Privacy Act of 1974; System of Records, 12249-12251 [2019-06165]

Agencies

• Federal Retirement Thrift Investment Board

[Federal Register Volume 84, Number 62 (Monday, April 1, 2019)]
[Notices]
[Pages 12249-12251]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06165]


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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 modified system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974, the Federal Retirement 
Thrift Investment Board (FRTIB) is proposing to modify its system of 
records for fraud and forgery records. Records contained in this system 
are used to investigate potential or actual fraud against TSP 
participant or beneficiary accounts. FRTIB is modifying this system of 
records to account for its process for addressing new alerts the 
Financial Services Information Sharing and Analysis Center (FS-ISAC) 
sends to FRTIB to better help protect and secure participant account 
information.

DATES: This system will become effective upon its publication in 
today's Federal Register. FRTIB is not proposing any changes to the 
routine uses.

ADDRESSES: You may submit written comments to FRTIB by any one of the 
following methods:
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the website instructions for submitting comments.
     Fax: (202) 942-1676.
     Mail or Hand Delivery: Office of General Counsel, Federal 
Retirement Thrift Investment Board, 77 K Street NE, Suite 1000, 
Washington, DC 20002.

FOR FURTHER INFORMATION CONTACT: Marla Greenberg, Chief Privacy 
Officer, Federal Retirement Thrift Investment Board, Office of General 
Counsel, 77 K Street NE, Suite 1000, Washington, DC 20002, (202) 942-
1600. For access to any of the FRTIB's system of records, contact 
Amanda Haas, FOIA Officer, Office of General Counsel, at the above 
address and phone number.

SUPPLEMENTARY INFORMATION: FRTIB is proposing to modify its system of 
records for fraud and forgery records, entitled, ``FRTIB-13, Fraud and 
Forgery Records.'' The proposed changes are necessary because they 
enable the FRTIB to protect participant accounts based on additional 
information FRTIB receives from the FS-ISAC, concerning account 
credentials that may have been compromised. FRTIB is proposing to amend 
the purpose of the system of records to provide additional context 
around how the Agency protects participant accounts from fraudulent 
activity. FRTIB is proposing to change the categories of individuals 
covered by the system, to include information about participants and 
beneficiaries who may be actual or potential victims of fraud.
    Additionally, FRTIB is proposing to modify the category of records 
in the system to include telephone numbers, IP addresses, and 
notifications from FS-ISAC, which includes potentially or actually 
compromised credentials participants use to log into their TSP account 
online. FRTIB is also proposing a change to record source categories to 
include FS-ISAC. Finally, FRTIB is proposing technical and clarifying 
language to conform to the standards established in OMB Circular A-108, 
but these changes are not substantive in nature. FRTIB is not proposing 
modifications to its routine uses or exemptions claimed.

Megan Grumbine,
General Counsel and Senior Agency Official for Privacy.
System Name
    Fraud and Forgery Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are located at the Federal Retirement Thrift Investment 
Board, 77 K Street NE, Suite 1000, Washington, DC 20002. Records may 
also be kept at an additional location for Business Continuity 
purposes.

SYSTEM MANAGER:
    Supervisory Fraud Specialist, Federal Retirement Thrift Investment 
Board, 77 K Street NE, Suite 1000, Washington, DC 20002.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 8474; and 44 U.S.C. 3101.

PURPOSE(S):
    These records are used to inquire into and investigate allegations 
that a TSP participant, beneficiary, alternate payee, or third party 
has committed or attempted to commit an act of fraud or forgery 
relating to a participant or beneficiary account or the Thrift Savings 
Fund; to prevent fraud and to protect participant accounts from 
potential fraud; and to collect information to verify allegations that 
a third party has misappropriated the FRTIB's (or TSP's) name, brand, 
or logos.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system of records contains information on Thrift Savings Plan 
(TSP) participants, beneficiaries, alternate payees, and third party 
individuals alleged to have committed an act of fraud or forgery 
relating to participant and beneficiary accounts; and third parties 
alleged to have misappropriated, or attempted to misappropriate the 
FRTIB's (including the TSP's) name, brand, or logos. This system of 
records also contains information about TSP participants and 
beneficiaries who may be actual or potential victims of fraud.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records contain the following kinds of information: name, 
date of birth, telephone number, IP address, and Social Security number 
of TSP participants, beneficiaries, alternate payees, and third parties 
alleged to have committed an act of fraud or forgery relating to 
participant accounts or the Thrift Savings Fund; TSP account 
information related to the fraud or forgery allegation; information 
obtained from other agencies as it relates to allegations of fraud or 
forgery; documentation of complaints and allegations of fraud and 
forgery; exhibits, statements, affidavits, or records obtained during 
investigations of fraud, or forgery, court and administrative orders, 
transcripts, and documents; internal staff memoranda; staff working 
papers; notifications from the Financial Services Information Sharing 
and Analysis Center (FS-ISAC), including credentials used to log into 
MyAccount that have been potentially or actually compromised; and other 
documents and records related to the investigation of fraud or forgery, 
including the disposition of the allegations; and reports on the 
investigation.

[[Page 12250]]

RECORD SOURCE CATEGORIES:
    Records in this system may be provided by or obtained from the 
following: persons to whom the information relates when practicable, 
including TSP participants, beneficiaries, alternate payees, or other 
third parties; complainants; informants; witnesses; investigators; 
persons reviewing the allegations; Federal, state and local agencies; 
FS-ISAC; and investigative reports and records.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information about covered individuals may be disclosed without 
consent as permitted by the Privacy Act of 1974, as amended, 5 U.S.C. 
552a(b); and:
    1. A record from this system may be disclosed to the Federal Bureau 
of Investigation; Department of Justice; Securities and Exchange 
Commission; Federal Trade Commission; Consumer Financial Protection 
Bureau; or the Financial Industry Regulatory Authority for further 
investigation, prosecution, or enforcement.
    2. A record from this system may be disclosed to the Secret Service 
for the purpose of investigating forgery, and to the Department of 
Justice, when substantiated by the Secret Service.
    3. A record pertaining to this system may be disclosed to the 
current or former employing agency of the participant, beneficiary, 
alternate payee, or third party alleged to have committed fraud or 
forgery against a participant account or the Thrift Savings Fund for 
the purpose of further investigation or administrative action.
    4. A record from this system may be disclosed to informants, 
complainants, or victims to the extent necessary to provide those 
persons with information and explanations concerning the progress or 
results of the investigation.
    5. Audit: A record from this system of records may be disclosed to 
an agency, organization, or individual for the purpose of performing an 
audit or oversight operations as authorized by law, but only such 
information as is necessary and relevant to such audit or oversight 
function when necessary to accomplish an agency function related to 
this system of records. Individuals provided information under this 
routine use are subject to the same Privacy Act requirements and 
limitations on disclosure as are applicable to FRTIB officers and 
employees.
    6. Breach Mitigation and Notification: Response to Breach of FRTIB 
Records: A record from this system of records may be disclosed to 
appropriate agencies, entities, and persons when (1) FRTIB suspects or 
has confirmed that there has been a breach of the system of records; 
(2) FRTIB has determined that as a result of the suspected or confirmed 
breach there is a risk of harm to individuals, FRTIB (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with FRTIB's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    7. Response to Breach of Other Records: A record from this system 
of records may be disclosed to another Federal agency or Federal 
entity, when FRTIB determines that information from this system of 
records is reasonably necessary to assist the recipient agency or 
entity in (1) responding to a suspected or confirmed breach or (2) 
preventing, minimizing, or remedying the risk of harm to individuals, 
the recipient agency or entity (including its information systems, 
programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.
    8. Congressional Inquiries: A record from this system of records 
may be disclosed to a Congressional office from the record of an 
individual in response to an inquiry from that Congressional office 
made at the request of the individual to whom the record pertains.
    9. Contractors, et al.: A record from this system of records may be 
disclosed to contractors, grantees, experts, consultants, the agents 
thereof, and others performing or working on a contract, service, 
grant, cooperative agreement, or other assignment for FRTIB, when 
necessary to accomplish an agency function related to this system of 
records. Individuals provided information under this routine use are 
subject to the same Privacy Act requirements and limitations on 
disclosure as are applicable to FRTIB officers and employees.
    10. Investigations, Third Parties: A record from this system of 
records may be disclosed to third parties during the course of a law 
enforcement investigation to the extent necessary to obtain information 
pertinent to the investigation, provided disclosure is appropriate to 
the proper performance of the official duties of the third party 
officer making the disclosure.
    11. Investigations, Other Agencies: A record from this system of 
records may be disclosed to appropriate Federal, state, local, tribal, 
or foreign government agencies or multilateral governmental 
organizations for the purpose of investigating or prosecuting the 
violations of, or for enforcing or implementing, a statute, rule, 
regulation, order, license, or treaty where FRTIB determines that the 
information would assist in the enforcement of civil or criminal laws.
    12. Law Enforcement Intelligence: A record from this system of 
records may be disclosed to a Federal, state, tribal, local, or foreign 
government agency or organization, or international organization, 
lawfully engaged in collecting law enforcement intelligence 
information, whether civil or criminal, or charged with investigating, 
prosecuting, enforcing or implementing civil or criminal laws, related 
rules, regulations or orders, to enable these entities to carry out 
their law enforcement responsibilities, including the collection of law 
enforcement intelligence.
    13. Law Enforcement Referrals: A record from this system of records 
may be disclosed to an appropriate Federal, state, tribal, local, 
international, or foreign agency or other appropriate authority charged 
with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    14. Litigation, DOJ or Outside Counsel: A record from this system 
of records may be disclosed to the Department of Justice, FRTIB's 
outside counsel, other Federal agency conducting litigation or in 
proceedings before any court, adjudicative or administrative body, 
when: (1) FRTIB, or (2) any employee of FRTIB in his or her official 
capacity, or (3) any employee of FRTIB in his or her individual 
capacity where DOJ or FRTIB has agreed to represent the employee, or 
(4) the United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and FRTIB determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which FRTIB 
collected the records.
    15. Litigation, Opposing Counsel: A record from this system of 
records may be disclosed to a court, magistrate, or administrative 
tribunal in the course of presenting evidence, including disclosures to 
opposing counsel or witnesses in the course of civil discovery, 
litigation, or settlement

[[Page 12251]]

negotiations or in connection with criminal law proceedings or in 
response to a subpoena.
    16. NARA/Records Management: A record from this system of records 
may be disclosed to the National Archives and Records Administration 
(NARA) or other Federal Government agencies pursuant to the Federal 
Records Act.
    17. Security Threat: A record from this system of records may be 
disclosed to Federal and foreign government intelligence or 
counterterrorism agencies when FRTIB reasonably believes there to be a 
threat or potential threat to national or international security for 
which the information may be useful in countering the threat or 
potential threat, when FRTIB reasonably believes such use is to assist 
in anti-terrorism efforts, and disclosure is appropriate to the proper 
performance of the official duties of the person making the disclosure.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in paper and electronic form, including on 
computer databases and cloud-based services, all of which are securely 
stored.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by name or file number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records in this system are destroyed seven years after the case is 
closed.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    FRTIB has adopted appropriate administrative, technical, and 
physical controls in accordance with FRTIB's security program to 
protect the security, confidentiality, availability, and integrity of 
the information, and to ensure that records are not disclosed to or 
accessed by unauthorized individuals.
    Paper records are stored in locked file cabinets in areas of 
restricted access that are locked after office hours. Electronic 
records are stored on computer networks and protected by assigning 
usernames to individuals needing access to the records and by passwords 
set by authorized users that must be changed periodically.

RECORD ACCESS PROCEDURES:
    Individuals seeking to access records within this system must 
submit a request pursuant to 5 CFR part 1630. Attorneys or other 
persons acting on behalf of an individual must provide written 
authorization from that individual, such as Power of Attorney, in order 
for the representative to act on their behalf.

CONTESTING RECORDS PROCEDURES:
    See Record Access Procedures above.

NOTIFICATION PROCEDURES:
    See Record Access Procedures above.

EXEMPTIONS CLAIMED FOR SYSTEM:
    Pursuant to 5 U.S.C. 552a(k)(2), records in this system of records 
are exempt from the requirements of subsections (c)(3); (d); (e)(1); 
(e)(4)(G), (H), (I); and (f) of 5 U.S.C. 552a, provided, however, that 
if any individual is denied any right, privilege, or benefit that he or 
she would otherwise be entitled to by Federal law, or for which he or 
she would otherwise be eligible, as a result of the maintenance of 
these records, such material shall be provided to the individual, 
except to the extent that the disclosure of the material would reveal 
the identity of a source who furnished information to the Government 
with an express promise that the identity of the source would be held 
in confidence.

HISTORY:
    81 FR 7,106 (Feb. 10, 2016).
[FR Doc. 2019-06165 Filed 3-29-19; 8:45 am]
BILLING CODE 6760-01-P