Privacy Act Handbook

HUD Privacy Act Handbook

Directive Number: Revision:

U.S. Department of Housing and Urban Development

Office of Administration

Table of Contents

This handbook contains chapters, appendices, exhibits, and procedural guidance related to the Privacy Act of 1974 and related Departmental procedures.

Chapter 1. Introduction to the Handbook

1-1 Purpose.

1-2 Records Subject to the Privacy Act.

1-3 HUD Employees and the Privacy Act.

1-4 Citations and References.

1-5 Definitions.

Chapter 2. Introduction to the Privacy Act

2-1 Necessity.

2-2 Purpose.

2-3 Departmental Policy.

2-4 Your Responsibilities.

2-5 Criminal Penalties.

Chapter 3. Procedures for Processing and Monitoring Requests for Records Subject to the Privacy Act

3-1 Introduction.

3-2 Personnel involved in Privacy Act activities.

3-3 Relationship between the Privacy Act and the Freedom of Information Act.

3-4 Choosing the Appropriate Act.

3-5 Exemptions from the Privacy Act.

3-6 Conditions of Disclosure.

3-7 Accounting for Certain Disclosures.

3-8 Inquiries concerning Systems of Records.

3-9 Individual Requests for Access to Information Maintained in Systems of Records.

3-10 Verification of Identity.

3-11 Disclosure of Requested Information to Individuals.

3-12 Initial Denial of Access to Records.

3-13 Appeal of Initial Denial of Access to Records.

3-14 Request for Correction or Amendment to a Record.

3-15 Criteria for Considering a Request for Correction or Amendment.

3-16 Initial Denial to Correct or Amend a Record.

3-17 Appeal from Initial Denial to Correct or Amend a Record.

3-18 Reproduction Fees.

Chapter 4. Establishing and Managing Privacy Act Systems of Records

4-1 Introduction.

4-2 Responsibilities of the System Manager.

4-3 Situations Requiring a Report and Federal Register Notice.

4-4 Contents of the New or Altered System Report.

4-5 Timing, OMB Concurrence, and Publication of the Federal Register Notice.

Chapter 5. Computer Matching Programs

5-1 General.

5-2 Definitions.

5-3 The Data Integrity Board.

5-4 Conducting Matching Programs.

5-5 Due Process for Matching Subjects.

Chapter 6. Application of the Privacy Act to Other Related Functions

6-1 Introduction.

6-2 Automated Data Reporting Systems.

6-3 ADP Security.

6-4 Procurement of Computer Equipment and Systems.

6-5 Procurement and Contracts.

6-6 Forms and Reports Management.

6-7 The Privacy Conscience of the Department.

Chapter 7. Reporting Requirements

7-1 Introduction.

7-2 Examples of Privacy Act Reviews.

7-3 Privacy Act Reports.

Appendices

A. Privacy Act Case Log

B. Privacy Act Officers' Locations

C. Privacy Act of 1974 (as amended)

D. Appeal Procedures

E. Responsibilities of Privacy Act Systems Managers

F. Computer Matching Programs Timetable

G. Guidelines for Establishing Safeguards for Records Subject to the Privacy Act

H. Guide to the Privacy Act of 1974 and the Departmental Privacy Act Regulations

I. Privacy Act Systems of Records

List of Exhibits

3-1 Sample Letter to Inform Individual of a Request for Access to his Personal Information.

3-2 Sample Form to Obtain Consent to Disclose Personal Information.

3-3 Sample Form for Recording Accounting Disclosures.

3-4 Sample Privacy Act Request Letter.

3-5 Sample Letter Informing Requester of Transfer of Privacy Act Request to Appropriate HUD Office.

3-6 Sample Letter Used to Obtain Additional Information.

3-7 Sample Record Search Information Log.

3-8 Sample Letter for Privacy Act Processing Over 10 Days.

3-9 Sample Letter to Inform Requester of Departmental Action.

3-10 Sample Statement of Identity.

3-11 Sample Requester's Authorization for an Accompanying Individual.

4-1 Sample of a New System of Records Notice.

4-2 Sample of an Altered or Amended System of Records Notice.

Chapter 1. Introduction to the Handbook

1-1 Purpose. This Handbook has two main goals.

A. To provide every employee of the Department with information on their rights and responsibilities under the Privacy Act.

B. To establish policies, procedures, requirements and guidelines for the implementation of the Department's Privacy Act responsibilities.

1-2 Records Subject to the Privacy Act. A group of records is subject to the Privacy Act if it satisfies all three of the following criteria:

A. Contains an item, collection, or grouping of information about an individual.

B. Contains name, or identifying number, symbol, or other identifying particular assigned to the individual such as a finger or voice print.

C. Consists of a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.

1-3 HUD Employees and the Privacy Act. The Privacy Act imposes requirements on staff members performing in different roles.

1-4 Citations and References.

THE PRIVACY ACT OF 1974 (As Amended)

Public Law 93-579

Title 5, United States Code, Section 552a

Computer Matching and Privacy Protection Act

Public Law 100-503

IMPLEMENTATION OF THE PRIVACY ACT OF 1974

Rules and Regulations

Title 24, Subtitle A, Code of Federal Regulations, Part 16

1-5 Definitions.

This section includes defined terms such as Accounting, Access, Agency, Appeal, Denial of access or correction, Department, Disclosure, Individual, Inquiry, Maintain, Privacy Act, Privacy Act Request, Record, Request for access, Request for correction or amendment, Routine use, Statistical record, System Manager, and System of records.

Sample Form Fields

The following fields represent common items appearing in the sample letters, logs, and request forms shown in the handbook excerpts.

Case Number:

Name:

Address:

Telephone Number:

Social Security Number:

Date of Inquiry:

Date of Request:

Date of Denial:

Effective Date:

Relationship with HUD at time record was created:

Additional Information:

Reason for Request:

Description of Requested Record:

Basis for Correction or Amendment:

Specific Wording to Delete:

Specific Wording to Add:

Date when record was created:

Current Address when record was created:

Privacy Act Notice Acknowledgment: I acknowledge the notice.

Consent to Disclose Personal Information: Grant consent

Refuse Consent to Disclose Personal Information: Refuse consent

System of Records Name:

System Manager Name:

System Manager Address:

Supporting Checklist

Request submitted in writing.

Identity verified.

Supporting documents attached.

Appeal requested.

Fee required.

Notes