Privacy Act of 1974; System of Records, 13548-13564 [2021-04796]
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management of the HCBP system,
including USAC’s records management
activities. After a Participant window
for filing replies to Stakeholder
information closes, access to the
electronic files is restricted to the FCC
staff and its contractors and
subcontractors, as well as USAC and its
contractors and subcontractors who
carry out ELAP functions and activities.
Other FCC employees and contractors
and USAC employees, contractors, and
subcontractors may be granted access
only on a need-to-know basis. The data
are protected by the FCC and USAC
security safeguards, a comprehensive
and dynamic set of information
technology (IT) safety and security
protocols and features that are designed
to meet all Federal IT standards,
including, but not limited to, those
required by the Federal Information
Security Modernization Act of 2014
(FISMA), the Office of Management and
Budget (OMB), and NIST.
Employees of the FCC and USAC may
print paper copies of these ELAP
electronic records for various short-term
uses, as necessary. Paper copies will be
stored in locked file cabinets when not
in use. Physical entry by unauthorized
persons where this information is stored
is restricted through use of locks,
passwords, and other security measures.
Only authorized FCC and USAC
employees may have access to these
documents. Participants receiving
access to the ELAP portion of the HCBP
system will be prohibited from printing
paper copies when such information
contains PII, although they will be
permitted to download redacted
versions of such information.
2. Non-ELAP data: The electronic
records, files, and data are stored within
FCC accreditation boundaries. Access to
the electronic files is restricted to IT
staff, contractors, and vendors who
maintain the networks and services.
Other FCC employees, contractors,
vendors, and users may be granted
access on a need-to- know basis. The
FCC’s data are protected by the FCC and
privacy safeguards, a comprehensive
and dynamic set of IT safety and
security protocols and features that are
designed to meet all Federal IT privacy
standards, including those required by
FISMA, OMB, and NIST. Paper copies
will be stored in locked file cabinets
when not in use. Physical entry by
unauthorized persons where this
information is stored is restricted
through use of locks, passwords, and
other security measures. Only
authorized FCC employees and
contractors may have access to these
documents.
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RECORDS ACCESS PROCEDURES:
Individuals wishing to request access
to and/or amendment of records about
themselves should follow the
Notification Procedure below.
CONTESTING RECORDS PROCEDURES:
Individuals wishing to request access
to and/or amendment of records about
them should follow the Notification
Procedure below.
NOTIFICATION PROCEDURES:
Individuals wishing to determine
whether this system of records contains
information about them may do so by
writing to Margaret Drake at privacy@
fcc.gov or Federal Communications
Commission, 45 L Street NE,
Washington, DC 20554, 202–418–1707.
Individuals requesting access must
also comply with the FCC’s Privacy Act
regulations regarding verification of
identity and access to records (47 CFR
part 0, subpart E).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
This is a new system of records.
Federal Communications Commission.
Marlene Dortch,
Secretary.
[FR Doc. 2021–04857 Filed 3–8–21; 8:45 am]
BILLING CODE 6712–01–P
FEDERAL COMMUNICATIONS
COMMISSION
[CC Docket No. 92–237; FRS 17543]
Next Meeting of the North American
Numbering Council
Federal Communications
Commission.
ACTION: Notice.
AGENCY:
In this document, the
Commission released a public notice
announcing the meeting of the North
American Numbering Council (NANC),
which will be held via video conference
and available to the public via live
internet feed.
DATES: Thursday, April 15, 2021. The
meeting will come to order at 9:30 a.m.
ADDRESSES: The meeting will be
conducted via video conference and
available to the public via the internet
at https://www.fcc.gov/live.
FOR FURTHER INFORMATION CONTACT:
Jordan Reth, Acting Designated Federal
Officer, at jordan.reth@fcc.gov or 202–
418–1418. More information about the
NANC is available at https://
www.fcc.gov/about-fcc/advisorySUMMARY:
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committees/general/north-americannumbering-council.
SUPPLEMENTARY INFORMATION: The
NANC meeting is open to the public on
the internet via live feed from the FCC’s
web page at https://www.fcc.gov/live.
Open captioning will be provided for
this event. Other reasonable
accommodations for people with
disabilities are available upon request.
Requests for such accommodations
should be submitted via email to
fcc504@fcc.gov or by calling the
Consumer & Governmental Affairs
Bureau at (202) 418–0530 (voice), (202)
418–0432 (TTY). Such requests should
include a detailed description of the
accommodation needed. In addition,
please include a way for the FCC to
contact the requester if more
information is needed to fill the request.
Please allow at least five days’ advance
notice for accommodation requests; last
minute requests will be accepted but
may not be possible to accommodate.
Members of the public may submit
comments to the NANC in the FCC’s
Electronic Comment Filing System,
ECFS, at www.fcc.gov/ecfs. Comments to
the NANC should be filed in CC Docket
No. 92–237. This is a summary of the
Commission’s document in CC Docket
No. 92–237, DA 21–253 released March
2, 2021.
Proposed Agenda: At the April 15
meeting, the NANC will hear routine
status reports from the North American
Portability Management, LLC, the
Secure Telephone Identification
Governance Authority, and the
Numbering Administration Oversight
Working Group. This agenda may be
modified at the discretion of the NANC
Chair and the Designated Federal
Officers (DFO).
(5 U.S.C. App 2 section 10(a)(2))
Federal Communications Commission
Daniel Kahn,
Associate Bureau Chief, Wireline Competition
Bureau.
[FR Doc. 2021–04797 Filed 3–8–21; 8:45 am]
BILLING CODE 6712–01–P
FEDERAL HOUSING FINANCE
AGENCY
[No. 2021–N–4]
Privacy Act of 1974; System of
Records
Office of Inspector General,
Federal Housing Finance Agency
(FHFA–OIG).
ACTION: Notice of amendments and
additions to the routine uses for FHFA–
OIG’s Privacy Act systems of records
AGENCY:
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(SORs), updates, rewording, and
technical changes to the system name,
system location, categories of
individuals covered by the system,
categories of records in the system,
purpose(s), retrievability, safeguards,
retention and disposal, system
manager(s) and address, notification
procedures, record source categories,
and exemptions claimed for one or more
of FHFA–OIG’s existing systems, and
the creation of a new Privacy Act system
of records (SOR).
In accordance with the
Privacy Act of 1974, as amended and
the Office of Management and Budget
(OMB) Circular A–108 System of
Records Notice template, FHFA–OIG
gives notice of amendments and
additions to the routine uses for FHFA–
OIG’s Privacy Act systems of records
(SORs) and technical changes thereto,
updates to system name, system
location, categories of individuals
covered by the system, categories of
records in the system, purpose(s),
retrievability, safeguards, retention and
disposal, system manager(s) and
address, notification procedures, record
source categories, exemptions claimed
for one or more of FHFA–OIG’s existing
systems of record, and the creation of a
new Privacy Act SOR for the Office of
Counsel. The six existing SORs are
being re-published in their entirety to
conform their formats to the Circular A–
108 SORN template. The amendments
and additions to the existing systems
and the new system are described in
detail below.
DATES: Comments must be received on
or before April 8, 2021. The amended
and additional routine uses and the
technical revisions to FHFA–OIG’s
existing SORs, and the new SOR, will
become effective without further notice
on April 19, 2021, unless comments
received on or before that date result in
revisions to this notice.
ADDRESSES: Submit comments to FHFA
only once, identified by ‘‘FHFA–OIG
SORN,’’ using any one of the following
methods:
• Email: Leonard.DePasquale@
fhfaoig.gov. Comments may be sent by
email to Leonard DePasquale, FHFA–
OIG Chief Counsel. Please include
‘‘Comments/FHFA–OIG SORN’’ in the
subject line of the message. Comments
will be made available for inspection
upon written request.
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments. If
you submit your comment to the
Federal eRulemaking Portal, please also
send it by email to FHFA at
Leonard.DePasquale@fhfaoig.gov to
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ensure timely receipt by the agency.
Please include ‘‘Comments/FHFA–OIG
SORN’’ in the subject line of the
message.
• U.S. Mail, United Parcel Service,
Federal Express, or Other Mail Service:
Leonard DePasquale, Chief Counsel,
Office of Inspector General, Federal
Housing Finance Agency, 400 7th Street
SW, Washington, DC 20219.
• Courier/Hand Delivered Letters or
Packages: For security reasons, courier/
hand delivered letters or packages
cannot be accepted.
See SUPPLEMENTARY INFORMATION for
additional information on posting of
comments.
FOR FURTHER INFORMATION CONTACT:
Leonard DePasquale, Chief Counsel,
Office of Inspector General, Federal
Housing Finance Agency, 400 7th Street
SW, Washington, DC 20219, or at (202)
730–2830. Hearing impaired individuals
may utilize the Federal Relay Service by
dialing 1–800–877–8339. A
Communications Assistant will dial
FHFA–OIG’s number and relay the
conversation between a standard (voice)
telephone user and text telephone
(TTY).
SUPPLEMENTARY INFORMATION:
I. Comments
Instructions: FHFA–OIG seeks public
comments on the amended and
additional routine uses and will take all
comments into consideration. See 5
U.S.C. 552a(e)(4) and (11).
Posting and Public Availability of
Comments: All comments received will
be posted without change on the FHFA–
OIG website at https://www.fhfaoig.gov,
and will include any personal
information provided, such as name,
address (mailing and email), and
telephone numbers.
II. Background
The Federal Housing Finance
Regulatory Reform Act of 2008 (Reform
Act), which was passed as Division A of
the Housing and Economic Recovery
Act of 2008 (HERA) abolished both the
Federal Housing Finance Board (FHFB),
an independent agency that oversaw the
Federal Home Loan Banks (FHLBanks),
and the Office of Federal Housing
Enterprise Oversight (OFHEO), an office
within the Department of Housing and
Urban Development (HUD) that oversaw
the ‘‘safety and soundness’’ of the
Federal Home Loan Mortgage
Corporation (Freddie Mac) and the
Federal National Mortgage Association
(Fannie Mae). See Public Law 110–289,
sections 1301 and 1311, 122 Stat. 2654,
2794 and 2797 (codified at 12 U.S.C.
4511 note); H.R. Rep. No. 110–142, at
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95. The Reform Act established in place
of the FHFB and OFHEO a new entity,
the Federal Housing Finance Agency
(FHFA), to regulate and supervise
Fannie Mae, Freddie Mac, and the 12
FHLBanks. See Public Law 110–289,
section 1101, 122 Stat. 2654, 2661
(codified at 12 U.S.C. 4511).
The Reform Act also requires the
appointment of an Inspector General
within FHFA, in accordance with
section 3a of the Inspector General Act
of 1978 (the IG Act). See Public Law
110–289, section 1105, 122 Stat. 2668
(codified at 12 U.S.C. 4517(d)). FHFA–
OIG is responsible for, among other
things, conducting audits,
investigations, and evaluations of
FHFA’s programs and operations;
recommending policies that promote
economy and efficiency in the
administration of FHFA’s programs and
operations; and preventing and
detecting fraud and abuse in FHFA’s
programs and operations. See IG Act,
Public Law 95–452, 92 Stat. 1101
(codified at 5 U.S.C. App.).
FHFA–OIG began operations in
October of 2010. Although FHFA’s
SORs covered many of FHFA–OIG’s
records, some of those records were
unique to FHFA–OIG’s work. As a
result, on March 2, 2011, FHFA–OIG
issued a Federal Register notice
establishing five SORs (76 FR 11465).
On November 1, 2013, FHFA–OIG
issued another Federal Register notice
adding a new SOR and amending and
updating the existing SORs (78 FR
65644). In the five years since the last
update, FHFA–OIG’s approach to
implementing its mission has evolved
and matured. To better reflect where our
work is taking us and how we conduct
our business some aspects of the earlier
SORs should be amended.
Certain updates, rewording, and
technical changes are being made to one
or more of the following sections of the
existing SORs: System name, system
location, categories of individuals
covered by the system, categories of
records in the system, purpose(s),
routine uses, retrievability, safeguards,
retention and disposal, system
manager(s) and address, notification
procedures, record source categories,
and exemptions claimed for the system.
In addition, several new routine uses are
being added to enable FHFA–OIG to
implement its mission under the IG Act
more efficiently and to enhance
transparency in reporting the results of
our audits, evaluations, investigations,
and other inquiries.
During the course of updating its
existing SORs, FHFA–OIG determined
that records concerning hotline
complaints and inquiries conducted by
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FHFA–OIG’s Office of Investigations are
already housed in the Office of
Investigations’ two existing SORs—
FHFA–OIG–2 and FHFA–OIG–3. Thus,
with regard to these types of complaints
and inquiries, the existing Hotline
Database (FHFA–OIG–4) is superfluous.
FHFA–OIG is making minor
modifications to reflect that hotline
complaints and inquiries undertaken by
the Office of Investigations are already
covered by the two existing SORs
(FHFA–OIG–2 and FHFA–OIG–3).
Rather than eliminating the existing
Hotline Database SOR (FHFA–OIG–4),
FHFA–OIG is repurposing it to house
records pertaining to non-criminal
administrative inquiries conducted by
any FHFA–OIG operational division
other than the Office of Investigations.
FHFA–OIG has assigned responsibility
for non-criminal administrative
inquiries to its operational divisions and
desires records pertaining to these
matters to be stored in a SOR separate
from any SOR that contains
investigative records generated and/or
collected by FHFA–OIG’s Office of
Investigations. Thus, to better align its
SORs with its multidisciplinary
approach to these inquiries, FHFA–OIG
is designating the existing Hotline
Database (FHFA–OIG–4) to store records
pertaining to non-criminal
administrative inquiries that are
conducted by any FHFA–OIG
operational division other than the
Office of Investigations.
Finally, a SOR is being added for
FHFA–OIG’s Freedom of Information
Act (FOIA), Privacy Act (PA), and
Freedom of Information Act/Privacy Act
(FOPA) records. Although FHFA–OIG’s
FOIA, PA, and FOPA records are
covered under FHFA’s FOIA and PA
SOR, FHFA–OIG has decided to adopt
its own SOR for FOIA, PA, and FOPA
records so that the routine uses for these
records are aligned with the routine
uses for FHFA–OIG’s other SORs.
Because documents FHFA–OIG
produces in response to FOIA, PA, and
FOPA requests are often records that are
contained in FHFA–OIG’s other SORs, it
is more logical for FHFA–OIG’s FOIA,
PA, and FOPA routine uses to mirror
those of the SORs from which these
records may originate. Thus, the main
reason FHFA–OIG is creating a SOR for
its FOIA, PA, and FOPA records is to
achieve this symbiosis. FHFA–OIG is
also creating this SOR to make clear that
some requests are processed under both
the FOIA and PA. FHFA–OIG believes
it is more appropriate that its SOR
reflect this hybrid category of records
(i.e., FOPA).
Sections 552a(e)(4) and (11) of title 5,
United States Code, require that an
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agency publish a notice of the
establishment or revision of a SOR
which affords the public a 30-day
period in which to submit comments.
To meet this requirement, FHFA–OIG’s
SORs are set forth in their entirety
below. Further, a report of FHFA–OIG’s
intention to amend and supplement its
routine uses, update other portions of its
existing SORs, and add a new SOR has
been submitted to the Committee on
Oversight and Government Reform of
the House of Representatives, the
Committee on Homeland Security and
Governmental Affairs of the Senate, and
to OMB, as required by the Privacy Act,
5 U.S.C. 552a(r) and pursuant to section
7 of OMB Circular A–108, ‘‘Federal
Agency Responsibilities for Review,
Reporting, and Publication under the
Privacy Act,’’ dated December 23, 2016
(81 FR 94424 (Dec. 23, 2016)).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
III. Proposed Systems of Records
RECORD SOURCE CATEGORIES:
The proposed changes to the existing
SORs are described in detail below:
FHFA–OIG–1
SYSTEM NAME AND NUMBER:
FHFA–OIG Audit Files Database
(FHFA–OIG–1).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Audits,
Office of Inspector General, Federal
Housing Finance Agency, 400 7th Street
SW, Washington, DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system is maintained to enable
Office of Audits’ employees to access,
share, restrict, or maintain information
that has been collected and/or generated
as part of an audit, as appropriate.
Materials relating to an audit may or
may not become part of the official audit
file. The system also serves as a storage
and filing system for working copies,
drafts, and final versions of documents
collected and/or generated by the Office
of Audits in the performance of other
official duties.
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Employees of and detailees to the
Office of Audits and subjects or
potential subjects of audit activities and
individuals who may be, are, or have
been witnesses, complainants,
informants, subjects, or otherwise
involved in circumstances pertaining or
relating to official activities conducted
by FHFA–OIG’s Office of Audits.
CATEGORIES OF RECORDS IN THE SYSTEM:
Drafts and final documents of the
following types: (1) Audit reports; (2)
working papers, which may include
copies of correspondence, evidence,
subpoenas; and (3) other documents
collected and/or generated by the Office
of Audits during the course of official
duties, including information from
FHFA–OIG’s other systems of records.
The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
federal agencies/regulators, law
enforcement agencies, vendors,
contractors, subcontractors, subject
individuals, complainants, witnesses,
and informants. Records in this system
may have originated in other FHFA/
FHFA–OIG systems of records and
subsequently transferred to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations responsible
for investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, or license, when the
information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
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proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To an individual member of
Congress or a member of his/her staff in
response to an inquiry made at the
request of the individual who is the
subject of the record;
(4) To another Federal agency, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations to (a)
permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency or entity, or (b) verify the
identity of an individual or the accuracy
of information submitted by an
individual who has requested access to
or amendment or correction of records;
(5) To the Department of Justice,
outside counsel retained by FHFA–OIG,
or another Federal agency’s legal
representative when seeking legal
advice, including, but not limited to,
whether to release information covered
by the Freedom of Information (5 U.S.C.
552) and Privacy Acts (5 U.S.C. 552a) or
when the Department of Justice or
outside counsel retained by FHFA–OIG
is representing FHFA–OIG or any
FHFA–OIG employee in his or her
official or individual capacity; or when
FHFA–OIG is a party to litigation or
settlement negotiations or has an
interest in litigation or settlement
negotiations being conducted by the
Department of Justice or outside counsel
retained by FHFA–OIG and FHFA–OIG
has determined such information to be
relevant and necessary to the litigation
or settlement negotiations;
(6) To another Federal Office of the
Inspector General, law enforcement
Task Force, or other Federal, state, local,
foreign, territorial, or tribal unit of
government, other public authorities, or
self-regulatory organizations for the
purpose of preventing and/or
identifying fraud, waste, or abuse
related to FHFA’s programs or
operations;
(7) To the National Archives and
Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities,
and persons when (1) FHFA–OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA–OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA–OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA–OIG’s efforts
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to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm;
(9) To another Federal agency or
Federal entity, when FHFA–OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either
private or governmental, that FHFA–
OIG has reason to believe possesses
information regarding a matter within
the jurisdiction of FHFA–OIG, to the
extent deemed to be necessary by
FHFA–OIG to elicit information or
cooperation from the recipient for use in
the performance of an authorized
activity relevant to an FHFA–OIG audit,
evaluation, investigation, or inquiry;
(11) To the Equal Employment
Opportunity Commission, Merit
Systems Protection Board, Federal Labor
Relations Authority, Office of Special
Counsel, Office of Government Ethics
(OGE), Office of Personnel Management,
Government Accounting Office,
Department of Justice, Office of
Management and Budget, arbitrators,
and any other Federal agencies or other
entity responsible for conducting
investigations, other inquiries,
administrative actions, hearings, and/or
settlement efforts relating to personnel,
security clearance, security or suitability
or other administrative grievances,
complaints, claims, or appeals filed by
an employee, or if needed in the
performance of other authorized duties;
(12) In situations involving an
imminent danger of death or physical
injury to an individual or individuals in
danger;
(13) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA–OIG;
(14) To the public or to the media for
release to the public when the matter
under audit, review, evaluation,
investigation, or inquiry has become
public knowledge, or when the
Inspector General determines that such
disclosure is necessary either to
preserve confidence in the integrity of
FHFA–OIG’s audit, review, evaluation,
investigative, or inquiry processes or is
necessary to demonstrate the
accountability of FHFA–OIG employees,
officers or individuals covered by the
system, unless the Inspector General or
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his/her delegee determines, after
consultation with counsel and the
Senior Privacy Official, that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy;
(15) To Congress, congressional
committees, or the staffs thereof, once
an FHFA–OIG report or management
alert has become final and the Inspector
General determines that its disclosure is
necessary to fulfill the Inspector
General’s responsibilities under the
Inspector General Act of 1978;
(16) To contractors, experts,
consultants, students, and others
engaged by FHFA–OIG, when necessary
to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other
entity which requires information
relevant to a decision concerning the
hiring, appointment, or retention of an
employee or contractor; the assignment,
detail, or deployment of an employee or
contractor; the issuance, renewal,
suspension, or revocation of an
employee’s or contractor’s security
clearance; the execution of a security or
suitability investigation; the
adjudication of liability; or coverage
under FHFA–OIG’s liability insurance
policy;
(18) To Federal agencies and other
public authorities for use in records
management inspections, reporting
requirements, information collection,
including but not limited to, General
Services Administration (GSA) as part
of GSA’s responsibility to recommend
improvements in records management
practices and programs under authority
of 44 U.S.C. 2904 and 2906, OGE, as
part of the agency’s reporting
requirements set forth in 5 CFR 2638,
Subpart F, and any other system,
program, procedure or circumstance
where such disclosure is mandated by
Federal statute or regulation;
(19) To victims of a crime in
accordance with the Victims’ Rights and
Restitution Act of 1990 (34 U.S.C.
20141), to the extent appropriate;
(20) To a Federal agency in
connection with a pending or
prospective administrative enforcement
process or mechanism, including but
not limited to a suspension, debarment,
or suspended counterparty designation;
and
(21) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA–OIG staff members.
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CONTESTING RECORD PROCEDURES:
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records are retrieved by name of the
auditor, support staff, subject of or
witness to the subject matter involving
the audit, unique audit number, or job
code.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
Records in this system will be
retained in accordance with approved
retention schedules, including: FHFA’s
Comprehensive Records Schedule Item
7 (N1–543–11–1, approved 01/11/2013),
which provides the cut-off and
disposition schedules for Inspector
General records. Additional approved
schedules may apply. Destruction of
records shall occur in the manner(s)
appropriate to the type of record, such
as shredding of paper records and/or
deletion of computer records.
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
khammond on DSKJM1Z7X2PROD with NOTICES
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or
notification about any record contained
in this system of records, or seeking to
contest its content, may mail inquiries
to the Senior Privacy Official, FHFA–
OIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
17:03 Mar 08, 2021
Jkt 253001
HISTORY:
The original version of this SORN was
published in the Federal Register on
March 2, 2011 (76 FR 11465). It was
amended on November 1, 2013 (78 FR
65644).
FHFA–OIG–2
SYSTEM NAME AND NUMBER:
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
VerDate Sep<11>2014
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA–OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
FHFA–OIG Investigative Files
Database (FHFA–OIG–2).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for
Investigations, Office of Inspector
General, Federal Housing Finance
Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records
is to maintain information relevant to
complaints received by FHFA–OIG and/
or collected and/or generated as part of
investigations or inquiries conducted by
or under the direction of the Office of
Investigations or Hotline, as well as
other information collected and/or
generated during the course of the
Office of Investigations’ official duties.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Employees of and detailees to the
Office of Investigations, subjects or
potential subjects of investigative
activities and individuals who may be,
are, or have been witnesses,
complainants, informants, subjects, or
otherwise involved in circumstances
pertaining or relating to a complaint,
investigation, or hotline or other inquiry
conducted by FHFA–OIG’s Office of
Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Reports of investigations or
inquiries, which may include, but are
not limited to, witness statements,
affidavits, transcripts, police reports,
photographs, documentation concerning
requests and approval for consensual
telephone and consensual nontelephone monitoring, the subject’s
prior criminal record, vehicle
maintenance records, medical records,
accident reports, insurance policies,
police reports, and other exhibits and
documents collected and/or generated
as part of an investigation or inquiry; (2)
status and disposition information
concerning a complaint, investigation,
or inquiry including prosecutive action
and/or administrative action; (3)
complaints or requests to investigate; (4)
subpoenas and evidence obtained in
response to a subpoena; (5) evidence
logs; (6) pen registers; (7)
correspondence; (8) records of seized
money and/or property; (9) reports of
laboratory examination, photographs,
and evidentiary reports; (10) digital
image files of physical evidence; (11)
documents generated for purposes of
FHFA–OIG’s undercover activities; (12)
documents pertaining to the identity of
confidential informants; (13) grand jury
material; (14) information or documents
pertaining to weapons qualifications
and/or use of force training; (15)
information or documents pertaining or
relating to the processing of hotline
complaints by, or under the direction of,
FHFA–OIG’s Office of Investigations,
including information from FHFA–
OIG’s other systems of records; and (16)
other documents collected and/or
generated by the Office of Investigations
during the course of official duties,
including, but not limited to,
information from FHFA–OIG’s other
systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
federal agencies/regulators, law
enforcement agencies, vendors,
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contractors, subcontractors, subject
individuals, complainants, witnesses,
and informants. Records in this system
may have originated in other FHFA/
FHFA–OIG systems of records and
subsequently transferred to this system.
khammond on DSKJM1Z7X2PROD with NOTICES
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations responsible
for investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, or license, when the
information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To an individual member of
Congress or a member of his/her staff in
response to an inquiry made at the
request of the individual who is the
subject of the record;
(4) To another Federal agency, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations to (a)
permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency or entity, or (b) verify the
identity of an individual or the accuracy
of information submitted by an
individual who has requested access to
or amendment or correction of records;
(5) To the Department of Justice,
outside counsel retained by FHFA–OIG,
or another Federal agency’s legal
representative when seeking legal
advice including, but not limited to,
whether to release information covered
by the Freedom of Information (5 U.S.C.
552) and Privacy Acts (5 U.S.C. 552a),
or the Department of Justice or outside
counsel retained by FHFA–OIG is
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17:03 Mar 08, 2021
Jkt 253001
representing FHFA–OIG or any FHFA–
OIG employee in his or her official or
individual capacity; or when FHFA–
OIG is a party to litigation or settlement
negotiations or has an interest in
litigation or settlement negotiations
being conducted by the Department of
Justice or outside counsel retained by
FHFA–OIG and FHFA–OIG has
determined such information to be
relevant and necessary to the litigation
or settlement negotiations;
(6) To another Federal Office of the
Inspector General, law enforcement
Task Force, or other Federal, state, local,
foreign, territorial, or tribal units of
government, other public authorities, or
self-regulatory organizations for the
purpose of preventing and/or
identifying fraud, waste, or abuse
related to FHFA’s programs or
operations;
(7) To the National Archives and
Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities,
and persons when (1) FHFA–OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA–OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA–OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA–OIG’s efforts
to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm;
(9) To another Federal agency or
Federal entity, when FHFA–OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either
private or governmental, that FHFA–
OIG has reason to believe possesses
information regarding a matter within
the jurisdiction of FHFA–OIG, to the
extent deemed to be necessary by
FHFA–OIG to elicit information or
cooperation from the recipient for use in
the performance of an authorized
activity relevant to an FHFA–OIG audit,
evaluation, investigation, or inquiry;
(11) To the Equal Employment
Opportunity Commission, Merit
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Fmt 4703
Sfmt 4703
13553
Systems Protection Board, Federal Labor
Relations Authority, Office of Special
Counsel, Office of Government Ethics
(OGE), Office of Personnel Management,
Government Accounting Office,
Department of Justice, Office of
Management and Budget, arbitrators,
and any other Federal agencies or other
entity responsible for conducting
investigations, other inquiries,
administrative actions, hearings, and/or
settlement efforts relating to personnel,
security clearance, security or suitability
or other administrative grievances,
complaints, claims, or appeals filed by
an employee, or if needed in the
performance of other authorized duties;
(12) In situations involving an
imminent danger of death or physical
injury to an individual or individuals in
danger;
(13) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA–OIG;
(14) To the public or to the media for
release to the public when the matter
under audit, review, evaluation,
investigation, or inquiry has become
public knowledge, or when the
Inspector General determines that such
disclosure is necessary either to
preserve confidence in the integrity of
FHFA–OIG’s audit, review, evaluation,
investigative, or inquiry processes or is
necessary to demonstrate the
accountability of FHFA–OIG employees,
officers or individuals covered by the
system, unless the Inspector General or
his/her delegee determines, after
consultation with counsel and the
Senior Privacy Official, that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy;
(15) To Congress, congressional
committees, or the staffs thereof, once
an FHFA–OIG report or management
alert has become final and the Inspector
General determines that its disclosure is
necessary to fulfill the Inspector
General’s responsibilities under the
Inspector General Act of 1978;
(16) To contractors, experts,
consultants, students, and others
engaged by FHFA–OIG, when necessary
to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other
entity which requires information
relevant to a decision concerning the
hiring, appointment, or retention of an
employee or contractor; the assignment,
detail, or deployment of an employee or
contractor; the issuance, renewal,
suspension, or revocation of an
employee’s or contractor’s security
clearance; the execution of a security or
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suitability investigation; the
adjudication of liability; or coverage
under FHFA–OIG’s liability insurance
policy;
(18) To Federal agencies and other
public authorities for use in records
management inspections, reporting
requirements, information collection,
including but not limited to, General
Services Administration (GSA) as part
of GSA’s responsibility to recommend
improvements in records management
practices and programs under authority
of 44 U.S.C. 2904 and 2906, OGE, as
part of the agency’s reporting
requirements set forth in 5 CFR 2638,
Subpart F, and any other system,
program, procedure or circumstance
where such disclosure is mandated by
Federal statute or regulation;
(19) To victims of a crime in
accordance with the Victims’ Rights and
Restitution Act of 1990 (34 U.S.C.
20141), to the extent appropriate;
(20) To a Federal agency in
connection with a pending or
prospective administrative enforcement
process or mechanism, including but
not limited to a suspension, debarment,
or suspended counterparty designation;
and
(21) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA–OIG staff members.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or
notification about any record contained
in this system of records, or seeking to
contest its content, may mail inquiries
to the Senior Privacy Official, FHFA–
OIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
CONTESTING RECORD PROCEDURES:
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records are retrieved by name, Social
Security Number, and/or case number.
khammond on DSKJM1Z7X2PROD with NOTICES
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
FHFA’s Comprehensive Records
Schedule Item 7 (N1–543–11–1,
approved 01/11/2013), which provides
the cut-off and disposition schedules for
Inspector General records. Additional
approved schedules may apply.
Destruction of records shall occur in the
manner(s) appropriate to the type of
record, such as shredding of paper
records and/or deletion of computer
records.
VerDate Sep<11>2014
17:03 Mar 08, 2021
Jkt 253001
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA–OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
HISTORY:
The original version of this SORN was
published in the Federal Register on
March 2, 2011 (76 FR 11465). It was
amended on November 1, 2013 (78 FR
65644).
PO 00000
Frm 00036
Fmt 4703
Sfmt 4703
FHFA–OIG–3
SYSTEM NAME AND NUMBER:
FHFA–OIG Investigative Document
Repository MIS Database (FHFA–OIG–
3).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for
Investigations, Office of Inspector
General, Federal Housing Finance
Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12
U.S.C.4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records
is to enable Office of Investigations’
employees to access, share, restrict, or
maintain information that has been
collected and/or generated during the
course of an investigation or inquiry, as
appropriate. Materials relating to an
investigation or inquiry may or may not
become part of the official case file. The
system also serves as a storage and filing
system for working copies, drafts, and
final versions of documents collected
and/or generated by the Office of
Investigations in the performance of
other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Employees of and detailees to the
Office of Investigations, subjects or
potential subjects of investigative
activities and individuals who may be,
are, or have been witnesses,
complainants, informants, subjects, or
otherwise involved in circumstances
pertaining or relating to a complaint,
investigation, or hotline or other inquiry
conducted by FHFA-OIG’s Office of
Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Working copies, drafts, and final
documents that the Office of
Investigations is considering or using, or
has collected and/or generated while an
investigation or inquiry is in progress
including but not limited to: (1) Reports
of investigations or inquiries, which
may include, but are not limited to,
witness statements, affidavits,
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transcripts, police reports, photographs,
documentation concerning requests and
approval for consensual telephone and
consensual non-telephone monitoring,
the subject’s prior criminal record,
vehicle maintenance records, medical
records, accident reports, insurance
policies, police reports, and other
exhibits and documents collected and/
or generated as part of an investigation
or inquiry; (2) status and disposition
information concerning a complaint,
investigation, or inquiry including
prosecutive action and/or
administrative action; (3) complaints or
requests to investigate; (4) subpoenas
and evidence obtained in response to a
subpoena; (5) evidence logs; (6) pen
registers; (7) correspondence; (8) records
of seized money and/or property; (9)
reports of laboratory examination,
photographs, and evidentiary reports;
(10) digital image files of physical
evidence; (11) documents generated for
purposes of FHFA-OIG’s undercover
activities; (12) documents pertaining to
the identity of confidential informants;
(13) grand jury materials; (14)
information or documents pertaining or
relating to the processing of hotline
complaints by, or under the direction of,
FHFA-OIG’s Office of Investigations,
including information from FHFA-OIG’s
other systems of records; and (15) any
other documents collected and/or
generated by the Office of Investigations
during the course of official duties,
including but not limited to,
information from FHFA-OIG’s other
systems of records, quality assurance
reviews, A–123, peer reviews, training
documents.
RECORD SOURCE CATEGORIES:
The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
federal agencies/regulators, law
enforcement agencies, vendors,
contractors, subcontractors, subject
individuals, complainants, witnesses,
and informants. Records in this system
may have originated in other FHFA/
FHFA-OIG systems of records and
subsequently transferred to this system.
khammond on DSKJM1Z7X2PROD with NOTICES
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations responsible
for investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, or license, when the
VerDate Sep<11>2014
17:03 Mar 08, 2021
Jkt 253001
information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To an individual member of
Congress or a member of his/her staff in
response to an inquiry made at the
request of the individual who is the
subject of the record;
(4) To another Federal agency, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations to (a)
permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency or entity, or (b) verify the
identity of an individual or the accuracy
of information submitted by an
individual who has requested access to
or amendment or correction of records;
(5) To the Department of Justice,
outside counsel retained by FHFA-OIG,
or another Federal agency’s legal
representative when seeking legal
advice including, but not limited to,
whether to release information covered
by the Freedom of Information (5 U.S.C.
552) and Privacy Acts (5 U.S.C. 552a),
or the Department of Justice or outside
counsel retained by FHFA-OIG is
representing FHFA-OIG or any FHFAOIG employee in his or her official or
individual capacity; or when FHFA-OIG
is a party to litigation or settlement
negotiations or has an interest in
litigation or settlement negotiations
being conducted by the Department of
Justice or outside counsel retained by
FHFA-OIG and FHFA-OIG has
determined such information to be
relevant and necessary to the litigation
or settlement negotiations;
(6) To another Federal Office of the
Inspector General, law enforcement
Task Force, or other Federal, state, local,
foreign, territorial, or tribal units of
government, other public authorities, or
self-regulatory organizations for the
purpose of preventing and/or
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Sfmt 4703
13555
identifying fraud, waste, or abuse
related to FHFA’s programs or
operations;
(7) To the National Archives and
Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities,
and persons when (1) FHFA-OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA-OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA-OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA-OIG’s efforts
to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm;
(9) To another Federal agency or
Federal entity, when FHFA-OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either
private or governmental, that FHFA-OIG
has reason to believe possesses
information regarding a matter within
the jurisdiction of FHFA-OIG, to the
extent deemed to be necessary by
FHFA-OIG to elicit information or
cooperation from the recipient for use in
the performance of an authorized
activity relevant to an FHFA-OIG audit,
evaluation, investigation, or inquiry;
(11) To the Equal Employment
Opportunity Commission, Merit
Systems Protection Board, Federal Labor
Relations Authority, Office of Special
Counsel, Office of Government Ethics
(OGE), Office of Personnel Management,
Government Accounting Office,
Department of Justice, Office of
Management and Budget, arbitrators,
and any other Federal agencies or other
entity responsible for conducting
investigations, other inquiries,
administrative actions, hearings, and/or
settlement efforts relating to personnel,
security clearance, security or suitability
or other administrative grievances,
complaints, claims, or appeals filed by
an employee, or if needed in the
performance of other authorized duties;
(12) In situations involving an
imminent danger of death or physical
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injury to an individual or individuals in
danger;
(13) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA-OIG;
(14) To the public or to the media for
release to the public when the matter
under audit, review, evaluation,
investigation, or inquiry has become
public knowledge, or when the
Inspector General determines that such
disclosure is necessary either to
preserve confidence in the integrity of
FHFA-OIG’s audit, review, evaluation,
investigative, or inquiry processes or is
necessary to demonstrate the
accountability of FHFA-OIG employees,
officers or individuals covered by the
system, unless the Inspector General or
his/her delegee determines, after
consultation with counsel and the
Senior Privacy Official, that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy;
(15) To Congress, congressional
committees, or the staffs thereof, once
an FHFA-OIG report or management
alert has become final and the Inspector
General determines that its disclosure is
necessary to fulfill the Inspector
General’s responsibilities under the
Inspector General Act of 1978;
(16) To contractors, experts,
consultants, students, and others
engaged by FHFA-OIG, when necessary
to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other
entity which requires information
relevant to a decision concerning the
hiring, appointment, or retention of an
employee or contractor; the assignment,
detail, or deployment of an employee or
contractor; the issuance, renewal,
suspension, or revocation of an
employee’s or contractor’s security
clearance; the execution of a security or
suitability investigation; the
adjudication of liability; or coverage
under FHFA-OIG’s liability insurance
policy;
(18) To Federal agencies and other
public authorities for use in records
management inspections, reporting
requirements, information collection,
including but not limited to, General
Services Administration (GSA) as part
of GSA’s responsibility to recommend
improvements in records management
practices and programs under authority
of 44 U.S.C. 2904 and 2906, OGE, as
part of the agency’s reporting
requirements set forth in 5 CFR 2638,
Subpart F, and any other system,
program, procedure or circumstance
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where such disclosure is mandated by
Federal statute or regulation;
(19) To victims of a crime in
accordance with the Victims’ Rights and
Restitution Act of 1990 (34 U.S.C.
20141), to the extent appropriate;
(20) To a Federal agency in
connection with a pending or
prospective administrative enforcement
process or mechanism, including but
not limited to a suspension, debarment,
or suspended counterparty designation;
and
(21) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records are retrieved by name, Social
Security Number, and/or case number.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
FHFA’s Comprehensive Records
Schedule Item 7(N1–543–11–1,
approved 01/11/2013), which provides
the cut-off and disposition schedules for
Inspector General records. Additional
approved schedules may apply.
Destruction of records shall occur in the
manner(s) appropriate to the type of
record, such as shredding of paper
records and/or deletion of computer
records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or
notification about any record contained
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Fmt 4703
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in this system of records, or seeking to
contest its content, may mail inquiries
to the Senior Privacy Official, FHFAOIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
CONTESTING RECORD PROCEDURES:
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA-OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
HISTORY:
The original version of this SORN was
published in the Federal Register on
March 2, 2011 (76 FR 11465). It was
amended on November 1, 2013 (78 FR
65644).
FHFA–OIG–4
SYSTEM NAME AND NUMBER:
FHFA–OIG Non-Criminal
Administrative Inquiries Database
(FHFA–OIG–4).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for
Compliance and Special Projects, Office
of Inspector General, Federal Housing
Finance Agency, 400 7th Street SW,
Washington, DC 20219.
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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
basic data about the non-criminal
administrative inquiries themselves,
including inquiry name, inquiry
number, relevant dates and status.
PURPOSE(S) OF THE SYSTEM:
RECORD SOURCE CATEGORIES:
The purpose of this system is to
segregate records collected and/or
generated during the course of a noncriminal administrative inquiry
conducted by employees of one or more
of FHFA–OIG’s operational divisions
from investigations or inquiries
conducted by employees of the Office of
Investigations and to enable employees
of those operational divisions to access,
share, restrict, or maintain information
that has been collected and/or generated
as part of a non-criminal administrative
inquiry, as appropriate. The system also
serves as a storage and filing system for
working copies, drafts, and final
versions of documents collected and/or
generated by employees of one or more
of FHFA–OIG’s operational divisions,
other than the Office of Investigations,
in the performance of other official
duties involving non-criminal
administrative inquiries.
The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
federal agencies/regulators, law
enforcement agencies, vendors,
contractors, subcontractors, subject
individuals, complainants, witnesses,
and informants. Records in this system
may have originated in other FHFA/
FHFA–OIG systems of records and
subsequently transferred to this system.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Employees of and detailees to any
FHFA–OIG operational division other
than the Office of Investigations who are
assigned to work on a non-criminal
administrative inquiry, individuals who
may be, are, or have been witnesses,
complainants, informants, subjects, or
otherwise involved in circumstances
pertaining or relating to a non-criminal
administrative inquiry conducted by
any FHFA–OIG operational division
other than the Office of Investigations.
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CATEGORIES OF RECORDS IN THE SYSTEM:
Working copies, drafts, and final
documents that any FHFA–OIG
operational division other than the
Office of Investigations is considering or
using, or has collected and/or generated
as part of a non-criminal administrative
inquiry, including but not limited to: (1)
Reports of administrative inquiries
pertaining to non-criminal hotline
complaints and/or other non-criminal
matters; (2) records of interviews and
other verbal communications; (3)
memos reflecting analysis of facts and
law; (4) other documents collected and/
or generated by any FHFA–OIG
operational division employee, other
than those assigned to the Office of
Investigations, during the course of
official duties pertaining to noncriminal administrative inquiries,
including information included in
FHFA–OIG’s other systems of records.
In addition, the system will include
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations responsible
for investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, or license, when the
information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To an individual member of
Congress or a member of his/her staff in
response to an inquiry made at the
request of the individual who is the
subject of the record;
(4) To another Federal agency, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations to (a)
permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency or entity, or (b) verify the
identity of an individual or the accuracy
of information submitted by an
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13557
individual who has requested access to
or amendment or correction of records;
(5) To the Department of Justice,
outside counsel retained by FHFA–OIG,
or another Federal agency’s legal
representative when seeking legal
advice including, but not limited to,
whether to release information covered
by the Freedom of Information (5 U.S.C.
552) and Privacy Acts (5 U.S.C. 552a),
or the Department of Justice or outside
counsel retained by FHFA–OIG is
representing FHFA–OIG or any FHFA–
OIG employee in his or her official or
individual capacity; or when FHFA–
OIG is a party to litigation or settlement
negotiations or has an interest in
litigation or settlement negotiations
being conducted by the Department of
Justice or outside counsel retained by
FHFA–OIG and FHFA–OIG has
determined such information to be
relevant and necessary to the litigation
or settlement negotiations;
(6) To another Federal Office of the
Inspector General, law enforcement
Task Force, or other Federal, state, local,
foreign, territorial, or tribal units of
government, other public authorities, or
self-regulatory organizations for the
purpose of preventing and/or
identifying fraud, waste, or abuse
related to FHFA’s programs or
operations;
(7) To the National Archives and
Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities,
and persons when (1) FHFA–OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA–OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA–OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA–OIG’s efforts
to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm;
(9) To another Federal agency or
Federal entity, when FHFA–OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
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(10) To any person or entity, either
private or governmental, that FHFA–
OIG has reason to believe possesses
information regarding a matter within
the jurisdiction of FHFA–OIG, to the
extent deemed to be necessary by
FHFA–OIG to elicit information or
cooperation from the recipient for use in
the performance of an authorized
activity relevant to an FHFA–OIG audit,
evaluation, investigation, or inquiry;
(11) To the Equal Employment
Opportunity Commission, Merit
Systems Protection Board, Federal Labor
Relations Authority, Office of Special
Counsel, Office of Government Ethics
(OGE), Office of Personnel Management,
Government Accounting Office,
Department of Justice, Office of
Management and Budget, arbitrators,
and any other Federal agencies or other
entity responsible for conducting
investigations, other inquiries,
administrative actions, hearings, and/or
settlement efforts relating to personnel,
security clearance, security or suitability
or other administrative grievances,
complaints, claims, or appeals filed by
an employee, or if needed in the
performance of other authorized duties;
(12) In situations involving an
imminent danger of death or physical
injury to an individual or individuals in
danger;
(13) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA–OIG;
(14) To the public or to the media for
release to the public when the matter
under audit, review, evaluation,
investigation, or inquiry has become
public knowledge, or when the
Inspector General determines that such
disclosure is necessary either to
preserve confidence in the integrity of
FHFA–OIG’s audit, review, evaluation,
investigative, or inquiry processes or is
necessary to demonstrate the
accountability of FHFA–OIG employees,
officers or individuals covered by the
system, unless the Inspector General or
his/her delegee determines, after
consultation with counsel and the
Senior Privacy Official, that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy;
(15) To Congress, congressional
committees, or the staffs thereof, once
an FHFA–OIG report or management
alert has become final and the Inspector
General determines that its disclosure is
necessary to fulfill the Inspector
General’s responsibilities under the
Inspector General Act of 1978;
(16) To contractors, experts,
consultants, students, and others
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Jkt 253001
engaged by FHFA–OIG, when necessary
to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other
entity which requires information
relevant to a decision concerning the
hiring, appointment, or retention of an
employee or contractor; the assignment,
detail, or deployment of an employee or
contractor; the issuance, renewal,
suspension, or revocation of an
employee’s or contractor’s security
clearance; the execution of a security or
suitability investigation; the
adjudication of liability; or coverage
under FHFA–OIG’s liability insurance
policy;
(18) To Federal agencies and other
public authorities for use in records
management inspections, reporting
requirements, information collection,
including but not limited to, General
Services Administration (GSA) as part
of GSA’s responsibility to recommend
improvements in records management
practices and programs under authority
of 44 U.S.C. 2904 and 2906, OGE, as
part of the agency’s reporting
requirements set forth in 5 CFR 2638,
Subpart F, and any other system,
program, procedure or circumstance
where such disclosure is mandated by
Federal statute or regulation;
(19) To victims of a crime in
accordance with the Victims’ Rights and
Restitution Act of 1990 (34 U.S.C.
20141), to the extent appropriate;
(20) To a Federal agency in
connection with a pending or
prospective administrative enforcement
process or mechanism, including but
not limited to a suspension, debarment,
or suspended counterparty designation;
and
(21) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA–OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records are retrieved by name of the
employee assigned to the non-criminal
administrative inquiry, support staff,
name of the complainant, witness,
subject of the non-criminal
administrative inquiry, unique inquiry
number, or job code.
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Fmt 4703
Sfmt 4703
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
FHFA’s Comprehensive Records
Schedule Item 7 (N1–543–11–1,
approved 01/11/2013), which provides
the cut-off and disposition schedules for
Inspector General records. Additional
approved schedules may apply.
Destruction of records shall occur in the
manner(s) appropriate to the type of
record, such as shredding of paper
records and/or deletion of computer
records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or
notification about any record contained
in this system of records, or seeking to
contest its content, may mail inquiries
to the Senior Privacy Official, FHFA–
OIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
CONTESTING RECORD PROCEDURES:
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
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U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA–OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
HISTORY:
The original version of this SORN was
published in the Federal Register on
March 2, 2011 (76 FR 11465). It was
amended on November 1, 2013 (78 FR
65644).
FHFA–OIG–5
SYSTEM NAME AND NUMBER:
FHFA–OIG Correspondence Database
(FHFA–OIG–5).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Executive Office, Office of Inspector
General, Federal Housing Finance
Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system consists of
correspondence received by FHFA–OIG
from individuals and their
representatives, oversight committees,
and others who conduct business with
FHFA–OIG and the responses thereto; it
serves as a record of in-coming
correspondence and the steps taken to
respond thereto.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
(1) Correspondents; (2) persons upon
whose behalf correspondence was
initiated; and (3) FHFA–OIG personnel
responding to correspondents or their
representatives.
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CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Correspondence received by
FHFA–OIG and responses generated
thereto; and (2) records used to respond
to incoming correspondence, including
information included in FHFA–OIG’s
other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
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federal agencies/regulators, law
enforcement agencies, vendors,
contractors, subcontractors, subject
individuals, complainants, witnesses,
and informants. Records in this system
may have originated in other FHFA/
FHFA–OIG systems of records and
subsequently transferred to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations responsible
for investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, or license, when the
information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To an individual member of
Congress or a member of his/her staff in
response to an inquiry made at the
request of the individual who is the
subject of the record;
(4) To another Federal agency, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations to (a)
permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency or entity, or (b) verify the
identity of an individual or the accuracy
of information submitted by an
individual who has requested access to
or amendment or correction of records;
(5) To the Department of Justice,
outside counsel retained by FHFA–OIG,
or another Federal agency’s legal
representative when seeking legal
advice including, but not limited to,
whether to release information covered
by the Freedom of Information (5 U.S.C.
552) and Privacy Acts (5 U.S.C. 552a),
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13559
or the Department of Justice or outside
counsel retained by FHFA–OIG is
representing FHFA–OIG or any FHFA–
OIG employee in his or her official or
individual capacity; or when FHFA–
OIG is a party to litigation or settlement
negotiations or has an interest in
litigation or settlement negotiations
being conducted by the Department of
Justice or outside counsel retained by
FHFA–OIG and FHFA–OIG has
determined such information to be
relevant and necessary to the litigation
or settlement negotiations;
(6) To another Federal Office of the
Inspector General, law enforcement
Task Force, or other Federal, state, local,
foreign, territorial, or tribal units of
government, other public authorities, or
self-regulatory organizations for the
purpose of preventing and/or
identifying fraud, waste, or abuse
related to FHFA’s programs or
operations;
(7) To the National Archives and
Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities,
and persons when (1) FHFA–OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA–OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA–OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA–OIG’s efforts
to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm;
(9) To another Federal agency or
Federal entity, when FHFA–OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either
private or governmental, that FHFA–
OIG has reason to believe possesses
information regarding a matter within
the jurisdiction of FHFA–OIG, to the
extent deemed to be necessary by
FHFA–OIG to elicit information or
cooperation from the recipient for use in
the performance of an authorized
activity relevant to an FHFA–OIG audit,
evaluation, investigation, or inquiry;
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(11) To the Equal Employment
Opportunity Commission, Merit
Systems Protection Board, Federal Labor
Relations Authority, Office of Special
Counsel, Office of Government Ethics
(OGE), Office of Personnel Management,
Government Accounting Office,
Department of Justice, Office of
Management and Budget, arbitrators,
and any other Federal agencies or other
entity responsible for conducting
investigations, other inquiries,
administrative actions, hearings, and/or
settlement efforts relating to personnel,
security clearance, security or suitability
or other administrative grievances,
complaints, claims, or appeals filed by
an employee, or if needed in the
performance of other authorized duties;
(12) In situations involving an
imminent danger of death or physical
injury to an individual or individuals in
danger;
(13) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA–OIG;
(14) To the public or to the media for
release to the public when the matter
under audit, review, evaluation,
investigation, or inquiry has become
public knowledge, or when the
Inspector General determines that such
disclosure is necessary either to
preserve confidence in the integrity of
FHFA–OIG’s audit, review, evaluation,
investigative, or inquiry processes or is
necessary to demonstrate the
accountability of FHFA–OIG employees,
officers or individuals covered by the
system, unless the Inspector General or
his/her delegee determines, after
consultation with counsel and the
Senior Privacy Official, that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy;
(15) To Congress, congressional
committees, or the staffs thereof, once
an FHFA–OIG report or management
alert has become final and the Inspector
General determines that its disclosure is
necessary to fulfill the Inspector
General’s responsibilities under the
Inspector General Act of 1978;
(16) To contractors, experts,
consultants, students, and others
engaged by FHFA–OIG, when necessary
to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other
entity which requires information
relevant to a decision concerning the
hiring, appointment, or retention of an
employee or contractor; the assignment,
detail, or deployment of an employee or
contractor; the issuance, renewal,
suspension, or revocation of an
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employee’s or contractor’s security
clearance; the execution of a security or
suitability investigation; the
adjudication of liability; or coverage
under FHFA–OIG’s liability insurance
policy;
(18) To Federal agencies and other
public authorities for use in records
management inspections, reporting
requirements, information collection,
including but not limited to, General
Services Administration (GSA) as part
of GSA’s responsibility to recommend
improvements in records management
practices and programs under authority
of 44 U.S.C. 2904 and 2906, OGE, as
part of the agency’s reporting
requirements set forth in 5 CFR 2638,
Subpart F, and any other system,
program, procedure or circumstance
where such disclosure is mandated by
Federal statute or regulation;
(19) To victims of a crime in
accordance with the Victims’ Rights and
Restitution Act of 1990 (34 U.S.C.
20141), to the extent appropriate;
(20) To a Federal agency in
connection with a pending or
prospective administrative enforcement
process or mechanism, including but
not limited to a suspension, debarment,
or suspended counterparty designation;
and
(21) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA–OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records are retrieved by name of the
correspondent and/or name of the
individual(s) to whom the record
applies.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
FHFA’s Comprehensive Records
Schedule Item 7 (N1–543–11–1,
approved 01/11/2013), which provides
the retention and disposition schedules
for Inspector General records.
Additional approved schedules may
apply. Destruction of records shall occur
in the manner(s) appropriate to the type
of record, such as shredding of paper
records and/or deletion of computer
records.
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ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or
notification about any record contained
in this system of records, or seeking to
contest its content, may mail inquiries
to the Senior Privacy Official, FHFA–
OIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
CONTESTING RECORD PROCEDURES:
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA–OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
HISTORY:
The original version of this SORN was
published in the Federal Register on
March 2, 2011 (76 FR 11465). It was
amended on November 1, 2013 (78 FR
65644).
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FHFA–OIG–6
RECORD SOURCE CATEGORIES:
SYSTEM NAME AND NUMBER:
FHFA–OIG Evaluations Files Database
(FHFA–OIG–6).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for
Evaluations, Office of Inspector General,
Federal Housing Finance Agency, 400
7th Street SW, Washington, DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system is maintained to enable
Office of Evaluations’ employees to
access, share, restrict, or maintain
information that has been collected and/
or generated as part of an evaluation, as
appropriate. Materials relating to an
evaluation may or may not become part
of the official evaluation file. The
system also serves as a storage and filing
system for working copies, drafts, and
final versions of documents collected
and/or generated by the Office of
Evaluations in the performance of other
official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Employees of and detailees to the
Office of Evaluations and subjects or
potential subjects of evaluation
activities, and individuals who may be,
are, or have been witnesses,
complainants, informants, subjects, or
otherwise involved in circumstances
pertaining or relating to an evaluation
conducted by FHFA–OIG’s Office of
Evaluations.
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CATEGORIES OF RECORDS IN THE SYSTEM:
Drafts and final documents of the
following types: (1) Evaluation reports,
white papers, and other reports or
studies; (2) working papers, which may
include copies of correspondence,
evidence, subpoenas, responses to
evidence requests, memoranda of
interviews conducted, statistical tables;
and (3) other documents collected and/
or generated by the Office of Evaluations
during the course of official duties,
including information in FHFA–OIG’s
other systems of records.
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The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
federal agencies/regulators, law
enforcement agencies, vendors,
contractors, subcontractors, subject
individuals, complainants, witnesses,
and informants. Records in this system
may have originated in other FHFA/
FHFA–OIG systems of records and
subsequently transferred to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations responsible
for investigating or prosecuting the
violations of, or for enforcing or
implementing, a statute, rule,
regulation, order, or license, when the
information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To an individual member of
Congress or a member of his/her staff in
response to an inquiry made at the
request of the individual who is the
subject of the record;
(4) To another Federal agency, state,
local, foreign, territorial, tribal units of
government, other public authorities, or
self-regulatory organizations to (a)
permit a decision as to access,
amendment or correction of records to
be made in consultation with or by that
agency or entity, or (b) verify the
identity of an individual or the accuracy
of information submitted by an
individual who has requested access to
or amendment or correction of records;
(5) To the Department of Justice,
outside counsel retained by FHFA–OIG,
or another Federal agency’s legal
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13561
representative when seeking legal
advice, including, but not limited to,
whether to release information covered
by the Freedom of Information (5 U.S.C.
552) and Privacy Acts (5 U.S.C. 552a) or
when the Department of Justice or
outside counsel retained by FHFA–OIG
is representing FHFA–OIG or any
FHFA–OIG employee in his or her
official or individual capacity; or when
FHFA–OIG is a party to litigation or
settlement negotiations or has an
interest in litigation or settlement
negotiations being conducted by the
Department of Justice or outside counsel
retained by FHFA–OIG and FHFA–OIG
has determined such information to be
relevant and necessary to the litigation
or settlement negotiations;
(6) To another Federal Office of the
Inspector General, law enforcement
Task Force, or other Federal, state, local,
foreign, territorial, or tribal units of
government, other public authorities, or
self-regulatory organizations for the
purpose of preventing and/or
identifying fraud, waste, or abuse
related to FHFA’s programs or
operations;
(7) To the National Archives and
Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities,
and persons when (1) FHFA–OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA–OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA–OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA–OIG’s efforts
to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm;
(9) To another Federal agency or
Federal entity, when FHFA–OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either
private or governmental, that FHFA–
OIG has reason to believe possesses
information regarding a matter within
the jurisdiction of FHFA–OIG, to the
extent deemed to be necessary to elicit
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information or cooperation from the
recipient for use in the performance of
an authorized activity relevant to an
FHFA–OIG audit, evaluation,
investigation, or inquiry;
(11) To the Equal Employment
Opportunity Commission, Merit
Systems Protection Board, Federal Labor
Relations Authority, Office of Special
Counsel, Office of Government Ethics
(OGE), Office of Personnel Management,
Government Accounting Office,
Department of Justice, Office of
Management and Budget, arbitrators,
and any other Federal agencies or other
entity responsible for conducting
investigations, other inquiries,
administrative actions, hearings, and/or
settlement efforts relating to personnel,
security clearance, security or suitability
or other administrative grievances,
complaints, claims, or appeals filed by
an employee, or if needed in the
performance of other authorized duties;
(12) In situations involving an
imminent danger of death or physical
injury to an individual or individuals in
danger;
(13) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA–OIG;
(14) To the public or to the media for
release to the public when the matter
under audit, review, evaluation,
investigation, or inquiry has become
public knowledge, or when the
Inspector General determines that such
disclosure is necessary either to
preserve confidence in the integrity of
FHFA–OIG’s audit, review, evaluation,
investigative, or inquiry processes or is
necessary to demonstrate the
accountability of FHFA–OIG employees,
officers or individuals covered by the
system, unless the Inspector General or
his/her delegee determines, after
consultation with counsel and the
Senior Privacy Official, that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy;
(15) To Congress, congressional
committees, or the staffs thereof, once
an FHFA–OIG report or management
alert has become final and the Inspector
General determines that its disclosure is
necessary to fulfill the Inspector
General’s responsibilities under the
Inspector General Act of 1978;
(16) To contractors, experts,
consultants, students, and others
engaged by FHFA–OIG, when necessary
to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other
entity which requires information
relevant to a decision concerning the
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hiring, appointment, or retention of an
employee or contractor; the assignment,
detail, or deployment of an employee or
contractor; the issuance, renewal,
suspension, or revocation of an
employee’s or contractor’s security
clearance; the execution of a security or
suitability investigation; the
adjudication of liability; or coverage
under FHFA–OIG’s liability insurance
policy;
(18) To Federal agencies and other
public authorities for use in records
management inspections, reporting
requirements, information collection,
including but not limited to, General
Services Administration (GSA) as part
of GSA’s responsibility to recommend
improvements in records management
practices and programs under authority
of 44 U.S.C. 2904 and 2906, OGE, as
part of the agency’s reporting
requirements set forth in 5 CFR 2638,
Subpart F, and any other system,
program, procedure or circumstance
where such disclosure is mandated by
Federal statute or regulation;
(19) To victims of a crime in
accordance with the Victims’ Rights and
Restitution Act of 1990 (34 U.S.C.
20141), to the extent appropriate;
(20) To a Federal agency in
connection with a pending or
prospective administrative enforcement
process or mechanism, including but
not limited to a suspension, debarment,
or suspended counterparty designation;
and
(21) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA–OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records are retrieved by name of the
evaluator, support staff, subject of or
witnesses to the evaluation, unique
evaluation number, or job code.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
FHFA’s Comprehensive Records
Schedule Item 7 (N1–543–11–1,
approved 01/11/2013), which provides
the cut-off and disposition schedules for
Inspector General records. Additional
approved schedules may apply.
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Destruction of records shall occur in the
manner(s) appropriate to the type of
record, such as shredding of paper
records and/or deletion of computer
records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or
notification about any record contained
in this system of records, or seeking to
contest its content, may mail inquiries
to the Senior Privacy Official, FHFA–
OIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
CONTESTING RECORD PROCEDURES:
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA–OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
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HISTORY:
The original version of this SORN was
published in the Federal Register on
November 1, 2013 (78 FR 65644).
FHFA–OIG–7
SYSTEM NAME AND NUMBER:
FHFA–OIG Freedom of Information
Act (FOIA), Privacy Act (PA), and
FOIA/PA (FOPA) Records (FHFA–
OIG–7).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA–OIG, 400 7th Street SW,
Washington, DC 20219, and any
alternate work site utilized by FHFA–
OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Chief Counsel, Office of Inspector
General, Federal Housing Finance
Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and
maintained pursuant to 12 U.S.C.
4517(d), 5 U.S.C. App. 3, the Freedom
of Information Act (5 U.S.C. 552), the
Privacy Act of 1974 (5 U.S.C. 552a), and
12 CFR parts 1202 and 1204.
PURPOSE(S) OF THE SYSTEM:
The records are collected, used,
maintained, and disseminated to
process FOIA, PA, and FOPA requests
and administrative appeals and/or
administrative appeals of final
determinations on such requests. The
records are also used to prepare reports
to the Office of Management and
Budget, the Department of Justice, and
Congress as required by the FOIA or PA;
to participate in litigation arising from
FHFA–OIG’s decisions and
determinations on FOIA, PA, and FOPA
requests and administrative appeals,
and any other matters relating or
pertaining to FOIA, PA, or FOPA
requests and/or administrative appeals
of final determinations on such
requests.
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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who have submitted
requests for information pursuant to the
FOIA; individuals who have submitted
requests for records about themselves
under the provisions of the PA;
individuals who have submitted a
hybrid request for information under the
FOIA and for information about
themselves under the PA (FOPA);
attorneys or other individuals
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authorized to represent and/or receive
information on behalf of a FOIA, PA, or
FOPA requester or individual filing an
administrative appeal regarding such
requests; individuals whose requests,
appeals or other records have been
referred to FHFA–OIG by other
agencies; individuals who have been
asked to consult as part of the FOIA
(b)(4) exemption process; individuals
filing an administrative appeal of a
denial, in whole or part, of any such
requests; individuals filing a civil action
in federal court of a denial, in whole or
part, of any such requests; employees of
and detailees to the Office of Counsel
who process and/or respond to FOIA,
PA, FOPA requests or administrative
appeals; and any other individual
otherwise involved in circumstances
pertaining or relating to the processing
of a FOIA, PA, or FOPA request or
administrative appeal.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records submitted, created, retrieved
and/or compiled in response to FOIA,
PA, and FOPA requests and/or
administrative appeals of final
determinations on such requests,
including original requests and
administrative appeals; responses to
requests and administrative appeals
including but not limited to
acknowledgement letters, fee
estimations, waivers, and other fee
issues, requests for expedited review,
verifications of identification, final
determination letters, and copies of
responsive records; internal
memoranda, analyses, notes, and other
records concerning the applicability of
exemptions, exceptions, or other issues
concerning FOIA, PA, FOPA
determinations; emails or other
correspondence between or among
employees who process and/or respond
to FOIA, PA, and FOPA requests or
administrative appeals; emails or other
correspondence between or among
employees who process and/or respond
to FOIA, PA, and FOPA requests or
administrative appeals and other
individuals associated with the FOIA,
PA, and FOPA process, including, but
not limited to: Requesters, operational
division staff members, employees of
referring agencies, individuals with
whom consultation is undertaken,
representatives or attorneys; memoranda
to or from other federal agencies having
a substantial interest in the
determination of the request; civil
actions filed in federal court of a denial,
in whole or part, of any such requests;
and any other records submitted,
created, retrieved and/or compiled
during the course of performing official
duties relating or pertaining to FOIA,
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13563
PA, or FOPA requests and/or
administrative appeals of final
determinations on such requests,
including information contained FHFA–
OIG’s other systems of records.
The records may contain personal
information submitted, created,
retrieved and/or compiled in response
to FOIA, PA, FOPA requests and/or
administrative appeals of a final
determination on such requests
including, but not limited to: Names,
property and email addresses, phone
numbers, loan information, tracking
numbers, identity verification
information including birth places and
dates, or other personal identifying
information supplied by individuals
making FOIA, PA, or FOPA requests.
These records may contain inquiries
and requests regarding any of FHFA–
OIG’s other systems of records subject to
the FOIA and PA, and information
about individuals from any of these
other systems may become part of this
system of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a
variety of sources, including FHFA,
FHFA’s regulated entities, current and
former employees of FHFA, other
federal agencies/regulators, law
enforcement agencies, vendors,
contractors, subcontractors, subject
individuals, complainants, witnesses,
informants, and persons requesting
agency records under the FOIA and the
Privacy Act. Records in this system may
have originated in other FHFA/FHFA–
OIG systems of records and
subsequently transferred to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state,
local, and foreign authorities
responsible for investigating or
prosecuting the violations of, or for
enforcing or implementing, a statute,
rule, regulation, order, or license, when
the information indicates a violation or
potential violation of law, whether civil,
criminal, or regulatory in nature, and
whether arising by general statute or
particular program statute, or by
regulation, rule, or order issued
pursuant thereto or is relevant to the
recipient entity’s law enforcement
responsibilities;
(2) To a court, magistrate, grand jury,
administrative tribunal, or adjudicative
body in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations, in response to a
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subpoena, or in connection with
criminal law proceedings, including
plea agreements, when OIG is a party or
has a significant interest in the
proceeding, to the extent that the
information is determined to be relevant
and necessary;
(3) To a member of Congress or a
member of his/her staff in response to
an inquiry made at the request of the
individual who is the subject of the
record;
(4) To another Federal government
agency having a substantial interest in
the determination of the request or for
the purpose of consulting with that
agency as to the propriety of access or
correction of the record in order to
complete the processing of requests;
(5) To the National Archives and
Records Administration, Office of
Government Information Services
(OGIS), to the extent necessary to fulfill
its responsibilities in 5 U.S.C. 552(b), to
review administrative agency policies,
procedures, and compliance with the
Freedom of Information Act, and to
facilitate OGIS mediation services to
resolve disputes between persons
making FOIA requests and
administrative agencies.
(6) To appropriate agencies, entities,
and persons when (1) FHFA–OIG
suspects or has confirmed that there has
been a breach of the system of records;
(2) FHFA–OIG has determined that as a
result of the suspected or confirmed
breach there is a risk of harm to
individuals, FHFA–OIG (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with FHFA–OIG’s efforts
to respond to the suspected or
confirmed breach and prevent,
minimize, or remedy such harm;
(7) To another Federal agency or
Federal entity, when FHFA–OIG
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach; or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
(8) To other Federal Offices of
Inspector General or other entities,
during the conduct of internal and
external peer reviews of FHFA–OIG;
(9) To contractors, experts,
consultants, students, and others
engaged by FHFA–OIG, when necessary
VerDate Sep<11>2014
17:03 Mar 08, 2021
Jkt 253001
to accomplish an agency function
related to this system of records;
(10) To appropriate Federal agencies
and other public authorities for use in
records management inspections; and
(11) To the Council of the Inspectors
General on Integrity and Efficiency and
its committees, another Federal Office of
Inspector General, or other Federal law
enforcement office in connection with
an allegation of wrongdoing by the
Inspector General or by designated
FHFA–OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are maintained in electronic
and paper format. Electronic records are
stored in computerized databases. Paper
records are stored in locked offices,
storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records in this SOR are retrieved by
the requester’s name, representative’s
name, or by unique log number assigned
to the request. Records sometimes are
retrieved by reference to the name of the
requester’s firm or the representative’s
firm, if any, or the subject matter of the
request.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
FHFA’s Comprehensive Records
Schedule Item 7 (N1–543–11–1,
approved 01/11/2013), which provides
the cut-off and disposition schedules for
Inspector General records. Additional
approved schedules may apply.
Destruction of records shall occur in the
manner(s) appropriate to the type of
record, such as shredding of paper
records and/or deletion of computer
records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24hour security guard service.
Computerized records are safeguarded
through use of access codes and other
information technology security
measures. Paper records are safeguarded
by locked offices, locked file rooms,
locked file cabinets, or safes. Access to
the records, whether in electronic or
paper form, is restricted to those who
require the records in the performance
of official duties related to the purposes
for which the system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and
notification about any record contained
in this system of records, or seeking to
contest its content, may mail inquiries
PO 00000
Frm 00046
Fmt 4703
Sfmt 4703
to the Senior Privacy Official, FHFA–
OIG Privacy Office, 400 7th Street SW,
3rd Floor, Washington, DC 20219 or
submit them electronically to https://
www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR
part 1204. This system of records may
contain records that are exempt from the
notification, access, and contesting
records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2), (k)(2),
and (k)(5).
CONTESTING RECORD PROCEDURES:
See ‘‘Record Access Procedures’’
above.
NOTIFICATION PROCEDURES:
See ‘‘Record Access Procedures’’
above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this
system of records are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1),
(e)(2), and (e)(3) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C.
552a(c)(3), (d)(1), (d)(2), and (e)(1) of the
Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of
the Privacy Act pursuant to 5 U.S.C.
552a(k)(5). See 12 CFR 1204.7(c),
implementing the exemptions in 5
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for
FHFA–OIG records. These exemptions
are hereby incorporated by reference
and are an integral part of this SORN.
HISTORY:
FHFA–OIG was covered by FHFA’s
Freedom of Information Act and Privacy
Act Records (FHFA–13) which was
published in the Federal Register on
June 8, 2011 (76 FR 33286).
Leonard DePasquale,
Chief Counsel.
[FR Doc. 2021–04796 Filed 3–8–21; 8:45 am]
BILLING CODE 8070–01–P
FEDERAL RESERVE SYSTEM
Notice of Proposals To Engage in or
To Acquire Companies Engaged in
Permissible Nonbanking Activities
The companies listed in this notice
have given notice under section 4 of the
Bank Holding Company Act (12 U.S.C.
1843) (BHC Act) and Regulation Y, (12
CFR part 225) to engage de novo, or to
acquire or control voting securities or
assets of a company, including the
companies listed below, that engages
either directly or through a subsidiary or
other company, in a nonbanking activity
that is listed in § 225.28 of Regulation Y
(12 CFR 225.28) or that the Board has
determined by Order to be closely
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Agencies
[Federal Register Volume 86, Number 44 (Tuesday, March 9, 2021)]
[Notices]
[Pages 13548-13564]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-04796]
=======================================================================
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FEDERAL HOUSING FINANCE AGENCY
[No. 2021-N-4]
Privacy Act of 1974; System of Records
AGENCY: Office of Inspector General, Federal Housing Finance Agency
(FHFA-OIG).
ACTION: Notice of amendments and additions to the routine uses for
FHFA-OIG's Privacy Act systems of records
[[Page 13549]]
(SORs), updates, rewording, and technical changes to the system name,
system location, categories of individuals covered by the system,
categories of records in the system, purpose(s), retrievability,
safeguards, retention and disposal, system manager(s) and address,
notification procedures, record source categories, and exemptions
claimed for one or more of FHFA-OIG's existing systems, and the
creation of a new Privacy Act system of records (SOR).
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SUMMARY: In accordance with the Privacy Act of 1974, as amended and the
Office of Management and Budget (OMB) Circular A-108 System of Records
Notice template, FHFA-OIG gives notice of amendments and additions to
the routine uses for FHFA-OIG's Privacy Act systems of records (SORs)
and technical changes thereto, updates to system name, system location,
categories of individuals covered by the system, categories of records
in the system, purpose(s), retrievability, safeguards, retention and
disposal, system manager(s) and address, notification procedures,
record source categories, exemptions claimed for one or more of FHFA-
OIG's existing systems of record, and the creation of a new Privacy Act
SOR for the Office of Counsel. The six existing SORs are being re-
published in their entirety to conform their formats to the Circular A-
108 SORN template. The amendments and additions to the existing systems
and the new system are described in detail below.
DATES: Comments must be received on or before April 8, 2021. The
amended and additional routine uses and the technical revisions to
FHFA-OIG's existing SORs, and the new SOR, will become effective
without further notice on April 19, 2021, unless comments received on
or before that date result in revisions to this notice.
ADDRESSES: Submit comments to FHFA only once, identified by ``FHFA-OIG
SORN,'' using any one of the following methods:
Email: [email protected]. Comments may be
sent by email to Leonard DePasquale, FHFA-OIG Chief Counsel. Please
include ``Comments/FHFA-OIG SORN'' in the subject line of the message.
Comments will be made available for inspection upon written request.
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. If you submit your
comment to the Federal eRulemaking Portal, please also send it by email
to FHFA at [email protected] to ensure timely receipt by
the agency. Please include ``Comments/FHFA-OIG SORN'' in the subject
line of the message.
U.S. Mail, United Parcel Service, Federal Express, or
Other Mail Service: Leonard DePasquale, Chief Counsel, Office of
Inspector General, Federal Housing Finance Agency, 400 7th Street SW,
Washington, DC 20219.
Courier/Hand Delivered Letters or Packages: For security
reasons, courier/hand delivered letters or packages cannot be accepted.
See SUPPLEMENTARY INFORMATION for additional information on posting
of comments.
FOR FURTHER INFORMATION CONTACT: Leonard DePasquale, Chief Counsel,
Office of Inspector General, Federal Housing Finance Agency, 400 7th
Street SW, Washington, DC 20219, or at (202) 730-2830. Hearing impaired
individuals may utilize the Federal Relay Service by dialing 1-800-877-
8339. A Communications Assistant will dial FHFA-OIG's number and relay
the conversation between a standard (voice) telephone user and text
telephone (TTY).
SUPPLEMENTARY INFORMATION:
I. Comments
Instructions: FHFA-OIG seeks public comments on the amended and
additional routine uses and will take all comments into consideration.
See 5 U.S.C. 552a(e)(4) and (11).
Posting and Public Availability of Comments: All comments received
will be posted without change on the FHFA-OIG website at https://www.fhfaoig.gov, and will include any personal information provided,
such as name, address (mailing and email), and telephone numbers.
II. Background
The Federal Housing Finance Regulatory Reform Act of 2008 (Reform
Act), which was passed as Division A of the Housing and Economic
Recovery Act of 2008 (HERA) abolished both the Federal Housing Finance
Board (FHFB), an independent agency that oversaw the Federal Home Loan
Banks (FHLBanks), and the Office of Federal Housing Enterprise
Oversight (OFHEO), an office within the Department of Housing and Urban
Development (HUD) that oversaw the ``safety and soundness'' of the
Federal Home Loan Mortgage Corporation (Freddie Mac) and the Federal
National Mortgage Association (Fannie Mae). See Public Law 110-289,
sections 1301 and 1311, 122 Stat. 2654, 2794 and 2797 (codified at 12
U.S.C. 4511 note); H.R. Rep. No. 110-142, at 95. The Reform Act
established in place of the FHFB and OFHEO a new entity, the Federal
Housing Finance Agency (FHFA), to regulate and supervise Fannie Mae,
Freddie Mac, and the 12 FHLBanks. See Public Law 110-289, section 1101,
122 Stat. 2654, 2661 (codified at 12 U.S.C. 4511).
The Reform Act also requires the appointment of an Inspector
General within FHFA, in accordance with section 3a of the Inspector
General Act of 1978 (the IG Act). See Public Law 110-289, section 1105,
122 Stat. 2668 (codified at 12 U.S.C. 4517(d)). FHFA-OIG is responsible
for, among other things, conducting audits, investigations, and
evaluations of FHFA's programs and operations; recommending policies
that promote economy and efficiency in the administration of FHFA's
programs and operations; and preventing and detecting fraud and abuse
in FHFA's programs and operations. See IG Act, Public Law 95-452, 92
Stat. 1101 (codified at 5 U.S.C. App.).
FHFA-OIG began operations in October of 2010. Although FHFA's SORs
covered many of FHFA-OIG's records, some of those records were unique
to FHFA-OIG's work. As a result, on March 2, 2011, FHFA-OIG issued a
Federal Register notice establishing five SORs (76 FR 11465). On
November 1, 2013, FHFA-OIG issued another Federal Register notice
adding a new SOR and amending and updating the existing SORs (78 FR
65644). In the five years since the last update, FHFA-OIG's approach to
implementing its mission has evolved and matured. To better reflect
where our work is taking us and how we conduct our business some
aspects of the earlier SORs should be amended.
Certain updates, rewording, and technical changes are being made to
one or more of the following sections of the existing SORs: System
name, system location, categories of individuals covered by the system,
categories of records in the system, purpose(s), routine uses,
retrievability, safeguards, retention and disposal, system manager(s)
and address, notification procedures, record source categories, and
exemptions claimed for the system. In addition, several new routine
uses are being added to enable FHFA-OIG to implement its mission under
the IG Act more efficiently and to enhance transparency in reporting
the results of our audits, evaluations, investigations, and other
inquiries.
During the course of updating its existing SORs, FHFA-OIG
determined that records concerning hotline complaints and inquiries
conducted by
[[Page 13550]]
FHFA-OIG's Office of Investigations are already housed in the Office of
Investigations' two existing SORs--FHFA-OIG-2 and FHFA-OIG-3. Thus,
with regard to these types of complaints and inquiries, the existing
Hotline Database (FHFA-OIG-4) is superfluous. FHFA-OIG is making minor
modifications to reflect that hotline complaints and inquiries
undertaken by the Office of Investigations are already covered by the
two existing SORs (FHFA-OIG-2 and FHFA-OIG-3).
Rather than eliminating the existing Hotline Database SOR (FHFA-
OIG-4), FHFA-OIG is repurposing it to house records pertaining to non-
criminal administrative inquiries conducted by any FHFA-OIG operational
division other than the Office of Investigations. FHFA-OIG has assigned
responsibility for non-criminal administrative inquiries to its
operational divisions and desires records pertaining to these matters
to be stored in a SOR separate from any SOR that contains investigative
records generated and/or collected by FHFA-OIG's Office of
Investigations. Thus, to better align its SORs with its
multidisciplinary approach to these inquiries, FHFA-OIG is designating
the existing Hotline Database (FHFA-OIG-4) to store records pertaining
to non-criminal administrative inquiries that are conducted by any
FHFA-OIG operational division other than the Office of Investigations.
Finally, a SOR is being added for FHFA-OIG's Freedom of Information
Act (FOIA), Privacy Act (PA), and Freedom of Information Act/Privacy
Act (FOPA) records. Although FHFA-OIG's FOIA, PA, and FOPA records are
covered under FHFA's FOIA and PA SOR, FHFA-OIG has decided to adopt its
own SOR for FOIA, PA, and FOPA records so that the routine uses for
these records are aligned with the routine uses for FHFA-OIG's other
SORs. Because documents FHFA-OIG produces in response to FOIA, PA, and
FOPA requests are often records that are contained in FHFA-OIG's other
SORs, it is more logical for FHFA-OIG's FOIA, PA, and FOPA routine uses
to mirror those of the SORs from which these records may originate.
Thus, the main reason FHFA-OIG is creating a SOR for its FOIA, PA, and
FOPA records is to achieve this symbiosis. FHFA-OIG is also creating
this SOR to make clear that some requests are processed under both the
FOIA and PA. FHFA-OIG believes it is more appropriate that its SOR
reflect this hybrid category of records (i.e., FOPA).
Sections 552a(e)(4) and (11) of title 5, United States Code,
require that an agency publish a notice of the establishment or
revision of a SOR which affords the public a 30-day period in which to
submit comments. To meet this requirement, FHFA-OIG's SORs are set
forth in their entirety below. Further, a report of FHFA-OIG's
intention to amend and supplement its routine uses, update other
portions of its existing SORs, and add a new SOR has been submitted to
the Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and to OMB, as required by the Privacy Act, 5
U.S.C. 552a(r) and pursuant to section 7 of OMB Circular A-108,
``Federal Agency Responsibilities for Review, Reporting, and
Publication under the Privacy Act,'' dated December 23, 2016 (81 FR
94424 (Dec. 23, 2016)).
III. Proposed Systems of Records
The proposed changes to the existing SORs are described in detail
below:
FHFA-OIG-1
SYSTEM NAME AND NUMBER:
FHFA-OIG Audit Files Database (FHFA-OIG-1).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Audits, Office of Inspector General,
Federal Housing Finance Agency, 400 7th Street SW, Washington, DC
20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system is maintained to enable Office of Audits' employees to
access, share, restrict, or maintain information that has been
collected and/or generated as part of an audit, as appropriate.
Materials relating to an audit may or may not become part of the
official audit file. The system also serves as a storage and filing
system for working copies, drafts, and final versions of documents
collected and/or generated by the Office of Audits in the performance
of other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Audits and subjects or
potential subjects of audit activities and individuals who may be, are,
or have been witnesses, complainants, informants, subjects, or
otherwise involved in circumstances pertaining or relating to official
activities conducted by FHFA-OIG's Office of Audits.
CATEGORIES OF RECORDS IN THE SYSTEM:
Drafts and final documents of the following types: (1) Audit
reports; (2) working papers, which may include copies of
correspondence, evidence, subpoenas; and (3) other documents collected
and/or generated by the Office of Audits during the course of official
duties, including information from FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the
[[Page 13551]]
proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice, including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a) or when the Department of Justice or
outside counsel retained by FHFA-OIG is representing FHFA-OIG or any
FHFA-OIG employee in his or her official or individual capacity; or
when FHFA-OIG is a party to litigation or settlement negotiations or
has an interest in litigation or settlement negotiations being
conducted by the Department of Justice or outside counsel retained by
FHFA-OIG and FHFA-OIG has determined such information to be relevant
and necessary to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal unit of government, other public authorities, or
self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
[[Page 13552]]
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the auditor, support staff,
subject of or witness to the subject matter involving the audit, unique
audit number, or job code.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records in this system will be retained in accordance with approved
retention schedules, including: FHFA's Comprehensive Records Schedule
Item 7 (N1-543-11-1, approved 01/11/2013), which provides the cut-off
and disposition schedules for Inspector General records. Additional
approved schedules may apply. Destruction of records shall occur in the
manner(s) appropriate to the type of record, such as shredding of paper
records and/or deletion of computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-2
SYSTEM NAME AND NUMBER:
FHFA-OIG Investigative Files Database (FHFA-OIG-2).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Investigations, Office of Inspector
General, Federal Housing Finance Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to maintain information
relevant to complaints received by FHFA-OIG and/or collected and/or
generated as part of investigations or inquiries conducted by or under
the direction of the Office of Investigations or Hotline, as well as
other information collected and/or generated during the course of the
Office of Investigations' official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Investigations,
subjects or potential subjects of investigative activities and
individuals who may be, are, or have been witnesses, complainants,
informants, subjects, or otherwise involved in circumstances pertaining
or relating to a complaint, investigation, or hotline or other inquiry
conducted by FHFA-OIG's Office of Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Reports of investigations or inquiries, which may include, but
are not limited to, witness statements, affidavits, transcripts, police
reports, photographs, documentation concerning requests and approval
for consensual telephone and consensual non-telephone monitoring, the
subject's prior criminal record, vehicle maintenance records, medical
records, accident reports, insurance policies, police reports, and
other exhibits and documents collected and/or generated as part of an
investigation or inquiry; (2) status and disposition information
concerning a complaint, investigation, or inquiry including prosecutive
action and/or administrative action; (3) complaints or requests to
investigate; (4) subpoenas and evidence obtained in response to a
subpoena; (5) evidence logs; (6) pen registers; (7) correspondence; (8)
records of seized money and/or property; (9) reports of laboratory
examination, photographs, and evidentiary reports; (10) digital image
files of physical evidence; (11) documents generated for purposes of
FHFA-OIG's undercover activities; (12) documents pertaining to the
identity of confidential informants; (13) grand jury material; (14)
information or documents pertaining to weapons qualifications and/or
use of force training; (15) information or documents pertaining or
relating to the processing of hotline complaints by, or under the
direction of, FHFA-OIG's Office of Investigations, including
information from FHFA-OIG's other systems of records; and (16) other
documents collected and/or generated by the Office of Investigations
during the course of official duties, including, but not limited to,
information from FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
[[Page 13553]]
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or
[[Page 13554]]
suitability investigation; the adjudication of liability; or coverage
under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, Social Security Number, and/or case
number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-3
SYSTEM NAME AND NUMBER:
FHFA-OIG Investigative Document Repository MIS Database (FHFA-OIG-
3).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Investigations, Office of Inspector
General, Federal Housing Finance Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12
U.S.C.4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to enable Office of
Investigations' employees to access, share, restrict, or maintain
information that has been collected and/or generated during the course
of an investigation or inquiry, as appropriate. Materials relating to
an investigation or inquiry may or may not become part of the official
case file. The system also serves as a storage and filing system for
working copies, drafts, and final versions of documents collected and/
or generated by the Office of Investigations in the performance of
other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Investigations,
subjects or potential subjects of investigative activities and
individuals who may be, are, or have been witnesses, complainants,
informants, subjects, or otherwise involved in circumstances pertaining
or relating to a complaint, investigation, or hotline or other inquiry
conducted by FHFA-OIG's Office of Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Working copies, drafts, and final documents that the Office of
Investigations is considering or using, or has collected and/or
generated while an investigation or inquiry is in progress including
but not limited to: (1) Reports of investigations or inquiries, which
may include, but are not limited to, witness statements, affidavits,
[[Page 13555]]
transcripts, police reports, photographs, documentation concerning
requests and approval for consensual telephone and consensual non-
telephone monitoring, the subject's prior criminal record, vehicle
maintenance records, medical records, accident reports, insurance
policies, police reports, and other exhibits and documents collected
and/or generated as part of an investigation or inquiry; (2) status and
disposition information concerning a complaint, investigation, or
inquiry including prosecutive action and/or administrative action; (3)
complaints or requests to investigate; (4) subpoenas and evidence
obtained in response to a subpoena; (5) evidence logs; (6) pen
registers; (7) correspondence; (8) records of seized money and/or
property; (9) reports of laboratory examination, photographs, and
evidentiary reports; (10) digital image files of physical evidence;
(11) documents generated for purposes of FHFA-OIG's undercover
activities; (12) documents pertaining to the identity of confidential
informants; (13) grand jury materials; (14) information or documents
pertaining or relating to the processing of hotline complaints by, or
under the direction of, FHFA-OIG's Office of Investigations, including
information from FHFA-OIG's other systems of records; and (15) any
other documents collected and/or generated by the Office of
Investigations during the course of official duties, including but not
limited to, information from FHFA-OIG's other systems of records,
quality assurance reviews, A-123, peer reviews, training documents.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical
[[Page 13556]]
injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name, Social Security Number, and/or case
number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7(N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-4
SYSTEM NAME AND NUMBER:
FHFA-OIG Non-Criminal Administrative Inquiries Database (FHFA-OIG-
4).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Compliance and Special Projects,
Office of Inspector General, Federal Housing Finance Agency, 400 7th
Street SW, Washington, DC 20219.
[[Page 13557]]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to segregate records collected and/or
generated during the course of a non-criminal administrative inquiry
conducted by employees of one or more of FHFA-OIG's operational
divisions from investigations or inquiries conducted by employees of
the Office of Investigations and to enable employees of those
operational divisions to access, share, restrict, or maintain
information that has been collected and/or generated as part of a non-
criminal administrative inquiry, as appropriate. The system also serves
as a storage and filing system for working copies, drafts, and final
versions of documents collected and/or generated by employees of one or
more of FHFA-OIG's operational divisions, other than the Office of
Investigations, in the performance of other official duties involving
non-criminal administrative inquiries.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to any FHFA-OIG operational division
other than the Office of Investigations who are assigned to work on a
non-criminal administrative inquiry, individuals who may be, are, or
have been witnesses, complainants, informants, subjects, or otherwise
involved in circumstances pertaining or relating to a non-criminal
administrative inquiry conducted by any FHFA-OIG operational division
other than the Office of Investigations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Working copies, drafts, and final documents that any FHFA-OIG
operational division other than the Office of Investigations is
considering or using, or has collected and/or generated as part of a
non-criminal administrative inquiry, including but not limited to: (1)
Reports of administrative inquiries pertaining to non-criminal hotline
complaints and/or other non-criminal matters; (2) records of interviews
and other verbal communications; (3) memos reflecting analysis of facts
and law; (4) other documents collected and/or generated by any FHFA-OIG
operational division employee, other than those assigned to the Office
of Investigations, during the course of official duties pertaining to
non-criminal administrative inquiries, including information included
in FHFA-OIG's other systems of records. In addition, the system will
include basic data about the non-criminal administrative inquiries
themselves, including inquiry name, inquiry number, relevant dates and
status.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
[[Page 13558]]
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the employee assigned to the non-
criminal administrative inquiry, support staff, name of the
complainant, witness, subject of the non-criminal administrative
inquiry, unique inquiry number, or job code.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5
[[Page 13559]]
U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
FHFA-OIG-5
SYSTEM NAME AND NUMBER:
FHFA-OIG Correspondence Database (FHFA-OIG-5).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Executive Office, Office of Inspector General, Federal Housing
Finance Agency, 400 7th Street SW, Washington, DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system consists of correspondence received by FHFA-OIG from
individuals and their representatives, oversight committees, and others
who conduct business with FHFA-OIG and the responses thereto; it serves
as a record of in-coming correspondence and the steps taken to respond
thereto.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Correspondents; (2) persons upon whose behalf correspondence
was initiated; and (3) FHFA-OIG personnel responding to correspondents
or their representatives.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Correspondence received by FHFA-OIG and responses generated
thereto; and (2) records used to respond to incoming correspondence,
including information included in FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a), or the Department of Justice or outside
counsel retained by FHFA-OIG is representing FHFA-OIG or any FHFA-OIG
employee in his or her official or individual capacity; or when FHFA-
OIG is a party to litigation or settlement negotiations or has an
interest in litigation or settlement negotiations being conducted by
the Department of Justice or outside counsel retained by FHFA-OIG and
FHFA-OIG has determined such information to be relevant and necessary
to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary by FHFA-OIG to elicit information or cooperation from the
recipient for use in the performance of an authorized activity relevant
to an FHFA-OIG audit, evaluation, investigation, or inquiry;
[[Page 13560]]
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the correspondent and/or name of
the individual(s) to whom the record applies.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the retention and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
The original version of this SORN was published in the Federal
Register on March 2, 2011 (76 FR 11465). It was amended on November 1,
2013 (78 FR 65644).
[[Page 13561]]
FHFA-OIG-6
SYSTEM NAME AND NUMBER:
FHFA-OIG Evaluations Files Database (FHFA-OIG-6).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Deputy Inspector General for Evaluations, Office of Inspector
General, Federal Housing Finance Agency, 400 7th Street SW, Washington,
DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d) and 5 U.S.C. App. 3.
PURPOSE(S) OF THE SYSTEM:
This system is maintained to enable Office of Evaluations'
employees to access, share, restrict, or maintain information that has
been collected and/or generated as part of an evaluation, as
appropriate. Materials relating to an evaluation may or may not become
part of the official evaluation file. The system also serves as a
storage and filing system for working copies, drafts, and final
versions of documents collected and/or generated by the Office of
Evaluations in the performance of other official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of and detailees to the Office of Evaluations and
subjects or potential subjects of evaluation activities, and
individuals who may be, are, or have been witnesses, complainants,
informants, subjects, or otherwise involved in circumstances pertaining
or relating to an evaluation conducted by FHFA-OIG's Office of
Evaluations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Drafts and final documents of the following types: (1) Evaluation
reports, white papers, and other reports or studies; (2) working
papers, which may include copies of correspondence, evidence,
subpoenas, responses to evidence requests, memoranda of interviews
conducted, statistical tables; and (3) other documents collected and/or
generated by the Office of Evaluations during the course of official
duties, including information in FHFA-OIG's other systems of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, and informants. Records in this system may have originated
in other FHFA/FHFA-OIG systems of records and subsequently transferred
to this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, when the information indicates a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule, or order issued
pursuant thereto or is relevant to the recipient entity's law
enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To an individual member of Congress or a member of his/her
staff in response to an inquiry made at the request of the individual
who is the subject of the record;
(4) To another Federal agency, state, local, foreign, territorial,
tribal units of government, other public authorities, or self-
regulatory organizations to (a) permit a decision as to access,
amendment or correction of records to be made in consultation with or
by that agency or entity, or (b) verify the identity of an individual
or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records;
(5) To the Department of Justice, outside counsel retained by FHFA-
OIG, or another Federal agency's legal representative when seeking
legal advice, including, but not limited to, whether to release
information covered by the Freedom of Information (5 U.S.C. 552) and
Privacy Acts (5 U.S.C. 552a) or when the Department of Justice or
outside counsel retained by FHFA-OIG is representing FHFA-OIG or any
FHFA-OIG employee in his or her official or individual capacity; or
when FHFA-OIG is a party to litigation or settlement negotiations or
has an interest in litigation or settlement negotiations being
conducted by the Department of Justice or outside counsel retained by
FHFA-OIG and FHFA-OIG has determined such information to be relevant
and necessary to the litigation or settlement negotiations;
(6) To another Federal Office of the Inspector General, law
enforcement Task Force, or other Federal, state, local, foreign,
territorial, or tribal units of government, other public authorities,
or self-regulatory organizations for the purpose of preventing and/or
identifying fraud, waste, or abuse related to FHFA's programs or
operations;
(7) To the National Archives and Records Administration for use in
records management inspections;
(8) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm;
(9) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(10) To any person or entity, either private or governmental, that
FHFA-OIG has reason to believe possesses information regarding a matter
within the jurisdiction of FHFA-OIG, to the extent deemed to be
necessary to elicit
[[Page 13562]]
information or cooperation from the recipient for use in the
performance of an authorized activity relevant to an FHFA-OIG audit,
evaluation, investigation, or inquiry;
(11) To the Equal Employment Opportunity Commission, Merit Systems
Protection Board, Federal Labor Relations Authority, Office of Special
Counsel, Office of Government Ethics (OGE), Office of Personnel
Management, Government Accounting Office, Department of Justice, Office
of Management and Budget, arbitrators, and any other Federal agencies
or other entity responsible for conducting investigations, other
inquiries, administrative actions, hearings, and/or settlement efforts
relating to personnel, security clearance, security or suitability or
other administrative grievances, complaints, claims, or appeals filed
by an employee, or if needed in the performance of other authorized
duties;
(12) In situations involving an imminent danger of death or
physical injury to an individual or individuals in danger;
(13) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(14) To the public or to the media for release to the public when
the matter under audit, review, evaluation, investigation, or inquiry
has become public knowledge, or when the Inspector General determines
that such disclosure is necessary either to preserve confidence in the
integrity of FHFA-OIG's audit, review, evaluation, investigative, or
inquiry processes or is necessary to demonstrate the accountability of
FHFA-OIG employees, officers or individuals covered by the system,
unless the Inspector General or his/her delegee determines, after
consultation with counsel and the Senior Privacy Official, that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy;
(15) To Congress, congressional committees, or the staffs thereof,
once an FHFA-OIG report or management alert has become final and the
Inspector General determines that its disclosure is necessary to
fulfill the Inspector General's responsibilities under the Inspector
General Act of 1978;
(16) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(17) To a Federal agency or other entity which requires information
relevant to a decision concerning the hiring, appointment, or retention
of an employee or contractor; the assignment, detail, or deployment of
an employee or contractor; the issuance, renewal, suspension, or
revocation of an employee's or contractor's security clearance; the
execution of a security or suitability investigation; the adjudication
of liability; or coverage under FHFA-OIG's liability insurance policy;
(18) To Federal agencies and other public authorities for use in
records management inspections, reporting requirements, information
collection, including but not limited to, General Services
Administration (GSA) as part of GSA's responsibility to recommend
improvements in records management practices and programs under
authority of 44 U.S.C. 2904 and 2906, OGE, as part of the agency's
reporting requirements set forth in 5 CFR 2638, Subpart F, and any
other system, program, procedure or circumstance where such disclosure
is mandated by Federal statute or regulation;
(19) To victims of a crime in accordance with the Victims' Rights
and Restitution Act of 1990 (34 U.S.C. 20141), to the extent
appropriate;
(20) To a Federal agency in connection with a pending or
prospective administrative enforcement process or mechanism, including
but not limited to a suspension, debarment, or suspended counterparty
designation; and
(21) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name of the evaluator, support staff,
subject of or witnesses to the evaluation, unique evaluation number, or
job code.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and/or notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
[[Page 13563]]
HISTORY:
The original version of this SORN was published in the Federal
Register on November 1, 2013 (78 FR 65644).
FHFA-OIG-7
SYSTEM NAME AND NUMBER:
FHFA-OIG Freedom of Information Act (FOIA), Privacy Act (PA), and
FOIA/PA (FOPA) Records (FHFA- OIG-7).
SECURITY CLASSIFICATION:
Sensitive but unclassified.
SYSTEM LOCATION:
FHFA-OIG, 400 7th Street SW, Washington, DC 20219, and any
alternate work site utilized by FHFA-OIG employees or by individuals
assisting such employees.
SYSTEM MANAGER(S):
Chief Counsel, Office of Inspector General, Federal Housing Finance
Agency, 400 7th Street SW, Washington, DC 20219.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The system is established and maintained pursuant to 12 U.S.C.
4517(d), 5 U.S.C. App. 3, the Freedom of Information Act (5 U.S.C.
552), the Privacy Act of 1974 (5 U.S.C. 552a), and 12 CFR parts 1202
and 1204.
PURPOSE(S) OF THE SYSTEM:
The records are collected, used, maintained, and disseminated to
process FOIA, PA, and FOPA requests and administrative appeals and/or
administrative appeals of final determinations on such requests. The
records are also used to prepare reports to the Office of Management
and Budget, the Department of Justice, and Congress as required by the
FOIA or PA; to participate in litigation arising from FHFA-OIG's
decisions and determinations on FOIA, PA, and FOPA requests and
administrative appeals, and any other matters relating or pertaining to
FOIA, PA, or FOPA requests and/or administrative appeals of final
determinations on such requests.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have submitted requests for information pursuant to
the FOIA; individuals who have submitted requests for records about
themselves under the provisions of the PA; individuals who have
submitted a hybrid request for information under the FOIA and for
information about themselves under the PA (FOPA); attorneys or other
individuals authorized to represent and/or receive information on
behalf of a FOIA, PA, or FOPA requester or individual filing an
administrative appeal regarding such requests; individuals whose
requests, appeals or other records have been referred to FHFA-OIG by
other agencies; individuals who have been asked to consult as part of
the FOIA (b)(4) exemption process; individuals filing an administrative
appeal of a denial, in whole or part, of any such requests; individuals
filing a civil action in federal court of a denial, in whole or part,
of any such requests; employees of and detailees to the Office of
Counsel who process and/or respond to FOIA, PA, FOPA requests or
administrative appeals; and any other individual otherwise involved in
circumstances pertaining or relating to the processing of a FOIA, PA,
or FOPA request or administrative appeal.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records submitted, created, retrieved and/or compiled in response
to FOIA, PA, and FOPA requests and/or administrative appeals of final
determinations on such requests, including original requests and
administrative appeals; responses to requests and administrative
appeals including but not limited to acknowledgement letters, fee
estimations, waivers, and other fee issues, requests for expedited
review, verifications of identification, final determination letters,
and copies of responsive records; internal memoranda, analyses, notes,
and other records concerning the applicability of exemptions,
exceptions, or other issues concerning FOIA, PA, FOPA determinations;
emails or other correspondence between or among employees who process
and/or respond to FOIA, PA, and FOPA requests or administrative
appeals; emails or other correspondence between or among employees who
process and/or respond to FOIA, PA, and FOPA requests or administrative
appeals and other individuals associated with the FOIA, PA, and FOPA
process, including, but not limited to: Requesters, operational
division staff members, employees of referring agencies, individuals
with whom consultation is undertaken, representatives or attorneys;
memoranda to or from other federal agencies having a substantial
interest in the determination of the request; civil actions filed in
federal court of a denial, in whole or part, of any such requests; and
any other records submitted, created, retrieved and/or compiled during
the course of performing official duties relating or pertaining to
FOIA, PA, or FOPA requests and/or administrative appeals of final
determinations on such requests, including information contained FHFA-
OIG's other systems of records.
The records may contain personal information submitted, created,
retrieved and/or compiled in response to FOIA, PA, FOPA requests and/or
administrative appeals of a final determination on such requests
including, but not limited to: Names, property and email addresses,
phone numbers, loan information, tracking numbers, identity
verification information including birth places and dates, or other
personal identifying information supplied by individuals making FOIA,
PA, or FOPA requests. These records may contain inquiries and requests
regarding any of FHFA-OIG's other systems of records subject to the
FOIA and PA, and information about individuals from any of these other
systems may become part of this system of records.
RECORD SOURCE CATEGORIES:
The OIG collects information from a variety of sources, including
FHFA, FHFA's regulated entities, current and former employees of FHFA,
other federal agencies/regulators, law enforcement agencies, vendors,
contractors, subcontractors, subject individuals, complainants,
witnesses, informants, and persons requesting agency records under the
FOIA and the Privacy Act. Records in this system may have originated in
other FHFA/FHFA-OIG systems of records and subsequently transferred to
this system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be disclosed:
(1) To appropriate Federal, state, local, and foreign authorities
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license, when the information indicates a violation or potential
violation of law, whether civil, criminal, or regulatory in nature, and
whether arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto or is relevant to
the recipient entity's law enforcement responsibilities;
(2) To a court, magistrate, grand jury, administrative tribunal, or
adjudicative body in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
[[Page 13564]]
subpoena, or in connection with criminal law proceedings, including
plea agreements, when OIG is a party or has a significant interest in
the proceeding, to the extent that the information is determined to be
relevant and necessary;
(3) To a member of Congress or a member of his/her staff in
response to an inquiry made at the request of the individual who is the
subject of the record;
(4) To another Federal government agency having a substantial
interest in the determination of the request or for the purpose of
consulting with that agency as to the propriety of access or correction
of the record in order to complete the processing of requests;
(5) To the National Archives and Records Administration, Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(b), to review
administrative agency policies, procedures, and compliance with the
Freedom of Information Act, and to facilitate OGIS mediation services
to resolve disputes between persons making FOIA requests and
administrative agencies.
(6) To appropriate agencies, entities, and persons when (1) FHFA-
OIG suspects or has confirmed that there has been a breach of the
system of records; (2) FHFA-OIG has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
FHFA-OIG (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with FHFA-OIG's efforts to respond to the
suspected or confirmed breach and prevent, minimize, or remedy such
harm;
(7) To another Federal agency or Federal entity, when FHFA-OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
(8) To other Federal Offices of Inspector General or other
entities, during the conduct of internal and external peer reviews of
FHFA-OIG;
(9) To contractors, experts, consultants, students, and others
engaged by FHFA-OIG, when necessary to accomplish an agency function
related to this system of records;
(10) To appropriate Federal agencies and other public authorities
for use in records management inspections; and
(11) To the Council of the Inspectors General on Integrity and
Efficiency and its committees, another Federal Office of Inspector
General, or other Federal law enforcement office in connection with an
allegation of wrongdoing by the Inspector General or by designated
FHFA-OIG staff members.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases. Paper records are stored
in locked offices, storage rooms, file cabinets, or safes.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records in this SOR are retrieved by the requester's name,
representative's name, or by unique log number assigned to the request.
Records sometimes are retrieved by reference to the name of the
requester's firm or the representative's firm, if any, or the subject
matter of the request.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FHFA's Comprehensive Records Schedule Item 7 (N1-543-11-1, approved
01/11/2013), which provides the cut-off and disposition schedules for
Inspector General records. Additional approved schedules may apply.
Destruction of records shall occur in the manner(s) appropriate to the
type of record, such as shredding of paper records and/or deletion of
computer records.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24-hour security guard
service. Computerized records are safeguarded through use of access
codes and other information technology security measures. Paper records
are safeguarded by locked offices, locked file rooms, locked file
cabinets, or safes. Access to the records, whether in electronic or
paper form, is restricted to those who require the records in the
performance of official duties related to the purposes for which the
system is maintained.
RECORD ACCESS PROCEDURES:
Individuals seeking access to and notification about any record
contained in this system of records, or seeking to contest its content,
may mail inquiries to the Senior Privacy Official, FHFA-OIG Privacy
Office, 400 7th Street SW, 3rd Floor, Washington, DC 20219 or submit
them electronically to https://www.fhfaoig.gov/privacy in accordance
with instructions appearing at 12 CFR part 1204. This system of records
may contain records that are exempt from the notification, access, and
contesting records requirements pursuant to the provisions of 5 U.S.C.
552a(j)(2), (k)(2), and (k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Some records contained within this system of records are exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (e)(1), (e)(2), and (e)(3) of
the Privacy Act pursuant to 5 U.S.C. 552a(j)(2); 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), and (e)(1) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2); and 5 U.S.C. 552a(d)(1) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5). See 12 CFR 1204.7(c), implementing the exemptions in
5 U.S.C. 552a(j)(2), (k)(2), and (k)(5) for FHFA-OIG records. These
exemptions are hereby incorporated by reference and are an integral
part of this SORN.
HISTORY:
FHFA-OIG was covered by FHFA's Freedom of Information Act and
Privacy Act Records (FHFA-13) which was published in the Federal
Register on June 8, 2011 (76 FR 33286).
Leonard DePasquale,
Chief Counsel.
[FR Doc. 2021-04796 Filed 3-8-21; 8:45 am]
BILLING CODE 8070-01-P