Privacy Act of 1974; Systems of Records, 21246-21249 [2014-08398]

Agencies

• Federal Retirement Thrift Investment Board

[Federal Register Volume 79, Number 72 (Tuesday, April 15, 2014)]
[Notices]
[Pages 21246-21249]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-08398]


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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 alteration to existing system of records.

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SUMMARY: The Federal Retirement Thrift Investment Board (Agency) 
proposes to add email addresses and phone numbers to the categories of 
records maintained in the system of records called FRTIB-1, Thrift 
Savings Plan Records. The Agency also proposes to change the system 
manager for FRTIB-1.

DATES: The alteration will become effective without further notice on 
May 15, 2014 unless comments received on or before that date result in 
a contrary determination.

FOR FURTHER INFORMATION CONTACT: Laurissa Stokes at 202-942-1645.

SUPPLEMENTARY INFORMATION: The Agency administers the Thrift Savings 
Plan (TSP or Plan), which was established by the Federal Employees' 
Retirement System Act of 1986 (FERSA), Public Law 99-335, 100 Stat. 
514. The purpose of the system of records called FRTIB-1, Thrift Saving 
Plan Records, is to ensure the integrity of the Plan, to record 
activity concerning the TSP account of each Plan participant, to 
communicate with the participant, spouse, former spouse, and 
beneficiary concerning the account, and to make certain that he or she 
receives a correct payment from the Plan. The Agency proposes to add 
email

[[Page 21247]]

addresses and phone numbers to the categories of records maintained in 
FRTIB-1, and to change the system manager from Chief Financial Officer 
to the Deputy Chief Technology Officer. Collection and maintenance of 
email addresses and phone numbers is consistent with the purposes of 
communicating with TSP participants.
    The Agency is publishing this notice pursuant to the Privacy Act of 
1974 (5 U.S.C. 552a), as amended. The proposed system reports, as 
required by 5 U.S.C. 552a(r), of the Privacy Act of 1974, as amended, 
were submitted to the House Committee on Government Reform, the Senate 
Committee on Homeland Security and Government Affairs, and the Office 
of Management and Budget (OMB) pursuant to paragraph 4c of Appendix I 
to OMB Circular No. A-130, ``Federal Agency Responsibilities for 
Maintaining Records About Individuals,'' dated February 8, 1996 
(February 20, 1996, 61 FR 6427).

Gregory T. Long,
Executive Director, Federal Retirement Thrift Investment Board.
FRTIB-1

SYSTEM NAME:
    Thrift Savings Plan Records.

SYSTEM LOCATION:
    These records are located at the office of the entity engaged by 
the Agency to perform record keeping services for the TSP. The current 
address for this record keeper is listed at https://www.tsp.gov.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All participants (which term includes former participants, i.e., 
participants whose accounts have been closed), as well as spouses, 
former spouses, and beneficiaries of TSP participants. Participants in 
the TSP consist of present and former Members of Congress and Federal 
employees covered by the Federal Employees' Retirement System Act of 
1986, (FERSA) as amended, 5 U.S.C. chapter 84; all present and former 
Members of Congress and Federal employees covered by the Civil Service 
Retirement System who elect to contribute to the TSP; Supreme Court 
Justices, Federal judges, and magistrates who elect to contribute; 
certain union officials, those individuals described in 5 CFR part 
1620, and any other individual for whom an account has been 
established.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records contain the following kinds of information: Records 
of TSP account activity, including account balances, employee 
contributions, agency automatic (one percent) and agency matching 
contributions, earnings, interfund transfers, contribution allocation 
elections, investment status by fund, loan and withdrawal information, 
employment status, retirement code and whether employee is vested, 
error correction information, participant's date of birth, email 
address, phone number, and designated beneficiary; records of spousal 
waivers and consents; powers of attorney and conservatorship and 
guardianship orders; participant's name, current or former employing 
agency, and servicing payroll and personnel office; records of Social 
Security number and home address for participants, spouses, former 
spouses, and beneficiaries and potential beneficiaries; records of 
bankruptcy actions; information regarding domestic relations court 
orders to divide the account; child support, child abuse, and alimony 
orders; information on payments to the participant's spouse, former 
spouse, or children and their attorneys; information on notices sent to 
participants, spouses, former spouses, and beneficiaries; and general 
correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 8474.

PURPOSE(S):
    The purpose of this system of records is to ensure the integrity of 
the Plan, to record activity concerning the TSP account of each Plan 
participant, to communicate with the participant, spouse, former 
spouse, and beneficiary concerning the account, and to make certain 
that he or she receives a correct payment from the Plan.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information in these records may be used:
    a. To disclose financial data and addresses to Federal, state, and 
local governmental tax enforcement agencies so that they may enforce 
applicable tax laws.
    b. To disclose to the designated annuity vendor in order to provide 
TSP participants who have left Federal service with an annuity.
    c. To disclose to sponsors of eligible retirement plans for 
purposes of transferring the funds in the participant's account to an 
Individual Retirement Arrangement or into another eligible retirement 
plan.
    d. To disclose to current and former spouses and their attorneys in 
order to protect spousal rights under FERSA and to receive benefits to 
which they may be entitled.
    e. When a participant to whom a record pertains dies, to disclose 
the following types of information to any potential beneficiary: 
Information in the participant's record which could have been properly 
disclosed to the participant when living (unless doing so would 
constitute a clearly unwarranted invasion of privacy) and the name and 
relationship of any other person who claims the benefits or who is 
entitled to share the benefits payable.
    f. When a participant to whom a record pertains dies, to disclose 
the following types of information to anyone handling the participant's 
estate: Information in the participant's record which could have been 
properly disclosed to the participant when living (unless doing so 
would constitute a clearly unwarranted invasion of privacy), the name 
and the relationship of any person who claims the benefits or who is 
entitled to share the benefits payable, and information necessary for 
the estate's administration (for example, post-death tax reporting).
    g. To disclose information to any person who is named by the 
participant, spouse, former spouse, or beneficiary of the participant 
in a power of attorney and to any person who is responsible for the 
care of the participant or the spouse, former spouse, or beneficiary of 
the participant to whom a record pertains, and who is found by a court 
to be incompetent or under other legal disability, information 
necessary to manage the participant's account and to ensure payment of 
benefits to which the participant, spouse, former spouse or beneficiary 
of the participant is entitled.
    h. To disclose information to a congressional office from the 
record of a participant or of the spouse, former spouse, or beneficiary 
of a participant in order for that office to respond to a communication 
from that person.
    i. To disclose to agency payroll or personnel offices in order to 
calculate benefit projections for individual participants, to calculate 
error corrections, to reconcile payroll records, and otherwise to 
ensure the effective operation of the Thrift Savings Plan.
    j. To disclose to the Department of the Treasury information 
necessary to issue checks from accounts of participants in accordance 
with withdrawal or loan procedures or to make a payment to a spouse, 
former spouse, child, or his or her attorney, or to a beneficiary.
    k. To disclose to the Department of Labor and to private sector 
audit firms so that they may perform audits as provided for in FERSA.

[[Page 21248]]

    l. To disclose to the Parent Locator Service of the Department of 
Health and Human Services, upon its request, the address of a 
participant, spouse, former spouse, or beneficiary of the participant 
for the purpose of enforcing child support obligations against that 
individual.
    m. To disclose pertinent information to the appropriate Federal, 
foreign, state, local, or tribal agency, or to other public authority 
responsible for investigating, prosecuting, enforcing, or implementing 
a statute, rule, regulation, or order, upon its request, when presented 
with an indication that the information is relevant to any enforcement, 
regulatory, investigative, or prosecutorial responsibility of that 
agency or authority.
    n. To disclose information to the Office of Management and Budget 
at any stage of the legislative coordination and clearance process in 
connection with private relief legislation as set forth in OMB Circular 
No. A-19.
    o. To disclose to a Federal agency, in response to its request, the 
address of a participant, spouse, former spouse, or beneficiary of the 
participant and any other information the agency needs to contact that 
individual concerning a possible threat to his or her health or safety.
    p. To disclose information to the Department of Justice, where:
    (1) The Board or any component of it, or
    (2) Any employee of the Board in his or her official capacity, or
    (3) Any employee of the Board in his or her individual capacity, 
where the Department of Justice has agreed to represent the employee; 
or
    (4) The United States (where the Board determines that litigation 
is likely to affect the agency or any of its components) is a party to 
litigation or has an interest in such litigation, and the Board 
determines that use of such records is relevant and necessary to the 
litigation. However, in each such case, the Board must determine that 
disclosure of the records to the Department of Justice is a use of the 
information contained in the records which is compatible with the 
purpose for which the records were collected.
    q. In response to a court subpoena, or to appropriate parties 
engaged in litigation or preparing for possible litigation. Examples 
include disclosure to potential witnesses for the purpose of securing 
their testimony to courts, magistrates, or administrative tribunals, to 
parties and their attorneys in connection with litigation or settlement 
of disputes, or to individuals seeking information through established 
discovery procedures in connection with civil, criminal, or regulatory 
proceedings.
    r. To disclose to contractors and their employees who have been 
engaged to assist the Board in performing a contract service or 
agreement, or who have been engaged to perform other activity related 
to this system of records and who need access to the records in order 
to perform the activity. Recipients of TSP records are required to 
comply with the requirements of the Privacy Act.
    s. To disclose to personnel from agency personnel/payroll offices 
or to casualty assistance officers when necessary to assist a 
beneficiary or potential beneficiary.
    t. To disclose to a consumer reporting agency when the Board is 
trying to collect a debt owed to the Board under the provisions of 5 
U.S.C. 3711.
    u. To disclose to quality control companies when such companies are 
verifying documents submitted to lenders in connection with 
participants' commercial loan applications.
    v. To disclose to an official of another Federal agency information 
needed in the performance of official duties related to reconciling or 
reconstructing data files, compiling descriptive statistics, and making 
analytical studies in support of the function for which the records 
were collected and maintained.

Policies and practices of storing, retrieving, safeguarding, retaining, 
and disposing of records in the system:
STORAGE:
    These records are maintained on electronic or magnetic media, on 
microfilm, or in folders.

RETRIEVABILITY:
    These records are retrieved by SSN and other personal identifiers 
of the individual to whom they pertain.

SAFEGUARDS:
    Hard copy records are kept in metal file cabinets in a secure 
facility, with access limited to those whose official duties require 
access. Personnel are screened to prevent unauthorized disclosure. 
Security mechanisms for automatic data processing prevent unauthorized 
access to the electronic or magnetic media.

RETENTION AND DISPOSAL:
    TSP documents are retained for 99 years. Manual records are 
disposed of by compacting and burning; data on electronic or magnetic 
media are obliterated by destruction or reuse, or are returned to the 
employing agency.

SYSTEM MANAGER(S) AND ADDRESSS:
    Deputy Chief Technology Officer for Business Applications, Office 
of Technology Services, Federal Retirement Thrift Investment Board, 77 
K Street NE., Suite 1000 Washington, DC 20002.

REOCRD ACCESS PROCEDURES:
    Individuals who want notice of whether this system of records 
contains information pertaining to them and to obtain access to their 
records may contact the TSP Service Office or their employing agency, 
as follows:
    a. Participants who are current Federal employees may call or write 
their employing agency for personnel or payroll records regarding the 
agency's and the participant's contributions and adjustments to 
contributions. A request to the employing agency must be made in 
accordance with that agency's Privacy Act regulations or that agency's 
procedures. For other information regarding their TSP accounts, 
participants who are Federal employees may call or write the TSP 
Service Office.
    b. Participants who have separated from Federal employment and 
spouses, former spouses, and beneficiaries of participants may call or 
write the TSP Service Office.
    Individuals calling or writing the TSP Service Office must furnish 
the following information for their records to be located and 
identified:
    a. Name, including all former names;
    b. Social Security number; and
    c. Other information, if necessary. For example, a participant may 
need to provide the name and address of the agency, department, or 
office in which he or she is currently or was formerly employed in the 
Federal service. A spouse, former spouse, or beneficiary of a 
participant may need to provide information regarding his or her 
communications with the TSP Service Office or the Board.
    Participants may also inquire whether this system contains records 
about them and access certain records through the account access 
section of the TSP Web site and the ThriftLine (the TSP's automated 
telephone system). The TSP Web site is located at www.tsp.gov. To use 
the TSP ThriftLine, the participant must have a touch-tone telephone 
and call the following number 1-877-968-3778. Hearing-impaired 
participants should dial 1-877-847-4385. The following information is 
available on the TSP Web site and the ThriftLine: Account balance; 
available loan amount; the status of a monthly withdrawal payment; the 
current status of a loan or withdrawal application; and an interfund 
transfer request.

[[Page 21249]]

CONTESTING RECORD PROCEDURE:
    Individuals who want to amend TSP records about themselves must 
submit a detailed written explanation as to why information regarding 
them is inaccurate or incorrect, as follows:
    a. Participants who are current Federal employees must write their 
employing agency to request amendment of personnel records regarding 
employment status, retirement coverage, vesting code, and TSP service 
computation date, or payroll records regarding the agency's and the 
participant's contributions and adjustments to contributions. A request 
to the employing agency must be made in accordance with that agency's 
Privacy Act regulations or that agency's procedures. For other 
information regarding their TSP accounts, participants who are Federal 
employees must submit a request to the TSP Service Office.
    b. Participants who have separated from Federal employment and 
spouses, former spouses, and beneficiaries of participants must submit 
a request to the TSP Service Office.
    c. Individuals must provide their Social Security number and name, 
and they may also need to provide other information for their records 
to be located and identified.
    The employing agency or the TSP Service Office will follow the 
procedures set forth in 5 CFR part 1605, Error Correction Regulations, 
in responding to requests to correct contribution errors.

RECORD SOURCE CATEGORIES:
    The information in this system is obtained from the following 
sources:
    a. The individual to whom the information pertains;
    b. Agency payroll and personnel records;
    c. Court orders; or
    d. Spouses, former spouses, other family members, beneficiaries, 
legal guardians, and personal representatives (executors, 
administrators).

[FR Doc. 2014-08398 Filed 4-14-14; 8:45 am]
BILLING CODE 6760-01-P