Privacy Act Issuances for the Federal Retirement Thrift Investment Board, 2005

[Privacy Act Issuances (2005)]
[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-12 Collection Records
FRTIB-13 Fraud and Forgery Records

FRTIB-1

System name:

Thrift Savings Plan Records.
System location:
These records are located at the offices of the entity engaged by
the Board to perform record keeping services for the TSP. Currently,
the TSP record keeper is the National Finance Center, Department of
Agriculture, whose mailing address is TSP Service Office, National
Finance Center, PO Box 61500, New Orleans, Louisiana 70161-1500.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Purpose(s):
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.
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 and addresses 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 Arrangement or into another eligible retirement
plan.
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.
e. When a participant to whom a record pertains dies, to disclose
the following types of information 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 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.
g. 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.
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 ensure 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 or to make a payment to a spouse,
former spouse, child, or his or her attorney, or to a beneficiary.
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 address of a
participant, spouse, former spouse, or beneficiary of the participant
for the purpose of enforcing child support obligations against that
individual.
l. 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.
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 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.
o. To disclose information to the Department of Justice, where:
(1) The Board or any component of it, 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. 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. 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.
q. 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.
Policies and practices of storing, retrieving, safeguarding,
retaining, and disposing of records in the system:
Storage:
These records are maintained on electronic or magnetic media, on
microfilm, or in folders.
Retrievability:
These records are retrieved by SSN and other personal identifiers
of the individual to whom they pertain.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Executive Director, Federal Retirement Thrift Investment Board,
1250 H Street, NW, Washington, DC 20005.
Record access procedures:
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:
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.
b. Participants who have separated from Federal employment and
spouses, former spouses, and beneficiaries of participants may call
or write the TSP Service Office.
Individuals calling or writing the TSP Service Office must
furnish the following information for their records to be located and
identified:
a. Name, including all former names;
b. Social Security number; and
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.
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 (504) 255-8777.
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. Because a
PIN is required to use these features, they are not available to
former participants.
Contesting record procedure:
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:
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.
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.
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.
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.
Record source categories:
The information in this system is obtained from the following
sources:
a. The individual to whom the information pertains;
b. Agency payroll and personnel records;
c. Court orders; or
d. Spouses, former spouses, other family members, beneficiaries,
legal guardians, and personal representatives (executors,
administrators).

FRTIB-2

System name: General Personnel Records.

System location:
Federal Retirement Thrift Investment Board, 1205 H 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,
1205 H 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, 1205 H 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,
1205 H 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, 1205 H 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,
1205 H 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.
The information in this system will also be disclosed as follows:
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.
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.
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.
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,
1205 H 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, 1205 H 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,
1205 H 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, 1205 H 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,
1205 H 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, 1205 H 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, 1205 H 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, 1205 H 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,
1205 H 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, 1205 H 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,
1205 H 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, 1205 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, 1205
H 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.

FRTIB-12

System name:

Collection Records.
System location:
Federal Retirement Thrift Investment Board, 1250 H Street NW,
Washington, DC 20005.
Categories of individuals covered by the system:
Records are maintained on individuals and entities that are
financially indebted to the Board, a Federal agency, or a Government
corporation.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Purpose(s):
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.
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 to
disclose information to:
1. Appropriate Federal, state, and local agencies responsible for
investigating or implementing a statute, rule, regulation, order, or
license;
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.
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;
4. A congressional office in order to respond to communications
from that office;
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;
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).
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;
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
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.
Disclosure to consumer reporting agencies:
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders in office file
cabinets.
Retrievability:
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.
Safeguards:
Access to and use of these records is restricted to those persons
whose official duties require such access.
Retention and disposal:
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.
System manager(s) and address:
Associate General Counsel, Federal Retirement Thrift Investment
Board, 1250 H Street, NW, Washington, DC 20005.
Notification procedure:
Inquiries under the Privacy Act of 1974 should be addressed to
the Privacy Act Officer, Federal Retirement Thrift Investment Board,
1250 H Street, NW, Washington, DC 20005. All individuals making
inquiries should provide with their request 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.
Record access procedures:
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.
Contesting record procedures:
See ``Record Access Procedures'' above.
Record source categories:
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.
Systems exempted from certain provisions of the act:
None.

FRTIB-13

System name:

Fraud and Forgery Records.
System location:
These records are located at the Federal Retirement Thrift
Investment Board, 1250 H Street, NW, Washington, DC 20005 and at the
Thrift Savings Plan (TSP) Service Office at the National Finance
Center, Department of Agriculture, PO Box 61500, New Orleans, LA
70161-1500.
Categories of individuals covered by the system:
These records contain information on Thrift Savings Plan
participants who are alleged to have committed a fraud or forgery
relating to their accounts.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 8474.
Purpose(s):
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.
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 to
disclose information to:
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;
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;
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;
4. The Department of Justice for the purpose of further
investigation and prosecution;
5. The current or former employing agency of the participant for
the purpose of further investigation and administrative action;
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
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders in office file
cabinets and on electronic media or computer in the system location.
Retrievability:
These records are indexed by the names and Social Security
numbers of Thrift Savings Plan participants.
Safeguards:
Access to and use of these records is restricted to those persons
whose official duties require such access.
Retention and disposal:
Records in this system are destroyed seven years after the case
is closed.
System manager(s) and address:
Director, Office of Benefits and Program Analysis, Federal
Retirement Thrift Investment Board, 1250 H Street, NW, Washington, DC
20005.
Notification procedure:
Inquiries under the Privacy Act of 1974 should be addressed to
the Privacy Act Officer, Federal Retirement Thrift Investment Board,
1250 H Street, NW, Washington, DC 20005. All individuals making
inquiries should provide with their request as much descriptive
matter as is possible to identify the particular record desired.
Record access procedures:
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.
Contesting record procedures:
See ``Record Access Procedures'' above.
Record source categories:
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.
Systems exempted from certain provisions of the act:
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.

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 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;
(f)Record keeper means the entity that is engaged by the Board to
perform record keeping services for the TSP;
(g) 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;
(h) 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;
(i) 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;
(j) 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;
(k) Subject individual means the individual by whose name or other
identifying particular a record is maintained or retrieved;
(l) 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);
(m)TSP participant means any individual for whom a TSP account has been
established. This includes former participants, i.e. participants whose
accounts have been closed;
(n) TSP records means those records maintained by the record keeper;
(o) VRS (Voice Response System) means the fully automated telephone
information system for TSP account records;
(p) 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.
[55 FR 18852, May 7, 1990, as amended at 64 FR 67693, Dec. 3, 1999]

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. Request for
notification and access.

Sec. 1630.4 Request for notification and access.

(a) TSP records. (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 Service Office is: National Finance Center, PO Box 61500, New
Orleans, LA, 70161-1500. Telephone inquiries are subject to the
verification procedures set forth in Sec. 1630.7. A written inquiry must
include the name and Social Security number of the participant or of the
spouse, former spouse, or beneficiary of the participant, as
appropriate.

To obtain information about or gain access to TSP records about you
--------------------------------------------------------------------------------------------------------------------------------------------------------
If you want: If you are a participant who is If you are a participant who has separated from Federal
To make inquiry as to whether you are a subject of this a current Federal employee: employment or a spouse, former spouse, or beneficiary:
system of records. Call or write to your Call or write to TSP record keeper.
employing agency in
accordance with agency
procedures for personnel or
payroll records.
To gain access to a record about you.................. Call or write to your Call or write to TSP record keeper.
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.
To learn the history of disclosures of records about Write to TSP record keeper... Write to TSP record keeper.
you to entities other than the participant's
employing agency or the Board or auditors see Sec.
1630.4 (a)(4).

(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 www.tsp.gov. To use the TSP
ThriftLine, the participant must have a touch-tone telephone and call
the following number (504) 255-8777. 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 will need to
provide his or her SSN and PIN.
(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.
(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).
(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.
(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; 64
FR 67693, Dec. 3, 1999]

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 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.
(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.

[55 FR 18852, May 7, 1990, as amended at 59 FR 26409, May 20, 1994; 64
FR 67694, Dec. 3, 1999]

Sec. 1630.6 Action on request.

(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.
(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).

[55 FR 18852, May 7, 1990, as amended at 64 FR 67694, Dec. 3, 1999]

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
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.
(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 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.
(c) By telephone. (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 Social Security
numbers.
(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, 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.
(3) A participant may also access the TSP Web site or call the TSP
ThriftLine to obtain account information. These systems require the
participant's Social Security number and PIN. Because a PIN is required
to use these features, they are not available to former participants,
whose PINs are canceled when their accounts are closed.

[55 FR 18852, May 7, 1990, as amended at 64 FR 67694, Dec. 3, 1999]

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.
(b) No official or employee of the Board, or any contractor of the
Board or the record keeper 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 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);
(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.

[55 FR 18852, May 7, 1990, as amended at 64 FR 67694, Dec. 3, 1999]

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 record keeper 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 record keeper
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.

[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]

Sec. 1630.11 Requirements for requests to amend records.

(a) TSP records. (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:

To correct or amend a TSP record
------------------------------------------------------------------------
If the type of record is: If you are a If you are a
Personnel or personal participant who is participant who has
records (e.g., age, a current Federal separated from
address, Social Security employee write to: Federal employment
number, date of birth). Write to your write to:
employing agency. Write to TSP
record keeper.
The agency's and the Write to your Write to your
participant's employing agency. former employing
contributions, and agency.
adjustments to
contributions.
Earnings, investment Write to TSP Write to TSP
allocation, interfund record keeper. record keeper.
transfers, loans, loan
repayments, and
withdrawals.

(2) The address of the record keeper 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 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
Secs. 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 form (which is maintained in the
Official Personnel Folder). Requests for amendment or correction of
records described inthis paragraph should 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
Secs. 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.

[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]

Sec. 1630.12 Action on request to amend a record.

(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 Sec. 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.
(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.

[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]

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 or 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 Sec. 1630.9.

[55 FR 18852, May 7, 1990, as amended at 64 FR 67695, Dec. 3, 1999]

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 to be 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.

[55 FR 18852, May 7, 1990, as amended at 67695, Dec. 3, 1990]

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]