Privacy Act; implementation,

[Federal Register: December 3, 1999 (Volume 64, Number 232)]

[Rules and Regulations]

[Page 67693-67695]

From the Federal Register Online via GPO Access [wais.access.gpo.gov]

[DOCID:fr03de99-1]

Rules and Regulations Federal Register

This section of the FEDERAL REGISTER contains regulatory documents having general applicability and legal effect, most of which are keyed to and codified in the Code of Federal Regulations, which is published under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents. Prices of new books are listed in the first FEDERAL REGISTER issue of each week.

[[Page 67693]]

FEDERAL RETIREMENT THRIFT INVESTMENT BOARD

5 CFR Part 1630

Privacy Act Regulations; Implementation

AGENCY: Federal Retirement Thrift Investment Board.

ACTION: Final rule.

SUMMARY: The Executive Director of the Federal Retirement Thrift Investment Board (Board) is adopting as final the Board's proposed rule adding procedures to access records of spouses, former spouses, and beneficiaries of Thrift Savings Plan (TSP) participants.

DATES: Effective January 3, 2000.

FOR FURTHER INFORMATION CONTACT: Thomas L. Gray, (202) 942-1662. FAX (202) 942-1676.

SUPPLEMENTARY INFORMATION: The Board was established by the Federal Employees' Retirement System Act of 1986 (FERSA), Public Law 99-335, 100 Stat. 514, which has been codified, as amended, largely at 5 U.S.C. 8351 and 8401-8479 (1994), to administer the TSP. The TSP is a tax- deferred retirement savings plan for Federal employees which is similar to cash or deferred arrangements established under section 401(k) of the Internal Revenue Code.

On May 7, 1990, initial Board regulations implementing the Privacy Act were published in the Federal Register (55 FR 18851). An amendment to these regulations was published in the May 20, 1994, Federal Register (59 FR 26409), to allow the disclosure of participant records in response to a copy of an authorization signed by the subject of the records, instead of an original signed statement. Subsequently, on September 15, 1999, the Board published a proposed rule in the Federal Register (64 FR 50012) to add procedures to cover records that will be maintained for spouses, former spouses, and beneficiaries of Thrift Savings Plan (TSP) participants.

This change is necessary because the Board is updating its computerized data base for the TSP record keeping system. The Board maintains FRTIB-1, Thrift Savings Plan Records, which is a Governmentwide system of records. Under the new TSP record keeping system, in addition to records of participants, FRTIB-1 will include records of spouses, former spouses, and beneficiaries of participants. This change adds procedures for granting access to those records. The Board received no comments on the proposed rule; therefore, it is adopting the proposed rule without change.

Regulatory Flexibility Act

I certify that this amendment will not have a significant economic impact on a substantial number of small entities. It will affect only spouses, former spouses, and beneficiaries of TSP participants.

Paperwork Reduction Act

I certify that this amendment does not require additional reporting under the criteria of the Paperwork Reduction Act of 1980.

Unfunded Mandates Reform Act of 1995

Pursuant to the Unfunded Mandates Reform Act of 1995, section 201, Public Law 104-4, 109 Stat. 48, 64, the effect of this regulation on state, local, and tribal governments and on the private sector has been assessed. This regulation will not compel the expenditure in any one year of $100 million or more by any state, local, and tribal governments in the aggregate, or by the private sector. Therefore, a statement under section 202, 109 Stat. 48, 64-65, is not required.

Submission to Congress and the General Accounting Office

Under 5 U.S.C. 801(a)(1)(A), the Board submitted a report containing this rule and other required information to the U.S. Senate, the U.S. House of Representatives, and the Comptroller General of the United States before publishing this rule in today's Federal Register. This is not a major rule as defined at 5 U.S.C. 804(2).

List of Subjects in 5 CFR Part 1630

Privacy. Roger W. Mehle, Executive Director, Federal Retirement Thrift Investment Board.

For the reasons set forth in the preamble, part 1630 of chapter VI of title 5 of the Code of Federal Regulations is amended as follows:

PART 1630--PRIVACY ACT REGULATIONS

1. The authority citation for part 1630 continues to read as follows:

   Authority: 5 U.S.C. 552a.

2. Section 1630.2 is amended as follows:

   1. In paragraph (e) by adding the words ``or the record keeper'' after the word ``Board''; and

   2. By redesignating paragraphs (f), (g), (h), (i), (j), (k), (l), (m), and (n) as paragraphs (g), (h), (i), (j), (k), (l), (n), (o), and (p), respectively, and by adding paragraphs (f) and (m) to read as follows:

   Sec. 1630.2 Definitions.

   * * * * *

   (f) Record keeper means the entity that is engaged by the Board to perform record keeping services for the TSP; * * * * *

   (m) TSP participant means any individual for whom a TSP account has been established. This includes former participants, i.e., participants whose accounts have been closed; * * * * *

3. Section 1630.4 is amended by revising paragraph (a)(1) and the chart which follows that paragraph, by redesignating paragraphs (a)(2), (a)(3), and (a)(4) as paragraphs (a)(3), (a)(4) and (a)(5), and by adding a new paragraph (a)(2) to read as follows:

   Sec. 1630.4 Request for notification and access.

   (a) TSP records. (1) Records on TSP participants and the spouses, former spouses, and beneficiaries of TSP participants are maintained in the Governmentwide system of records, FRTIB-1, Thrift Savings Plan Records. A participant or a spouse, former spouse, or beneficiary of a participant must make his or her inquiry in accordance with the chart set forth in this paragraph. The mailing address of the Thrift Savings Plan Service Office is:

   [[Page 67694]]

   National Finance Center, PO Box 61500, New Orleans, LA, 70161-1500. Telephone inquiries are subject to the verification procedures set forth in Sec. 1630.7. A written inquiry must include the name and Social Security number of the participant or of the spouse, former spouse, or beneficiary of the participant, as appropriate.

   To obtain information about or gain access to TSP records about you

   If you want:

   If you are a participant who is If you are a participant who has separated from Federal To make inquiry as to whether you are a subject of this a current Federal employee: employment or a spouse, former spouse, or beneficiary:

   system of records.

   Call or write to your

   Call or write to TSP record keeper. employing agency in accordance with agency procedures for personnel or payroll records.

   To gain access to a record about you.................. Call or write to your

   Call or write to TSP record keeper. employing agency to request access to personnel and payroll records regarding the agency's and the participant's contributions, and adjustments to contributions. Call or write to the TSP record keeper to gain access to loan status and repayments, earnings, contributions allocation elections, interfund transfers, and withdrawal records.

   To learn the history of disclosures of records about Write to TSP record keeper... Write to TSP record keeper. you to entities other than the participant's employing agency or the Board or auditors see Sec. 1630.4 (a)(4).

   (2) 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 (504) 255-8777. 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. To access these features the participant will need to provide his or her SSN and PIN. * * * * *

   Sec. 1630.5 [Amended]

4. Section 1630.5 is amended in paragraphs (a) and (b) by adding the words ``or the TSP record keeper'' after the word ``Board'.

   Sec. 1630.6 [Amended]

5. Section 1630.6 is amended in paragraph (a) by removing at the end of the first sentence the phrase ``by the Board'.

6. Section 1630.7 is amended as follows:

   1. In paragraph (a), by adding the words ``or record keeper designee,'' after the words ``Privacy Act Officer'' in the third sentence; b. In paragraph

   (b), by adding the words ``or record keeper designee,'' after the words ``Privacy Act Officer'' in the second sentence; and c. By revising paragraph

   (c) to read as follows:

   Sec. 1630.7 Identification requirements.

   * * * * *

   (c) By telephone. (1) Telephone identification procedures apply only to requests from participants and spouses, former spouses, or beneficiaries of participants for information in FRTIB-1, Thrift Savings Plan Records, which is retrieved by their respective Social Security numbers.

   (2) A participant or a spouse, former spouse, or beneficiary of a participant must identify himself or herself by providing to the record keeper designee his or her name, Social Security number, and any other information requested. If the record keeper designee determines that any of the information provided by telephone is incorrect, the requester will be required to submit a request in writing.

   (3) A participant may also access the TSP Web site or call the TSP ThriftLine to obtain account information. These systems require the participant's Social Security number and PIN. Because a PIN is required to use these features, they are not available to former participants, whose PINs are canceled when their accounts are closed.

   Sec. 1630.8 [Amended]

7. Section 1630.8 is amended as follows:

   1. In paragraph (a), by removing the second sentence;

   2. In paragraph (b)(1), by adding the words ``or the record keeper'' after the word ``Board'; and

   3. In paragraph (b)(5), by adding the words ``or the record keeper'' after the word ``Board'' in the first sentence, and by adding the words ``or record keeper designee'' after the words ``Privacy Act Officer'' in the second sentence.

   Sec. 1630.11 [Amended]

8. Section 1630.11 is amended as follows:

   1. In paragraph (a)(1), by adding the following sentence at the beginning of the paragraph:

      (a) * * * (1) A spouse, former spouse or beneficiary of a TSP participant who wants to correct or amend his or her record must write to the TSP record keeper. * * *

   2. In paragraph (a)(1) by revising the chart to read as follows:

      [[Page 67695]]

      To correct or amend a TSP record

      If the type of record is: If you are a

      If you are a Personnel or personal participant who is participant who has

      records (e.g., age,

      a current Federal separated from

      address, Social Security employee write to: Federal employment

      number, date of birth). Write to your write to: employing agency. Write to TSP record keeper.

      The agency's and the

      Write to your

      Write to your participant's

      employing agency. former employing contributions, and

      agency. adjustments to contributions.

      Earnings, investment

      Write to TSP

      Write to TSP allocation, interfund

      record keeper.

      record keeper. transfers, loans, loan repayments, and withdrawals.

   3. In paragraph (a)(3), by removing the following language from the first sentence, ``the procedures set forth for agencies and the Board (including the TSP Service Office which is the Board's recordkeeper) in'; and

   4. In paragraph (a)(5), by revising the last two sentences to read as follows:

      (a) * * *

      (5) * * * The employing agency also has custody of the election form (which is maintained in the Official Personnel Folder). Requests for amendment or correction of records described in this paragraph should be made to the employing agency. * * * * *

      Sec. 1630.14 [Amended]

9. Section 1630.14 is amended in paragraph (c) by adding the words ``or the record keeper'' after the word ``Board'' in the first sentence.

   Sec. 1630.16 [Amended]

10. Section 1630.16 is amended in paragraph (d)(1) by adding the words ``to be'' after the word ``amount'.

    Sec. 1630.2, 1630.4, 1630.6, 1630.11, 1630.12 and 1630.16 [Amended]

11. The words ``Thrift Savings Plan Service Office'', ``TSP Service Office'' and ``Head, TSP Service Office'' are revised to read ``record keeper'' in the following sections:

    1630.2(n); 1630.4(a)(3) in all three sentences; 1630.6(a) in sentence two; 1630.11(a)(2); 1630.12(a) in sentences one and two; and 1630.16(c).

    Sec. 1630.6 and 1630.10 [Amended]

12. The words ``Head, TSP Service Office, or designee'' are revised to read ``record keeper designee'' in the following sections:

    01630.6(a) in sentence one; 1630.10(a); and 1630.10(a)(1). * * * * *

    [FR Doc. 99-30923Filed12-2-99; 8:45 am]

    BILLING CODE 6760-01-P