[Federal Register Volume 64, Number 232 (Friday, December 3, 1999)]
[Rules and Regulations]
[Pages 67693-67695]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-30923]
========================================================================
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.
========================================================================
Federal Register / Vol. 64, No. 232 / Friday, December 3, 1999 /
Rules and Regulations
[[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:
a. In paragraph (e) by adding the words ``or the record keeper''
after the word ``Board''; and
b. 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:
a. 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:
a. In paragraph (a), by removing the second sentence;
b. In paragraph (b)(1), by adding the words ``or the record
keeper'' after the word ``Board'; and
c. 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:
a. 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. * * *
b. 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.
c. 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
d. 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. 99-30923 Filed 12-2-99; 8:45 am]
BILLING CODE 6760-01-P