Privacy Act of 1974; System of Records
| Published date | 01 April 2019 |
| Citation | 84 FR 12249 |
| Record Number | 2019-06165 |
| Section | Notices |
| Court | Federal Retirement Thrift Investment Board |
Federal Register, Volume 84 Issue 62 (Monday, April 1, 2019)
[Federal Register Volume 84, Number 62 (Monday, April 1, 2019)]
[Notices]
[Pages 12249-12251]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06165]
=======================================================================
-----------------------------------------------------------------------
FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
Privacy Act of 1974; System of Records
AGENCY: Federal Retirement Thrift Investment Board (FRTIB).
ACTION: Notice of modified system of records.
-----------------------------------------------------------------------
SUMMARY: Pursuant to the Privacy Act of 1974, the Federal Retirement
Thrift Investment Board (FRTIB) is proposing to modify its system of
records for fraud and forgery records. Records contained in this system
are used to investigate potential or actual fraud against TSP
participant or beneficiary accounts. FRTIB is modifying this system of
records to account for its process for addressing new alerts the
Financial Services Information Sharing and Analysis Center (FS-ISAC)
sends to FRTIB to better help protect and secure participant account
information.
DATES: This system will become effective upon its publication in
today's Federal Register. FRTIB is not proposing any changes to the
routine uses.
ADDRESSES: You may submit written comments to FRTIB by any one of the
following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the website instructions for submitting comments.
Fax: (202) 942-1676.
Mail or Hand Delivery: Office of General Counsel, Federal
Retirement Thrift Investment Board, 77 K Street NE, Suite 1000,
Washington, DC 20002.
FOR FURTHER INFORMATION CONTACT: Marla Greenberg, Chief Privacy
Officer, Federal Retirement Thrift Investment Board, Office of General
Counsel, 77 K Street NE, Suite 1000, Washington, DC 20002, (202) 942-
1600. For access to any of the FRTIB's system of records, contact
Amanda Haas, FOIA Officer, Office of General Counsel, at the above
address and phone number.
SUPPLEMENTARY INFORMATION: FRTIB is proposing to modify its system of
records for fraud and forgery records, entitled, ``FRTIB-13, Fraud and
Forgery Records.'' The proposed changes are necessary because they
enable the FRTIB to protect participant accounts based on additional
information FRTIB receives from the FS-ISAC, concerning account
credentials that may have been compromised. FRTIB is proposing to amend
the purpose of the system of records to provide additional context
around how the Agency protects participant accounts from fraudulent
activity. FRTIB is proposing to change the categories of individuals
covered by the system, to include information about participants and
beneficiaries who may be actual or potential victims of fraud.
Additionally, FRTIB is proposing to modify the category of records
in the system to include telephone numbers, IP addresses, and
notifications from FS-ISAC, which includes potentially or actually
compromised credentials participants use to log into their TSP account
online. FRTIB is also proposing a change to record source categories to
include FS-ISAC. Finally, FRTIB is proposing technical and clarifying
language to conform to the standards established in OMB Circular A-108,
but these changes are not substantive in nature. FRTIB is not proposing
modifications to its routine uses or exemptions claimed.
Megan Grumbine,
General Counsel and Senior Agency Official for Privacy.
System Name
Fraud and Forgery Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are located at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be kept at an additional location for Business Continuity
purposes.
SYSTEM MANAGER:
Supervisory Fraud Specialist, Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; and 44 U.S.C. 3101.
PURPOSE(S):
These records are used to inquire into and investigate allegations
that a TSP participant, beneficiary, alternate payee, or third party
has committed or attempted to commit an act of fraud or forgery
relating to a participant or beneficiary account or the Thrift Savings
Fund; to prevent fraud and to protect participant accounts from
potential fraud; and to collect information to verify allegations that
a third party has misappropriated the FRTIB's (or TSP's) name, brand,
or logos.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system of records contains information on Thrift Savings Plan
(TSP) participants, beneficiaries, alternate payees, and third party
individuals alleged to have committed an act of fraud or forgery
relating to participant and beneficiary accounts; and third parties
alleged to have misappropriated, or attempted to misappropriate the
FRTIB's (including the TSP's) name, brand, or logos. This system of
records also contains information about TSP participants and
beneficiaries who may be actual or potential victims of fraud.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain the following kinds of information: name,
date of birth, telephone number, IP address, and Social Security number
of TSP participants, beneficiaries, alternate payees, and third parties
alleged to have committed an act of fraud or forgery relating to
participant accounts or the Thrift Savings Fund; TSP account
information related to the fraud or forgery allegation; information
obtained from other agencies as it relates to allegations of fraud or
forgery; documentation of complaints and allegations of fraud and
forgery; exhibits, statements, affidavits, or records obtained during
investigations of fraud, or forgery, court and administrative orders,
transcripts, and documents; internal staff memoranda; staff working
papers; notifications from the Financial Services Information Sharing
and Analysis Center (FS-ISAC), including credentials used to log into
MyAccount that have been potentially or actually compromised; and other
documents and records related to the investigation of fraud or forgery,
including the disposition of the allegations; and reports on the
investigation.
[[Page 12250]]
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 TSP participants, beneficiaries, alternate payees, or other
third parties; complainants; informants; witnesses; investigators;
persons reviewing the allegations; Federal, state and local agencies;
FS-ISAC; and investigative reports and records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, as amended, 5 U.S.C.
552a(b); and:
1. A record from this system may be disclosed to the Federal Bureau
of Investigation; Department of Justice; Securities and Exchange
Commission; Federal Trade Commission; Consumer Financial Protection
Bureau; or the Financial Industry Regulatory Authority for further
investigation, prosecution, or enforcement.
2. A record from this system may be disclosed to the Secret Service
for the purpose of investigating forgery, and to the Department of
Justice, when substantiated by the Secret Service.
3. A record pertaining to this system may be disclosed to the
current or former employing agency of the participant, beneficiary,
alternate payee, or third party alleged to have committed fraud or
forgery against a participant account or the Thrift Savings Fund for
the purpose of further investigation or administrative action.
4. A record from this system may be disclosed to informants,
complainants, or victims to the extent necessary to provide those
persons with information and explanations concerning the progress or
results of the investigation.
5. Audit: A record from this system of records may be disclosed to
an agency, organization, or individual for the purpose of performing an
audit or oversight operations as authorized by law, but only such
information as is necessary and relevant to such audit or oversight
function when necessary to accomplish an agency function related to
this system of records. Individuals provided information under this
routine use are subject to the same Privacy Act requirements and
limitations on disclosure as are applicable to FRTIB officers and
employees.
6. Breach Mitigation and Notification: Response to Breach of FRTIB
Records: A record from this system of records may be disclosed to
appropriate agencies, entities, and persons when (1) FRTIB suspects or
has confirmed that there has been a breach of the system of records;
(2) FRTIB has determined that as a result of the suspected or confirmed
breach there is a risk of harm to individuals, FRTIB (including its
information systems, programs, and operations), the Federal Government,
or national security; and (3) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection
with FRTIB's efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm.
7. Response to Breach of Other Records: A record from this system
of records may be disclosed to another Federal agency or Federal
entity, when FRTIB determines that information from this system of
records is reasonably necessary to assist the recipient agency or
entity in (1) responding to a suspected or confirmed breach or (2)
preventing, minimizing, or remedying the risk of harm to individuals,
the recipient agency or entity (including its information systems,
programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
8. Congressional Inquiries: A record from this system of records
may be disclosed to a Congressional office from the record of an
individual in response to an inquiry from that Congressional office
made at the request of the individual to whom the record pertains.
9. Contractors, et al.: A record from this system of records may be
disclosed to contractors, grantees, experts, consultants, the agents
thereof, and others performing or working on a contract, service,
grant, cooperative agreement, or other assignment for FRTIB, when
necessary to accomplish an agency function related to this system of
records. Individuals provided information under this routine use are
subject to the same Privacy Act requirements and limitations on
disclosure as are applicable to FRTIB officers and employees.
10. Investigations, Third Parties: A record from this system of
records may be disclosed to third parties during the course of a law
enforcement investigation to the extent necessary to obtain information
pertinent to the investigation, provided disclosure is appropriate to
the proper performance of the official duties of the third party
officer making the disclosure.
11. Investigations, Other Agencies: A record from this system of
records may be disclosed to appropriate Federal, state, local, tribal,
or foreign government agencies or multilateral governmental
organizations for the purpose of investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, license, or treaty where FRTIB determines that the
information would assist in the enforcement of civil or criminal laws.
12. Law Enforcement Intelligence: A record from this system of
records may be disclosed to a Federal, state, tribal, local, or foreign
government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence
information, whether civil or criminal, or charged with investigating,
prosecuting, enforcing or implementing civil or criminal laws, related
rules, regulations or orders, to enable these entities to carry out
their law enforcement responsibilities, including the collection of law
enforcement intelligence.
13. Law Enforcement Referrals: A record from this system of records
may be disclosed to an appropriate Federal, state, tribal, local,
international, or foreign agency or other appropriate authority charged
with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, where a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
14. Litigation, DOJ or Outside Counsel: A record from this system
of records may be disclosed to the Department of Justice, FRTIB's
outside counsel, other Federal agency conducting litigation or in
proceedings before any court, adjudicative or administrative body,
when: (1) FRTIB, or (2) any employee of FRTIB in his or her official
capacity, or (3) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(4) the United States or any agency thereof, is a party to the
litigation or has an interest in such litigation, and FRTIB determines
that the records are both relevant and necessary to the litigation and
the use of such records is compatible with the purpose for which FRTIB
collected the records.
15. Litigation, Opposing Counsel: A record from this system of
records may be disclosed to 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
[[Page 12251]]
negotiations or in connection with criminal law proceedings or in
response to a subpoena.
16. NARA/Records Management: A record from this system of records
may be disclosed to the National Archives and Records Administration
(NARA) or other Federal Government agencies pursuant to the Federal
Records Act.
17. Security Threat: A record from this system of records may be
disclosed to Federal and foreign government intelligence or
counterterrorism agencies when FRTIB reasonably believes there to be a
threat or potential threat to national or international security for
which the information may be useful in countering the threat or
potential threat, when FRTIB reasonably believes such use is to assist
in anti-terrorism efforts, and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases and cloud-based services, all of which are securely
stored.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name or file number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records in this system are destroyed seven years after the case is
closed.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
FRTIB has adopted appropriate administrative, technical, and
physical controls in accordance with FRTIB's security program to
protect the security, confidentiality, availability, and integrity of
the information, and to ensure that records are not disclosed to or
accessed by unauthorized individuals.
Paper records are stored in locked file cabinets in areas of
restricted access that are locked after office hours. Electronic
records are stored on computer networks and protected by assigning
usernames to individuals needing access to the records and by passwords
set by authorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to access records within this system must
submit a request pursuant to 5 CFR part 1630. Attorneys or other
persons acting on behalf of an individual must provide written
authorization from that individual, such as Power of Attorney, in order
for the representative to act on their behalf.
CONTESTING RECORDS PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS CLAIMED FOR SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system of records
are exempt from the requirements of subsections (c)(3); (d); (e)(1);
(e)(4)(G), (H), (I); and (f) of 5 U.S.C. 552a, provided, however, that
if any individual is denied any right, privilege, or benefit that he or
she would otherwise be entitled to by Federal law, or for which he or
she would otherwise be eligible, as a result of the maintenance of
these records, such material shall be provided to the individual,
except to the extent that the disclosure of the material would reveal
the identity of a source who furnished information to the Government
with an express promise that the identity of the source would be held
in confidence.
HISTORY:
81 FR 7,106 (Feb. 10, 2016).
[FR Doc. 2019-06165 Filed 3-29-19; 8:45 am]
BILLING CODE 6760-01-P
