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.

Proposed Rules Federal Register

29672

Vol. 63, No. 104

Monday, June 1, 1998

FEDERAL RETIREMENT THRIFT

INVESTMENT BOARD

5 CFR Part 1631

Availability of Records

AGENCY: Federal Retirement Thrift

Investment Board.

ACTION: Proposed rule with request for

comments.

SUMMARY: The Executive Director of the

Federal Retirement Thrift Investment

Board (Board) is publishing proposed

amendments to the Board’s Freedom of

Information Act rules to implement the

Electronic Freedom of Information Act

Amendments of 1996. The proposed

amendments provide for expedited

processing of certain requests and

enlarge the time for responding to initial

requests. The proposed amendments

also provide the address for the Board’s

electronic reading room and add a

category of documents to be made

available in the reading room. The

proposed amendments also update the

fees charged to search for records.

DATES: Comments must be received by

July 1, 1998.

ADDRESSES: Comments may be sent to

Thomas L. Gray, Federal Retirement

Thrift Investment Board, 1250 H Street,

NW., Washington, DC 20005.

FOR FURTHER INFORMATION CONTACT:

Thomas L. Gray, (202) 942–1662, FAX

(202) 942–1676.

SUPPLEMENTARY INFORMATION: Section 4

of the Electronic Freedom of

Information Act Amendments of 1996

(EFOIA), Pubic Law 104–231, section 4,

110 Stat. 3048, 3049, amended 5 U.S.C.

552(a)(2) to require Federal agencies to

make documents available in electronic

form. In accordance with this

requirement, the Board proposes to

amend 5 CFR 1631.4 to provide the

address of its electronic reading room.

The Board maintains a reading area with

paper documents that is open to the

public. The Board also maintains a

business Web site at http://

www.frtib.gov which contains, in

addition to business information, its

electronic reading room. The Board

maintains a Web site at http://

www.tsp.gov to provide program

information about the Thrift Savings

Plan, and that site is linked to the

business site. Both Web sites contain

documents in readily accessible

electronic form which can be

downloaded by the requester. In

accordance with the EFOIA, the Board

will add to its reading area and Web site

those records that it determines are

repeatedly requested under the Freedom

of Information Act Amendments (FOIA).

A list of such records will be

maintained on the Board’s business Web

site.

Section 3 of the EFOIA, 110 Stat. at

3051–52, amended 5 U.S.C. 552(a)(E)(6)

to require Federal agencies to pro

mulgate rules on expedited processing

of FOIA requests in cases of compelling

need or in other cases determined by the

agency. To implement this requirement,

the Board is proposing to add new

paragraphs (f) and (g) to 5 CFR 1631.6

to set forth the circumstances under

which the Board will honor a request for

expedited processing and establish

procedures for expediting requests.

Proposed amendments to 5 CFR

1631.8(a) advise that a determination

whether to provide expedited

processing of a request will be made

within 10 work days. The Board

normally processes FOIA requests on a

first-in, first-out basis. If a request for

expedited processing is approved, that

request will be processed ahead of other

requests. In addition, the Board

proposes to amend 5 CFR 1631.8(b) and

(c) to implement the new 20-day time

limit for responding to initial requests

for records and to provide procedures

the Board will follow if additional time

is needed to process a request for

records.

Proposed amendments to 5 CFR

1631.10 provide procedures for

processing appeals of requests for

expedited processing, distinguish

procedures for handling a request for

expedited processing from procedures

for processing an appeal of a request for

records, and state that an appeal from

the denial of a request for expedited

processing will be handled within five

work days of receipt in the Office of

General Counsel.

The Board also proposes to amend 5

CFR 1631.11 and 1631.14 to increase the

benefits factor which, along with the

employee’s salary, determines the

amount the Board will charge to search

for records. Sections 1631.11 and

1631.14 currently provide for charging

the salary rate of the employee who

conducts the search plus 16 percent for

benefits. The benefits factor was set at

16 percent based on an Office of

Management and Budget FOIA fee

schedule and guidelines published in

the Federal Register on March 27, 1987

(52 FR 10012, 10013), and it has not

been revised since that time. For Board

employees, the current benefits rate is

23.5 percent. Included in this rate are

retirement contributions, Social

Security taxes, health and life insurance

premiums, and lump sum awards and

bonuses.

Finally, 5 CFR 1631.18 is amended to

address the new annual reporting

requirement imposed by section 10 of

the EFOIA, 110 Stat. at 3053–54, which

will be codified at 5 U.S.C. 552(e).

Regulatory Flexibility Act

I certify that these regulations will not

have a significant economic impact on

a substantial number of small entities.

They require the Board to disclose

information in certain instances and to

address when and the form in which

information will be disclosed.

Paperwork Reduction Act

I certify that these regulations do not

require additional reporting under the

criteria of the Paperwork Reduction Act

of 1980.

Unfunded Mandates Reform Act of

1995

Under the Unfunded Mandates

Reform Act of 1995, section 201, Public

Law 104–4, 109 Stat. 48, 64, the effect

of these regulations on State, local, and

tribal governments and on the private

sector has been assessed. These regulations 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.
Federal Register / Vol. 63, No. 104 / Monday, June 1, 1998 / Proposed Rules 29673

List of Subjects in 5 CFR Part 1631

Administrative practice and

procedure, Freedom of information,

Records.

Roger W. Mehle,

Executive Director, Federal Retirement Thrift

Investment Board.

For the reasons set out in the

preamble, the Federal Retirement Thrift

Investment Board proposes to revise 5

CFR Part 1631 to read as follows:

PART 1631—AVAILABILITY OF

RECORDS

1. The authority citation for part 1631

is revised to read as follows:

Authority: 5 U.S.C. 552.

2. Section 1631.4 is amended by

revising paragraph (a) to read as follows:

§ 1631.4 Public reference facilities and

current index.

(a) The Board maintains a public

reading area located in room 4308 at

1250 H Street, NW, Washington, DC.

Reading area hours are from 9:00 A.M.

to 5:00 P.M., Monday through Friday,

exclusive of Federal holidays. Electronic

reading room documents are available

through http://www.frtib.gov. In the

reading area and through the Web site,

the Board makes available for public

inspection, copying, and downloading

materials required by 5 U.S.C. 552(a)(2),

including documents published by the

Board in the Federal Register which are

currently in effect.

* * * * *

3. Section 1631.6 is amended by

adding new paragraphs (f) and (g) to

read as follows:

§ 1631.6 How to request records—form

and content.

* * * * *

(f) When a person requesting

expedited access to records has

demonstrated a compelling need, or

when the Board has determined that it

is appropriate to expedite its response,

the Board will process the request ahead

of other requests.

(g) To demonstrate compelling need

in accordance with paragraph (f) of this

section, the requester must submit a

written statement that contains a

certification that the information

provided therein is true and accurate to

the best of the requester’s knowledge

and belief. The statement must

demonstrate that:

(1) The failure to obtain the record on

an expedited basis could reasonably be

expected to pose an imminent threat to

the life or physical safety of an

individual; or

(2) The requester is a person primarily

engaged in the dissemination of

information, and there is an urgent need

to inform the public concerning an

actual or alleged Federal Government

activity that is the subject of the request.

4. Section 1631.8 is revised to read as

follows:

§ 1631.8 Prompt response.

(a)(1) When the FOIA Officer receives

a request for expedited processing, he or

she will determine within 10 work days

whether to process the request on an

expedited basis.

(2) When the FOIA Officer receives a

request for records which he or she, in

good faith, believes is not reasonably

descriptive, he or she will so advise the

requester within 5 work days. The time

limit for processing such a request will

not begin until receipt of a request that

reasonably describes the records being

sought.

(b) The FOIA Officer will either

approve or deny a reasonably

descriptive request for records within 20

work days after receipt of the request,

unless additional time is required for

one of the following reasons:

(1) It is necessary to search for and

collect the requested records from other

establishments that are separate from

the office processing the request (e.g.,

the record keeper);

(2) It is necessary to search for,

collect, and examine a voluminous

amount of records which are demanded

in a single request;

(3) It is necessary to consult with

another agency which has a substantial

interest in the determination of the

request or to consult with two or more

offices of the Board which have a

substantial subject matter interest in the

records; or

(4) It is necessary to devote resources

to the processing of an expedited

request under § 1631.6(f) of this part.

(c) When additional time is required

for one of the reasons stated in

paragraph (b) of this section, the FOIA

Officer will extend this time period for

an additional 10 work days by written

notice to the requester. If the Board will

be unable to process the request within

this additional time period, the

requester will be notified and given the

opportunity to——

(1) Limit the scope of the request, or

(2) Arrange with the FOIA Officer an

alternative time frame for processing the

request.

5. Section 1631.10 is revised to read

as follows:

§ 1631.10 Appeals to the General Counsel

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 General Counsel. The

appeal must be in writing, addressed to

the General Counsel, Federal Retirement

Thrift Investment Board, 1250 H Street,

NW, Washington, DC 20005, and be

clearly labeled as a ‘‘Freedom of

Information Act Appeal.’’

(b)(1) The General Counsel will act

upon the appeal of a denial of a request

for expedited processing within 5 work

days of its receipt.

(2) The General Counsel will act upon

the appeal of a denial of a request for

records within 20 work days of its

receipt.

(c) The General Counsel 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 General Counsel

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 General

Counsel 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 General

Counsel’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 General Counsel’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

§ 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 General Counsel may

reduce any fees previously assessed.

§ 1631.11 [Amended]

6. In § 1631.11 amend paragraph (a)(4)

by removing the phrase ‘‘plus 16

percent’’ in the second sentence and

adding the phrase ‘‘plus 23.5 percent’’

in its place.
29674 Federal Register / Vol. 63, No. 104 / Monday, June 1, 1998 / Proposed Rules

§ 1631.13 [Amended]

7. In section 1631.13 amend

paragraph (c) by removing the number

‘‘10’’ and adding in its place the number

‘‘20’’.

§ 1631.14 [Amended]

8. In § 1631.14 amend the first

sentence of paragraph (a) and the first

sentence of paragraph (b) by removing

the phrase ‘‘plus 16 percent’’ and

adding the phrase ‘‘plus 23.5 percent’’

in its place.

9. Section 1631.18 is revised to read

as follows:

§ 1631.18 Annual report.

The Executive Director will submit

annually, on or before February 1, a

Freedom of Information report covering

the preceding fiscal year to the Attorney

General of the United States. The report

will include matters required by 5

U.S.C. 552(e).

[FR Doc. 98–14358 Filed 5–29–98; 8:45 am]

BILLING CODE 6760–01–U

FEDERAL RETIREMENT THRIFT

INVESTMENT BOARD

5 CFR Part 1655

Thrift Savings Plan Loans

AGENCY: Federal Retirement Thrift

Investment Board.

ACTION: Proposed rule with request for

comments.

SUMMARY: The Executive Director of the

Federal Retirement Thrift Investment

Board (Board) is publishing a proposed

revision to regulations concerning Thrift

Savings Plan (TSP) loans. The

amendment will affect participants who

are alleged to have submitted false

information in support of their request

for a TSP loan. The amendment

establishes a process for investigating

written allegations of such fraudulent

activity. When the Board finds that the

evidence suggests the participant

provided false information to the TSP

during the loan process, the Board will

refer the case to the appropriate

authorities for criminal prosecution and,

in the appropriate case, administrative

action.

DATES: Comments must be submitted on

or before July 1, 1998.

ADDRESSES: Comments may be sent to

Elizabeth S. Woodruff, Federal

Retirement Thrift Investment Board,

1250 H Street, N.W., Washington, D.C.

20005.

FOR FURTHER INFORMATION CONTACT:

Elizabeth S. Woodruff, (202) 942–1661.

SUPPLEMENTARY INFORMATION: A final

rule governing TSP loans was published

in the Federal Register on April 14,

1997 (62 FR 18019). That rule revised

interim regulations that were published

in the Federal Register on November 18,

1996 (61 FR 58754). Current regulations

require participants who are applying

for a loan from their TSP accounts to

provide certain information and certify

the truth of the information on the

application. The terms and conditions

of a TSP loan are then reflected in a

Loan Agreement/Promissory Note

which the participant signs, thereby

certifying, under penalty of perjury, the

truth of all statements made and

documentation provided with this

signed document.

Before the TSP will permit a loan to

a TSP participant, the participant must

indicate his or her marital status on the

Loan Application and, if married, the

spouse’s name. In the case of a married

Federal Employees’ Retirement System

(FERS) participant, the participant must

obtain the signature of his/her spouse

on the Loan Agreement/ Promissory

Note to show that the spouse has

consented to the loan. In the case of a

married Civil Service Retirement

System (CSRS) participant, the consent

of the spouse is not required; however,

the TSP must send a notice to the

spouse. The CSRS participant is

therefore required to provide the

spouse’s address on the loan

application. These consent and notice

requirements can be waived upon

application to the TSP pursuant to 5

CFR 1655.18.

This regulation adds paragraph (f) to

§ 1655.18 to provide that, if the Board

receives a written allegation from the

spouse stating that a participant

misrepresented his/her marital status or

the address of the spouse of a CSRS

participant, or that the participant

submitted a Loan Agreement/

Promissory Note with a forged signature

of the spouse of a FERS participant, the

Board will submit the questioned

document to the spouse and request that

the allegation of fraud or forgery be

affirmed. If the allegation is affirmed

and the loan has been disbursed, the

Board will give the participant an

opportunity to repay the loan within a

60-day period. This will permit the

participant to return the account to the

status quo, thus restoring the spouse’s

interest in the account.

The notice will also advise that if the

participant does not repay the loan in

full within the 60 days provided, the

Board will conduct an investigation into

the allegation. The Board will not give

this repayment opportunity to a

participant who has received a final

divorce from his/her spouse before the

funds are received by the TSP. In such

a case, the Board will immediately begin

its investigation.

Where the Board finds evidence to

suggest that the participant

misrepresented his/her marital status or

spouse’s address or that the signature of

the spouse was forged, the Board will

refer the case to the Department of

Justice for criminal prosecution and,

where the participant is still employed,

to the Inspector General or other appropriate authority in the participant’s

employing agency for administrative

action. The Board will also freeze the

participant’s account and will not

permit a withdrawal or another loan

until the loan is repaid, the Board

receives assurance from the spouse in

writing that the notice or consent

requirements have been met, the

participant is divorced, or the Board’s

investigation does not yield persuasive

evidence to support the allegation.

Regulatory Flexibility Act

I certify that this amendment will not

have a significant economic impact on

a substantial number of small entities

because the regulations will only affect

TSP participants.

Paperwork Reduction Act

I certify that these regulations do 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 these regulations 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.

List of Subjects in 5 CFR Part 1655

Credit, Government employees,

Pensions, Retirement.

Roger W. Mehle,

Executive Director, Federal Retirement Thrift

Investment Board.

For the reasons set forth in the

preamble, part 1655 of chapter VI of title

5 of the Code of Federal Regulations is

amended as follows: