Implementation of the Privacy Act of 1974, as Amended; Modification to, Deletion of, and Creation of New System of Records-HUD Enforcement Management System (HEMS), 62658-62662 [2014-24820]

Agencies

• DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Federal Register Volume 79, Number 202 (Monday, October 20, 2014)]
[Notices]
[Pages 62658-62662]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-24820]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5763-N-12]


Implementation of the Privacy Act of 1974, as Amended; 
Modification to, Deletion of, and Creation of New System of Records--
HUD Enforcement Management System (HEMS)

AGENCY: Office of the Chief Information Officer, Housing and Urban 
Development.

ACTION: Notice publication.

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SUMMARY: Pursuant to the Privacy Act of 1974 (U.S.C. 552a (e)(4)), as 
amended, and Office of Management and Budget (OMB), Circular No. A-130, 
notice is hereby given that the Department of Housing and Urban 
Development (HUD), Office of General Counsel's Departmental Enforcement 
Center (OGC/DEC) and the Office of Fair Housing and Equal Opportunity 
(FHEO) propose to delete the following systems of records and create a 
new system of records: the HUD Enforcement Management System (HEMS). 
HEMS is part of the Department's efforts to streamline, consolidate, 
and automate the Department's enforcement business processes. HEMS will 
replace three legacy HUD enforcement systems: (1) Title Eight Paperless 
Online Tracking System (FR-5386-N-04) which tracks and manages housing 
discrimination complaints for Fair Housing and Equal Opportunity, (2) 
Compliance Case Tracking System (HUD/EC-01) with tracks and manages 
HUD's suspensions and debarements for HUD's Enforcement Center, and (3) 
Departmental Tracking System (HUD/EC-02) which tracks and manages 
timely processing and closure of physical, financial, and non-filer 
cases for HUD's Enforcement Center. The

[[Page 62659]]

HEMS system will deliver operational efficiencies currently unavailable 
by existing enforcement technology. Implementation of the new system 
enables collaboration across multiple HUD enforcement offices through a 
shared database. The existing scope, objectives, and business processes 
in place for the above mentioned programs remain unchanged. A more 
detailed description of the present system is contained in the notice 
purpose section. Furthermore, this notice supersedes system of records 
notices published in the Federal Register for the above notices being 
replaced by HEMS.

DATES: Effective Date: The proposed modification will be effective 
immediately with the exception to the newly created system and routine 
uses, which will become effective without further notice on November 
19, 2014 unless comments are received that would result in a contrary 
determination.
    Comments Due Date: November 19, 2014.

ADDRESSES: Interested persons are invited to submit comments regarding 
this notice to the Rules Docket Clerk, Office of the General Counsel, 
Department of Housing and Urban Development, 451 Seventh Street SW., 
Room 10276, Washington, DC 20410-0500. Communication should refer to 
the above docket number and title. A copy of each communication 
submitted will be available for public inspection and copying between 
8:00 a.m. and 5:00 p.m. weekdays at the above address.

FOR FURTHER INFORMATION CONTACT: Donna Robinson-Staton, Chief Privacy 
Officer, 451 Seventh Street SW., Washington, DC 20410 (Attention: 
Capitol View Building, 4th Floor), telephone number: (202) 402-8073. 
[The above telephone number is not a toll free number.] A 
telecommunications device for hearing- and speech-impaired persons 
(TTY) is available by calling the Federal Information Relay Service's 
toll-free telephone number (800) 877-8339.

SUPPLEMENTARY INFORMATION: This system of records is maintained by 
HUD's Office of General Counsel and the Office of Fair Housing and 
Equal Opportunity. The system includes personally identifiable 
information provided to HUD that is retrieved from the system of 
records by a name or unique identifier. The system encompasses programs 
and services of the Department's data collection and management 
practices. Publication of this notice allows HUD to satisfy its 
reporting requirement and keep an up-to-date accounting of its system 
of records publications. The new system proposal will incorporate 
Federal privacy requirements, and HUD policy requirements. The Privacy 
Act provides certain safeguards for individuals against invasions of 
personal privacy by requiring Federal agencies to protect records 
contained in an agency system of records from unauthorized disclosure, 
by ensuring that information is current and collected only for its 
intended use, and by providing adequate safeguards to prevent misuse of 
such information. Additionally, this notice demonstrates the 
Department's focus on industry best practices in protecting the 
personal privacy of the individuals covered by this system 
notification.
    This notice states the name and location of the record system, the 
authority for and manner of its operations, the categories of 
individuals that it covers, the type of records that it contains, the 
sources of the information for those records, the routine uses made of 
the records and the types of exemptions in place for the records. In 
addition, the notice includes the business addresses of the HUD 
officials who will inform interested persons of the procedures whereby 
they may gain access to and/or request amendments to records pertaining 
to them.
    This publication does meet the threshold requirements for filing a 
report to the Office of Management and Budget (OMB), the Senate 
Committee on Homeland Security and Governmental Affairs, and the House 
Committee on Government Reform as instructed by Paragraph 4c of 
Appendix 1 to OMB Circular No. A-130, ``Federal Agencies 
Responsibilities for Maintaining Records About Individuals,'' July 25, 
1994 (59 FR 37914).

    Authority: 5 U.S.C. 552a; 88 Stat. 1896; 42 U.S.C. 3535(d).

    Dated: October 3, 2014.
Rafael C. Diaz,
Chief Information Officer.
SYSTEM OF RECORDS NO.:
OGC/EGID.01

SYSTEM NAME:
    HUD Enforcement Management System (HEMS), V05.

SYSTEM LOCATION:
    Electronic Records reside on HUD Network servers at 2020 Union 
Carbide Drive South Charleston West Virginia 25303-2734. The Paper 
Records are located at the office where the investigation originated 
and may also be transferred to associated area and/or Regional Offices, 
or the Headquarters Office. Housing and Discrimination Complaint Case 
Management Record locations: In addition to HUD's headquarters building 
located at 451 Seventh Street SW., Washington, DC 20410, HUD also 
operates Regional and Field Office locations where Privacy Act records 
may in some cases be maintained or accessed, including: Baltimore, MD; 
Boston, MA; Pittsburgh, PA; Hartford, CT; Richmond, VA; New York, NY; 
Newark, NJ; Atlanta, GA; Buffalo, NY; San Juan, Puerto Rico; 
Philadelphia, PA; Louisville, KY; Miami, FL; Birmingham, AL; Knoxville, 
TN; Greensboro, SC; Chicago, IL; Columbus, OH; Detroit, MI; 
Minneapolis, MN; Milwaukee, WI; Indianapolis, IN; Cleveland, OH; 
Jackson, MS; Jacksonville, FL; Albuquerque, NM; Little Rock, AR; 
Houston, TX; Kansas City, KS; St. Louis, MO; Omaha, NE; Denver, CO; 
Fort Worth, TX; New Orleans, LA; Oklahoma City, OK; Honolulu, HI; 
Seattle, WA; San Francisco, CA; Los Angeles, CA; Portland, OR; 
Anchorage, AK. Debarred, Suspended, or Excluded Enforcement Case 
Management Record Locations: In addition to HUD's headquarters 
buildings located at 451 7th Street SW., Washington, DC 20410 and 1250 
Maryland Avenue SW., Washington, DC 20024, HUD also operates Regional 
and Field Offices locations where Privacy Act records may in some cases 
be maintained or accessed, including: Atlanta, GA; Chicago, IL; Ft. 
Worth, TX; Los Angeles, CA; and New York, NY.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of Individuals covered by this system of records 
include:
    Housing and Discrimination Complaint Case Management Records: 
Categories of Individuals include: all persons filing a housing 
discrimination complaint (known as Complainants) and their 
representatives; all persons and/or organizations identified by 
Complainants as having committed housing discrimination (known as 
Respondents) and their representatives; all those investigating and 
reviewing the housing discrimination complaint.
    Debarred, Suspended, or Excluded Enforcement Case Management 
Records: Categories of Individuals include any individual, corporation, 
partnership, association, unit of government or legal entity, however 
organized when proposed for debarment; or the person is debarred, 
suspended, or voluntarily excluded, or excluded by a Limited Denial of 
Participation (LDP) action; Any program participant who is a direct or 
indirect recipient of HUD funds and who is subject to enforcement 
action due to fraud, waste, abuse and mismanagement of HUD funds.

[[Page 62660]]

Individuals would include: Mortgagors, mortgagees, partners, 
partnerships, associations, trustees, boards, board members, managers, 
developers, sponsors, builders, administrators, executives, tenants, 
employees, health care providers, vendors, consultants, bidders, 
brokers, appraisers, borrowers, sellers, contractors, corporations 
(include non-profits), attorneys, underwriters, inspectors, grant 
recipients, accountants, real estate and closing agents, companies, and 
units of government (however organized). Examples of individuals or 
entities (proposed for debarment, debarred, suspended, or voluntarily 
excluded): participants who are direct or indirect recipients of HUD 
funds; and those who represent entities such as contractors or 
corporations who are participants in HUD FHA assisted or sponsored 
programs including mortgage insurance programs.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records covered by this system of records include:
    Housing and Discrimination Complaint Case Management Records: 
Categories of records in the system include: Personal information that 
will be maintained in HEMS, including: Name of Complainant, Respondent, 
Respondent Organization, Witnesses, and Complainant's or Respondent's 
Representative (if applicable); Home and work address of Complainant, 
Respondent Organization, and Representative; Contact number for 
Complainant, Respondent/Respondent Organization, Witnesses, and 
Representative; Personal information of the Complainant, other 
aggrieved parties information, the Respondent, and/or witnesses based 
on the issues and basis of what is alleged in the complaint cases. Also 
included is race, national origin, disability (mental/physical); family 
status (pregnancy, families with children under 18); religion types of 
personal information, documents that may be maintained and found in 
HEMS; Letters from physicians/medical records (in disability-based/
reasonable accommodation claims); Rental lease agreements; Financial 
and loan information (in fair lending cases); Name, age/date of birth 
of minor children, and number of dependents (in family status cases, 
which includes families with children under the age of 18);
    Debarred, Suspended, or Excluded Enforcement Case Management 
Records: Categories of Records in the system include: Name, address, 
title, job classification; identifying numbers such as social security 
number, tax identification number, project, and program identification 
numbers, and violations; sanctions including debarments, suspensions, 
Limited Denial of Participation (LDP), indictments, judgments, 
convictions, civil money penalties, reprimands, fines, settlement 
agreements, foreclosures, removal of program participants, takeovers, 
receiverships, 2530 denials, revocation of designation, grant and 
subsidy sanctions; and all enforcement actions taken by or on behalf of 
the Department.
    Also included system are cross-references documentation when more 
than one name is involved in a single action; the type of action; the 
cause of the action; the scope of the action; any termination date for 
each listed action; and the agency name and telephone number of the 
agency point of contact for the action. The system also contains 
records of referrals for administrative sanction action where action is 
pending or where no action was taken.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title VIII of the Civil Rights Act of 1968, as amended by the Fair 
Housing Act of 1988 (42 U.S.C. 3601 et seq.); Title VI of the Civil 
Rights Act of 1964 (42 U.S.C. Sec. Sec.  2000d2000d-7); Section 504 of 
the Rehabilitation Act of 1973 (29 U.S.C. 791 et seq.); Section 109 of 
Title I of the Housing and Community Development Act of 1974 (42 U.S.C. 
5301-5321); Title II of the American Disabilities Act of 1990 (42 
U.S.C. 12101 et seq.); Age Discrimination Act of 1975 (42 U.S.C. 6101-
107); Title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681-
1688), and the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et 
seq.); Title 2, Code of Federal Regulations (CFR), Parts 180 and 2424; 
Title 31 U.S.C. 6101; Title 41 U.S.C.; Title 42 U.S.C. 3533 and 3535; 
and Executive Orders 12549 and 12689.

PURPOSE(S):
    HEMS is the system that maintains case file data when further 
investigation is warranted, under a filed housing discrimination 
complaint. This is where the housing discrimination complaint inquiries 
and case files are documented and stored during the investigation 
process. Information on the complainants is collected on a case-by-case 
basis only if relevant to the particular case. The origination of a 
compliant begins with the origination of the HUD Form 903 (a housing 
discrimination complaint form). The HUD Form 903 is used for filing 
discrimination complaints over unfair housing practices. This form is 
available in paper and on-line. The public may submit a HUD Form 903 
via the internet or by mail. HUD Form 903 collects initial potential 
case information for assessment and turns the information over to the 
appropriate regional office jurisdiction. Information gathered through 
the HUD Form 903 system opens an inquiry with FHEO that is explored 
through further discussion between FHEO staff and the complainant. 
These discussions gather additional data that establish jurisdiction 
and determine whether or not to launch an investigation. HUD's FHEO 
also uses these records within HEMS to monitor the quality of the 
investigations performed by authorized non-Federal agencies, and to 
determine the amount these agencies should be paid for performing the 
investigation. A paper case file that includes the information tracked 
in HEMS, as well as additional information, is maintained outside of 
HEMS.
    To the extent permitted by law, executive departments and agencies 
shall participate in and interface with a government-wide system 
(currently System for Award Management Web site at https://sam.gov/) for 
the following purposes: (1) To exclude from Federal financial and non-
financial assistance and benefits under Federal programs and activities 
those who have been debarred or suspended; and (2) to include in the 
List of Parties Excluded from Federal procurement and non-procurement 
Programs all persons proposed for debarment, debarred, suspended, or 
excluded by a Limited Denial of Participation (LDP). This does not 
include foreign governments or foreign governmental entities, public 
international organizations, foreign government owned (in whole or in 
part) or controlled entities, and entities consisting wholly or 
partially to foreign governments or foreign governmental entities 
proposed for debarment, suspended, debarred, or voluntarily excluded 
government-wide, unless otherwise noted, from Federal procurement and 
sales programs, non-procurement programs, and financial benefits. An 
exclusion may be based on the Federal Acquisition Regulation (FAR) 9.4; 
Federal Property Management Regulation (FPMR) 101-45.6; Government 
Printing Office (GPO) Instruction 110.11 A; U.S. Postal Service (PS) 
Publication 41; the Non-procurement Common rule; or the authority of a 
statute, Executive Orders 12549 and 12689; or regulation applicable to 
procurement or non-procurement programs.
    HEMS also serves the following purposes: (1) To establish an 
agency-wide database that will allow personnel

[[Page 62661]]

to access and track information to generate reports on all of the 
Department's efforts to eliminate fraud, waste, abuse and mismanagement 
in all HUD programs, and (2) to provide a mechanism to cross reference 
and match data on individuals against which an enforcement action has 
been taken or is in the process of being taken. This information may be 
used to determine whether those individuals are eligible to receive or 
to continue to receive Federal financial and non-financial assistance 
and benefits under Federal programs and activities.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    For Housing and Discrimination Complaint Case Management Records: 
In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, HUD may disclose information contained in 
this system of records without the consent of the subject individual if 
the disclosure is compatible with the purpose for which the record was 
collected under the following routine uses:
    (a) To individuals under contract to HUD or under contract to 
another agency with funds provided by HUD, for the purpose of 
conducting oversight and monitoring of program operations to determine 
compliance with applicable laws and regulations, and FHEO reporting 
requirements (information under this routine use is subject to Privacy 
Act requirements and limitations on disclosures are applicable to HUD 
officials and employees);
    (b) To State and local agencies certified by HUD to investigate and 
adjudicate Title VIII housing discrimination complaints, State and 
local agencies also use TEAPOTS to record investigation information;
    (c) To authorized requestors requesting release of records under 
the Freedom of Information Act (FOIA) and the Privacy Act.
    For Debarred, Suspended, or Excluded Enforcement Case Management 
Records: In addition to those disclosures generally permitted under 5 
U.S.C. 552a(b) of the Privacy Act, these records, or information 
contained therein, may specifically be disclosed outside of the agency 
as routine use pursuant to 5 U.SC. 552a(b)(3) as follows, provided that 
no routine use listed shall be construed to limit or waive any other 
routine use specified herein:
    (a) To individuals under contract to HUD or under contract to 
another agency with funds provided by HUD for the purpose of conducting 
oversight and monitoring of program operations to determine compliance 
with applicable laws and regulations, and FHEO reporting requirements 
(individuals provided information under this routine use is subject to 
Privacy Act requirements and limitation on disclosures are applicable 
to HUD officials and employees);
    (b) To the Internal Revenue Service (IRS), for the purpose of 
affecting an administrative offset against the debtor for a delinquent 
debt owed to the U.S. Government by the debtor;
    (c) To the Department of Justice (DOJ), for prosecution of fraud 
and for the institution of suit or other proceedings to effect 
collection of claims;
    (d) To the General Accounting Office (GAO), for further collection 
action on any delinquent account when circumstances warrant;
    (e) To outside collection agencies and credit bureaus, for the 
purpose of either adding to a credit history file or obtaining a credit 
history file on an individual for use in the administration of debt 
collection for further collection action;
    (f) To the General Services Administration (GSA), for compilation 
and maintenance of a list of parties excluded from Federal procurement 
and non-procurement Programs in accordance with a recommendation from 
the Interagency Committee on Debarment and Suspension, and 
identification and monthly distribution of a list of those parties 
excluded throughout the U.S. Government (unless otherwise noted) from 
receiving Federal contracts or certain subcontracts, and certain types 
of Federal financial and non- financial assistance and benefits.
    Routine Uses applicable to the above mentioned categories also 
include:
    (a) To appropriate agencies, entities, and persons when: (a) HUD 
suspects or has confirmed that the security or confidentiality of 
information in a system of records has been compromised; (b) HUD 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 HUD 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 HUD's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm for 
purposes of facilitating responses and remediation efforts in the event 
of a data breach.
    (b) To appropriate agencies, entities, and persons to the extent 
such disclosures are compatible with the purpose for which the records 
in this system of records were collected, as set forth by Appendix I 
\1\--HUD's Library of Routine Uses published in the Federal Register on 
July 17, 2012 (77 FR 41996).
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    \1\ https://portal.hud.gov/hudportal/documents/huddoc?id=append1.pdf.
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POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
SAFEGUARDS:
    A User ID and password are required for authentication; Users must 
sign a Rules of Behavior form prior to being granted system access. 
These rules emphasize privacy protections of the personally 
identifiable information in HEMS. Permission restrictions prevent 
unsolicited and illegal access to another region's data. Manual records 
are stored in lockable file cabinets; computer facilities are secured 
and accessible only by authorized personnel, and all files are stored 
in a secured area. Technical restraints are employed with regard to 
accessing the computer and data files.

RETENTION AND DISPOSAL:
    The retention period for the information in HEMS is maintained for 
the life of the case to support the activity and other enforcement 
activities that may become related to the case. When the life of the 
case is closed (the case is no longer needed for administrative or 
reference use, or to satisfy preservation requirements), and a final 
determination has been made of the case records, records in the system 
are maintained in accordance with the approved records schedule, HUD's 
Records and Disposition Schedule Handbook 2225.6, Appendix 50. Historic 
or significant investigation files are PERMANENT, pending appraisal by 
NARA. Files Transfers are made to the National Archives and Records 
Administration every 5 years, when applicable (Including a listing of 
restricted data fields, which remain in place 30 years after which a 
final appraisal is conducted.

SYSTEM MANAGER(S):
    Patrina Munson, Director, Office of Information Services and 
Communications, Fair Housing and Equal Opportunity, Department of 
Housing and Urban Development, 451 Seventh Street SW., Room 5118, 
Washington, DC 20410; and Nina Aten, Management Information Specialist, 
Office of General Counsel's, Departmental Enforcement Center,

[[Page 62662]]

Department of Housing and Urban Development, 451 Seventh Street SW., 
Room 5118, Washington, DC 20410.

NOTIFICATION AND RECORD ACCESS PROCEDURES:
    For information, assistance, or inquiries about the existence of 
records, contact the Chief Privacy Officer, Department of Housing and 
Urban Development, 451 Seventh Street SW., Room 4156, Washington, DC 
20410 (Attention: Capitol View Building, 4th Floor). Verification of 
your identity must include original signature and be notarized. Written 
request must include the full name, Social Security Number, date of 
birth, current address, and telephone number of the individual making 
the request.

CONTESTING RECORD PROCEDURES:
    The Department's rules for contesting contents of records and 
appealing initial denials appear in 24 CFR Part 16. Additional 
assistance may be obtained by contacting: U.S. Department of Housing 
and Urban Development, Chief Privacy Officer, 451 Seventh Street SW., 
Washington, DC 20410 (Attention: Capitol View Building, 4th Floor) or 
the HUD Departmental Privacy Appeals Officers, Office of General 
Counsel, Department of Housing and Urban Development, 451 Seventh 
Street SW., Washington DC 20410. The Department's rules for contesting 
the contents of records and appealing initial denials, by the 
individual concerned, appear in 24 CFR Part 16. If additional 
information or assistance is needed, it may be obtained by contacting:
    (i) CONTESTING CONTENTS OF RECORDS: Department of Housing and Urban 
Development, Chief Privacy Officer, 451 Seventh Street SW., Washington, 
DC 20410 (Attention: Capitol View Building, 4th Floor);
    (ii) APPEALS OF INITIAL HUD DETERMINATIONS: In relation to 
contesting contents of records, the HUD Departmental Privacy Appeals 
Officers, Office of General Counsel, Department of Housing and Urban 
Development, 451 Seventh Street SW., Washington, DC 20410.

RECORD SOURCE CATEGORIES:
    Information is obtained from the record subject and from the HUD 
Multifamily Integrated Real Estate Management System (iREMS). 
Additionally, the information in this system of records is obtained 
from anyone who has information to provide concerning the existence of 
a cause for administrative sanction. Examples of record sources 
include, but are not limited to HUD employees, Federal government 
agencies, non-federal government agencies, Federal and state courts, 
financial institutions, state and local law enforcement offices, and 
regulatory or licensing agencies.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    The housing discrimination related records in HEMS are maintained 
for use in civil rather than criminal actions and are prohibited from 
disclosure pursuant to exemption 5 U.S.C. 552a(d)(5) of the Privacy 
Act.

[FR Doc. 2014-24820 Filed 10-17-14; 8:45 am]
BILLING CODE 4210-67-P