[Federal Register Volume 60, Number 199 (Monday, October 16, 1995)]
[Notices]
[Pages 53633-53636]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25589]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Administration
[Docket No. 3918-N-05]
Privacy Act of 1974--Notice of Amended System of Records
AGENCY: Office of the Assistant Secretary for Administration, HUD.
ACTION: Notice; Proposed amendment to an existing system of records.
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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended (5 U.S.C. 552a), the Assistant Secretary for Public and Indian
Housing is amending the system of records titled, ``Tenant Eligibility
Verification Files''--HUD/PIH-1, previously published at 60 FR 21545;
May 2, 1995. The amended notice: (1) Describes the categories of
records in the system more specifically and (2) adds a ``Purpose''
section to the system of records notice. Further, the revised system of
records notice contains some technical amendments: A more specific
system location and more specific references to the Internal Revenue
Service and Social Security Administration system of records. The
system of records notice below supersedes the May 2, 1995, system of
records notice.
This system of records contains computer matching and tenant
eligibility verification records necessary to support the
identification of tenants who have been or may be obtaining excessive
rental housing assistance. The system of records also supports
referrals of information concerning those tenants to entities that
administer HUD rental assistance programs (i.e., housing agencies
[which includes public housing agencies and Indian housing
authorities], owners of subsidized multifamily projects, and management
agents) and to law enforcement agencies for possible administrative or
legal actions, as appropriate. However, HUD may not redisclose to
entities that administer HUD programs information that HUD obtains from
the Social Security Administration (SSA) and the Internal Revenue
Service (IRS), pursuant to 26 U.S.C. 6103 (1)(7)(d)(ix)--a section of
the Internal Revenue Code added by section 13403 of the Omnibus Budget
Reconciliation Act of 1993, Pub. L. 103-66.
The exemptions of HUD/PIH-1 from certain provisions of the Privacy
Act of 1994, described at 59 FR 9406; February 28, 1994, continue to
apply to HUD/PIH-1, as amended.
[[Page 53634]]
EFFECTIVE DATE: This proposal shall become effective without further
notice in 30 calendar days (November 15, 1995) unless comments are
received during or before that date which would result in a contrary
determination.
ADDRESSES: Interested persons are invited to submit comments regarding
this notice to the Rules Docket Clerk, Office of General Counsel, Room
10276, Department of Housing and Urban Development, 451 Seventh Street,
SW., Washington, DC 20410-0500. Communications should refer to the
above docket number and title. Facsimile (FAX) comments are not
acceptable. A copy of each communication submitted will be available
for public inspection and copying between 7:30 a.m. and 5:30 p.m.
weekdays at the above address.
FOR FURTHER INFORMATION CONTACT:
Jeanette Smith, Departmental Privacy Act Officer, Telephone Number
(202) 708-2374, concerning Privacy Act matters. David L. Decker,
Director, Computer Matching Activities, Office of the Public and Indian
Housing Comptroller, Telephone Number (202) 708-0099, concerning
computer matching matters. (These are not toll free numbers.)
SUPPLEMENTARY INFORMATION: Privacy Act Officers for the Office of
Personnel Management (OPM) and the Department of Defense (DoD) have
advised HUD that the categories of records section of the May 2, 1995,
notice require clarification concerning OPM and DoD records. Reading
the May 2, 1995, system of records notice literally, one may conclude
that HUD/PIH-1 includes two OPM systems of records (OPM/GOVT-1 and OPM/
Central-1), and a DoD system of records (S322.10.DMDC). HUD intended
that HUD/PIH-1 include selected information from the OPM and DoD system
of records obtained pursuant to their routine uses concerning computer
matching. HUD did not intend that OPM/GOVT-1, OPM/Central-1 and
S322.10.DMDC become categories of records in the HUD/PIH-1 system of
records. A similar problem existed, to a lesser degree, regarding other
categories or records cited in the system of records notice.
HUD is amending record categories (7) and (8), for OPM and DoD-
provided information, to be more specific, i.e., that the records
included in HUD/PIH-1 include only records obtained through computer
matching. Similarly, HUD is amending the description of record
categories (3), (4), (5), (6) and (9) concerning information obtained
from other sources. Further, HUD added a ``Purposes'' section to the
system of records notice to clarify the intent of the system of
records.
This amendment retains language in the May 2, 1995, system of
records notice allowing HUD to: (a) Expand and improve the
effectiveness of HUD's computer matching programs by consolidating
responsibilities concerning assisted housing programs into one office;
(b) implement provisions of Title 26 of the Internal Revenue Code,
section 6103(1)(7), that permit SSA and IRS disclosure to HUD of earned
and unearned income information, respectively, for tenants who receive
housing assistance from HUD's programs; (c) develop more efficient and
effective methods for verifying social security and supplemental
security income information used in determining tenants' eligibility
for, and amount of, housing assistance; and (d) permit computer
matching of records obtained from other Federal agencies with tenant
income date, the outcome of which may affect determinations of
eligibility for, or the amount of, HUD or other Federal benefits that
tenants receive.
Regarding item (c) above, entities that administer HUD's assisted
housing programs currently request from the SSA social security and
supplemental security income information needed to determine tenants;
eligibility for and level of benefits by submitting a mark sense card
to the SSA. Then the SAA processes the card and mails the income
information to the entity administering HUD-assisted housing programs.
The SSA has advised HUD of plans to terminate obsolete mark sense card
operation and requested that HUD work with SSA have concluded that
computer matching provides a more efficient and more effective
technique for providing social security and supplemental security
information to entities that administer HUD's assisted housing programs
that the mark sense card operations. HUD plans to use HUD/PIH-1 records
in identifying tenants who have underreported social security and
supplemental security information.
Entities that administer HUD's assisted housing programs may
continue to use the mark sense card processing operation, known as the
Third Party Query System (TPQY), until further notice. HUD plans to
initiate testing of computer matching to verify social security and
supplemental income information during Fiscal Year 1996. When HUD has
demonstrated success in the computer matching process and is ready for
large-scale implementation of the matching, HUD will, in coordination
with SSA, inform entities that administer HUD assisted housing programs
to discontinue use of the TPQY.
HUD will also use HUD/PIH-1 in reporting potential income
disparities to tenants or the entities that administer HUD's assisted
housing programs, as permitted under law. A notice of the HUD/SSA/IRS
computer matching program concerning earned and unearned income, social
security and supplemental security income is published at 60 FR 21548,
May 2, 1995.
A report of the Department's intention to establish the system has
been submitted to the Office of Management and Budget (OMB), the Senate
Committee on Governmental Affairs, and the House Committee on
Government Reform and Oversight pursuant to paragraph 4c of Appendix I
to OMB Circular No. A-130, ``Federal Agency Responsibilities for
Maintaining Record About Individuals,'' July 25, 1994; 59 FR 37914.
Issued at Washington, DC. October 10, 1995.
Donald C. Demitros,
Acting Deputy Assistant Secretary for for Management.
HUD/PIH-1
Tenant Eligibility Verification Files.
U.S. Department of Housing and Urban Development, 451 7th Street,
S.W., Washington, DC 20410.
* * * * *
* * * * *
Tenants receiving housing assistance provided by programs
administered by the Department of Housing and Urban Development, or
information concerning those tenants obtained from other Federal or
state agencies, housing agencies, owners, and management agents.
Records consist of: (1) Automated tenant data obtained from HUD/H-
11, Tenant Housing Assistance and Contract Verification Data, published
at 59 FR 6035; February 9, 1994, (two HUD automated systems--the
Multifamily Tenant Certification System and the Tenant Rental
Assistance Certification System--are the primary components of HUD/H-
11); (2) automated tenant data provided by housing agencies, owners or
management agents (generally these records are available in HUD/H-11);
(3) information obtained from computer
[[Page 53635]]
matching with automated earned income data that the SSA provides under
26 U.S.C. 6103(1)(7)(A) from the Earnings Recording and Self-Employment
Income System (HHS/SSA/OSR, 09-60-0059) (Earnings Record) and Master
Beneficiary Record (HHS/SSA/OSR, 09-60-0090); (4) information obtained
from computer matching with automated unearned income data that the IRS
provides to HUD under 26 U.S.C. 6103(1)(7)(B) from Treasury/IRS 22.061,
Wage and Information Returns Processing (IRP) File Treasury/IFS; (5)
information obtained from computer matching with automated Title II
(social security) and Title XVI (supplemental security income) data
that the SSA provides to HUD under a routine use from the Supplemental
Security Income Record, HHS/SSA/OSR 90-60-0103; (6) information
obtained from computer matching with wage and unemployment compensation
data from State wage information collection agencies; (7) information
obtained from computer matching with automated data from the Office of
Personnel Management's General Personnel Records (OMP/GOVT-1), and the
Civil Service Retirement and Insurance Records System (OPM/Central-1)
pursuant to a routine use; (8) information obtained from computer
matching with automated data from the Department of Defense's Defense
Manpower Data Center Data Base (S322.10DMDC) pursuant to a routine use;
(9) information obtained from computer matching with automated records
from the SSA's Master Files of Social Security Number Holder, known as
the Enumeration Verification System (HHS/SSA/OSR, 09-60-0058) pursuant
to a routine use; (10) applications for housing assistance and other
related documentation obtained from tenant case files maintained by
housing agencies, owners, and management; (11) data received from
employers confirming income or deductions supporting determinations of
eligibility for, and the amount of, housing assistance benefits; (12)
automated records provided by other Federal agencies under the
investigative exclusion of the Computer Matching and Privacy Protection
Act of 1988; and (13) automated records provided by housing agencies,
owners and management agents regarding actions taken on computer
matching results.
Subparagraph (D) of section 6103(l)(7) of the Internal Revenue
Code, 26 U.S.C. 6103(l)(7)(D), permits HUD to request from the
Commissioner of the SSA and the Secretary of the Treasury, SSA and IRS
earned and unearned income information, respectively, needed to verify
the incomes of tenants who receive housing assistance. Section
6103(l)(7)(D) precludes HUD from redisclosing that information to
entities that administer HUD programs (i.e., housing agencies, owners
and management agents). However, the Stewart B. McKinney Homeless
Assistance Amendments Act of 1988, 42 U.S.C. 3544, as amended, allows
HUD to notify those entities that disparities exist between the tenant-
reported incomes and income obtained from independent income sources,
i.e., the SSA or the IRS.
Section 165 of the Housing and Community Development Act of 1987,
Pub. L. 100-242, authorizes HUD to require applicants and participants
in HUD-administered programs involving housing assistance to disclose
to HUD their social security numbers as a condition of initial or
continuing eligibility for participation. Subpart T of 24 CFR part 200
applies this requirement to members of households six (6) years of age
and older.
Applicable laws concerning HUD's assisted housing programs include:
the United States Housing Act of 1937, 42 U.S.C. 1437 note; and section
101 of the Housing and Urban Development Act of 1965, 12 U.S.C. 1701s.
The primary purposes of HUD/PIH-1 are to aid HUD and entities that
administer HUD's assisted housing programs in: (a) Increasing the
availability of housing assistance to individuals who meet the
requirements of Federal housing assistance programs, (b) detecting
abuses in assisted housing programs, (c) taking administrative or legal
actions to resolve past abuses of assisted housing programs and (d)
deterring abuses. HUD/PIH-1 serves as a repository for automated
information used in and resulting from computer matching tenant data
for recipients of Federal rental assistance to other data sources; HUD/
PIH also contains non-automated information used in and resulting from
verifying computer matching results and in accomplishing the purposes
previously cited. Records in this new system are subject to use in
authorized and approved computer matching programs regulated under the
Privacy Act of 1974, as amended.
1. Records included in the system may be used in conducting
computer matching with Federal and State agencies to aid in the
identification of tenants who have received excessive rental housing
assistance.
2. Records that HUD obtains from the SSA and the IRS under the
authority of 26 U.S.C. 6103(l)(7), may be disclosed only to the tenant/
taxpayer, to HUD employees responsible for investigating or prosecuting
such violation or enforcing or implementing a statute, rule or
regulation, or as otherwise permitted under 26 U.S.C. 6103.
3. Records that indicate a potential violation of law, whether
criminal, civil or regulatory in nature, except for records obtained
from the SSA and the IRS under 26 U.S.C. 6103(l)(7), may be disclosed
to the appropriate Federal, state or local agency charged with the
responsibility for investigating or prosecuting such violation or
enforcing or implementing a statute, rule or regulation.
4. Records, except for those obtained from the SSA or IRS under the
authority of 26 U.S.C. 6103(l)(7), may be disclosed to a congressional
office in response to an inquiry from that congressional office made at
the request of the individual who is the subject of the records.
5. Records, with the exception of those obtained pursuant to 26
U.S.C. 6103(l)(7), may be disclosed to housing agencies, owners and
management agents in order to assist them in determining tenants'
eligibility for housing assistance, and the amount of that assistance
and to facilitate recovery of money or property or other administrative
actions, i.e., eviction, necessary to promote the integrity of
programs.
6. Records, except for those obtained from the SSA and the IRS
under 26 U.S.C. 6103(l)(7), may be disclosed during the course of an
administrative proceeding where HUD or a housing agency, owner or
management agent is a party to the litigation and disclosure is
relevant and reasonably necessary to adjudicate the matter.
7. Records, except for those obtained from the SSA and the IRS
under 26 U.S.C. 6103(l)(7), may be disclosed to a Federal agency, in
response to its request, in connection with the hiring or retention of
an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting agency,
to the extent that the record is relevant and necessary to the
requesting agency's decision on the matter.
8. Records, except for those obtained from the SSA and the IRS
under 26 U.S.C. 6103(l)(7), may be disclosed to a
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Federal agency to initiate Federal salary or annuity offsets as
necessary to collect excessive housing assistance received by the
tenant.
9. Records, except for those obtained from the SSA and the IRS
under 26 U.S.C. 6103(l)(7), concerning an individual's receipt of
excessive housing assistance, including the individual's actions to
repay the same, may be disclosed to the Federal agency that employs
such individual, for the purpose of notifying the employer of potential
violation of the Standards of Ethical Conduct for Employees of the
Executive Branch.
10. Records may be used to provide statistical information to
Congress and the Office of Management and Budget for use in evaluating
the effectiveness of computer matching, income verification and related
administrative or legal actions taken.
Records are stored manually in tenant case files and electronically
in office automation equipment. Records, except for those obtained from
the SSA and the IRS under 26 U.S.C. 6103(1)(7) (A) and (B), may also be
stored on mainframe computer facilities.
Records may be retrieved by manual or computer search of indices by
the name, social security number, housing agency, owner or management
agent.
Records are maintained in locked file cabinets or in metal file
cabinets in secured rooms or premises with access limited to those
persons whose official duties require access. Computer files and
printed listings are maintained in licked cabinets. Computer terminals
are secured in controlled areas which are locked when unoccupied.
Access to automated records is limited to authorized personnel who must
use a password system to gain access. HUD will safeguard the SSA and
the IRS records obtained pursuant to 26 U.S.C. 6103(l)(7) (A) and (B)
in accordance with 26 U.S.C. 6103(p)(4) and the IRS's ``Tax Information
Security Guidelines for Federal, State and Local Agencies,''
Publication 1075.
Only those computer files and printouts created from the computer
matching that meet predetermined criteria are maintained. These records
will be destroyed as soon as they have served the matching program's
purpose. All other records will be destroyed as soon as possible within
1 year. Paper listings containing personal identifiers will be
shredded. Computer source files provided by other organizations will be
returned to those organizations or destroyed in accordance with
computer matching agreements.
Information obtained through computer matching and tenant case file
reviews will be destroyed as soon as follow-up processing of this
information is completed, unless the information is required for
evidentiary reasons or needed by housing agencies, owners and
management agents for use in program eligibility determinations. When
needed for evidentiary documentation, the information will be referred
to the HUD Office of Inspector General (OIG) or other appropriate
Federal, state or local agencies charged with the responsibility for
investigating or prosecuting such violations. When referred to the HUD
OIG, the information then becomes a part of the Investigative Files of
the Office of Inspector General, HUD/OIG-1.
Director, Computer Matching Activities, Office of the Public and
Indian Housing Comptroller, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 5156, Washington, DC 20410.
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to such
records, should address inquiries to the Director, Computer Matching
Activities, Office of the Public and Indian Housing Comptroller, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Room 5156, Washington, DC 20410.
Written requests should contain the full name, Social Security
Number, date of birth, current address and telephone number of the
individual.
For personal visits, the individual must be able to provide some
acceptable identification, such as a driver's license or other
identification card.
The procedures for amendment or correction of records, and for
appealing initial agency determinations, appear in 24 CFR part 16.
The Assistant Secretary for Public and Indian Housing collects
information from a variety of sources, including: housing agencies, the
Assistant Secretary for Housing-Federal Housing Commissioner (tenant
information provided by owners and management agents), state wage
information collection agencies, other Federal and state agencies, law
enforcement agencies, program participants, complainants, and other
nongovernmental sources.
To the extent that information in this system of records falls
within the coverage of subsection (k)(2) of the Privacy Act, 5 U.S.C.
552(k)(2), the system is exempt from the requirements of subsections
(c)(3), (d)(1), (d) (2), and (e)(1) of the Privacy Act. To the extent
that information in this system of records falls within the coverage of
subsection (k)(5) of the Privacy Act, 5 U.S.C. 552a(k)(5), the system
is exempt from the requirements of subsection (d)(1) of the Privacy
Act. See 24 CFR 16.15 (c) and (d).
[FR Doc. 95-25589 Filed 10-13-95; 8:45 am]
BILLING CODE 4210-01-M
