<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Federal Retirement Thrift Investment Board</name>
<abbrev>
FRTIB
</abbrev>

<previouslyPublished>
<url>http://www.gpo.gov/fdsys/pkg/FR-2012-02-27/pdf/2012-4489.pdf </url>
<title> Amendments to Systems of Records </title>
<date year="2012" month="2" day="27"/>
</previouslyPublished>


<previouslyPublished>
<url>http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-7978.pdf </url>
<title> FRTIB-1, Thrift Savings Plan Records </title>
<date year="2012" month="4" day="3"/>
</previouslyPublished>
<section id="frtib1" toc="yes">
<systemNumber>-1</systemNumber>
<subsection type="systemName">Thrift Savings Plan Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located at the office of the entity engaged by the Agency to perform record keeping services for the TSP. The current address for this record keeper is listed at <i>http://www.tsp.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All participants (which term includes former participants, i.e., participants whose accounts have been closed), as well as spouses, former spouses, and beneficiaries of TSP participants. Participants in the TSP consist of present and former Members of Congress and Federal employees covered by the Federal Employees' Retirement System Act of 1986, (FERSA) as amended, 5 U.S.C. chapter 84; all present and former Members of Congress and Federal employees covered by the Civil Service Retirement System who elect to contribute to the TSP; Supreme Court Justices, Federal judges, and magistrates who elect to contribute; certain union officials, those individuals described in 5 CFR part 1620, and any other individual for whom an account has been established.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records contain the following kinds of information: Records of TSP account activity, including account balances, employee contributions, agency automatic (one percent) and agency matching contributions, earnings, interfund transfers, contribution allocation elections, investment status by fund, loan and withdrawal information, employment status, retirement code and whether employee is vested, error correction information, participant's date of birth and designated beneficiary; records of spousal waivers and consents; powers of attorney and conservatorship and guardianship orders; participant's name, current or former employing agency, and servicing payroll and personnel office; records of Social Security number and home address for participants, spouses, former spouses, and beneficiaries and potential beneficiaries; records of bankruptcy actions; information regarding domestic relations court orders to divide the account; child support, child abuse, and alimony orders; information on payments to the participant's spouse, former spouse, or children and their attorneys; information on notices sent to participants, spouses, former spouses, and beneficiaries; and general correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to ensure the integrity of the Plan, to record activity concerning the TSP account of each Plan participant, to communicate with the participant, spouse, former spouse, and beneficiary concerning the account, and to make certain that he or she receives a correct payment from the Plan.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in these records may be used:
</p><p>a. To disclose financial data and addresses to Federal, state, and local governmental tax enforcement agencies so that they may enforce applicable tax laws.
</p><p>b. To disclose to the designated annuity vendor in order to provide TSP participants who have left Federal service with an annuity.
</p><p>c. To disclose to sponsors of eligible retirement plans for purposes of transferring the funds in the participant's account to an Individual Retirement Arrangement or into another eligible retirement plan.
</p><p>d. To disclose to current and former spouses and their attorneys in order to protect spousal rights under FERSA and to receive benefits to which they may be entitled.
</p><p>e. When a participant to whom a record pertains dies, to disclose the following types of information to any potential beneficiary: Information in the participant's record which could have been properly disclosed to the participant when living (unless doing so would constitute a clearly unwarranted invasion of privacy) and the name and relationship of any other person who claims the benefits or who is entitled to share the benefits payable.
</p><p>f. When a participant to whom a record pertains dies, to disclose the following types of information to anyone handling the participant's estate: Information in the participant's record which could have been properly disclosed to the participant when living (unless doing so would constitute a clearly unwarranted invasion of privacy), the name and the relationship of any person who claims the benefits or who is entitled to share the benefits payable, and information necessary for the estate's administration (for example, post-death tax reporting).
</p><p>g. To disclose information to any person who is named by the participant, spouse, former spouse, or beneficiary of the participant in a power of attorney and to any person who is responsible for the care of the participant or the spouse, former spouse, or beneficiary of the participant to whom a record pertains, and who is found by a court to be incompetent or under other legal disability, information necessary to manage the participant's account and to ensure payment of benefits to which the participant, spouse, former spouse or beneficiary of the participant is entitled.
</p><p>h. To disclose information to a congressional office from the record of a participant or of the spouse, former spouse, or beneficiary of a participant in order for that office to respond to a communication from that person.
</p><p>i. To disclose to agency payroll or personnel offices in order to calculate benefit projections for individual participants, to calculate error corrections, to reconcile payroll records, and otherwise to ensure the effective operation of the Thrift Savings Plan.
</p><p>j. To disclose to the Department of the Treasury information necessary to issue checks from accounts of participants in accordance with withdrawal or loan procedures or to make a payment to a spouse, former spouse, child, or his or her attorney, or to a beneficiary.
</p><p>k. To disclose to the Department of Labor and to private sector audit firms so that they may perform audits as provided for in FERSA.
</p><p>l. To disclose to the Parent Locator Service of the Department of Health and Human Services, upon its request, the address of a participant, spouse, former spouse, or beneficiary of the participant for the purpose of enforcing child support obligations against that individual.
</p><p>m. To disclose pertinent information to the appropriate Federal, foreign, state, local, or tribal agency, or to other public authority responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, upon its request, when presented with an indication that the information is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility of that agency or authority.
</p><p>n. To disclose information to the Office of Management and Budget at any stage of the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.
</p><p>o. To disclose to a Federal agency, in response to its request, the address of a participant, spouse, former spouse, or beneficiary of the participant and any other information the agency needs to contact that individual concerning a possible threat to his or her health or safety.
</p><p>p. To disclose information to the Department of Justice, where:
</p><p>(1) The Board or any component of it, or
</p><p>(2) Any employee of the Board in his or her official capacity, or
</p><p>(3) Any employee of the Board in his or her individual capacity, where the Department of Justice has agreed to represent the employee; or
</p><p>(4) The United States (where the Board determines that litigation is likely to affect the agency or any of its components) is a party to litigation or has an interest in such litigation, and the Board determines that use of such records is relevant and necessary to the litigation. However, in each such case, the Board must determine that disclosure of the records to the Department of Justice is a use of the information contained in the records which is compatible with the purpose for which the records were collected.
</p><p>q. In response to a court subpoena, or to appropriate parties engaged in litigation or preparing for possible litigation. Examples include disclosure to potential witnesses for the purpose of securing their testimony to courts, magistrates, or administrative tribunals, to parties and their attorneys in connection with litigation or settlement of disputes, or to individuals seeking information through established discovery procedures in connection with civil, criminal, or regulatory proceedings.
</p><p>r. To disclose to contractors and their employees who have been engaged to assist the Board in performing a contract service or agreement, or who have been engaged to perform other activity related to this system of records and who need access to the records in order to perform the activity. Recipients of TSP records are required to comply with the requirements of the Privacy Act.
</p><p>s. To disclose to personnel from agency personnel/payroll offices or to casualty assistance officers when necessary to assist a beneficiary or potential beneficiary.
</p><p>t. To disclose to a consumer reporting agency when the Board is trying to collect a debt owed to the Board under the provisions of 5 U.S.C. 3711.
</p><p>u. To disclose to quality control companies when such companies are verifying documents submitted to lenders in connection with participants' commercial loan applications.
</p><p>v. To disclose to an official of another Federal agency information needed in the performance of official duties related to reconciling or reconstructing data files, compiling descriptive statistics, and making analytical studies in support of the function for which the records were collected and maintained.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>These records are maintained on electronic or magnetic media, on microfilm, or in folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by SSN and other personal identifiers of the individual to whom they pertain.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Hard copy records are kept in metal file cabinets in a secure facility, with access limited to those whose official duties require access. Personnel are screened to prevent unauthorized disclosure. Security mechanisms for automatic data processing prevent unauthorized access to the electronic or magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TSP documents are retained for 99 years. Manual records are disposed of by compacting and burning; data on electronic or magnetic media are obliterated by destruction or reuse, or are returned to the employing agency.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Financial Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals who want notice of whether this system of records contains information pertaining to them and to obtain access to their records may contact the TSP Service Office or their employing agency, as follows:
</p><p>a. Participants who are current Federal employees may call or write their employing agency for personnel or payroll records regarding the agency's and the participant's contributions and adjustments to contributions. A request to the employing agency must be made in accordance with that agency's Privacy Act regulations or that agency's procedures. For other information regarding their TSP accounts, participants who are Federal employees may call or write the TSP Service Office.
</p><p>b. Participants who have separated from Federal employment and spouses, former spouses, and beneficiaries of participants may call or write the TSP Service Office.
</p><p>Individuals calling or writing the TSP Service Office must furnish the following information for their records to be located and identified:
</p><p>a. Name, including all former names;
</p><p>b. Social Security number; and
</p><p>c. Other information, if necessary. For example, a participant may need to provide the name and address of the agency, department, or office in which he or she is currently or was formerly employed in the Federal service. A spouse, former spouse, or beneficiary of a participant may need to provide information regarding his or her communications with the TSP Service Office or the Board.
</p><p>Participants may also inquire whether this system contains records about them and access certain records through the account access section of the TSP Web site and the ThriftLine (the TSP's automated telephone system). The TSP Web site is located at www.tsp.gov. To use the TSP ThriftLine, the participant must have a touch-tone telephone and call the following number 1-877-968-3778. Hearing-impaired participants should dial 1-877-847-4385. The following information is available on the TSP Web site and the ThriftLine: Account balance; available loan amount; the status of a monthly withdrawal payment; the current status of a loan or withdrawal application; and an interfund transfer request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals who want to amend TSP records about themselves must submit a detailed written explanation as to why information regarding them is inaccurate or incorrect, as follows:
</p><p>a. Participants who are current Federal employees must write their employing agency to request amendment of personnel records regarding employment status, retirement coverage, vesting code, and TSP service computation date, or payroll records regarding the agency's and the participant's contributions and adjustments to contributions. A request to the employing agency must be made in accordance with that agency's Privacy Act regulations or that agency's procedures. For other information regarding their TSP accounts, participants who are Federal employees must submit a request to the TSP Service Office.
</p><p>b. Participants who have separated from Federal employment and spouses, former spouses, and beneficiaries of participants must submit a request to the TSP Service Office.
</p><p>c. Individuals must provide their Social Security number and name, and they may also need to provide other information for their records to be located and identified.
</p><p>The employing agency or the TSP Service Office will follow the procedures set forth in 5 CFR part 1605, Error Correction Regulations, in responding to requests to correct contribution errors.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system is obtained from the following sources:
</p><p>a. The individual to whom the information pertains;
</p><p>b. Agency payroll and personnel records;
</p><p>c. Court orders; or
</p><p>d. Spouses, former spouses, other family members, beneficiaries, legal guardians, and personal representatives (executors, administrators).
</p></xhtmlContent></subsection></section>
<section id="frtib2" toc="yes">
<systemNumber>-2</systemNumber>
<subsection type="systemName">Personnel Security Files.

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="securityClassification"><xhtmlContent><p>Most personnel identity verification records are not classified. However, in some cases, records of certain individuals, or portions of some records, may be classified in the interest of national security.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who require regular, ongoing access to federal facilities, information technology systems, or information classified in the interest of national security, including applicants for employment or contracts, federal employees, contractors, students, interns, volunteers, affiliates, individuals authorized to perform or use services provided in Agency, and individuals formerly in any of these positions. The system also includes individuals accused of security violations or found in violation of security policies.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, former names, birth date, birth place, Social Security number, home address, phone numbers, employment history, residential history, education and degrees earned, names of associates and references and their contact information, citizenship, names of relatives, birth dates and places of relatives, citizenship of relatives, names of relatives who work for the federal government, criminal history, mental health history, drug use, financial information, fingerprints, summary report of investigation, results of suitability decisions, level of security clearance, date of issuance of security clearance, requests for appeal, witness statements, investigator's notes, tax return information, credit reports, security violations, circumstances of violation, and agency action taken.

</p><p>Forms: SF-85, SF-85P, SF-86, SF-87, FRTIB-2008.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Depending upon the purpose of your investigation, the Federal Retirement Thrift Investment Board is authorized to ask for this information under Executive Orders 10450, 10865, 12333, and 12356; sections 3301 and 9101 of title 5, U.S. Code; sections 2165 and 2201 of title 42, U.S. Code; sections 781 to 887 of title 50, U.S. Code; parts 5, 732, and 736 of title 5, Code of Federal Regulations; and Homeland Security Presidential Directive 12 Homeland Security Presidential Directive (HSPD) 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system of records are used to document and support decisions regarding clearance for access to classified information, the ability to receive and the suitability, eligibility, and fitness for service of applicants for federal employment and contract positions, including students, interns, or volunteers to the extent their duties require access to federal facilities, information, systems, or applications. The records may be used to document security violations and supervisory actions taken.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To the Department of Justice when: (a) The FRTIB; (b) any employee of the FRTIB in his or her official capacity; (c) any employee of the FRTIB in his or her individual capacity where the FRTIB or the Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the FRTIB determines that the records are both relevant and necessary to the litigation and the use of such records by DOJ is therefore deemed by the FRTIB to be for a purpose compatible with the purpose for which the FRTIB collected the records.

</p><p>To a court or adjudicative body in a proceeding when: (a) The FRTIB; (b) any employee of the FRTIB in his or her official capacity; (c) any employee of the FRTIB in his or her individual capacity where the FRTIB or the Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the FRTIB determines that the records are both relevant and necessary to the litigation and the use of such records is therefore deemed by the FRTIB to be for a purpose that is compatible with the purpose for which the FRTIB collected the records.

</p><p>Except as noted on Forms SF-85, SF-85P, SF-86, or FRTIB-2008, when a record on its face, or in conjunction with other records, indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate public authority, whether Federal, foreign, State, local, or tribal, or otherwise, responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative or prosecutorial responsibility of the receiving entity.

</p><p>To a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained.

</p><p>To the National Archives and Records Administration or to the General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906.

</p><p>To FRTIB contractors, grantees, or volunteers who have been engaged to assist the agency in the performance of a contract service, grant, cooperative agreement, or other activity related to this system of records and who need to have access to the records in order to perform their activity. Recipients shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

</p><p>To any source or potential source from which information is requested in the course of an investigation concerning the retention of an employee or other personnel action (other than hiring), or the retention of a security clearance, contract, grant, license, or other benefit, to the extent necessary to identify the individual, inform the source of the nature and purpose of the investigation, and to identify the type of information requested.

</p><p>To a Federal, State, local, foreign, or tribal or other public authority the fact that this system of records contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization may then make a request supported by the written consent of the individual for the entire record if it so chooses. No disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to another office within the agency or to another Federal agency for criminal, civil, administrative personnel or regulatory action.

</p><p>To the news media or the general public, factual information the disclosure of which would be in the public interest and which would not constitute an unwarranted invasion of personal privacy, consistent with Freedom of Information Act standards.









</p><p>To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities under the National Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.



</p><p>To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB Circular No. A-19.
 </p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Records are stored on paper and electronically in a secure location.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Background investigation files are retrieved by name, Social Security number (SSN), or fingerprint.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in secured areas and electronic systems and are available only to authorized personnel whose duties require access.


</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained and disposed of in accordance with General Records Schedule 18, item 22a, approved by the National Archives and Records Administration (NARA). The records are disposed in accordance with FRTIB disposal policies which call for burning or shredding or purging from the Agency's electronic record keeping systems. Records are destroyed upon notification of death or not later than five years after separation or transfer of employee to another agency or department, whichever is applicable.


</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Chief Financial Officer maintains the Agency's electronic background information data and all other records in FRTIB-2. The Chief Financial Officer may be contacted in writing at 77 K Street NE., Suite 1000, Washington, DC 20002.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about themselves should send inquiries to the Chief Financial Officer at Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002. When requesting notification or access to records covered by FRTIB-2, an individual should provide his/her full name, date of birth, Social Security number, and home address in order to establish identity.
 </p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals wishing to request access to records about themselves should contact the Chief Financial Officer. Individuals must supply their full name for their records to be located and identified.

</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals wishing to request amendment of their records under the provisions of the Privacy Act should contact the Chief Financial Officer. Individuals must furnish their full names for their records to be located and identified. Individuals should also reasonably identify the record, specify the information they are contesting, state the corrective action sought and the reasons for the correction along with supporting justification showing why the record is not accurate, timely, relevant, or complete. Rules regarding amendment of Privacy Act records appear in 5 CFR part 1630.

</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from a variety of sources including the employee, contractor, or applicant via use of the SF-85, SF-85P, SF-86, or FRTIB-2008, and personal interviews; employers' and former employers' records; FBI criminal history records and other databases; financial institutions and credit reports; medical records and health care providers; educational institutions; interviews of witnesses such as neighbors, friends, co-workers, business associates, teachers, landlords, or family members; tax records; and other public records. Security violation information is obtained from a variety of sources, such as guard reports, security inspections, witnesses, supervisor's reports, audit reports.

</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Upon publication of a final rule in the <i>Federal Register</i>, this system of records will be exempt in accordance with 5 U.S.C. 552a(k)(5). Information will be withheld to the extent it identifies witnesses promised confidentiality as a condition </p></xhtmlContent></subsection></section>
<section id="frtib3" toc="yes">
<systemNumber>-3</systemNumber>
<subsection type="systemName">Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applicants for Board employment and current and former Board employees who file a complaint of discrimination or appeal a determination made by an official of the Board relating to equal employment opportunities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains information or documents relating to a complaint or a decision made by the Board affecting an individual under the Board's EEO regulations and procedures. The records consist of the initial complaint or appeal letters or notices to the individual, record of hearings when conducted, materials placed into the record to support the decision or determination affidavits or statements, testimony of witnesses, investigative reports, instructions to the Board and/or individual about action to be taken to comply with decisions, and related correspondence opinions and recommendations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information in the records may be used:
</p><p>a. To adjudicate an appeal, complaint, or grievance.
</p><p>b. To refer, where there is an indication of a violation or potential violation of law, whether civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto.
</p><p>c. To provide information or disclose to a Federal agency, in response to its request in connection with the hiring or retention of an employee, the lettering of a contract, or issuance of a license grant or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>These records are maintained in file folders, binders, and index cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by the names of the individuals on whom they are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Personnel Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals who have filed appeals or grievances are aware of that fact and have been provided a copy of the records. They may, however, contact the System Manager, address above. Individuals should provide their name, date of birth, and the approximate date of employment or application, and the kind of action taken by the Board when making inquiries about records.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals who have appealed or filed a grievance about a decision or determination made by the Board or about conditions existing in the Board already have been provided a copy of the records. However, to gain access or contest the records in this system, individuals should contact the System Manager, address above. Individuals should provide their name, date of birth, approximate date of employment or application and the kind of action taken by the Board.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>a. Individual to whom the record pertains
</p><p>b. Board employees
</p><p>c. Affidavits or statements from employee
</p><p>d. Testimony of witnesses
</p><p>e. Official documents relating to the appeal, grievance, or complaint
</p><p>f. Correspondence from specific organizations or persons.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to subsection 5 U.S.C. 552a(k)(2) (the Privacy Act) and the Board's regulation relating thereto (5 CFR 1830.16) certain portions of this system of records may be exempted from certain provisions of the Act where such portions represent investigatory material compiled for law enforcement purposes.
</p></xhtmlContent></subsection></section>
<section id="frtib4" toc="yes">
<systemNumber>-4</systemNumber>
<subsection type="systemName">Adverse Information and Action Records: Disciplinary Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former Board employees, (including special employees) and annuitants who are involved in an adverse action; employees who suffer a withholding of a Progress Step Increase; and those employees who have creditors contracting the Board relative to credit problems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records may contain information or documents relating to a determination made by the Board affecting an individual. The records consist of letters or notices to the individual, record of hearings when conducted, materials placed into the record to support the decision or determination, affidavits or statements, testimony of witnesses, investigative reports, and related correspondence, opinions and recommendations. Letters from creditors are also contained in this system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information in the records may be used:
</p><p>a. To adjudicate an appeal, complaint, or grievance.
</p><p>b. To refer, where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto.
</p><p>c. To request information from a Federal, State or local agency maintaining civil, criminal, or other relevant enforcement or other pertinent information, such as licenses, if necessary to obtain relevant information to a Board decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a grant or other benefit.
</p><p>d. To provide information or disclose to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>These records are maintained in file folders, binders, and index cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by the names of the individuals on whom they are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are maintained indefinitely after cessation of employment unless deemed unnecessary, and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Personnel Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals should provide name, date of birth, social security number, identification number (if known), approximate date of record, and type of situation with which concerned, to the System Manager, address above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the System Manager above. Former Board employees should direct such a request in writing, including their name, date of birth and social security number.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information provided by persons involved in there adverse action process including law enforcement personnel.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="frtib5" toc="yes">
<systemNumber>-5</systemNumber>
<subsection type="systemName">Payroll Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>General Services Administration, National Capital Region, copies held by the Board. (GSA holds records for the Board under contract.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and present employees and members of the Board.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Varied payroll records including payment vouchers, comprehensive listing of employees, requests for deductions, tax forms, W-2 forms, overtime requests, leave data, workmen's compensation data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used in the preparation of Board payroll, as input to several management reports, and from time to time, input to other contributing organizations for use in studies, analyses, and reports or support activities.
</p><p>The information in this system will also be disclosed as follows:
</p><p>a. To the Department of Health and Human Services Federal Parent Locator System and Federal Tax Offset System for use in locating current and former employees involved in child support and paternity cases and identifying their income sources to be used in child support orders and enforcement actions.
</p><p>b. To the Department of Health and Human Services Federal Parent Locator System for release to the Social Security Administration for verifying Social Security numbers in connection with the operation of the FPLS.
</p><p>c. To the Department of Health and Human Services Federal Parent Locator System for release to the Department of the Treasury for purposes of administering the Earned Income Tax Credit Program and verifying a claim with respect to employment in a tax return.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>On tape, punched cards, index cards, folders and document files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by name, social security number, and employee number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to authorized personnel only. Records are stored in cabinets and a safe. Access to computer records is restricted to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Minimum of one year from date of annual audit maximum of indefinite.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Personnel Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Current and former employees who wish to gain access or contest their records should contact System Manager, address above. Individuals should provide name, date of birth, social security number, identification number (if known).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Current and former employees who wish to gain access or contest their records should contact System Manager, address above. Individuals should provide name, date of birth, social security number, identification number (if known).
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Internal personnel forms, Federal, state, and local tax forms, employee authorizations and directive forms, insurance forms, leave and overtime reports, Federal and state garnishment forms.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="frtib6" toc="yes">
<systemNumber>-6</systemNumber>
<subsection type="systemName">Leave Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present employees, former employees for a period of three years following their separation from the Board.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains timekeeper records, leave cards, payroll notifications, supporting memorandum, periodic leave statements, and creditable service documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used as a data source for management information and payment of leave, for production of statistics and analytical studies in support of the function for which records are collected and maintained or for related personnel management functions, and manpower studies. This information is provided to the General Services Administration which is under contract to provide personnel support to the Board and it will be disclosed to other Federal agencies in connection with official audit activities.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>Punched card, tape, disk, index card, folder, and print out.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by date, but may be filed by name or identifying number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in locked metal file cabinets, other record stored in secured limited access computer facilities.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Specific information destroyed after three years. Summary data is a part of permanent official personnel file.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Personnel Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individual wishing to know whether information about them is maintained in this system of records should address inquiries of the System Manager above. Former Board employees should direct such a request in writing, including their name, date of birth, and social security number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals wishing to gain access or contest their records should contact the System Manager, address above. Former Board employees should direct such a request in writing, including their name, date of birth, and social security number.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records, files and forms of the Board, information provided by the employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="frtib7" toc="yes">
<systemNumber>-7</systemNumber>
<subsection type="systemName">Consultant and Staff Associate File.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals retained by formal agreement, who: (1) Provide consulting services to the Board and (2) act as advisors to the Board, but do not maintain the independence of action necessary to meet the requirements for classification as an independent contractor.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Documents, letters, memorandum of understanding relating to agreement, rates of pay, payment, records, vouchers, invoices, and selection: Negotiation, implementation, scope and performance of work. Additional information may be found on reemployed annuitants in the Board's General Personnel Records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Routine uses include, but are not restricted to, selection, monitoring, evaluation and control, audit and analysis, routine management activity, and statistical use without individual identification: Verification and confirmation; and referral when used as a basis for prospective employment by employers other than the Board; to provide information or disclose to a Federal agency, or any other employer or prospective employer, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>Folder, punched card, tape, disk and index card.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by name and cross indexed by voucher number and date.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in secured area, access limited to Board staff on an official use basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Indefinite.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Personnel Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals who have filed appeals or grievances are aware of that fact and have been provided a copy of the records. They may, however, contact the System Manager, address above. Individuals should provide their name, date of birth, and the approximate date of employment or application, and the kind of action taken by the Board when making inquiries about records.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals who have appealed or filed a grievance about a decision or determination made by the Board or about conditions existing in the Board already have been provided a copy of the records. However, to gain access or contest the records in this system; individuals should contact the System Manager, address above. Individuals should provide their name, date of birth, approximate date of employment or application, and the kind of action taken by the Board.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from the individual to whom it applies or is derived from information supplied by the individual, except information provided by Board staff, and for reemployed annuitants where the inactive General Personnel File is activated.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to subsections (k)(2) and (k)(5) of the Privacy Act and the Board's regulation relating thereto (5 CFR 1630.16), certain portions of this systems of records may be exempted from certain provisions of the Act where: (1) Such portions represent investigatory material compiled for law enforcement purposes, or (2) such portions represent investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Board employment to the extent that disclosure of such portions would reveal the identity of a source who furnished information under a promise of confidentiality.
</p></xhtmlContent></subsection></section>
<section id="frtib8" toc="yes">
<systemNumber>-8</systemNumber>
<subsection type="systemName">Board Members File.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and present members of the Board.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Biographies of past and present members of the Board, oaths of office, and miscellaneous correspondence relating to such Members.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used for background information to determine qualifications for appointment, reappointments, for compiling information for new releases and other publications, and for recording correspondence concerning the members.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>Paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Locked in a metal file cabinet. Access limited to Board staff on a restricted basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Indefinite.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary to the Board, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the System Manager, address above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact the System Manager, address above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Generated by individuals, incoming correspondence and staff response thereto.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5) (the Privacy Act) and the Board's regulation relating thereto (5 CFR 1630.16) certain portions of this system of records may be exempted from certain provisions of the Act where such portions represent investigatory material compiled solely for the purpose of determining suitability, eligibility or qualifications for Board employment to the extent that disclosure of such portions would reveal the identity of a source who furnished information under a promise of confidentiality.
</p></xhtmlContent></subsection></section>
<section id="frtib9" toc="yes">
<systemNumber>-9</systemNumber>
<subsection type="systemName">Organization Management and Locator System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Civilian and contractor personnel working for the Agency; former employees; applicants for civilian employment, volunteers, and individuals designated as emergency points of contact.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains information regarding the organizational location, telephone extension, and e-mail address of individual Agency employees and contractors. The system also contains the home address, telephone number, cell phone number, and e-mail address of the individual, and the name, address, and telephone number of an individual to contact in the event of a medical or other emergency involving the employee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information is used to prepare organizational charts and directories, recall rosters, emergency notification rosters, and social rosters; notify personnel of arrival of visitors; locate individuals on routine and/or emergency matters; locate individuals during medical emergencies, facility evacuations and similar threat situations; provide mail distribution and forwarding addresses; compile a social roster for official and non-official functions; send personal greetings and invitations; and, similar administrative uses requiring personnel data.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Agency as a routine use pursuant to 5 U.S.C. 552a(b)(b)(3) as follows:
</p><p>a. By the Agency in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related work force studies. While published statistics and studies do not contain individual identifiers, in some instances the selection of the elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.
</p><p>b. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Electronic data bases and paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individual on whom they are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in secured areas and electronic systems and are available only to authorized personnel whose duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained as long as the individual is an employee or contractor for the Agency. Expired records are destroyed by burning or shredding or purging from the Agency's electronic record keeping systems.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office directors maintain records pertaining to that director's employees or contractor personnel. The Director, Automated Systems, maintains the Agency's electronic emergency notification roster. The Chief Financial Officer maintains all other records in FRTIB-9. Any of these individuals may be contacted in writing at 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about themselves should address written inquiries to their Office Director; the Director, Automated Systems; or the Chief Financial Officer at Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002. Individuals must supply their full name for their records to be located and identified.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals wishing to request access to records about them should contact the Office Director; Director, Automated Systems; or Chief Financial Officer. Individuals must supply their full name for their records to be located and identified.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals wishing to request amendment of their records under the provisions of the Privacy Act should contact the respective system manager. Individuals must furnish full name for their records to be located and identified.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by the individual who is the subject of the record.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="frtib10" toc="yes">
<systemNumber>-10</systemNumber>
<subsection type="systemName">Identity Management System (IDMS).

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002. Some data covered by this system may be at Federal buildings and Federally-leased space where staffed guard-stations have been established in facilities that have installed the Personal Identity Verification (PIV) system, as well as the physical security offices or computer security offices of those locations.

</p></xhtmlContent></subsection>
	<subsection type="securityClassification"><xhtmlContent><p>Most identity records are not classified. However, in some cases, records of certain individuals, or portions of some records, may be classified in the interest of national security.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who require regular, ongoing access to Agency facilities, information technology systems, or information classified in the interest of national security, including applicants for employment or contracts, federal employees, contractors, students, interns, volunteers, affiliates, and individuals formerly in any of these positions. The system also includes individuals authorized to perform or use services provided in agency facilities.

</p><p>The system does not apply to occasional visitors or short-term guests to whom the Federal Retirement Thrift Investment Board will issue temporary identification and credentials.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained on individuals issued credentials by the Federal Retirement Thrift Investment Board include the following data fields: Full name, Social Security number; date of birth; signature; image (photograph); fingerprints; hair color; eye color; height; weight; organization/office of assignment; company name; telephone number; copy of background investigation form; PIV card issue and expiration dates; personal identification number (PIN); results of background investigation; PIV request form; PIV registrar approval signature; PIV card serial number; emergency responder designation; copies of documents used to verify identification or information derived from those documents such as document title, document issuing authority, document number, document expiration date, document other information); level of national security clearance and expiration date; computer system user name; user access and permission rights, authentication certificates; digital signature information.

</p><p>Records maintained on card holders entering Federal Retirement Thrift Investment Board facilities or using Federal Retirement Thrift Investment Board systems include: Name, PIV Card serial number; date, time, and location of entry and exit; company name; level of national security clearance and expiration date; digital signature information; computer networks/applications/data accessed.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Federal Information Security Act (Pub. L. 104-106, sec. 5113); Electronic Government Act (Pub. L. 104-347, sec. 203); the Paperwork Reduction Act of 1995 (44 U.S.C. 3501); and the Government Paperwork Elimination Act (Pub. L. 105-277, 44 U.S.C. 3504); Homeland Security Presidential Directive (HSPD) 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004; Federal Property and Administrative Act of 1949, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purposes of the system are: (a) To ensure the safety and security of Federal Retirement Thrift Investment Board facilities, systems, or information, and our occupants and users; (b) To verify that all persons entering federal facilities, using federal information resources, or accessing classified information are authorized to do so; (c) to track and control PIV cards issued to persons entering and exiting the facilities, using systems, or accessing classified information.
 </p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information about covered individuals may be disclosed without consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:

</p><p>To the Department of Justice when: (a) The FRTIB; or (b) any employee of the FRTIB in his or her official capacity; (c) any employee of the FRTIB in his or her individual capacity where the FRTIB or the Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the FRTIB determines that the records are both relevant and necessary to the litigation and the use of such records by DOJ is therefore deemed by the agency to be for a purpose compatible with the purpose for which the FRTIB collected the records.

</p><p>To a court or adjudicative body in a proceeding when: (a) The FRTIB; (b) any employee of the FRTIB in his or her official capacity; (c) any employee of the FRTIB in his or her individual capacity where the FRTIB or the Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the FRTIB determines that the records are both relevant and necessary to the litigation and the use of such records is therefore deemed by the FRTIB to be for a purpose that is compatible with the purpose for which the agency collected the records.






</p><p>Except as noted on Forms SF-85, SF-85P, SF-86, or FRTIB-2008, when a record on its face, or in conjunction with other records, indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate public authority, whether Federal, foreign, State, local, or tribal, or otherwise, responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative or prosecutorial responsibility of the receiving entity.

</p><p>To a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained.

</p><p>To the National Archives and Records Administration or to the General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906.

</p><p>To FRTIB contractors, grantees, or volunteers who have been engaged to assist the FRTIB in the performance of a contract service, grant, cooperative agreement, or other activity related to this system of records and who need to have access to the records in order to perform their activity. Recipients shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

</p><p>To a Federal, State, local, foreign, or tribal or other public authority the fact that this system of records contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization may then make a request supported by the written consent of the individual for the entire record if it so chooses. No disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to another office within the agency or to another Federal agency for criminal, civil, administrative personnel or regulatory action.

</p><p>To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB Circular No. A-19.

</p><p>To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities under the National Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.

</p><p>To notify another federal agency when, or verify whether, a PIV card is no longer valid.

</p><p>To the news media or the general public, factual information the disclosure of which would be in the public interest and which would not constitute an unwarranted invasion of personal privacy, consistent with Freedom of Information Act standards.

</p><p>Note:</p><p>Disclosures within the Federal Retirement Thrift Investment Board of data pertaining to date and time of entry and exit of an agency employee working in the District of Columbia may not be made to supervisors, managers or any other persons (other than the individual to whom the information applies) to verify employee time and attendance record for personnel actions because 5 U.S.C. 6106 prohibits Federal Executive agencies (other than the Bureau of Engraving and Printing) from using a recording clock within the District of Columbia, unless used as a part of a flexible schedule program under 5 U.S.C. 6120 <i>et seq.</i>
 </p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:

</p><p>Records are stored on paper and electronically in a secure location.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Identity records are retrieved by name, Social Security number (SSN), or fingerprint.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in secured areas and electronic systems and are available only to authorized personnel whose duties require access. Access to individuals working at guard stations will be password-protected; each person granted access to the system at guard stations must be individually authorized to use the system. A Privacy Act Warning Notice will appear on the monitor screen when records containing information on individuals are first displayed. Data exchanged between the servers and the client PCs at the guard stations and badging office will be encrypted. Backup tapes will be stored in a locked and controlled room in a secure, off-site location. An audit trail is maintained and reviewed periodically to identify unauthorized access. Persons given roles in the PIV process will be required to complete training specific to their roles to ensure they are knowledgeable about how to protect individually identifiable information.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained and disposed of in accordance with General Records Schedule 18, item 22a, approved by the National Archives and Records Administration (NARA). The records are disposed in accordance with our disposal policies which call for burning or shredding or purging from the Agency's electronic record keeping systems. Records are destroyed upon notification of death or not later than five years after separation or transfer of employee to another agency or department, whichever is applicable.

</p><p>Records relating to persons' access covered by this system are retained in accordance with General Records Schedule 18, Item 17 approved by the National Archives and Records Administration (NARA). The records are disposed in accordance with our disposal policies which call for burning or shredding or purging from the Agency's electronic record keeping systems. Unless retained for specific, ongoing security investigations, records are maintained for two years and then destroyed.







</p><p>All other records relating to individuals are retained and disposed of in accordance with General Records Schedule 18, item 22a, approved by NARA. The records are disposed in accordance with our disposal policies which call for burning or shredding or purging from the Agency's electronic record keeping systems. Records are destroyed upon notification of death or not later than five years after separation or transfer of employee, whichever is applicable.

</p><p>In accordance with HSPD-12, PIV Cards are deactivated within 18 hours of cardholder separation, loss of card, or expiration. The information on PIV Cards is maintained in accordance with General Records Schedule 11, Item 4. PIV Cards are destroyed by cross-cut shredding no later than 90 days after deactivation.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Chief Financial Officer maintains the Agency's electronic identity data and all other records in FRTIB-10. The Chief Financial Officer may be contacted in writing at 77 K Street NE., Suite 1000, Washington, DC 20002.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about themselves should send inquiries to the Chief Financial Officer at Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002. When requesting notification of or access to records covered by FRTIB-10, an individual should provide his/her full name, date of birth, social security number, and home address in order to establish identity.
 </p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals wishing to request access to records about themselves should contact the Chief Financial Officer. Individuals must supply their full names for their records to be located and identified.

</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals wishing to request amendment of their records under the provisions of the Privacy Act should contact the Chief Financial Officer. Individuals must furnish full name for their records to be located and identified. Individuals should also reasonably identify the record, specify the information they are contesting, state the corrective action sought and the reasons for the correction along with supporting justification showing why the record is not accurate, timely, relevant, or complete. Rules regarding amendment of Privacy Act records appear in 5 CFR part 1630.

</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from a variety of sources including the employee, contractor, or applicant via use of the SF-85, SF-85P, SF-86, or FRTIB-2008, and personal interviews; employers' and former employers' records; FBI criminal history records and other databases; financial institutions and credit reports; medical records and health care providers; educational institutions; interviews of witnesses such as neighbors, friends, co-workers, business associates, teachers, landlords, or family members; tax records; and other public records. Security violation information is obtained from a variety of sources, such as guard reports, security inspections, witnesses, supervisor's reports, audit reports.

</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Upon publication of a final rule in the <i>Federal Register</i>, this system of records will be exempt in accordance with 5 U.S.C. 552a(k)(5). Information will be withheld to the extent it identifies witnesses promised confidentiality as a condition of providing information during the course of the background investigation.
</p></xhtmlContent></subsection></section>
<section id="frtib11" toc="yes">
<systemNumber>-11</systemNumber>
<subsection type="systemName">Financial Disclosure Reports and Outside Business Interest Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Board members, officials, and key Board employees who are required to file annual financial disclosure reports pursuant to Title II of the Ethics in Government Act, as amended. Pub. L. 95-521, 1978 and Pub. L. 96-19, 1979 or pursuant to Board Regulation, and outside business interest application forms, filed pursuant to Board regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records contain:
</p><p>a. The annual financial disclosure reports filed on forms prescribed by the Office of Government Ethics, for those Board members and officials who are required by statute to file these reports;
</p><p>b. Confidential annual financial disclosure reports filed annually by designated Board employees who are required by Board regulations to file these reports; and
</p><p>c. Outside business interest application forms filed by employees pursuant to Board regulation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information in these records may be used:
</p><p>a. To provide information to the Office of Government Ethics.
</p><p>b. To provide copies of those financial disclosure reports filed pursuant to the Ethics in Government Act to the public, upon request.
</p><p>c. To refer, where there is an indication of a violation or potential violation of law, to the appropriate agency, whether federal, State, or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>These records are maintained in file folders in locked steel file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by the names of the individuals to whom they pertain.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records is restricted to those persons whose official duties require such access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>a. Financial disclosure reports filed pursuant to the Ethics in Government Act are retained for the statutorily required six-year period, after which they are destroyed, unless needed in an ongoing investigation.
</p><p>b. Confidential financial disclosure reports filed pursuant to Board regulation are maintained indefinitely.
</p><p>c. Outside Business Interest Applications are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Ethics Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>a. Requests for access to financial disclosure reports filed pursuant to the Ethics in Government Act are to be submitted on the form provided by the Office of Government Ethics.
</p><p>b. Individuals wishing to have access to their own confidential financial disclosure reports or outside business interest applications should contact the System Manager above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals wishing to gain access to or to correct information maintained about them in this system of records should contact the System Manager above. Former Board employees should direct such a request in writing, including their name, date of birth and social security number.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual to whom the record pertains.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
 </p></xhtmlContent></subsection></section>
<section id="frtib12" toc="yes">
<systemNumber>-12</systemNumber>
<subsection type="systemName">Collection Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on individuals and entities that are financially indebted to the Board, a Federal agency, or a Government corporation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information varies depending on the individual debtor, the type of indebtedness, and the agency or program to which monies are owed. The system of records contains information pertaining to: (1) Individuals and commercial organizations, such as name, Taxpayer Identification Number (i.e., Social Security Number or Employer Identification Number), work and home addresses, and work and home telephone numbers; (2) the indebtedness, such as the original amount of the debt, the date the debt originated, the amount of the delinquency/default, the date of delinquency/default, basis of the debt, amounts accrued for interest, penalties, and administrative costs, and payments on the account; (3) actions taken to recover the debt, such as copies of demand letters/invoices, and documents required for the referral of accounts to collection agencies, or for litigation; and (4) debtor and creditor agencies, such as name, telephone number, and address of the agency contact.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain a record of individuals and entities that are indebted to the Board, a Federal agency, or a Government corporation. The records ensure that: Appropriate collection action on debtors' accounts is taken and properly tracked, monies collected are credited, and funds are returned to the Board or appropriate agency at the time the account is collected or closed.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in these records may be used to disclose information to:
</p><p>1. Appropriate Federal, state, and local agencies responsible for investigating or implementing a statute, rule, regulation, order, or license;
</p><p>2. The Financial Management Service (FMS) of the Department of the Treasury to allow that agency to act for the Board to enforce collection of delinquent debts owed to the Board or the Thrift Savings Fund.
</p><p>3. A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations in response to a court-ordered subpoena or in connection with criminal or civil proceedings;
</p><p>4. A congressional office in order to respond to communications from that office;
</p><p>5. The Internal Revenue Service for the purposes of: Effecting an administrative offset against the debtor's tax refund to recover a delinquent debt owed the Board or the Thrift Savings Fund; or obtaining the mailing address of a taxpayer/debtor in order to locate the taxpayer/debtor to collect or compromise a Federal claim against the taxpayer/debtor;
</p><p>6. The Department of Justice for the purpose of litigating to enforce collection of a delinquent debt or to obtain the Department of Justice's concurrence in a decision to compromise, suspend, or terminate collection action on a debt with a principal amount in excess of $100,000 or such higher amount as the Attorney General may, from time to time, prescribe in accordance with 31 U.S.C. 3711(a).
</p><p>7. The Department of the Treasury, Department of Defense, United States Postal Service, another Federal agency, or a Government corporation for the purpose of conducting an authorized computer matching program in compliance with the Privacy Act of 1974, as amended, so as to identify and locate individuals receiving Federal payments (including, but not limited to, salaries, wages, and benefits) for the purpose of requesting voluntary repayment or implementing Federal employee salary offset or administrative offset procedures;
</p><p>8. The Department of the Treasury, Department of Defense, United States Postal Service, another Federal agency, a Government corporation, or any disbursing official of the United States for the purpose of effecting an administrative offset against Federal payments certified to be paid to the debtor to recover a delinquent debt owed to the Board, the Thrift Savings Fund, or another Federal agency or department by the debtor; and
</p><p>9. Any creditor Federal agency or Government corporation seeking assistance for the purpose of obtaining voluntary repayment of a debt or implementing Federal employee salary offset or administrative offset in the collection of an unpaid financial obligation.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Debt information concerning claims of the Board and the Thrift Savings Fund is also furnished in accordance with 5 U.S.C. 552a(b)(12) and section 3 of the Debt Collection Act of 1982, as amended (Pub. L. 97-365), to consumer reporting agencies, as defined by the Fair Credit Reporting Act, 15 U.S.C. 1681a(f), to encourage repayment of an overdue debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>These records are maintained in file folders in office file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by the names, Social Security numbers, or contract numbers of participants, employees, contractors, or other persons who may receive monies paid to them by the Board.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records is restricted to those persons whose official duties require such access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hard-copy records are returned to the Board which has an agreement for servicing and collection of the debt with Financial Management Services. Files are destroyed when 6 years and 3 months old, unless they are subject to litigation in which case they are destroyed when a court order requiring that the file be retained allows the file to be destroyed or litigation involving the file is concluded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate General Counsel, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 should be addressed to the Privacy Act Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002. All individuals making inquiries should provide with their requests as much descriptive matter as is possible to identify the particular record desired. The System Manager will advise as to whether the Board or FMS will process the record request.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should write to the Privacy Act Officer. All individuals are urged to examine the regulations at 5 CFR part 1630 concerning Board requirements with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from the individual or entity, the Board, creditor agencies, Federal employing agencies, Government corporations, collection agencies, credit bureaus, and Federal, state, and local agencies furnishing identifying information.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
 </p></xhtmlContent></subsection></section>
<section id="frtib13" toc="yes">
<systemNumber>-13</systemNumber>
<subsection type="systemName">Fraud and Forgery Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located at the Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002 and at the office of the entity engaged by the Agency to perform record keeping services for the TSP. The current address for the Agency's record keeper is listed at <i>http://www.tsp.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>These records contain information on Thrift Savings Plan participants who are alleged to have committed a fraud or forgery relating to their accounts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records contain the following kinds of information: Thrift Savings Plan account records relevant to the fraud or forgery allegation; documentation of complaints and allegations of fraud and forgery; exhibits, statements, affidavits, or records obtained during the investigation; court and administrative orders, transcripts, and documents; internal staff memoranda; staff working papers; other documents and records related to the inquiry, investigation, and disposition of the allegations; and all reports on the investigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8474.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are used to inquire into and investigate allegations that a Thrift Savings Plan participant has committed a fraud or forgery relating to their account.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in these records may be used to disclose information to:
</p><p>1. The appropriate Federal, foreign, state, local, or tribal agency or other public authority responsible for enforcing, investigating, or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative, or prosecutorial responsibility of the receiving entity and indicates a violation or potential violation of law;
</p><p>2. A court, magistrate, grand jury, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations in response to a court-ordered subpoena or in connection with criminal, civil, or regulatory proceedings;
</p><p>3. A Member of Congress or a congressional office in order for that Member or office to respond to communications from the participant who is the subject of the record;
</p><p>4. The Department of Justice for the purpose of further investigation and prosecution;
</p><p>5. The current or former employing agency of the participant for the purpose of further investigation and administrative action;
</p><p>6. Informants, complainants, or victims to the extent necessary to provide those persons with information and explanations concerning the progress or results of the investigation; and
</p><p>7. A Federal, foreign, state, or local agency or a person or entity if necessary to obtain information relevant to the investigation of the allegations or prosecution of the case.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>These records are maintained in file folders in office file cabinets and on electronic media or computer in the system location.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by the names and Social Security numbers of Thrift Savings Plan participants.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records is restricted to those persons whose official duties require such access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are destroyed seven years after the case is closed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Participant Services, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 should be addressed to the Privacy Act Officer, Federal Retirement Thrift Investment Board, 77 K Street NE., Suite 1000, Washington, DC 20002. All individuals making inquiries should provide with their requests as much descriptive matter as is possible to identify the particular record desired.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should write to the Privacy Act Officer. All individuals are urged to examine the regulations at 5 CFR part 1630 concerning Board requirements with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system may be provided by or obtained from the following: Persons to whom the information relates when practicable, including Thrift Savings Plan participants, complainants, informants, witnesses, investigators, and persons reviewing the allegations; Federal, state and local agencies; and investigative reports and records.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(2) of the Privacy Act and the Board's regulation at 5 CFR 1630.10, certain portions of records under this system may be exempted from the provisions of the Privacy Act when: (1) Such portions represent investigatory materials compiled for law enforcement purposes or (2) such portions would reveal the identity of a source who furnished information to the Government under a promise of confidentiality which information resulted in the denial of a right, privilege, or benefit to a participant.
</p></xhtmlContent></subsection></section>

<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>
<regulations id="reg" toc="yes">
<regulationsTitle number="5">
<heading> Administrative Personnel </heading>
<regulationsChapter number="VI">
<heading> Federal Retirement Thrift Investment Board </heading>
<regulationsPart number="1630">
<heading> PRIVACY ACT REGULATIONS </heading>
<xhtmlContent>
<p>Sec.
</p>
<p>1630.1 Purpose and scope.
</p>
<p>1630.2 Definitions.
</p>
<p>1630.3 Publication of systems of records maintained.
</p>
<p>1630.4 Request for notification and access.
</p>
<p>1630.5 Granting access to a designated individual.
</p>
<p>1630.6 Action on request.
</p>
<p>1630.7 Identification requirements.
</p>
<p>1630.8 Access of others to records about an individual.
</p>
<p>1630.9 Access to the history (accounting) of disclosures from records.
</p>
<p>1630.10 Denials of access.
</p>
<p>1630.11 Requirements for requests to amend records.
</p>
<p>1630.12 Action on request to amend a record.
</p>
<p>1630.13 Procedures for review of determination to deny access to or amendment of records.
</p>
<p>1630.14 Appeals process.
</p>
<p>1630.15 Exemptions.
</p>
<p>1630.16 Fees.
</p>
<p>1630.17 Federal agency requests.
</p>
<p>1630.18 Penalties.
</p>
<p><b>Authority:</b> 5 U.S.C. 552a.
</p>
<p><b>Source:</b> 55 FR 18852, May 7, 1990, unless otherwise noted.
</p>
<p><b>&#167; 1630.1
 Purpose and scope.
</b></p>
<p>These regulations implement the Privacy Act of 1974, 5 USC 552a. The regulations apply to all records maintained by the Federal Retirement Thrift Investment Board that are contained in a system of records and that contain information about an individual. The regulations establish procedures that (a) authorize an individual's access to records maintained about him or her; (b) limit the access of other persons to those records; and (c) permit an individual to request the amendment or correction of records about him or her.
</p>
<p><b>&#167; 1630.2
 Definitions.
</b></p>
<p>For the purposes of this part--
</p>
<p>(a) <i>Account number</i> means the number assigned by the Agency to each participant's TSP account which serves as the primary identification mechanism for a participant's account. The participant's Social Security number will remain the identifier for the submission of data and funds from agency and uniformed services payroll offices, for the submission of information to the Internal Revenue Service about distributions, and for some other administrative purposes.
</p>
<p>(b) <i>Agency</i> means agency as defined in 5 USC 552(e);
</p>
<p>(c) <i>Board</i> means the Federal Retirement Thrift Investment Board;
</p>
<p>(d) <i>Case reference number</i> means the number assigned by the Agency to the recipient of a court order payment or a death benefit payment.
</p>
<p>(e) <i>Individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence;
</p>
<p>(f) <i>Maintain</i> means to collect, use, or distribute;
</p>
<p>(g) <i>Record</i> means any item, collection, or grouping of information about an individual that is maintained by the Board or the record keeper, including but not limited to education, financial transactions, medical history, and criminal or employment history and that contains the individual's name, identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph;
</p>
<p>(h) <i>Record keeper</i> means the entity that is engaged by the Board to perform record keeping services for the TSP;
</p>
<p>(i) <i>Routine use</i> means, with respect to the disclosure of a record, the use of that record for a purpose which is compatible with the purpose for which it was collected;
</p>
<p>(j) <i>System manager</i> means the official of the Board who is responsible for the maintenance, collection, use, distribution, or disposal of information contained in a system of records;
</p>
<p>(k) <i>System of records</i> means a group of any records under the control of the Board from which information is retrieved by the name of the individual or other identifying particular assigned to the individual;
</p>
<p>(l) <i>Statistical record</i> means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by 13 U.S.C. 8;
</p>
<p>(m) <i>Subject individual</i> means the individual by whose name or other identifying particular a record is maintained or retrieved;
</p>
<p>(n) <i>TSP</i> means the Thrift Savings Plan which is administered by the Board pursuant to 5 U.S.C. 8351 and chapter 84 (subchapters III and VII);
</p>
<p>(o) <i>TSP participant</i> means any individual for whom a TSP account has been established. This includes former participants, <i>i.e.,</i> participants whose accounts have been closed;
</p>
<p>(p) <i>TSP records</i> means those records maintained by the record keeper;
</p>
<p>(q) <i>VRS</i> (Voice Response System) means the fully automated telephone information system for TSP account records;
</p>
<p>(r) <i>Work days</i> as used in calculating the date when a response is due, includes those days when the Board is open for the conduct of Government business and does not include Saturdays, Sundays and Federal holidays.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67693, 67695, Dec. 3, 1999; 72 FR 51353, Sept. 7, 2007]
</p>
<p><b>&#167; 1630.3
 Publication of systems of records maintained.
</b></p>
<p>(a) Prior to the establishment or revision of a system of records, the Board will publish in the <i>Federal Register</i> notice of any new or intended use of the information in a system or proposed system and provide interested persons with a period within which to comment on the new or revised system. Technical or typographical corrections are not considered to be revisions of a system.
</p>
<p>(b) When a system of records is established or revised, the Board will publish in the <i>Federal Register</i> a notice about the system. The notice shall include:
</p>
<p>(1) The system name,
</p>
<p>(2) The system location,
</p>
<p>(3) The categories of individuals covered by the system,
</p>
<p>(4) The categories of records in the system,
</p>
<p>(5) The Board's authority to maintain the system,
</p>
<p>(6) The routine uses of the system,
</p>
<p>(7) The Board's policies and practices for maintenance of the system,
</p>
<p>(8) The system manager,
</p>
<p>(9) The procedures for notification, access to and correction of records in the system, and
</p>
<p>(10) The sources of information for the system.
</p>
<p><b>&#167; 1630.4
 Request for notification and access.
</b></p>
<p>(a) <i>TSP records.</i> (1) Records on TSP participants and the spouses, former spouses, and beneficiaries of TSP participants are maintained in the Governmentwide system of records, FRTIB-1, Thrift Savings Plan Records. A participant or a spouse, former spouse, or beneficiary of a participant must make his or her inquiry in accordance with the chart set forth in this paragraph. The mailing address of the Thrift Savings Plan is provided at <i>http://www.tsp.gov.</i> Telephone inquiries are subject to the verification procedures set forth in &#167; 1630.7. A written inquiry from a participant must include the participant's name and the participant's account number or Social Security number. A written inquiry from a spouse or former spouse or a beneficiary of the participant must include the inquiring party's name and Social Security number or, if available, the case reference number as well as the name and Social Security number or account number of the participant. Other third party inquiries (e.g., from other Federal agencies authorized to obtain information about the participant's account) must include, at a minimum, the participant's name and Social Security number.
</p>
<p>To obtain information about or gain access to TSP records about you</p>
<table>
<tr>
		<th scope='col'>If you want:</th>
<th scope='col'>If you are a participant who is a current Federal employee:</th>
<th scope='col'>If you are a participant who has separated from Federal employment or a spouse, former spouse, or beneficiary:</th>
	</tr>
<tr><td>To make inquiry as to whether you are a subject of this system of records.</td><td>Call or write to your employing agency in accordance with agency procedures for personnel or payroll records</td><td>Call or write to TSP record keeper.
</td></tr><tr><td>To gain access to a record about you</td><td>Call or write to your employing agency to request access to personnel and payroll records regarding the agency's and the participant's contributions, and adjustments to contributions. Call or write to the TSP record keeper to gain access to loan status and repayments, earnings, contributions allocation elections, interfund transfers, and withdrawal records</td><td>Call or write to TSP record keeper.
</td></tr><tr><td>To learn the history of disclosures of records about you to entities other than the participant's employing agency or the Board or auditors see &#167; 1630.4 (a)(4)</td><td>Write to TSP record keeper.</td><td>Write to TSP record keeper.</td></tr></table>
<p>(2) Participants may also inquire whether this system contains records about them and access certain records through the account access section of the TSP Web site and the ThriftLine (the TSP's automated telephone system). The TSP Web site is located at <i>www.tsp.gov.</i> To use the TSP ThriftLine, the participant must have a touch-tone telephone and call the following number: (877) 968-3778. The following information is available on the TSP Web site and the ThriftLine: account balance; available loan amount; the status of a monthly withdrawal payment; the current status of a loan or withdrawal application; and an interfund transfer request. To access these features, the participant may be required to provide identity and account verification information such as his or her account number, PIN, or Web password.
</p>
<p>(3) A Privacy Act request which is incorrectly submitted to the Board will not be considered received until received by the record keeper. The Board will submit such a Privacy Act request to the record keeper within three workdays. A Privacy Act request which is incorrectly submitted to the record keeper will not be considered received until received by the employing agency. The record keeper will submit such a Privacy Act request to the employing agency within three workdays.
</p>
<p>(4) No disclosure history will be made when the Board contracts for an audit of TSP financial statements (which includes the review and sampling of TSP account balances).
</p>
<p>(5) No disclosure history will be made when the Department of Labor or the General Accounting Office audits TSP financial statements (which includes the review and sampling of TSP account balances) in accordance with their responsibilities under chapter 84 of title 5 of the U.S. Code. Rather, a requester will be advised that these agencies have statutory obligations to audit TSP activities and that in the course of such audits they randomly sample individual TSP accounts to test for account accuracy.
</p>
<p>(b) <i>Non-TSP Board records.</i> An individual who wishes to know if a specific system of records maintained by the Board contains a record pertaining to him or her, or who wishes access to such records, shall address a written request to the Privacy Act Officer, Federal Retirement Thrift Investment Board, 1250 H Street, NW., Washington, DC 20005. The request letter should contain the complete name and identifying number of the pertinent system as published in the annual <i>Federal Register</i> notice describing the Board's Systems of Records; the full name and address of the subject individual; the subject's Social Security number if a Board employee; a brief description of the nature, time, place, and circumstances of the individual's prior association with the Board; and any other information the individual believes would help the Privacy Act Officer determine whether the information about the individual is included in the system of records. In instances where the information is insufficient to ensure disclosure to the subject individual to whom the record pertains, the Board reserves the right to ask the requester for additional identifying information. The words "PRIVACY ACT REQUEST"  should be printed on both the letter and the envelope.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 59 FR 55331, Nov. 7, 1994; 64 FR 67693, 67695, Dec. 3, 1999; 71 FR 50319, Aug. 25, 2006; 72 FR 51353, Sept. 7, 2007]
</p>
<p><b>&#167; 1630.5
 Granting access to a designated individual.
</b></p>
<p>(a) An individual who wishes to have a person of his or her choosing review a record or obtain a copy of a record from the Board or the TSP record keeper shall submit a signed statement authorizing the disclosure of his or her record before the record will be disclosed. The authorization shall be maintained with the record.
</p>
<p>(b) The Board or the TSP record keeper will honor any Privacy Act request (e.g., a request to have access or to amend a record) which is accompanied by a valid power of attorney from the subject of the record.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 59 FR 26409, May 20, 1994; 64 FR 67694, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.6
 Action on request.
</b></p>
<p>(a) For TSP records, the record keeper designee, and for non-TSP records, the Privacy Act Officer will answer or acknowledge the inquiry within 10 work days of the date it is received. When the answer cannot be made within 10 work days, the record keeper or Privacy Act Officer will provide the requester with the date when a response may be expected and, whenever possible, the specific reasons for the delay.
</p>
<p>(b) At a minimum, the acknowledgement to a request for access shall include:
</p>
<p>(1) When and where the records will be available;
</p>
<p>(2) Name, title and telephone number of the official who will make the records available;
</p>
<p>(3) Whether access will be granted only by providing a copy of the record through the mail, or only by examination of the record in person if the Privacy Act Officer after consulting with the appropriate system manager has determined the requester's access would not be unduly impeded;
</p>
<p>(4) Fee, if any, charged for copies (See &#167; 1630.16); and
</p>
<p>(5) If necessary, documentation required to verify the identity of the requester (See &#167; 1630.7).
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 67694, 67695, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.7
 Identification requirements.
</b></p>
<p>(a) <i>In person.</i> An individual should be prepared to identify himself or herself by signature, <i>i.e.,</i> to note by signature the date of access, Social Security number, and to produce one photographic form of identification (driver's license, employee identification, annuitant card, passport, etc.). If an individual is unable to produce adequate identification, the individual must sign a statement asserting his or her identity and acknowledging that knowingly or willfully seeking or obtaining access to records about another person under false pretenses may result in a fine of up to $5,000 (see &#167; 1630.18). In addition, depending upon the sensitivity of the records, the Privacy Act Officer or record keeper designee after consulting with the appropriate system manager may require further reasonable assurances, such as statements of other individuals who can attest to the identity of the requester.
</p>
<p>(b) <i>In writing.</i> A participant shall provide his or her name, date of birth, and account number or Social Security number and shall sign the request. Most other individuals shall provide the participant's account number or Social Security number, shall provide a statement of relationship to the participant unless it is clearly identified in the nature of the correspondence, and shall sign the request. If a request for access is granted by mail and, in the opinion of the Privacy Act Officer or record keeper designee after consulting with the appropriate system manager, the disclosure of the records through the mail may result in harm or embarrassment (if a person other than the subject individual were to receive the records), a notarized statement of identity or some other similar assurance of identity will be required.
</p>
<p>(c) <i>By telephone.</i> (1) Telephone identification procedures apply only to requests from participants and spouses, former spouses, or beneficiaries of participants for information in FRTIB-1, Thrift Savings Plan Records, which is retrieved by their respective account numbers (or case reference numbers) or Social Security numbers.
</p>
<p>(2) A participant or a spouse, former spouse, or beneficiary of a participant must identify himself or herself by providing to the record keeper designee his or her name, account number (or case reference number) or Social Security number, and any other information requested. If the record keeper designee determines that any of the information provided by telephone is incorrect, the requester will be required to submit a request in writing.
</p>
<p>(3) A participant may also access the TSP Web site or call the TSP ThriftLine to obtain account information. These systems may require identity and account verification information such as the participant's account number and Web password or PIN for the Web site and ThriftLine respectively.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67694, Dec. 3, 1999; 72 FR 51354, Sept. 7, 2007]
</p>
<p><b>&#167; 1630.8
 Access of others to records about an individual.
</b></p>
<p>(a) The Privacy Act provides for access to records in systems of records in those situations enumerated in 5 U.S.C. 552a(b) and are set forth in paragraph (b) of this section.
</p>
<p>(b) No official or employee of the Board, or any contractor of the Board or other Federal agency operating a Board system of records under an interagency agreement, shall disclose any record to any person or to another agency without the express written consent of the subject individual, unless the disclosure is:
</p>
<p>(1) To officers or employees (including contract employees) of the Board or the record keeper who need the information to perform their official duties;
</p>
<p>(2) Pursuant to the requirements of the Freedom of Information Act, 5 U.S.C. 552;
</p>
<p>(3) For a routine use that has been published in a notice in the <i>Federal Register</i> (routine uses for the Board's systems of records are published separately in the <i>Federal Register</i> and are available from the Board's Privacy Act Officer);
</p>
<p>(4) To the Bureau of the Census for uses under title 13 of the United States Code;
</p>
<p>(5) To a person or agency which has given the Board or the record keeper advance written notice of the purpose of the request and certification that the record will be used only for statistical purposes. (In addition to deleting personal identifying information from records released for statistical purposes, the Privacy Act Officer or record keeper designee shall ensure that the identity of the individual cannot reasonably be deduced by combining various statistical records);
</p>
<p>(6) To the National Archives of the United States if a record has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Archivist of the United States or the designee of the Archivist to determine whether the record has such value;
</p>
<p>(7) In response to a written request that identifies the record and the purpose of the request made by another agency or instrumentality of any Government jurisdiction within or under the control of the United States for civil or criminal law enforcement activity, if that activity is authorized by law;
</p>
<p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual, if upon such disclosure a notification is transmitted to the last known address of the subject individual;
</p>
<p>(9) To either House of Congress, or to a Congressional committee or subcommittee if the subject matter is within its jurisdiction;
</p>
<p>(10) To the Comptroller General, or an authorized representative, in the course of the performance of the duties of the General Accounting Office;
</p>
<p>(11) Pursuant to the order of a court of competent jurisdiction; or
</p>
<p>(12) To a consumer reporting agency in accordance with section 3711(f) of Title 31.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67694, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.9
 Access to the history (accounting) of disclosures from records.
</b></p>
<p>Rules governing access to the accounting of disclosures are the same as those for granting access to the records as set forth in &#167; 1630.4.
</p>
<p><b>&#167; 1630.10
 Denials of access.
</b></p>
<p>(a) The Privacy Act Officer or the record keeper designee for records covered by system FRTIB-1, may deny an individual access to his or her record if:
</p>
<p>(1) In the opinion of the Privacy Act Officer or the record keeper designee, the individual seeking access has not provided proper identification to permit access; or
</p>
<p>(2) The Board has published rules in the <i>Federal Register</i> exempting the pertinent system of records from the access requirement.
</p>
<p>(b) If access is denied, the requester shall be informed of the reasons for denial and the procedures for obtaining a review of the denial.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.11
 Requirements for requests to amend records.
</b></p>
<p>(a) <i>TSP records.</i> (1) A spouse, former spouse or beneficiary of a TSP participant who wants to correct or amend his or her record must write to the TSP record keeper. A participant in the TSP who wants to correct or amend a TSP record pertaining to him or her shall submit a written request in accordance with the following chart:</p>
<table>
  <tr><td colspan="3"><div align="center">To correct or amend a TSP record
</div></td></tr>
  <tr><td><div align="center">If the type of record is:
  
  </div></td>
  <td><div align="center">If you are a participant who is a current Federal employee write to:

</div></td>
<td><div align="center">If you are a participant who has separated from Federal employment write to:
</div></td></tr>
<tr><td>Personnel or personal records (e.g., age, address, Social Security number, date of birth).</td><td>Write to your employing agency.</td><td>Write to TSP record keeper.</td></tr>
<tr><td>The agency?s and the participant?s contributions, and adjustments to contributions.</td><td>Write to your employing agency.</td><td>Write to your former employing agency.</td></tr>
<tr><td>Earnings, investment allocation, interfund transfers, loans, loan repayments, and withdrawals</td><td>Write to TSP record keeper.</td><td>Write to TSP record keeper.</td></tr></table>
<p>(2) The address of the record keeper is listed in &#167; 1630.4(a).
</p>
<p>(3) Requests for amendments which are claims for money because of administrative error will be processed in accordance with the Board's Error Correction regulations found at 5 CFR part l605. Sections 1630.12(b)-1630.14 of this part do not apply to such money claim amendments to TSP records as the Error Correction regulations are an equivalent substitute. Non-money claim TSP record appeals are covered by &#167;&#167; 1630.12-1630.14, or if covered by the above chart the employing, or former employing, agency's Privacy Act procedures.
</p>
<p>(4) Corrections to TSP account records which are made by the Board, its recordkeeper or the employing agency or the former employing agency on its own motion because of a detected administrative error will be effected without reference to Privacy Act procedures.
</p>
<p>(5) A participant in the TSP who is currently employed by a Federal agency should be aware that the employing agency provides to the Board personal and payroll records on the participant, such as his or her date of birth, Social Security number, retirement code, address, loan repayments, the amount of participant's contribution, amount of the Government's contribution, if the participant is covered by the Federal Employees' Retirement System Act (FERSA, 5 U.S.C. Chapter 84), and adjustments to contributions. Requests submitted to the Board, or its recordkeeper, to correct information provided by the employing Federal agency will be referred to the employing agency. The reason for this referral is that the Board receives information periodically for the TSP accounts; if the employing agency does not resolve the alleged error, the Board will continue to receive the uncorrected information periodically regardless of a one-time Board correction. The employing agency also has custody of the election form (which is maintained in the Official Personnel Folder). Requests for amendment or correction of records described in this paragraph should be made to the employing agency.
</p>
<p>(b) <i>Non-TSP records.</i> (1) Any other individual who wants to correct or amend a record pertaining to him or her shall submit a written request to the Board's Privacy Act Officer whose address is listed in &#167; 1630.4. The words "Privacy Act--Request to Amend Record"  should be written on the letter and the envelope.
</p>
<p>(2) The request for amendment or correction of the record should, if possible, state the exact name of the system of records as published in the <i>Federal Register</i>; a precise description of the record proposed for amendment; a brief statement describing the information the requester believes to be inaccurate or incomplete, and why; and the amendment or correction desired. If the request to amend the record is the result of the individual's having gained access to the record in accordance with &#167;&#167; 1630.4, 1630.5, 1630.6 or &#167; 1630.7, copies of previous correspondence between the requester and the Board should be attached, if possible.
</p>
<p>(3) If the individual's identity has not been previously verified, the Board may require documentation of identification as described in &#167; 1630.7.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67694, 67695, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.12
 Action on request to amend a record.
</b></p>
<p>(a) For TSP records, the record keeper will acknowledge a request for amendment of a record, which is to be decided by that office in accordance with the chart in &#167; 1630.11, within 10 work days. Requests received by the record keeper which are to be decided by the current or former employing agency will be sent to that agency by the record keeper within 3 work days of the date of receipt. A copy of the transmittal letter will be sent to the requester.
</p>
<p>(b) For non-TSP records, the Privacy Act Officer will acknowledge a request for amendment of a record within 10 work days of the date the Board receives it. If a decision cannot be made within this time, the requester will be informed by mail of the reasons for the delay and the date when a reply can be expected, normally within 30 work days from receipt of the request.
</p>
<p>(c) The final response will include the decision whether to grant or deny the request. If the request is denied, the response will include:
</p>
<p>(1) The reasons for the decision;
</p>
<p>(2) The name and address of the official to whom an appeal should be directed;
</p>
<p>(3) The name and address of the official designated to assist the individual in preparing the appeal;
</p>
<p>(4) A description of the appeal process with the Board; and
</p>
<p>(5) A description of any other procedures which may be required of the individual in order to process the appeal.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.13
 Procedures for review of determination to deny access to or amendment of records.
</b></p>
<p>(a) Individuals who disagree with the refusal to grant them access to or to amend a record about them should submit a written request for review to the Executive Director, Federal Retirement Thrift Investment Board, 1250 H Street, NW., Washington, DC 20005. The words "PRIVACY ACT--APPEAL"  should be written on the letter and the envelope. Individuals who need assistance preparing their appeal should contact the Board's Privacy Act Officer.
</p>
<p>(b) The appeal letter must be received by the Board within 30 calendar days from the date the requester received the notice of denial. At a minimum, the appeal letter should identify:
</p>
<p>(1) The records involved;
</p>
<p>(2) The date of the initial request for access to or amendment of the record;
</p>
<p>(3) The date of the Board's denial of that request; and
</p>
<p>(4) The reasons supporting the request for reversal of the Board's decision.
</p>
<p>Copies of previous correspondence from the Board denying the request to access or amend the record should also be attached, if possible.
</p>
<p>(c) The Board reserves the right to dispose of correspondence concerning the request to access or amend a record if no request for review of the Board's decision is received within 180 days of the decision date. Therefore, a request for review received after 180 days may, at the discretion of the Privacy Act Officer, be treated as an initial request to access or amend a record.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 59 FR 55331, Nov. 7, 1994]
</p>
<p><b>&#167; 1630.14
 Appeals process.
</b></p>
<p>(a) Within 20 work days of receiving the request for review, the Executive Director, after consultation with the General Counsel, will make a final determination on the appeal. If a final decision cannot be made in 20 work days, the Privacy Act Officer will inform the requester of the reasons for the delay and the date on which a final decision can be expected. Such extensions are unusual, and should not exceed an additional 30 work days.
</p>
<p>(b) If the original request was for access and the initial determination is reversed, the procedures in &#167; 1630.7 will be followed. If the initial determination is upheld, the requester will be so informed and advised of the right to judicial review pursuant to 5 U.S.C. 552a(g).
</p>
<p>(c) If the initial denial of a request to amend a record is reversed, the Board or the record keeper will correct the record as requested and inform the individual of the correction. If the original decision is upheld, the requester will be informed and notified in writing of the right to judicial review pursuant to 5 U.S.C. 552a(g) and the right to file a concise statement of disagreement with the Executive Director. The statement of disagreement should include an explanation of why the requester believes the record is inaccurate, irrelevant, untimely, or incomplete. The Executive Director shall maintain the statement of disagreement with the disputed record, and shall include a copy of the statement of disagreement to any person or agency to whom the record has been disclosed, if the disclosure was made pursuant to &#167; 1630.9.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.15
 Exemptions.
</b></p>
<p>(a) Pursuant to subsection (k) of the Privacy Act, 5 U.S.C. 552a, the Board may exempt certain portions of records within designated systems of records from the requirements of the Privacy Act, (including access to and review of such records pursuant to this part) if such portions are:
</p>
<p>(1) Subject to the provisions of section 552(b)(1) of the Freedom of Information Act, 5 U.S.C. 552;
</p>
<p>(2) Investigatory material compiled for law enforcement purposes, other than material within the scope of subsection (j)(2) of the Privacy Act, 5 U.S.C. 552a: Provided, however, that if any individual is denied any right, privilege, or benefit that he would otherwise be entitled by Federal law, or for which he would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to such individual, except to the extent that the disclosure of such material 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, or, prior to the effective date of the Privacy Act, 5 U.S.C. 552a, under an implied promise that the identity of the source would be held in confidence;
</p>
<p>(3) Maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18 of the United States Code;
</p>
<p>(4) Required by statute to be maintained and used solely as statistical records;
</p>
<p>(5) Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only to the extent that the disclosures of such material 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, or, prior to the effective date of the Privacy Act, 5 U.S.C. 552a, under an implied promise that the identity of the source would be held in confidence;
</p>
<p>(6) Test or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service, the disclosure of which would compromise the objectivity or fairness of the testing or examination process; or
</p>
<p>(7) Evaluation material used to determine potential for promotion in the armed services, but only to the extent that the disclosure of such material be held in confidence, or, prior to the effective date of the Privacy Act, 5 U.S.C. 552a, under an implied promise that the identity of the source would be held in confidence.
</p>
<p>(b) Those designated systems of records which are exempt from the requirements of this part or any other requirements of the Privacy Act, 5 U.S.C. 552a, will be indicated in the notice of designated systems of records published by the Board.
</p>
<p>(c) Nothing in this part will allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding.
</p>
<p><b>&#167; 1630.16
 Fees.
</b></p>
<p>(a) Individuals will not be charged for:
</p>
<p>(1) The search and review of the record; and
</p>
<p>(2) Copies of ten (10) or fewer pages of a requested record.
</p>
<p>(b) Records of more than 10 pages will be photocopied for 15 cents a page. If the record is larger than 8 1/2 x 14 inches, the fee will be the cost of reproducing the record through Government or commercial sources.
</p>
<p>(c) Fees must be paid in full before requested records are disclosed. Payment shall be by personal check or money order payable to the Federal Retirement Thrift Investment Board, and mailed or delivered to the record keeper or to the Privacy Act Officer, depending upon the nature of the request, at the address listed in &#167; 1630.4.
</p>
<p>(d) The Head, TSP Service Office or the Privacy Act Officer may waive the fee if:
</p>
<p>(1) The cost of collecting the fee exceeds the amount to be collected; or
</p>
<p>(2) The production of the copies at no charge is in the best interest of the Board.
</p>
<p>(e) A receipt will be furnished on request.
</p>
<p>[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]
</p>
<p><b>&#167; 1630.17
 Federal agency requests.
</b></p>
<p>Employing agencies needing automated data processing services from the Board in order to reconcile agency TSP records for TSP purposes may be charged rates based upon the factors of:
</p>
<p>(a) Fair market value;
</p>
<p>(b) Cost to the TSP; and
</p>
<p>(c) Interests of the participants and beneficiaries.
</p>
<p><b>&#167; 1630.18
 Penalties.
</b></p>
<p>(a) Title 18, U.S.C. 1001, Crimes and Criminal Procedures, makes it a criminal offense, subject to a maximum fine of $10,000 or imprisonment for not more than five years, or both, to knowingly and willfully make or cause to be made any false or fraudulent statements or representation in any matter within the jurisdiction of any agency of the United States. Section (i)(3) of the Privacy Act, 5 U.S.C. 552a(i)(3), makes it a misdemeanor, subject to a maximum fine of $5,000 to knowingly and willfully request or obtain any record concerning an individual under false pretenses. Sections (i) (1) and (2) of 5 U.S.C. 552a provide penalties for violations by agency employees of the Privacy Act or regulations established thereunder.
</p>
<p>(b) [Reserved]
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>
