[Federal Register Volume 73, Number 90 (Thursday, May 8, 2008)]
[Notices]
[Pages 26136-26138]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-102]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of Federal Housing Enterprise Oversight
Privacy Act of 1974, as Amended; New System of Records
AGENCY: Office of Federal Housing Enterprise Oversight, HUD.
ACTION: Notice of New System of Records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5
U.S.C. 552a (Privacy Act), the Office of Federal Housing Enterprise
Oversight (OFHEO) is issuing public notice of its intent to establish a
new Privacy Act system of records. The new system is titled Litigation
and Enforcement Information System (LEIS). The proposed system of
records is necessary, as it will contain OFHEO generated records in
connection with civil and administrative proceedings, including
enforcement actions brought by or against OFHEO, and other proceedings
in which OFHEO participates or has an interest in, and are relative to
enforcement of the Safety and Soundness of Freddie Mac and Fannie Mae.
OFHEO will use the LEIS to assess and maintain administrative
enforcement actions under the Federal Housing Enterprises Financial
Safety and Soundness Act of 1992 (Safety and Soundness Act) (12 U.S.C.
4501 et seq.) to defend itself and its interests in administrative or
civil litigation relating to the Safety and Soundness Act and to make
necessary referrals to other government agencies in the enforcement of
Federal laws.
DATES: Written comments must be received by or before June 9, 2008. If
no public comments are received, the proposed new system of records
will become effective on June 17, 2008.
ADDRESSES: You may submit comments, identified by ``LEIS,'' by any of
the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Agency Web Site: http://www.ofheo.gov. Follow the
instructions for submitting comments on the OFHEO Web site.
E-mail: RegComments@OFHEO.gov. Please include ``LEIS'' in
the subject line of the message.
Mail: The mailing address for comments is: Alfred M.
Pollard, General Counsel, Attention: Comments ``LEIS,'' Office of
Federal Housing Enterprise Oversight, Fourth Floor, 1700 G Street, NW.,
Washington, DC 20552.
Hand Delivery/Courier: The address for hand delivery/
courier is: Alfred M. Pollard, General Counsel, Attention: Comments
``LEIS,'' Office of Federal Housing Enterprise Oversight, Fourth Floor,
1700 G Street, NW., Washington, DC 20552. The package should be logged
at the Guard Desk, First Floor, on business days between 9 a.m. and 3
p.m.
See SUPPLEMENTARY INFORMATION for additional information on
submission and posting of comments.
FOR FURTHER INFORMATION CONTACT: Mark D. Laponsky, Deputy General
Counsel, telephone (202) 414-3832 (not a toll-free number); Office of
Federal Housing Enterprise Oversight, Fourth Floor, 1700 G Street, NW,
Washington, DC 20552. The telephone number for the Telecommunications
Device for the Deaf is (800) 877-8339 (TDD Only).
SUPPLEMENTARY INFORMATION:
Instructions: OFHEO seeks public comments on the proposed new
system and will take all comments into consideration before issuing the
final notice. Comments should include the agency name and the reference
``LEIS'' as well as your name and other contact information in the body
of your comment. OFHEO further requests that comments submitted in hard
copy also be accompanied by the electronic version in Microsoft[supreg]
Word or in portable document format (PDF) on 3.5'' disk or CD-ROM.
Posting and Public Availability of Comments: All comments received
will be posted without change to http://www.regulations.gov, as well as
on the OFHEO Internet Web site at http://www.ofheo.gov, and will
include any personal information provided. In addition, copies of all
comments received will be available for examination by the public on
business days between the hours of 10 a.m. and 3 p.m., at the Office of
Federal Housing Enterprise Oversight, Fourth Floor, 1700 G Street, NW.,
Washington, DC 20552. To make an appointment to inspect comments,
please call the Office of General Counsel at (202) 414-6924.
Introduction: This notice informs the public of OFHEO's proposal to
establish and maintain a new system of records. This notice satisfies
the Privacy Act requirement that an agency publish a system of records
notice in the Federal Register when there is an addition to the
agency's system of records. The proposed new system of records is:
OFHEO-11-Litigation and Enforcement Information System (LEIS).
Application of Privacy Act exemptions: It has been recognized by
Congress that application of all requirements of the Act to certain
categories of records may have an undesirable and often unacceptable
effect upon agencies in the conduct of
[[Page 26137]]
necessary public business. Consequently, Congress established general
exemptions and specific exemptions that could be used to exempt records
from provisions of the Privacy Act. Congress also required that
exempting records from provisions of the Privacy Act would require the
head of an agency to publish a determination to exempt a record from
the Act as a rule in accordance with the Administrative Procedures Act.
Therefore, the Director of OFHEO has determined that certain records
and information in the LEIS are exempt from certain requirements of the
Privacy Act under 5 U.S.C. 552a(k)(2) as investigatory materials
compiled for law enforcement purposes.
As required by 5 U.S.C. 552a(r) of the Privacy Act, and pursuant to
paragraph 4c of Appendix I to OMB Circular No. A-130, OFHEO has
submitted a report describing the new system of records covered by this
notice to the House Committee on Government Reform, the Senate
Committee on Homeland Security and Governmental Affairs, and the Office
of Management and Budget. The proposed new system of records described
above is set forth in its entirety below.
Dated: April 28, 2008.
James B. Lockhart III,
Director.
OFHEO-11
SYSTEM NAME:
Litigation and Enforcement Information System.
SECURITY CLASSIFICATION:
Most records are not classified. However, in some cases, records of
certain individuals, or portions of some records may be classified in
the interest of national security.
SYSTEM LOCATION:
The LEIS is located in the Office of Federal Housing Enterprise
Oversight, 1700 G Street, NW, Fourth Floor, Washington, DC 20552, and
any alternate work site utilized by employees of the Office of Federal
Housing Enterprise Oversight (OFHEO) or individuals assisting such
employees.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The LEIS contains information about individuals in connection with
civil, regulatory and administrative proceedings, including enforcement
proceedings, brought by or against OFHEO, and other proceedings in
which OFHEO participates or has an interest. The LEIS contains the
names and other personally identifiable information of individuals who
are parties to such proceedings and actual or potential witnesses in
connection with such proceedings.
CATEGORIES OF RECORDS IN THE SYSTEM:
The LEIS includes records generated or assembled in connection with
civil, regulatory and administrative proceedings, including enforcement
proceedings, other proceedings brought by or against OFHEO, and other
proceedings in which OFHEO participates or has an interest. Such
records may include but are not limited to intra- or inter-agency
correspondence or memoranda; criminal referral reports; federal, state
or local criminal law enforcement agency investigatory reports, intra-
agency investigative reports; citizen accounts of events that may
include allegations of wrongdoing; evidentiary material, transcripts of
testimony and exhibits thereto, names of witnesses, discovery
materials, and other documents generated or obtained in connection with
the proceeding. The LEIS also includes records and documents generated
in connection with court or administrative tribunal databases and
electronic access services such as Public Access to Court Electronic
Records (PACER). Note: Certain records contained in this system of
records may be proprietary to other federal agencies. OFHEO will notify
the proprietary agency of any request relating to such records and seek
its guidance with respect to disposition. OFHEO may forward such a
request to the proprietary agency for disposition under its
regulations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Safety and Soundness Act (12 U.S.C. 4513(b); and 12 U.S.C.
4631-4636.)
PURPOSES:
Information in this system is used by OFHEO to support its
regulatory, supervisory and enforcement functions, and to represent its
interests in connection with civil, regulatory or administrative
proceedings, including enforcement actions brought by or against OFHEO,
or in which OFHEO participates.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to the conditions of disclosure under 5 U.S.C. 552a(b)
and in addition to the general routine uses identified in the Prefatory
Statement of General Routine Uses, 63 FR 9007 (February 23, 1998), it
shall be a routine use to disclose information contained in this system
for the purposes and to the users identified below:
1. To the Department of Justice or any other federal government
agency such as the Securities and Exchange Commission, or Congress or
any foreign, state or local agency responsible for enforcing,
investigating or prosecuting civil or criminal laws or regulations
where the information is relevant to an enforcement proceeding,
investigation or prosecution within such agency's jurisdiction, and as
may be necessary to pursue or coordinate enforcement, administrative,
regulatory, or other proceedings, investigations and inquiries;
2. To a Federal or State court, magistrate, administrative law
judge, administrative tribunal, or grand jury in the course of
presenting evidence, including disclosures to counsel or witnesses in
the course of discovery, litigation, or settlement negotiations and/or
in response to subpoenas seeking documents or testimony relevant or
potentially relevant to the subject proceeding; and, where relevant or
potentially relevant to the proceeding, to the court or administrative
tribunal databases and electronic access services such as PACER;
3. To a consultant, person, or entity, including outside counsel,
contractors, copying services, document database service providers, or
other firms or individuals who contract or subcontract with OFHEO, to
the extent necessary for the performance of the contract or subcontract
and consistent with the purposes of this system of records. The
recipient of the records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended (5 U.S.C. 552a).
4. To the General Services Administration and the National Archives
and Records Administration for the purpose of records management
inspections conducted under statutory authority of 44 U.S.C. 2904 and
2906.
5. To appropriate agencies, entities, and persons when (a) OFHEO
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) OFHEO
has determined, that as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities,
and persons is reasonably necessary to assist in connection with
OFHEO's efforts to respond to the
[[Page 26138]]
suspected or confirmed compromise and prevent, minimize or remedy such
harm.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures may be made from this system pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) when OFHEO is trying to
collect a claim of the Government under a law, except the Internal
Revenue Code of 1986, in accordance with 31 U.S.C. 3711(e).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored in electronic format and in paper format in a
secure location. Paper records are maintained in file folders, index
cards, rolodex-type files, notebooks, or files. Electronic records are
maintained on computer hard drives, network systems, magnetic tape,
diskette, or other machine readable formats.
RETRIEVABILITY:
Records are retrievable by subject name, title, or other personal
identifier.
SAFEGUARDS:
Electronic records are password protected and available only to
authorized personnel. Paper documents are kept in locked offices and
only available to authorized personnel. Access is restricted to staff
who have a need to access the system in performance of their duties.
Back up tapes are stored in a locked, controlled room in a secure
location.
RETENTION AND DISPOSAL:
These records will be retained for a minimum of seven years. The
National Archives and Records Administration (NARA) will determine if
the retention period should be longer than seven years. Paper records
that have met the NARA approved schedule will be disposed of by
shredding. Electronic records that have met the NARA approved schedule
will be deleted, erased, or overwritten.
SYSTEM MANAGER AND ADDRESS:
General Counsel, Office of Federal Housing Enterprise Oversight,
1700 G Street, NW., Washington, DC 20552.
NOTIFICATION PROCEDURE:
Contact the Privacy Act Officer, Office of Federal Housing
Enterprise Oversight, 1700 G Street, NW., Fourth Floor, Washington, DC
20552.
RECORD ACCESS PROCEDURES:
The OFHEO regulation for providing access to records appears at 12
CFR part 1702. If additional information or assistance is required,
contact the Privacy Act Officer, Office of Federal Housing Enterprise
Oversight, 1700 G Street, NW., Fourth Floor, Washington, DC 20552.
Access to certain materials in this System of Records may be withheld
or exempted under 5 U.S.C. 552a(d)(5) if compiled in reasonable
anticipation of litigation or if subject to the attorney-client
privilege or other recognized privileges.
CONTESTING RECORD PROCEDURES:
The OFHEO regulation for contesting records procedures appears at
12 CFR part 1702. If additional information or assistance is required,
contact the Privacy Act Appeals Officer, Office of Federal Housing
Enterprise Oversight, 1700 G Street, NW., Fourth Floor, Washington, DC
20552.
RECORD SOURCE CATEGORIES:
The information contained in these records is provided by the
individual who is the subject of the record, the Federal National
Mortgage Association or the Federal Home Loan Mortgage Corporation
(collectively, ``Enterprises'') for whom the individual works or
worked; witnesses; consultants to the Enterprise for whom the
individual works or worked; consultants to OFHEO; U.S. attorneys,
administrative tribunals, U.S. district courts; other federal, state,
or local agencies; parties to the proceedings; or other sources of
discovery relevant to the proceedings.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Certain records and information in this system that are
investigatory and compiled for law enforcement purposes are exempt
under subsection 552a(k)(2) of the Privacy Act to the extent that
information within the system meets the criteria of that subsection of
the Act. Such information has been exempted from the provisions of
subsections (c)(3); (d)(1), (2), (3) and (4); (e)(1), (3), (4)(G) and
(I); and (f) of the 5 U.S.C. 552a; see 12 CFR part 1702.
The exemption is necessary in order to protect information relating
to law enforcement investigations from disclosure to subjects of
investigations and others who could interfere with investigatory and
law enforcement activities. Exemption will preclude subjects of
investigations from frustrating investigations, will avoid disclosure
of investigative techniques, will protect the identities and safety of
confidential informants and of law enforcement personnel, will ensure
OFHEO's ability to obtain information from human sources, will protect
the privacy of third-parties, and will safeguard sensitive information.
Certain records contained in this system of records may be
proprietary to other federal agencies and subject to exemptions imposed
by those agencies, including the criminal law enforcement investigatory
material exemption of 5 U.S.C. 552a(j)(2).
[FR Doc. E8-10254 Filed 5-7-08; 8:45 am]
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