Federal Register / Vol. 87, No. 80 / Tuesday, April 26, 2022 / Notices 24559 

1See Section 3.2 for the criteria for being deleted 

from the Docket. 

Authority: This action is being taken 

under the Clean Water Act, 33 U.S.C. 

1251 et seq. 

David Cash, 

Regional Administrator, EPA Region 1. 

[FR Doc. 2022–08819 Filed 4–25–22; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

[FRL–9768–01–OLEM] 

Forty-First Update of the Federal 

Agency Hazardous Waste Compliance 

Docket 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Notice. 

SUMMARY: Since 1988, the 

Environmental Protection Agency (EPA) 

has maintained a Federal Agency 

Hazardous Waste Compliance Docket 

(‘‘Docket’’) under the Comprehensive 

Environmental Response, 

Compensation, and Liability Act 

(CERCLA). CERCLA requires EPA to 

establish a Docket that contains certain 

information reported to EPA by Federal 

facilities that manage hazardous waste 

or from which a reportable quantity of 

hazardous substances has been released. 

This notice identifies the Federal 

facilities not previously listed on the 

Docket and identifies Federal facilities 

reported to EPA since the last update on 

October 27, 2021. In addition to the list 

of additions to the Docket, this notice 

includes a section with revisions of the 

previous Docket list and a section of 

Federal facilities that are to be deleted 

from the Docket. Thus, the revisions in 

this update include eleven additions, 

zero deletions, and zero corrections to 

the Docket since the previous update. 

DATES: This list is current as of April 5, 

2022. 

FOR FURTHER INFORMATION CONTACT: 

Electronic versions of the Docket and 

more information on its implementation 

can be obtained at http://www.epa.gov/ 

fedfac/federal-agency-hazardous-wastecompliance-docket by clicking on the 

link for Cleanups at Federal Facilities or 

by contacting Jonathan Tso 

(Tso.Jonathan@epa.gov), Federal 

Agency Hazardous Waste Compliance 

Docket Coordinator, Federal Facilities 

Restoration and Reuse Office. 

Additional information on the Docket 

and a complete list of Docket sites can 

be obtained at: https://www.epa.gov/ 

fedfac/federal-agency-hazardous-wastecompliance-docket-1. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

1.0 Introduction 

2.0 Regional Docket Coordinators 

3.0 Revisions of the Previous Docket 

4.0 Process for Compiling the Updated 

Docket 

5.0 Facilities Not Included 

6.0 Facility NPL Status Reporting, 

Including NFRAP Status 

7.0 Information Contained on Docket 

Listing 

1.0 Introduction 

Section 120(c) of CERCLA, 42 U.S.C. 

9620(c), as amended by the Superfund 

Amendments and Reauthorization Act 

of 1986 (SARA), requires EPA to 

establish the Federal Agency Hazardous 

Waste Compliance Docket. The Docket 

contains information on Federal 

facilities that manage hazardous waste 

and such information is submitted by 

Federal agencies to EPA under sections 

3005, 3010, and 3016 of the Resource 

Conservation and Recovery Act (RCRA), 

42 U.S.C. 6925, 6930, and 6937. 

Additionally, the Docket contains 

information on Federal facilities with a 

reportable quantity of hazardous 

substances that has been released and 

such information is submitted by 

Federal agencies to EPA under section 

103 of CERCLA, 42 U.S.C. 9603. 

Specifically, RCRA section 3005 

establishes a permitting system for 

certain hazardous waste treatment, 

storage, and disposal (TSD) facilities; 

RCRA section 3010 requires waste 

generators, transporters and TSD 

facilities to notify EPA of their 

hazardous waste activities; and RCRA 

section 3016 requires Federal agencies 

to submit biennially to EPA an 

inventory of their Federal hazardous 

waste facilities. CERCLA section 103(a) 

requires the owner or operator of a 

vessel or onshore or offshore facility to 

notify the National Response Center 

(NRC) of any spill or other release of a 

hazardous substance that equals or 

exceeds a reportable quantity (RQ), as 

defined by CERCLA section 101. 

Additionally, CERCLA section 103(c) 

requires facilities that have ‘‘stored, 

treated, or disposed of’’ hazardous 

wastes and where there is ‘‘known, 

suspected, or likely releases’’ of 

hazardous substances to report their 

activities to EPA. 

CERCLA section 120(d) requires EPA 

to take steps to assure that a Preliminary 

Assessment (PA) be completed for those 

sites identified in the Docket and that 

the evaluation and listing of sites with 

a PA be completed within a reasonable 

time frame. The PA is designed to 

provide information for EPA to consider 

when evaluating the site for potential 

response action or inclusion on the 

National Priorities List (NPL). 

The Docket serves three major 

purposes: (1) To identify all Federal 

facilities that must be evaluated to 

determine whether they pose a threat to 

human health and the environment 

sufficient to warrant inclusion on the 

National Priorities List (NPL); (2) to 

compile and maintain the information 

submitted to EPA on such facilities 

under the provisions listed in section 

120(c) of CERCLA; and (3) to provide a 

mechanism to make the information 

available to the public. Previous Docket 

updates are available at https://

www.epa.gov/fedfac/previous-federalagency-hazardous-waste-compliancedocket-updates. 

This notice provides some 

background information on the Docket. 

Additional information on the Docket 

requirements and implementation are 

found in the Docket Reference Manual, 

Federal Agency Hazardous Waste 

Compliance Docket found at http://

www.epa.gov/fedfac/docket-referencemanual-federal-agency-hazardouswaste-compliance-docket-interim-final 

or obtained by calling the Regional 

Docket Coordinators listed below. This 

notice also provides changes to the list 

of sites included on the Docket in three 

areas: (1) Additions, (2) Deletions, and 

(3) Corrections. Specifically, additions 

are newly identified Federal facilities 

that have been reported to EPA since the 

last update and now are included on the 

Docket; the deletions section lists 

Federal facilities that EPA is deleting 

from the Docket.1 The information 

submitted to EPA on each Federal 

facility is maintained in the Docket 

repository located in the EPA Regional 

office of the Region in which the 

Federal facility is located; for a 

description of the information required 

under those provisions, see 53 FR 4280 

(February 12, 1988). Each repository 

contains the documents submitted to 

EPA under the reporting provisions and 

correspondence relevant to the reporting 

provisions for each Federal facility. 

In prior updates, information was also 

provided regarding No Further 

Remedial Action Planned (NFRAP) 

status changes. However, information 

on NFRAP and NPL status is no longer 

being provided separately in the Docket 

update as it is now available at: http:// 

www.epa.gov/fedfacts/federal-facilitycleanup-sites-searchable-list or by 

contacting the EPA HQ Docket 

Coordinator at the address provided in 

the FOR FURTHER INFORMATION CONTACT

section of this notice. 


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24560 Federal Register / Vol. 87, No. 80 / Tuesday, April 26, 2022 / Notices 

2.0 Regional Docket Coordinators 

Contact the following Docket 

Coordinators for information on 

Regional Docket repositories: 

• US EPA Region 1. Ross Gilleland 

(HBS), 5 Post Office Square, Suite 100, 

Mail Code: 01–5, Boston MA 02109– 

3912, (617) 918–1188. 

• US EPA Region 2. Cathy Moyik 

(ERRD), 290 Broadway, New York, NY 

10007–1866, (212) 637–4339. 

• US EPA Region 3. Joseph Vitello 

(3HS12), 1650 Arch Street, 

Philadelphia, PA 19107, (215) 814– 

3354. 

• US EPA Region 3. Dawn Fulsher 

(3HS12), 1650 Arch Street, 

Philadelphia, PA 19107, (215) 814– 

3270. 

• US EPA Region 4. Alayna Famble 

(9T25), 61 Forsyth St. SW, Atlanta, GA 

30303, (404) 564–8444. 

• US EPA Region 5. David Brauner 

(SR–6J), 77 W. Jackson Blvd., Chicago, 

IL 60604, (312) 886–1526. 

• US EPA Region 6. Philip Ofosu 

(6SF–RA), 1445 Ross Avenue, Dallas, 

TX 75202–2733, (214) 665–3178. 

• US EPA Region 7. Todd H Davis 

(SUPRERSP), 11201 Renner Blvd., 

Lenexa, KS 66219, (913) 551–7749. 

• US EPA Region 8. Ryan Dunham 

(EPR–F), 1595 Wynkoop Street, Denver, 

CO 80202, (303) 312–6627. 

• US EPA Region 9. Leslie Ramirez 

(SFD–6–1), 75 Hawthorne Street, San 

Francisco, CA 94105, (415) 972–3978. 

• US EPA Region 10. Ken Marcy, 

Oregon Operations Office, 805 SW 

Broadway, Suite 500, Portland, OR 

97205, (503) 326–3269. 

3.0 Revisions of the Previous Docket 

This section includes a discussion of 

the additions, deletions and corrections 

to the list of Docket facilities since the 

previous Docket update. 

3.1 Additions 

These Federal facilities are being 

added primarily because of new 

information obtained by EPA (for 

example, recent reporting of a facility 

pursuant to RCRA sections 3005, 3010, 

or 3016 or CERCLA section 103). 

CERCLA section 120, as amended by the 

Defense Authorization Act of 1997, 

specifies that EPA take steps to assure 

that a Preliminary Assessment (PA) be 

completed within a reasonable time 

frame for those Federal facilities that are 

included on the Docket. Among other 

things, the PA is designed to provide 

information for EPA to consider when 

evaluating the site for potential response 

action or listing on the NPL. This notice 

includes eleven additions. 

3.2 Deletions 

There are no statutory or regulatory 

provisions that address deletion of a 

facility from the Docket. However, if a 

facility is incorrectly included on the 

Docket, it may be deleted from the 

Docket. The criteria EPA uses in 

deleting sites from the Docket include: 

A facility for which there was an 

incorrect report submitted for hazardous 

waste activity under RCRA (e.g., 40 CFR 

262.44); a facility that was not 

Federally-owned or operated at the time 

of the listing; a facility included more 

than once (i.e., redundant listings); or 

when multiple facilities are combined 

under one listing. (See Docket Codes 

(Reasons for Deletion of Facilities) for a 

more refined list of the criteria EPA uses 

for deleting sites from the Docket.) 

Facilities being deleted no longer will 

be subject to the requirements of 

CERCLA section 120(d). This notice 

includes zero deletions. 

3.3 Corrections 

Changes necessary to correct the 

previous Docket are identified by both 

EPA and Federal agencies. The 

corrections section may include changes 

in addresses or spelling, and corrections 

of the recorded name and ownership of 

a Federal facility. In addition, changes 

in the names of Federal facilities may be 

made to establish consistency in the 

Docket or between the Superfund 

Enterprise Management System (SEMS) 

and the Docket. For the Federal facility 

for which a correction is entered, the 

original entry is as it appeared in 

previous Docket updates. The corrected 

update is shown directly below, for easy 

comparison. This notice includes zero 

corrections. 

4.0 Process for Compiling the Updated 

Docket 

In compiling the newly reported 

Federal facilities for the update being 

published in this notice, EPA extracted 

the names, addresses, and identification 

numbers of facilities from four EPA 

databases—the WebEOC, the Biennial 

Inventory of Federal Agency Hazardous 

Waste Activities, the Resource 

Conservation and Recovery Act 

Information System (RCRAInfo), and 

SEMS—that contain information about 

Federal facilities submitted under the 

four provisions listed in CERCLA 

section 120(c). 

EPA assures the quality of the 

information on the Docket by 

conducting extensive evaluation of the 

current Docket list and contacts the 

other Federal Agency (OFA) with the 

information obtained from the databases 

identified above to determine which 

Federal facilities were, in fact, newly 

reported and qualified for inclusion on 

the update. EPA is also striving to 

correct errors for Federal facilities that 

were previously reported. For example, 

state-owned or privately-owned 

facilities that are not operated by the 

Federal government may have been 

included. Such problems are sometimes 

caused by procedures historically used 

to report and track Federal facilities 

data. Representatives of Federal 

agencies are asked to contact the EPA 

HQ Docket Coordinator at the address 

provided in the FOR FURTHER

INFORMATION CONTACT section of this 

notice if revisions of this update 

information are necessary. 

5.0 Facilities Not Included 

Certain categories of facilities may not 

be included on the Docket, such as: (1) 

Federal facilities formerly owned by a 

Federal agency that at the time of 

consideration was not Federally-owned 

or operated; (2) Federal facilities that are 

small quantity generators (SQGs) that 

have not, more than once per calendar 

year, generated more than 1,000 kg of 

hazardous waste in any single month; 

(3) Federal facilities that are very small 

quantity generators (VSQGs) that have 

never generated more than 100 kg of 

hazardous waste in any month; (4) 

Federal facilities that are solely 

hazardous waste transportation 

facilities, as reported under RCRA 

section 3010; and (5) Federal facilities 

that have mixed mine or mill site 

ownership. 

An EPA policy issued in June 2003 

provided guidance for a site-by-site 

evaluation as to whether ‘‘mixed 

ownership’’ mine or mill sites, typically 

created as a result of activities 

conducted pursuant to the General 

Mining Law of 1872 and never reported 

under section 103(a) of CERCLA, should 

be included on the Docket. For purposes 

of that policy, mixed ownership mine or 

mill sites are those located partially on 

private land and partially on public 

land. This policy is found at http://

www.epa.gov/fedfac/policy-listingmixed-ownership-mine-or-mill-sitescreated-result-general-mining-law-1872. 

The policy of not including these 

facilities may change; facilities now 

omitted may be added at some point if 

EPA determines that they should be 

included. 

6.0 Facility NPL Status Reporting, 

Including NFRAP Status 

EPA tracks the NPL status of Federal 

facilities listed on the Docket. An 

updated list of the NPL status of all 

Docket facilities, as well as their NFRAP 

status, is available at http:// 


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Federal Register / Vol. 87, No. 80 / Tuesday, April 26, 2022 / Notices 24561 

2Each Federal facility listed in the update has 

been assigned a code that indicates a specific reason 

for the addition or deletion. The code precedes this 

list. 

www.epa.gov/fedfac/fedfacts or by 

contacting the EPA HQ Docket 

Coordinator at the address provided in 

the FOR FURTHER INFORMATION CONTACT

section of this notice. In prior updates, 

information regarding NFRAP status 

changes was provided separately. 

7.0 Information Contained on Docket 

Listing 

The information is provided in three 

tables. The first table is a list of 

additional Federal facilities that are 

being added to the Docket. The second 

table is a list of Federal facilities that are 

being deleted from the Docket. The third 

table is for corrections. 

The Federal facilities listed in each 

table are organized by the date reported. 

Under each heading is listed the name 

and address of the facility, the Federal 

agency responsible for the facility, the 

statutory provision(s) under which the 

facility was reported to EPA, and a 

code.2

The statutory provisions under which 

a Federal facility is reported are listed 

in a column titled ‘‘Reporting 

Mechanism.’’ Applicable mechanisms 

are listed for each Federal facility: For 

example, Sections 3005, 3010, 3016, 

103(c), or Other. ‘‘Other’’ has been 

added as a reporting mechanism to 

indicate those Federal facilities that 

otherwise have been identified to have 

releases or threat of releases of 

hazardous substances. The National 

Contingency Plan at 40 CFR 300.405 

addresses discovery or notification, 

outlines what constitutes discovery of a 

hazardous substance release, and states 

that a release may be discovered in 

several ways, including: (1) A report 

submitted in accordance with section 

103(a) of CERCLA, i.e., reportable 

quantities codified at 40 CFR 302; (2) a 

report submitted to EPA in accordance 

with section 103(c) of CERCLA; (3) 

investigation by government authorities 

conducted in accordance with section 

104(e) of CERCLA or other statutory 

authority; (4) notification of a release by 

a Federal or state permit holder when 

required by its permit; (5) inventory or 

survey efforts or random or incidental 

observation reported by government 

agencies or the public; (6) submission of 

a citizen petition to EPA or the 

appropriate Federal facility requesting a 

preliminary assessment, in accordance 

with section 105(d) of CERCLA; (7) a 

report submitted in accordance with 

section 311(b)(5) of the Clean Water Act; 

and (8) other sources. As a policy 

matter, EPA generally believes it is 

appropriate for Federal facilities 

identified through the CERCLA 

discovery and notification process to be 

included on the Docket. 

The complete list of Federal facilities 

that now make up the Docket and the 

NPL and NFRAP status are available to 

interested parties and can be obtained at 

http://www.epa.gov/fedfac/fedfacts or 

by contacting the EPA HQ Docket 

Coordinator at the address provided in 

the FOR FURTHER INFORMATION CONTACT

section of this notice. As of the date of 

this notice, the total number of Federal 

facilities that appear on the Docket is 

2,391. 

Gregory Gervais, 

Acting Director, Federal Facilities Restoration 

and Reuse Office, Office of Land and 

Emergency Management. 

7.1 Docket Codes/Reasons for Deletion 

of Facilities 

• Code 1. Small-Quantity Generator 

and Very Small Quantity Generator. 

Show citation box. 

• Code 2. Never Federally Owned 

and/or Operated. 

• Code 3. Formerly Federally Owned 

and/or Operated but not at time of 

listing. 

• Code 4. No Hazardous Waste 

Generated. 

• Code 5. (This code is no longer 

used.) 

• Code 6. Redundant Listing/Site on 

Facility. 

• Code 7. Combining Sites Into One 

Facility/Entries Combined. 

• Code 8. Does Not Fit Facility 

Definition. 

7.2 Docket Codes/Reasons for 

Addition of Facilities 

• Code 15. Small-Quantity Generator 

with either a RCRA 3016 or CERCLA 

103 Reporting Mechanism. 

• Code 16. One Entry Being Split Into 

Two (or more)/Federal Agency 

Responsibility Being Split. 

• Code 16A. NPL site that is part of 

a Facility already listed on the Docket. 

• Code 17. New Information Obtained 

Showing That Facility Should Be 

Included. 

• Code 18. Facility Was a Site on a 

Facility That Was Disbanded; Now a 

Separate Facility. 

• Code 19. Sites Were Combined Into 

One Facility. 

• Code 19A. New Currently Federally 

Owned and/or Operated Facility Site. 

7.3 Docket Codes/Types of Corrections 

of Information About Facilities 

• Code 20. Reporting Provisions 

Change. 

• Code 20A. Typo Correction/Name 

Change/Address Change. 

• Code 21. Changing Responsible 

Federal Agency. (If applicable, new 

responsible Federal agency submits 

proof of previously performed PA, 

which is subject to approval by EPA.) 

• Code 22. Changing Responsible 

Federal Agency and Facility Name. (If 

applicable, new responsible Federal 

Agency submits proof of previously 

performed PA, which is subject to 

approval by EPA.) 

• Code 24. Reporting Mechanism 

Determined To Be Not Applicable After 

Review of Regional Files. 

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #41—ADDITIONS

Facility name Address City State Zip code Agency Reporting 

mechanism Code Date 

US NAVAL OBSERVATORY 3450 MASSACHUSETTS 

AVE, NW.

Washington ... DC 20392 NAVY ....................... RCRA 3010 ... 17 UPDATE #41. 

SAN PEDRO SHOOTING 

RANGE.

HWY 344 ............................. GOLDEN ....... NM 87047 INTERIOR ............... RCRA 3010 ... 17 UPDATE #41. 

NPS—SPRING HILL 

RANCH HOUSE.

2480B KANSAS HWY 177 .. STRONG 

CITY.

KS 66869 INTERIOR ............... RCRA 3010 ... 17 UPDATE #41. 

USDOE KANSAS CITY NATIONAL SECURITY CAMPUS.14520 BOTTS RD ............... KANSAS 

CITY.

MO 64147 ENERGY ................. RCRA 3010 ... 17 UPDATE #41. 

USDOE KANSAS CITY NATIONAL SECURITY CAMPUS BUILDING 23.14901 ANDREWS RD ......... KANSAS 

CITY.

MO 64147 ENERGY ................. RCRA 3010 ... 17 UPDATE #41. 


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24562 Federal Register / Vol. 87, No. 80 / Tuesday, April 26, 2022 / Notices 

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #41—ADDITIONS—Continued 

Facility name Address City State Zip code Agency Reporting 

mechanism Code Date 

VA ST LOUIS 

HEALTHCARE SYSTEM 

JEFFERSON BARRACKS 

DIVISION.

1 JEFFERSON BARRACKS 

DR.

ST LOUIS ...... MO 63125 VETERANS AFFAIRS.RCRA 3010 ... 17 UPDATE #41. 

US ARMY CORPS OF ENGINEERS LOCK AND 

DAM 15 IOWA STORAGE 

YARD.

S PERRY ST @LOCK AND 

DAM 15.

DAVENPORT IA 52801 CORPS OF ENGINEER, CIVIL.RCRA 3010 ... 17 UPDATE #41. 

55245 HWY 121 .................. 55245 HWY 121 .................. CROFTON .... NE 68730 CORPS OF ENGINEER, CIVIL.WEBEOC ...... 17 UPDATE #41. 

OLINDA SUBSTATION ........ 18275 GAS POINTS ROAD COTTONWOOD.CA 96022 ENERGY ................. RCRA 3016 ... 17 UPDATE #41. 

DEFENSE FUEL SUPPORT 

POINT SAN PEDRO.

3171 N GAFFEY ST ............ SAN PEDRO CA 90731 NAVY ....................... RCRA 3010 ... 17 UPDATE #41. 

US NAVY PUBLIC WORKS LA POSTA RD ..................... CAMPO ......... CA 92106 NAVY ....................... RCRA 3010 ... 17 UPDATE #41. 

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #41—DELETIONS

Facility name Address City State Zip code Agency Reporting 

mechanism Code Date 

.......................................... ....................... ....................... .............. .................................. ....................... ........

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #41—CORRECTIONS

Facility name Address City State Zip code Agency Reporting 

mechanism Code Date 

.............................................. ....................... ............... .............. .................................. ....................... ........

[FR Doc. 2022–08831 Filed 4–25–22; 8:45 am] 

BILLING CODE 6560–50–P 

FEDERAL RETIREMENT THRIFT 

INVESTMENT BOARD 

Privacy Act of 1974; System of 

Records 

AGENCY: Federal Retirement Thrift 

Investment Board (FRTIB). 

ACTION: Notice of a modified system of 

records. 

SUMMARY: Pursuant to the Privacy Act of 

1974, the Federal Retirement Thrift 

Investment Board (FRTIB) proposes to 

modify an existing system of records. 

Records contained in this system are 

used to manage Thrift Savings Plan 

(TSP) accounts, including ensuring the 

integrity of the Plan, recording activity 

concerning the TSP account of each 

Plan participant, communicating with 

the participant, spouse, former spouse, 

and beneficiary concerning the account, 

and ensuring that he or she receives a 

correct payment from the Plan. 

DATES: This system will become 

effective upon its publication in today’s 

Federal Register, with the exception of 

the routine uses which will be effective 

on May 26, 2022. FRTIB invites written 

comments on the routine uses and other 

aspects of this system of records. Submit 

any comments by May 26, 2022. 

ADDRESSES: You may submit written 

comments to FRTIB by any one of the 

following methods: 

• Federal eRulemaking Portal: 

https://www.regulations.gov. Follow the 

website instructions for submitting 

comments. 

• 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: 

Dharmesh Vashee, General Counsel and 

Senior Agency Official for Privacy, 

Federal Retirement Thrift Investment 

Board, Office of General Counsel, 77 K 

Street NE, Suite 1000, Washington, DC 

20002, (202) 942–1600. For access to 

any of the FRTIB’s systems of records, 

contact Amanda Haas, FOIA Officer, 

Office of General Counsel, at the above 

address and phone number. 

SUPPLEMENTARY INFORMATION: This 

notice serves to update and modify 

FRTIB–1 to include the following 

updates: 

Update to System Location: The 

FRTIB is modifying the System Location 

to meet requirements of Office of 

Management and Budget (OMB) 

Circular A–108. 

Update to Categories of Individuals 

Covered by the System: The FRTIB is 

modifying the Categories of Individuals 

Covered by the System to explicitly list 

members of the uniformed services. 

Update to Categories of Records: The 

FRTIB is modifying the Categories of 

Records to include information about 

marital status and spousal information, 

in order to comply with requirements of 

Federal Employees’ Retirement System 

Act of 1986 (FERSA) at 5 U.S.C. 8435. 

Additionally, the FRTIB is specifying 

that some identification documents will 

be collected for age verification 

purposes. 

Update to Routine Uses: The FRTIB is 

adding two routine uses to reflect 

sharing with the Securities and 

Exchange Commission (SEC), the 

Financial Industry Regulatory Authority 

(FINRA), and other regulators for the 

purpose of conducting regulatory 

exams, transaction inquiries, antimoney laundering investigations, 

customer complaint reviews, and other 

regulatory obligations. The FRTIB may 

also share information within this 

system of records with mutual fund 

companies to fulfill regulatory 

obligations governing redemption fees 

for redeemable securities and for 

enforcement of mutual fund policies 

and relating to frequent and short-term 

trading. This sharing is required for 

transactions performed by the broker 

dealer and clearing firm in relation to 

the ‘‘Mutual Fund Window’’ plan 

offering, as published at 87 FR 3940 

(Jan. 26, 2022). The FRTIB is also 

modifying the routine use related to 

investigations and disclosures to third 


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