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, 82042-82053 [2010-32769]
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Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Notices
7250, 451 7th Street, Washington, DC
20410–7000. For telephone
communication, contact Jerimiah
Sanders, Environmental Review
Division, 202–402–4571 or e-mail:
Jerimiah.J.Sanders@hud.gov. This is not
a toll-free number. Hearing or speechimpaired individuals may access this
number via TTY by calling the toll-free
Federal Information Relay Service at
1–800–877–8339.
SUPPLEMENTARY INFORMATION: The
Department will submit the proposed
information collection to OMB for
review, as required by the Paperwork
Reduction Act of 1995 (44 U.S.C.
chapter 35, as amended).
This Notice is soliciting comments
from members of the public and affected
agencies concerning the proposed
collection of information to: (1) Evaluate
whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(2) Evaluate the accuracy of the agency’s
estimate of the burden of the proposed
collection of information; (3) Enhance
the quality, utility, and clarity of the
information to be collected; and (4)
Minimize the burden of the collection of
information on those who are to
respond; including through the use of
appropriate automated collection
techniques or other forms of information
technology, e.g., permitting electronic
submission of responses.
This Notice also lists the following
information:
Title of Proposal: Floodplain
Management and Protection of
Wetlands.
OMB Control Number: ####–####.
Description of the need for the
information and proposed use: The
purpose of this information collection is
to document regulatory compliance
with Executive Order 11988,
‘‘Floodplain Management,’’ and
Executive Order 11990, ‘‘Protection of
Wetlands.’’ Each respondent that
proposes to use HUD assistance to
benefit a property located within a
floodplain or wetland must establish
and maintain sufficient records to
enable the Secretary of HUD to
determine whether the floodplain
management requirements of 24 CFR
part 55, especially subpart C, and the
protection of wetlands requirements of
Executive Order 11990 have been met.
The record, together with other
environmental compliances that a
proposed project may require under the
National Environmental Policy Act and
related laws, will serve to obtain the
approval of an application under 24
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CFR part 50 or will allow the use of
grant funds or assistance already
awarded under 24 CFR part 58.
Agency form numbers, if applicable:
Not applicable.
Members of affected public: Primary:
Local, State, or Tribal Governments.
Others: Public housing agencies, and
private non- and for-profit entities.
Estimation of the total numbers of
hours needed to prepare the information
collection including number of
respondents, frequency of response, and
hours of response: Annual reporting and
recordkeeping hour burden estimate is a
total of 2,700 hours. Estimates are 300
respondents, 1 frequency, and 9 hours
of response. Total of 300 hours is
estimated for notification of floodplain
hazard (regulatory reference is Sec.
55.21). Total of 2,400 hours is estimated
for documentation of compliance with
Sec. 55.20 (regulatory reference is Sec.
55.27).
Status of the proposed information
collection: Extension of a currently
approved collection.
Authority: The Paperwork Reduction Act
of 1995, 44 U.S.C. Chapter 35, as amended.
Dated: December 22, 2010.
Clifford Taffet,
General Deputy Assistant Secretary for
Community Planning and Development.
[FR Doc. 2010–32788 Filed 12–28–10; 8:45 am]
BILLING CODE 4210–67–P
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
Office of the Chief Information
Office, HUD.
ACTION: Notification of Consolidation,
Update, Deletion, and Implementation
of Privacy Act Systems of Records.
AGENCY:
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
SUMMARY:
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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
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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 30day 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
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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
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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
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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.
SYSTEM MANAGER(S) AND ADDRESS:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
RECORD SOURCE CATEGORIES:
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.
Records are stored manually in file
jackets and electronically in office
automation equipment.
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.
RETRIEVABILITY:
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
STORAGE:
Records are retrieved by manual or
computer search of indices containing
the name of the individual to whom the
record pertains.
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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.
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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
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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
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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
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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.
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82045
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
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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.
srobinson on DSKHWCL6B1PROD with NOTICES
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.
VerDate Mar<15>2010
02:10 Dec 29, 2010
Jkt 223001
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,
PO 00000
Frm 00082
Fmt 4703
Sfmt 4703
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
E:\FR\FM\29DEN1.SGM
29DEN1
Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Notices
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.
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.
srobinson on DSKHWCL6B1PROD with NOTICES
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
02:10 Dec 29, 2010
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:
RECORD SOURCE CATEGORIES:
VerDate Mar<15>2010
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.
Jkt 223001
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:
PO 00000
Frm 00083
Fmt 4703
Sfmt 4703
82047
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
E:\FR\FM\29DEN1.SGM
29DEN1
82048
Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Notices
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.
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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:
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
Auto Audit of the Office of Inspector
General.
STORAGE:
SYSTEM LOCATION:
Records are stored manually in file
jackets and electronically in office
automation equipment.
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.)
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.
srobinson on DSKHWCL6B1PROD with NOTICES
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
VerDate Mar<15>2010
02:10 Dec 29, 2010
Jkt 223001
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
PO 00000
Frm 00084
Fmt 4703
Sfmt 4703
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.
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,
E:\FR\FM\29DEN1.SGM
29DEN1
srobinson on DSKHWCL6B1PROD with NOTICES
Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Notices
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
VerDate Mar<15>2010
02:10 Dec 29, 2010
Jkt 223001
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 nongovernmental sources.
PO 00000
Frm 00085
Fmt 4703
Sfmt 4703
82049
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
E:\FR\FM\29DEN1.SGM
29DEN1
82050
Federal Register / Vol. 75, No. 249 / Wednesday, December 29, 2010 / Notices
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.
srobinson on DSKHWCL6B1PROD with NOTICES
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
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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
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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
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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 nongovernmental sources.
srobinson on DSKHWCL6B1PROD with NOTICES
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
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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.
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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:
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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 https://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
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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.
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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.
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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.
srobinson on DSKHWCL6B1PROD with NOTICES
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
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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
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
[Docket No. FR–5386–N–15]
Notification of a New Privacy Act
System of Records, Effort to
Outcomes—Case Management System
for the Disaster Housing Assistance
Program (DHAP–IKE)
Office of the Chief Information
Officer, HUD.
ACTION: Notification of a New Privacy
Act System of Records.
AGENCY:
HUD proposes to create a new
Privacy Act System of Records as
required under the Privacy Act
(5 U.S.C. 552a), as amended. The new
records system is the Efforts to
Outcomes (ETO) system, which contains
the data on families transferred to HUD
by the Federal Emergency Management
Agency (FEMA) for participation in
HUD’s DHAP-Ike . Pursuant to FEMA
these families are deemed eligible to
receive rental housing assistance and
on-going case management services, due
to the catastrophic damage caused by
Hurricanes Gustav or Ike . The purpose
of the ETO application is to capture and
monitor pertinent data relating to family
self-sufficiency, permanent housing
status, service needs, and to facilitate
on-going tracking and management of
these services, leading to greater selfsufficiency for participants when the
DHAP-Ike ends.
SUMMARY:
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82053
Effective Date: The Effective date
shall begin January 28, 2011 or 40 days
from the date the report of the new
records system is submitted to OMB and
Congress.
Comments Due Date: January 28,
2011.
DATES:
Interested persons are
invited to submit comments regarding
this notice to the Rules Docket Clerk,
Office of General Counsel, Department
of Housing and Urban Development,
451 Seventh Street, SW., Room 10276,
Washington, DC 20410–0500.
Communications should refer to the
above docket number and title. A copy
of each communication submitted will
be available for public inspection and
copying between 8 a.m. and 5 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.
(This is not a toll-free number.) A
telecommunication device for hearingand speech-impaired individuals (TTY)
is available at (800) 877–8339 (Federal
Information Relay Service).
SUPPLEMENTARY INFORMATION: Pursuant
to the Privacy Act of 1974 (5 U.S.C.
552a), as amended, notice is given that
HUD proposes to establish a new system
of records, the Efforts to Outcome
System. Title 5 U.S.C. 552a(e)(4) and
(11) provide that the public be afforded
a 30-day period in which to comment
on the new system of records. The new
system report was submitted to the
Office of Management and Budget
(OMB), the Senate Committee on
Governmental Affairs, and the House
Committee on Government Reform
pursuant to paragraph 4c of Appendix 1
to OMB Circular No. A–130, ‘‘Federal
Responsibilities for Maintaining
Records About Individuals,’’ July 25,
1994 (59 FR 37914).
ADDRESSES:
Authority: 5 U.S.C. 552a, 88 Stat. 1896; 42
U.S.C. 3535(d).
Dated: December 20, 2010.
Jerry E. Williams,
Chief Information Officer.
HUD/PIH–8
SYSTEM NAME:
Efforts to Outcome Case Management
Tracking System for DHAP-Ike.
SYSTEM LOCATION:
Baltimore, Maryland.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who are covered by this
system are individuals and families
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]]>Agencies
[Federal Register Volume 75, Number 249 (Wednesday, December 29, 2010)]
[Notices]
[Pages 82042-82053]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-32769]
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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 u
