[Federal Register Volume 62, Number 181 (Thursday, September 18, 1997)]
[Notices]
[Pages 49013-49014]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-24762]


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FEDERAL RETIREMENT THRIFT INVESTMENT BOARD


Privacy Act of 1974; System of Records

AGENCY: Federal Retirement Thrift Investment Board.

ACTION: Notice of new system of fraud and forgery records.

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SUMMARY: The Executive Director of the Federal Retirement Thrift 
Investment Board (Board) is establishing a new system of records, 
FRTIB-13, Fraud and Forgery Records, consisting of records on Thrift 
Savings Plan participants who are alleged to have committed a fraud or 
forgery with respect to their accounts.

DATES: Comments must be received no later than October 20, 1997. The 
proposed notice will be effective October 20, 1997, unless the Board 
receives comments which would result in a different determination. If 
comments received result in a different determination, the document 
will be republished with the change.

ADDRESS: Comments may be sent to Thomas L. Gray, Assistant General 
Counsel for Administration, Federal Retirement Thrift Investment Board, 
1250 H Street, NW, Washington, DC 20005.

FOR FURTHER INFORMATION CONTACT: Thomas L. Gray, Assistant General 
Counsel for Administration, (202) 942-1662. FAX (202) 942-1676.

SUPPLEMENTARY INFORMATION: The Board was established by the Federal 
Employees' Retirement System Act of 1986 (FERSA), Pub. L. 99-335, 100 
Stat. 514, which has been codified, as amended, largely at 5 U.S.C. 
8351 and 8401-8479 (1994), as an independent agency in the Executive 
Branch to administer the Thrift Savings Plan (TSP). The TSP is a tax-
deferred retirement savings plan for Federal employees that is similar 
to cash or deferred arrangements established under section 401(k) of 
the Internal Revenue Code.
    There are over two million TSP participants. To preserve the 
integrity of the Plan and protect the TSP accounts, the TSP will take 
action to prosecute any participant who attempts or commits a fraud or 
forgery with respect to their account. The information in this record 
system will be used for that purpose. These records consists of 
transactions in a participant's account and investigatory material 
related to a fraud or forgery allegation. When, for example, an 
allegation is made that a signature on a TSP document has been forged 
or that false information has been provided to the Board or to the TSP 
Service Office, the Board investigates the allegation and creates a 
file. When the Board's investigation produces support for the 
allegation that a fraud or forgery has been committed, the Board refers 
the matter to the United States Department of Justice and, if the 
participant is currently employed in the Federal service, to the 
participant's employing agency for further investigation and 
administrative action or civil or criminal prosecution.
Roger W. Mehle,
Executive Director, Federal Retirement Thrift Investment Board.
FRTIB-13

SYSTEM NAME:
    Fraud and Forgery Records.

SYSTEM LOCATION:
    These records are located at the Federal Retirement Thrift 
Investment Board, 1250 H Street, NW, Washington, DC 20005 and at the 
Thrift Savings Plan (TSP) Service Office at the National Finance 
Center, Department of Agriculture, P.O. Box 61500, New Orleans, LA 
70161-1500.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    These records contain information on Thrift Savings Plan 
participants who are alleged to have committed a fraud or forgery 
relating to their accounts.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records contain the following kinds of information: Thrift 
Savings Plan account records relevant to the fraud or forgery 
allegation; documentation of complaints and allegations of fraud and 
forgery; exhibits, statements, affidavits, or records obtained during 
the investigation; court and administrative orders, transcripts, and 
documents; internal staff memoranda; staff working papers; other 
documents and records related to the inquiry, investigation, and 
disposition of the allegations; and all reports on the investigation.

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

PURPOSE:
    These records are used to inquire into and investigate allegations 
that a Thrift Savings Plan participant has committed a fraud or forgery 
relating to their account.

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 to 
disclose information to:
    1. The appropriate Federal, foreign, state, local, or tribal agency 
or other public authority responsible for enforcing, investigating, or 
prosecuting such violation or charged with enforcing or implementing 
the statute, rule, regulation, or order issued pursuant thereto, if the 
information disclosed is relevant to any enforcement, regulatory, 
investigative, or prosecutorial

[[Page 49014]]

responsibility of the receiving entity and indicates a violation or 
potential violation of law;
    2. A court, magistrate, grand jury, 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 in response to a court-ordered subpoena or in 
connection with criminal, civil, or regulatory proceedings;
    3. A Member of Congress or a congressional office in order for that 
Member or office to respond to communications from the participant who 
is the subject of the record;
    4. The Department of Justice for the purpose of further 
investigation and prosecution;
    5. The current or former employing agency of the participant for 
the purpose of further investigation and administrative action;
    6. Informants, complainants, or victims to the extent necessary to 
provide those persons with information and explanations concerning the 
progress or results of the investigation; and
    7. A Federal, foreign, state, or local agency or a person or entity 
if necessary to obtain information relevant to the investigation of the 
allegations or prosecution of the case.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    These records are maintained in file folders in office file 
cabinets and on electronic media or computer in the system location.

RETRIEVABILITY:
    These records are indexed by the names and Social Security numbers 
of Thrift Savings Plan participants.

SAFEGUARDS:
    Access to and use of these records is restricted to those persons 
whose official duties require such access.

RETENTION AND DISPOSAL:
    Records in this system are destroyed seven years after the case is 
closed.

SYSTEM MANAGER(s) AND ADDRESS:
    Director, Office of Benefits and Program Analysis, Federal 
Retirement Thrift Investment Board, 1250 H Street, NW, Washington, DC 
20005.

NOTIFICATION PROCEDURE:
    Inquiries under the Privacy Act of 1974 should be addressed to the 
Privacy Act Officer, Federal Retirement Thrift Investment Board, 1250 H 
Street, NW, Washington, DC 20005. All individuals making inquiries 
should provide with their request as much descriptive matter as is 
possible to identify the particular record desired.

RECORD ACCESS PROCEDURES:
    Individuals requesting information under the Privacy Act of 1974 
concerning procedures for gaining access or contesting records should 
write to the Privacy Act Officer. All individuals are urged to examine 
the regulations at 5 CFR part 1630 concerning Board requirements with 
respect to the Privacy Act of 1974.

CONTESTING RECORD PROCEDURES:
    See ``Record Access Procedures'' above.

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 Thrift Savings Plan participants, complainants, informants, 
witnesses, investigators, and persons reviewing the allegations; 
Federal, state and local agencies; and investigative reports and 
records.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    Pursuant to 5 U.S.C. 552a(k)(2) of the Privacy Act and the Board's 
regulation at 5 CFR 1630.10, certain portions of records under this 
system may be exempted from the provisions of the Privacy Act when: (1) 
Such portions represent investigatory materials compiled for law 
enforcement purposes or (2) such portions would reveal the identity of 
a source who furnished information to the Government under a promise of 
confidentiality which information resulted in the denial of a right, 
privilege, or benefit to a participant.

[FR Doc. 97-24762 Filed 9-17-97; 8:45 am]
BILLING CODE 6760-01-P