Privacy Act of 1974; System of Records
| Published date | 04 March 2024 |
| Record Number | 2024-04474 |
| Citation | 89 FR 15603 |
| Court | Housing And Urban Development Department |
| Section | Notices |
Federal Register, Volume 89 Issue 43 (Monday, March 4, 2024)
[Federal Register Volume 89, Number 43 (Monday, March 4, 2024)]
[Notices]
[Pages 15603-15605]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-04474]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-7092-N-17]
Privacy Act of 1974; System of Records
AGENCY: Office of General Counsel, HUD.
ACTION: Notice of a modified system of records.
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SUMMARY: Under the provisions of the Privacy Act of 1974, as amended,
the Department of Housing and Urban Development (HUD), Office of
General Counsel (OGC), is issuing a public notice of its intent to
modify a system of records entitled, ``eDiscovery Management System''
(EDMS). This System of Records Notice (SORN) covers two systems: the
eDiscovery Management System (EDMS) and Relativity. Both systems will
exist simultaneously as part of the eDiscovery process. These systems
are cloud and client-server based, respectively and rely on workflow
management from the EDMS SharePoint instance hosted in the HUD
SharePoint environment. The modification makes updates to the
Categories of Individuals, Record Source Categories, and Routine Use.
The updates are explained in the SUPPLEMENTARY INFORMATION section of
this notice. Specific modification includes the following: changes to
record source categories, and updated routine use sections.
DATES: Comments will be accepted on or before April 3, 2024. The
proposed new routine use actions will be effective on the date
following the end of the comment period unless comments are received
which result in a contrary determination.
ADDRESSES: You may submit comments, identified by docket number by one
method:
Federal e-Rulemaking Portal: http://www.regulations.gov. Follow the
instructions provided on that site to submit comments electronically.
Fax: 202-619-8365.
Email: [email protected].
Mail: Attention: Privacy Office; Mr. LaDonne White, Chief Privacy
Officer; The Executive Secretariat; 451 Seventh Street SW, Room 10139;
Washington, DC 20410-0001.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received will be
posted without change to http://www.regulations.gov including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received go to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: LaDonne White, 451 Seventh Street SW,
Room 10139; Washington, DC 20410-0001; telephone number 202-708-3054
(this is not a toll-free number). HUD welcomes and is prepared to
receive calls from individuals who are deaf or hard of hearing, as well
as individuals with speech or communication disabilities. To learn more
about how to make an accessible telephone call, please visit https://www.fcc.gov/consumers/guides/telecommunications-relay-service-trs.
SUPPLEMENTARY INFORMATION: HUD, Office of General Counsel in
conjunction with the eDiscovery contractor maintains the eDiscovery
Management System (EDMS) and Relativity system of records. eDiscovery
is the process in which attorneys overseeing court-ordered discovery or
litigation may request electronically stored information (ESI),
tangible data, and other evidence relevant to the case for specified
individuals for litigation purposes. The eDiscovery process consists of
two systems that are closely interrelated, and both are consistently
used in the eDiscovery process. EDMS is the system utilized to issue
and track various eDiscovery templates and allows users to submit data
preservation/collection and keyword search requests, and for specific
data (email, G:drive/One Drive, J:drive, C:drive, SharePoint, Teams
data, etc.) to be preserved or collected in accordance with the user
request. EDMS provides the Department with a method to initiate, track,
preserve, collect to produce data in response to discovery requests,
court-ordered discovery/litigation, Freedom of Information Act (FOIA)
requests, Officer of Inspector General (OIG) investigations, Office of
Special Counsel (OSC) and Congressional Oversight Committee requests.
EDMS also includes secure folders to create and store various
eDiscovery templates, including Litigation Hold memoranda, eDiscovery
Certifications, Closure Letters, and any other documents related to the
discovery process as well as a workflow for users to submit ESI data
collection requests and ESI search requests. EDMS relies on tracking
and workflow management from the EDMS SharePoint instance hosted in the
HUD SharePoint environment. The Relativity system is the litigation
review tool portion of the eDiscovery process that allows users to
review data for relevance and privilege before producing data to a
court or other outside party. The two systems are closely interrelated;
if a case proceeds to discovery/litigation, the data that was
previously collected in a network storage location by the HUD
eDiscovery contractor via the EDMS system is processed and provided to
the user for review in Relativity. The user can then request an export
from Relativity to produce the data for a court or other outside party
in response to discovery/litigation obligations. The following are
updates since the previous SORN publication:
Records Source Categories: Updated to cover all electronic record
sources for internal and external systems to HUD.
Routine Use of Records: Updated to cover routine uses that are new,
modified, or removed. Routine Use 1 has not changed. Routine Use 2 has
been rewritten to avoid duplicating permissible disclosures under 5
U.S.C. 552a(b)(6) and to permit disclosures to the Office of Government
Information Services (OGIS), National Archives and Records
Administration (NARA), in connection with OGIS's responsibilities under
the Freedom of Information Act. Former Routine Use 3 has been split
into two distinct routine uses and rewritten to reflect OMB guidance.
Specifically, Routine Use 3 was modified to reflect OMB's guidance from
May 24, 1985. The second half of former Routine Use 3 was renumbered as
Routine Use 5 and modified to reflect OMB's guidance from July 9, 1975
(40 FR 28948). Former Routine Uses 4 and 6 have been removed as
unnecessary for
[[Page 15604]]
this system. Former Routine Use 5 has been renumbered to Routine Use 4
and modified to clarify that contractors are subjected by statute to
the Privacy Act's requirements. Former Routine Use 7 has been
renumbered to Routine Use 6 and modified to reflect OMB's guidance from
May 24, 1985. Former Routine Use 8 has been renumbered to Routine Use
7. Former Routine Use 9 has been removed and replaced by Routine Uses 8
and 9 to comply with OMB Memorandum 17-12. Routine Use 10 has been
removed as unnecessary for this system. Routine Use 11 has been removed
as unnecessary for this system.
SYSTEM NAME AND NUMBER:
eDiscovery Management System (EDMS), HUD/OGC-01.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained on servers at the National Center for
Critical Information Processing and Storage (NCCIPS), 9325 Cypress Loop
RD., Stennis Space Center, MS 39529 and on HUD Azure Cloud managed by
HUD's Office of the Chief Information Officer (OCIO) at 451 Seventh
Street SW, Room 4160, Washington, DC 20410-0001.
SYSTEM MANAGER(S):
Tenille Washburn, Assistant General Counsel, Office of General
Counsel Field Management, and IT Division, HUD, 451 Seventh Street SW,
Room 10286, Washington, DC 20410-0001; Telephone number (202) 402-6536.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
40 U.S.C. 11315 and 44 U.S.C. 3506. In addition, the federal
statutes that authorize the collection and storage of ESI for other
purposes including FOIA, OIG investigations, and Congressional requests
include: The Freedom of Information Act. 5 U.S.C 552 for responses to
the FOIA requests. The Legislative Reorganization Act of 1970 (Pub. L.
91-510) and implied in the Constitution of the Unites States for
responses to Congressional Oversight Committee requests; and The
Inspector General Act of 1978 as amended, 5 U.S.C app. (Pub. L. 95-452,
sec. 1, Oct. 12, 1978, 92 Stat. 1101) (sec. 6(a)(1) authorizes OIG to
have access to records and other documentation).
PURPOSE(S) OF THE SYSTEM:
The purpose of the eDiscovery process and systems are in direct
response to the eDiscovery legal and business requirements stated in
the Federal Rules of Civil Procedure (FRCP) and case law. The
eDiscovery obligations require the preservation/collection and possible
production of electronically stored information (ESI) related to any
individual who may have data or other records related to ``reasonably
anticipated'' litigation. The individuals subject to the eDiscovery
requirements include employees across all HUD offices nationwide as
well as contractors. The eDiscovery systems and process assist HUD to
preserve, collect, and review ESI and data of any individual who is, or
will be, in discovery or litigation with HUD. Relativity facilitates
data analysis, review (relevance, privilege etc.), tagging, redaction,
privilege log, and production of ESI and data to respond to litigation
discovery requirements.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All persons subject to a litigation hold due to a ``reasonable
anticipation of litigation'' as determined by HUD's OGC based on
anticipated litigation trigger dates for the various types of
litigation across the Department; all persons deemed a participant of
past or present litigation or anticipated litigation where HUD is
involved; and specified individuals impacted by FOIA requests,
discovery/litigation, OIG investigations, Congressional Oversight
Committee requests and other cases in HUD.
CATEGORIES OF RECORDS IN THE SYSTEM:
Individual(s) name; Individual(s) work address; Individual(s) work
email address; Individual(s) work phone number; HUD Submitter Office
Location; Case name; Case number; Case Type (Litigation, FOIA, OIG,
Congressional) Date Range for requested Electronically Stored
Information (ESI) collection; and Requested Data Sources for ESI (e.g.,
email data, C:drive, G:drive, One Drive, J:drive, SharePoint, Teams
data).
RECORD SOURCE CATEGORIES:
HUD employees and contractors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
1. To a Congressional office from the record of an individual in
response to an inquiry from that Congressional office made at the
request of the individual to whom the records pertain.
2. To the National Archives and Records Administration, Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures, and compliance with the
Freedom of Information Act (FOIA), and to facilitate OGIS' offering of
mediation services to resolve disputes between persons making FOIA
requests and administrative agencies.
3. To any component of the Department of Justice or other Federal
agency conducting litigation or in proceedings before any court,
adjudicative, or administrative body, when HUD determines that the use
of such records is relevant and necessary to the litigation and when
any of the following is a party to the litigation or have an interest
in such litigation: (1) HUD, or any component thereof; or (2) any HUD
employee in his or her official capacity; or (3) any HUD employee in
his or her individual capacity where the Department of Justice or
agency conducting the litigation has agreed to represent the employee;
or (4) the United States, or any agency thereof, where HUD determines
that litigation is likely to affect HUD or any of its components.
4. To contractors, grantees, experts, consultants, and the agents
thereof, and others performing or working on a contract, service,
grant, cooperative agreement, or other assignment for HUD, when
necessary, to accomplish an agency function related to its system of
records. Disclosure is limited to only those data elements considered
relevant to accomplish an agency function. Contractors provided
information under this routine use are subject to the same Privacy Act
requirements and limitations on disclosure as are applicable to HUD
officers and employees.
5. To appropriate Federal, State, local, Tribal, or other
governmental agencies or multilateral governmental organizations
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license, where HUD determines that the information would assist in the
enforcement of civil or criminal laws and when such records, either
alone or in conjunction with other information, indicate a violation or
potential violation of law.
6. To a court, magistrate, administrative tribunal, or arbitrator
in the course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation,
mediation, or settlement negotiations, or in connection with criminal
law proceedings; when HUD determines that use of such records is
relevant and necessary to the litigation and when any of the following
is a party to the litigation or have an interest in such litigation:
(1) HUD, or any component thereof; or (2) any HUD employee in his
[[Page 15605]]
or her official capacity; or (3) any HUD employee in his or her
individual capacity where HUD has agreed to represent the employee; or
(4) the United States, or any agency thereof, where HUD determines that
litigation is likely to affect HUD or any of its components.
7. To a grand jury agent pursuant either to a federal or state
grand jury subpoena, or to a prosecution request that such record be
released for the purpose of its introduction to a grand jury, where the
subpoena or request has been specifically approved by a court.
8. To appropriate agencies, entities, and persons when (1) HUD
suspects or has confirmed that there has been a breach of the system of
records,[middot] (2) [the agency] has determined that as a result of
the suspected or confirmed breach there is a risk of harm to
individuals, HUD (including its information systems, programs, and
operations), the Federal Government, or national security; and (3) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with [the agency's] efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm.
9. To another Federal agency or Federal entity, when HUD determines
that information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to suspected or
confirmed breach, or (2) preventing, minimizing, or remedying the risk
of harm to individuals, the recipient agency or entity (including its
information systems, programs, and operations), the Federal Government,
or national security, resulting from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Electronic.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Individual(s) name and work email address.
POLICIES AND PRACTICIES FOR RETENTION AND DISPOSAL OF RECORDS:
Temporary. Data and paper records subject to a litigation hold are
preserved for the duration of the litigation hold. Litigation files
having an unusual significance to the Department are kept for seven
years after entry of order or last appeal. Other litigation files are
kept for four years after entry of order or last appeal. Files kept on
administrative adjudications are kept for six years after entry of
order or last appeal.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Strict quality and access controls have been imposed to minimize
the risk of compromising the information that is being stored. Access
to the computer system containing the data/records in EDMS is limited
to those individuals who are authorized to access by appropriate
security clearances and user ID/password permissions. Only assigned
users with a need-to-know are allowed access, on a case-by-case basis,
after going through HUD's background investigation process.
RECORD ACCESS PROCEDURES:
Individuals requesting records of themselves should address written
inquiries to the Department of Housing Urban and Development 451 7th
Street, SW Washington, DC 20410-0001. For verification, individuals
should provide their full name, current address, and telephone number.
In addition, the requester must provide either a notarized statement or
an unsworn declaration made under 24 CFR 16.4.
CONTESTING RECORD PROCEDURES:
The HUD rule for contesting the content of any record pertaining to
the individual by the individual concerned is published in 24 CFR 16.8
or may be obtained from the system manager.
NOTIFICATION PROCEDURES:
Individuals requesting notification of records of themselves should
address written inquiries to the Department of Housing Urban
Development, 451 7th street SW, Washington, DC 20410-0001. For
verification purposes, individuals should provide their full name,
office or organization where assigned, if applicable, and current
address and telephone number. In addition, the requester must provide
either a notarized statement or an unsworn declaration made under 24
CFR 16.4.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
For those records within the system collected and maintained
pursuant to the Federal Rules of Civil Procedure and/or for the purpose
of civil discovery, action or proceeding, 5 U.S.C. 552a(d)(5) will
apply, which states ``nothing in this [Act] shall allow an individual
access to any information compiled in reasonable anticipation of a
civil action or proceeding.''.
HISTORY:
Docket No. FR-5613-N-06-C published on February 11, 2013 at 78 FR
9721.
LaDonne White,
Chief Privacy Officer, Office of Administration.
[FR Doc. 2024-04474 Filed 3-1-24; 8:45 am]
BILLING CODE 4210-67-P
