[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
[Notices]
[Pages 40564-40566]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16016]


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FEDERAL RETIREMENT THRIFT INVESTMENT BOARD


Privacy Act of 1974; System of Records

AGENCY: Federal Retirement Thrift Investment Board (FRTIB).

ACTION: Notice of a new system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974, the Federal Retirement 
Thrift Investment Board (FRTIB) proposes to establish a new system of 
records. Records contained in this system will be used to implement 
FRTIB's Insider Threat Program.

DATES: This system will become effective upon its publication in 
today's Federal Register, with the exception of the routine uses which 
will be effective on August 27, 2021. FRTIB invites written comments on 
the routine uses and other aspects of this system of records. Submit 
any comments by August 27, 2021.

ADDRESSES: You may submit written comments to FRTIB by any one of the 
following methods:
    <bullet> Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the website instructions for submitting comments.
    <bullet> Fax: 202-942-1676.
    <bullet> 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: Dharmesh Vashee, General Counsel and 
Senior Agency Official for Privacy, Federal Retirement Thrift 
Investment Board, Office of General Counsel, 77 K Street NE, Suite 
1000, Washington, DC 20002, (202) 942-1600. For access to any of the 
FRTIB's systems of records, contact Amanda Haas, FOIA Officer, Office 
of General Counsel, at the above address and phone number.

SUPPLEMENTARY INFORMATION: FRTIB proposes to establish a new system of 
records entitled, ``FRTIB-23, Insider Threat Program Records.'' FRTIB 
is committed to protecting FRTIB facilities, information, and 
information systems. In order to better protect these resources, FRTIB 
has established an Insider Threat Program to prevent, detect, and 
mitigate the effects of insider threats. An insider threat is an 
individual who has or had authorized access to an organization's 
assets, and uses their access, either maliciously or unintentionally, 
to act in a way that could cause harm to FRTIB facilities, information 
systems, or data.
    FRTIB is not legally required to have an insider threat program 
under Executive Order 13587, as the agency does not maintain classified 
information. However, FRTIB has implemented this program as a best 
practice in order to protect the information that it maintains, 
including controlled unclassified information. FRTIB's Insider Threat 
Program is based on standards developed by the National Institute of 
Standards and Technology and the National Insider Threat Task Force. 
The records compiled to administer the insider threat program may be 
from any program, record, or source, and may contain records pertaining 
to information security, personnel security, or physical security.
    FRTIB will publish regulations to exempt such material in the new 
system of records from certain requirements under the Privacy Act of 
1974 (5 U.S.C.

[[Page 40565]]

552a), based on subsection (k)(2) of the Act.
    The collection and maintenance of these records is new. The 
implementation of this new system of records will be effective on July 
28, 2021. FRTIB proposes to apply eleven routine uses to FRTIB-23.

Dharmesh Vashee,
General Counsel and Senior Agency Official for Privacy.

SYSTEM NAME AND NUMBER:
    FRTIB-23, Insider Threat Program 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 maintained at the business offices of third-party service 
providers. Records may also be maintained at additional locations for 
Business Continuity purposes.

SYSTEM MANAGER:
    Insider Threat Program Manager, Federal Retirement Thrift 
Investment Board, 77 K Street NE, Suite 1000, Washington, DC 20002, 
(202) 942-1600.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 8474; 44 U.S.C. Chapter 35; 44 U.S.C. 3101.

PURPOSE(S) OF THE SYSTEM:
    FRTIB's Insider Threat Program is being implemented to prevent, 
detect, and mitigate the effects of insider threats, defined as, ``the 
potential for an individual who has or had authorized access to an 
organization's assets to use their access, either maliciously or 
unintentionally, to act in a way that could negatively affect the 
organization.''
    The Insider Threat Program system of records is being established 
to manage insider threat matters; facilitate insider threat activities, 
inquiries, and investigations; identify insider threats to FRTIB 
facilities, information, and information systems; track referrals of 
potential insider threats from FRTIB's hotline; and to track referrals 
of potential insider threats to internal and external partners.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system collects information on current or former FRTIB 
employees, contractors, subcontractors, or any other individuals who 
have or have previously had authorized access to FRTIB facilities, 
information, or information systems.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The categories of records compiled for each insider threat report, 
inquiry, or investigation may vary significantly based on the nature of 
each actual or potential insider threat incident.
    Categories of records in the Insider Threat Program system of 
records may include name; social security number; date of birth; place 
of birth; personal and business email address; personal and business 
phone number; work history; background investigation information 
(including any information derived from SF-85, SF-85P, and SF-86 forms 
and background investigation processes); user ID; user activity 
performed on FRTIB devices; correspondence sent or received on an FRTIB 
device or network; personnel records (including disciplinary records 
and performance records); records of access to FRTIB facilities; 
records of security violations; reports from FRTIB's hotline for fraud, 
waste, abuse, and other misconduct; and law enforcement referrals.

RECORD SOURCE CATEGORIES:
    To monitor, identify, and respond to potential insider threats, 
information in the system will be received on an as-needed basis 
depending on the nature of the inquiry or investigation from: FRTIB 
employees, contractors, vendors, or other individuals with access to 
FRTIB facilities, information, or information systems; FRTIB's hotline 
for reporting fraud, waste, abuse, and other misconduct; information 
collected through user activity monitoring; officials from other 
foreign, federal, tribal, state, and local government agencies and 
organizations; non-government, commercial, public, and private agencies 
and organizations; and from relevant records, including information 
security databases and files; personnel security databases and files; 
FRTIB human resources databases and files; access records for FRTIB 
facilities; FRTIB contractor files; FRTIB's Office of Technology 
Services; FRTIB telephone usage records; federal, state, tribal, 
territorial, and local law enforcement and investigatory records; other 
Federal agencies; and publicly available information.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    Information about covered individuals may be disclosed without 
consent as permitted by the Privacy Act of 1974, as amended, 5 U.S.C. 
552a(b); and:
    1. Routine Use--Audit: A record from this system of records may be 
disclosed to an agency, organization, or individual for the purpose of 
performing an audit or oversight operations as authorized by law, but 
only such information as is necessary and relevant to such audit or 
oversight function when necessary to accomplish an agency function 
related to this system of records. Individuals provided information 
under this routine use are subject to the same Privacy Act requirements 
and limitations on disclosure as are applicable to FRTIB officers and 
employees.
    2. Routine Use--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.
    3. Routine Use--Response to Breach of Other Records: A record from 
this system of records may be disclosed to another Federal agency or 
Federal entity, when FRTIB determines that information from this system 
of records is reasonably necessary to assist the recipient agency or 
entity in (1) responding to a suspected or confirmed breach or (2) 
preventing, minimizing, or remedying the risk of harm to individuals, 
the recipient agency or entity (including its information systems, 
programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.
    4. 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.
    5. 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, interagency agreement, 
or other assignment for FRTIB, when

[[Page 40566]]

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. Routine Use--Third-Party Service Providers: A record from this 
system of records may be disclosed to third-party service providers, 
including other government agencies, such as the Department of Justice, 
that provide support for FRTIB's Insider Threat Program under a 
contract or interagency agreement.
    7. Routine Use--Disclosure to Law Enforcement: Where a record, 
either alone or in conjunction with other information, indicates a 
violation or potential violation of law--criminal, civil, or regulatory 
in nature--the relevant records may be referred to the appropriate 
federal, state, local, territorial, tribal, or foreign law enforcement 
authority or other appropriate entity charged with the responsibility 
for investigating or prosecuting such violation or charged with 
enforcing or implementing such law.
    8. Routine Use--Litigation, DOJ or Outside Counsel: A record from 
this system of records may be disclosed to the Department of Justice, 
FRTIB's outside counsel, other Federal agency conducting litigation or 
in proceedings before any court, adjudicative or administrative body, 
when: (1) FRTIB, or (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.
    9. Routine Use--Litigation, Opposing Counsel: A record from this 
system of records may be disclosed to a court, magistrate, or 
administrative tribunal in the course of presenting evidence, including 
disclosures to opposing counsel or witnesses in the course of civil 
discovery, litigation, or settlement negotiations or in connection with 
criminal law proceedings or in response to a subpoena.
    10. Routine Use--NARA/Records Management: A record from this system 
of records may be disclosed to the National Archives and Records 
Administration (NARA) or other Federal Government agencies pursuant to 
the Federal Records Act.
    11. Routine Use--Insider Threat Community of Practice: A record 
from this system of records may be disclosed to any Federal agency or 
group of agencies with responsibilities for activities related to 
counterintelligence or the detection of insider threats.

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, phone number, case number, or 
internal FRTIB identification (including FRTIB email, username, etc.).

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records are maintained in accordance with General Records 
Schedule 5.6 (Security Records), Items 210 through 240, issued by the 
National Archives and Records Administration (NARA).

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    FRTIB has adopted appropriate administrative, technical, and 
physical controls in accordance with FRTIB's security program to 
protect the security, confidentiality, availability, and integrity of 
the information and to ensure that records are not disclosed to or 
accessed by unauthorized individuals. Access to the records in this 
system is limited to individuals who have the appropriate permissions 
and who have a need to know the information in order to perform their 
official duties.

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 a Power of Attorney, in 
order for the representative to act on their behalf.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

NOTIFICATION PROCEDURES:
    See Record Access Procedures above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    Records in this system will be exempt, based on 5 U.S.C. 
552a(k)(2), from the requirements in subsections (c)(3), (d)(1)-(4), 
(e)(1), (e)(4)(G)-(I), and (f) of the Privacy Act. The Agency has 
promulgated regulations implementing the Privacy Act at 5 CFR 1632.15 
that establish this exemption.

HISTORY:
    None.
[FR Doc. 2021-16016 Filed 7-27-21; 8:45 am]
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