[Federal Register Volume 79, Number 220 (Friday, November 14, 2014)]
[Rules and Regulations]
[Pages 68093-68094]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-26933]



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  Federal Register / Vol. 79, No. 220 / Friday, November 14, 2014 / 
Rules and Regulations  

[[Page 68093]]



FEDERAL RETIREMENT THRIFT INVESTMENT BOARD

5 CFR Parts 1630 and 1631


Privacy Act and Freedom of Information Requests

AGENCY: Federal Retirement Thrift Investment Board.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Federal Retirement Thrift Investment Board (Agency) is 
amending its Privacy Act and FOIA regulations to reflect the Agency's 
current organizational structure and to transfer responsibility for 
reviewing Privacy Act and FOIA requests from the Agency's Office of 
Resource Management (formerly known as the Office of Administration) to 
the Office of General Counsel.

DATES: This rule is effective November 14, 2014.

FOR FURTHER INFORMATION CONTACT: Laurissa Stokes at (202) 942-1645.

SUPPLEMENTARY INFORMATION: The Agency administers the Thrift Savings 
Plan (TSP), which was established by the Federal Employees' Retirement 
System Act of 1986 (FERSA), Public Law 99-335, 100 Stat. 514. The TSP 
provisions of FERSA are codified, as amended, largely at 5 U.S.C. 8351 
and 8401-79. The TSP is a tax-deferred retirement savings plan for 
Federal civilian employees and members of the uniformed services. The 
TSP is similar to cash or deferred arrangements established for 
private-sector employees under section 401(k) of the Internal Revenue 
Code (26 U.S.C. 401(k)).
    On April 22, 2014, the Agency published a proposed rule with 
request for comments in the Federal Register (79 FR 22454). The Agency 
received no comments. Therefore, the Agency is publishing the proposed 
rule as final without modification.
    The Agency has eleven organizational offices: The Office of the 
Executive Director, the Office of Participant Operations and Policy, 
the Office of General Counsel, the Office of Investments, the Office of 
Communications and Education, the Office of Enterprise Planning, the 
Office of Enterprise Risk Management, the Office of External Affairs, 
the Office of Financial Management, the Office of Resource Management, 
and the Office of Technology Services. This regulation updates the list 
of Agency offices contained in section 1631.3.
    The Office of Resource Management (formerly known as the Office of 
Administration) currently has responsibility for reviewing, processing, 
and responding to initial requests for disclosure and initial requests 
to amend non-TSP records covered under the Privacy Act of 1974, 5 
U.S.C. 552a. The Executive Director currently considers appeals of 
initial decisions to deny access to or amendment of records in 
consultation with the General Counsel.
    This regulation transfers the responsibility for reviewing, 
processing, and responding to initial requests for disclosure and 
initial requests to amend non-TSP records covered under the Privacy Act 
to the Office of General Counsel by defining ``Privacy Act Officer'' to 
mean ``the Board's General Counsel or his or her designee.'' The 
Executive Director will retain responsibility for making a final 
decision on appeal of an initial decision to deny access to or 
amendment of records. However, the Executive Director will no longer be 
required to consult the General Counsel before making a final 
determination.

Freedom of Information Act

    The Office of Resource Management (formerly known as the Office of 
Administration) currently has responsibility for making initial 
determinations to approve or deny requests received pursuant to the 
Freedom of Information Act (FOIA), 5 U.S.C. 552. The General Counsel 
currently considers appeals of initial decisions to deny requests for 
records under the Freedom of Information Act.
    This regulation transfers the responsibility for making initial 
determinations to approve or deny FOIA requests to the Office of 
General Counsel by defining ``FOIA Officer'' to mean ``the Board's 
General Counsel or his or her designee.'' In order to retain the 
opportunity for fair review on appeal, this regulation also transfers 
the responsibility for deciding appeals from the General Counsel to the 
Executive Director.

Regulatory Flexibility Act

    I certify that this regulation will not have a significant economic 
impact on a substantial number of small entities. This regulation will 
affect Federal employees and members of the uniformed services who 
participate in the Thrift Savings Plan, which is a Federal defined 
contribution retirement savings plan created under the Federal 
Employees' Retirement System Act of 1986 (FERSA), Public Law 99-335, 
100 Stat. 514, and which is administered by the Agency.

Paperwork Reduction Act

    I certify that these regulations do not require additional 
reporting under the criteria of the Paperwork Reduction Act.

Unfunded Mandates Reform Act of 1995

    Pursuant to the Unfunded Mandates Reform Act of 1995, 2 U.S.C. 602, 
632, 653, 1501-1571, the effects of this regulation on state, local, 
and tribal governments and the private sector have been assessed. This 
regulation will not compel the expenditure in any one year of $100 
million or more by state, local, and tribal governments, in the 
aggregate, or by the private sector. Therefore, a statement under 
section 1532 is not required.

Submission to Congress and the General Accounting Office

    Pursuant to 5 U.S.C. 810(a)(1)(A), the Agency 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 publication of this rule in the Federal Register. 
This rule is not a major rule as defined at 5 U.S.C. 814(2).

List of Subjects

5 CFR Part 1630

    Privacy.

[[Page 68094]]

5 CFR Part 1631

    Courts, Freedom of information, Government employees.

Gregory T. Long,
Executive Director, Federal Retirement Thrift Investment Board.
    For the reasons stated in the preamble, the Agency amends 5 CFR 
chapter VI as follows:

PART 1630--PRIVACY ACT REGULATIONS

0
1. The authority citation for part 1630 continues to read as follows:

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


0
2. In Sec.  1630.2, redesignate paragraphs (g) through (r) as 
paragraphs (h) through (s), and add new paragraph (g) to read as 
follows:


Sec.  1630.2  Definitions.

* * * * *
    (g) Privacy Act Officer means the Board's General Counsel or his or 
her designee;
* * * * *

0
3. Amend Sec.  1630.14, by revising the first sentence of paragraph (a) 
to read as follows:


Sec.  1630.14  Appeals process.

    (a) Within 20 work days of receiving the request for review, the 
Executive Director will make a final determination on appeal. * * *
* * * * *


Sec.  1630.16  [Amended]

0
4. In Sec.  1630.16, paragraph (d) introductory text, remove the words 
and punctuation ``Head, TSP Service Office'', and add, in their place, 
the words ``Executive Director''.

PART 1631--AVAILABILITY OF RECORDS

Subpart A--Production or Disclosure of Records Under the Freedom of 
Information Act, 5 U.S.C. 552

0
5. The authority for part 1631, subpart A, continues to read as 
follows:

    Authority:  5 U.S.C. 552.


0
6. Amend Sec.  1631.1, by revising paragraph (e) to read as follows:


Sec.  1631.1  Definitions.

* * * * *
    (e) FOIA Officer means the Board's General Counsel or his or her 
designee.
* * * * *
0
7. Amend Sec.  1631.3, by revising paragraph (a) to read as follows:


Sec.  1631.3  Organization and functions.

    (a) The Federal Retirement Thrift Investment Board was established 
by the Federal Employees' Retirement System Act of 1986 (Pub. L. 99-
335, 5 U.S.C. 8401 et seq.). Its primary function is to manage and 
invest the Thrift Savings Fund for the exclusive benefit of its 
participants (e.g., participating Federal employees, Federal judges, 
and Members of Congress). The Board is responsible for investment of 
the assets of the Thrift Savings Fund and the management of the Thrift 
Savings Plan. The Board consists of:
    (1) The five part-time members who serve on the Board;
    (2) The Office of the Executive Director;
    (3) The Office of Participant Operations and Policy;
    (4) The Office of General Counsel;
    (5) The Office of Investments;
    (6) The Office of Communications and Education;
    (7) The Office of Enterprise Planning;
    (8) The Office of Enterprise Risk Management;
    (9) The Office of External Affairs;
    (10) The Office of Financial Management;
    (11) The Office of Resource Management; and
    (12) The Office of Technology Services.
* * * * *


0
8. Amend Sec.  1631.4, by revising the first sentence of paragraph (c) 
to read as follows:


Sec.  1631.4  Public reference facilities and current index.

* * * * *
    (c) The FOIA officer shall also maintain a file open to the public, 
which shall contain copies of all grants or denials of FOIA requests, 
appeals, and appeal decisions by the Executive Director. * * *


0
9. Amend Sec.  1631.9, by revising paragraph (b)(5) to read as follows:


Sec.  1631.9  Responses--form and content.

* * * * *
    (b) * * *
    (5) A statement that the denial may be appealed to the Executive 
Director within 30 calendar days of receipt of the denial or partial 
denial.
* * * * *


0
10. Revise Sec.  1631.10 to read as follows:


Sec.  1631.10  Appeals to the Executive Director from initial denials.

    (a) When the FOIA Officer has denied a request for expedited 
processing or a request for records, in whole or in part, the person 
making the request may, within 30 calendar days of receipt of the 
response of the FOIA Officer, appeal the denial to the Executive 
Director. The appeal must be in writing, addressed to the Executive 
Director, Federal Retirement Thrift Investment Board, 77 K Street NE., 
Suite 1000, Washington, DC 20002, and be clearly labeled as a ``Freedom 
of Information Act Appeal.''
    (b)(1) The Executive Director will act upon the appeal of a denial 
of a request for expedited processing within 5 work days of its 
receipt.
    (2) The Executive Director will act upon the appeal of a denial of 
a request for records within 20 work days of its receipt.
    (c) The Executive Director will decide the appeal in writing and 
mail the decision to the requester.
    (d) If the appeal concerns an expedited processing request and the 
decision is in favor of the person making the request, the Executive 
Director will order that the request be processed on an expedited 
basis. If the decision concerning a request for records is in favor of 
the requester, the Executive Director will order that the subject 
records be promptly made available to the person making the request.
    (e) If the appeal of a request for expedited processing of records 
is denied, in whole or in part, the Executive Director's decision will 
set forth the basis for the decision. If the appeal of a request for 
records is denied, in whole or in part, the Executive Director's 
decision will set forth the exemption relied on and a brief explanation 
of how the exemption applies to the records withheld and the reasons 
for asserting it, if different from the reasons described by the FOIA 
Officer under Sec.  1631.9. The denial of a request for records will 
state that the person making the request may, if dissatisfied with the 
decision on appeal, file a civil action in Federal court. (A Federal 
court does not have jurisdiction to review a denial of a request for 
expedited processing after the Board has provided a complete response 
to the request.)
    (f) No personal appearance, oral argument, or hearing will 
ordinarily be permitted in connection with an appeal of a request for 
expedited processing or an appeal for records.
    (g) On appeal of a request concerning records, the Executive 
Director may reduce any fees previously assessed.

[FR Doc. 2014-26933 Filed 11-13-14; 8:45 am]
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