of the 

following types: (1) Audit reports; (2) 

working papers, which may include 

copies of correspondence, evidence, 

subpoenas; and (3) other documents 

collected and/or generated by the Office 

of Audits during the course of official 

duties, including information from 

FHFA–OIG’s other systems of records. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 

contractors, subcontractors, subject 

individuals, complainants, witnesses, 

and informants. Records in this system 

may have originated in other FHFA/ 

FHFA–OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations responsible 

for investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, when the 

information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 

subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 


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proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To an individual member of 

Congress or a member of his/her staff in 

response to an inquiry made at the 

request of the individual who is the 

subject of the record; 

(4) To another Federal agency, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency or entity, or (b) verify the 

identity of an individual or the accuracy 

of information submitted by an 

individual who has requested access to 

or amendment or correction of records; 

(5) To the Department of Justice, 

outside counsel retained by FHFA–OIG, 

or another Federal agency’s legal 

representative when seeking legal 

advice, including, but not limited to, 

whether to release information covered 

by the Freedom of Information (5 U.S.C. 

552) and Privacy Acts (5 U.S.C. 552a) or 

when the Department of Justice or 

outside counsel retained by FHFA–OIG 

is representing FHFA–OIG or any 

FHFA–OIG employee in his or her 

official or individual capacity; or when 

FHFA–OIG is a party to litigation or 

settlement negotiations or has an 

interest in litigation or settlement 

negotiations being conducted by the 

Department of Justice or outside counsel 

retained by FHFA–OIG and FHFA–OIG 

has determined such information to be 

relevant and necessary to the litigation 

or settlement negotiations; 

(6) To another Federal Office of the 

Inspector General, law enforcement 

Task Force, or other Federal, state, local, 

foreign, territorial, or tribal unit of 

government, other public authorities, or 

self-regulatory organizations for the 

purpose of preventing and/or 

identifying fraud, waste, or abuse 

related to FHFA’s programs or 

operations; 

(7) To the National Archives and 

Records Administration for use in 

records management inspections; 

(8) To appropriate agencies, entities, 

and persons when (1) FHFA–OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA–OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA–OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA–OIG’s efforts 

to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm; 

(9) To another Federal agency or 

Federal entity, when FHFA–OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

(10) To any person or entity, either 

private or governmental, that FHFA– 

OIG has reason to believe possesses 

information regarding a matter within 

the jurisdiction of FHFA–OIG, to the 

extent deemed to be necessary by 

FHFA–OIG to elicit information or 

cooperation from the recipient for use in 

the performance of an authorized 

activity relevant to an FHFA–OIG audit, 

evaluation, investigation, or inquiry; 

(11) To the Equal Employment 

Opportunity Commission, Merit 

Systems Protection Board, Federal Labor 

Relations Authority, Office of Special 

Counsel, Office of Government Ethics 

(OGE), Office of Personnel Management, 

Government Accounting Office, 

Department of Justice, Office of 

Management and Budget, arbitrators, 

and any other Federal agencies or other 

entity responsible for conducting 

investigations, other inquiries, 

administrative actions, hearings, and/or 

settlement efforts relating to personnel, 

security clearance, security or suitability 

or other administrative grievances, 

complaints, claims, or appeals filed by 

an employee, or if needed in the 

performance of other authorized duties; 

(12) In situations involving an 

imminent danger of death or physical 

injury to an individual or individuals in 

danger; 

(13) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA–OIG; 

(14) To the public or to the media for 

release to the public when the matter 

under audit, review, evaluation, 

investigation, or inquiry has become 

public knowledge, or when the 

Inspector General determines that such 

disclosure is necessary either to 

preserve confidence in the integrity of 

FHFA–OIG’s audit, review, evaluation, 

investigative, or inquiry processes or is 

necessary to demonstrate the 

accountability of FHFA–OIG employees, 

officers or individuals covered by the 

system, unless the Inspector General or 

his/her delegee determines, after 

consultation with counsel and the 

Senior Privacy Official, that release of 

the specific information in the context 

of a particular case would constitute an 

unwarranted invasion of personal 

privacy; 

(15) To Congress, congressional 

committees, or the staffs thereof, once 

an FHFA–OIG report or management 

alert has become final and the Inspector 

General determines that its disclosure is 

necessary to fulfill the Inspector 

General’s responsibilities under the 

Inspector General Act of 1978; 

(16) To contractors, experts, 

consultants, students, and others 

engaged by FHFA–OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(17) To a Federal agency or other 

entity which requires information 

relevant to a decision concerning the 

hiring, appointment, or retention of an 

employee or contractor; the assignment, 

detail, or deployment of an employee or 

contractor; the issuance, renewal, 

suspension, or revocation of an 

employee’s or contractor’s security 

clearance; the execution of a security or 

suitability investigation; the 

adjudication of liability; or coverage 

under FHFA–OIG’s liability insurance 

policy; 

(18) To Federal agencies and other 

public authorities for use in records 

management inspections, reporting 

requirements, information collection, 

including but not limited to, General 

Services Administration (GSA) as part 

of GSA’s responsibility to recommend 

improvements in records management 

practices and programs under authority 

of 44 U.S.C. 2904 and 2906, OGE, as 

part of the agency’s reporting 

requirements set forth in 5 CFR 2638, 

Subpart F, and any other system, 

program, procedure or circumstance 

where such disclosure is mandated by 

Federal statute or regulation; 

(19) To victims of a crime in 

accordance with the Victims’ Rights and 

Restitution Act of 1990 (34 U.S.C. 

20141), to the extent appropriate; 

(20) To a Federal agency in 

connection with a pending or 

prospective administrative enforcement 

process or mechanism, including but 

not limited to a suspension, debarment, 

or suspended counterparty designation; 

and 

(21) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA–OIG staff members. 


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POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name of the 

auditor, support staff, subject of or 

witness to the subject matter involving 

the audit, unique audit number, or job 

code. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

Records in this system will be 

retained in accordance with approved 

retention schedules, including: FHFA’s 

Comprehensive Records Schedule Item 

7 (N1–543–11–1, approved 01/11/2013), 

which provides the cut-off and 

disposition schedules for Inspector 

General records. Additional approved 

schedules may apply. Destruction of 

records shall occur in the manner(s) 

appropriate to the type of record, such 

as shredding of paper records and/or 

deletion of computer records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and/or 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFA– 

OIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA–OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 

HISTORY: 

The original version of this SORN was 

published in the Federal Register on 

March 2, 2011 (76 FR 11465). It was 

amended on November 1, 2013 (78 FR 

65644). 

FHFA–OIG–2 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Investigative Files 

Database (FHFA–OIG–2). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Deputy Inspector General for 

Investigations, Office of Inspector 

General, Federal Housing Finance 

Agency, 400 7th Street SW, Washington, 

DC 20219. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 U.S.C. 

4517(d) and 5 U.S.C. App. 3. 

PURPOSE(S) OF THE SYSTEM: 

The purpose of this system of records 

is to maintain information relevant to 

complaints received by FHFA–OIG and/ 

or collected and/or generated as part of 

investigations or inquiries conducted by 

or under the direction of the Office of 

Investigations or Hotline, as well as 

other information collected and/or 

generated during the course of the 

Office of Investigations’ official duties. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees of and detailees to the 

Office of Investigations, subjects or 

potential subjects of investigative 

activities and individuals who may be, 

are, or have been witnesses, 

complainants, informants, subjects, or 

otherwise involved in circumstances 

pertaining or relating to a complaint, 

investigation, or hotline or other inquiry 

conducted by FHFA–OIG’s Office of 

Investigations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

(1) Reports of investigations or 

inquiries, which may include, but are 

not limited to, witness statements, 

affidavits, transcripts, police reports, 

photographs, documentation concerning 

requests and approval for consensual 

telephone and consensual nontelephone monitoring, the subject’s 

prior criminal record, vehicle 

maintenance records, medical records, 

accident reports, insurance policies, 

police reports, and other exhibits and 

documents collected and/or generated 

as part of an investigation or inquiry; (2) 

status and disposition information 

concerning a complaint, investigation, 

or inquiry including prosecutive action 

and/or administrative action; (3) 

complaints or requests to investigate; (4) 

subpoenas and evidence obtained in 

response to a subpoena; (5) evidence 

logs; (6) pen registers; (7) 

correspondence; (8) records of seized 

money and/or property; (9) reports of 

laboratory examination, photographs, 

and evidentiary reports; (10) digital 

image files of physical evidence; (11) 

documents generated for purposes of 

FHFA–OIG’s undercover activities; (12) 

documents pertaining to the identity of 

confidential informants; (13) grand jury 

material; (14) information or documents 

pertaining to weapons qualifications 

and/or use of force training; (15) 

information or documents pertaining or 

relating to the processing of hotline 

complaints by, or under the direction of, 

FHFA–OIG’s Office of Investigations, 

including information from FHFA– 

OIG’s other systems of records; and (16) 

other documents collected and/or 

generated by the Office of Investigations 

during the course of official duties, 

including, but not limited to, 

information from FHFA–OIG’s other 

systems of records. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 


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contractors, subcontractors, subject 

individuals, complainants, witnesses, 

and informants. Records in this system 

may have originated in other FHFA/ 

FHFA–OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations responsible 

for investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, when the 

information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 

subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To an individual member of 

Congress or a member of his/her staff in 

response to an inquiry made at the 

request of the individual who is the 

subject of the record; 

(4) To another Federal agency, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency or entity, or (b) verify the 

identity of an individual or the accuracy 

of information submitted by an 

individual who has requested access to 

or amendment or correction of records; 

(5) To the Department of Justice, 

outside counsel retained by FHFA–OIG, 

or another Federal agency’s legal 

representative when seeking legal 

advice including, but not limited to, 

whether to release information covered 

by the Freedom of Information (5 U.S.C. 

552) and Privacy Acts (5 U.S.C. 552a), 

or the Department of Justice or outside 

counsel retained by FHFA–OIG is 

representing FHFA–OIG or any FHFA– 

OIG employee in his or her official or 

individual capacity; or when FHFA– 

OIG is a party to litigation or settlement 

negotiations or has an interest in 

litigation or settlement negotiations 

being conducted by the Department of 

Justice or outside counsel retained by 

FHFA–OIG and FHFA–OIG has 

determined such information to be 

relevant and necessary to the litigation 

or settlement negotiations; 

(6) To another Federal Office of the 

Inspector General, law enforcement 

Task Force, or other Federal, state, local, 

foreign, territorial, or tribal units of 

government, other public authorities, or 

self-regulatory organizations for the 

purpose of preventing and/or 

identifying fraud, waste, or abuse 

related to FHFA’s programs or 

operations; 

(7) To the National Archives and 

Records Administration for use in 

records management inspections; 

(8) To appropriate agencies, entities, 

and persons when (1) FHFA–OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA–OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA–OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA–OIG’s efforts 

to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm; 

(9) To another Federal agency or 

Federal entity, when FHFA–OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

(10) To any person or entity, either 

private or governmental, that FHFA– 

OIG has reason to believe possesses 

information regarding a matter within 

the jurisdiction of FHFA–OIG, to the 

extent deemed to be necessary by 

FHFA–OIG to elicit information or 

cooperation from the recipient for use in 

the performance of an authorized 

activity relevant to an FHFA–OIG audit, 

evaluation, investigation, or inquiry; 

(11) To the Equal Employment 

Opportunity Commission, Merit 

Systems Protection Board, Federal Labor 

Relations Authority, Office of Special 

Counsel, Office of Government Ethics 

(OGE), Office of Personnel Management, 

Government Accounting Office, 

Department of Justice, Office of 

Management and Budget, arbitrators, 

and any other Federal agencies or other 

entity responsible for conducting 

investigations, other inquiries, 

administrative actions, hearings, and/or 

settlement efforts relating to personnel, 

security clearance, security or suitability 

or other administrative grievances, 

complaints, claims, or appeals filed by 

an employee, or if needed in the 

performance of other authorized duties; 

(12) In situations involving an 

imminent danger of death or physical 

injury to an individual or individuals in 

danger; 

(13) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA–OIG; 

(14) To the public or to the media for 

release to the public when the matter 

under audit, review, evaluation, 

investigation, or inquiry has become 

public knowledge, or when the 

Inspector General determines that such 

disclosure is necessary either to 

preserve confidence in the integrity of 

FHFA–OIG’s audit, review, evaluation, 

investigative, or inquiry processes or is 

necessary to demonstrate the 

accountability of FHFA–OIG employees, 

officers or individuals covered by the 

system, unless the Inspector General or 

his/her delegee determines, after 

consultation with counsel and the 

Senior Privacy Official, that release of 

the specific information in the context 

of a particular case would constitute an 

unwarranted invasion of personal 

privacy; 

(15) To Congress, congressional 

committees, or the staffs thereof, once 

an FHFA–OIG report or management 

alert has become final and the Inspector 

General determines that its disclosure is 

necessary to fulfill the Inspector 

General’s responsibilities under the 

Inspector General Act of 1978; 

(16) To contractors, experts, 

consultants, students, and others 

engaged by FHFA–OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(17) To a Federal agency or other 

entity which requires information 

relevant to a decision concerning the 

hiring, appointment, or retention of an 

employee or contractor; the assignment, 

detail, or deployment of an employee or 

contractor; the issuance, renewal, 

suspension, or revocation of an 

employee’s or contractor’s security 

clearance; the execution of a security or 


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suitability investigation; the 

adjudication of liability; or coverage 

under FHFA–OIG’s liability insurance 

policy; 

(18) To Federal agencies and other 

public authorities for use in records 

management inspections, reporting 

requirements, information collection, 

including but not limited to, General 

Services Administration (GSA) as part 

of GSA’s responsibility to recommend 

improvements in records management 

practices and programs under authority 

of 44 U.S.C. 2904 and 2906, OGE, as 

part of the agency’s reporting 

requirements set forth in 5 CFR 2638, 

Subpart F, and any other system, 

program, procedure or circumstance 

where such disclosure is mandated by 

Federal statute or regulation; 

(19) To victims of a crime in 

accordance with the Victims’ Rights and 

Restitution Act of 1990 (34 U.S.C. 

20141), to the extent appropriate; 

(20) To a Federal agency in 

connection with a pending or 

prospective administrative enforcement 

process or mechanism, including but 

not limited to a suspension, debarment, 

or suspended counterparty designation; 

and 

(21) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA–OIG staff members. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name, Social 

Security Number, and/or case number. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

FHFA’s Comprehensive Records 

Schedule Item 7 (N1–543–11–1, 

approved 01/11/2013), which provides 

the cut-off and disposition schedules for 

Inspector General records. Additional 

approved schedules may apply. 

Destruction of records shall occur in the 

manner(s) appropriate to the type of 

record, such as shredding of paper 

records and/or deletion of computer 

records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and/or 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFA– 

OIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA–OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 

HISTORY: 

The original version of this SORN was 

published in the Federal Register on 

March 2, 2011 (76 FR 11465). It was 

amended on November 1, 2013 (78 FR 

65644). 

FHFA–OIG–3 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Investigative Document 

Repository MIS Database (FHFA–OIG– 

3). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Deputy Inspector General for 

Investigations, Office of Inspector 

General, Federal Housing Finance 

Agency, 400 7th Street SW, Washington, 

DC 20219. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 

U.S.C.4517(d) and 5 U.S.C. App. 3. 

PURPOSE(S) OF THE SYSTEM: 

The purpose of this system of records 

is to enable Office of Investigations’ 

employees to access, share, restrict, or 

maintain information that has been 

collected and/or generated during the 

course of an investigation or inquiry, as 

appropriate. Materials relating to an 

investigation or inquiry may or may not 

become part of the official case file. The 

system also serves as a storage and filing 

system for working copies, drafts, and 

final versions of documents collected 

and/or generated by the Office of 

Investigations in the performance of 

other official duties. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees of and detailees to the 

Office of Investigations, subjects or 

potential subjects of investigative 

activities and individuals who may be, 

are, or have been witnesses, 

complainants, informants, subjects, or 

otherwise involved in circumstances 

pertaining or relating to a complaint, 

investigation, or hotline or other inquiry 

conducted by FHFA-OIG’s Office of 

Investigations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Working copies, drafts, and final 

documents that the Office of 

Investigations is considering or using, or 

has collected and/or generated while an 

investigation or inquiry is in progress 

including but not limited to: (1) Reports 

of investigations or inquiries, which 

may include, but are not limited to, 

witness statements, affidavits, 


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transcripts, police reports, photographs, 

documentation concerning requests and 

approval for consensual telephone and 

consensual non-telephone monitoring, 

the subject’s prior criminal record, 

vehicle maintenance records, medical 

records, accident reports, insurance 

policies, police reports, and other 

exhibits and documents collected and/ 

or generated as part of an investigation 

or inquiry; (2) status and disposition 

information concerning a complaint, 

investigation, or inquiry including 

prosecutive action and/or 

administrative action; (3) complaints or 

requests to investigate; (4) subpoenas 

and evidence obtained in response to a 

subpoena; (5) evidence logs; (6) pen 

registers; (7) correspondence; (8) records 

of seized money and/or property; (9) 

reports of laboratory examination, 

photographs, and evidentiary reports; 

(10) digital image files of physical 

evidence; (11) documents generated for 

purposes of FHFA-OIG’s undercover 

activities; (12) documents pertaining to 

the identity of confidential informants; 

(13) grand jury materials; (14) 

information or documents pertaining or 

relating to the processing of hotline 

complaints by, or under the direction of, 

FHFA-OIG’s Office of Investigations, 

including information from FHFA-OIG’s 

other systems of records; and (15) any 

other documents collected and/or 

generated by the Office of Investigations 

during the course of official duties, 

including but not limited to, 

information from FHFA-OIG’s other 

systems of records, quality assurance 

reviews, A–123, peer reviews, training 

documents. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 

contractors, subcontractors, subject 

individuals, complainants, witnesses, 

and informants. Records in this system 

may have originated in other FHFA/ 

FHFA-OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations responsible 

for investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, when the 

information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 

subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To an individual member of 

Congress or a member of his/her staff in 

response to an inquiry made at the 

request of the individual who is the 

subject of the record; 

(4) To another Federal agency, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency or entity, or (b) verify the 

identity of an individual or the accuracy 

of information submitted by an 

individual who has requested access to 

or amendment or correction of records; 

(5) To the Department of Justice, 

outside counsel retained by FHFA-OIG, 

or another Federal agency’s legal 

representative when seeking legal 

advice including, but not limited to, 

whether to release information covered 

by the Freedom of Information (5 U.S.C. 

552) and Privacy Acts (5 U.S.C. 552a), 

or the Department of Justice or outside 

counsel retained by FHFA-OIG is 

representing FHFA-OIG or any FHFAOIG employee in his or her official or 

individual capacity; or when FHFA-OIG 

is a party to litigation or settlement 

negotiations or has an interest in 

litigation or settlement negotiations 

being conducted by the Department of 

Justice or outside counsel retained by 

FHFA-OIG and FHFA-OIG has 

determined such information to be 

relevant and necessary to the litigation 

or settlement negotiations; 

(6) To another Federal Office of the 

Inspector General, law enforcement 

Task Force, or other Federal, state, local, 

foreign, territorial, or tribal units of 

government, other public authorities, or 

self-regulatory organizations for the 

purpose of preventing and/or 

identifying fraud, waste, or abuse 

related to FHFA’s programs or 

operations; 

(7) To the National Archives and 

Records Administration for use in 

records management inspections; 

(8) To appropriate agencies, entities, 

and persons when (1) FHFA-OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA-OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA-OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA-OIG’s efforts 

to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm; 

(9) To another Federal agency or 

Federal entity, when FHFA-OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

(10) To any person or entity, either 

private or governmental, that FHFA-OIG 

has reason to believe possesses 

information regarding a matter within 

the jurisdiction of FHFA-OIG, to the 

extent deemed to be necessary by 

FHFA-OIG to elicit information or 

cooperation from the recipient for use in 

the performance of an authorized 

activity relevant to an FHFA-OIG audit, 

evaluation, investigation, or inquiry; 

(11) To the Equal Employment 

Opportunity Commission, Merit 

Systems Protection Board, Federal Labor 

Relations Authority, Office of Special 

Counsel, Office of Government Ethics 

(OGE), Office of Personnel Management, 

Government Accounting Office, 

Department of Justice, Office of 

Management and Budget, arbitrators, 

and any other Federal agencies or other 

entity responsible for conducting 

investigations, other inquiries, 

administrative actions, hearings, and/or 

settlement efforts relating to personnel, 

security clearance, security or suitability 

or other administrative grievances, 

complaints, claims, or appeals filed by 

an employee, or if needed in the 

performance of other authorized duties; 

(12) In situations involving an 

imminent danger of death or physical 


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injury to an individual or individuals in 

danger; 

(13) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA-OIG; 

(14) To the public or to the media for 

release to the public when the matter 

under audit, review, evaluation, 

investigation, or inquiry has become 

public knowledge, or when the 

Inspector General determines that such 

disclosure is necessary either to 

preserve confidence in the integrity of 

FHFA-OIG’s audit, review, evaluation, 

investigative, or inquiry processes or is 

necessary to demonstrate the 

accountability of FHFA-OIG employees, 

officers or individuals covered by the 

system, unless the Inspector General or 

his/her delegee determines, after 

consultation with counsel and the 

Senior Privacy Official, that release of 

the specific information in the context 

of a particular case would constitute an 

unwarranted invasion of personal 

privacy; 

(15) To Congress, congressional 

committees, or the staffs thereof, once 

an FHFA-OIG report or management 

alert has become final and the Inspector 

General determines that its disclosure is 

necessary to fulfill the Inspector 

General’s responsibilities under the 

Inspector General Act of 1978; 

(16) To contractors, experts, 

consultants, students, and others 

engaged by FHFA-OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(17) To a Federal agency or other 

entity which requires information 

relevant to a decision concerning the 

hiring, appointment, or retention of an 

employee or contractor; the assignment, 

detail, or deployment of an employee or 

contractor; the issuance, renewal, 

suspension, or revocation of an 

employee’s or contractor’s security 

clearance; the execution of a security or 

suitability investigation; the 

adjudication of liability; or coverage 

under FHFA-OIG’s liability insurance 

policy; 

(18) To Federal agencies and other 

public authorities for use in records 

management inspections, reporting 

requirements, information collection, 

including but not limited to, General 

Services Administration (GSA) as part 

of GSA’s responsibility to recommend 

improvements in records management 

practices and programs under authority 

of 44 U.S.C. 2904 and 2906, OGE, as 

part of the agency’s reporting 

requirements set forth in 5 CFR 2638, 

Subpart F, and any other system, 

program, procedure or circumstance 

where such disclosure is mandated by 

Federal statute or regulation; 

(19) To victims of a crime in 

accordance with the Victims’ Rights and 

Restitution Act of 1990 (34 U.S.C. 

20141), to the extent appropriate; 

(20) To a Federal agency in 

connection with a pending or 

prospective administrative enforcement 

process or mechanism, including but 

not limited to a suspension, debarment, 

or suspended counterparty designation; 

and 

(21) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA-OIG staff members. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name, Social 

Security Number, and/or case number. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

FHFA’s Comprehensive Records 

Schedule Item 7(N1–543–11–1, 

approved 01/11/2013), which provides 

the cut-off and disposition schedules for 

Inspector General records. Additional 

approved schedules may apply. 

Destruction of records shall occur in the 

manner(s) appropriate to the type of 

record, such as shredding of paper 

records and/or deletion of computer 

records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and/or 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFAOIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA-OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 

HISTORY: 

The original version of this SORN was 

published in the Federal Register on 

March 2, 2011 (76 FR 11465). It was 

amended on November 1, 2013 (78 FR 

65644). 

FHFA–OIG–4 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Non-Criminal 

Administrative Inquiries Database 

(FHFA–OIG–4). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Deputy Inspector General for 

Compliance and Special Projects, Office 

of Inspector General, Federal Housing 

Finance Agency, 400 7th Street SW, 

Washington, DC 20219. 


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AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 U.S.C. 

4517(d) and 5 U.S.C. App. 3. 

PURPOSE(S) OF THE SYSTEM: 

The purpose of this system is to 

segregate records collected and/or 

generated during the course of a noncriminal administrative inquiry 

conducted by employees of one or more 

of FHFA–OIG’s operational divisions 

from investigations or inquiries 

conducted by employees of the Office of 

Investigations and to enable employees 

of those operational divisions to access, 

share, restrict, or maintain information 

that has been collected and/or generated 

as part of a non-criminal administrative 

inquiry, as appropriate. The system also 

serves as a storage and filing system for 

working copies, drafts, and final 

versions of documents collected and/or 

generated by employees of one or more 

of FHFA–OIG’s operational divisions, 

other than the Office of Investigations, 

in the performance of other official 

duties involving non-criminal 

administrative inquiries. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees of and detailees to any 

FHFA–OIG operational division other 

than the Office of Investigations who are 

assigned to work on a non-criminal 

administrative inquiry, individuals who 

may be, are, or have been witnesses, 

complainants, informants, subjects, or 

otherwise involved in circumstances 

pertaining or relating to a non-criminal 

administrative inquiry conducted by 

any FHFA–OIG operational division 

other than the Office of Investigations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Working copies, drafts, and final 

documents that any FHFA–OIG 

operational division other than the 

Office of Investigations is considering or 

using, or has collected and/or generated 

as part of a non-criminal administrative 

inquiry, including but not limited to: (1) 

Reports of administrative inquiries 

pertaining to non-criminal hotline 

complaints and/or other non-criminal 

matters; (2) records of interviews and 

other verbal communications; (3) 

memos reflecting analysis of facts and 

law; (4) other documents collected and/ 

or generated by any FHFA–OIG 

operational division employee, other 

than those assigned to the Office of 

Investigations, during the course of 

official duties pertaining to noncriminal administrative inquiries, 

including information included in 

FHFA–OIG’s other systems of records. 

In addition, the system will include 

basic data about the non-criminal 

administrative inquiries themselves, 

including inquiry name, inquiry 

number, relevant dates and status. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 

contractors, subcontractors, subject 

individuals, complainants, witnesses, 

and informants. Records in this system 

may have originated in other FHFA/ 

FHFA–OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations responsible 

for investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, when the 

information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 

subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To an individual member of 

Congress or a member of his/her staff in 

response to an inquiry made at the 

request of the individual who is the 

subject of the record; 

(4) To another Federal agency, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency or entity, or (b) verify the 

identity of an individual or the accuracy 

of information submitted by an 

individual who has requested access to 

or amendment or correction of records; 

(5) To the Department of Justice, 

outside counsel retained by FHFA–OIG, 

or another Federal agency’s legal 

representative when seeking legal 

advice including, but not limited to, 

whether to release information covered 

by the Freedom of Information (5 U.S.C. 

552) and Privacy Acts (5 U.S.C. 552a), 

or the Department of Justice or outside 

counsel retained by FHFA–OIG is 

representing FHFA–OIG or any FHFA– 

OIG employee in his or her official or 

individual capacity; or when FHFA– 

OIG is a party to litigation or settlement 

negotiations or has an interest in 

litigation or settlement negotiations 

being conducted by the Department of 

Justice or outside counsel retained by 

FHFA–OIG and FHFA–OIG has 

determined such information to be 

relevant and necessary to the litigation 

or settlement negotiations; 

(6) To another Federal Office of the 

Inspector General, law enforcement 

Task Force, or other Federal, state, local, 

foreign, territorial, or tribal units of 

government, other public authorities, or 

self-regulatory organizations for the 

purpose of preventing and/or 

identifying fraud, waste, or abuse 

related to FHFA’s programs or 

operations; 

(7) To the National Archives and 

Records Administration for use in 

records management inspections; 

(8) To appropriate agencies, entities, 

and persons when (1) FHFA–OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA–OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA–OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA–OIG’s efforts 

to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm; 

(9) To another Federal agency or 

Federal entity, when FHFA–OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 


khammond on DSKJM1Z7X2PROD with NOTICES
13558 Federal Register / Vol. 86, No. 44 / Tuesday, March 9, 2021 / Notices 

(10) To any person or entity, either 

private or governmental, that FHFA– 

OIG has reason to believe possesses 

information regarding a matter within 

the jurisdiction of FHFA–OIG, to the 

extent deemed to be necessary by 

FHFA–OIG to elicit information or 

cooperation from the recipient for use in 

the performance of an authorized 

activity relevant to an FHFA–OIG audit, 

evaluation, investigation, or inquiry; 

(11) To the Equal Employment 

Opportunity Commission, Merit 

Systems Protection Board, Federal Labor 

Relations Authority, Office of Special 

Counsel, Office of Government Ethics 

(OGE), Office of Personnel Management, 

Government Accounting Office, 

Department of Justice, Office of 

Management and Budget, arbitrators, 

and any other Federal agencies or other 

entity responsible for conducting 

investigations, other inquiries, 

administrative actions, hearings, and/or 

settlement efforts relating to personnel, 

security clearance, security or suitability 

or other administrative grievances, 

complaints, claims, or appeals filed by 

an employee, or if needed in the 

performance of other authorized duties; 

(12) In situations involving an 

imminent danger of death or physical 

injury to an individual or individuals in 

danger; 

(13) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA–OIG; 

(14) To the public or to the media for 

release to the public when the matter 

under audit, review, evaluation, 

investigation, or inquiry has become 

public knowledge, or when the 

Inspector General determines that such 

disclosure is necessary either to 

preserve confidence in the integrity of 

FHFA–OIG’s audit, review, evaluation, 

investigative, or inquiry processes or is 

necessary to demonstrate the 

accountability of FHFA–OIG employees, 

officers or individuals covered by the 

system, unless the Inspector General or 

his/her delegee determines, after 

consultation with counsel and the 

Senior Privacy Official, that release of 

the specific information in the context 

of a particular case would constitute an 

unwarranted invasion of personal 

privacy; 

(15) To Congress, congressional 

committees, or the staffs thereof, once 

an FHFA–OIG report or management 

alert has become final and the Inspector 

General determines that its disclosure is 

necessary to fulfill the Inspector 

General’s responsibilities under the 

Inspector General Act of 1978; 

(16) To contractors, experts, 

consultants, students, and others 

engaged by FHFA–OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(17) To a Federal agency or other 

entity which requires information 

relevant to a decision concerning the 

hiring, appointment, or retention of an 

employee or contractor; the assignment, 

detail, or deployment of an employee or 

contractor; the issuance, renewal, 

suspension, or revocation of an 

employee’s or contractor’s security 

clearance; the execution of a security or 

suitability investigation; the 

adjudication of liability; or coverage 

under FHFA–OIG’s liability insurance 

policy; 

(18) To Federal agencies and other 

public authorities for use in records 

management inspections, reporting 

requirements, information collection, 

including but not limited to, General 

Services Administration (GSA) as part 

of GSA’s responsibility to recommend 

improvements in records management 

practices and programs under authority 

of 44 U.S.C. 2904 and 2906, OGE, as 

part of the agency’s reporting 

requirements set forth in 5 CFR 2638, 

Subpart F, and any other system, 

program, procedure or circumstance 

where such disclosure is mandated by 

Federal statute or regulation; 

(19) To victims of a crime in 

accordance with the Victims’ Rights and 

Restitution Act of 1990 (34 U.S.C. 

20141), to the extent appropriate; 

(20) To a Federal agency in 

connection with a pending or 

prospective administrative enforcement 

process or mechanism, including but 

not limited to a suspension, debarment, 

or suspended counterparty designation; 

and 

(21) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA–OIG staff members. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name of the 

employee assigned to the non-criminal 

administrative inquiry, support staff, 

name of the complainant, witness, 

subject of the non-criminal 

administrative inquiry, unique inquiry 

number, or job code. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

FHFA’s Comprehensive Records 

Schedule Item 7 (N1–543–11–1, 

approved 01/11/2013), which provides 

the cut-off and disposition schedules for 

Inspector General records. Additional 

approved schedules may apply. 

Destruction of records shall occur in the 

manner(s) appropriate to the type of 

record, such as shredding of paper 

records and/or deletion of computer 

records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and/or 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFA– 

OIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 86, No. 44 / Tuesday, March 9, 2021 / Notices 13559 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA–OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 

HISTORY: 

The original version of this SORN was 

published in the Federal Register on 

March 2, 2011 (76 FR 11465). It was 

amended on November 1, 2013 (78 FR 

65644). 

FHFA–OIG–5 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Correspondence Database 

(FHFA–OIG–5). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Executive Office, Office of Inspector 

General, Federal Housing Finance 

Agency, 400 7th Street SW, Washington, 

DC 20219. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 U.S.C. 

4517(d) and 5 U.S.C. App. 3. 

PURPOSE(S) OF THE SYSTEM: 

This system consists of 

correspondence received by FHFA–OIG 

from individuals and their 

representatives, oversight committees, 

and others who conduct business with 

FHFA–OIG and the responses thereto; it 

serves as a record of in-coming 

correspondence and the steps taken to 

respond thereto. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

(1) Correspondents; (2) persons upon 

whose behalf correspondence was 

initiated; and (3) FHFA–OIG personnel 

responding to correspondents or their 

representatives. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

(1) Correspondence received by 

FHFA–OIG and responses generated 

thereto; and (2) records used to respond 

to incoming correspondence, including 

information included in FHFA–OIG’s 

other systems of records. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 

contractors, subcontractors, subject 

individuals, complainants, witnesses, 

and informants. Records in this system 

may have originated in other FHFA/ 

FHFA–OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations responsible 

for investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, when the 

information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 

subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To an individual member of 

Congress or a member of his/her staff in 

response to an inquiry made at the 

request of the individual who is the 

subject of the record; 

(4) To another Federal agency, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency or entity, or (b) verify the 

identity of an individual or the accuracy 

of information submitted by an 

individual who has requested access to 

or amendment or correction of records; 

(5) To the Department of Justice, 

outside counsel retained by FHFA–OIG, 

or another Federal agency’s legal 

representative when seeking legal 

advice including, but not limited to, 

whether to release information covered 

by the Freedom of Information (5 U.S.C. 

552) and Privacy Acts (5 U.S.C. 552a), 

or the Department of Justice or outside 

counsel retained by FHFA–OIG is 

representing FHFA–OIG or any FHFA– 

OIG employee in his or her official or 

individual capacity; or when FHFA– 

OIG is a party to litigation or settlement 

negotiations or has an interest in 

litigation or settlement negotiations 

being conducted by the Department of 

Justice or outside counsel retained by 

FHFA–OIG and FHFA–OIG has 

determined such information to be 

relevant and necessary to the litigation 

or settlement negotiations; 

(6) To another Federal Office of the 

Inspector General, law enforcement 

Task Force, or other Federal, state, local, 

foreign, territorial, or tribal units of 

government, other public authorities, or 

self-regulatory organizations for the 

purpose of preventing and/or 

identifying fraud, waste, or abuse 

related to FHFA’s programs or 

operations; 

(7) To the National Archives and 

Records Administration for use in 

records management inspections; 

(8) To appropriate agencies, entities, 

and persons when (1) FHFA–OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA–OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA–OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA–OIG’s efforts 

to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm; 

(9) To another Federal agency or 

Federal entity, when FHFA–OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

(10) To any person or entity, either 

private or governmental, that FHFA– 

OIG has reason to believe possesses 

information regarding a matter within 

the jurisdiction of FHFA–OIG, to the 

extent deemed to be necessary by 

FHFA–OIG to elicit information or 

cooperation from the recipient for use in 

the performance of an authorized 

activity relevant to an FHFA–OIG audit, 

evaluation, investigation, or inquiry; 


khammond on DSKJM1Z7X2PROD with NOTICES
13560 Federal Register / Vol. 86, No. 44 / Tuesday, March 9, 2021 / Notices 

(11) To the Equal Employment 

Opportunity Commission, Merit 

Systems Protection Board, Federal Labor 

Relations Authority, Office of Special 

Counsel, Office of Government Ethics 

(OGE), Office of Personnel Management, 

Government Accounting Office, 

Department of Justice, Office of 

Management and Budget, arbitrators, 

and any other Federal agencies or other 

entity responsible for conducting 

investigations, other inquiries, 

administrative actions, hearings, and/or 

settlement efforts relating to personnel, 

security clearance, security or suitability 

or other administrative grievances, 

complaints, claims, or appeals filed by 

an employee, or if needed in the 

performance of other authorized duties; 

(12) In situations involving an 

imminent danger of death or physical 

injury to an individual or individuals in 

danger; 

(13) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA–OIG; 

(14) To the public or to the media for 

release to the public when the matter 

under audit, review, evaluation, 

investigation, or inquiry has become 

public knowledge, or when the 

Inspector General determines that such 

disclosure is necessary either to 

preserve confidence in the integrity of 

FHFA–OIG’s audit, review, evaluation, 

investigative, or inquiry processes or is 

necessary to demonstrate the 

accountability of FHFA–OIG employees, 

officers or individuals covered by the 

system, unless the Inspector General or 

his/her delegee determines, after 

consultation with counsel and the 

Senior Privacy Official, that release of 

the specific information in the context 

of a particular case would constitute an 

unwarranted invasion of personal 

privacy; 

(15) To Congress, congressional 

committees, or the staffs thereof, once 

an FHFA–OIG report or management 

alert has become final and the Inspector 

General determines that its disclosure is 

necessary to fulfill the Inspector 

General’s responsibilities under the 

Inspector General Act of 1978; 

(16) To contractors, experts, 

consultants, students, and others 

engaged by FHFA–OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(17) To a Federal agency or other 

entity which requires information 

relevant to a decision concerning the 

hiring, appointment, or retention of an 

employee or contractor; the assignment, 

detail, or deployment of an employee or 

contractor; the issuance, renewal, 

suspension, or revocation of an 

employee’s or contractor’s security 

clearance; the execution of a security or 

suitability investigation; the 

adjudication of liability; or coverage 

under FHFA–OIG’s liability insurance 

policy; 

(18) To Federal agencies and other 

public authorities for use in records 

management inspections, reporting 

requirements, information collection, 

including but not limited to, General 

Services Administration (GSA) as part 

of GSA’s responsibility to recommend 

improvements in records management 

practices and programs under authority 

of 44 U.S.C. 2904 and 2906, OGE, as 

part of the agency’s reporting 

requirements set forth in 5 CFR 2638, 

Subpart F, and any other system, 

program, procedure or circumstance 

where such disclosure is mandated by 

Federal statute or regulation; 

(19) To victims of a crime in 

accordance with the Victims’ Rights and 

Restitution Act of 1990 (34 U.S.C. 

20141), to the extent appropriate; 

(20) To a Federal agency in 

connection with a pending or 

prospective administrative enforcement 

process or mechanism, including but 

not limited to a suspension, debarment, 

or suspended counterparty designation; 

and 

(21) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA–OIG staff members. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name of the 

correspondent and/or name of the 

individual(s) to whom the record 

applies. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

FHFA’s Comprehensive Records 

Schedule Item 7 (N1–543–11–1, 

approved 01/11/2013), which provides 

the retention and disposition schedules 

for Inspector General records. 

Additional approved schedules may 

apply. Destruction of records shall occur 

in the manner(s) appropriate to the type 

of record, such as shredding of paper 

records and/or deletion of computer 

records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and/or 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFA– 

OIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA–OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 

HISTORY: 

The original version of this SORN was 

published in the Federal Register on 

March 2, 2011 (76 FR 11465). It was 

amended on November 1, 2013 (78 FR 

65644). 


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FHFA–OIG–6 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Evaluations Files Database 

(FHFA–OIG–6). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Deputy Inspector General for 

Evaluations, Office of Inspector General, 

Federal Housing Finance Agency, 400 

7th Street SW, Washington, DC 20219. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 U.S.C. 

4517(d) and 5 U.S.C. App. 3. 

PURPOSE(S) OF THE SYSTEM: 

This system is maintained to enable 

Office of Evaluations’ employees to 

access, share, restrict, or maintain 

information that has been collected and/ 

or generated as part of an evaluation, as 

appropriate. Materials relating to an 

evaluation may or may not become part 

of the official evaluation file. The 

system also serves as a storage and filing 

system for working copies, drafts, and 

final versions of documents collected 

and/or generated by the Office of 

Evaluations in the performance of other 

official duties. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Employees of and detailees to the 

Office of Evaluations and subjects or 

potential subjects of evaluation 

activities, and individuals who may be, 

are, or have been witnesses, 

complainants, informants, subjects, or 

otherwise involved in circumstances 

pertaining or relating to an evaluation 

conducted by FHFA–OIG’s Office of 

Evaluations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Drafts and final documents of the 

following types: (1) Evaluation reports, 

white papers, and other reports or 

studies; (2) working papers, which may 

include copies of correspondence, 

evidence, subpoenas, responses to 

evidence requests, memoranda of 

interviews conducted, statistical tables; 

and (3) other documents collected and/ 

or generated by the Office of Evaluations 

during the course of official duties, 

including information in FHFA–OIG’s 

other systems of records. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 

contractors, subcontractors, subject 

individuals, complainants, witnesses, 

and informants. Records in this system 

may have originated in other FHFA/ 

FHFA–OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations responsible 

for investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, when the 

information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 

subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To an individual member of 

Congress or a member of his/her staff in 

response to an inquiry made at the 

request of the individual who is the 

subject of the record; 

(4) To another Federal agency, state, 

local, foreign, territorial, tribal units of 

government, other public authorities, or 

self-regulatory organizations to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency or entity, or (b) verify the 

identity of an individual or the accuracy 

of information submitted by an 

individual who has requested access to 

or amendment or correction of records; 

(5) To the Department of Justice, 

outside counsel retained by FHFA–OIG, 

or another Federal agency’s legal 

representative when seeking legal 

advice, including, but not limited to, 

whether to release information covered 

by the Freedom of Information (5 U.S.C. 

552) and Privacy Acts (5 U.S.C. 552a) or 

when the Department of Justice or 

outside counsel retained by FHFA–OIG 

is representing FHFA–OIG or any 

FHFA–OIG employee in his or her 

official or individual capacity; or when 

FHFA–OIG is a party to litigation or 

settlement negotiations or has an 

interest in litigation or settlement 

negotiations being conducted by the 

Department of Justice or outside counsel 

retained by FHFA–OIG and FHFA–OIG 

has determined such information to be 

relevant and necessary to the litigation 

or settlement negotiations; 

(6) To another Federal Office of the 

Inspector General, law enforcement 

Task Force, or other Federal, state, local, 

foreign, territorial, or tribal units of 

government, other public authorities, or 

self-regulatory organizations for the 

purpose of preventing and/or 

identifying fraud, waste, or abuse 

related to FHFA’s programs or 

operations; 

(7) To the National Archives and 

Records Administration for use in 

records management inspections; 

(8) To appropriate agencies, entities, 

and persons when (1) FHFA–OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA–OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA–OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA–OIG’s efforts 

to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm; 

(9) To another Federal agency or 

Federal entity, when FHFA–OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

(10) To any person or entity, either 

private or governmental, that FHFA– 

OIG has reason to believe possesses 

information regarding a matter within 

the jurisdiction of FHFA–OIG, to the 

extent deemed to be necessary to elicit 


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information or cooperation from the 

recipient for use in the performance of 

an authorized activity relevant to an 

FHFA–OIG audit, evaluation, 

investigation, or inquiry; 

(11) To the Equal Employment 

Opportunity Commission, Merit 

Systems Protection Board, Federal Labor 

Relations Authority, Office of Special 

Counsel, Office of Government Ethics 

(OGE), Office of Personnel Management, 

Government Accounting Office, 

Department of Justice, Office of 

Management and Budget, arbitrators, 

and any other Federal agencies or other 

entity responsible for conducting 

investigations, other inquiries, 

administrative actions, hearings, and/or 

settlement efforts relating to personnel, 

security clearance, security or suitability 

or other administrative grievances, 

complaints, claims, or appeals filed by 

an employee, or if needed in the 

performance of other authorized duties; 

(12) In situations involving an 

imminent danger of death or physical 

injury to an individual or individuals in 

danger; 

(13) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA–OIG; 

(14) To the public or to the media for 

release to the public when the matter 

under audit, review, evaluation, 

investigation, or inquiry has become 

public knowledge, or when the 

Inspector General determines that such 

disclosure is necessary either to 

preserve confidence in the integrity of 

FHFA–OIG’s audit, review, evaluation, 

investigative, or inquiry processes or is 

necessary to demonstrate the 

accountability of FHFA–OIG employees, 

officers or individuals covered by the 

system, unless the Inspector General or 

his/her delegee determines, after 

consultation with counsel and the 

Senior Privacy Official, that release of 

the specific information in the context 

of a particular case would constitute an 

unwarranted invasion of personal 

privacy; 

(15) To Congress, congressional 

committees, or the staffs thereof, once 

an FHFA–OIG report or management 

alert has become final and the Inspector 

General determines that its disclosure is 

necessary to fulfill the Inspector 

General’s responsibilities under the 

Inspector General Act of 1978; 

(16) To contractors, experts, 

consultants, students, and others 

engaged by FHFA–OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(17) To a Federal agency or other 

entity which requires information 

relevant to a decision concerning the 

hiring, appointment, or retention of an 

employee or contractor; the assignment, 

detail, or deployment of an employee or 

contractor; the issuance, renewal, 

suspension, or revocation of an 

employee’s or contractor’s security 

clearance; the execution of a security or 

suitability investigation; the 

adjudication of liability; or coverage 

under FHFA–OIG’s liability insurance 

policy; 

(18) To Federal agencies and other 

public authorities for use in records 

management inspections, reporting 

requirements, information collection, 

including but not limited to, General 

Services Administration (GSA) as part 

of GSA’s responsibility to recommend 

improvements in records management 

practices and programs under authority 

of 44 U.S.C. 2904 and 2906, OGE, as 

part of the agency’s reporting 

requirements set forth in 5 CFR 2638, 

Subpart F, and any other system, 

program, procedure or circumstance 

where such disclosure is mandated by 

Federal statute or regulation; 

(19) To victims of a crime in 

accordance with the Victims’ Rights and 

Restitution Act of 1990 (34 U.S.C. 

20141), to the extent appropriate; 

(20) To a Federal agency in 

connection with a pending or 

prospective administrative enforcement 

process or mechanism, including but 

not limited to a suspension, debarment, 

or suspended counterparty designation; 

and 

(21) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA–OIG staff members. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name of the 

evaluator, support staff, subject of or 

witnesses to the evaluation, unique 

evaluation number, or job code. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

FHFA’s Comprehensive Records 

Schedule Item 7 (N1–543–11–1, 

approved 01/11/2013), which provides 

the cut-off and disposition schedules for 

Inspector General records. Additional 

approved schedules may apply. 

Destruction of records shall occur in the 

manner(s) appropriate to the type of 

record, such as shredding of paper 

records and/or deletion of computer 

records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and/or 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFA– 

OIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA–OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 


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HISTORY: 

The original version of this SORN was 

published in the Federal Register on 

November 1, 2013 (78 FR 65644). 

FHFA–OIG–7 

SYSTEM NAME AND NUMBER: 

FHFA–OIG Freedom of Information 

Act (FOIA), Privacy Act (PA), and 

FOIA/PA (FOPA) Records (FHFA– 

OIG–7). 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

FHFA–OIG, 400 7th Street SW, 

Washington, DC 20219, and any 

alternate work site utilized by FHFA– 

OIG employees or by individuals 

assisting such employees. 

SYSTEM MANAGER(S): 

Chief Counsel, Office of Inspector 

General, Federal Housing Finance 

Agency, 400 7th Street SW, Washington, 

DC 20219. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The system is established and 

maintained pursuant to 12 U.S.C. 

4517(d), 5 U.S.C. App. 3, the Freedom 

of Information Act (5 U.S.C. 552), the 

Privacy Act of 1974 (5 U.S.C. 552a), and 

12 CFR parts 1202 and 1204. 

PURPOSE(S) OF THE SYSTEM: 

The records are collected, used, 

maintained, and disseminated to 

process FOIA, PA, and FOPA requests 

and administrative appeals and/or 

administrative appeals of final 

determinations on such requests. The 

records are also used to prepare reports 

to the Office of Management and 

Budget, the Department of Justice, and 

Congress as required by the FOIA or PA; 

to participate in litigation arising from 

FHFA–OIG’s decisions and 

determinations on FOIA, PA, and FOPA 

requests and administrative appeals, 

and any other matters relating or 

pertaining to FOIA, PA, or FOPA 

requests and/or administrative appeals 

of final determinations on such 

requests. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who have submitted 

requests for information pursuant to the 

FOIA; individuals who have submitted 

requests for records about themselves 

under the provisions of the PA; 

individuals who have submitted a 

hybrid request for information under the 

FOIA and for information about 

themselves under the PA (FOPA); 

attorneys or other individuals 

authorized to represent and/or receive 

information on behalf of a FOIA, PA, or 

FOPA requester or individual filing an 

administrative appeal regarding such 

requests; individuals whose requests, 

appeals or other records have been 

referred to FHFA–OIG by other 

agencies; individuals who have been 

asked to consult as part of the FOIA 

(b)(4) exemption process; individuals 

filing an administrative appeal of a 

denial, in whole or part, of any such 

requests; individuals filing a civil action 

in federal court of a denial, in whole or 

part, of any such requests; employees of 

and detailees to the Office of Counsel 

who process and/or respond to FOIA, 

PA, FOPA requests or administrative 

appeals; and any other individual 

otherwise involved in circumstances 

pertaining or relating to the processing 

of a FOIA, PA, or FOPA request or 

administrative appeal. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records submitted, created, retrieved 

and/or compiled in response to FOIA, 

PA, and FOPA requests and/or 

administrative appeals of final 

determinations on such requests, 

including original requests and 

administrative appeals; responses to 

requests and administrative appeals 

including but not limited to 

acknowledgement letters, fee 

estimations, waivers, and other fee 

issues, requests for expedited review, 

verifications of identification, final 

determination letters, and copies of 

responsive records; internal 

memoranda, analyses, notes, and other 

records concerning the applicability of 

exemptions, exceptions, or other issues 

concerning FOIA, PA, FOPA 

determinations; emails or other 

correspondence between or among 

employees who process and/or respond 

to FOIA, PA, and FOPA requests or 

administrative appeals; emails or other 

correspondence between or among 

employees who process and/or respond 

to FOIA, PA, and FOPA requests or 

administrative appeals and other 

individuals associated with the FOIA, 

PA, and FOPA process, including, but 

not limited to: Requesters, operational 

division staff members, employees of 

referring agencies, individuals with 

whom consultation is undertaken, 

representatives or attorneys; memoranda 

to or from other federal agencies having 

a substantial interest in the 

determination of the request; civil 

actions filed in federal court of a denial, 

in whole or part, of any such requests; 

and any other records submitted, 

created, retrieved and/or compiled 

during the course of performing official 

duties relating or pertaining to FOIA, 

PA, or FOPA requests and/or 

administrative appeals of final 

determinations on such requests, 

including information contained FHFA– 

OIG’s other systems of records. 

The records may contain personal 

information submitted, created, 

retrieved and/or compiled in response 

to FOIA, PA, FOPA requests and/or 

administrative appeals of a final 

determination on such requests 

including, but not limited to: Names, 

property and email addresses, phone 

numbers, loan information, tracking 

numbers, identity verification 

information including birth places and 

dates, or other personal identifying 

information supplied by individuals 

making FOIA, PA, or FOPA requests. 

These records may contain inquiries 

and requests regarding any of FHFA– 

OIG’s other systems of records subject to 

the FOIA and PA, and information 

about individuals from any of these 

other systems may become part of this 

system of records. 

RECORD SOURCE CATEGORIES: 

The OIG collects information from a 

variety of sources, including FHFA, 

FHFA’s regulated entities, current and 

former employees of FHFA, other 

federal agencies/regulators, law 

enforcement agencies, vendors, 

contractors, subcontractors, subject 

individuals, complainants, witnesses, 

informants, and persons requesting 

agency records under the FOIA and the 

Privacy Act. Records in this system may 

have originated in other FHFA/FHFA– 

OIG systems of records and 

subsequently transferred to this system. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records may be disclosed: 

(1) To appropriate Federal, state, 

local, and foreign authorities 

responsible for investigating or 

prosecuting the violations of, or for 

enforcing or implementing, a statute, 

rule, regulation, order, or license, when 

the information indicates a violation or 

potential violation of law, whether civil, 

criminal, or regulatory in nature, and 

whether arising by general statute or 

particular program statute, or by 

regulation, rule, or order issued 

pursuant thereto or is relevant to the 

recipient entity’s law enforcement 

responsibilities; 

(2) To a court, magistrate, grand jury, 

administrative tribunal, or adjudicative 

body in the course of presenting 

evidence, including disclosures to 

opposing counsel or witnesses in the 

course of civil discovery, litigation, or 

settlement negotiations, in response to a 


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subpoena, or in connection with 

criminal law proceedings, including 

plea agreements, when OIG is a party or 

has a significant interest in the 

proceeding, to the extent that the 

information is determined to be relevant 

and necessary; 

(3) To a member of Congress or a 

member of his/her staff in response to 

an inquiry made at the request of the 

individual who is the subject of the 

record; 

(4) To another Federal government 

agency having a substantial interest in 

the determination of the request or for 

the purpose of consulting with that 

agency as to the propriety of access or 

correction of the record in order to 

complete the processing of requests; 

(5) To the National Archives and 

Records Administration, Office of 

Government Information Services 

(OGIS), to the extent necessary to fulfill 

its responsibilities in 5 U.S.C. 552(b), to 

review administrative agency policies, 

procedures, and compliance with the 

Freedom of Information Act, and to 

facilitate OGIS mediation services to 

resolve disputes between persons 

making FOIA requests and 

administrative agencies. 

(6) To appropriate agencies, entities, 

and persons when (1) FHFA–OIG 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) FHFA–OIG has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, FHFA–OIG (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security; and (3) the disclosure 

made to such agencies, entities, and 

persons is reasonably necessary to assist 

in connection with FHFA–OIG’s efforts 

to respond to the suspected or 

confirmed breach and prevent, 

minimize, or remedy such harm; 

(7) To another Federal agency or 

Federal entity, when FHFA–OIG 

determines that information from this 

system of records is reasonably 

necessary to assist the recipient agency 

or entity in (1) responding to a 

suspected or confirmed breach; or (2) 

preventing, minimizing, or remedying 

the risk of harm to individuals, the 

recipient agency or entity (including its 

information systems, programs, and 

operations), the Federal Government, or 

national security, resulting from a 

suspected or confirmed breach. 

(8) To other Federal Offices of 

Inspector General or other entities, 

during the conduct of internal and 

external peer reviews of FHFA–OIG; 

(9) To contractors, experts, 

consultants, students, and others 

engaged by FHFA–OIG, when necessary 

to accomplish an agency function 

related to this system of records; 

(10) To appropriate Federal agencies 

and other public authorities for use in 

records management inspections; and 

(11) To the Council of the Inspectors 

General on Integrity and Efficiency and 

its committees, another Federal Office of 

Inspector General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or by designated 

FHFA–OIG staff members. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases. Paper 

records are stored in locked offices, 

storage rooms, file cabinets, or safes. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records in this SOR are retrieved by 

the requester’s name, representative’s 

name, or by unique log number assigned 

to the request. Records sometimes are 

retrieved by reference to the name of the 

requester’s firm or the representative’s 

firm, if any, or the subject matter of the 

request. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

FHFA’s Comprehensive Records 

Schedule Item 7 (N1–543–11–1, 

approved 01/11/2013), which provides 

the cut-off and disposition schedules for 

Inspector General records. Additional 

approved schedules may apply. 

Destruction of records shall occur in the 

manner(s) appropriate to the type of 

record, such as shredding of paper 

records and/or deletion of computer 

records. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24- 

hour security guard service. 

Computerized records are safeguarded 

through use of access codes and other 

information technology security 

measures. Paper records are safeguarded 

by locked offices, locked file rooms, 

locked file cabinets, or safes. Access to 

the records, whether in electronic or 

paper form, is restricted to those who 

require the records in the performance 

of official duties related to the purposes 

for which the system is maintained. 

RECORD ACCESS PROCEDURES: 

Individuals seeking access to and 

notification about any record contained 

in this system of records, or seeking to 

contest its content, may mail inquiries 

to the Senior Privacy Official, FHFA– 

OIG Privacy Office, 400 7th Street SW, 

3rd Floor, Washington, DC 20219 or 

submit them electronically to https://

www.fhfaoig.gov/privacy in accordance 

with instructions appearing at 12 CFR 

part 1204. This system of records may 

contain records that are exempt from the 

notification, access, and contesting 

records requirements pursuant to the 

provisions of 5 U.S.C. 552a(j)(2), (k)(2), 

and (k)(5). 

CONTESTING RECORD PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

NOTIFICATION PROCEDURES: 

See ‘‘Record Access Procedures’’ 

above. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Some records contained within this 

system of records are exempt from 5 

U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), 

(e)(2), and (e)(3) of the Privacy Act 

pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 

552a(c)(3), (d)(1), (d)(2), and (e)(1) of the 

Privacy Act pursuant to 5 U.S.C. 

552a(k)(2); and 5 U.S.C. 552a(d)(1) of 

the Privacy Act pursuant to 5 U.S.C. 

552a(k)(5). See 12 CFR 1204.7(c), 

implementing the exemptions in 5 

U.S.C. 552a(j)(2), (k)(2), and (k)(5) for 

FHFA–OIG records. These exemptions 

are hereby incorporated by reference 

and are an integral part of this SORN. 

HISTORY: 

FHFA–OIG was covered by FHFA’s 

Freedom of Information Act and Privacy 

Act Records (FHFA–13) which was 

published in the Federal Register on 

June 8, 2011 (76 FR 33286). 

Leonard DePasquale, 

Chief Counsel. 

[FR Doc. 2021–04796 Filed 3–8–21; 8:45 am] 

BILLING CODE 8070–01–P 

FEDERAL RESERVE SYSTEM 

Notice of Proposals To Engage in or 

To Acquire Companies Engaged in 

Permissible Nonbanking Activities 

The companies listed in this notice 

have given notice under section 4 of the 

Bank Holding Company Act (12 U.S.C. 

1843) (BHC Act) and Regulation Y, (12 

CFR part 225) to engage de novo, or to 

acquire or control voting securities or 

assets of a company, including the 

companies listed below, that engages 

either directly or through a subsidiary or 

other company, in a nonbanking activity 

that is listed in § 225.28 of Regulation Y 

(12 CFR 225.28) or that the Board has 

determined by Order to be closely 


khammond on DSKJM1Z7X2PROD with NOTICES