[Federal Register Volume 84, Number 64 (Wednesday, April 3, 2019)]
[Proposed Rules]
[Pages 12954-12955]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06166]
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Proposed Rules
Federal Register
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This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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Federal Register / Vol. 84, No. 64 / Wednesday, April 3, 2019 /
Proposed Rules
[[Page 12954]]
FEDERAL RETIREMENT THRIFT INVESTMENT BOARD
5 CFR Part 1630
Privacy Act: Proposed Exemptions
AGENCY: Federal Retirement Thrift Investment Board.
ACTION: Notice of proposed rulemaking.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended (the
Act), the Federal Retirement Thrift Investment Board (FRTIB) proposes
to exempt four systems of records from certain requirements of the Act.
FRTIB has previously published Systems of Records Notices (SORNs) for
these systems.
DATES: Comments on this notice must be received by May 3, 2019.
ADDRESSES: You may submit written comments to FRTIB through the
following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the website instructions for submitting comments.
Email: [email protected].
Fax: 202-942-1676.
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: Marla Greenberg, Chief Privacy
Officer, Federal Retirement Thrift Investment Board, Office of General
Counsel, 77 K Street NE, Suite 1000, Washington, DC 20002, 202-942-
1600, [email protected].
SUPPLEMENTARY INFORMATION: FRTIB proposes to revise its Privacy Act
regulations at 5 CFR part 1630 to exempt one of its systems of records,
FRTIB-13, from certain requirements of the Privacy Act, 5 U.S.C. 552a.
Under the Privacy Act, individuals have a right of access to
information pertaining to them which is contained in a system of
records. At the same time, the Privacy Act permits certain types of
systems to be exempt from some of the Privacy Act requirements.
Subsection (k)(2) of the Privacy Act authorizes the head of an agency
to exempt a system of records from the applicable subsections if
investigatory records are compiled for law enforcement purposes, but
only to the extent that the disclosure of such material would reveal
the identity of a source who furnished information to the Government
under an express promise that the identity of the source would be held
in confidence.
As indicated in the Agency's accompanying Privacy Act system of
records notices amending FRTIB-13, this system contains information
compiled by the Agency in the course of carrying out its fiduciary
duties to detect and prevent fraudulent activity against participant
accounts. FRTIB's fraud and forgery records fall under the exemption
stated within subsection (k)(2) of the Privacy Act because these
records are compiled for law enforcement purposes. FRTIB proposes to
exempt eligible records contained within FRTIB-13 from the requirements
of subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), (I); and (f), which
require agencies to provide an accounting of disclosures; provide
notification, access, and amendment rights, rules, and procedures;
maintain only relevant and necessary information; and identify
categories of record sources. Exempting records from this system is
necessary and appropriate to maintain the integrity of FRTIB's
investigations into allegations of fraud or forgery and to ensure that
FRTIB's efforts to obtain accurate and objective information will be
successful. FRTIB has previously published a SORN for this system in
the Federal Register. 81 FR 7106, 7111 (Feb. 10, 2016). To the extent
that FRTIB uses investigatory material within this system of records as
a basis for denying an individual any right, privilege, or benefit to
which an individual would be entitled in the absence of that record,
FRTIB will grant that individual access to the material except to the
extent that access would reveal the identity of a source promised
confidentiality.
These exemptions apply only to the extent that information in this
system is subject to exemption pursuant to 5 U.S.C. 552a(k). Where
FRTIB determines compliance would not appear to interfere with or
adversely affect the purpose of this system to investigate and prevent
fraud, the applicable exemption may be waived by FRTIB in its sole
discretion, Exemptions from the particular subsections are necessary
and appropriate, and justified for the following reasons:
5 U.S.C. 552(a)(c)(3) (the requirement to provide
accountings of disclosures) and 5 U.S.C. 552a(d)(1)-(4) (requirements
addressing notification, access, and amendment rights, collectively
referred to herein as access requirements). Providing individuals with
notification, access, and amendment rights with respect to allegations
and investigations into fraud against participant accounts could reveal
the existence of an investigation; investigative interest;
investigative techniques; details about an investigation; security-
sensitive information such as information about security measures and
security vulnerabilities; information that must remain non-public to
protect personal privacy-identities of law enforcement personnel; or
other sensitive or privacy-protected information. Revealing such
information to individuals would compromise or otherwise impede pending
and future law enforcement investigations and efforts to protect
sensitive information. Revealing such information would also violate
personal privacy. Additionally, revealing this information would enable
individuals to evade detection and apprehension by security and law
enforcement personnel; destroy, conceal, or tamper with evidence or
fabricate testimony; or harass, intimidate, harm, coerce, or retaliate
against witnesses, complainants, investigators, security personnel, law
enforcement personnel, or their family members, their employees, or
other individuals. With respect to investigatory material compiled for
law enforcement purposes, the exemption pursuant to 5 U.S.C. 552a(k)(2)
from access requirements in subsection (d) of the Act is statutorily
limited. If any individual is denied a right, privilege, or benefit to
which the individual would otherwise be entitled by Federal law or for
which the individual would otherwise be eligible, access will be
granted, except to the extent that the disclosure would reveal the
identity of a source who furnished the information to the Government
under an express promise of confidentiality.
5 U.S.C. 552a(e)(1) (the requirement to maintain only
relevant and necessary
[[Page 12955]]
information authorized by statute or Executive Order). It will not
always be possible to determine at the time information is received or
compiled in this system of records whether the information is or will
be relevant and necessary to a law enforcement investigation. For
example, a tip or lead that does not appear relevant or necessary when
combined with other information that reveals a pattern or that comes to
light later.
5 U.S.C. 552a(e)(4)(G) and (H) (the requirements to
describe procedures by which subjects may be notified of whether the
system of records contains records about them and seek access or
amendment of a record). These requirements concern individual access to
records, and the records are exempt under subsections (c) and (d) of
the Act, as described above. To the extent that subsection (e)(4)(G)
and (H) are interpreted to require the Agency to promulgate more
detailed procedures regarding record notification, access, or amendment
than have been published in the Federal Register, exemption from those
provisions is necessary for the same rationale as applies to
subsections (c) and (d).
5 U.S.C. 552a(e)(4)(I) (the requirement to describe the
categories of record sources). To the extent that this subsection is
interpreted to require a more detailed description regarding the record
sources in this system than has been published in the Federal Register,
exemption from this provision is necessary to protect the sources of
law enforcement and intelligence information and to protect the privacy
and safety of witnesses and informants and others who provide
information to FRTIB or as part of the Thrift Savings Plan (TSP).
Further, because records used to investigate and prosecute allegations
of fraud and forgery against participant accounts could come from any
source, it is not possible to know every category in advance in order
to list them all in FRTIB's accompanying SORN. Some record source
categories may not be appropriate to make public in the SORN if, for
example, revealing them could enable individuals to discover
investigative techniques and devise ways to bypass them to evade
detection and apprehension.
5 U.S.C. 552a(f) (the requirement to promulgate rules to
implement provisions of the Privacy Act). To the extent that this
subsection is interpreted to require agency rules addressing the
aforementioned exempted requirements, exemption from this provision is
also necessary to protect the sources of law enforcement and
intelligence information and to protect the privacy and safety of
witnesses and informants and others who provide information to FRTIB or
as part of the TSP.
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 Sec.
1532 is not required.
List of Subjects in 5 CFR Part 1630
Privacy.
Accordingly, FRTIB proposes to revise 5 CFR part 1630 as follows:
PART 1630--PRIVACY ACT REGULATIONS
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1. The authority citation for Part 1630 continues to read as follows:
Authority: 5 U.S.C. 552a.
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2. Amend Sec. 1630.15 by revising paragraph (b) to read as follows:
Sec. 1630.15 Exemptions.
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(b) Those designated systems of records which are exempt from the
requirements of sections (c)(3); (d); (e)(1); (e)(4)(G), (H), (I); and
(f) of the Privacy Act, 5 U.S.C. 552a, include FRTIB-13, Fraud and
Forgery Records.
Dated: March 21, 2019.
Ravindra Deo,
Executive Director.
[FR Doc. 2019-06166 Filed 4-2-19; 8:45 am]
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