HUD 24 CFR PART 2003-2010 IMPLEMENTATION OF THE PRIVACY ACT OF 1974《1974年隐私权法案的实施》.pdf

1、97 Office of Inspector General, HUD 2003.4 action on the request, and, if the denial of the request for records is in full or in part upheld, the Inspector General will notify the person making the request of his or her right to seek judicial re-view under 5 U.S.C. 552(a)(4). 49 FR 11165, Mar. 26, 1

2、984. Redesignated and amended at 53 FR 37550, 37552, Sept. 27, 1988 PART 2003IMPLEMENTATION OF THE PRIVACY ACT OF 1974 Sec. 2003.1 Scope of the part and applicability of other HUD regulations. 2003.2 Definitions. 2003.3 Requests for records. 2003.4 Officials to receive requests and in-quiries. 2003.

3、5 Initial denial of access to records. 2003.6 Disclosure of a record to a person other than the individual to whom it per-tains. 2003.7 Authority to make law enforcement- related requests for records maintained by other agencies. 2003.8 General exemptions. 2003.9 Specific exemptions. AUTHORITY: 5 U.

4、S.C. 552a; 5 U.S.C. App. 3 (Inspector General Act of 1978); 42 U.S.C. 3535(d). SOURCE: 57 FR 62142, Dec. 29, 1992, unless otherwise noted. 2003.1 Scope of the part and applica-bility of other HUD regulations. (a) General. This part contains the regulations of the Office of Inspector General (OIG) im

5、plementing the Pri-vacy Act of 1974 (5 U.S.C. 552a). The regulations inform the public that the Inspector General has the responsi-bility for carrying out the require-ments of the Privacy Act and for issuing internal OIG orders and direc-tives in connection with the Privacy Act. These regulations ap

6、ply to all records that are contained in systems of records maintained by the OIG and that are retrieved by an individuals name or personal identifier. (b) Applicability of part 16. In addition to these regulations, the provisions of 24 CFR part 16 apply to the OIG, except that appendix A to part 16

7、 is not appli-cable. The provisions of this part shall govern in the event of any conflict with the provisions of part 16. 2003.2 Definitions. For purposes of this part: Department means the OIG, except that in the context of 16.1(d); 16.11(b) (1), (3), and (4); and 16.12(e), when those sections are

8、 incorporated by reference, the term means the Department of Housing and Urban Development. Privacy Act Officer means an Assist-ant Inspector General. Privacy Appeals Officer means the In-spector General. 59 FR 14098, Mar. 25, 1994 2003.3 Requests for records. (a) A request from an individual for an

9、 OIG record about that individual which is not contained in an OIG sys-tem of records will be considered to be a Freedom of Information Act (FOIA) request and will be processed under 24 CFR part 2002. (b) A request from an individual for an OIG record about that individual which is contained in an O

10、IG system of records will be processed under both the Privacy Act and the FOIA in order to ensure maximum access under both statutes. This practice will be under-taken regardless of how an individual characterizes the request. (1) The procedures for inquiries and requirements for access to records u

11、nder the Privacy Act are more specifi-cally set forth in 24 CFR part 16, except that appendix A to part 16 does not apply to the OIG. (2) An individual will not be required to state a reason or otherwise justify his or her request for access to a record. 2003.4 Officials to receive requests and inqu

12、iries. Officials to receive requests and in-quiries for access to, or correction of, records in OIG systems of records are the Privacy Act Officers described in 2003.2 of this part. Written requests may be addressed to the appropriate Privacy Act Officer at: Office of Inspec-tor General, Department

13、of Housing and Urban Development, Washington, DC 20410. 57 FR 62142, Dec. 29, 1992, as amended at 59 FR 14098, Mar. 25, 1994 VerDate Mar2010 14:09 May 05, 2010 Jkt 220081 PO 00000 Frm 00107 Fmt 8010 Sfmt 8010 Y:SGML220081.XXX 220081cprice-sewell on DSK89S0YB1PROD with CFRProvided by IHSNot for Resal

14、eNo reproduction or networking permitted without license from IHS-,-,-98 24 CFR Ch. XII (4110 Edition) 2003.5 2003.5 Initial denial of access to records. (a) Access by an individual to a record about that individual which is contained in an OIG system of records will be denied only upon a determina-

15、tion by the Privacy Act Officer that: (1) The record was compiled in rea-sonable anticipation of a civil action or proceeding; or the record is subject to a Privacy Act exemption under 2003.8 or 2003.9 of this part; and (2) The record is also subject to a FOIA exemption under 2002.21(b) of this chap

16、ter. (b) If a request is partially denied, any portions of the responsive record that can be reasonably segregated will be provided to the individual after de-letion of those portions determined to be exempt. (c) The provisions of 24 CFR 16.6(b) and 16.7, concerning notification of an initial denial

17、 of access and administra-tive review of the initial denial, apply to the OIG, except that: (1) The final determination of the In-spector General, as Privacy Appeals Of-ficer for the OIG, will be in writing and will constitute final action of the De-partment on a request for access to a record in an

18、 OIG system of records; and (2) If the denial of the request is in whole or in part upheld, the final deter-mination of the Inspector General will include notice of the right to judicial review. 2003.6 Disclosure of a record to a person other than the individual to whom it pertains. (a) The OIG may

19、disclose an individ-uals record to a person other than the individual to whom the record pertains in the following instances: (1) Upon written request by the indi-vidual, including authorization under 24 CFR 16.5(e); (2) With the prior written consent of the individual; (3) To a parent or legal guar

20、dian of the individual under 5 U.S.C. 552a(h); or (4) When permitted by the provisions of 5 U.S.C. 552a(b) (1) through (12). (b) Reserved 2003.7 Authority to make law en-forcement-related requests for records maintained by other agen-cies. (a) The Inspector General is author-ized by written delegati

21、on from the Secretary of HUD and under the In-spector General Act to make written requests under 5 U.S.C. 552a(b)(7) for transfer of records maintained by other agencies which are necessary to carry out an authorized law enforcement ac-tivity under the Inspector General Act. (b) The Inspector Genera

22、l delegates the authority under paragraph (a) of this section to the following OIG offi-cials: (1) Deputy Inspector General; (2) Assistant Inspector General for Audit; (3) Assistant Inspector General for Investigation; and (4) Assistant Inspector General for Management and Policy. (c) The officials

23、listed in paragraph (b) of this section may not redelegate the authority described in paragraph (a) of this section. 2003.8 General exemptions. (a) The systems of records entitled Investigative Files of the Office of In-spector General, Hotline Complaint Files of the Office of Inspector Gen-eral, Na

24、me Indices System of the Of-fice of Inspector General, and AutoInvestigation of the Office of In-spector General consist, in part, of in-formation compiled by the OIG for the purpose of criminal law enforcement investigations. Therefore, to the extent that information in these systems falls within t

25、he scope of exemption (j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), these systems of records are exempt from the requirements of the following subsections of the Privacy Act, for the reasons stated in paragraphs (a)(1) through (6) of this section. (1) From subsection (c)(3), because re-lease of an

26、 accounting of disclosures to an individual who is the subject of an investigation could reveal the nature and scope of the investigation and could result in the altering or destruc-tion of evidence, improper influencing of witnesses, and other evasive actions that could impede or compromise the inv

27、estigation. VerDate Mar2010 14:09 May 05, 2010 Jkt 220081 PO 00000 Frm 00108 Fmt 8010 Sfmt 8010 Y:SGML220081.XXX 220081cprice-sewell on DSK89S0YB1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-99 Office of Inspector General, HUD 2003.9

28、(2) From subsection (d)(1), because release of investigative records to an individual who is the subject of an in-vestigation could interfere with pend-ing or prospective law enforcement proceedings, constitute an unwar-ranted invasion of the personal privacy of third parties, reveal the identity of

29、 confidential sources, or reveal sen-sitive investigative techniques and pro-cedures. (3) From subsection (d)(2), because amendment or correction of investiga-tive records could interfere with pend-ing or prospective law enforcement proceedings, or could impose an impos-sible administrative and inve

30、stigative burden by requiring the OIG to con-tinuously retrograde its investigations attempting to resolve questions of ac-curacy, relevance, timeliness and com-pleteness. (4) From subsection (e)(1), because it is often impossible to determine rel-evance or necessity of information in the early stag

31、es of an investigation. The value of such information is a question of judgment and timing; what appears relevant and necessary when collected may ultimately be evaluated and viewed as irrelevant and unneces-sary to an investigation. In addition, the OIG may obtain information con-cerning the violat

32、ion of laws other than those within the scope of its juris-diction. In the interest of effective law enforcement, the OIG should retain this information because it may aid in establishing patterns of unlawful activ-ity and provide leads for other law en-forcement agencies. Further, in obtain-ing evi

33、dence during an investigation, information may be provided to the OIG which relates to matters inci-dental to the main purpose of the in-vestigation but which may be pertinent to the investigative jurisdiction of an-other agency. Such information cannot readily be identified. (5) From subsection (e)

34、(2), because in a law enforcement investigation it is usually counterproductive to collect information to the greatest extent practicable directly from the subject thereof. It is not always feasible to rely upon the subject of an investigation as a source for information which may implicate him or h

35、er in illegal activi-ties. In addition, collecting informa-tion directly from the subject could se-riously compromise an investigation by prematurely revealing its nature and scope, or could provide the subject with an opportunity to conceal crimi-nal activities, or intimidate potential sources, in

36、order to avoid apprehen-sion. (6) From subsection (e)(3), because providing such notice to the subject of an investigation, or to other individual sources, could seriously compromise the investigation by prematurely re-vealing its nature and scope, or could inhibit cooperation, permit the subject to

37、 evade apprehension, or cause inter-ference with undercover activities. (b) Reserved 57 FR 62142, Dec. 29, 1992, as amended at 65 FR 50904, Aug. 21, 2000 2003.9 Specific exemptions. (a) The systems of records entitled Investigative Files of the Office of In-spector General, Hotline Complaint Files o

38、f the Office of Inspector Gen-eral, Name Indices System of the Of-fice of Inspector General, and AutoInvestigation of the Office of In-spector General consist, in part, of in-vestigatory material compiled by the OIG for law enforcement purposes. Therefore, to the extent that informa-tion in these sy

39、stems falls within the coverage of exemption (k)(2) of the Pri-vacy Act, 5 U.S.C. 552a(k)(2), these sys-tems of records are exempt from the re-quirements of the following sub-sections of the Privacy Act, for the reasons stated in paragraphs (a) (1) through (4) of this section. (1) From subsection (c

40、)(3), because re-lease of an accounting of disclosures to an individual who is the subject of an investigation could reveal the nature and scope of the investigation and could result in the altering or destruc-tion of evidence, improper influencing of witnesses, and other evasive actions that could

41、impede or compromise the investigation. (2) From subsection (d)(1), because release of investigative records to an individual who is the subject of an in-vestigation could interfere with pend-ing or prospective law enforcement proceedings, constitute an unwar-ranted invasion of the personal privacy

42、of third parties, reveal the identity of VerDate Mar2010 14:09 May 05, 2010 Jkt 220081 PO 00000 Frm 00109 Fmt 8010 Sfmt 8010 Y:SGML220081.XXX 220081cprice-sewell on DSK89S0YB1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-100 24 CFR Ch.

43、 XII (4110 Edition) Pt. 2004 confidential sources, or reveal sen-sitive investigative techniques and pro-cedures. (3) From subsection (d)(2), because amendment or correction of investiga-tive records could interfere with pend-ing or prospective law enforcement proceedings, or could impose an impos-s

44、ible administrative and investigative burden by requiring the OIG to con-tinuously retrograde its investigations attempting to resolve questions of ac-curacy, relevance, timeliness and com-pleteness. (4) From subsection (e)(1), because it is often impossible to determine rel-evance or necessity of i

45、nformation in the early stages of an investigation. The value of such information is a question of judgment and timing; what appears relevant and necessary when collected may ultimately be evaluated and viewed as irrelevant and unneces-sary to an investigation. In addition, the OIG may obtain inform

46、ation con-cerning the violation of laws other than those within the scope of its juris-diction. In the interest of effective law enforcement, the OIG should retain this information because it may aid in establishing patterns of unlawful activ-ity and provide leads for other law en-forcement agencies

47、. Further, in obtain-ing evidence during an investigation, information may be provided to the OIG which relates to matters inci-dental to the main purpose of the in-vestigation but which may be pertinent to the investigative jurisdiction of an-other agency. Such information cannot readily be identif

48、ied. (b) The systems of records entitled Investigative Files of the Office of In-spector General, Hotline Complaint Files of the Office of Inspector Gen-eral, Name Indices System of the Of-fice of Inspector General, and Autoinvestigation of the Office of In-spector General consist in part of in-vest

49、igatory material compiled by the OIG for the purpose of determining suitability, eligibility, or qualifica-tions for Federal civilian employment or Federal contracts, the release of which would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence. Therefore, to the extent that information in these