[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
Table of Contents
A. Thrift Savings Plan Participation and Account Records.
FRTIB-1 Thrift Savings Plan Records
B. Federal Retirement Thrift Investment Board Administrative
Records.
FRTIB-2 General Personnel Records
FRTIB-3 EEO Discrimination Complaint File
FRTIB-4 Adverse Information and Action Records, Disciplinary Records
FRTIB-5 Payroll Records
FRTIB-6 Leave Records
FRTIB-7 Consultant and Staff Associate File
FRTIB-8 Board Members File
FRTIB-9 Employee Locator Card Files
FRTIB-10 Grievance Records
FRTIB-11 Financial Disclosure Reports and Outside Business Interest
Records
FRTIB-1
System name:
Thrift Savings Plan Records.
System location:
These records are located at the Thrift Savings Plan (TSP) Service
Office, National Finance Center, Department of Agriculture, 13800 Old
Gentilly Road, New Orleans, Louisiana. The mailing address is: Head,
Thrift Savings Plan Service Office, National Finance Center, PO Box
61500, New Orleans, LA 70161-1500. Subsets of these records are
located at the System Manager's address. The subsets are: Waiver,
power of attorney, and court order files (including matters involving
bankruptcies, child support, alimony and TSP benefit divisions),
participant correspondence, loan appeals, interfund transfer appeals,
error corrections, and tax notices.
Categories of individuals covered by the system:
All participants in the Thrift Savings Plan. 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, as amended (FERSA) 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 and other persons described in 5 CFR part
1620.
Categories of records in the system:
These records contain the following kinds of information: Thrift
Savings Plan Account records of employee and employer contributions;
records of participant's Social Security number, date of birth and
home address, retirement code, account earnings and balances; records
showing whether a participant is vested; records of participant-
designated beneficiaries, withdrawal information, type of annuity
requested, locator information on former spouses, spousal waivers, and
powers of attorney; records of court orders concerning bankruptcies,
division of retirement accounts between spouses and garnishment
actions for child support of alimony payments against accounts;
records of data on employing agency, servicing payroll office, and
servicing personnel office of the participant; and records showing the
participant's investment status by Fund, information on interfund
transfers and participant loans, information on notification of taxes,
and general correspondence with the TSP Service Office.
Authority for maintenance of the system:
5 U.S.C. 8474.
Purpose(s):
The purpose of this system of records is to record activity concerning
the TSP account of each Plan participant, to communicate with the
participant concerning his or her account, and to make certain that he
or she receives a correct payment at the time of withdrawal from the
Plan.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose financial data to Federal, State, and local
governmental tax enforcement agencies so that they may enforce
applicable tax laws.
b. To disclose to the designated annuity vendor in order to provide
TSP participants who have left Federal service with an annuity.
c. To disclose to sponsors of eligible retirement plans for purposes
of transferring the funds in the participant's account to an
Individual Retirement Account or into another eligible retirement
plan.
d. To disclose to current and former spouses who have entitlement
rights under the Act.
e. When a participant to whom a record pertains dies, to disclose to
any potential beneficiary and anyone handling the decedent's estate,
information in the participant's record which could have been properly
disclosed to the individual when living, and the name and relationship
of any other person who claims the benefits or who is entitled to
share the benefits payable.
f. To disclose information to any person who is responsible for the
care 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 assure payment of
benefits to which the participant is entitled.
g. To disclose information to a Congressional office from the record
of a participant in order for that office to respond to a
communication from that participant.
h. 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 assure the effective operation of the Thrift Savings
Plan.
i. To disclose to the Department of the Treasury information necessary
to issue checks from accounts of participants in accordance with
withdrawal or loan procedures.
j. To disclose to the Department of Labor and to private sector audit
firms so that they may perform audits as provided for in FERSA.
k. To disclose to the Parent Locator Service of the Department of
Health and Human Services, upon its request, the present address of a
participant, whether a current or former employee for the purpose of
enforcing child support obligations against such individual.
l. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order.
m. 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.
n. To disclose to a Federal agency, in response to its request, the
present address of a former employee and any other information the
agency needs in order to contact the former employee concerning a
possible threat to his or her health or safety.
o. To disclose information to the Department of Justice when:
(1) The Board or any component thereof, or
(2) Any employee of the Board in his or her official capacity, or
(3) Any employee of the Board in his or her individual capacity, where
the Department of Justice has agreed to represent the employee; or
(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, provided, however, that in each such case, the Board
determines that disclosure of the records to the Department of Justice
is a use of the information contained in the records that is
compatible with the purpose for which the records were collected.
p. In response to a court subpoena or to appropriate parties engaged
in litigation or in preparation of possible litigation such as
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, to
individuals seeking information through established discovery
procedures in connection with civil, criminal or regulatory
proceedings.
Policies and practices of storing, retrieving, safeguarding, and
retaining and disposing of records in the system:
Storage:
These records are maintained on magnetic media, microfiche and in
folders.
Retrievability:
These records are retrieved by name, Social Security number, and other
personal identifiers of the individual to whom they pertain.
Safeguards:
Hardcopy records are kept in metal file cabinets in a secure facility
with access limited to those whose official duties require access.
Personnel screening is employed to prevent unauthorized disclosure.
Automatic data processing software security mechanisms are used to
prevent unauthorized access to the magnetic media.
Retention and disposal:
All TSP forms are retained for 95 years. All other records are
retained indefinitely. Disposal of manual records is by compacting and
buying; data on magnetic media are obliterated by destruction or reuse
or are returned to the employing agency.
System manager(s) and address:
Executive Director, Federal Retirement Thrift Investment Board, 1250 H
Street, NW., Washington, DC 20005.
Notification procedure:
Any individual wishing to inquire if this system contains information
about him or her must make inquiry in accordance with Chart A below:
Chart A
----------------------------------------------------------------------------------------------------------------
If you are a former
If you want: employee: If you are a current employee:
----------------------------------------------------------------------------------------------------------------
To make inquiry as to whether you Call or write TSP Service Call or write your employing agency in
are a subject of this system of Office. accordance with agency system of records on
records. personnel or payroll records.
Access............................. Call or write TSP Service Call or write your employing agency
Office. regarding personnel and payroll records
(agency's and participant's contributions,
earnings, loan repayments and adjustments to
contributions).
Call or write to TSP Servcie Office
regarding loan status and interfund
transfers.
Disclosure history of your TSP Write TSP Service Office... Write TSP Service Office.
account (disclosures to entities
other than your employing agency
or the Board or auditors).
----------------------------------------------------------------------------------------------------------------
The individual must furnish the following information for records to
be located and identified:
a. Name, including all former names;
b. Social Security number; and
c. Date of birth (only if writing).
A request to the employing Federal agency may be made in accordance
with that agency's Privacy Act regulations or any other existing
agency procedures.
Record access procedure:
Any participant wishing access to his or her records in this system
may do so in accordance with Chart A above. A participant must furnish
the following information for his or her records to be located and
identified:
a. Name, including all former names;
b. Social Security number;
c. Personal Identification Number (PIN) (only if telephoning);
d. Date of birth (only if writing); and
e. If when telephoning, a PIN is unavailable or has been lost, name
and address of office in which currently or formerly employed in the
Federal service and date of birth.
Contesting record procedure:
Any participant in the Thrift Savings Plan who wishes to request
amendment of his or her records in this system must make such request
in accordance with Chart B below. The employing agency or the Board
(through the TSP Service Office, its recordkeeper), as the case may
be, will follow the procedures set forth in 5 CFR part 1605, Error
Correction Regulations, in deciding requests for amendment because of
monetary errors.
Chart B
----------------------------------------------------------------------------------------------------------------
If you want to request amendment of a TSP record and
-----------------------------------------------------------------------------------------------------------------
You are a former employee You are a current employee
The type of record is: write to: write to:
----------------------------------------------------------------------------------------------------------------
Personnel or personal records (e.g., age, address TSP Service Office........... Your employing agency.
or Social Security number).
Agency's and participant's contributions, loan Your former employing agency. Your employing agency.
repayments and adjustments to contributions.
Earnings, interfund transfers and loan prepayments TSP Service Office........... TSP Service Office.
----------------------------------------------------------------------------------------------------------------
The participant must furnish the following information for his or her
records to be located and identified:
a. Name, including all former names;
b. Social Security number; and
c. Date of birth.
Record source categories:
The information in this system is obtained from the following sources:
a. The individual to whom the information pertains;
b. Agency pay and personnel records;
c. Court orders; or
d. Spouses, former spouses, other family members, beneficiaries, legal
guardians, personal representatives (executors, administrators).
FRTIB-2
System name: General Personnel Records.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC 20005.
Categories of individuals covered by the system:
This system of records consists of a variety of documents relating to
personnel actions of the Board and its determinations made about an
individual during the course of his or her employment by the Board.
These records may contain information about employees and former
employees relating to employment, placement, personnel actions,
performance considerations and evaluations; training and development
activities and plans, background investigations; reference checks;
salary history and other personnel matters. It also includes minority
group and medical disability designators; records relating to benefits
and designation of beneficiary; emergency contact documentation
supporting personnel actions or decisions made about an individual;
awards and other information relating to the status of the individual
either while considered for employment or while employed by the Board.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records is used:
a. To provide data for automated personnel records.
b. To provide information 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 decsion on the matter.
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 or other pertinent 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.
d. 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, or rule,
regulation, or order issued pursuant thereto.
e. To transfer information necessary to report a claim for benefits
under the various benefit programs in operation at the Board.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, magnetic tape, disc, punched
cards, index cards and microfilm.
Retrievability:
Records are indexed by any combination of name, date of birth, social
security number, or identification number.
Safeguards:
Records are located in lockable metal file cabinets in secured rooms
with access limited to those whose official duties require it.
Retention and disposal:
The General Personnel Record is retained until five years after death
or until an individual achieves age 75 where he or she does not
separate employment by retirement.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street, NW, Washington, DC 20005.
Notification procedure:
Inquiries, including name, date of birth, and social security number
should be addressed to the System Manager, address above.
Record access procedures:
Current and former Board employees who wish to gain access to 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.
Record source categories:
Information in this system of records comes from the individual to
whom it applies or is derived from the information the individual
supplied, except information provided by Board officials. Information
is also obtained from the following sources for administration of the
benefits portions of the system:
1. OPM Personnel Management Records System.
2. Personnel records of other Government agencies.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5) (the Privacy Act) and the
Board's regulations relating thereto (5 CFR 1630.18), certain portions
of this system 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.
FRTIB-3
System name: EEO Discrimination Complaint File.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in the records may be used:
a. To adjudicate an appeal, complaint, or grievance.
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.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, binders, and index
cards.
Retrievability:
These records are indexed by the names of the individuals on whom they
are maintained.
Safeguards:
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.
Retention and disposal:
The records are maintained indefinitely.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street, NW, Washington, DC 20005.
Notification procedure:
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.
Record access procedures:
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.
Record source categories:
a. Individual to whom the record pertains
b. Board employees
c. Affidavits or statements from employee
d. Testimony of witnesses
e. Official documents relating to the appeal, grievance, or complaint
f. Correspondence from specific organizations or persons.
Systems exempted from certain provisions of the act:
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.
FRTIB-4
System name: Adverse Information and Action Records:
Disciplinary Records.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in the records may be used:
a. To adjudicate an appeal, complaint, or grievance.
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.
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.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, binders, and index
cards.
Retrievability:
These records are indexed by the names of the individuals on whom they
are maintained.
Safeguards:
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.
Retention and disposal:
The records are maintained indefinitely after cessation of employment
unless deemed unnecessary, and then destroyed.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street NW, Washington, DC 20005.
Notification procedure:
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.
Record access procedures:
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.
Record source categories:
Information provided by persons involved in there adverse action
process including law enforcement personnel.
Systems exempted from certain provisions of the act:
None.
FRTIB-5
System name: Payroll Records.
System location:
General Services Administration, National Capital Region, copies held
by the Board. (GSA holds records for the Board under contract.)
Categories of individuals covered by the system:
Past and present employees and members of the Board.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
On tape, punched cards, index cards, folders and document files.
Retrievability:
Filed by name, social security number, and employee number.
Safeguards:
Access is restricted to authorized personnel only. Records are stored
in cabinets and a safe. Access to computer records is restricted to
authorized personnel.
Retention and disposal:
Minimum of one year from date of annual audit maximum of indefinite.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street NW, Washington, DC 20005.
Notification procedure:
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).
Record access procedures:
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).
Record source categories:
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.
Systems exempted from certain provisions of the act:
None.
FRTIB-6
System name: Leave Records.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC.
Categories of individuals covered by the system:
Present employees, former employees for a period of three years
following their separation from the Board.
Categories of records in the system:
Contains timekeeper records, leave cards, payroll notifications,
supporting memorandum, periodic leave statements, and creditable
service documentation.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Punched card, tape, disk, index card, folder, and print out.
Retrievability:
Filed by date, but may be filed by name or identifying number.
Safeguards:
Stored in locked metal file cabinets, other record stored in secured
limited access computer facilities.
Retention and disposal:
Specific information destroyed after three years. Summary data is a
part of permanent official personnel file.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street, NW, Washington, DC.
Notification procedure:
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.
Record access procedures:
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.
Record source categories:
Records, files and forms of the Board, information provided by the
employee.
Systems exempted from certain provisions of the act:
None.
FRTIB-7
System name: Consultant and Staff Associate File.
System location:
Federal Retirment Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC 20005.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Folder, punched card, tape, disk and index card.
Retrievability:
Filed by name and cross indexed by voucher number and date.
Safeguards:
Stored in secured area, access limited to Board staff on an official
use basis.
Retention and disposal:
Indefinite.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street, NW, Washington, DC 20005
Notification procedure:
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.
Record access procedures:
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.
Record source categories:
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.
Systems exempted from certain provisions of the act:
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.
FRTIB-8
System name:
Board Members File.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC 20005.
Categories of individuals covered by the system:
Past and present members of the Board.
Categories of records in the system:
Biographies of past and present members of the Board, oaths of office,
and miscellaneous correspondence relating to such Members.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked in a metal file cabinet. Access limited to Board staff on a
restricted basis.
Retention and disposal:
Indefinite.
System manager(s) and address:
Secretary to the Board, Federal Retirement Thrift Investment Board,
805 Fifteenth Street, NW, Washington, DC 20005.
Notification procedure:
Contact the System Manager, address above.
Record access procedures:
Contact the System Manager, address above.
Record source categories:
Generated by individuals, incoming correspondence and staff response
thereto.
Systems exempted from certain provisions of the act:
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.
FRTIB-9
System name:
Employee Locator Card Files.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC 20005.
Categories of individuals covered by the system:
Employees of the Board.
Categories of records in the system:
This system contains information regarding the organizational location
and telephone extension of individual Board employees. The system also
contains the home address and telephone number of the employee, and
the name, address, and telephone number of an individual to contact in
the event of a medical or other emergency involving the employee.
Authority for maintenance of the system:
5 U.S.C. 8474.
Purpose(s):
Information is collected for this system for use in preparing
telephone directories of the extensions of Board employees. The record
also serves to identify an individual for Board officials to contact
should an emergency of a medical or other nature involving the
employee occur while the employee is on the job. These records may be
used to locate individuals for personnel research.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. By the Board 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.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on cards.
Retrievability:
Records are retrieved by the name of the individual on whom they are
maintained.
Safeguards:
Records are maintained in secured areas and are available only to
authorized personnel whose duties require access.
Retention and disposal:
Records are maintained as long as the individual is an employee of the
Board. Expired records are destroyed by burning or shredding.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street, NW, Washington, DC 20005.
Notification procedure:
Board employees wishing to inquire whether this system contains
information about them should contact the System Manager. Individuals
must supply their full name for their records to be located and
identified.
Record access procedures:
Board employees wishing to request access to records about them should
contact the System Manager. Individuals must supply their full name
for their records to be located and identified.
Contesting record procedures:
Office employees may amend information in these records at any time by
resubmitting the cards. Individuals wishing to request amendment of
their records under the provisions of the Privacy Act should contact
the Board's Administrative Officer. Individuals must furnish full name
for their records to be located and identified.
Record source categories:
Information is provided by the individual who is the subject of the
record.
Systems exempted from certain provisions of the act:
None.
FRTIB-10
System name:
Grievance Records.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street, NW,
Washington, DC 20005
Categories of individuals covered by the system:
Current or former Board employees who have filed grievance.
Categories of records in the system:
The system contains records relating to grievances filed by Board
employees. These case files contain all documents related to the
grievance including statements of witnesses, reports of interviews and
hearings, examiners' findings and recommendations, a copy of the
original decision, and related correspondence and exhibits. This
system does not include files and records of any grievance filed under
negotiated procedures with recognized labor organizations.
Authority for maintenance of the system:
5 U.S.C. 8474.
Purpose(s):
These records are used to process grievances submitted by Board
employees for personal relief in a matter of concern or
dissatisfaction which is subject to the control of agency management.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation.
b. To disclose information to any source from which additional
information is requested in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request, and identify the type of information
requested.
c. To disclose information to a Federal agency in response to its
request in connection with the hiring or retention of an employee,
issuance of a security clearance, conducting of a security or
suitability investigation of an individual, the classifying of jobs,
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 requesting the agency's decision on the
matter.
d. To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Council, when
requested in connection with appeals, special studies of the civil
service and other merit systems, alleged or possible prohibited
personnel practices, and such other functions as may be authorized by
law.
e. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigation into
alleged or possible discriminatory practices in the Federal sector,
examination of Federal affirmative employment programs, compliance by
Federal agencies with the Uniform Guidelines on Employee Selection
Procedures, or other functions vested in the Commission.
f. To disclose information to the Federal Labor Relations Authority or
its General Counsel when requested in connection with investigations
of allegations of unfair labor practices or matters before the Federal
Service Impasses Panel.
g. 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on whom
they are maintained.
Safeguards:
These records are maintained in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
These records are disposed of 3 years after closing the case. Disposal
is by shredding or burning.
System manager(s) and address:
Personnel Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street NW, Washington, DC 20005.
Notification procedure:
It is required that individuals submitting grievances be provided a
copy of the record under the grievance process. They may, however,
contact the personnel or designated office where the action was
processed, regarding the existence of such records on them. They must
furnish the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action taken.
Record access procedures:
It is required that individuals submitting grievances be provided a
copy of the record under the grievance process. However, after the
action has been closed, an individual may request access to the
official copy of the grievance file by contacting the personnel or
designated office where the action was processed. Individuals must
provide the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action taken.
Contesting record procedures:
Review of requests from individual's seeking amendment of their
records which have been the subject of a judical or quasijudicial
action will be limited in scope. Review of amendment requests of these
records will be restricted to determining if the record accurately
documents the ruling on the case, and will not include a review of the
merits of the action, determination, or finding.
Individuals wishing to request amendment to their records to correct
factual errors should contact the personnel or designated office where
the grievance was processed. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action taken.
Record source categories:
Information in this system of records is provided:
a. By the individual on whom the record is maintained.
b. By testimony of witnesses.
c. By agency officials.
d. From related correspondence from organizations or persons.
Systems exempted from certain provisions of the act:
None.
FRTIB-11
System name:
Financial Disclosure Reports and Outside Business Interest Records.
System location:
Federal Retirement Thrift Investment Board, 805 Fifteenth Street NW,
Washington, DC 20005.
Categories of individuals covered by the system:
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.
Categories of records in the system:
These records contain:
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;
b. Confidential annual financial disclosure reports filed annually by
designated Board employees who are required by Board regulations to
file these reports; and
c. Outside business interest application forms filed by employees
pursuant to Board regulation.
Authority for maintenance of the system:
5 U.S.C. 8474.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information in these records may be used:
a. To provide information to the Office of Government Ethics.
b. To provide copies of those financial disclosure reports filed
pursuant to the Ethics in Government Act to the public, upon request.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders in locked steel file
cabinets.
Retrievability:
These records are indexed by the names of the individuals to whom they
pertain.
Safeguards:
Access to and use of these records is restricted to those persons
whose official duties require such access.
Retention and disposal:
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.
b. Confidential financial disclosure reports filed pursuant to Board
regulation are maintained indefinitely.
c. Outside Business Interest Applications are maintained indefinitely.
System manager(s) and address:
Ethics Officer, Federal Retirement Thrift Investment Board, 805
Fifteenth Street NW, Washington, DC 20005.
Notification procedure:
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.
b. Individuals wishing to have access to their own confidential
financial disclosure reports or outside business interest applications
should contact the System Manager above.
Record access procedures:
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.
Record source categories:
Individual to whom the record pertains.
Systems exempted from certain provisions of the act:
None.
PRIVACY ACT RULES
FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
5 CFR PART 1630--PRIVACY ACT REGULATIONS
Sec.
1630.1 Purpose and scope.
1630.2 Definitions.
1630.3 Publication of systems of records maintained.
1630.4 Request for notification and access.
1630.5 Granting access to a designated individual.
1630.6 Action on request.
1630.7 Identification requirements.
1630.8 Access of others to records about an individual.
1630.9 Access to the history (accounting) of disclosures from records.
1630.10 Denials of access.
1630.11 Requirements for requests to amend records.
1630.12 Action on request to amend a record.
1630.13 Procedures for review of determination to deny access to or
amendment of records.
1630.14 Appeals process.
1630.15 Exemptions.
1630.16 Fees.
1630.17 Federal agency requests.
1630.18 Penalties.
Authority: 5 U.S.C. 552a.
Source: 55 FR 18852, May 7, 1990, unless otherwise noted.
Sec. 1630.1 Purpose and scope.
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.
Sec. 1630.2 Definitions.
For the purposes of this part--
(a) Agency means agency as defined in 5 USC 552(e);
(b) Board means the Federal Retirement Thrift Investment Board;
(c) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence;
(d) Maintain means to collect, use, or distribute;
(e) Record means any item, collection, or grouping of information
about an individual that is maintained by the Board, 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;
(f) Routine use 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;
(g) System manager 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;
(h) System of records 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;
(i) Statistical record 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;
(j) Subject individual means the individual by whose name or other
identifying particular a record is maintained or retrieved;
(k) TSP 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);
(l) TSP records means those records maintained by the Thrift Savings
Plan Service Office;
(m) VRS (Voice Response System) means the fully automated telephone
information system for TSP account records;
(n) Work days 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.
Sec. 1630.3 Publication of systems of records maintained.
(a) Prior to the establishment or revision of a system of records, the
Board will publish in the Federal Register 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.
(b) When a system of records is established or revised, the Board will
publish in the Federal Register a notice about the system. The notice
shall include:
(1) The system name,
(2) The system location,
(3) The categories of individuals covered by the system,
(4) The categories of records in the system,
(5) The Board's authority to maintain the system,
(6) The routine uses of the system,
(7) The Board's policies and practices for maintenance of the system,
(8) The system manager,
(9) The procedures for notification, access to and correction of
records in the system, and
(10) The sources of information for the system.
Sec. 1630.4 Request for notification and access.
(a) TSP records. (1) A participant in the Thrift Savings Plan is a
subject of System of Records FRTIB-1. A participant shall make his or
her inquiry in accordance with the chart set forth below. The address of
the Thrift Savings Plan Service Office is: National Finance Center, P.O.
Box 61500, New Orleans, LA, 70161-1500. (Telephone No. 504-255-6000).
Telephone inquiries are subject to the verification procedures set forth
in Sec. 1630.7. A written inquiry shall include the participant's name,
Social Security number, and date of birth.
------------------------------------------------------------------------
If you are a If you are a
If you want: former employee: current employee:
------------------------------------------------------------------------
To make inquiry as to whether Call or write TSP Call or write your
you are a subject of this Service Office. employing agency
system of records. in accordance
with agency
system of records
on personnel or
payroll records.
Access.......................... Call or write TSP Call or write your
Service Office. employing agency
regarding
personnel and
payroll records
(agency's and
participant's
contributions,
earnings, loan
repayments and
adjustments to
contributions).
Call or write to
the TSP Service
Office regarding
loan status and
interfund
transfers.
Disclosure history of your TSP Write TSP Service Write TSP Service
account (disclosures to Office. Office.
entities other than your
employing agency or the Board
or auditors see Sec. 1630.4
(a)(3)).
------------------------------------------------------------------------
(2) A Privacy Act request which is incorrectly submitted to the Board
will not be considered received until received by the TSP Service
Office. The Board will submit such a Privacy Act request to the TSP
Service Office within three workdays. A Privacy Act request which is
incorrectly submitted to the TSP Service Office will not be considered
received until received by the employing agency. The TSP Service Office
will submit such a Privacy Act request to the employing agency within
three workdays.
(3) 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).
(4) 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.
(b) Non-TSP Board records. 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 Federal Register
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.
[55 FR 18852, May 7, 1990, as amended at 59 FR 55331, Nov. 7, 1994]
Sec. 1630.5 Granting access to a designated individual.
(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 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.
(b) The Board 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.
[55 FR 18852, May 7, 1990, as amended at 59 FR 26409, May 20, 1994]
Sec. 1630.6 Action on request.
(a) For TSP records, the Head, TSP Service Office, or 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 by the Board.
When the answer cannot be made within 10 work days, the Head, TSP
Service Office 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.
(b) At a minimum, the acknowledgement to a request for access shall
include:
(1) When and where the records will be available;
(2) Name, title and telephone number of the official who will make the
records available;
(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;
(4) Fee, if any, charged for copies (See Sec. 1630.16); and
(5) If necessary, documentation required to verify the identity of the
requester (See Sec. 1630.7).
Sec. 1630.7 Identification requirements.
(a) In person. An individual should be prepared to identify himself or
herself by signature, i.e., 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 Sec. 1630.18). In addition,
depending upon the sensitivity of the records, the Privacy Act Officer
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.
(b) In writing. An individual shall provide his or her name, date of
birth, and Social Security number and shall sign the request. If a
request for access is granted by mail and, in the opinion of the Privacy
Act Officer 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.
(c) By telephone. (1) Telephone identification procedures apply only
to requests from participants for information in system of records
FRTIB-1, Thrift Savings Plan Records.
(2) A participant shall identify himself or herself by providing to
the Head, TSP Service Office, or designee, the following: Name, Social
Security number and Personal Identification Number (PIN). If the PIN has
been lost or is unavailable, the participant must provide his or her
date of birth and current or former employing agency. If the Head, TSP
Service Office, or designee, determines that any of the particulars
provided by telephone are incorrect, the requester will be required to
submit a request in writing.
(3) A participant calling the automated TSP Voice Response System must
provide Social Security number and PIN.
Sec. 1630.8 Access of others to records about an individual.
(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. Access by executors,
administrators, personal representatives, beneficiaries and former
spouses to TSP records may be authorized if there is compliance with a
routine use under paragraph (b)(3) of this section.
(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:
(1) To officers or employees (including contract employees) of the
Board who need the information to perform their official duties;
(2) Pursuant to the requirements of the Freedom of Information Act, 5
U.S.C. 552;
(3) For a routine use that has been published in a notice in the
Federal Register (routine uses for the Board's systems of records are
published separately in the Federal Register and are available from the
Board's Privacy Act Officer);
(4) To the Bureau of the Census for uses under title 13 of the United
States Code;
(5) To a person or agency which has given the Board 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 shall ensure that the identity of the
individual cannot reasonably be deduced by combining various statistical
records);
(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;
(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;
(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;
(9) To either House of Congress, or to a Congressional committee or
subcommittee if the subject matter is within its jurisdiction;
(10) To the Comptroller General, or an authorized representative, in
the course of the performance of the duties of the General Accounting
Office;
(11) Pursuant to the order of a court of competent jurisdiction; or
(12) To a consumer reporting agency in accordance with section 3711(f)
of Title 31.
Sec. 1630.9 Access to the history (accounting) of disclosures from
records.
Rules governing access to the accounting of disclosures are the same
as those for granting access to the records as set forth in Sec. 1630.4.
Sec. 1630.10 Denials of access.
(a) The Privacy Act Officer or the Head, TSP Service Office, or
designee, for records covered by system FRTIB-1, may deny an individual
access to his or her record if:
(1) In the opinion of the Privacy Act Officer or the Head, TSP Service
Office, or designee, the individual seeking access has not provided
proper identification to permit access; or
(2) The Board has published rules in the Federal Register exempting
the pertinent system of records from the access requirement.
(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.
Sec. 1630.11 Requirements for requests to amend records.
(a) TSP records. (1) 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:
------------------------------------------------------------------------
If you want to request amendment of a TSP record and
-------------------------------------------------------------------------
You are a former You are a current
The type of record is: employee, write employee, write
to: to:
------------------------------------------------------------------------
Personnel or personal records TSP Service Office Your employing
(e.g., age, address or Social agency.
Security number).
Agency's and participant's Your former Your employing
contributions, loan repayments employing agency. agency.
and adjustments to
contributions.
Earnings, interfund transfers TSP Service Office TSP Service
and loan prepayments. Office.
------------------------------------------------------------------------
(2) The address of the TSP Service Office is listed in Sec. 1630.4(a).
(3) Requests for amendments which are claims for money because of
administrative error will be processed in accordance with the procedures
set forth for agencies and the Board (including the TSP Service Office
which is the Board's recordkeeper) in 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 Sec. Sec. 1630.12-1630.14, or if
covered by the above chart the employing, or former employing, agency's
Privacy Act procedures.
(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.
(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 and beneficiary forms (which are
maintained in the Official Personnel Folder). Hence, requests for
correction of records described herein shall be made to the employing
agency.
(b) Non-TSP records. (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
Sec. 1630.4. The words ``Privacy Act--Request to Amend Record'' should
be written on the letter and the envelope.
(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 Federal Register; 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
Sec. Sec. 1630.4, 1630.5, 1630.6 or Sec. 1630.7, copies of previous
correspondence between the requester and the Board should be attached,
if possible.
(3) If the individual's identity has not been previously verified, the
Board may require documentation of identification as described in
Sec. 1630.7.
Sec. 1630.12 Action on request to amend a record.
(a) For TSP records, the Head, TSP Service Office, will acknowledge a
request for amendment of a record, which is to be decided by that office
in accordance with the chart in Sec. 1630.11, within 10 work days.
Requests received by the TSP Service Office which are to be decided by
the current or former employing agency will be sent to that agency by
the Head, TSP Service Office, within 3 work days of the date of receipt.
A copy of the transmittal letter will be sent to the requester.
(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.
(c) The final response will include the decision whether to grant or
deny the request. If the request is denied, the response will include:
(1) The reasons for the decision;
(2) The name and address of the official to whom an appeal should be
directed;
(3) The name and address of the official designated to assist the
individual in preparing the appeal;
(4) A description of the appeal process with the Board; and
(5) A description of any other procedures which may be required of the
individual in order to process the appeal.
Sec. 1630.13 Procedures for review of determination to deny access
to or amendment of records.
(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.
(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:
(1) The records involved;
(2) The date of the initial request for access to or amendment of the
record;
(3) The date of the Board's denial of that request; and
(4) The reasons supporting the request for reversal of the Board's
decision.
Copies of previous correspondence from the Board denying the request to
access or amend the record should also be attached, if possible.
(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.
[55 FR 18852, May 7, 1990, as amended at 59 FR 55331, Nov. 7, 1994]
Sec. 1630.14 Appeals process.
(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.
(b) If the original request was for access and the initial
determination is reversed, the procedures in Sec. 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).
(c) If the initial denial of a request to amend a record is reversed,
the Board 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 Sec. 1630.9.
Sec. 1630.15 Exemptions.
(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:
(1) Subject to the provisions of section 552(b)(1) of the Freedom of
Information Act, 5 U.S.C. 552;
(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;
(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;
(4) Required by statute to be maintained and used solely as
statistical records;
(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;
(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
(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.
(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.
(c) Nothing in this part will allow an individual access to any
information compiled in reasonable anticipation of a civil action or
proceeding.
Sec. 1630.16 Fees.
(a) Individuals will not be charged for:
(1) The search and review of the record; and
(2) Copies of ten (10) or fewer pages of a requested record.
(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.
(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 Head,
TSP Service Office or to the Privacy Act Officer, depending upon the
nature of the request, at the address listed in Sec. 1630.4.
(d) The Head, TSP Service Office or the Privacy Act Officer may waive
the fee if:
(1) The cost of collecting the fee exceeds the amount collected; or
(2) The production of the copies at no charge is in the best interest
of the Board.
(e) A receipt will be furnished on request.
Sec. 1630.17 Federal agency requests.
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:
(a) Fair market value;
(b) Cost to the TSP; and
(c) Interests of the participants and beneficiaries.
Sec. 1630.18 Penalties.
(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.
(b) [Reserved]