[Federal Register Volume 80, Number 140 (Wednesday, July 22, 2015)]
[Notices]
[Pages 43428-43439]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-17924]
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FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
Privacy Act of 1974; Systems of Records
AGENCY: Federal Retirement Thrift Investment Board.
ACTION: Notice of retirement of systems of records, revision of routine
uses, revision of purpose and routine uses, technical revisions to
systems of records, and establishment of new systems of records.
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SUMMARY: Pursuant to the Privacy Act of 1974, 5 U.S.C. 552a, the
Federal Retirement Thrift Investment Board (FRTIB) is proposing to: (1)
Retire five systems of records; (2) create new general routine uses;
(3) revise the purpose and routine uses of four existing systems of
records; and (4) establish two new systems of records. The revisions
implemented under this republication are corrective and administrative
changes that refine and streamline previously published system of
records notices.
DATES: Comments must be received on or before August 21, 2015 unless
comments received on or before that date result in a contrary
determination.
ADDRESSES: You may submit written comments to FRTIB by any one of the
following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the Web site instructions for submitting comments.
Fax: 202-942-1676.
Mail or Hand Delivery: Office of General Counsel, Federal
Retirement Thrift Investment Board, 77 K Street NE., Suite 1000,
Washington, DC 20002.
FOR FURTHER INFORMATION CONTACT: Marla Greenberg, Chief Privacy
Officer, Federal Retirement Thrift Investment Board, Office of General
Counsel, 77 K Street NE., Suite 1000, Washington, DC 20002, 202-864-
8612. For access to any of the FRTIB's systems of records, contact
Amanda Haas, FOIA Officer, Office of General Counsel, at the above
address or by calling (202) 637-1250.
[[Page 43429]]
SUPPLEMENTARY INFORMATION:
(1) FRTIB Is Proposing To Retire Five Systems of Records
Pursuant the Privacy Act of 1974, 5 U.S.C. 552a, and as part of its
ongoing integration efforts, the Federal Retirement Thrift Investment
Board is retiring the following five systems of records notices: FRTIB-
3, Equal Employment Opportunities Records (last published at 77 FR
11534 (February 27, 2012)); FRTIB-4, Adverse Information and Action
Records: Disciplinary Records (last published 77 FR 11534 (February 27,
2012)); FRTIB-6, Leave Records (last published at FR (DATE)); FRTIB-10,
Identity Management System (IDMS) (last published 77 FR 11534 (February
27, 2012)); and FRTIB-11, Financial Disclosure Reports and Outside
Business Interest Records (last published at 77 FR 11534 (February 27,
2012)).
With regard to FRTIB-3, FRTIB will continue to collect and maintain
records compiled during the pre-complaint counseling and the
investigation of complaints under the Equal Employment Opportunity Act
and will rely upon the existing Federal Government-wide system of
records titled EEOC/GOVT-1 (Equal Employment Opportunity in the Federal
Government Complaint and Appeal Records (67 FR 49338, July 30, 2002),
which is written to cover all federal government EEO complaint and
appeals records.
With regard to FRTIB-4, FRTIB will continue to collect and maintain
personnel records and will rely upon the existing federal government-
wide systems of records titled OPM/GOVT-1, General Personnel Records
(71 FR 35342 June 19, 2006); OPM/GOVT-2, Employee Performance File
System of Records (71 FR 35347 June 19, 2006); and OPM/GOVT-3, Records
of Adverse Actions, Performance Based Reduction in Grade and Removal
Actions and Termination of Probationers (71 FR 35350 June 19, 2006)
which are written to cover all general federal government personnel
records.
With regard to FRTIB-6, FRTIB will continue to collect and maintain
employee leave records and will rely on FRTIB-5, Employee Payroll,
Leave, and Attendance Records, as revised herein.
With regard to FRTIB-10, FRTIB will continue to collect and
maintain records pertaining to the Personal Identity Verification (PIV)
and Identity Management System (IDMS) and will rely upon the existing
government-wide system of records titled GSA/GOVT-7 Personal Identity
Verification Identity Management System (73 FR 22377 April 25, 2008)
which is written to cover all PIV/IDMS records of participating
agencies.
With regard to FRTIB-11, FRTIB will continue to collect and
maintain Public and Confidential Financial Disclosure Reports and other
ethics program records and will rely upon the existing government-wide
systems of records entitled OGE/GOVT-1, Executive Branch Personnel
Public Financial Disclosure Reports and Other Name-Retrieved Ethics
Program Records (68 FR 24722 May 8, 2003) and OGE/GOVT-2, Executive
Branch Confidential Financial Disclosure Reports (68 FR 24722 May 8,
2003) which are written to cover all federal government financial
disclosure reports and other ethics program records.
Eliminating these notices will have no adverse impacts on
individuals, but will promote the overall streamlining and management
of FRTIB's Privacy Act record systems.
(2) FRTIB Is Proposing To Create General Routine Uses for All of Its
Systems of Records
The following routine uses are incorporated by reference into
various systems of records, as set forth below.
G1. 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.
G2. 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
the security or confidentiality of information in the system of records
has been compromised; (2) FRTIB has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by FRTIB or another agency or entity) that rely upon the
compromised information; and (3) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection
with the FRTIB's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
G3. 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.
G4. 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.
G5. 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.
G6. 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).
G7. 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
[[Page 43430]]
purposes where the FRTIB requires information or consultation
assistance from the former employee regarding a matter within that
person's former area of responsibility.
G8. 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.
G9. 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.
G10. 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.
G11. 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.
G12. 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.
G13. 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.
G14. 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.
G15. 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.
G16. 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.
G17. 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.
(3) FRTIB Is Proposing To Revise the Purpose of and Routine Uses to
Four Systems of Records, and To Make Technical and Clarifying Changes
to These Systems of Records
(a) FRTIB-2, Personnel Security Investigation Files
FRTIB is proposing to revise the purpose of and routine uses to
FRTIB-2, Personnel Security Investigation Files (last published at 77
FR 11534 (February 27, 2012)). The existing purpose focuses on
documenting and supporting decisions regarding access to FRTIB
information and using it to process suitability, eligibility, and
fitness for duty determinations. FRTIB is proposing to add the
following sentence to the purpose: ``The records may also be used to
help streamline and make more efficient the investigations and
adjudications process generally.'' FRTIB is also proposing minor
technical amendments to the purpose of the system to reflect the fact
that the system of records deals with sensitive FRTIB information.
FRTIB is also proposing to reorder the routine uses for FRTIB-2,
Personnel Security Investigation Files (this change is being made to
all existing systems of records to the extent necessary to make all of
FRTIB's notices uniform and to reflect the addition of FRTIB's proposed
general routine uses). FRTIB is proposing to add fifteen general
routine uses to apply to FRTIB-2, including G1 through G5; G7 through
G9; and G11 through G17.
FRTIB is proposing to correct and update the system name; security
classification; system location; categories of individuals covered by
the system; categories of records in the system; authority for
maintenance of the system; purpose; routine uses; disclosure to
consumer reporting agencies; storage; retrievability; safeguards;
retention and disposal; system manager and address; notification
procedure; record access procedures; contesting records procedures;
record source categories; and exemptions claimed for the system.
Although FRTIB is proposing changes to the exemptions claimed for
FRTIB-2, Personnel Security Investigation Files, the exemption itself
will not change; rather, these changes are clarifying in nature.
[[Page 43431]]
(b) FRTIB-5, Employee Payroll, Leave, and Attendance Records
FRTIB is proposing to revise the purpose of and routine uses to
FRTIB-5, Employee Payroll, Leave, and Attendance Records (last
published at 77 FR 11534 (February 27, 2012)). The existing purpose
focuses on FRTIB's payroll records. FRTIB is proposing to expand the
purpose to include records concerning ``leave, attendance, and
payments, including determinations relating the amounts to be paid to
employees, the distribution of pay according to employee direction (for
allotments, to financial institutions, and for other authorized
purposes), and for tax withholdings and other authorized deductions.''
FRTIB is also proposing to reorder the routine uses for FRTIB-5,
Employee Attendance, Payroll, and Leave Records (this change is being
made to all existing systems of records to the extent necessary to make
all of FRTIB's notices uniform and to reflect the addition of FRTIB's
proposed general routine uses). FRTIB is proposing to add two system-
specific routine uses and sixteen general routine uses to apply to
FRTIB-5, including G1 through G16.
FRTIB is proposing to correct and update the system name; security
classification; system location; categories of individuals covered by
the system; categories of records in the system; authority for
maintenance of the system; purpose; routine uses; disclosure to
consumer reporting agencies; storage; retrievability; safeguards;
retention and disposal; system manager and address; notification
procedure; record access procedures; contesting records procedures;
record source categories; and exemptions claimed for the system.
(d) FRTIB-9, Emergency Notification Files
FRTIB is proposing to revise the purpose of and routine uses to
FRTIB-9, Emergency Notification Records (last published at 77 FR 11534
(February 27, 2012)). The existing purpose focused on the location and
notification of individuals during emergencies, as well as the creation
of social rosters. FRTIB is proposing to remove reference to social
rosters and to enable the Agency to use this information for business
continuity purposes.
FRTIB is proposing to reorder the routine uses for FRTIB-9,
Emergency Notification Records (this change is being made to all
existing systems of records to the extent necessary to make all of
FRTIB's notices uniform and to reflect the addition of FRTIB's proposed
general routine uses). FRTIB is also proposing to add fourteen general
routine uses to apply to FRTIB-9, including G1 through G2; G4 through
G5; G7 through G9; and G11 through G17.
FRTIB is proposing to correct and update the system name; security
classification; system location; categories of individuals covered by
the system; categories of records in the system; authority for
maintenance of the system; purpose; routine uses; storage;
retrievability; safeguards; system manager and address; notification
procedure; record access procedures; and contesting records procedures.
Although FRTIB is proposing changes to the exemptions claimed for
FRTIB-9, Emergency Notification Records, the exemption itself will not
change; rather, these changes are clarifying in nature.
(e) FRTIB-13, Fraud and Forgery Records
FRTIB is proposing to revise the purpose of and routine uses to
FRTIB-13, Fraud and Forgery Records (last published at 77 FR 11534
(February 27, 2012)). The existing purpose narrowly applied to records
pertaining to fraud and forgery participants committed or alleged to
have committed against their own accounts. FRTIB is proposing to
broaden the scope of this system of records to include records
pertaining to fraud or forgery committed by participants,
beneficiaries, and third parties affecting a participant account.
Moreover, FRTIB is proposing to expand the scope of this system to
include records relating to third parties alleged to have
misappropriated or to have attempted to misappropriate the Agency's
name, brand, or logo.
FRTIB is also proposing to reorder the routine uses for FRTIB-13,
Fraud and Forgery Records (this change is being made to all existing
systems of records to the extent necessary to make all of FRTIB's
notices uniform and to reflect the addition of FRTIB's proposed general
routine uses). FRTIB is proposing to add twelve general routine uses to
apply to FRTIB-13, including G1 through G2; G4 through G5; G8 through
G14; and G16.
FRTIB is proposing to correct and update the security
classification; system location; categories of individuals covered by
the system; categories of records in the system; purpose; routine uses;
disclosure to consumer reporting agencies; storage; retrievability;
safeguards; system manager and address; notification procedure; record
access procedures; contesting records procedures; record source
categories; and exemptions claimed for the system. Although FRTIB is
proposing changes to the exemptions claimed for FRTIB-13, Fraud and
Forgery Records, the exemption itself will not change; rather, these
changes are clarifying in nature.
(4) FRTIB Is Proposing To Create Two New Systems of Records
(a) FRTIB-14--FRTIB Legal Case Files
FRTIB is proposing to establish a new system of records entitled,
FRTIB-14, Legal Case Files.'' The proposed system of records is
necessary to assist FRTIB attorneys in providing legal advice to FRTIB
personnel on a wide variety of legal issues; to collect and maintain
information of any individual who is or will be in litigation with the
Agency; to represent FRTIB during litigation; and to catalogue,
investigate, litigate, or otherwise resolve any case or matter handled
by the Office of General Counsel.
These files may include: 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. FRTIB is proposing to add four system-specific routine uses
and sixteen general routine uses to apply to FRTIB-14, including G1
through G16.
(b) FRTIB-15--Internal Investigations of Harassment and Hostile Work
Environment Allegations
FRTIB is proposing to establish a new system of record entitled,
``FRTIB-15, Internal Investigations of Harassment and Hostile Work
Environment Allegations.'' The proposed system of records is necessary
for the purpose of upholding FRTIB's policy to provide for a work
environment free from all forms of harassment and will cover files that
identify by name, or other personal identifier, individuals who have
asserted that they have been subjected to harassment or hostile work
environment at FRTIB, as well as
[[Page 43432]]
individuals about whom such complaints have been made.
These files may include: The name, position, grade, and
supervisor(s) of the complainant and the accused; the complaint;
witness statements; interview notes; legal memoranda; reports of
investigation; final decisions and corrective actions taken; and
related correspondence and exhibits. FRTIB is proposing to add one
system-specific routine use and sixteen general routine uses to apply
to FRTIB-15, including G1 through G16.
Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to
submit written comments on the proposal of these two systems of
records. A report on the proposed systems has been sent to Congress and
the Office of Management and Budget for their awareness.
Greg Long,
Executive Director, Federal Retirement Thrift Investment Board.
FRTIB-2
System Name:
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(s):
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.
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; and documentation of agency action taken in
response to security violations.
Authority for Maintenance of the System:
5 U.S.C. 3301; 44 U.S.C. 3101; Executive Order 10450; Executive
Order 13488; 5 CFR 731 and 736; 61 FR 6428; and Homeland Security
Presidential Directive 12.
Purpose(s):
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.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, as amended, 5 U.S.C.
552a(b); and:
1. General Routine Uses G1 through G5; G7 through G9; G7 through
G9; and G11 through G16 apply to this system of records (see Prefatory
Statement of General Routine Uses).
2. 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.
3. 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).
4. To the Office of Management and Budget when necessary to the
review of private relief legislation pursuant to OMB Circular No. A-19.
5. 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
[[Page 43433]]
support a referral to another office within the agency or to another
Federal agency for criminal, civil, administrative personnel or
regulatory action.
6. 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.
7. 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.
Disclosure to Consumer Reporting Agencies:
None.
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
Retrievability:
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.
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.
Retention and Disposal:
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.
System Manager(s) and Address(es):
Personnel Security Specialist, 77 K Street NE., Suite 1000,
Washington, DC 20002.
Notification Procedure:
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;
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.
Record Access Procedures:
Same as Notification Procedures.
Contesting Record Procedures:
Same as Notification Procedures.
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.
Exemptions Claimed 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.
FRTIB-5
System Name:
Employee Payroll, Leave, and Attendance Records.
Security Classification:
None.
[[Page 43434]]
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 maintained at additional locations for Business Continuity
purposes.
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.
Authority for Maintenance of the System:
5 U.S.C. 8474; and 44 U.S.C. 3101.
Purpose(s):
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.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
a. General Routine Uses G1 through G16 apply to this system of
records (see Prefatory Statement of General Routine Uses).
b. 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.
c. 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.
Disclosure to Consumer Reporting Agencies:
None.
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
Retrievability:
Records are retrieved by name; or Social Security number.
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.
Retention and Disposal:
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.
System Manager(s) and Address:
For payroll records, FRTIB's Human Resources Officer, 77 K Street
NE., Suite 1000, Washington, DC 20002.
For leave and attendance records, FRTIB's Administrative Officer,
77 K Street NE., Suite 1000, Washington, DC 20002.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves must submit a written request to
the FOIA Officer, FRTIB, 77 K Street NE., Washington, DC 20002, and
provide the following information:
b. Full name;
c. Any available information regarding the type of record involved;
d. The address to which the record information should be sent; and
e. Your signature.
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.
Record Access Procedure:
Same as Notification Procedures.
Contesting Records Procedure:
Same as Notification Procedures.
Record Source Categories:
Subject individuals; subject individuals' supervisor(s); subject
individuals' timekeeper(s); and the Office of Personnel Management.
Exemptions Claimed for System:
None.
FRTIB-9
System Name:
FRTIB Emergency Notification Records.
Security Classification:
None.
System Location(s):
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.
[[Page 43435]]
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 e-mail 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).
Authority for Maintenance of the System:
5 U.S.C. 8474; 44 U.S.C. 3101; Executive Order 12656; and
Presidential Decision Directive 67.
Purpose(s):
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.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
d. General Routine Uses G1 through G2; G4 through G5; G7 through
G9; and G11 through G17 apply to this system of records (see Prefatory
Statement of General Routine Uses).
e. 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)).
Disclosure to Consumer Reporting Agencies:
None.
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
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.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained, and may also be retrieved by the individual's title or
phone number.
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 file cabinets in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks, including cloud-based services, and are
protected by assigning usernames to individuals needing access to the
records and by passwords set by unauthorized users that must be changed
periodically.
Retention and Disposal:
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 record keeping systems.
System Manager(s) and Address(es):
Physical Security Specialist, 77 K Street NE., Suite 1000,
Washington, DC 20002.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves must submit a written request to
the FOIA Officer, FRTIB, 77 K Street NE., Washington, DC 20002, and
provide the following information:
f. Full name;
g. Any available information regarding the type of record involved;
h. The address to which the record information should be sent; and
i. 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.
Record Access Procedures:
Same as Notification Procedures.
Contesting Record Procedures:
Same as Notification Procedures.
Record Source Categories:
Information is provided by the individual who is the subject of the
record.
Exemptions Claimed for the System:
None.
FRTIB-13
System Name:
Fraud and Forgery Records.
Security Classification:
None.
System Location:
Records are located at the Federal Retirement Thrift Investment
Board, 77 K Street NE., Suite 1000, Washington, DC 20002. Records may
also be kept at an additional location for Business Continuity
purposes.
Categories of Individuals Covered by the System:
This system of records contains information on Thrift Savings Plan
(TSP) participants, beneficiaries, alternate payees, and third party
individuals alleged to have committed an act of fraud or forgery
relating to participant and beneficiary accounts; and third parties
alleged to have misappropriated, or attempted to misappropriate the
FRTIB's (including the TSP's) name, brand, or logos.
[[Page 43436]]
Categories of Records in the System:
These records contain the following kinds of information: Name,
date of birth, and Social Security number of TSP participants,
beneficiaries, alternate payees, and third parties alleged to have
committed an act of fraud or forgery relating to participant accounts;
TSP account information related to the fraud or forgery allegation;
information obtained from other agencies as it relates to allegations
of fraud or forgery; documentation of complaints and allegations of
fraud and forgery; exhibits, statements, affidavits, or records
obtained during investigations of fraud, or forgery, court and
administrative orders, transcripts, and documents; internal staff
memoranda; staff working papers; and other documents and records
related to the investigation of fraud or forgery, including the
disposition of the allegations; and reports on the investigation.
Authority for Maintenance of the System:
5 U.S.C. 8474; and 44 U.S.C. 3101.
Purpose(s):
These records are used to inquire into and investigate allegations
that a TSP participant, beneficiary, alternate payee, or third party
has committed or attempted to commit an act of fraud or forgery
relating to a participant or beneficiary account; and to collect
information to verify allegations that a third party has
misappropriated the FRTIB's (or TSP's) name, brand, or logos.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, as amended, 5 U.S.C.
552a(b); and:
8. General Routine Uses G1 through G2; G4 through G5; G8 through
G14; and G16 apply to this system of records (see Prefatory Statement
of General Routine Uses);
9. Information used to verify allegations that a third party has
misappropriated the FRTIB's (or TSP's) name, brand, or logos may be
disclosed to the Federal Bureau of Investigation, Department of
Justice, or Securities and Exchange Commission for further
investigation, prosecution, or enforcement;
10. A record from this system may be disclosed to the Secret
Service for the purpose of investigating forgery, and to the Department
of Justice, when substantiated by the Secret Service;
11. A record pertaining to may be disclosed to the current or
former employing agency of the participant, beneficiary, alternate
payee, or third party alleged to have committed fraud or forgery
against a participant account for the purpose of further investigation
or administrative action; and
12. A record from this system may be disclosed to informants,
complainants, or victims to the extent necessary to provide those
persons with information and explanations concerning the progress or
results of the investigation.
Disclosure to Consumer Reporting Agencies:
None.
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and electronic form, including on
computer databases, all of which are stored in a secure location.
Retrievability:
Records are retrieved by name or file number.
Safeguards:
FRTIB has adopted appropriate administrative, technical, and
physical controls in accordance with FRTIB's security program to
protect the security, confidentiality, availability, and integrity of
the information, and to ensure that records are not disclosed to or
accessed by unauthorized individuals.
Paper records are stored in locked file cabinets in areas of
restricted access that are locked after office hours. Electronic
records are stored on computer networks and protected by assigning
usernames to individuals needing access to the records and by passwords
set by authorized users that must be changed periodically.
Retention and Disposal:
Records in this system are destroyed seven years after the case is
closed.
System Manager(s) and Address:
Supervisory Fraud Specialist, Federal Retirement Thrift Investment
Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves should submit a written request
to the FOIA Officer, 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.
Record Access Procedure:
Same as Notification Procedures.
Contesting Records Procedure:
Same as Notification Procedures.
Record Source Categories:
Records in this system may be provided by or obtained from the
following: Persons to whom the information relates when practicable,
including TSP participants, beneficiaries, alternate payees, or other
third parties; complainants; informants; witnesses; investigators;
persons reviewing the allegations; Federal, state and local agencies;
and investigative reports and records.
Exemptions Claimed for System:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system of records
are exempt from the requirements of subsections (c)(3); (d); (e)(1);
(e)(4)(G), (H), (I); and (f) of 5 U.S.C. 552a, provided, however, that
if any individual is denied any right, privilege, or benefit that he or
she would otherwise be entitled to by federal law, or for which he or
she would otherwise be eligible, as a result of the maintenance of
these records, such material shall be provided to the individual,
except to the extent that the disclosure of the material would reveal
the identity of a source who furnished information to the Government
with an express promise that the identity of the source would be held
in confidence.
FRTIB-14
System Name:
FRTIB Legal Case Files.
Security Classification:
None.
System Location:
Records are located at the Federal Retirement Thrift Investment
Board, 77 K Street NE., Suite 1000, Washington,
[[Page 43437]]
DC 20002. Records may also be located in additional locations for
Business Continuity purposes.
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.
Authority for Maintenance of the System:
5 U.S.C. 8474; and 44 U.S.C. 3301.
Purpose(s):
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 catalogue, investigate, litigate, or otherwise
resolve any case or matter handled by the Office of General Counsel.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G16 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. 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.
3. Information may be provided to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
4. 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.
5. 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.
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 Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
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.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained, and may also be retrieved by case number.
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 file cabinets in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks, including cloud-based services, and are
protected by assigning usernames to individuals needing access to the
records and by passwords set by unauthorized users that must be changed
periodically.
Retention and Disposal:
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.
System Manager(s) and Address:
General Counsel, Federal Retirement Thrift Investment Board, 77 K
Street NE., Suite 1000, Washington, DC 20002.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves must submit a written request to
the FOIA Officer, FRTIB, 77 K Street NE., Washington, DC 20002, and
provide the following information:
j. Full name;
k. Any available information regarding the type of record involved;
l. The address to which the record information should be sent; and
m. Your signature.
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.
Record Access Procedures:
Same as Notification Procedures.
[[Page 43438]]
Contesting Record Procedures:
Same as Notification Procedures.
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.
Exemptions Claimed for 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.
FRTIB-15
System Name:
Internal Investigations of Harassment and Hostile Work Environment
Allegations.
Security Classification:
None.
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 for Business Continuity
purposes.
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:
This system of records contains all documents related to a
complaint or report of harassment, which may include the name,
position, grade, and supervisor(s) of the complainant and the accused;
the complaint; witness statements; interview notes; legal memoranda;
reports of investigation; final decisions and corrective actions taken;
and related correspondence and exhibits.
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):
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.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
6. General Routine Uses G1 through G16 apply to this system of
records (see Prefatory Statement of General Routine Uses).
7. 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.
Disclosure to Consumer Reporting Agencies:
None.
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
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.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained, and may also be retrieved by case number.
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 file cabinets in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks, including cloud-based services, and are
protected by assigning usernames to individuals needing access to the
records and by passwords set by unauthorized users that must be changed
periodically.
Retention and Disposal:
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.
System Manager(s) and Address:
Human Resources Officer, Federal Retirement Thrift Investment
Board, 77 K Street NE., Suite 1000, Washington, DC 20002.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves must submit a written request to
the FOIA Officer, FRTIB, 77 K Street NE., Washington, DC 20002, and
provide the following information:
n. Full name;
o. Any available information regarding the type of record involved;
p. The address to which the record information should be sent; and
q. Your signature.
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.
Record Access Procedure:
Same as Notification Procedures.
Contesting Records Procedure:
Same as Notification Procedures.
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.
[[Page 43439]]
Exemptions Claimed for 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.
[FR Doc. 2015-17924 Filed 7-21-15; 8:45 am]
BILLING CODE 6760-01-P