Privacy Act of 1974; System of Records
| Published date | 17 July 2020 |
| Citation | 85 FR 43654 |
| Record Number | 2020-15468 |
| Section | Notices |
| Court | Federal Retirement Thrift Investment Board |
Federal Register, Volume 85 Issue 138 (Friday, July 17, 2020)
[Federal Register Volume 85, Number 138 (Friday, July 17, 2020)]
[Notices]
[Pages 43654-43679]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-15468]
[[Page 43653]]
Vol. 85
Friday,
No. 138
July 17, 2020
Part II
Federal Retirement Thrift Investment Board
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Privacy Act of 1974; System of Records; Notice
Federal Register / Vol. 85 , No. 138 / Friday, July 17, 2020 /
Notices
[[Page 43654]]
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FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
Privacy Act of 1974; System of Records
AGENCY: Federal Retirement Thrift Investment Board (FRTIB).
ACTION: Notice of a modified system of records.
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SUMMARY: Pursuant to the Privacy Act of 1974, the Federal Retirement
Thrift Investment Board (FRTIB) proposes to modify multiple existing
systems of records notices to provide updated routine uses in
accordance with OMB Memorandum M-17-12, to update the format in
accordance with OMB Circular A-108, and to provide descriptions of
previously published routine uses for purposes of consistency and
transparency. Contact information is also being provided for the system
manager.
DATES: These systems will become effective upon publication in today's
Federal Register, with the exception of the routine uses which will be
effective on August 17, 2020. FRTIB invites written comments on the
routine uses and other aspects of this system of records. Submit any
comments by August 17, 2020.
ADDRESSES: You may submit written comments to FRTIB by any one of the
following methods:
Federal eRulemaking Portal: http://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: Megan Grumbine, General Counsel and
Senior Agency Official for Privacy, 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 systems of records, contact Amanda Haas, FOIA Officer, Office
of General Counsel, at the above address and phone number.
SUPPLEMENTARY INFORMATION: Descriptions of each system of record are
below.
FRTIB-2, Personnel Security Investigation Files: Records contained
in this system are used to document and support decisions regarding
clearance for access to sensitive FRTIB information, and the ability to
receive the suitability, eligibility, and fitness for service of
applicants for federal employment and contract positions, including
students, interns, or volunteers to the extent their duties require
access to federal facilities, information systems, or applications.
FRTIB-5, Employee Payroll, Leave, and Attendance Records: Records
contained in this system are used to perform agency functions involving
employee leave, attendance, and payments, including determinations
relating to the amounts to be paid to employees, the distribution of
pay according to employee directions (for allotments, to financial
institutions, and for other authorized purposes), and for tax
withholdings and other authorized deductions.
FRTIB-7, Contractor and Consultant Records: Records contained in
this system are used to collect and maintain records on FRTIB contracts
and consultants.
FRTIB-9, Emergency Notification Files: Records contained in this
system are used for contacting FRTIB personnel, including FRTIB
employees and contractors, and other individuals to respond to all
emergencies, including technical, manmade or natural disaster, or other
event affecting FRTIB operations, and to contact FRTIB personnel's
emergency contacts in the event of an emergency. Information from this
system of records is also used to prepare organizational charts, recall
and emergency notification rosters, and directories for business
continuity planning purposes, locate individuals on routine and/or
emergency matters; locate individuals during medical emergencies,
facility evacuations and similar situations involving threats; and
similar administrative uses requiring personnel data.
FRTIB-12, Debt Collection Records: Records contained in this system
are used to maintain a record of individuals and entities that are
indebted to the Board, a Federal agency, or a Government corporation
including, but not limited to: participants, beneficiaries, and
alternate payees of the Thrift Savings Plan; current and former
employees of the FRTIB; and individuals who received payments to which
they are not entitled. The records ensure that: Appropriate collection
action on debtors' accounts is taking 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.
FRTIB-14, Legal Case Files: Records contained in this system are
used to assist FRTIB attorneys in providing legal advice to FRTIB
personnel on a wide variety of legal issues; to collect the information
of any individual who is, or will be, in litigation with the Agency, as
well as the attorneys representing the plaintiff(s) or defendant(s),
response to claims by employees, former employees, and other
individuals; to assist in the settlement of claims against the
government; to represent FRTIB during litigation; and to catalog,
investigate, litigate, or otherwise resolve any case or matter handled
by the Office of General Counsel.
FRTIB-15, Internal Investigations of Harassment and Hostile Work
Environment Allegations: Records contained in this system are
maintained for the purpose of upholding FRTIB's policy to provide for a
work environment free from all forms of harassment, including sexual
harassment, and harassment on the basis of race, color, gender,
national origin, religion, sexual orientation, age, genetic
information, reprisal, parental status, or disability.
FRTIB-16, Congressional Correspondence Files: Records contained in
this system are maintained to catalog and respond to correspondence
received from congressional offices.
FRTIB-17, Telework and Alternative Work Schedule Records: Records
contained in this system are collected and maintained on prospective,
current, and former FRTIB employees who have participated in, presently
participate in, or have sought to participate in FRTIB's Telework
Program.
FRTIB-18, Reasonable Accommodation Records: Records contained in
this system are collected to: (1) Allow FRTIB to collect and maintain
records on prospective, current, and former employees with disabilities
who request or receive a reasonable accommodation by FRTIB; (2) to
track and report the processing of requests for FRTIB-wide reasonable
accommodations to comply with applicable laws and regulations; and (3)
to preserve and maintain the confidentiality of medical information
submitted by or on behalf of applicants or employees requesting a
reasonable accommodation.
FRTIB-19, Freedom of Information Act Records: Records contained in
this system are collected to support the processing of record access
requests made pursuant to the FOIA, whether FRTIB receives such
requests directly from the requestor or via referral from another
agency. In addition, this system is used to support litigation arising
from such requests and appeals, and to assist FRTIB in carrying out any
other responsibilities under the FOIA.
On May 22, 2007, OMB issued Memorandum M-07-16, Safeguarding
[[Page 43655]]
Against and Responding to the Breach of Personally Identifiable
Information, to the heads of all executive departments and agencies.
OMB required agencies to publish a routine use for their systems of
records specifically applying to the disclosure of information in
connection with response and remedial efforts in the event of a breach
of personally identifiable information. FRTIB published a notice in the
Federal Register, 80 FR 43428 (July 22, 2015), creating new general
routine uses, including one pertaining to breach mitigation and
notification, as required by OMB M-07-16.
On January 3, 2017, OMB issued Memorandum M-17-12, Preparing for
and Responding to a Breach of Personally Identifiable Information, to
the heads of all executive departments and agencies. OMB Memorandum M-
17-12 rescinds and replaces OMB Memorandum M-07-16 and updates agency
routine use requirements for responding to a breach. Specifically, OMB
Memorandum M-17-12 requires all Senior Agency Officials for Privacy to
ensure that their agency's System of Records Notices include a routine
use for the disclosure of information necessary to respond to a breach
of the agency's personally identifiable information. Additionally, OMB
Memorandum M-17-12 requires agencies to add a routine use to ensure
that agencies are able to disclose records in their systems of records
that may reasonably be needed by another agency in responding to a
breach. To satisfy the routine use requirements in OMB Memorandum M-17-
12, FRTIB is issuing this notice in the Federal Register to modify the
systems of records notices that lack this routine use.
Pursuant to OMB Memorandum M-17-12, this notice: (1) Rescinds the
breach response routine use published at 80 FR 43428 (July 22, 2015);
(2) revises the breach response routine use for the FRTIB systems of
records, listed below; and (3) adds a new routine use to the systems of
records, listed below, to ensure that the Agency can assist another
agency in responding to a confirmed or suspected breach, as
appropriate. The routine uses have been renumbered to incorporate the
changes in these routine uses. The FRTIB has also included a contact
phone number for each associated system manager. Finally, the FRTIB is
making non-substantive revisions to the system of records notice to
align with the Office of Management and Budget's recommended model in
Circular A-108, Federal Agency Responsibilities for Review, Reporting,
and Publication under the Privacy Act, appendix II.
In accordance with 5 U.S.C. 552a(r), the Agency has provided a
report to OMB and to Congress on this notice of modified systems of
records.
Megan Grumbine,
General Counsel and Senior Agency Official for Privacy.
SYSTEM NAME AND NUMBER:
FRTIB-2, Personnel Security Investigation Files.
SECURITY CLASSIFICATION:
Most personnel identity verification records are not classified.
However, in some cases, records of certain individuals, or portions of
some records may be classified in the interest of national security.
SYSTEM LOCATION:
Federal Retirement Thrift Investment Board, 77 K Street NE, Suite
1000, Washington, DC 20002. Records may also be kept at an additional
location as backup for Business Continuity purposes. For background
investigations adjudicated by the Office of Personnel Management (OPM),
OPM may retain copies of those files pursuant to OPM/Central-9,
Personnel Investigations Records.
SYSTEM MANAGER(S):
Chief, Business Continuity and Security Services Division, 77 K
Street NE, Suite 1000, Washington, DC 20002, (202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 3301; 44 U.S.C. 3101; E.O. 10450; E.O. 13488; 5 CFR 731
and 736; 61 FR 6428; and Homeland Security Presidential Directive 12.
PURPOSE(S) OF THE SYSTEM:
The records in this system of records are used to document and
support decisions regarding clearance for access to sensitive FRTIB
information, the ability to receive and the suitability, eligibility,
and fitness for service of applicants for federal employment and
contract positions, including students, interns, or volunteers to the
extent their duties require access to federal facilities, information
systems, or applications. The records may also be used to help
streamline and make more efficient the investigations and adjudications
process generally. The records may also be used to document security
violations and supervisory actions taken in response to such
violations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who require regular, ongoing access to FRTIB
facilities, information technology systems, or sensitive information,
including current and former applicants for employment or contracts,
federal employees, government contractors, students, interns,
volunteers, affiliates, experts, instructors, and consultants to
federal programs who undergo a background investigation for the
purposes of determining suitability for employment, contractor fitness,
credentialing for HSPD-12, and/or access to FRTIB facilities or
information technology systems. This system also includes individuals
accused of security violations or found in violation of FRTIB's
security policies.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name; former names; date and place of birth; Social Security
number; home address; email address(es); phone numbers; employment
history; residential history; education and degrees earned;
citizenship; passport information; names, date and place of birth,
Social Security number, and citizenship information for spouse or
cohabitant; the name and marriage information for current and former
spouse(s); names of associates and references and their contact
information; names, dates and places of birth, citizenship, and address
of relatives; names of relatives who work for the federal government;
information on foreign contacts and activities; association records;
information on loyalty to the United States; criminal history; mental
health history; information pertaining to drug use; financial
information; fingerprints; information from the Internal Revenue
Service pertaining to income tax returns; credit reports; information
pertaining to security clearances; other agency reports furnished to
FRTIB in connection with the background investigation process;
summaries of personal and third party interviews conducted during the
background investigation; results of suitability decisions; level of
security clearance; date of issuance of security clearance; including,
but not limited to forms such as SF-85, SF-85P, SF-86, SF-87, SF-306;
FD-258; and other information generated from above, where applicable.
Records pertaining to security violations may contain information
pertaining to circumstances of the violation; witness statements,
investigator's notes, security violations; agency action taken;
requests for appeal;
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and documentation of agency action taken in response to security
violations.
RECORD SOURCE CATEGORIES:
Information is obtained from a variety of sources including the
employee, contractor, or applicant via use of the SF-85, SF-85P, SF-86
SF-306, or SF-87, personal interviews with various individuals,
including, but not limited to the subject of the investigation,
witnesses, present and former employers, references, neighbors,
friends, co-workers, business associates, teachers, landlords, family
members, or other associates who may have information about the subject
of the investigation; investigative records and notices of personnel
actions furnished by other federal agencies; records from employers and
former employers; public records, such as court filings; publications
such as newspapers, magazines, and periodicals; FBI criminal history
records and other databases; police departments; probation officials;
prison officials financial institutions and credit reports; tax
records; medical records and health care providers; and educational
institutions. Security violation information is obtained from a variety
of sources, such as guard reports, security inspections, witnesses,
supervisor's reports, audit reports.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or international agency, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual, or issuance of a security
clearance, background investigation, license, contract, grant, or other
benefit, or if the information is relevant and necessary to a FRTIB
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit and when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
3. Routine Use--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.
4. Routine Use--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.
5. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
6. Routine Use--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.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
10. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
11. Routine Use--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.
12. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a
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FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
14. Routine Use--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.
15. Routine Use--Retention of Employee by Authorized Entity: A
record from this system of records may be disclosed to any authorized
source or potential source from which information is requested in the
course of an investigation concerning the retention of an employee or
other personnel action (other than hiring), or the retention of a
security clearance, contact, grant, license, or other benefit, to the
extent necessary to identify the individual, to inform the source of
the nature and purpose of the investigation, or to identify the type of
information requested.
16. Routine Use--Labor Relations: A record from this system of
records may be disclosed to OPM, the Merit Systems Protection Board,
the Federal Labor Relations Authority, the Office of Special Counsel,
or the Equal Employment Opportunity Commission to carry out its
respective authorized functions (under 5 U.S.C. 1103, 1204, and 7105
and 42 U.S.C. 2000e-4, in that order).
17. Routine Use--Private Relief Legislation: A record from this
system of records may be disclosed to the Office of Management and
Budget when necessary to the review of private relief legislation
pursuant to OMB Circular No. A-19.
18. Routine Use--Retention of Employee by Public Entity: A record
from this system of records may be disclosed to a Federal, State,
local, foreign, or tribal or other public authority the fact that this
system of records contains information relevant to the retention of an
employee, the retention of a security clearance, the letting of a
contract, or the issuance or retention of a license, grant, or other
benefit. The other agency or licensing organization may then make a
request supported by the written consent of the individual for the
entire record if it so chooses. No disclosure will be made unless the
information has been determined to be sufficiently reliable to support
a referral to another office within the agency or to another Federal
agency for criminal, civil, administrative personnel or regulatory
action.
19. Routine Use--News Media, Public Interest: A record from this
system of records may be disclosed to the news media or the general
public, factual information the disclosure of which would be in the
public interest and which would not constitute an unwarranted invasion
of personal privacy, consistent with Freedom of Information Act
standards.
20. Routine Use--National Security: A record from this system of
records may be disclosed to a Federal, State, or local agency, or other
appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to enable an
intelligence agency to carry out its responsibilities under the
National Security Act of 1947 as amended, the CIA Act of 1949 as
amended, Executive Order 12333 or any successor order, applicable
national security directives, or classified implementing procedures
approved by the Attorney General and promulgated pursuant to such
statutes, orders or directives
21. Routine Use--Breach Mitigation and Notification: 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.
22. Routine Use--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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Background investigation files are retrieved by any one or more of
the following identifiers: Name; Social Security number; or other
unique identifier of the individual about whom they are maintained.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
These records are retained and disposed of in accordance with
General Records Schedule 18, item 22a, approved by the National
Archives and Records Administration (NARA). The records are disposed in
accordance with FRTIB disposal policies which call for burning or
shredding or deleting from the Agency's electronic record keeping
systems. Records are destroyed upon notification of death or not later
than five years after separation or transfer of employee to another
agency or department, whichever is applicable.
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the appropriate entity below, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
[[Page 43658]]
c. The address to which the record information should be sent; and
d. You must sign your request.
1. For records maintained by FRTIB, submit a written request to the
FOIA Officer, FRTIB, 77 K Street NE, Washington, DC 20002; or
2. For records maintained by the Office of Personnel Management,
submit a written request to the FOI/PA, Office of Personnel Management,
Federal Investigative Services, P.O. Box 618, 1137 Branchton Road,
Boyers, PA 16018-0618.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE 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.
Pursuant to 5 U.S.C. 552a(k)(5), 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, but only 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.
HISTORY:
55 FR 18949 (May 7, 1990); 62 FR 59708 (Nov. 4, 1997); 73 FR 50016
(Aug. 25, 2008); 77 FR 11534 (Feb. 27, 2012); 80 FR 43428 (July 22,
2015).
SYSTEM NAME AND NUMBER:
FRTIB-5, Employee Payroll, Leave, and Attendance Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Retirement Thrift Investment Board, 77 K Street NE, Suite
1000, Washington, DC 20002. Records may also be kept at an additional
location as backup for Business Continuity purposes.
SYSTEM MANAGER(S):
For payroll records, FRTIB's Human Resources Officer, 77 K Street
NE, Suite 1000, Washington, DC 20002, (202) 942-1600. For leave and
attendance records, FRTIB's Administrative Officer, 77 K Street NE,
Suite 1000, Washington, DC 20002, (202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
This system of records is maintained to perform agency functions
involving employee leave, attendance, and payments, including
determinations relating to the amounts to be paid to employees, the
distribution of pay according to employee directions (for allotments,
to financial institutions, and for other authorized purposes), and for
tax withholdings and other authorized deductions.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former FRTIB employees, including Special Government
Employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records includes personnel information including,
names, addresses, Social Security numbers, employee numbers, gender,
race or national origin, and disability data; duty location; position
data; awards and bonus information; employment verification
information; notifications of personnel actions; and military and
veterans data.
This system of records also includes payroll information,
including: Marital status and number of dependents; child support
enforcement court orders; information about taxes and other deductions;
debts owed to the FRTIB and garnishment information; salary data;
retirement data; Thrift Savings Plan contribution and loan amount; and
direct deposit information, including financial institution.
This system of records also includes time and attendance records
including, the number and type of hours worked; overtime information,
including compensatory or credit time earned and used; compensatory
travel earned; investigative case title and tracking number (used to
track time worked associated with a specific case); Fair Labor
Standards Act (FLSA) compensation; leave requests, balances, and
credits; leave charge codes; military leave; and medical records as
they pertain to employee medical leave.
RECORD SOURCE CATEGORIES:
Subject individuals; subject individuals' supervisor(s); subject
individuals' timekeeper(s); and the Office of Personnel Management.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or international agency, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual, or issuance of a security
clearance, background investigation, license, contract, grant, or other
benefit, or if the information is relevant and necessary to a FRTIB
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit and when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
3. Routine Use--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
[[Page 43659]]
the request of the individual to whom the record pertains.
4. Routine Use--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.
5. Routine Use--Debt Collection: A record from this system of
records may be disclosed to the Department of Justice, the Department
of Treasury, or to a consumer reporting agency for collection action on
any delinquent debt, pursuant to 5 U.S.C. 552a(b)(12).
6. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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.
10. Routine Use--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.
11. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
12. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
13. Routine Use--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.
14. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
15. Routine Use--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.
16. Routine Use--Disclosure for Purpose of Payment to Employees: A
record from this system may be disclosed to the United States
Department of the Interior, the United States Department of Labor, and
the United States Department of the Treasury to effect payments to
employees.
17. Routine Use--Offset of Salary: Payments owed to FRTIB through
current and former employees may be shared with the Department of the
Interior for the purposes of offsetting the employee's salary. Payments
owed to FRTIB through current and former employees who become
delinquent in repaying the necessary funds may be shared with the
Department of Treasury for the purpose of offsetting the employee's
salary.
18. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
[[Page 43660]]
19. Routine Use--Response to Breach of Other Records: A record from
this system 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by name; or Social Security number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained in accordance with the General Records
Schedules issued by the National Archives and Records Administration
(NARA) or an FRTIB records disposition schedule.
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Washington, DC 20002, and
include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
55 FR 18949 (May 7, 1990); 62 FR 66097 (Dec. 17, 1997); 77 FR 11534
(Feb. 27, 2012); 80 FR 43428 (July 22, 2015).
SYSTEM NAME AND NUMBER:
FRTIB-7, Contractor and Consultant Records.
SECURITY CLASSIFICATION: Unclassified.
SYSTEM LOCATION:
Federal Retirement Thrift Investment Board, 77 K Street NE, Suite
1000, Washington, DC 20002. Records may also be kept at an additional
location as backup for Business Continuity purposes.
SYSTEM MANAGER(S):
Chief Procurement Officer, Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002, (202) 942-
1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 5 U.S.C. 3301; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to collect and maintain
records on FRTIB contractors and consultants.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals retained by formal agreement, who: (1) Provide
consulting services to the Board; (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; and (3)
any other individuals who receive payments from FRTIB.
CATEGORIES OF RECORDS IN THE SYSTEM:
Acquisition data for the procurement of goods and services,
including, but not limited to: Documents, letters, memorandum of
understanding relating to agreements; rates of pay; payment records;
vouchers; invoices; selection information; Commercial and Government
Entity (CAGE) codes; Dun and Bradstreet Data Universal Numbering System
(DUNS) numbers; supplier status; website; name; address; taxpayer
identification number; Social Security numbers; bank information;
invoice data; resumes; SAC forms; and other information relating to the
disbursement of funds. This system of records also contains information
pertaining to the negotiation; implementation; scope; and performance
of work.
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.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--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.
3. Routine Use--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
[[Page 43661]]
disclosure as are applicable to FRTIB officers and employees.
4. Routine Use--Debt Collection: A record from this system of
records may be disclosed to the Department of Justice, the Department
of Treasury, or to a consumer reporting agency for collection action on
any delinquent debt, pursuant to 5 U.S.C. 552a(b)(12).
5. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
6. Routine Use--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.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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.
10. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
11. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
12. Routine Use--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.
13. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
14. Routine Use--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.
15. Routine Use--Testing: A record from this system of records may
be disclosed to appropriate federal, state, local, tribal, or foreign
governmental agencies or multilateral governmental organizations where
FRTIB is aware of a need to utilize relevant data for purposes of
testing new technology and systems designed to enhance security or
identify other violations of law.
16. Routine Use--Payments to Consultants and Vendors: A record from
this system of records may be disclosed to the United States Department
of the Treasury to effect payments to consultants and vendors, or to
verify consultants' and vendors' eligibility to receive payments.
17. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
18. Routine Use--Response to Breach of Other Records: A record from
this system 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.
[[Page 43662]]
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Contractor and consultant files are retrieved by any one or more of
the following identifiers: Name of the contractor; name of the vendor
or contractor; voucher number and date; or other unique identifier
about whom they are maintained.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Routine procurement files are retained for 6 years and 3 months, in
accordance with the General Records Schedule 3, item 3. Procurement
files involving investments and other information concerning the Thrift
Savings Plan are retained for 99 years.
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY: 55 FR 18949 (May 7, 1990); 77 FR 11534 (Feb. 27, 2012); 81
FR 7106 (Feb. 10, 2016).
SYSTEM NAME AND NUMBER:
FRTIB-9, Emergency Notification Files.
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 located in additional locations in connection with cloud-based
services and kept at an additional location as backup for Business
Continuity purposes.
SYSTEM MANAGER(S):
Chief, Business Continuity and Security Services Division, 77 K
Street NE, Suite 1000, Washington, DC 20002, (202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 44 U.S.C. 3101; E.O. 12656; and Presidential
Decision Directive 67.
PURPOSE(S) OF THE SYSTEM:
This system of records is maintained for contacting FRTIB
personnel, including FRTIB employees and contractors, and other
individuals to respond to all emergencies, including technical, manmade
or natural disaster, or other event affecting FRTIB operations, and to
contact FRTIB personnel's emergency contacts in the event of an
emergency. Information from this system of records is also used to
prepare organizational charts, recall and emergency notification
rosters, and directories for business continuity planning purposes,
locate individuals on routine and/or emergency matters; locate
individuals during medical emergencies, facility evacuations and
similar situations involving threats; and similar administrative uses
requiring personnel data.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Civilian and contractor personnel working at the FRTIB located at
77 K Street NE, Washington, DC 20002; former employees; and individuals
designated as emergency points of contact.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records contains information regarding the following
emergency contact information for FRTIB employees, and contractor
personnel: Name; organizational office, or organizational name of
contractor; title; position and duty status; name of supervisor; any
volunteered medical information; office telephone number; government or
business email address; home address; home and cell phone numbers;
personal email address(es); the identification of essential and non-
essential employees; and other personal contact information. This
system also contains the following information for the FRTIB employee
or contractor's emergency contact: name; relationship to FRTIB employee
or contractor; work address; home address; office telephone number;
home and cell phone numbers; and email address(es).
RECORD SOURCE CATEGORIES:
Information is provided by the individual who is the subject of the
record.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--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.
3. Routine Use--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
[[Page 43663]]
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.
4. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
5. Routine Use--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.
6. Routine Use--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.
7. Routine Use--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.
8. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
9. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
10. Routine Use--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.
11. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
12. Routine Use--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.
13. Routine Use--Testing: A record from this system of records may
be disclosed to appropriate federal, state, local, tribal, or foreign
governmental agencies or multilateral governmental organizations where
FRTIB is aware of a need to utilize relevant data for purposes of
testing new technology and systems designed to enhance security or
identify other violations of law.
14. Routine Use--Medical Emergency: A record in this system of
records may be disclosed to family members, emergency medical
personnel, or to law enforcement officials in case of a medical or
other emergency involving the subject individual (without the
subsequent notification prescribed in 5 U.S.C. 552a(b)(8)).
15. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
16. Routine Use--Response to Breach of Other Records: A record from
this system 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained electronically in computer databases,
including cloud-based services, and on paper in secure facilities in a
locked drawer behind a secured-access door.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by the name of the individual on whom they
are maintained, and may also be retrieved
[[Page 43664]]
by the individual's title or phone number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained as long as the individual is an employee or
contractor for the Agency. Expired records are destroyed by shredding
or purging from the Agency's electronic recordkeeping systems.
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
55 FR 18949 (May 7, 1990); 71 FR 64706 (Nov. 3, 2006); 77 FR 11534
(Feb. 27, 2012); 80 FR 43428 (July 22, 2015).
SYSTEM NAME AND NUMBER:
FRTIB-12, Debt Collection Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
Director, Office of Participant Services, Federal Retirement Thrift
Investment Board, 77 K Street NE, Suite 1000, Washington, DC 20002,
(202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 5 U.S.C. 301; 31 U.S.C. 3711(a); and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
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 including, but not limited to: participants,
beneficiaries, and alternate payees of the Thrift Savings Plan; current
and former employees of the FRTIB; and individuals who received
payments to which they are not entitled. The records ensure that:
Appropriate collection action on debtors' accounts is taking 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.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Records are maintained on individuals and entities that are
financially indebted to the Board, including, but not limited to:
Participants, beneficiaries, and alternate payees of the Thrift Savings
Plan; current and former employees of the FRTIB; individuals who are
consultants and vendors to FRTIB; and individuals who received payments
to which they are not entitled.
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 including but not limited to:
(1) Individuals and commercial organizations, such as name, Taxpayer
Identification Number (i.e., Social Security Number or Employer
Identification Number), business and home addresses, and business 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 the 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;
(4) debtor and creditor agencies, such as name, telephone number, and
address of the agency contact; (5) information for location purposes,
including information pertaining to child support cases, Mandatory
Victims Restitution Act (MVRA) cases, and tax levies; and (6) other
relevant records relating to a debt including the amount, status, and
history of the debt, and the program under which the debt arose.
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from subject
individuals; the individual entity; the Board; creditor agencies;
Federal employing agencies; Government corporations; debt collection
agencies or firms; credit bureaus, firms or agencies providing locator
services; and Federal, state, and local agencies furnishing identifying
information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or
[[Page 43665]]
international agency, if the information is relevant and necessary to a
requesting agency's decision concerning the hiring or retention of an
individual, or issuance of a security clearance, background
investigation, license, contract, grant, or other benefit, or if the
information is relevant and necessary to a FRTIB decision concerning
the hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant or other
benefit and when disclosure is appropriate to the proper performance of
the official duties of the person making the request.
3. Routine Use--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.
4. Routine Use--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.
5. Routine Use--Debt Collection: A record from this system of
records may be disclosed to the Department of Justice, the Department
of Treasury, or to a consumer reporting agency for collection action on
any delinquent debt, pursuant to 5 U.S.C. 552a(b)(12).
6. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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.
10. Routine Use--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.
11. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
12. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
13. Routine Use--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.
14. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
15. Routine Use--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.
16. Routine Use--Collection of Debts, Financial Management Service:
A record from this system may be disclosed to 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.
17. Routine Use--Collection of Debts, Internal Revenue Service:
Debt collection records may be disclosed to the Internal Revenue
Service for the purposes of: (1) Effecting an administrative offset
against the debtor's tax refund to recover a delinquent debt
[[Page 43666]]
owed the Board or the Thrift Savings Fund; or (2) 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.
18. Routine Use--Collection of Debts, Department of Justice: A
record from this system may be disclosed to 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).
19. Routine Use--Collection of Debts, Administrative Offsets:
Information contained within this system of records may be disclosed to
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.
20. Routine Use--Collection of Debts, Voluntary Repayment of Debt:
Debt collection information may be disclosed to a 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.
21. Routine Use--Collection of Debts, Wage Garnishment:
Administrative wage garnishment information may be disclosed to the
Treasury Department for the purpose of issuing wage garnishment orders
to collect a debt owed to the FRTIB.
22. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
23. Routine Use--Response to Breach of Other Records: A record from
this system 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.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Debt information concerning claims of the Board and the Thrift
Savings Fund may be furnished in accordance with 5 U.S.C. 552a(b)(12)
and section 3 of the Debt Collection Act of 1982, as amended (31 U.S.C.
3701 et seq.), 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 STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
These records are indexed and retrieved by the names, Social
Security numbers, or contact numbers of participants, employees,
contractors, or other persons who may receive monies paid to them by
the Board.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
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 10 years 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 files is concluded.
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 10000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
62 FR 49011 (Sept. 18, 1997); 77 FR 11534 (Feb. 27, 2012); 81 FR
7106 (Feb. 10, 2016).
SYSTEM NAME AND NUMBER:
FRTIB-14, Legal Case Files.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
General Counsel, Federal Retirement Thrift Investment Board, 77 K
Street NE,
[[Page 43667]]
Suite 1000, Washington, DC 20002, (202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to assist FRTIB attorneys in
providing legal advice to FRTIB personnel on a wide variety of legal
issues; to collect the information of any individual who is, or will
be, in litigation with the Agency, as well as the attorneys
representing the plaintiff(s) or defendant(s), response to claims by
employees, former employees, and other individuals; to assist in the
settlement of claims against the government; to represent FRTIB during
litigation; and to catalog, investigate, litigate, or otherwise resolve
any case or matter handled by the Office of General Counsel.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are participants, beneficiaries, and alternate
payees of the Thrift Savings Plan; other individuals who are identified
in connection with investigations and/or litigation conducted with
regard to FERSA; individuals (including FRTIB employees) who are
parties to or witnesses in civil litigation or administrative
proceedings involving or concerning FRTIB or its officers or employees
(including Special Governmental Employees); individuals who are the
subject of a breach of personally identifiable information; individuals
who are contractors or potential contractors with FRTIB or are
otherwise personally associated with a contract or procurement matter;
individuals who receive legal advice from the Office of General
Counsel; and other individuals (including current, former, and
potential FRTIB employees (including Special Governmental Employees),
contractors, interns, externs, and volunteers) who are the subject of
or are otherwise connected to an inquiry, investigation, or other
matter handled by the Office of General Counsel.
CATEGORIES OF RECORDS IN THE SYSTEM:
Notes, reports, legal opinions and memoranda; settlements;
agreements; documentary evidence; claims and records regarding
discrimination; correspondence; contracts; contract proposals and other
procurement documents; TSP documents; participant, beneficiary, and
alternate payee files; initial and final FRTIB determinations of FERSA
matters; Freedom of Information Act and Privacy Act requests and
appeals, and decisions of those requests and appeals; drafts and legal
reviews of proposed personnel actions; personnel records; litigation
files; employee relations files; witness statements; summonses and
subpoenas; affidavits; court transcripts; discovery requests and
responses; and breach reports and supporting documents.
RECORD SOURCE CATEGORIES:
Subject individuals; TSP participants, beneficiaries, and alternate
payees; federal government records; current, and former, and potential
employees (including Special Government Employees); contractors;
interns, externs, and volunteers; the Social Security Administration;
court records; articles from publications; and other organizations or
individuals with relevant knowledge or information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or international agency, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual, or issuance of a security
clearance, background investigation, license, contract, grant, or other
benefit, or if the information is relevant and necessary to a FRTIB
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit and when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
3. Routine Use--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.
4. Routine Use--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.
5. Routine Use--Debt Collection: A record from this system of
records may be disclosed to the Department of Justice, the Department
of Treasury, or to a consumer reporting agency for collection action on
any delinquent debt, pursuant to 5 U.S.C. 552a(b)(12).
6. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--Law Enforcement Intelligence: A record from this
system of records may be disclosed to a federal,
[[Page 43668]]
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.
10. Routine Use--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.
11. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
12. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
13. Routine Use--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.
14. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
15. Routine Use--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.
16. Routine Use--Collection of Debts, General: Names, addresses,
telephone numbers, and email addresses of employees, former employees,
participants, beneficiaries, alternate payees, and information
pertaining to debts to the FRTIB may be disclosed to the Department of
Treasury, Department of Justice, a credit agency, and a debt collection
firm to collect the debt. Disclosure to a debt collection firm shall be
made only under a contract that binds any such contractor or employee
of such contractor to the criminal penalties of the Privacy Act.
17. Routine Use--General Investigations, Third Parties: Information
may be provided to third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
18. Routine Use--International Treaties or Conventions: A record
relating to a case or matter may be disseminated to a foreign country
pursuant to an international treaty or convention entered into and
ratified by the United States or to an executive agreement.
19. Routine Use--Foreign Country, Civil or Criminal Proceedings: A
record may be disseminated to a foreign country, through the United
States Department of State or directly to the representative of such
country, to the extent necessary, to assist such country in civil or
criminal proceedings in which the United States or one of its officers
or agents has an interest.
20. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
21. Routine Use--Response to Breach of Other Records: A record from
this system 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.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Information from this system of records may be disclosed to a
consumer reporting agency in accordance with 31 U.S.C. 3711(e).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained electronically in computer databases,
including cloud-based services, and on paper in secure facilities in a
locked drawer behind a secured-access door.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by the name of the individual on whom they
are maintained, and may also be retrieved by case number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or an FRTIB records disposition schedule.
[[Page 43669]]
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), records from this system 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:
80 FR 43428 (July 22, 2015).
SYSTEM NAME AND NUMBER:
FRTIB-15, Internal Investigations of Harassment and Hostile Work
Environment Allegations.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
Human Resources Officer, Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002, (202) 942-
1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 42 U.S.C. 2000e et seq.; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
This system of records is maintained for the purpose of upholding
FRTIB's policy to provide for a work environment free from all forms of
harassment, including sexual harassment, and harassment on the basis of
race, color, gender, national origin, religion, sexual orientation,
age, genetic information, reprisal, parental status, or disability.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current or former FRTIB employees (including Special Government
Employees), contractors, interns, externs, and volunteers who have
filed a complaint or report of harassment or hostile work environment,
or have been accused of harassing conduct; and witnesses or potential
witnesses.
CATEGORIES OF RECORDS IN THE SYSTEM:
Current or former FRTIB employees (including Special Government
Employees), contractors, interns, externs, and volunteers who have
filed a complaint or report of harassment or hostile work environment,
or have been accused of harassing conduct; and witnesses or potential
witnesses.
RECORD SOURCE CATEGORIES:
Subject individuals; supervisors and other FRTIB employees with
knowledge; agency EEO and human resources specialists; employee
relations staff; FRTIB attorneys; outside counsel retained by subject
individuals; and medical professionals.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or international agency, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual, or issuance of a security
clearance, background investigation, license, contract, grant, or other
benefit, or if the information is relevant and necessary to a FRTIB
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit and when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
3. Routine Use--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.
4. Routine Use--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
[[Page 43670]]
disclosure as are applicable to FRTIB officers and employees.
5. Routine Use--Debt Collection: A record from this system of
records may be disclosed to the Department of Justice, the Department
of Treasury, or to a consumer reporting agency for collection action on
any delinquent debt, pursuant to 5 U.S.C. 552a(b)(12).
6. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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.
10. Routine Use--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.
11. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
12. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
13. Routine Use--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.
14. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
15. Routine Use--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.
16. Routine Use--Complainant, Witnesses: Disclosure of information
from this system of records about an investigation that may have been
conducted may be made to the complaining party; the alleged harasser;
and to a limited number of witnesses when the purpose of the disclosure
is both relevant and necessary and is compatible with the purpose for
which the information was collected.
17. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
18. Routine Use--Response to Breach of Other Records: A record from
this system 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained electronically in computer databases,
including cloud-based services, and on paper in secure facilities in a
locked drawer behind a secured-access door.
[[Page 43671]]
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by the name of the individual on whom they
are maintained, and may also be retrieved by case number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or an FRTIB records disposition schedule.
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system 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:
80 FR 43428 (July 22, 2015).
SYSTEM NAME AND NUMBER:
FRTIB-16, Congressional Correspondence Files.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
Director, Office of External Affairs, Federal Retirement Thrift
Investment Board, 77 K Street NE, Suite 1000, Washington, DC 20002,
(202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 5 U.S.C. 301; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
This system of records is maintained to catalog and respond to
correspondence received from congressional offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who submit inquiries, complaints, comments, or other
correspondence to FRTIB, and the responding party on behalf of FRTIB.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in this system include, but are not limited
to the following information about individuals who have corresponded
with FRTIB: Name; dates of birth; Social Security numbers; TSP account
numbers; home and business address; email address; personal and
business telephone numbers; who the correspondence is about; incoming
correspondence; FRTIB's response; the FRTIB responder's name and
business information; additional unsolicited personal information
provided by the individual; and other related materials.
RECORD SOURCE CATEGORIES:
Information used to compile records in this system is taken from
incoming correspondence and FRTIB responses to incoming correspondence
from congressional offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--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.
3. Routine Use--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.
4. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
[[Page 43672]]
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
5. Routine Use--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.
6. Routine Use--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.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
10. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
11. Routine Use--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.
12. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
13. Routine Use--Referral of Correspondence: A record from this
system of records may be disclosed to another Federal agency to refer
correspondence or refer to correspondence, given the nature of the
issue.
14. Routine Use--News Media and Public, Public Interest:
Information in this system of records may be disclosed to the news
media and the public, with the approval of the Senior Agency Official
for Privacy, in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information; when
disclosure is necessary to preserve confidence in the integrity of
FRTIB; or when it is necessary to demonstrate the accountability of
FRTIB's officers, employees, or individuals covered by this system,
except to the extent it is determined that the release of the specific
information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
15. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
16. Routine Use--Response to Breach of Other Records: A record from
this system 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records may be retrieved by individual name; the name of the Member
of Congress requesting a response; and the date of the correspondence.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or an FRTIB records disposition schedule.
[[Page 43673]]
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
81 FR 7106 (Feb. 10, 2016).
SYSTEM NAME AND NUMBER:
FRTIB-17, Telework and Alternative Work Schedule Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
Human Resources Officer, Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002, (202) 942-
1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 5 U.S.C. 301; 5 U.S.C. 6120; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to collect and maintain
records on prospective, current, and former FRTIB employees who have
participated in, presently participate in, or have sought to
participate in FRTIB's Telework Program.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Prospective, current, and former FRTIB employees who have been
granted or denied authorization to participate in FRTIB's Telework
Program to work at an alternative worksite apart from their official
FRTIB duty station.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, position title, grade level, job series, and office name;
official FRTIB duty station address and telephone number; alternative
worksite address and telephone number(s); date telework agreement
received and approved/denied; telework request and approval form;
telework agreement; self-certification home safety checklist, and
supervisor-employee checklist; type of telework requested (e.g.,
situational or core); regular work schedule; telework schedule;
approvals/disapprovals; description and list of government-owned
equipment and software provided to the teleworker; mass transit
benefits received through FRTIB's mass transit subsidy program; parking
subsidies received through FRTIB's subsidized parking program; and any
other miscellaneous documents supporting telework.
RECORD SOURCE CATEGORIES:
Subject individuals; subject individuals' supervisors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--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.
3. Routine Use--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.
4. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
5. Routine Use--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.
6. Routine Use--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
[[Page 43674]]
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.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
10. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
11. Routine Use--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.
12. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
13. Routine Use--Medical Professionals: A record from this system
may be disclosed to medical professionals to obtain information about
an employee's medical background necessary to grant or deny approval of
medical telework.
14. Routine Use--Emergency Preparedness: A record from this system
may be disclosed to federal, state, or local governments during actual
emergencies, exercises, or Business Continuity Purpose tests for
emergency preparedness and disaster recovery training exercises.
15. Routine Use--Report of Injury, Department of Labor: A record
from this system may be disclosed to the Department of Labor when an
employee is injured when working at home while in the performance of
normal duties.
16. Routine Use--Telework Survey, Office of Personnel Management: A
record from this system may be disclosed to the Office of Personnel
Management (OPM) for use in its Telework Survey to provide consolidated
data on participation in FRTIB's Telework Program.
17. Routine Use--Third-Parties, Mediation/Alternative Dispute
Resolution: A record from this system of records may be disclosed to
appropriate third-parties contracted by FRTIB to facilitate mediation
or other alternate dispute resolution procedures or programs.
18. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
19. Routine Use--Response to Breach of Other Records: A record from
this system 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by any one or more of the following: Employee
name; and the office in which the employee works, will work, or
previously worked.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained in accordance with the General Records
Retention Schedule 1, item 42, issued by the National Archives and
Records Administration (NARA).
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
[[Page 43675]]
set by unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
81 FR 7106 (Feb. 10, 2016).
SYSTEM NAME AND NUMBER:
FRTIB-18, Reasonable Accommodation Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
Human Resources Officer, Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002, (202) 942-
1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 5 U.S.C. 301; 42 U.S.C. 12101 et seq.; 44 U.S.C.
3101; E.O. 13164; and E.O. 13548.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to: (1) Allow FRTIB to collect and
maintain records on prospective, current, and former employees with
disabilities who request or receive a reasonable accommodation by
FRTIB; (2) to track and report the processing of requests for FRTIB-
wide reasonable accommodations to comply with applicable laws and
regulations; and (3) to preserve and maintain the confidentiality of
medical information submitted by or on behalf of applicants or
employees requesting a reasonable accommodation.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Prospective, current, and former FRTIB employees who request and/or
receive a reasonable accommodation for a disability; and authorized
individuals or representatives (e.g., family members or attorneys) who
file a request for a reasonable accommodation on behalf of a
prospective, current, or former employee.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name and employment information of employees needing an
accommodation; requestor's name and contact information (if different
than the employee who needs an accommodation); date request was
initiated; information concerning the nature of the disability and the
need for accommodation, including appropriate medical documentation;
details of the accommodation request, such as: Type of accommodation
requested, how the requested accommodation would assist in job
performance, the sources of technical assistance consulted in trying to
identify alternative reasonable accommodation, any additional
information provided by the requestor related to the processing of the
request, and whether the request was approved or denied, and whether
the accommodation was approved for a trial period; and notification(s)
to the employee and his/her supervisor(s) regarding the accommodation.
RECORD SOURCE CATEGORIES:
Subject individuals; subject individuals' supervisors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or international agency, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual, or issuance of a security
clearance, background investigation, license, contract, grant, or other
benefit, or if the information is relevant and necessary to a FRTIB
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit and when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
3. Routine Use--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.
4. Routine Use--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.
5. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
[[Page 43676]]
6. Routine Use--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.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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.
10. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
11. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
12. Routine Use--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.
13. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
14. Routine Use--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.
15. Routine Use--Medical Professionals, Reasonable Accommodation
Documentation: A record from this system of records may be disclosed to
physicians or other medical professionals to provide them with or
obtain from them the necessary medical documentation and/or
certification for reasonable accommodations.
16. Routine Use--Federal Agencies, Equal Employment and Reasonable
Accommodation Issues: A record from this system of records may be
disclosed to another federal agency or commission with responsibility
for labor or employment relations or other issues, including equal
employment opportunity and reasonable accommodation issues, when that
agency or commission has jurisdiction over reasonable accommodation
issues.
17. Routine Use--Federal Agencies, Reasonable Accommodation
Requirements: A record from this system of records may be disclosed to
the Department of Labor (DOL), Office of Personnel Management (OPM),
Equal Employment Opportunity Commission (EEOC), or Office of Special
Counsel (OSC) to obtain advice regarding statutory, regulatory, policy,
and other requirements related to reasonable accommodation.
18. Routine Use--Mediation/Alternative Dispute Resolution: A record
from this system of records may be disclosed to appropriate third-
parties contracted by the Agency to facilitate mediation or other
alternative dispute resolution procedures or programs.
19. Routine Use--Department of Defense, Procurement of Assistive
Technologies: A record from this system of records may be disclosed to
the Department of Defense (DOD) for the purpose of procuring assistive
technologies and services through the Computer/Electronic Accommodation
Program in response to a request for reasonable accommodation.
20. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
21. Routine Use--Response to Breach of Other Records: A record from
this system 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)
[[Page 43677]]
preventing, minimizing, or remedying the risk of harm to individuals,
the recipient agency or entity (including its information systems,
programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by any one or more of the following: Employee
name or assigned case number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained in accordance with the General Records
Retention Schedule 1, item 24, issued by the National Archives and
Records Administration (NARA).
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
81 FR 7106 (Feb. 10, 2016).
SYSTEM NAME AND NUMBER:
FRTIB-19, Freedom of Information Act Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained at the Federal Retirement Thrift Investment
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may
also be maintained at an additional location for Business Continuity
Purposes.
SYSTEM MANAGER(S):
Chief FOIA Officer, Retirement Thrift Investment Board, 77 K Street
NE, Suite 1000, Washington, DC 20002, (202) 942-1600.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 8474; 5 U.S.C. 552; and 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to support the processing of record
access requests made pursuant to the Freedom of Information Act (FOIA),
whether FRTIB receives such requests directly from the requestor or via
referral from another agency. In addition, this system is used to
support litigation arising from such requests and appeals, and to
assist FRTIB in carrying out any other responsibilities under the FOIA.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system of records covers all individuals who submit requests
pursuant to the FOIA; individuals whose requests and/or records have
been referred to FRTIB by other agencies; attorneys or other persons
representing individuals submitting such requests and appeals;
individuals who are the subjects of such requests and appeals;
individuals who file litigation based on their requests; Department of
Justice (DOJ) and other government litigators; and/or FRTIB employees
assigned to handle such requests or appeals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system include, but are not limited to: (1) Records
received, created, or compiled in processing FOIA requests or appeals,
including original requests and appeals, intra- or inter-agency
memoranda, referrals, correspondence notes, fee schedules, assessments,
cost calculations, and other documentation related to the referral and/
or processing of the FOIA request or appeal, correspondence with the
individuals or entities that submitted the requests, and copies of
requested records; (2) the type of information in the records may
include requestors' and their attorneys' or representatives' contact
information, the contact information of FRTIB employees, the name of
the individual subject of the request or appeal, fee determinations,
unique case identifier, and other identifiers provided by a requestor
about him or herself or about the individual whose records are
requested.
RECORD SOURCE CATEGORIES:
Records are obtained from those individuals who submit requests and
administrative appeals pursuant to the FOIA or who file litigation
regarding such requests and appeals; the agency record keeping systems
searched in the process of responding to such requests and appeals;
FRTIB employees assigned to handle such requests, appeals, and/or
litigation; other agencies or entities that have referred to FRTIB
requests concerning FRTIB records, or that have consulted with FRTIB
regarding handling of particular requests; and submitters or subjects
of records or information that have provided assistance to FRTIB in
making access or amendment determinations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. Routine Use--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
[[Page 43678]]
requirements and limitations on disclosure as are applicable to FRTIB
officers and employees.
2. Routine Use--Clearance Processing: A record from this system of
records may be disclosed to an appropriate federal, state, local,
tribal, foreign, or international agency, if the information is
relevant and necessary to a requesting agency's decision concerning the
hiring or retention of an individual, or issuance of a security
clearance, background investigation, license, contract, grant, or other
benefit, or if the information is relevant and necessary to a FRTIB
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of
an employee, the letting of a contract, or the issuance of a license,
grant or other benefit and when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
3. Routine Use--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.
4. Routine Use--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.
5. Routine Use--Former Employees: A record from this system of
records may be disclosed to a former employee of the FRTIB, in
accordance with applicable regulations, for purposes of responding to
an official inquiry by a federal, state, or local government entity or
professional licensing authority; or facilitating communications with a
former employee that may be necessary for personnel-related or other
official purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
6. Routine Use--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.
7. Routine Use--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.
8. Routine Use--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.
9. Routine Use--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.
10. Routine Use--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 (b) any employee of FRTIB in his or her official
capacity, or (c) any employee of FRTIB in his or her individual
capacity where DOJ or FRTIB has agreed to represent the employee, or
(d) 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.
11. Routine Use--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 negotiations or in connection with
criminal law proceedings or in response to a subpoena.
12. Routine Use--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.
13. Routine Use--Redress: A record from this system of records may
be disclosed to a federal, state, tribal, local, international, or
foreign government agency or entity for the purpose of consulting with
that agency or entity: (1) To assist in making a determination
regarding redress for an individual in connection with the operations
of a FRTIB program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a FRTIB
program; or (3) for the purpose of verifying the accuracy of
information submitted by an individual who has requested such redress
on behalf of another individual.
14. Routine Use--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.
15. Routine Uses--Federal Agencies, FOIA Processing: A record from
this system of records may be disclosed to a federal agency or other
federal entity that furnished the record or information for the purpose
of permitting that agency or entity to make a decision regarding access
to or correction of the record or information, or to a federal agency
or entity for purposes of providing guidance or advice regarding the
handling of a particular request.
16. Routine Uses--Department of Justice, Advice: A record from this
system of records may be disclosed to the Department of Justice (DOJ)
to
[[Page 43679]]
obtain advice regarding statutory and other requirements under the
FOIA.
17. Routine Use--OGIS, FOIA Responsibilities: A record from this
system of records may be disclosed to the National Archives and Records
Administration, Office of Government Information Services (OGIS), to
the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h)
to review administrative agency policies, procedures, and compliance
with the FOIA, and to facilitate OGIS's offering of mediation services
to resolve disputes between persons making FOIA requests and
administrative agencies.
18. Routine Use--Breach Mitigation and Notification: A record from
this system 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.
19. Routine Use--Response to Breach of Other Records: A record from
this system 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by any one or more of the following: The name
of the requestor; the number assigned to the request or appeal; and in
some instances, the name of the attorney representing the requestor or
appellant, and/or the name of an individual who is the subject of such
a request or appeal.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of in accordance with the General
Records Schedule 4.2, item 020, issued by the National Archives and
Records Administration (NARA).
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 unauthorized users that must be changed periodically.
RECORD ACCESS PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, FRTIB, 77 K Street NE, Suite 1000, Washington, DC
20002, and include the following information:
a. Full name;
b. Any available information regarding the type of record involved;
c. The address to which the record information should be sent; and
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual, such as a Power of
Attorney, in order for the representative to act on their behalf.
Individuals requesting access must also comply with FRTIB's Privacy Act
regulations regarding verification of identity and access to such
records, available at 5 CFR part 1630.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
See Record Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
81 FR 7106 (Feb. 10, 2016).
[FR Doc. 2020-15468 Filed 7-16-20; 8:45 am]
BILLING CODE 6760-01-P
