19-11.005. Florida Retirement System (FRS) State Board of Administration Complaint Procedures

(1) Request for Intervention.

(a) Any Investment Plan or Pension Plan member who has a complaint regarding the FRS laws, rules, plan provisions or services rendered by an Investment Plan or MyFRS Financial Guidance Program provider or one of the representatives thereof, with the exception of the Self-Directed Brokerage Account (“SDBA”), may send a written Request for Intervention to the State Board of Administration (SBA). The member may submit the request in writing with personally identifiable information or use the form referenced in paragraph (b), below. The written Request for Intervention shall be sent:

1. By regular U.S. mail service to:

Investment Plan Complaint Resolution

Office of Defined Contribution Programs

State Board of Administration

P.O. Box 13300

Tallahassee, FL 32317-3300

2. By email: [e-mail], or

3. By fax: [phone]

(b) The member may use “Florida Retirement System Investment Plan Request for Intervention,” Form SBA-RFI 01/2019, contained in the FRS Investment Plan Complaint Procedures package, http://www.flrules.org/Gateway/reference.asp?No=Ref-10206, which is hereby adopted and incorporated by reference. The form may be obtained by calling the toll free number at 1(866)446-9377, Option 4, (TRS 711), and requesting that the form be mailed to the member or by accessing the MyFRS.com website and clicking on Forms. By using this form or any other written request, the member grants permission to the SBA to obtain any personally identifiable information shared with or generated by any services provider to the FRS, including the MyFRS Financial Guidance Program. The member must provide all information requested by the form.

(c) If all information is not provided, the member shall be required to submit additional information, upon notification by the SBA.

(d) Upon receipt of the complete Request for Intervention, an acknowledgment will be sent to the address provided on the form by either regular U.S. mail or emailed to the member.

(e) The SBA will conduct an investigation and will prepare and send to the member a final agency action letter detailing the SBA’s findings; any proposed resolution; and information on any next steps in the dispute resolution process.

(f) Complaints regarding the SDBA shall be handled in accordance with Rule 19-11.013, F.A.C.

(2) Request for Hearing.

(a) If the member is not satisfied with the proposed resolution as set out in the final agency action letter and the member wishes to protest the determination, the member may file a fully-completed Petition for Hearing, “Investment Plan Petition for Hearing,” Form SBA-PFH 01/2019, contained in the Florida Retirement System Investment Plan Complaint Procedures package, http://www.flrules.org/Gateway/reference.asp?No=Ref-10207, which is hereby adopted and incorporated by reference, with the SBA. The Petition for Hearing is routinely attached to the final agency action letter and may also be obtained by calling the toll free number at 1(866)446-9377, Option 4, (TRS 711), and requesting that it be sent to the member or by accessing the MyFRS.com website and then clicking on Forms. The Petition for Hearing must be received within 21 days of the member’s receipt of the agency action letter or it will be rejected as untimely and the member will have waived the right to a hearing.

(b) By signing the FRS Investment Plan Petition for Hearing, the member thereby grants permission to the SBA to obtain any personally identifiable information shared with or generated by any services provider to the FRS, including the MyFRS Financial Guidance Program. Any such information obtained will be used by the SBA for the sole purpose of resolving the complaint.

(c) The SBA has 15 days to respond to the Petition for Hearing, in accordance with Section 120.569(2)(a), F.S.

(d) If the hearing request contains a disputed issue of material fact, the SBA shall, within the required 15 days, forward the hearing request to the Division of Administrative Hearings, requesting that an administrative law judge be assigned to conduct the hearing and will notify the member accordingly.

(e) If there is no disputed issue of material fact, then the SBA shall assign the matter to an independent presiding officer, who will send out a “Notice of Proceeding and Initial Order of Instructions” to the Petitioner/member and to the Respondent or Respondent’s counsel.

(f) The balance of the hearing process shall conform to the requirements of Chapter 120, F.S.

(g) A Final Order will be issued by the SBA after the conclusion of the hearing process. The member will have appeal rights as set forth in Section 120.68, F.S. All Final Orders can be viewed by accessing the MyFRS.com website and clicking on “Resources” and then “Intervention/Final Orders.” The Final Orders are listed by category.

Rulemaking Authority 121.4501(8) FS. Law Implemented 120.569, 120.57, 120.573, 121.4501(8)(g) FS. History–New 10-21-04, Amended 3-9-06, 11-26-07, 5-19-09, 7-12-12, 12-16-12, 6-5-14, 12-30-15, 4-12-17, 2-19-19, 5-11-22.