81 FR 50000 - Implementation of the Privacy Act of 1974, as Amended; Amended System of Records Notice, Active Partners Performance System

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Federal Register Volume 81, Issue 146 (July 29, 2016)

In accordance with the requirements of the Privacy Act of 1974, as amended, the Department's Office of Housing, Asset Management and Portfolio Oversight Division propose to amend and reissue a current system of records notice (SORN): Active Partners Performance System (APPS). This SORN was previously titled Previous Participation Review System and Active Partners Performance System Previous Participation Files, HUD/H07. The notice amendment includes administrative updates to the categories of individuals covered, categories of records, authority for maintenance, routine uses, storage, safeguards, retention and disposal, system manager and address, notification procedures, records access, contesting records procedures, and records source categories. These sections are amended to reflect the present status of the information contained in the system. The existing scope, objectives, and business processes in place for the program remain unchanged. The routine use instances recorded by this SORN were previously translated in the Federal Register on December 31, 2015 at 80 FR 81837-81840. This amendment deletes and supersedes the HUD/H07 publication. The updated notice will be included in the Department's inventory of SORNs.

[Federal Register Volume 81, Number 146 (Friday, July 29, 2016)]
[Notices]
[Pages 50000-50002]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-18026]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5921-N-10]


Implementation of the Privacy Act of 1974, as Amended; Amended 
System of Records Notice, Active Partners Performance System

AGENCY: Office of Housing, HUD.

ACTION: Amended System of Records notice.

-----------------------------------------------------------------------

SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, the Department's Office of Housing, Asset Management 
and Portfolio Oversight Division propose to amend and reissue a current 
system of records notice (SORN): Active Partners Performance System 
(APPS). This SORN was previously titled Previous Participation Review 
System and Active Partners Performance System Previous Participation 
Files, HUD/H07. The notice amendment includes administrative updates to 
the categories of individuals covered, categories of records, authority 
for maintenance, routine uses, storage, safeguards, retention and 
disposal, system manager and address, notification procedures,

[[Page 50001]]

records access, contesting records procedures, and records source 
categories. These sections are amended to reflect the present status of 
the information contained in the system. The existing scope, 
objectives, and business processes in place for the program remain 
unchanged. The routine use instances recorded by this SORN were 
previously translated in the Federal Register on December 31, 2015 at 
80 FR 81837-81840. This amendment deletes and supersedes the HUD/H07 
publication. The updated notice will be included in the Department's 
inventory of SORNs.

DATES: 
    Effective Date: This notice action shall be effective immediately, 
which will become effective August 29, 2016.
    Comments Due Date: August 29, 2016.

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

FOR FURTHER INFORMATION CONTACT: Frieda B. Edwards, Acting Chief 
Privacy Officer, 451 Seventh Street SW., Room 10139, Washington, DC 
20410, telephone number 202-402-6828 (this is not a toll-free number). 
Individuals who are hearing- and speech-impaired may access this number 
via TTY by calling the Federal Relay Service at 800-877-8339 (this is a 
toll-free number).

SUPPLEMENTARY INFORMATION: This notice updates and refines previously 
published information pertaining to APPS in a clear and easy to read 
format. The notice identifies activities and records pertaining to: (1) 
Submission and review of a multifamily housing principals previous 
participation and/or certification in a multifamily housing project; 
and (2) consideration, approval, and disapproval of a principals 
participation in a multifamily housing project; (3) a principals 
previous participation with HUD or other housing agencies; (4) summary 
of financial, management, or operational difficulties the principals 
may have had with prior HUD projects; and (5) flag indication of 
whether the principals are or have been the subject of a government 
investigation. The amended notice conveys administrative updates to the 
notice's title, categories of individuals covered, categories of 
records, routine uses, storage, safeguards, retention and disposal, 
system manager and address, notification procedures, records access and 
contesting procedures, and records source captions. The Privacy Act 
places on Federal agencies principal responsibility for compliance with 
its provisions, by requiring Federal agencies to safeguard an 
individual's records against an invasion of personal privacy; protect 
the records contained in an agency system of records from unauthorized 
disclosure; ensure that the records collected are relevant, necessary, 
current, and collected only for their intended use; and adequately 
safeguard the records to prevent misuse of such information. This 
notice demonstrates the Department's focus on industry best practices 
and laws that protect interest such as personal privacy and law 
enforcement records from inappropriate release. This notice states the 
name and location of the record system, the authority for and manner of 
its operations, the categories of individuals that it covers, the type 
of records that it contains, the sources of the information for the 
records, the routine uses made of the records, and the types of 
exemptions in place for the records. The notice also includes the 
business address of the HUD officials who will inform interested 
persons of how they may gain access to and/or request amendments to 
records pertaining to themselves.
    The amended notice does not meet threshold requirements set forth 
by paragraph 4c of Appendix l to OMB Circular No. A-130, ``Federal 
Agencies Responsibilities for Maintaining Records About Individuals,'' 
November 28, 2000. Therefore, a report was not submitted to the Office 
of Management and Budget (OMB), the Senate Committee on Homeland 
Security and Governmental Affairs, and the House Committee on Oversight 
and Government Reform.

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

    Dated: July 22, 2016.
Patricia A. Hoban-Moore,
Senior Agency Official for Privacy.
SYSTEM OF RECORDS NO.:
    HSNG.MFH/HTG.01

SYSTEM NAME:
    Active Partners Performance System (APPS)-F24P

SYSTEM LOCATION:
    Department of Housing and Urban Development, 451 Seventh Street 
SW., Washington DC 20410; HUD Field and Regional offices \1\ where in 
some cases APPS records may be maintained or accessed. The physical 
system is maintained for HUD under contract at the HUD Information 
Technology Systems Production Data Center at 2020 Union Carbine Drive, 
South Charleston, WV 25305, and at the location of the service 
providers under contract with HUD.
---------------------------------------------------------------------------

    \1\ http://portal.hud.gov/hudportal/HUD?src=/localoffices.
---------------------------------------------------------------------------

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Principals who are approved to participate in HUD's multifamily 
projects such as owners, general contractors, management agents, 
consultants, facility operators and developers.

CATEGORIES OF RECORDS IN THE SYSTEM:
    (1) Contact Information: Name, work/personal address, work/personal 
telephone number, work/personal email address.
    (2) Previous Participation Information: Social Security number 
(SSN), tax identification number (TIN), and entity type and their legal 
structure.
    (3) Project Level Information: Lists of prior HUD projects; summary 
of financial, management, or operational difficulties with prior HUD 
projects (if any); indication of whether principals are or have been 
the subject of a government investigation; other information relevant 
to the standards for previous participation approval; minutes of 
deliberative meetings; flags and the reason for the flag on an external 
individual or company participant.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 7(d), Department of Housing and Urban Development Act, 79 
Stat. 670, (42 U.S.C. 3535(d)). HUD is authorized to collect the Social 
Security Number (SSN) by Section 165(a) of the Housing and Community 
Development Act of 1987, Public Law 100-242 (42 U.S.C. 3543).

PURPOSE(S):
    APPS was developed to automate the submission and review of the 
Housing and Urban Development (HUD) previous participation 
certification process (Form HUD-2530), which initiates the review and 
approval process for industry entities who would participate in a HUD 
project. The data collected through the HUD-2530 process is used by HUD 
employees to assess applicant's suitability to participate in HUD 
projects in light of

[[Page 50002]]

their track record in carrying out financial, legal and contractual 
obligations in previous projects, in a satisfactory and timely manner. 
An approved HUD-2530 is a prerequisite for industry partners to 
participate in HUD projects. APPS contains data concerning principal 
participants in multifamily housing projects, including their previous 
participation with HUD or other housing agencies. APPS also tracks non-
compliance of multifamily project participants' by flagging the 
participants for non-compliance with regulatory and contractual 
agreements. Flags are used to evaluate the risk of the participants 
prior to approval for future participation.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES.
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside HUD as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows.
    (1) To State and local governments participating in HUD housing 
programs as co-insurers or finance agencies--to assist in project 
application reviews.
    (2) To appropriate agencies, entities, and persons to the extent 
such disclosures are compatible with the purpose for which the records 
in this system were collected, as set forth by Appendix I, HUD's 
Routine Use Inventory Notice,\2\ published in the Federal Register.
---------------------------------------------------------------------------

    \2\ http://portal.hud.gov/hudportal/documents/huddoc?id=routine_use_inventory.pdf.
---------------------------------------------------------------------------

    (3) To appropriate agencies, entities, and persons when:
    (a) HUD suspects or has confirmed that the security or 
confidentiality of information in a system of records has been 
compromised;
    (b) HUD has determined, that as a result of the suspected or 
confirmed compromise, there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of systems or programs (whether maintained by HUD or another 
agency or entity) that rely upon the compromised information; and
    (c) The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with HUD's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm for purposes of facilitating responses and 
remediation efforts in the event of a data breach.
    (4) To the National Archives and Records Administration (NARA) or 
to the General Services Administration for records management 
inspections conducted under 44 U.S.C. 2904 and 2906.
    (5) To a congressional office from the record of an individual, in 
response to an verified inquiry from that congressional office, made at 
the request of that individual.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system are stored electronically on Internet/
Intranet application servers. Paper records are scanned and converted 
into a uniform electronic format. The hard copies, after scanning, are 
stored at the NARA records management center.

RETRIEVABILITY:
    Electronic records are retrieved by name, submission ID and TIN.

RETENTION AND DISPOSAL:
    Data records and information submitted on the HUD Form 2530, 
Previous Participation Certification, are destroyed 3 years after the 
Secretary ceases to have any liability and/or interest in the project. 
The hard copies, after scanning, are stored in the NARA records 
management center. Electronic records will be destroyed pursuant to 
NIST Special Publication 800-88, ``Guidelines for Media Sanitization.'' 
Reference: HUD Records Disposition Schedule, Schedule 18, item 5: 
Previous Participation Approvals (NARA Job NCl-207-79-3), item 5. Note: 
This schedule is currently under review in accordance with OMB 
Memorandum M-12-18, Section 2.5.

SAFEGUARDS:
    Access to the system, storage, backup and infrastructure equipment 
is monitored and by password and code identification cards access and 
limited to authorized users.

SYSTEM MANAGER(S) AND ADDRESS:
    Devasia Karimpanal, Program Specialist, Office of Multifamily Asset 
Management and Portfolio Oversight, Business Relationships and Support 
Contracts Division, Department of Housing and Urban Development, 451 
Seventh Street SW., Washington, DC 20410.

RECORD ACCESS AND NOTIFICATION PROCEDURES:
    For Information, assistance, or inquiries about the existence of 
records, contact Frieda B. Edwards, Acting Chief Privacy Officer, 451 
Seventh Street SW., Room 10139, Washington, DC 20410, telephone number 
202-402-6828 (this is not a toll-free number). When seeking records 
about yourself from this system of records or any other HUD system of 
records, your request must conform to the Privacy Act regulations set 
forth in 24 CFR part 16. You must first verify your identity by 
providing your full name, current address, and date and place of birth. 
You must sign your request, and your signature must either be notarized 
or submitted under 28 U.S.C. 1746, a law that permits statements to be 
made under penalty of perjury as a substitute for notarization. In 
addition, your request should:
    a. Explain why you believe HUD would have information on you.
    b. Identify which HUD office you believe has the records about you.
    c. Specify when you believe the records would have been created.
    d. Provide any other information that will help the FOIA staff 
determine which HUD office may have responsive records.
    If you are seeking records pertaining to another living individual, 
you must obtain a statement from that individual certifying their 
agreement for you to access their records. Without the above 
information, the HUD FOIA Office may not be able to conduct an 
effective search, and your request may be denied due to lack of 
specificity or lack of compliance with applicable regulations.

CONTESTING RECORD PROCEDURES:
    The Department's rules for contesting contents of records and 
appealing initial denials appear in 24 CFR part 16.3, ``Procedures for 
Inquiries.'' Additional assistance may be obtained by contacting Frieda 
B. Edwards, Acting Chief Privacy Officer, 451 Seventh Street SW., Room 
10139, Washington, DC 20410, or the HUD Departmental Privacy Appeals 
Officer, Office of General Counsel, Department of Housing and Urban 
Development, 451 Seventh Street SW., Room 10110, Washington DC 20410.

RECORD SOURCE CATEGORIES:
    The sources for information in the system are from the subject 
individuals and entities for whom the records are maintained; HUD Field 
Offices; other governmental agencies. Individuals and entities register 
at the Business Partner Registration link on APPS Web page and the 
information is transferred to APPS secure database.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None.
[FR Doc. 2016-18026 Filed 7-28-16; 8:45 am]
BILLING CODE 4210-67-P