[Federal Register Volume 75, Number 249 (Wednesday, December 29, 2010)]
[Notices]
[Pages 82042-82053]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-32769]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5386-N-12]


Office of Inspector General; Privacy Act of 1974; Notification of 
the Office of Inspector General Intent To Consolidate, Update, Delete, 
and Implement Privacy Act Systems of Records

AGENCY: Office of the Chief Information Office, HUD.

ACTION: Notification of Consolidation, Update, Deletion, and 
Implementation of Privacy Act Systems of Records.

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SUMMARY: Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), notice is 
hereby given that HUD's Office of Inspector General (OIG) proposes to 
consolidate, update and delete Systems of Records (SORs) within its 
existing repository of SORs, and establish a new SORs to be maintained 
by the 13 Regional Special Agents in Charge nationwide and the Deputy 
Assistant Inspector General for Investigations in Washington, D.C. The 
OIG, pursuant to the Privacy Act of 1974, currently maintains six SORs: 
(1) Investigative Files of the Office of Inspector General (HUD/OIG-1); 
(2) Hotline Complaint Files of the Office of Inspector General (HUD/
OIG-2); (3) Name Indices System of the Office of Inspector General 
(HUD/OIG-3); (4) Independent Auditor Monitoring Files of the Office of 
Inspector General (HUD/OIG-4); (5) Auto Audit of the Office of 
Inspector General (HUD/OIG-5); and (6) Auto Investigation of the Office 
of Inspector General (HUD/OIG-6). The notice for these SORs was last 
published on May 22, 2000 (65 FR 33242). The OIG also proposes to 
create a seventh system of records, OIG Giglio Information File (HUD/
OIG-7). Accordingly, the notice, pursuant to 5 U.S.C. 552a(e)(4) and 
(11), of the establishment of a new system of records follows: HUD OIG 
is updating its Giglio Policy and is thereby creating a new system of 
records for which no public notice consistent with the provisions of 5 
U.S.C. section 552(e)(4) and (11) has been published, OIG Giglio 
Information File, HUD/OIG-7. The file is being created to ensure that, 
upon the request of a Requesting Official within the Department of 
Justice, OIG Giglio Officials are able to provide the information 
necessary to allow the prosecuting attorneys to meet their 
constitutional obligations under the United States Supreme Court case 
of Giglio v. United States, 405 U.S. 150 (1972), and the case law 
following that decision. A new routine use was established for prior 6 
SORs effective October 15, 2007, as noticed in the Federal Register on 
September 14, 2007 (72 FR 52572). The new routine use permits 
disclosure of records to respond to breach of personally identifiable 
information. This consolidation refers to that routine uses for all 7 
OIG SORs. This consolidation and update amends routine use 3 for HUD/
OIG-1, HUD/OIG-2, HUD/OIG-3, HUD/OIG-4, HUD/OIG-5, and HUD/OIG-6 to 
allow release of records to assist housing authorities who take 
personnel actions based on an OIG audit or investigation.
    An eleventh routine use is added to HUD/OIG-1, HUD/OIG-2, HUD/OIG-
3, HUD/OIG/5, and HUD/OIG-6 to allow release of information to 
licensing authorities regulating professional services, when the 
records reveal conduct related to activities associated with a HUD 
program that is appropriate for possible administrative or disciplinary 
sanctions, such as license revocation.
    The OIG has also changed the name of HUD/OIG-6, Autoinvestigation 
of the Office of Inspector General to HUD/OIG-6 Autoinvestigation and 
the Case Management Information SubSystem (CMISS), while maintaining 
the same

[[Page 82043]]

routine uses and attributes of HUD/OIG-6. CMISS is an updated data 
system of the investigative case files, formerly maintained in Auto 
Investigation, which will continue to maintain its information and 
data. This consolidation also updates routine use 9 due to legislation 
(IG Reform Act of 2008) enacted in 2008 changing the name of the 
President's Council on Integrity and Efficiency (PCIE) to the Council 
of Inspectors General on Integrity and Efficiency (CIGIE) and corrects 
the disposition schedule.
    The OIG also deletes two obsolete SORs from its inventory, the 
Investigation Files (HUD/DEPT 24) and Audit Planning and Operations 
systems (HUD/DEPT-77). This notice serves to update the OIG repository 
of SORs and reflects the current posture of each SOR. Additionally, 
this notice deletes and supersedes all prior notifications for the SORs 
referenced in this publication.

DATES: Effective Date: This proposal shall become effective January 28, 
2011, unless comments are received on or before that date which would 
result in a contrary determination.
    Comment Due Date: January 28, 2011.

ADDRESSES: Interested persons are invited to submit comments regarding 
this notice to the Rules Docket Clerk, Office of General Counsel, Room 
10276, Department of Housing and Urban Development, 451 7th Street, 
SW., Washington, DC 20410-0500. Communications should refer to the 
above docket number and title. Comments submitted by facsimile (FAX) 
will not be accepted. A copy of each communication submitted will be 
available for public inspection and copying between 8 a.m. and 5:30 
p.m. weekdays at the above address.

FOR FURTHER INFORMATION CONTACT: Donna Robinson-Staton, Chief Privacy 
Officer, 451 Seventh Street, SW., Room 2256, Washington, DC 20410, 
Telephone Number (202) 402-8076. For OIG-related information: Richard 
Johnson, Deputy Counsel to the Inspector General, Office of Inspector 
General, Telephone Number (202) 708-1613. (These are not toll free 
numbers.) A telecommunications device for hearing- and speech-impaired 
persons (TTY) is available at 1-800-877-8339 (Federal Information Relay 
Services). (This is a toll-free number.)

SUPPLEMENTARY INFORMATION: Title 5 U.S.C. section 552a(e)(4) and (11) 
provide that the public be given a 30-day period in which to comment on 
the proposed changes. In accordance with section 5 U.S.C. 552a(r) and 
the Office of Management and Budget Circular A-130, the Department has 
provided a report to OMB and the Congress of the proposed 
consolidation, update, deletion, and Implement of SORs. The report will 
be submitted to the Office of Management and Budget (OMB), and to the 
Chair of the Committee on Government Reform and Oversight, and the 
Chair of the Committee on Homeland Security and Governmental Affairs 
which requires a 40-day period in which to conclude its review of the 
submitted report.

    Dated: December 20, 2010.
Kevin R. Cooke,
Deputy Chief Information Officer.
HUD/OIG-1

System name:
    Investigative Files of the Office of Inspector General.

System location:
    HUD OIG Headquarters, Washington, DC.

Categories of individuals covered by the system:
    Individuals covered consist of: (1) HUD program participants and 
HUD employees who are subjects of OIG inquiries or investigations; and 
(2) complainants and key witnesses where necessary for future 
retrieval.

Categories of records in the system:
    Records consist of investigatory material compiled for law 
enforcement purposes, and include initial complaints filed against 
subjects or other information relating to potential violations of law, 
reports of investigation, findings of HUD officials, and 
recommendations and dispositions to be made.

Authority for maintenance of the system:
    The Inspector General Act of 1978, 5 U.S.C. Appx. authorizes the 
Inspector General to conduct, supervise and coordinate investigations 
relating to the programs and operations of HUD.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:
    1. In the event that records indicate a violation or potential 
violation of law, whether criminal, civil or regulatory in nature, the 
relevant records may be disclosed to the appropriate Federal, State, or 
local agency charged with the responsibility for investigating or 
prosecuting such violation or enforcing or implementing such statute, 
rule or regulation.
    2. Records may be disclosed to a congressional office in response 
to an inquiry from that congressional office made at the request of the 
individual who is the subject of the records.
    3. Records may be disclosed to HUD contractors, Public Housing 
Authorities or management agents of HUD-assisted housing projects, in 
order to assist such entities in taking or defending actions to recover 
money or property, or take personnel actions based on an OIG 
investigation or audit, where such recovery or personnel action serves 
to promote the integrity of the programs or operations of HUD.
    4. Records may be disclosed during the course of an administrative 
proceeding where HUD is a party to the litigation and the disclosure is 
relevant and reasonably necessary to adjudicate the matter.
    5. Records may be disclosed to any source, either private or 
governmental, to the extent necessary to elicit information relevant to 
an OIG investigation.
    6. Records may be disclosed to appropriate State boards of 
accountancy for possible administrative or disciplinary sanctions such 
as license revocation. These referrals will be made only after the 
independent auditor has been notified that the OIG is contemplating 
disclosure of its findings to an appropriate State board of 
accountancy, and the independent auditor has been provided with an 
opportunity to respond in writing to the OIG's findings.
    7. Records may be disclosed to DOJ for litigation purposes 
associated with the representation of OIG and/or HUD before the courts.
    8. Records may be disclosed to persons engaged in conducting and 
reviewing internal and external peer reviews of OIG to ensure adequate 
internal safeguards and management procedures exist within any office 
that had received law enforcement authorization.
    9. In the event that these records respond to an audit, 
investigation or review, which is conducted pursuant to an authorizing 
law, rule or regulation, and in particular those conducted at the 
request of the CIGIE pursuant to Executive Order 12993, the records may 
be disclosed to the CIGIE and other Federal agencies, as necessary.
    10. Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department

[[Page 82044]]

may be disclosed to appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    11. Records may be disclosed to private, State or Federal licensing 
authorities or boards regulating professional services, such as 
appraisers, attorneys, insurers, or mortgage brokers, when the records 
reveal conduct related to activities associated with a HUD program that 
is appropriate for possible administrative or disciplinary sanctions, 
such as license revocation.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored manually in file jackets and electronically in 
office automation equipment.

Retrievability:
    Records are retrieved by manual or computer search of indices 
containing the name of the individual to whom the record pertains.

Safeguards:
    Records are maintained in locked file cabinets or in metal file 
cabinets in secured rooms or premises with access limited to those 
persons whose official duties require access. Computer terminals are 
secured in controlled areas which are locked when unoccupied. Access to 
automated records is limited to authorized personnel who must use a 
password system to gain access.

Retention and disposal:
    Retention and disposal is in accordance with Records Disposition 
Schedule 3, Items 79-1 to 86, Appendix 3, HUD Handbook 2225.6, Rev. 1.

System manager(s) and address:
    Assistant Inspector General, Office of Management and Policy, 
Office of the Inspector General, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room Number 5254, Washington, DC 
20410.

Notification procedure:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will give consideration to a request from an individual 
for notification of whether the system contains records pertaining to 
that individual.

Record access procedures:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will give consideration to a request from an individual 
for access to records pertaining to that individual. The procedures for 
requesting access to records appear in 24 CFR parts 16 and 2003.

Contesting record procedures:
    Records are generally exempt from Privacy Act amendment or 
correction. However, the System Manager will give consideration to a 
request from an individual for amendment or correction of records 
pertaining to that individual. The procedures for requesting amendment 
or correction of records appear in 24 CFR parts 16 and 2003.

Record source categories:
    The OIG collects information from a wide variety of sources, 
including from HUD, law enforcement agencies, program participants, 
subject individuals, complainants, witnesses and other nongovernmental 
sources.

Systems exempted from certain provisions of the act:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules have been promulgated in accordance with the requirements of 5 
U.S.C. 553(b), (c) and (e) and have been published in the Federal 
Register.
HUD/OIG-2

System name:
    Hotline Complaint Files of the Office of Inspector General.

System location:
    HUD OIG Headquarters, Washington, DC.

Categories of individuals covered by the system:
    Individuals covered consist of: (1) HUD program participants and 
HUD employees who are subjects of hotline complaints alleging possible 
violations of law, rules or regulations, mismanagement, gross waste of 
funds, abuse of authority or a substantial and specific danger to the 
public health and safety; and (2) HUD employees and members of the 
general public who are complainants.

Categories of records in the system:
    Records consist of all forms and documentation generated by the 
complaint, including recommended and final disposition of the matter.

Authority for maintenance of the system:
    The Inspector General Act of 1978, 5 U.S.C. App., authorizes the 
Inspector General to conduct, supervise and coordinate activities that 
promote economy and efficiency in the programs and operations of HUD, 
and to receive and investigate complaints concerning possible 
violations of law, rules, or regulations, or mismanagement, gross waste 
of funds, abuse of authority or a substantial and specific danger to 
the public health or safety.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:
    1. In the event that records indicate a violation or potential 
violation of law, whether criminal, civil or regulatory in nature, the 
relevant records may be disclosed to the appropriate Federal, State, or 
local agency charged with the

[[Page 82045]]

responsibility for investigating or prosecuting such violation or 
enforcing or implementing such statute, rule or regulation.
    2. Records may be disclosed to a congressional office in response 
to an inquiry from that congressional office made at the request of the 
individual who is the subject of the records.
    3. Records may be disclosed to HUD contractors, Public Housing 
Authorities or management agents of HUD-assisted housing projects, in 
order to assist such entities in taking or defending actions to recover 
money or property, or take personnel actions based on an OIG 
investigation or audit, where such recovery or personnel action serves 
to promote the integrity of the programs or operations of HUD.
    4. Records may be disclosed during the course of an administrative 
proceeding where HUD is a party to the litigation and the disclosure is 
relevant and reasonably necessary to adjudicate the matter.
    5. Records may be disclosed to any source, either private or 
governmental, to the extent necessary to elicit information relevant to 
an OIG investigation.
    6. Records may be disclosed to appropriate State boards of 
accountancy for possible administrative or disciplinary sanctions such 
as license revocation. These referrals will be made only after the 
independent auditor has been notified that the OIG is contemplating 
disclosure of its findings to an appropriate State board of 
accountancy, and the independent auditor has been provided with an 
opportunity to respond in writing to the OIG's findings.
    7. Records may be disclosed to DOJ for litigation purposes 
associated with the representation of OIG and/or HUD before the courts.
    8. Records may be disclosed to persons engaged in conducting and 
reviewing internal and external peer reviews of OIG to ensure adequate 
internal safeguards and management procedures exist within any office 
that had received law enforcement authorization.
    9. In the event that these records respond to an audit, 
investigation or review, which is conducted pursuant to an authorizing 
law, rule or regulation, and in particular those conducted at the 
request of the PCIE pursuant to Executive Order 12993, the records may 
be disclosed to the PCIE and other Federal agencies, as necessary.
    10. Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department may be disclosed to 
appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and,
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    11. Records may be disclosed to private, State or Federal licensing 
authorities or boards regulating professional services, such as 
appraisers, attorneys, insurers, or mortgage brokers, when the records 
reveal conduct related to activities associated with a HUD program that 
is appropriate for possible administrative or disciplinary sanctions, 
such as license revocation.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored manually in file jackets and electronically in 
office automation equipment.

Retrievability:
    Records are retrieved by manual or computer search of indices 
containing the name, home address, home telephone number, and 
identification number assigned to the individual to whom the record 
pertains.

Safeguards:
    Records are maintained in locked file cabinets or in metal file 
cabinets in secured rooms or premises with access limited to those 
persons whose official duties require access. Computer terminals are 
secured in controlled areas which are locked when unoccupied. Access to 
automated records is limited to authorized personnel who must use a 
password system to gain access.

Retention and disposal:
    Retention and disposal is in accordance with Records Disposition 
Schedule 3, Items 79-1 to 86, Appendix 3, HUD Handbook 2225.6, Rev. 1.

System manager(s) and address:
    Assistant Inspector General, Office of Management and Policy, 
Office of the Inspector General, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room Number 5254, Washington, DC 
20410.

Notification procedure:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will give consideration to a request from an individual 
for notification of whether the system contains records pertaining to 
that individual.

Record access procedures:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will give consideration to a request from an individual 
for access to records pertaining to that individual. The procedures for 
requesting access to records appear in 24 CFR parts 16 and 2003.

Contesting record procedures:
    Records are generally exempt from Privacy Act amendment or 
correction. However, the System Manager will give consideration to a 
request from an individual for amendment or correction of records 
pertaining to that individual. The procedures for requesting amendment 
or correction of records appear in 24 CFR part 16 and 2003.

Record source categories:
    The OIG collects information from a wide variety of sources, 
including from HUD, the General Accounting Office, other Federal 
agencies, program participants, subject individuals, complaints, 
witnesses and other nongovernmental sources.

Systems exempted from certain provisions of the act:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would

[[Page 82046]]

reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules have been promulgated in accordance with the requirements of 5 
U.S.C. 553(b), (c) and (e) and have been published in the Federal 
Register.
HUD/OIG-3

System name:
    Name Indices System of the Office of Inspector General.

System location: HUD OIG, Headquarters, Washington, DC.
Categories of individuals covered by the system:
    Individuals covered consist of HUD program participants and HUD 
employees who have had some significant association with an OIG 
investigation, audit report, or hotline complaint.

Categories of records in the system:
    Records are contained in a computerized central reference system 
and can consist of one or more of the following items: Individual's 
name; alias or associated name; period covered by the audit; date of 
birth; report date; city and State where the individual is located; 
Social Security number or employer identification number; and the date 
the case was closed. This information is cross-referenced to an 
underlying OIG investigation, audit report, hotline complaint file 
number, or a departmental suspension/debarment or Mortgagee Review 
Board action.

Authority for maintenance of the system:
    The Inspector General Act of 1978, 5 U.S.C. Appx., authorizes the 
Inspector General to conduct, supervise and coordinate audits and 
investigations related to the programs and operations of HUD, to engage 
in other activities that promote economy and efficiency in the programs 
and operations of HUD, and to receive and investigate complaints 
concerning possible violations of law, rules, or regulations, or 
mismanagement, gross waste of funds, abuse of authority or a 
substantial and specific danger to the public health or safety.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:
    1. In the event that records indicate a violation or potential 
violation of law, whether criminal, civil or regulatory in nature, the 
relevant records may be disclosed to the appropriate Federal, State, or 
local agency charged with the responsibility for investigating or 
prosecuting such violation or enforcing or implementing such statute, 
rule or regulation.
    2. Records may be disclosed to a congressional office in response 
to an inquiry from that congressional office made at the request of the 
individual who is the subject of the records.
    3. Records may be may be disclosed to HUD contractors, Public 
Housing Authorities or management agents of HUD-assisted housing 
projects, in order to assist such entities in taking or defending 
actions to recover money or property, or take personnel actions based 
on an OIG investigation or audit, where such recovery or personnel 
action serves to promote the integrity of the programs or operations of 
HUD.
    4. Records may be disclosed during the course of an administrative 
proceeding where HUD is a party to the litigation and the disclosure is 
relevant and reasonably necessary to adjudicate the matter.
    5. Records may be disclosed to any source, either private or 
governmental, to the extent necessary to elicit information relevant to 
an OIG investigation.
    6. Records may be disclosed to appropriate State boards of 
accountancy for possible administrative or disciplinary sanctions such 
as license revocation. These referrals will be made only after the 
independent auditor has been notified that the OIG is contemplating 
disclosure of its findings to an appropriate State board of 
accountancy, and the independent auditor has been provided with an 
opportunity to respond in writing to the OIG's findings.
    7. Records may be disclosed to DOJ for litigation purposes 
associated with the representation of OIG and/or HUD before the courts.
    8. Records may be disclosed to persons engaged in conducting and 
reviewing internal and external peer reviews of OIG to ensure adequate 
internal safeguards and management procedures exist within any office 
that had received law enforcement authorization.
    9. In the event that these records respond to an audit, 
investigation or review, which is conducted pursuant to an authorizing 
law, rule or regulation, and in particular those conducted at the 
request of the PCIE pursuant to Executive Order 12993, the records may 
be disclosed to the PCIE and other Federal agencies, as necessary.
    10. Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department may be disclosed to 
appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and,
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    11. Records may be disclosed to private, State or Federal licensing 
authorities or boards regulating professional services, such as 
appraisers, attorneys, insurers, or mortgage brokers, when the records 
reveal conduct related to activities associated with a HUD program that 
is appropriate for possible administrative or disciplinary sanctions, 
such as license revocation.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored manually in file jackets and electronically in 
office automation equipment.

Retrievability:
    Records are retrieved through computer search or manual search by 
the name of the individual to whom the record pertains.

Safeguards:
    Computer terminals are secured in controlled areas which are locked 
when unoccupied. Access to records is limited to authorized personnel 
who must use a password system to gain access.

Retention and disposal:
    Retention and disposal is in accordance with Records Disposition

[[Page 82047]]

Schedule 3 (Administrative Records), Item No. 84, Appendix 3, HUD 
Handbook 2225.3 Rev. 1.

System manager(s) and address:
    Assistant Inspector General, Office of Management and Policy, 
Office of the Inspector General, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room Number 5254, Washington, DC 
20410.

Notification procedure:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will give consideration to a request from an individual 
for notification of whether the system contains records pertaining to 
that individual.

Record access procedures:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will give consideration to a request from an individual 
for access to records pertaining to that individual. The procedures for 
requesting access to records appear in 24 CFR part 16 and 2003.

Contesting record procedures:
    Records are generally exempt from Privacy Act amendment or 
correction. However, the System Manager will give consideration to a 
request from an individual for amendment or correction of records 
pertaining to that individual. The procedures for requesting amendment 
or correction of records appear in 24 CFR part 16 and 2003.

Record source categories:
    The OIG collects information from a wide variety of sources, 
including from HUD, the General Accounting Office, other Federal 
agencies, program participants, subject individuals, complainants, 
witnesses and other nongovernmental sources.

Systems exempted from certain provisions of the act:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled for law 
enforcement purposes, has been exempted from the requirements of 
subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled for the 
purpose of determining suitability, eligibility, or qualifications for 
Federal civilian employment or Federal contracts, the release of which 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, has been exempted from the requirements of 
subsection (d)(1) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). 
Rules promulgated in accordance with the requirements of 5 U.S.C. 
553(b), (c) and (e) and have been published in the Federal Register.
HUD/OIG-4

System name:
    Independent Auditor Monitoring Files of the Office of Inspector 
General.

System location:
    HUD OIG Headquarters, Cherry Hill, New Jersey.

Categories of individuals covered by the system:
    Individuals covered are non-Federal independent auditors who have 
conducted audits of recipients of Federal funds received under HUD's 
programs. An independent auditor is: (a) A licensed certified public 
accountant or a person working for a licensed certified public 
accounting firm, or (b) a public accountant licensed on or before 
December 31, 1970, or a person working for a public accounting firm 
licensed on or before December 31, 1970.

Categories of records in the system:
    Records consist of materials generated in connection with quality 
control reviews of the working papers of independent auditors, 
including standardized checklists for evaluating an independent 
auditor's work performance.

Authority for maintenance of the system:
    The Inspector General Act of 1978, 5 U.S.C. App., requires the 
Inspector General to assure that any work performed by non-Federal 
auditors complies with the auditing standards established by the 
Comptroller General of the United States for audits of Federal 
establishments, organizations, programs, activities and functions.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:
    1. In the event that records indicate a violation or potential 
violation of law, whether criminal, civil or regulatory in nature, the 
relevant records may be disclosed to the appropriate Federal, State or 
local agency charged with the responsibility for investigating or 
prosecuting such violation or enforcing or implementing such statute, 
rule or regulation.
    2. Records may be disclosed to a congressional office in response 
to an inquiry from that congressional office made at the request of the 
individual who is the subject of the records.
    3. Records may be disclosed to HUD contractors, Public Housing 
Authorities or management agents of HUD-assisted housing projects, in 
order to assist such entities in taking or defending actions to recover 
money or property, or take personnel actions based on an OIG 
investigation or audit, where such recovery or personnel action serves 
to promote the integrity of the programs or operations of HUD.
    4. Records may be disclosed during the course of an administrative 
proceeding where HUD is a party to the litigation and the disclosure is 
relevant and reasonably necessary to adjudicate the matter.
    5. Records may be disclosed to any source, either private or 
governmental, to the extent necessary to elicit information relevant to 
an OIG investigation.
    6. Records may be disclosed to appropriate State boards of 
accountancy for possible administrative or disciplinary sanctions such 
as license revocation. These referrals will be made only after the 
independent auditor has been notified that the OIG is contemplating 
disclosure of its findings to an appropriate State board of 
accountancy, and the independent auditor has been provided with an 
opportunity to respond in writing to the OIG's findings.
    7. Records may be disclosed to DOJ for litigation purposes 
associated with the representation of OIG and/or HUD before the courts.
    8. Records may be disclosed to persons engaged in conducting and 
reviewing internal and external peer reviews of OIG to ensure adequate 
internal safeguards and management procedures exist within any office 
that had received law enforcement authorization.
    9. In the event that these records respond to an audit, 
investigation or review, which is conducted pursuant to an authorizing 
law, rule or regulation, and in particular those conducted at the 
request of the PCIE pursuant to Executive Order 12993, the records may

[[Page 82048]]

be disclosed to the PCIE and other Federal agencies, as necessary.
    10. Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department may be disclosed to 
appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and,
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored manually in file jackets and electronically in 
office automation equipment.

Retrievability:
    Records are retrieved by manual or computer search of indices 
containing the name of the individual to whom the record pertains.

Safeguards:
    Records are maintained in locked file cabinets or in metal file 
cabinets in secured rooms or premises with access limited to those 
persons whose official duties require access. Computer terminals are 
secured in controlled areas which are locked when unoccupied. Access to 
automated records is limited to authorized personnel who must use a 
password system to gain access.

Retention and disposal:
    Retention and disposal is in accordance with Records Disposition 
Schedule 3, Items 79-1 to 86, Appendix 3, HUD Handbook 2225.6, Rev. 1.

System manager(s) and address:
    Assistant Inspector General, Office of Management and Policy, 
Office of the Inspector General, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room Number 5254, Washington, DC 
20410.

Notification procedure:
    The System Manager will accept inquiries from an individual seeking 
notification of whether the system contains records pertaining to that 
individual.

Record access procedures:
    The procedures for requesting access to records appear in 24 CFR 
parts 16 and 2003.

Contesting record procedures:
    The procedures for requesting amendment or correction of records 
appear in 24 CFR parts 16 and 2003.

Record source categories:
    The OIG collects information from the subject independent auditor, 
HUD, auditees, program participants, complainants and other 
nongovernment sources.

Systems exempted from certain provisions of the act:
    None.
HUD/OIG-5

System name:
    Auto Audit of the Office of Inspector General.

System location:
    HUD OIG Headquarters, Washington, DC, District Offices, and Field 
Offices (Boston, MA; New York City, NY; Philadelphia, PA; Atlanta, GA; 
Tampa, FL; New Orleans, LA; Kansas City, KS; Chicago, IL; Fort Worth, 
TX; Los Angeles, CA; Seattle, WA.)

Categories of individuals covered by the system:
    Individuals covered consist of: (1) HUD program participants and 
HUD employees who are associated with an activity that OIG is auditing 
or reviewing; (2) requesters of an OIG audit or other activity; and (3) 
persons and entities performing some other role of significance to the 
OIG's efforts, such as relatives or business associates of HUD program 
participants or employees, potential witnesses, or persons who 
represent legal entities that are connected to an OIG audit or other 
activity. The system also tracks information pertaining to OIG staff 
handling the audit or other activity, and may contain contact names for 
relevant staff in other agencies.

Categories of records in the system:
    Records consist of materials compiled and/or generated in 
connection with audits and other activities performed by OIG staff. 
These materials include information regarding the planning, conduct and 
resolution of audits and reviews of HUD programs and participants in 
those programs, internal legal assistance requests, information 
requests, responses to such requests, reports of findings, etc.

Authority for maintenance of the system:
    The Inspector General Act of 1978 (5 U.S.C. App. 3) authorizes the 
Inspector General to conduct, supervise and coordinate audits and 
investigations relating to the programs and operations of HUD, to 
engage in other activities that promote economy and efficiency in the 
programs and operations of HUD, and to receive and investigate 
complaints concerning possible violations of law, rules, or 
regulations, or mismanagement, gross waste of funds, abuse of 
authority, or a substantial or specific danger to the public health or 
safety.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:
    1. In the event that records indicate a violation or potential 
violation of law, whether criminal, civil or regulatory in nature, the 
relevant records may be disclosed to the appropriate Federal, State, or 
local agency charged with the responsibility for investigating or 
prosecuting such violation or enforcing or implementing such statute, 
rule or regulation.
    2. Records may be disclosed to a congressional office in response 
to an inquiry from that congressional office made at the request of the 
individual who is the subject of the records.
    3. Records may be disclosed to HUD contractors, Public Housing 
Authorities or management agents of HUD-assisted housing projects, in 
order to assist such entities in taking or defending actions to recover 
money or property, or take personnel actions based on an OIG 
investigation or audit, where such recovery or personnel action serves 
to promote the integrity of the programs or operations of HUD.
    4. Records may be disclosed during the course of an administrative 
proceeding where HUD is a party to the litigation and the disclosure is 
relevant and reasonably necessary to adjudicate the matter.
    5. Records may be disclosed to any source, either private or 
governmental,

[[Page 82049]]

to the extent necessary to elicit information relevant to an OIG 
investigation.
    6. Records may be disclosed to appropriate State boards of 
accountancy for possible administrative or disciplinary sanctions such 
as license revocation. These referrals will be made only after the 
independent auditor has been notified that the OIG is contemplating 
disclosure of its findings to an appropriate State board of 
accountancy, and the independent auditor has been provided with an 
opportunity to respond in writing to the OIG's findings.
    7. Records may be disclosed to DOJ for litigation purposes 
associated with the representation of OIG and/or HUD before the courts.
    8. Records may be disclosed to persons engaged in conducting and 
reviewing internal and external peer reviews of OIG to ensure auditing 
standards applicable to Government audits by the Comptroller General of 
the United States are applied and followed.
    9. In the event that these records respond to an audit, 
investigation or review, which is conducted pursuant to an authorizing 
law, rule or regulation, and in particular those conducted at the 
request of the PCIE pursuant to Executive Order 12993, the records may 
be disclosed to the PCIE and other Federal agencies, as necessary.
    10. Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department may be disclosed to 
appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and,
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    11. Records may be disclosed to private, State or Federal licensing 
authorities or boards regulating professional services, such as 
appraisers, attorneys, insurers, or mortgage brokers, when the records 
reveal conduct related to activities associated with a HUD program that 
is appropriate for possible administrative or disciplinary sanctions, 
such as license revocation.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored electronically in office automation equipment 
and manually in file jackets.

Retrievability:
    Records are retrieved by computer search of the Auto Audit 
software, and/or by reference to a particular file number.

Safeguards:
    Records are maintained in a secure computer network, and in locked 
file cabinets or in metal file cabinets in rooms with controlled 
access.

Retention and disposal:
    Retention and disposal is in accordance with (1) Records 
Disposition Schedule 3 (Administrative Records), Item Nos. 79-1 to 86, 
Appendix 3, HUD Handbook 2225.6 Rev 1; and (2) General Records 
Schedules, Appendix 22 (Inspector General Records), HUD Handbook 2228.2 
Rev. 4.

System manager(s) and address:
    Assistant Inspector General for Audit, Office of Management and 
Policy, Office of the Inspector General, Department of Housing and 
Urban Development, 451 Seventh Street, SW., Room Number 5254, 
Washington, DC 20410.

Notification procedure:
    The System Manager will accept inquiries from individuals seeking 
notification of whether the system contains records pertaining to them.

Record access procedures:
    The procedures for requesting access to records appear in 24 CFR 
parts 16 and 2003.

Contesting record procedures:
    The procedures for requesting amendment or correction of records 
appear in 24 CFR parts 16 and 2003.

Record source categories:
    The OIG collects information from a wide variety of sources, 
including from HUD, other Federal agencies, the General Accounting 
Office (GAO), law enforcement agencies, program participants, subject 
individuals, complainants, witnesses and other non-governmental 
sources.

Exemptions from certain provisions of the act:
    None.
HUD/OIG-6

System name:
    Auto Investigation and Case Management Information Subsystem (AI/
CMISS).

System location:
    HUD OIG Headquarters, Washington, DC (Boston, MA; New York City, 
NY; Philadelphia, PA; Baltimore, MD; Atlanta, GA; Tampa, FL; New 
Orleans, LA; Kansas City, KS; Chicago, IL; Cleveland, OH; Fort Worth, 
TX; Los Angeles, CA; Seattle, WA.)

Categories of individuals covered by the system:
    Individuals covered consist of: (1) HUD program participants and 
HUD employees who are associated with an activity that OIG is 
investigating or evaluating; (2) requesters of an OIG investigative or 
other activity; and (3) persons and entities performing some other role 
of significance to the OIG's efforts, such as relatives or business 
associates of HUD program participants or employees, potential 
witnesses, or persons who represent legal entities that are connected 
to an OIG investigation or other activity. The system also tracks 
information pertaining to OIG staff handling the investigation or other 
activity, and may contain contact names for relevant staff in other 
agencies.

Categories of records in the system:
    Records consist of investigatory material compiled and/or generated 
for law enforcement purposes in connection with investigations and 
other activities performed by OIG staff. These materials include 
information regarding the planning, conduct and prosecution of 
investigations of HUD program participants and employees, legal 
assistance requests, information requests, responses to such requests, 
reports of investigations, etc. Data resources include the individual's 
name, Social Security Number, date of birth, home address, home 
telephone number, personal e-mail address, Employee Identification 
Number, Tax Identification, Driver License Number and name, passport 
information, State Identification, Narcotics and Dangerous Drugs 
Information System, Federal Bureau Investigation Number; Race/
ethnicity, Gender, Employment History, Education, Income, and Financial 
information.

Authority for maintenance of the system:
    The Inspector General Act of 1978 authorizes the Inspector General 
to

[[Page 82050]]

conduct, supervise and coordinate audits and investigations relating to 
the programs and operations of HUD, to engage in other activities that 
promote economy and efficiency in the programs and operations of HUD, 
and to receive and investigate complaints concerning possible 
violations of law, rules, or regulations, or mismanagement, gross waste 
of funds, abuse of authority, or a substantial or specific danger to 
the public health or safety.

Purposes:
    AI/CMISS provides HUD OIG Investigations with an automated system 
which manages cases under investigation from their inception to their 
closing through a centralized data repository of case information. AI/
CMISS and its environment is a secure environment where access to 
information is controlled through a formal process of checks and 
authorizations involving a hierarchical supervisory structure. Special 
Agents in Charge (SAC), Assistant Special Agents in Charge (ASAC), 
Supervisory Forensic Auditors (SFA), Forensic Auditors (FA), Special 
Agents (SA) and support staff, document all steps in their assigned 
activities. Additionally, due to judicial involvement in some of the 
cases, the files kept and maintained by HUD OIG may be made available 
to the courts under discovery. AI/CMISS provides data that is currently 
available through the intranet to the investigators and auditors. This 
provides a method for remote HUD OIG users and traveling employees to 
access the AI/CMISS systems from their laptops regardless of whether or 
not they are located within a HUD OIG office. Both Systems support the 
HUD OIG requirement to maintain a detailed audit trail of cases to 
closure. This requires a system, which will be capable of capturing and 
maintaining data integrity during the complete case cycle while 
ensuring data privacy and confidentiality.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:
    1. In the event that records indicate a violation or potential 
violation of law, whether criminal, civil or regulatory in nature, the 
relevant records may be disclosed to the appropriate Federal, State, or 
local agency charged with the responsibility for investigating or 
prosecuting such violation or enforcing or implementing such statute, 
rule, or regulation.
    2. Records may be disclosed to a congressional office in response 
to an inquiry from that congressional office made at the request of the 
individual who is the subject of the records.
    3. Records may be disclosed to HUD contractors, Public Housing 
Authorities or management agents of HUD-assisted housing projects, in 
order to assist such entities in taking or defending actions to recover 
money or property, or take personnel actions based on an OIG 
investigation or audit, where such recovery or personnel action serves 
to promote the integrity of the programs or operations of HUD.
    4. Records may be disclosed during the course of an administrative 
proceeding where HUD is a party to the litigation and the disclosure is 
relevant and reasonably necessary to adjudicate the matter.
    5. Records may be disclosed to any source, either private or 
governmental, to the extent necessary to elicit information relevant to 
an OIG investigation.
    6. Records may be disclosed to appropriate State boards of 
accountancy for possible administrative or disciplinary sanctions such 
as license revocation. These referrals will be made only after the 
independent auditor has been notified that the OIG is contemplating 
disclosure of its findings to an appropriate State board of 
accountancy, and the independent auditor has been provided it an 
opportunity to respond in writing to the OIG's findings.
    7. Records may be disclosed to DOJ for litigation purposes 
associated with the representation of OIG and/or HUD before the courts.
    8. Records may be disclosed to persons engaged in conducting and 
reviewing internal and external peer reviews of OIG to ensure adequate 
internal safeguards and management procedures exist within any office 
that had received law enforcement authorization.
    9. In the event that these records respond to an audit, 
investigation or review, which is conducted pursuant to an authorizing 
law, rule or regulation, and in particular those conducted at the 
request of the PCIE pursuant to Executive Order 12993, the records may 
be disclosed to the PCIE and other Federal agencies, as necessary.
    10. Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department may be disclosed to 
appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and,
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
    11. Records may be disclosed to private, State or Federal licensing 
authorities or boards regulating professional services, such as 
appraisers, attorneys, insurers, or mortgage brokers, when the records 
reveal conduct related to activities associated with a HUD program that 
is appropriate for possible administrative or disciplinary sanctions, 
such as license revocation.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored electronically in office automation equipment 
and manually in file jackets.

Retrievability:
    Records are retrieved by computer search of the Auto Investigation 
or CMISS software by reference to individual's name, Social Security 
Number, Employee Identification Number, Tax Identification, Driver 
License Number and name, passport information, State Identification, 
Narcotics and Dangerous Drugs Information System, or Federal Bureau 
Investigation Number, and/or by reference to a particular file number.

Safeguards:
    Records are maintained in a secure computer network, and in locked 
file cabinets or in metal file cabinets in rooms with controlled 
access.

Retention and disposal:
    Retention and disposal is in accordance with (1) Records 
Disposition Schedule 3 (Administrative Records), Item Nos. 79-1 to 86, 
Appendix 3, HUD

[[Page 82051]]

Handbook 2225.6 Rev. 1; and (2) General Records Schedules, Appendix 22 
(Inspector General Records), HUD Handbook 2228.2 Rev. 4.

System manager(s) and address:
    Assistant Inspector General for Investigation, Office of the 
Inspector General, Department of Housing and Urban Development, 451 
Seventh Street, SW., Washington, DC 20410.

Notification procedure:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will accept and give consideration to a request from an 
individual for notification of whether the system contains records 
pertaining to that individual.

Record access procedures:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will accept and give consideration to a request from an 
individual for access to records pertaining to that individual. The 
procedures for requesting access to records appear in 24 CFR parts 16 
and 2003.

Contesting record procedures:
    Records are generally exempt from Privacy Act amendment or 
correction. However, the System Manager will accept and give 
consideration to a request from an individual for amendment or 
correction of records pertaining to that individual that are indexed 
and retrieved by reference to that individual's name and/or social 
security number. The procedures for requesting amendment or correction 
of records appear in 24 CFR parts 16 and 2003.

Record source categories:
    The OIG collects information from a wide variety of sources, 
including from HUD, other Federal agencies, GAO, law enforcement 
agencies, program participants, subject individuals, complainants, 
witnesses and other non-governmental sources.

Exemptions from certain provisions of the act:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled or generated 
for law enforcement purposes, has been exempted from the requirements 
of subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled or 
generated for the purpose of determining suitability, eligibility, or 
qualifications for Federal civilian employment or Federal contracts, 
the release of which would reveal the identity of a source who 
furnished information to the government under an express promise that 
the identity of the source would be held in confidence, has been 
exempted from the requirements of subsection (d)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in 
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and 
have been published in the Federal Register.
HUD/OIG-7

System Name:
    OIG Giglio Information Files.

System Location:
    The offices of Special Agents in Charge and Regional Inspectors 
General for Audit nationwide and the office of the Deputy Assistant 
Inspector General for Investigations and Deputy Assistant Inspector 
General for Audit, all identified as Giglio Officials in the OIG Giglio 
Policy (Boston, MA; New York City, NY; Philadelphia, PA; Baltimore, MD; 
Atlanta, GA; Tampa, FL; New Orleans, LA; Kansas City, KS; Chicago, IL; 
Cleveland, OH; Fort Worth, TX; Los Angeles, CA; Seattle, WA.).

Categories of Individuals Covered by the System:
    Individuals who may serve as affiants or testify as witnesses in 
criminal proceedings brought by the U.S. Department of Justice. All OIG 
employees are potential witnesses or affiants in Federal criminal 
prosecutions brought in connection with the work of OIG. Categories of 
Records in the System: This system contains potential witness 
impeachment information including records of disciplinary actions. 
Records will include, but are not limited to: (a) Specific instances of 
witness conduct that may be used for the purpose of attacking the 
witness' credibility or character for truthfulness; (b) evidence in the 
form of opinion as to a witness' character or reputation for 
truthfulness; (c) prior inconsistent statements; and (d) information 
that may be used to suggest that a witness is biased. The system may 
also contain any judicial rulings, related pleadings, correspondence, 
or memoranda pertaining to a relevant criminal case.

Authority for Maintenance of the System:
    The Inspector General Act of 1978 (5 U.S.C. App. 3) authorizes the 
Inspector General to conduct, supervise and coordinate audits and 
investigations relating to the programs and operations of HUD, and to 
receive and investigate complaints concerning possible violations of 
law, rules, or regulations, or mismanagement, gross waste of funds, 
abuse of authority, or a substantial or specific danger to the public 
health or safety. These activities can require OIG employees to testify 
in Federal criminal prosecution.

Purpose of the System:
    This system has been established to enable OIG Giglio Officials 
(Special Agents in Charge and Regional Inspectors General for Audit 
nationwide and the office of the Deputy Assistant Inspector General for 
Investigations and Deputy Assistant Inspector General for Audit) to 
maintain and disclose records of potential impeachment information on 
OIG employees who are expected to testify in criminal cases as required 
by the case law following Giglio. It permits the OIG Giglio Officals to 
acquire, maintain, and disclose for law enforcement purposes, records 
relating to impeachment information on OIG employees. It permits the 
OIG offices identified above to obtain information from Federal and 
State agencies and personnel records and to maintain and disclose for 
law enforcement purposes records of impeachment information that is 
material to the defense of Federal criminal prosecutions. Primary users 
of this system will be OIG Giglio Officials, who are the regional 
Special Agents in Charge and Regional Inspectors General for Audit 
nationwide and the office of the Deputy Assistant Inspector General for 
Investigations and Deputy Assistant Inspector General for Audit. 
Secondary users will be Requesting Officials within the Department of 
Justice, who are senior officials serving as the points of contact 
concerning potential impeachment information within each of the United 
States Attorneys' offices, and Assistant United States Attorneys who 
are prosecuting cases and have an obligation to disclose impeachment 
material under the Giglio decision.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 
subsection (b) of the Privacy Act of 1974, 5 U.S.C. 552a(b), records 
may also be disclosed routinely to other users under the following 
circumstances:

[[Page 82052]]

    A record maintained in this system of records may be disseminated 
as a routine use of such record as follows:
    (a) Upon request by a Requesting Official within the Department of 
Justice or a United States Attorney's office, to the Requesting 
Official, as defined in the United States Attorney's Manual, Title 9, 
paragraph 5.100, for the United States Attorney for each district (see 
Appendix USA-999 or EOUSA Internet addresses at http://www.usdoj.gov/eousa) to be used in accordance with that policy.
    (b) A record will be provided to a court and/or defense attorney in 
satisfaction of the prosecuting attorneys' obligations under the Giglio 
decision and the case law following that decision.
    (c) To the Department of Justice (including United States Attorney 
Offices) or other Federal agency conducting litigation or in 
proceedings before any court, adjudicative or administrative body when 
it is necessary to the litigation and one of the following is a party 
to the litigation or has an interest in such litigation:
    1. HUD or HUD OIG or any component of either;
    2. Any employee of OIG in his/her official capacity;
    3. Any employee of OIG in his/her individual capacity where the 
Department of Justice has agreed to represent the employee; or
    4. The United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and HUD OIG 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is compatible with the purpose 
for which OIG collected the records.
    (d) In any case in which there is an indication of a violation or 
potential violation of law, criminal or regulatory in nature, the 
record in question may be disseminated to the appropriate Federal, 
State, local, or foreign agency charged with the responsibility for 
investigating or prosecuting such violation or charged with enforcing 
or implementing the law;
    (e) In the course of investigating any potential or actual 
violation of any law, criminal, civil, or regulatory in nature, or 
during the course of a trial or hearing or the preparation for a trial 
or hearing for such violation, a record may be disseminated to a 
Federal, State, local, or foreign agency, or to an individual or 
organization, if there is reason to believe that such agency, 
individual, or organization possesses information relating to the 
investigation, trial, or hearing and the dissemination is reasonably 
necessary to elicit such information or to obtain the cooperation of a 
witness or an informant;
    (f) A record relating to a case or matter may be disseminated in an 
appropriate Federal, State, local, or foreign court or grand jury 
proceeding in accordance with established constitutional, substantive, 
or procedural law or practice;
    (g) Subject to the limitations of 28 CFR 50.2, regarding the 
release of information during the pendency of criminal trials, and 
after a determination that release of the specific record in the 
context of a particular case would not constitute an unwarranted 
invasion of personal privacy, a record may be disseminated to the news 
media and public;
    (h) Records not otherwise required to be released pursuant to 5 
U.S.C. 552a may be made available to a Member of Congress or staff 
acting upon the Member's behalf when the Member or staff requests 
information on behalf of and at the request of the individual who is 
the subject of the record;
    (i) A record may be disclosed as a routine use to the National 
Archives and Records Administration (NARA) and to the General Services 
Administration (GSA) in records management inspections conducted under 
the authority of 44 U.S.C. 2904 and 2906.
    (j) Additional Disclosure for Purposes of Facilitating Responses 
and Remediation Efforts in the Event of a Data Breach. A record from a 
system of records maintained by this Department may be disclosed to 
appropriate agencies, entities, and persons when:
    a. The Department suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    b. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by the Department 
or another agency or entity) that rely upon the compromised 
information; and,
    c. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the Department's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Generally, all records are recorded on basic paper/cardboard 
material and stored in file folders in file cabinets. Some Giglio 
Officials may maintain the records in electronic format available 
through the Giglio Official's computer terminal.

Retrievability:
    Records are retrieved primarily by the name of the prospective 
witness. Identify the other means for retrieving records from the 
system. A record within this system of records may be accessed by the 
Giglio Official and provided to the Requesting Official.

Safeguards:
    Records in the system are confidential and are located in file 
cabinets in the offices of the Special Agents in Charge or Deputy 
Assistant Inspector General for Investigations. Offices are locked 
during non-working hours and are secured by either the Federal 
Protective Service or in a private building with controlled access. The 
ability to access electronically is restricted to those who have a 
valid ID and password. Authorized access is limited to those with a 
need-to-know and for the appropriate functions.

Retention and disposal:
    Records are to be retained and disposed of in accordance with 
agency retention plans is in accordance with Records Disposition 
Schedule 3, Items 79-1 to 86, Appendix 3, HUD Handbook 2225.6, Rev. 1, 
and the OIG Giglio Policy, which states ``Upon transfer or reassignment 
of the employee within OIG, the Giglio file will be forwarded to the 
Giglio Official at the employee's new duty station. Upon retirement, 
resignation, or transfer, the employee's Giglio file will be destroyed 
and anyone with a copy of the file will be informed to destroy their 
file on the employee.''

System manager(s) and address:
    System Manager for the system in each office is the OIG Giglio 
Official, defined in the OIG Giglio Policy as the Special Agent in 
Charge for each region and the Deputy Assistant Inspector General for 
Investigations. Point of Contact is the Assistant Inspector General for 
Investigation, Office of the Inspector General, Department of Housing 
and Urban Development, 451 Seventh Street, SW., Washington, DC 20410.

[[Page 82053]]

Notification procedures:
    Records are generally exempt from Privacy Act access. However, the 
System Manager will accept and give consideration to a request from an 
individual for notification of whether the system contains records 
pertaining to that individual. Address inquiries to the System Managers 
listed above.

Record Access Procedures:
    Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this record system has 
been exempted from the access provisions in 5 U.S.C. 552a(d). However, 
the System Manager will accept and give consideration to a request from 
an individual for access to records pertaining to that individual that 
are indexed and retrieved by reference to that individual's name and/or 
social security number. The procedures for requesting access to records 
appear in 24 CFR parts 16 and 2003.

Contesting Records Procedure:
    Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this record system has 
been exempted from the record contesting provisions in 5 U.S.C. 
552a(d)(3)-(4). However, the System Manager will accept and give 
consideration to a request from an individual for amendment or 
correction of records pertaining to that individual that are indexed 
and retrieved by reference to that individual's name and/or social 
security number. The procedures for requesting amendment or correction 
of records appear in 24 CFR part 16 and 2003.

Records Source Categories:
    Sources of records contained in this system include, but are not 
limited to, reports of Federal, State and local law enforcement 
agencies; official personnel files, reports by investigative agencies; 
data, memoranda and reports from the Court and agencies; and pleadings 
and other documents relevant to the court proceedings in particular 
cases. The OIG collects information from a wide variety of sources, 
including other Federal agencies, law enforcement agencies, program 
participants, subject individuals, complainants, witnesses and other 
non-governmental sources.

System Exempted From Certain Provision of the Act:
    This system of records, to the extent that it consists of 
information compiled for the purpose of criminal investigations, has 
been exempted from the requirements of subsections (c)(3), (d)(1), 
(d)(2), (e)(1), (e)(2) and (e)(3) of the Privacy Act pursuant to 5 
U.S.C. 552a(j)(2). In addition, this system of records, to the extent 
that it consists of other investigatory material compiled or generated 
for law enforcement purposes, has been exempted from the requirements 
of subsections (c)(3), (d)(1), (d)(2) and (e)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(2). Finally, this system of records, to 
the extent that it consists of investigatory material compiled or 
generated for the purpose of determining suitability, eligibility, or 
qualifications for Federal civilian employment or Federal contracts, 
the release of which would reveal the identity of a source who 
furnished information to the government under an express promise that 
the identity of the source would be held in confidence, has been 
exempted from the requirements of subsection (d)(1) of the Privacy Act 
pursuant to 5 U.S.C. 552a(k)(5). Rules have been promulgated in 
accordance with the requirements of 5 U.S.C. 553(b), (c) and (e) and 
have been published in the Federal Register.

[FR Doc. 2010-32769 Filed 12-28-10; 8:45 am]
BILLING CODE 4210-67-P